Middle Platonism

The period designated by historians of philosophy as the “Middle Platonic” begins with Antiochus of Ascalon (ca. 130-68 B.C.E.) and ends with Plotinus (204-70 C.E.), who is considered the founder of Neoplatonism. The Middle Platonic philosophers inherited the exegetical and speculative problems of the Old Academy, established by Plato and continued by his successors Speusippus (ca. 407-339 B.C.E.), Xenocrates (ca. 396-314 B.C.E.) , and Polemo (ca. 350-267 B.C.E.). Many of these problems centered about the interpretation of Plato’s so-called Unwritten Doctrines, inspired by Pythagorean philosophy and involving a primordial, generative pair of first principles—the One and the Dyad—and how to square this doctrine with the account of creation given in the Timaeus dialogue. This was also the main concern of the Neopythagorean philosophy that emerged with the work of Ocellus Lucanus in the second century B.C., whose treatise On the Nature of the Universe shows the influence of both Platonic and Aristotelian conceptions.

The Academy took a new turn after the founding of the Stoic school by Zeno of Citium (334-262 B.C.), a pupil of Polemo. Arcesilaus (ca. 315-241 B.C.E.) is regarded as the founder of the New Academy, known for its skepticism. Later, Antiochus asserted the fundamental harmony of the Platonic, Peripatetic (Aristotelian), and Stoic philosophies, and Eudorus of Alexandria (fl. ca. 25 B.C.E.) elucidated the highly influential teleological dogma of Platonism: “likeness to god as far as possible” (Plato, Theaetetus 176b). Other important Middle Platonists were Philo of Alexandria (ca. 30 B.C.E.—45 C.E.), who interpreted Hebrew Scripture along Platonic lines, exercising an immense influence on developing Christianity; Plutarch of Chaeronea (ca. 45-125 A.D.) whose treatise De Iside et Osiride (“On Isis and Osiris”), with its Greco-Egyptian syncretism, is an important example of the religious tendencies of later Middle Platonic philosophy; and Numenius of Apamea (fl. 150-176 C.E.) whose highly syncretic philosophy exercised a profound influence on Plotinus, who was accused of plagiarizing Numenius.

In addition to these “mainstream” philosophers, the Middle Platonic period includes the more esoteric systems of the Gnostics, the Corpus Hermeticum and the Chaldaean Oracles. All of these involved an “astral piety” with a notion of planetary powers and intra-cosmic daemons mediating between humanity and the highest cosmic deities.

Table of Contents

  1. Plato’s “Unwritten Doctrines”
  2. The Old Academy
    1. Speusippus
    2. Xenocrates
    3. Polemo
    4. Other Important Members of the Old Academy
  3. Skepticism and the New Academy
    1. Arcesilaus
    2. Carneades
  4. The Beginning of Middle Platonism
    1. Philo of Larissa
    2. Antiochus of Ascalon
    3. Posidonius
  5. Neopythagorean Philosophy
    1. Ocellus Lucanus
    2. Timaeus Locrus
    3. Archytas
    4. Eudorus of Alexandria
  6. Later Middle Platonism
    1. Philo of Alexandria
    2. Plutarch of Chaeronea
    3. Numenius of Apamea
    4. Albinus
  7. “Esoteric” Platonism
    1. Hermeticism
    2. Gnosticism
    3. The Chaldaean Oracles
  8. Conclusion
  9. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Plato’s “Unwritten Doctrines”

Platonic philosophy did not originate solely with the Dialogues of Plato. There is ample evidence from antiquity that Plato taught certain doctrines within the Academy that he did not write down; moreover, these doctrines were sufficiently vague as to cause divergent interpretations even among the first three successors of Plato in the Academy. It is these doctrines — perhaps even moreso than the Dialogues (excepting the Timaeus) – from which are derived the problems and approaches characteristic of Middle Platonic thought. A basic outline of these doctrines follows.

Drawing upon Pythagorean mathematical theory, Plato began his metaphysical schema with a pair of opposed first principles, the One and the Indefinite Dyad. The One is the active principle which imposes limit on the indefinite or unlimited Dyad, thereby laying the ground for the orderly construction of the cosmos. Through this influence of the One upon the Dyad numbers are generated, that is, the Decad, which in turn generates all other numbers. The most important of these primordial numbers is the tetraktys, numbers one through four, the sum total of which is ten, the Decad. The tetraktys also was interpreted by Plato as generating the four mathematical dimensions, with the number one corresponding to the point, two to the line, three to the plane, and four to the solid. Between the Ideal-Numbers or Decad Plato places the World-Soul, corresponding roughly to the Demiurge of the Timaeus. The World-Soul mediates between the Ideal realm and matter, projecting the four dimensions on base matter in order to form the four elements, Fire, Air, Water, and Earth. This basic schema of a first and second principle, and third intellectual and craftsmanly principle responsible for forming the cosmos, was to have an immense influence on the history of Greek philosophy, especially the period reviewed in this article. The following cryptic passage from the Platonic Second Letter (generally accepted as from Plato’s hand in antiquity) had a profound effect on the imagination of Platonic and Pythagorean philosophers of the Middle and Neoplatonic periods. This passage, though more than likely written by a student of Plato, nevertheless provides a hint of what the teacher’s more esoteric teachings may have been like.

Upon the king of all do all things turn; he is the end of all things and the cause of all good. Things of the second order turn upon the second principle, and those of the third order upon the third (312e, tr. G.R. Morrow, in J.M. Cooper, ed., 1997).

Among the many problems inherited by Plato’s successors and their students and colleagues are included the questions of whether the creation of the cosmos, as described in the Timaeus, took place in time or is atemporal, and the manner in which Demiurge of that dialogue relates to the World-Soul of the unwritten doctrines.

2. The Old Academy

The term “Old Academy” is used to refer to the educational institution established by Plato in Athens, and run by his three immediate successors. This is to differentiate it from the “New Academy,” so-called because of its turn toward a more sceptical mode of philosophizing.

a. Speusippus

After the death of Plato the headship of the Academy passed to his nephew Speusippus (ca. 407-339 B.C.), according to Plato’s wishes. Speusippus seems to have revised Plato’s doctrine of the One and the Dyad by placing the One above Intellect, declaring that it is superior to Being and “free[ing] it even from the status of a principle” (fragment in Klibansky 1953, tr. Dillon 1977, p. 12). In this he differed, as Dillon observes, “with all official Platonism up to Plotinus” (p. 18). The result of this difference is that the Dyad is now considered the sole productive source of multiplicity, from which all other levels of reality derive. Speusippus elaborated a multi-layered cosmic schema in ten stages or “grades” (Zeller 1955, p. 169) of Being: 1.) the supreme One beyond Being, 2.) the Indefinite Dyad or the Many (producer of multiplicity), 3.) Number (beginning with three, the first stage of multiplicity), 4.) the Soul, source of all geometrical extension, 5.) the celestial bodies, 6.) all ensouled beings, including irrational animals and plants, 7.) Thought, and the seven planets and the seven Greek vowels, 8.) instinct and the passions, 9.) motion, 10.) the Good, and repose. By locating the Good at the end of this emanative process – which is properly understood, as Zeller (1955, p. 169) writes, as “eternal principles of things and their stages of development” – Speusippus is not denying the ontological supremacy of the One, rather he is recognizing the One as the most simplex and primordial of all realities, and as “the cause of goodness and being for all other things” (Dillon 1977, p. 12). According to Speusippus the cosmos is eternally generated; therefore, he interpreted the creation account in the Timaeus as intended for purposes of instruction, and not to be taken literally. In the sphere of ethics Speusippus seems to have taught that happiness is leading a moral life, which likely meant for him a median between pleasure and pain, both of which, according to Aulus Gellius (Noctes Atticae IX, 5.4), Speusippus considered to be evils.

b. Xenocrates

Xenocrates (ca. 396-314 B.C.) succeeded Speusippus as headmaster of the Academy, and held that post for a quarter of a century (339-314 B.C.), until his death. He departed from Speusippus in identifying the One as Intellect or Nous, which he also named “Father”; the Dyad he called “Mother.” There is evidence that Xenocrates identified the Dyad with primordial Matter (fragment 28; Dillon 1977, p. 24), and considered it an “evil and disorderly principle” (Dillon, p. 26). Xenocrates divided the sensible universe into the realm above the moon (the supra-lunar) and the realm below the moon (the sub-lunar). It is unclear whether he added a further division to include a purely intelligible realm, or considered the One and the Dyad as occupying the highest sphere above the stars. Above the moon there exists the seven planets, which Xenocrates considered to be divine, along with the stars and the pure fire that is the base element of the universe. The realm below the moon he believed to be occupied by daemons. He held a theory that there are two types of gods, Olympians and Titans, the former born of heaven and the latter of earth (fragments 18 and 20; Dillon, pp. 26-27, also see Zeller 1955, p. 170). Theophrastus, the pupil of Aristotle, gave credit to Xenocrates for his exhaustive account of the cosmos, distinguishing him from Speusippus and others who only provided an account of the One and the Dyad, barely touching upon anything else besides numbers and geometrical shapes. Xenocrates, he says, discoursed not only on divine things and mathematicals, but on objects of sense-perception as well (Theophrastus, Metaphysics 6a.23-6b.9). Perhaps the most important contribution of Xenocrates to the history of Platonism (and all of philosophy as well) is the doctrine that the Ideas are thoughts in the mind of the One (Dillon, p. 29). Xenocrates made a distinction between practical and scientific wisdom, and taught that happiness is to be found in virtue and the means conducive to it (Zeller, p. 170).

c. Polemo

Xenocrates was succeeded by Polemo (ca. 350-267 B.C.), who became headmaster of the Academy upon the latter’s death in 314. Eduard Zeller, in his seminal work on the history of Greek philosophy, remarks that there is a scarcity of original thinking in the work of Polemo (Zeller 1955, p. 170). This is unfair, not only because we do not possess any works of Polemo by which to accurately judge him, but because if one looks carefully at the surviving evidence, Polemo’s importance for the emergence and development of Stoic philosophy will be seen. While it is true that Polemo’s metaphysical schema was likely dependent upon his predecessors, with little or no development, he did make at least two important contributions to ethics, both of which influenced emerging Stoicism. The first is the concept of self-sufficiency (autarkheia), which Polemo identified as the key to happiness. He understood self-sufficiency in respect of virtue, and not in terms of material wealth or bodily pleasure, teaching that one could be happy even in the absence of all physical comfort, provided that one had achieved virtue. The second is the concept of conciliation or appropriation (oikeiôsis), which was of immense importance for later Stoic philosophers. The basic presumption of this doctrine is that all living beings strive for conciliation with their environment, and that this necessarily involves an existence in accordance with nature which, for human beings, is a virtuous existence. There is evidence in Cicero that Polemo taught such a doctrine, but we have no way of knowing whether he actually used the term oikeiôsis.

d. Other Important Members of the Old Academy

Besides the headmasters of the Old Academy discussed above, other pupils of Plato made contributions to Platonic philosophy. The astronomer and mathematician Philip of Opus, believed by most scholars to be the author of the pseudo-Platonic dialogue Epinomis, taught that the greatest wisdom is to be attained through contemplation of the divine celestial bodies. However, he placed importance as well on the intermediary capacity of the daemons in this endeavor. Following Plato in the Laws (896e-898d) he taught a doctrine of an evil World-Soul. Eudoxus of Cnidus was a pupil of Plato as well as of the Pythagorean Archytas. He believed that the Forms reside in material mixtures, and that pleasure is the highest good. It is likely that Plato wrote his Philebus in response to Eudoxus’ theory of pleasure. Heraclides of Pontus was an astronomer who borrowed the Pythagorean theory of the diurnal revolution of the earth, and revised it with his own theory that Mercury and Venus revolve around the sun. He held a materialistic view of the soul, believing it to be composed of aether, the purest element. Finally, Crantor of Soloe (ca. 330-270 B.C.) achieved fame as author of the first commentary on Plato’s Timaeus, and for his widely read treatise On Grief, an early example of the consolation genre of writing found much later in Boethius. Against the Stoics he argued that all pain, including grief, is a necessity, and is to be controlled rather than eradicated (Dillon, p. 42, Zeller pp. 171-172). He followed Plato and the Pythagoreans in regarding life as a punishment, and philosophy as practice for death.

3. Skepticism and the New Academy

The designation “New Academy” is intended to represent the shift away from exegesis of Plato’s doctrines and metaphysical speculation, toward a more sceptical mode of philosophizing. The following two philosophers are its major representatives.

a. Arcesilaus

Scholars generally consider the “New Academy” to have begun with Arcesilaus (ca. 315-240 B.C.) who, under the influence of Pyrrhonian skepticism called into question the idea that knowledge and certainty is obtainable through sense-perception, denying that even reason or understanding is capable of arriving at uncontestable truth. In this he was attacking Stoic cosmology and theology, with its belief in an eternally ordered universe pervaded by reason. His skepticism was so thorough that he refused even to declare the validity of his own sceptical stance. He did not, however, do away with all criteria for living a proper life, considering perception as linked to the will, and rational activity as following a judgment based on probability of desired effect.

b. Carneades

Carneades (214-129 B.C.) followed Arcesilaus in his sceptical approach, and honed the latter’s notion of probability, recognizing three “grades” of probability involving increasing levels of validation based on mutual confirmation of related representations (Zeller, p. 264). Carneades, like Arcesilaus, attacked Stoic doctrine, especially the idea of “conceptual representations” (phantasia katalêptikê), arguing that there exists no representation that cannot be convincingly reproduced by artificials means; therefore, we can never be certain that the representation we are experiencing is true or authentic. He likely followed Arcesilaus in the realm of ethics, adopting judgment based on probability as the guide for practical life.

4. The Beginning of Middle Platonism

Scholars generally consider the Middle Platonic period to have begun with the work of Antiochus of Ascalon (d. 68 B.C.), who was responsible for overhauling the increasingly stifling skepticism of the New Academy. His teacher was Philo of Larissa (fl. 88-79 B.C.), who also taught Cicero. We will examine briefly the teachings of Philo, before moving on to Antiochus. We will then discuss Posidonius who, though a Stoic rather than a Platonist, contributed much to the development of Middle Platonic philosophy.

a. Philo of Larissa

Unlike his predecessors in the New Academy, Philo of Larissa did not consider knowledge an impossibility, although he did follow them in criticizing the Stoic doctrine of “conceptual representations” as the key to knowledge. However, he sought not to deny all possibility of knowledge, but rather to establish a middle course between mere probability, and knowledge. He believed that there is a level of obviousness where skepticism must give way to conviction, although this conviction must not be regarded as absolute knowledge. Philo’s main concern was with ethics, and he used his middle ground approach to formulate a detailed ethical theory in a manner never attempted by Arcesilaus or Carneades.

b. Antiochus of Ascalon

The fundamental agreement of Platonic, Stoic, and Peripatetic philosophy was asserted by Antiochus of Ascalon, who returned to the basic approach, if not the actual doctrines, of the Old Academy. This notion of agreement of the earlier philosophers on matters of doctrine served as a way for Antiochus to get past the skepticism of his teacher, in order to establish his own philosophical stance. What we know of Antiochus’ doctrines is contained in various writings of Cicero, usually placed in the mouth of Antiochus’ influential pupil Varro. No writings of Antiochus survive; therefore, as with all of the philosophers discussed so far – with the exception of Plato – we must rely solely on reports by contemporaries, near contemporaries, and later writers. Nevertheless, it is possible to reconstruct with some confidence the doctrines put forth by Antiochus.

Antiochus, likely for the first time since the advent of academic skepticism, busied himself with the interpretation of Plato’s dialogues, notably the Timaeus, as the Old Academics had done, thereby providing us with the first example of what would later become a full-fledged systematic approach in the later Middle Platonists. Antiochus rejected the Aristotelian “fifth element” and returned to the four basic elements – Fire, Air, Water, and Earth – as the primary material principles of the cosmos. Matter (hulê) is the substrate of these elements. Following Stoic philosophy, Antiochus taught that the stars and planets, as well as minds, are composed of the purest fire. Even god is composed of this fire and does not transcend the cosmos, but occupies its highest reaches. He combined the Demiurge of the Timaeus and the World-Soul of the Unwritten Doctrines into an intra-cosmic, unitive, rational force which he termed Logos. Antiochus denied that the Platonic Ideas or Forms transcend the cosmos, asserting instead that they are conceptions common to all humanity, constructed by way of analogies (similitudines, analogiai), and existing only within the mind of each rational being, including god (Cicero, De oratore 8 ff.). Like Xenocrates earlier, Antiochus understood the Ideas as thoughts in the mind of god (Dillon, pp. 94-95).

With the rise of Stoicism as the most influential dogmatic philosophy of the Hellenistic era, the problem of fate versus free will came to the fore, and Antiochus responded by rejecting fate (heimarmenê) as an efficient cause, relegating it to the class of “material cause” (aition prokatarktikon), along with time, matter, and other things that are necessary, but not sufficient, to produce an effect. This allowed for efficient causes to arise from human initiative, and preserved the freedom of human activity, or at least response, within an ordered cosmos.

Again following Xenocrates, Antiochus expressed a belief in daemons, who inhabit the sub-lunar realm (the supra-lunar realm being reserved for the divine celestial bodies). He also appears to have believed in divination, not only through the motion of the celestial bodies, but by way of dreams, oracles, beasts, and even inanimate objects (Cicero, De divinatione I.12 ff.; Dillon, p. 89).

While not a strikingly brilliant philosopher – at least as far as we can tell from surviving accounts of his doctrines – Antiochus is responsible for articulating themes that would later become prominent in Platonic philosophy. His notion of the Ideas as thoughts in the mind of god was accepted as authentic Platonic doctrine by Philo of Alexandria, who gave it his own unique spin, as we shall see; the problem of the Demiurge and the World-Soul was taken up by Numenius in rather gnosticizing fashion, as we will discuss; and Antiochus’ teaching regarding divination and daemons is a precedent of the Neoplatonic system of Iamblichus (who, due to his later date, will not be discussed in this article).

c. Posidonius

Although not a Platonist, strictly speaking, but a Stoic, Posidonius (135-51 B.C.) nevertheless exercised an immense influence on the development of Middle Platonic thought. Among his many works, all unfortunately lost except for a few scant fragments, is a commentary on the Timaeus, which was likely the main source of his influence on Platonism. Posidonius recognized two principles in the cosmos, one active and one passive: god and matter, respectively. In this he was following Plato’s doctrine of the mixing bowl, as put forth in the Timaeus. In his cosmology, Posidonius posited, as did Platonists like Xenocrates and Antiochus, a bipartite cosmos consisting of a supra- and a sub-lunar realm. He considered the supra-lunar realm to be imperishable, and the sub-lunar perishable, dissolving into the void (kenon) outside the cosmos during the conflagration (ekpurôsis), after which it is reconstituted anew (this being a variation of standard Stoic doctrine going back to Chrysippus). Posidonius understood human beings as forming a bridge between these two realms, and theorized that souls originate in the sun and travel to earth by way of the moon (Zeller, pp. 269-270). Some of these souls become humans while others become daemons or heroes, a doctrine developed in his treatise On Heroes and Demons, which had an immense influence on later Platonists, especially Plutarch.

Posidonius believed that the cosmos is held together by cosmic sympathy (sumpatheia), and this formed the basis for his ideas concerning fate and divination (cf. Cicero, De divinatione I, and De fato). He believed the cosmos to be controlled by three forces, Zeus, Nature, and Fate, and that human beings cannot escape the causality that is the source of cosmic unity. This led Posidonius naturally to a belief in astrology, and there is ample evidence that he practiced it as well (fragments 111, 112, Edelstein-Kidd). He also theorized regarding other forms of divination, and from his doctrine of cosmic sympathy arrived at the conclusion that all life and events in the cosmos are connected, making divination from an animal’s liver, for example, possible. Posidonius asserted the immortality of the soul and its ability to exist apart from the body. In ethics he largely followed Plato, teaching that the passions are not to be eradicated but controlled (Zeller, p. 270, Dillon, pp. 109-112).

5. Neopythagorean Philosophy

During the late second century and early first century B.C. a number of writings began to appear that were attributed to various historical followers of Pythagoras. This renewed interest in Pythagorean philosophy likely grew out of the desire to find harmony between the three major philosophical schools of the era. The writings compromising the Pseudo-Pythagorica, as the collection of about ninety treatises by fifty authors is often called, contain elements of Platonism, Stoicism, and Peripatetic philosophy, as well as typical Pythagorean number theory and cosmological motifs, such as the eternity of the world. There is little, in fact, to differentiate Neopythagoreanism from Middle Platonism, as one can easily find Pythagorean elements in the work of thinkers commonly designated as Platonists, and vice-versa. Following John Dillon in his definitive study of Middle Platonism, however, I am making the distinction for the sake of scholarly rigor.

a. Ocellus Lucanus

Of the writings of Ocellus Lucanus (second century B.C.) we possess a treatise On the Nature of the Universe and a fragment of a lost treatise On Laws. Ocellus was concerned with maintaining the doctrine of the eternity of the world against the Stoic doctrine of periodic conflagration and reconstitution of the universe. Since there are only two types of generation – from a lesser to a greater state and vice-versa – Ocellus argued that it is just as absurd to state that the universe began in a lesser state and progressed to a greater, as it is to state the opposite, for both statements imply either a growth or a diminution, and since the cosmos is whole and self-contained (so he insisted) there is no place into which it can either grow or diminish. Posidonius’ doctrine of a void into which the cosmos periodically dissolves held no place in Ocellus’ philosophy.

Although positing the eternity of the cosmos, Ocellus nevertheless admitted the obvious, that generation and dissolution occurs here on earth. Like Xenocrates and other Platonists, Ocellus understood the cosmos as divided in two parts, the supra-lunar and the sub-lunar, the gods existing in the former and daemons and humans in the latter. It is only in the sub-lunar regions, he argued, that generation and decay occurs, for it is in this region that “nonessential” beings undergo alteration according to nature. The generation that occurs in the sub-lunar realm is produced by the supra-lunar realm, the primary cause being the sun, and the secondary causes the planets. He apparently did not believe in a transcendent realm beyond the material cosmos.

Ocellus’ work is one of the earliest examples of Hellenistic-era astrological doctrine. At the end of his On the Nature of the Universe he entreats prospective parents to be attentive in choosing times of conception, so that their children may be born noble and graceful; and in the fragment On Laws he declares that the active supra-lunar realm governs the passive sub-lunar realm. In his ethical doctrine Ocellus adhered to strict Pythagorean asceticism, holding that sexual intercourse is to be reserved for reproductive purposes only, and that alchoholic beverages are to be avoided.

b. Timaeus Locrus

Scholars are not certain whether the eponymous Timaeus Locrus of Plato’s dialogue ever really existed. In any case, the treatise On the World and the Soul attributed to this person is an early to mid-first century B.C. work containing an epitome of the Timaeus dialogue, though with some omissions. Given the renewed interest in Pythagorean philosophy in this period, it is likely that the work was widely read. Though containing clear Pythagorean motifs, such as a table of musical tones and their respective numbers, and a section elaborating the geometrical construction of the cosmos, the treatise is, as Thomas Tobin (1985) has demonstrated, a Middle Platonic interpretation of the highly Pythagorean-influenced Timaeus dialogue.

According to “Timaeus” the universe has two causes: Mind, which governs rational beings, and Necessity, which governs bodies and all irrational beings. Interpreting Plato literally, “Timaeus” affirmed the temporal creation of the cosmos, and while stating that the cosmos is capable of being destroyed by the one who created it (the Demiurge), he denied that it would ever actually be destroyed, since it is divine and the Demiurge, being good and divine himself, would never destroy divinity. In what is possibly a later addition to the text, “Timaeus” assigns numerical values to the various proportions produced by the mixture of the Same and the Different (these being the two opposing forces, productive of all motion, growth, and change in the cosmos, as discussed in the Timaeus dialogue). The substratum of all generated things is matter, and their reason-principle or logos is ideal-form. “Timaeus” then proceeds with an account of the geometrical proportions of the cosmos, finally declaring that the image of the cosmos is the dodecahedron, since that is the closest approximation to the perfect sphere, which is the image of purely intellectual reality.

According to “Timaeus,” the Demiurge initiated the creation of souls, but then handed over completion of the task to Nature (hypostatized in the feminine) who completed their creation and introduced them into into the cosmos, some by way of the sun, others the moon, and yet more from the planets that wander according to the principle of the Different (the source of the irrational part of the soul). Each soul, however, received a portion of the principle of Sameness, which became the rational part of the soul. A soul who received more of this principle would have a happier fate than one receiving less. Here again, as in Ocellus, we have a relatively early witness of astrological doctrine within Hellenistic philosophy. The ethical doctrine of “Timaeus” involved a taming of the passions and the moderation of bodily pleasures, the final goal being a state of repose conducive to the contemplation of divine things.

c. Archytas

Several fragments purporting to be from the hand of Plato’s contemporary, the Pythagorean Archytas of Tarentum (though in fact composed some time during the late second or early first century B.C.) are of importance for Middle Platonic philosophy, notably the fragments of a treatise On First Principles where a principle is posited above the One and the Dyad, out of which the primordial pair is said to have emerged. “Archytas” places mind above soul as the most divine part in man, though he departs from standard Pythagoreanism by assigning the circle rather than the tetragon as the representation of the soul, since the soul is self-moved (the circle, with no definite beginning or end point, symbolized endless movement). He believed that there is a space outside of the material cosmos in which the cosmos is contained. Time, according to “Archytas” is continuous, not a series of units or parts as in number, speech, and music, and he apparently made some distinction between psychic time (pertaining to the soul) and natural time, though what this distinction entailed is not clear. In ethics he is no innovator, simply stating the standard notion that happiness depends on virtue, but virtue is independent of all other things.

d. Eudorus of Alexandria

Eudorus of Alexandria (fl. ca. 50-25 B.C.) was much concerned with ethics, which he considered the first subject of philosophy to be studied. He defined ethics not in terms of existence in accordance with nature, but rather in terms of striving for a proper end (telos), which he considered to be “likeness to god as far as possible” (homoiôsis theô kata to dunaton). This phrase is from Plato’s Theaetetus (176b) where the qualification “as far as possible” simply means to the extent that a mortal can achieve a divine state. Eudorus, however, interpreted it as referring to the intellect, that part of the soul most closely akin to the divine (cf. Dillon, pp. 122-123). This conception of ethics led Eudorus to depart from earlier Platonists like Antiochus who considered physical pleasures as contributing to, or at least enhancing, the happiness that depends on virtue, and declare that true happiness is of the intellect alone, although he does seem to have allowed a preliminary role for physical pleasure in achieving happiness (Dillon, p. 124).

In metaphysics and cosmology Eudorus follows largely Pythagorean lines, though some Stoic conceptions are present in his thought. He departed from earlier Pythagorean philosophy and, in a move likely inspired by “Archytas,” posited a supreme principle above the One and the Dyad, even positing this principle as the producer of matter. Traditional Pythagorean philosophy posited a primordial pair of principles, Limit and Unlimited, with no supreme One above this pair. The monism of Eudorus’ doctrine was particularly attractive to the Jewish Platonist Philo of Alexandria in his quest to square Old Testament theology with Platonic philosophy.

Eudorus rejected the Aristotelian “fifth element” and followed Stoic cosmology in positing pure fire as the base element of he heavens. He considered the stars and planets to be divine, and insisted that the world is eternal. Eudorus brought together the apparently opposing views of Xenocrates and Crantor regarding the origin of numbers; the former stating that they are produced by the One and the Dyad, the latter that they are produced in the mind of the World-Soul as he contemplates the Forms. Eudorus taught that number was generated simultaneously with the World-Soul, who was responsible for translating the smallest multiplicity (the number three) into solid bodies (the number four).

Finally, we must note Eudorus’ revision of Aristotle’s Categories, which was to exercise an immense influence on later Platonists, especially Porphyry, who endeavored to find a harmony of doctrine in Plato and Aristotle. Eudorus interpreted substance (ousia) as strictly material substance, and concluded that Aristotle’s categories only apply to the physical world, not to the purely intellectual realm, where Platonists have always located supreme reality.

6. Later Middle Platonism

Notable Middle Platonists after Eudorus include Moderatus of Gades (first century A.D.), a self-conscious Pythagorean who considered Plato a mere student of Pythagoras. During the same period Thrasyllus, Nero’s court astrologer, prepared a new edition of Plato’s Dialogues, arranged in tetralogies, as well as an edition of the collected works of Democritus. Interesting in a different manner is Apollonius of Tyana, who had the reptuation of a magician and wonder-worker, and is a prime example of the prophet-figures influenced by Platonism, Pythagoreanism, and sundry other intellectual streams. Another example of such a figure is Simon Magus (mid-first century A.D.) who wandered about working miracles with a prostitute claiming to be Divine Wisdom Herself. Simon was considered the first Gnostic by the early Christian heresiologists.

The most important Middle Platonists after Eudorus are Philo of Alexandria (ca. 30 B.C. – 45 A.D.) and Plutarch of Chaeronea (ca. 45-125 A.D.). Numenius of Apamea (fl. ca. 150-176 A.D.), though more of a Neopythagorean than a Platonist (to the extent that such a distinction can be made in this period), had a profound influence on the emergence of Neoplatonism, not least in the deep and abiding influence his thought had on the philosophical development of Plotinus, who was actually accused of plagiarizing Numenius. Finally, we will discuss Albinus (fl. ca. 149-157) whose handbook of Platonic philosophy is an interesting example of Middle Platonic eclecticism (in the best sense of that term).

a. Philo of Alexandria

The work of Philo of Alexandria (also called Philo Judaeus) is the most prominent and philosophically accomplished example of the Jewish-Hellenistic syncretism that flourished at Alexandria beginning at least as early as the translation of the Hebrew Scriptures into Greek (the Septuagint), during the reign of Ptolemy II Philedelphus (285-247 B.C.). We already detect the influence of Hellenistic philosophy on Jewish thought in the biblical book of Ecclesiastes, and the later apocryphal work Wisdom of Sirach (ca. 30 B.C.) displays Platonic and Pythagorean affinities. So it is clear that by Philo’s time Jewish thinkers of the Diaspora were quite comfortable with Greek philosophy. In the work of Philo himself there is an attempt to square Old Testament theology with the Greek philosophical tradition, leading Philo to posit Moses as the first sage and teacher of the venerable ancients of the Greek tradition. The work of Philo was to have an immense influence on emerging Christian philosophy, especially in the work of Origen.

According to Philo, God transcends all first principles, including the Monad, is incorporeal and cannot even be said to occupy a space or place; He is eternal, changeless, self-sufficient and free from all constraint or necessity (cf. Tripolitis 1978, pp. 5-6 ff.). God freely willed the creation of the cosmos, first in a purely intellectual manner, and then, through the agency of His Logos (Philo’s philosophical term for the Wisdom figure of Proverbs 8:22) He brought forth the physical cosmos. Philo describes the Logos in a two-fold manner, first as the sum total of the thoughts of God, and then as a hypostatization of those thoughts for the purpose of physical creation. Thus we see Philo linking the cosmos to the intellectual realm by way of a mediating figure rather like the Platonic World-Soul. Borrowing a term from Stoic philosophy, Philo calls the thoughts of the Logos “rational seeds” (logoi spermatikoi), and describes them as having a role in the production of the cosmos which, he insists, was brought into being out of non-being by the agency of God.

Philo adhered to standard Platonism when he declared that the cosmos is a copy of the purely intellectual realm. However, he taught, following biblical doctrine, that the cosmos was created in time, but went on to state that, although having a temporal creation, the cosmos will exist eternally, since it is the result of God’s outpouring of love. The rational beings dwelling in the cosmos are divided by Philo into three types: the purely intellectual souls (created first by God), all animals (created second), and finally man (last of all rational creation, combining the attributes of the first two). Of the purely intellectual and incorporeal souls, Philo recognized varying degrees of perfection; some of the souls aid humanity, for example, providing guidance and giving signs, while other fell into vice themselves, and aim to lead man astray. These are the beings called angels by the Jews and daemons by the Greeks.

Philo’s ethical doctrine emphasized the free will of human beings. According to Philo, the meaning of the biblical statement that humanity is created in the image and likeness of God is that although sometimes constrained by external forces, all human souls are capable of overcoming these constraints and attaining freedom. He further adds, in a formulation that was to have a profound influence on Origen, that God aids souls in their quest for freedom in proportion to their love and devotion for Him and for their fellows.

b. Plutarch of Chaeronea

Plutarch was intensely interested in religion, and his philosophy bears the stamp of a profound religious piety. Like Eudorus, Plutarch understood the highest goal of existence as achieving likeness to god, yet he had little confidence in the ability of human reason to adequately contemplate and understand divinity, believing instead in the possibility of divine revelations. Plutarch considered all the religions of his time as bearing witness to one eternal truth, though expressed in different ways. His ability to use allegory in order to prove this assertion is most evident in his treatise On Isis and Osiris.

Plutarch did not, like Archytas and Eudorus, posit a principle higher than the Pythagorean One, which Plutarch also called, in Platonic fashion, the Good. The Dyad was considered by Plutarch as a disruptive or even downright evil principle, which the One or Monad had to struggle to control. This tension at the highest ontological level translates into a dualistic cosmology where the principle of reason is described as being in constant strife with unreason. The rational principle, Logos, is both transcendent and immanent. In its former aspect the Logos is understood by Plutarch as the sum-total of thoughts in the mind of god; in its latter aspect, Logos is understood allegorically as Osiris, whose body is routinely torn apart by Typhon, only to be reassembled ever again by Isis. Osiris’ body parts are interpreted as the Ideas dispersed throughout the material realm, and rationally maintained by Isis in her demiurgic role as cosmic steward.

Plutarch departed from standard Pythagorean doctrine in declaring the creation of the cosmos in time. In keeping with his Zoroastrian-style dualism, Plutarch posited a simultaneous intellectual conception of the created cosmos in the minds of both the One and its evil counterpart, the Dyad. Thus we see a dualism at the highest level of his thought; however, a dualism that is not akin to Gnosticism, for Plutarch’s opposing principles are equi-primordial, unlike the subversive Sophia in Gnostic mythology, who introduces a disruptive element into the intellectual realm.

Plutarch accepted the immortality of the soul, excepting only the notion of transmigration or reincarnation, and made the distinction, found again later in Origen, between mind (nous) and soul (psukhê). In the realm of ethics, Plutarch defended free will against fatalism, understanding divine providence (pronoia) as involving a co-operation between human will and divine agency (cf. Dillon, pp. 199-203 ff.; also Zeller, pp. 306-308), another notion later adopted by Origen.

c. Numenius of Apamea

Numenius has been called both a pythagorizing Platonist and a platonizing Pythagorean. However, the key to his attitude toward philosophy is summed up in his own statement that “Plato pythagorizes” (P. Henry 1991, p. lxx). He took the mysterious passage about the three kings in the Platonic Second Letter as coming from Socrates, and he likely used this passage as support for the triad of gods which he posited as first principles. Plato and Pythagoras were considered by him as the twin sources of philosophical truth, with which the traditions of the Hebrews, Egyptians, the Zoroastrian Magi, and even the Brahmins were all in agreement.

Numenius’ triad of gods begins with the First God, called also the Good, who is eternal, immutable, and at rest, concerned only with the intellectual realm. He is likened by Numenius to the owner of a farm who, after having sown the fields, leaves it up to his farmhands to cultivate the crops. The Second God, called Mind and Demiurge is responsible for translating the things of the intellectual realm to the realm of matter, thereby establishing a cosmos. In this capacity the Second God is called World-Soul. However, once this Soul comes into contact with matter, the source of all evil according to Numenius, it becomes divided into a rational and an irrational part, the former remaining in contemplation of the divine realm, and the latter immersing itself in the material realm. It is not clear whether Numenius intended to posit two World-Souls (one good, one evil) or if he had in mind simply a division within that Soul of an irrational and a rational part. If Numenius’ triad involves a strict separation of three distinct divinities (and this is a matter of interpretation) then we should speak of a separate World-Soul that is evil. If the triad is intended to imply a three-fold series of activities emanating from the divine realm, then we are correct in assuming that Numenius posited a single World-Soul with two warring parts. Due to the fragmentary nature of his surviving writings, however, it is impossible to know for sure what he intended.

Human souls were described by Numenius as divine fragments of the Demiurge, each one a microcosm of both the intellectual and the physical realm (Tripolitis, pp. 26-30). He taught that all souls contain both a rational and an irrational element, the former derived from the Second God, the latter from association with the material realm. Numenius taught that souls enter the cosmos by way of the Tropic of Cancer, acquiring various characteristics as they pass through the seven planetary spheres. The soul that leads a virtuous life – which for Numenius meant living a contemplative life detached from bodily things – will re-ascend to heaven (the sphere of the fixed stars) by way of the Tropic of Capricorn. The soul that fails to lead a correct life will enter Hades (located by Numenius in the mists above the world) where it will undergo chastisement until reincarnated in another body suitable to its nature. Numenius taught that certain souls may become so corrupted that they will enter the bodies of animals. In a doctrine that likely influenced Origen (in his doctrine of multiple ages), Numenius taught that the series of reincarnations are finite, and will eventually lead the soul back to the divine realm, though how this is accomplished for a soul existing in animal bodies is not entirely clear, since such a soul is presumably not susceptible to any rational exhortations to virtue.

No overtly ethical fragments of Numenius’ works survive, but we do know that he considered existence in this realm a struggle, with the irrational part of the soul in constant strife with the rational. Salvation from this state only takes place when the soul leaves the material realm for the divine. One is reminded of St. Paul’s lament in Romans 7:18-23 where he describes the war taking place between his flesh (body, matter) and his mind. His mind knows the good, he says, but his flesh continually prevents him from achieving this good. It is possible that Numenius read St. Paul, but more likely that the two thinkers simply were responding to a shared intellectual milieu consisting not only of Platonic philosophy, but Gnostic and Hermetic doctrines as well.

The influence of Numenius extended well beyond his life-time; his doctrines are recorded in the writings of later Neoplatonists like Porphyry and Proclus, and Plotinus himself was at one point accused of plagiarizing Numenius (Porphyry, Life of Plotinus 17). In the case of Plotinus, we see a clear Numenian influence regarding the triadic arrangement of principles, although Plotinus developed this basic notion in a quite original way. Plotinus also responded to Numenius’ doctrine of an evil World-Soul, developing in the process a quite sophisticated doctrine concerning matter and the nature of evil.

d. Albinus

Albinus (fl. ca. 149-157) left behind two complete works, excellent sources of first-century A.D. Platonism, the Isagogê (an introduction to Platonic philosophy) and the Didaskalikos (a summary of Plato’s philosophy). As an interpreter of Plato, Albinus relied heavily on Aristotle and, to a lesser extent, Stoicism. Like Numenius, Albinus posited a triadic set of principles: First God (also Mind and Good), Second God or Universal Intellect, and World-Soul. The First God is not described as creating the others, but rather as generating them from his mind as he thinks upon his own thoughts (cf. Tripolitis, pp. 31-36). This conception of divine emanation is present later in the philosophy of Plotinus and, in a more developed fashion, in Proclus. The First God is described along the lines of Aristotle’s Unmoved Mover, and is said to produce motion through the desire he inspires in the second and third gods. Albinus employs negative or apophatic language when describing the First God, a method of theologizing that would become of immense importance for later Christian Neoplatonists, especially Pseudo-Dionysius.

Individual human souls, according to Albinus, were created in the same manner as the second and third gods, that is, by a hypostatization of thoughts in the divine mind. Once generated, the souls enter the sphere of the fixed stars, where each soul is allotted its own star and set in a chariot or vehicle (okhêma). Following the myth of the soul in the Phaedrus, Albinus states that the duty of the soul in the material realm is to place unreason in subjection to reason, and to steer one’s chariot to the rim of heaven where one’s allotted star is waiting to receive the perfected soul.

Although Albinus describes the life of the soul as one of constant strife between the rational and the irrational parts, he does not posit, as did Numenius, an evil World-Soul, nor does he totally degrade all material embodiment as the source of evil. Albinus described the union of body and soul as akin to that of fire and asphalt, meaning that the one is the vehicle of the other. In the realm of ethics Albinus held the by-now-standard Platonic line of “likeness to god” as the highest goal of existence. He taught a doctrine of reincarnation including the entrance of the soul into animal bodies. As in Numenius, it is unclear how souls, once so incarnated, will ever attain to the reason requisite for salvation (cf. R.E. Witt 1937, p. 139).

Albinus anticipated Plotinus in the prime role he allotted to contemplation in the ideal existence of the soul, and Origen in his doctrine of the intellectual generation of souls by the godhead.

7. “Esoteric” Platonism

This final section will be devoted to a brief discussion of a branch or offshoot of Middle Platonic thought that I hesitantly labelled “esoteric,” in spite of the fact that these schools of thought or sects (or whatever one should call them) were quite widespread during this period, Gnosticism especially. However, though widespread, they were veiled in mystery and secrecy, leading John Dillon to refer to them in the perhaps more apt phrase “the Platonic Underworld.” We will be discussing three examples of this “underworld”: Hermeticism, Gnosticism, and the Chaldaean Oracles. The writings comprising the Corpus Hermeticum, so-called because of its supposed derivation from the teachings of the legendary sage Hermes Trismegistus, bear the marks of a variety of philosophies, Platonism and Neopythagoreanism being the most prominent. Hermetic ideas are found in Christianity as early as the writings of St. Paul, and Gnostic elements are to be discerned in John’s Gospel as well as in Paul. The earliest Christian theologians were Gnostics, and the most prominent among them, Valentinus, nearly became pope. The systems of the Gnostics, especially Valentinus, attempted (among other things) to solve certain problems of Platonic and related philosophies by employing mythological language, astrological symbolism, and elements of alchemy and ritual magic. Finally, the Chaldaean Oracles, a mysterious composition melding Platonic and Neopythagorean philosophy with a revelatory religiosity, was a major source of inspiration for later Neoplatonists.

a. Hermeticism

Hermeticism is a loose label for collections of texts on various subjects bearing the name Hermes Trismegistus, “Thrice-great Hermes,” who was believed to have been a sage of remote antiquity. According to the third-century B.C. historian Manetho of Sebennytos, a tradition existed in which Thoth-Hermes was said to have written down his teachings on tablets before the Flood. These tablets were said to be kept by the Egyptian priests, who later translated them into Greek. The earliest Hermetic writings are called the “technical Hermetica” and can be dated back to the early- to mid-second century B.C. These texts contain astrological material and information on the magical properties of gems. The co-called “philosophical Hermetica,” that is, the treatises comprising what today is called the Corpus Hermeticum, began to be written down a bit later, the earliest probably in the mid-first century B.C.

The most important treatise in this collection (at least for the history of Platonism) is the Poimandres. This text begins with the appearance of Poimandres (a name suggesting “Shepherd of Men” in Greek), the Divine Intellect, who reveals to the unknown author of the text a vision displaying the generation of the cosmos. The cosmos is described as beginning with a darkness coiling downward from the light (the intellectual realm) like a snake. It is at first indiscernible and disturbing, but then divine reason descends upon it and imposes order, and the earth comes into being. This account is dependent on both Plato’s Timaeus and the book of Genesis (especially as these two works were interpreted by Philo, whom our author likely read). The image of the descending darkness implies an evil or irrational principle, or World-Soul, as in Numenius, that must be brought under control by reason. Other affinities with Numenius, as well as Albinus, include the direct generation of souls by the Demiurge, and the descent and ascent of souls through the planetary spheres. One important difference is that both Numenius and Albinus considered the highest attainment of the soul as “likeness to god.” The Poimandres, however, declares that the souls who make the ascent to the divine realm actually become gods themselves, an idea that was to become central in the Eastern Orthodox Christian tradition, with its concept of deification or theôsis. It is highly likely that Numenius was acquainted with, if not the Poimandres itself, another text or texts similar in content. He was also most certainly familiar with Gnosticism, to a discussion of which we now turn.

b. Gnosticism

The writings called “gnostic” vary in content, style, date, and region of origin, to such a degree that certain modern scholars have called for a moratorium on the term (cf. M.A. Williams 1996). Yet there are certain basic elements common to most so-called Gnostic systems, as opposed to stray texts the provenance of which is unknown or dubious. The most important of these systems is that of Basilides and Valentinus, two early Christian theologians who are influenced heavily by Middle Platonic thought. (For a more in-depth discussion, see Gnosticism.)

The system of Basilides (fl. ca. 132-135 A.D.) begins with the engendering of Intellect (Nous) by the First (unengendered) Parent. From this Intellect, Logos is generated, and Logos in turn generates Prudence (phronêsis) who then generates Wisdom (Sophia) and Power (dunamis). This is a mythological elaboration of the standard Middle Platonic emanation schemas that we have encountered in Eudorus and later philosophers, like Numenius, who have posited a supreme principle above Intellect. Basilides apparently attempted to “flesh out” the standard triadic schemas of the more mainstream Middle Platonists by adding certain anthropomorphic attributes like “prudence” to the mix. Basilides was among the first Christian thinkers besides John the Evangelist to explicitly identify Jesus as the earthly manifestation of the Divine Intellect. He also dabbled in astrology, revising practices current in his time to suit his own peculiar cosmology. Using numerology, he identified the ruler of the celestial realm as “Abrasax” or “Abraxas,” a name used in the practice of ritual magic, the numerical value of which is (according to Greek numerology) 365, corresponding to the number of “heavens” believed by Gnostics and other to exist above the familiar spheres of the seven planets.

Valentinus (ca. 100-175 A.D.) begins his system, in Pythagorean fashion, not with a unity but a primal duality, the members of which he calls the Ineffable and Silence. The primal duality produces a second duality called the Parent and Truth, from which spring a quartet consisting of Logos, Life, Primal Man, and the Church. As a Christian, Valentinus held a rather peculiar notion of the nature and role of Christ in the cosmos, considering Him to have been engendered along with a “shadow” (matter) that it was His responsibility to control. Here again we see an elaboration on a particular aspect of Middle Platonism, namely the manner in which unwieldy matter is brought under control by a rationalizing force. Valentinus was apparently the first Christian theologian to refer to the Trinity in terms of persons, and he affirmed the eternity and immortality of souls, implying a notion of pre-existence of souls such as we find later in Origen.

Gnosticism had an immense influence not only on the development of Christianity but on emerging Neoplatonism as well. Plotinus, for example, was forced to respond to the increasingly vocal, it seems, Gnostics attending his lectures. Later, Iamblichus posited a One even higher than the Plotinian One, in a manner similar to Gnostics like Basilides and Valentinus who, as we have seen, separated their highest principles from all others by positing an unengendered parent, and a primal duality productive of a second duality, respectively.

c. The Chaldaean Oracles

The writings known as the Chaldaean Oracles were very likely composed by a certain Julian the Theurgist, who served in the Roman army during Marcus Aurelius’ campaign against the Quadi, and claimed to have saved the Roman camp from fiery destruction by causing a rainstorm (Dillon, pp. 392-393). The circumstances surrounding the writing of the Oracles is mysterious, the most likely explanation being that Julian uttered them after inducing a sort of trance akin to that of the classical oracles of Greece (E.R. Dodds 1973, p. 284). There is much Platonic content in the Oracles, resembling very closely the philosophy of Numenius, which is why they are of interest in this survey of Middle Platonism.

The metaphysical schema of the Chaldaean Oracles begins with an absolutely transcendent deity called Father, with whom resides Power, a productive principle, it seems, whence proceeds Intellect. This Intellect has a two-fold function, to contemplate the Forms of the purely intellectual realm of the Father, and to craft and govern the material realm. In this latter capacity the Intellect is Demiurge. The Oracles further posits a barrier between the intellectual and the material realm, personified as Hecate. In the capacity of barrier, or more properly “membrane” (hupezôkôs humên), Hecate separates the two “fires,” that is, the purely intellectual fire of the Father, and the material fire from which the cosmos is created, and mediates all divine influence upon the lower realm. From Hecate is derived the World-Soul, which in turn emanates Nature, the governor of the sub-lunar realm (Dillon, p. 394-395). From Nature is derived Fate, which is capable of enslaving the lower part of the human soul. The goal of existence then is to purify the lower soul of all contact with Nature and Fate, by living a life of austerity and contemplation. Salvation is achieved by an ascent through the planetary spheres, during which the soul casts off the various aspects of its lower soul, and becomes pure intellect.

8. Conclusion

It is evident, even from a brief survey such as this one, that the thinkers comprising the philosophy generally referred to as Middle Platonism held widely varying and sometimes even divergent ideas, not only on relatively minor points like the role of physical pleasure in happiness, but on major points like the eternity of the world or the number of first principles. A student encountering Middle Platonism for the first time, armed only with a knowledge of Plato’s Dialogues, will likely wonder why we even call some of these thinkers Platonists at all. That is understandable. However, it must be remembered that Plato did not bequeath a set of doctrines on his students and successors; his legacy is rather a series of problems that have exercised the minds of philosophers for over two millennia. Platonism, therefore, should not be thought of a simple elucidation of Plato’s doctrines, but rather as a creative engagement with Plato’s texts and with certain doctrines handed down by the Academy as belonging to Plato. Middle Platonism ends with Origen of Alexandria and his younger contemporary Plotinus, both of whom were deeply indebted to many of the philosophers discussed in this article, yet moved in directions uniquely their own. It is with them that Neoplatonism begins.

9. References and Further Reading

a. Primary Sources

  • Albinus, Didaskalikos, ed. P. Louis, in Albinos. Épitomé (Paris: Les Belles Lettres 1945).
  • Antiochus of Ascalon, Fragmenta, in Der Akademiker Antiochus, ed. G. Luck (Bern: Haupt 1953).
  • Arcesilaus, Fragmenta, in Supplementum Hellenisticum, ed. H. Lloyd-Jones, P. Parsons (Berlin: De Gruyter 1983).
  • Archytas (pseudo-), Fragmenta, in The Pythagorean Texts of the Hellenistic Period, ed. H. Thesleff (Abo: Abo Akademi 1965).
  • Cicero, The Nature of the Gods and On Divination, tr. C.D. Yonge (New York: Prometheus Books 1997).
  • The Chaldean Oracles, tr. G.R.S. Mead (Montana: Kessinger Publishing, no date).
  • Numenius, Numénius. Fragments, ed. É. des Places (Paris: Les Belles Lettres 1974).
  • Ocellus Lucanus, De universi natura and Fragmenta, in Neue philologische Untersuchungen, vol. 1, ed. R. Harder (Berlin: Weidmann 1926).
  • Philo of Alexandria, On the Creation of the World (De opificio Mundi), Allegorical Interpretation (Legum allegoria), tr. F.H. Colson, G.H. Whitaker, in Philo, vol. 1, Loeb Classical Library (Cambridge: Harvard University Press 1929).
  • Plato, Plato: Complete Works, ed. J.M. Cooper (Indianapolis: Hackett 1997).
  • Plutarch, De Iside et Osiride, in Plutarchi moralia, vol. 2.3, ed. W. Sieveking (Leipzing: Teubner 1935).
  • Posidonius, Posidonius. Die Fragmente, vol. 1, ed. W. Theiler (Berlin: De Gruyter 1982).
  • Speusippus, Fragmenta, in Speusippus of Athens, ed. L. Tarán (Philosophia Antiqua 39; Leiden: Brill 1981).
  • Timaeus Locrus, Fragmenta et titulus, in The Pythagorean Texts of the Hellenistic Period, ed. H. Thesleff (Abo: Abo Akademi 1965).
  • Xenocrates, Testimonia, doctrina et fragmenta, in Senocrate-Ermodoro. Frammenti, ed. M.I. Parente (Naples: Bibliopolis 1982).

b. Secondary Sources

  • Billings, T.H., The Platonism of Philo Judaeus (Chicago: University of Chicago Press 1919).
  • Brehier, E., The History of Philosophy, vol. 2: The Hellenistic and Roman Age, tr. W. Baskin (Chicago: University of Chicago Press 1958).
  • Copenhaver, B.P., tr., Hermetica (New York: Cambridge University Press 1992).
  • Copleston, F., A History of Philosophy, vol. 1, part 2: Greece and Rome (New York: Image Books 1962).
  • Dillon, J.M., The Middle Platonists (Ithaca: Cornell University Press 1977).
  • Dillon, J.M., Long, A.A., ed., The Question of “Eclecticism”: Studies in Later Greek Philosophy (Los Angeles: University of California Press 1988).
  • Dodds, E.R., The Greeks and the Irrational (Los Angeles: University of California Press 1973).
  • Festugiere, A-J, Personal Religion Among the Greeks (Los Angeles: University of California Press 1954).
  • Fowden, G., The Egyptian Hermes: A Historical Approach to the Late Pagan Mind (New York: Cambridge University Press 1986).
  • Guthrie, K.S., The Pythagorean Sourcebook and Library (Grand Rapids: Phanes Press 1988).
  • Henry, P., “The Place of Plotinus in the History of Thought” in Plotinus, The Enneads, tr. S. MacKenna (New York: Penguin Books 1991).
  • Jonas, H., The Gnostic Religion, third edition (Boston: Beacon Press 2001).
  • Layton, B., The Gnostic Scriptures (New York: Doubleday 1987).
  • Lovejoy, A.O., The Great Chain of Being (New York: Harper and Row 1965).
  • Tripolitis, A., The Doctrine of the Soul in the Thought of Plotinus and Origen (New York: Libra 1978).
  • Williams, M.A., Rethinking “Gnosticism”: An Argument for Dismantling a Dubious Category (Princeton: Princeton University Press 1996).
  • Witt, R.E., Albinus and the History of Middle Platonism (Cambridge: Cambridge University Press 1937).
  • Zeller, E., Outlines of the History of Greek Philosophy, tr. L.R. Palmer (New York: Meridian Books 1955).

Author Information

Edward Moore
Email: emoore@theandros.com
St. Elias School of Orthodox Theology
U. S. A.

Mencius (c. 372—289 B.C.E.)

menciusBetter known in China as “Master Meng” (Chinese: Mengzi), Mencius was a fourth-century BCE Chinese thinker whose importance in the Confucian tradition is second only to that of Confucius himself. In many ways, he played the role of St. Paul to Confucius’ Jesus, interpreting the thought of the master for subsequent ages while simultaneously impressing Confucius’ ideas with his own philosophical stamp. He is most famous for his theory of human nature, according to which all human beings share an innate goodness that either can be cultivated through education and self-discipline or squandered through neglect and negative influences, but never lost altogether. While it is not clear that Mencius’ views prevailed in early Chinese philosophical circles, they eventually won out after gaining the support of influential medieval commentators and thinkers such as Zhu Xi (Chu Hsi, 1130-1200 CE) and Wang Yangming (1472-1529 CE). (See Romanization systems for Chinese terms.) Today contemporary philosophical interest in evolutionary psychology and sociobiology has inspired fresh appraisals of Mencius, while recent philological studies question the coherence and authenticity of the text that bears his name. Mencius remains a perennially attractive figure for those intrigued by moral psychology, of which he was the foremost practitioner in early China.

Table of Contents

  1. The Mencius of History
  2. The Mencius of the Text
  3. Theodicy
  4. Government
  5. Human Nature
  6. Teleology
  7. Virtue Theory
  8. Moral Psychology
  9. Key Interpreters of Mencius
  10. References and Further Reading

1. The Mencius of History

Like the historical Confucius, the historical Mencius is available only through a text that, in its complete form at least, postdates his traditional lifetime (372-289 BCE). The philological controversy surrounding the date and composition of the text that bears his name is far less intense than that which surrounds the Confucian Analects, however. Most scholars agree that the entire Mencius was assembled by Mencius himself and his immediate disciples, perhaps shortly after his death. The text records several encounters with various rulers during Mencius’ old age, which can be dated between 323 and 314 BCE, making Mencius an active figure no later than the late fourth century BCE.

The other major source of information about Mencius’ life is the biography found in the Shiji (Records of the Grand Historian) of Sima Qian (c. 145-90 BCE), which states that he was a native of Zou (Tsou), a small state near Confucius’ home state of Lu in the Shandong peninsula of northeastern China. He is said to have studied with Confucius’ grandson, Zisi (Tzu-ssu), although most modern scholars doubt this. He also is thought to have become a minister of the state of Qi (Ch’i), which also was famous as the home of the Jixia (Chi-hsia) Academy. The Jixia Academy was a kind of early Chinese “think tank” sponsored the ruler of Qi that produced, among other thinkers, Mencius’ later opponent Xunzi (Hsun-tzu, 310-220 BCE).

Mencius was born in a period of Chinese history known as the Warring States (403-221 BCE), during which various states competed violently against one another for mastery of all of China, which once was unified under the Zhou dynasty until its collapse, for all intents and purposes, in 771 BCE. It was a brutal and turbulent era, which nonetheless gave rise to many brilliant philosophical movements, including the Confucian tradition of which Mencius was a foremost representative. The common intellectual and political problem that Warring States thinkers hoped to solve was the problem of China’s unification. While no early Chinese thinker questioned the need for autocratic rule as an instrument of unification, philosophers differed on whether and how the ruler ought to consider moral limitations on power, traditional religious ceremonies and obligations, and the welfare of his subjects.

Into the philosophical gap created by a lack of political unity and increasing social mobility stepped members of the shi (“retainer” or “knight”) class, from which both Confucius and Mencius arose. As feudal lords were defeated and disenfranchised in battle and the kings of the various warring states began to rely on appointed administrators rather than vassals to govern their territories, these shi became lordless anachronisms and fell into genteel poverty and itinerancy. Their knowledge of aristocratic traditions, however, helped them remain valuable to competing kings, who wished to learn how to regain the unity imposed by the Zhou and who sought to emulate the Zhou by patterning court rituals and other institutions after those of the fallen dynasty.

Thus, a new role for shi as itinerant antiquarians emerged. In such roles, shi found themselves in and out of office as the fortunes of various patron states ebbed and flowed. Mencius’ office in the state of Qi probably was no more than an honorary title. While out of office, veteran shi might gather small circles of disciples – young men from shi backgrounds who wished to succeed in public life – and seek audiences with rulers who might give them an opportunity to put their ideas into practice. The text of the Mencius claims to record Mencius’ teachings to his disciples as well as his dialogues with the philosophers and rulers of his day.

2. The Mencius of the Text

Mencius inherits from Confucius a set of terms and a series of problems. In general, one can say that where Confucius saw a unity of inner and outer – in terms of li (ritual propriety), ren (co-humanity), and the junzi (profound person)-xiaoren (small person) distinction – Mencius tends to privilege the inner aspects of concepts, practices, and identities. For Mencius, the locus of philosophical activity and self-cultivation is the xin (hsin), a term that denotes both the chief organ of the circulatory system and the organ of thought, and hence is translated here and in many other sources as “heart-mind.” Mencius’ views of the divine, political organization, human nature, and the path toward personal development all start and end in the heart-mind.

Mencius’ philosophical concerns, while scattered across the seven books of the text that bears his name, demonstrate a high degree of consistency unusual in early Chinese philosophical writing. They can be categorized into four groups:

  • Theodicy
  • Government
  • Human Nature
  • Self-Cultivation

3. Theodicy

Again, as with Confucius, so too with Mencius. From late Zhou tradition, Mencius inherited a great many religious sensibilities, including theistic ones. For the early Chinese (c. 16th century BCE), the world was controlled by an all-powerful deity, “The Lord on High” (Shangdi), to whom entreaties were made in the first known Chinese texts, inscriptions found on animal bones offered in divinatory sacrifice. As the Zhou polity emerged and triumphed over the previous Shang tribal rule, Zhou apologists began to regard their deity, Tian (“Sky” or “Heaven”) as synonymous with Shangdi, the deity of the deposed Shang kings, and explained the decline of Shang and the rise of Zhou as a consequence of a change in Tianming (“the mandate of Heaven”). Thus, theistic justifications for conquest and rulership were present very early in Chinese history.

By the time of Mencius, the concept of Tian appears to have changed slightly, taking on aspects of “fate” and “nature” as well as “deity.” For Confucius, Tian provided personal support and sanction for his sense of historical mission, while at the same time prompting Job-like anxiety during moments of ill fortune in which Tian seemed to have abandoned him. Mencius’ faith in Tian as the ultimate source of legitimate moral and political authority is unshakeable. Like Confucius, he says that “Tian does not speak – it simply reveals through deeds and affairs” (5A5). He ascribes the virtues of ren (co-humanity), yi (rightness), li (ritual propriety), zhi (wisdom), and sheng (sagehood) to Tian (7B24) and explicitly compares the rule of the moral king to the rule of Tian (5A4).

Mencius thus shares with Confucius three assumptions about Tian as an extrahuman, absolute power in the universe: (1) its alignment with moral goodness, (2) its dependence on human agents to actualize its will, and (3) the variable, unpredictable nature of its associations with mortal actors. To the extent that Mencius is concerned with justifying the ways of Tian to humanity, he tends to do so without questioning these three assumptions about the nature of Tian, which are rooted deep in the Chinese past, as his views on government, human nature, and self-cultivation will show.

4. Government

The dependence of Tian upon human agents to put its will into practice helps account for the emphasis Mencius places on the satisfaction of the people as an indicator of the ruler’s moral right to power, and on the responsibility of morally-minded ministers to depose an unworthy ruler. In a dialogue with King Xuan of Qi (r. 319-301 BCE), Mencius says:

The people are to be valued most, the altars of the grain and the land [traditional symbols of the vitality of the state] next, the ruler least. Hence winning the favor of the common people you become Emperor…. (7B14)

When the ruler makes a serious mistake they admonish. If after repeated admonishments he still will not listen, they depose him…. Do not think it strange, Your Majesty. Your Majesty asked his servant a question, and his servant dares not fail to answer it directly. (5B9)

Mencius’ replies to King Xuan are bracingly direct, in fact, but he can be coy. When the king asks whether it is true that various sage kings (Tang and Wu) rebelled against and murdered their predecessors (Jie and Zhou), Mencius answers that it is true. The king then asks:

“Is it permissible for a vassal to murder his lord?”

Mencius replied, “One who robs co-humanity [ren] you call a `robber’; one who robs the right [yi] you call a `wrecker’; and one who robs and wrecks you call an `outlaw.’ I have heard that [Wu] punished the outlaw Zhou – I have not heard that he murdered his lord. (1B8)

In other words, Wu was morally justified in executing Zhou, because Zhou had proven himself to be unworthy of the throne through his offenses against ren and yi – the very qualities associated with the Confucian exemplar (junzi) and his actions. This is an example of Mencius engaging in the “rectification of names” (zhengming), an exercise that Confucius considered to be prior to all other philosophical activity (Analects 13.3).

While Mencius endorses a “right of revolution,” he is no democrat. His ideal ruler is the sage-king, such as the legendary Shun, on whose reign both divine sanction and popular approval conferred legitimacy:

When he was put in charge of sacrifices, the hundred gods delighted in them which is Heaven accepting him. When he was put in charge of affairs, the affairs were in order and the people satisfied with him, which is the people accepting him. Heaven gave it [the state] to him; human beings gave it to him. (5A5)

Mencius proposes various economic plans to his monarchical audiences, but while he insists on particular strategies (such as dividing the land into five-acre settlements planted with mulberry trees), he rejects the notion that one should commit to an action primarily on the grounds that it will benefit one, the state, or anything else. What matters about actions is whether they are moral or not; the question of their benefit or cost is beside the point. Here, Mencius reveals his antipathy for – and competition with – philosophers who followed Mozi, a fifth-century BCE contemporary of Confucius who propounded a utilitarian theory of value based on li (benefit):

Why must Your Majesty say “benefit” [li]? I have only the co-humane [ren] and the right [yi]. (1A1)

In the end, Mencius is committed to a type of benevolent dictatorship, which puts moral value before pragmatic value and in this way seeks to benefit both ruler and subjects. The sage-kings of antiquity are a model, but one cannot simply adopt their customs and institutions and expect to govern effectively (4A1). Instead, one must emulate the sage-kings both in terms of outer structures (good laws, wise policies, correct rituals) and in terms of inner motivations (placing ren and yi first). Like Confucius, Mencius places an enormous amount of confidence in the capacity of the ordinary person to respond to an extraordinary ruler, so as to put the world in order. The question is, how does Mencius account for this optimism in light of human nature?

5. Human Nature

Mencius is famous for claiming that human nature (renxing) is good. As with most reductions of philosophical positions to bumper-sticker slogans, this statement oversimplifies Mencius’ position. In the text, Mencius takes a more careful route in order to arrive at this view. Following A. C. Graham, one can see his argument as having three elements: (1) a teleology, (2) a virtue theory, and (3) a moral psychology.

6. Teleology

Mencius’ basic assertion is that “everyone has a heart-mind which feels for others.” (2A6) As evidence, he makes two appeals: to experience, and to reason. Appealing to experience, he says:

Supposing people see a child fall into a well – they all have a heart-mind that is shocked and sympathetic. It is not for the sake of being on good terms with the child’s parents, and it is not for the sake of winning praise for neighbors and friends, nor is it because they dislike the child’s noisy cry. (2A6)

It is important to point out here that Mencius says nothing about acting on this automatic affective-cognitive response to suffering that he ascribes to the bystanders at the well tragedy. It is merely the feeling that counts. Going further and appealing to reason, Mencius argues:

Judging by this, without a heart-mind that sympathizes one is not human; without a heart-mind aware of shame, one is not human; without a heart-mind that defers to others, one is not human; and without a heart-mind that approves and condemns, one is not human. (2A6)

Thus, Mencius makes an assertion about human beings – all have a heart-mind that feels for others – and qualifies his assertion with appeals to common experience and logical argument. This does little to distinguish him from other early Chinese thinkers, who also noticed that human beings were capable of altruism as well as selfishness. What remains is for him to explain why other thinkers are incorrect when they ascribe positive evil to human nature – that human beings are such that they actively seek to do wrong.

7. Virtue Theory

Mencius goes further and identifies the four basic qualities of the heart-mind (sympathy, shame, deference, judgment) not only as distinguishing characteristics of human beings – what makes the human being qua human being really human – but also as the “sprouts” (duan) of the four cardinal virtues:

A heart-mind that sympathizes is the sprout of co-humanity [ren]; a heart-mind that is aware of shame is the sprout of rightness [yi]; a heart-mind that defers to others is the sprout of ritual propriety [li]; a heart-mind that approves and condemns is the sprout of wisdom [zhi]…. If anyone having the four sprouts within himself knows how to develop them to the full, it is like fire catching alight, or a spring as it first bursts through. If able to develop them, he is able to protect the entire world; if unable, he is unable to serve even his parents. (2A6)

Now the complexity of Mencius’ seemingly simplistic position becomes clearer. What makes us human is our feelings of commiseration for others’ suffering; what makes us virtuous – or, in Confucian parlance, junzi – is our development of this inner potential. To paraphrase Irene Bloom on this point, there is no sharp conflict between “nature” and “nurture” in Mencius; biology and culture are co-dependent upon one another in the development of the virtues. If our sprouts are left untended, we can be no more than merely human – feeling sorrow at the suffering of another, but unable or unwilling to do anything about it. If we tend our sprouts assiduously — through education in the classical texts, formation by ritual propriety, fulfillment of social norms, etc. – we can not only avert the suffering of a few children in some wells, but also bring about peace and justice in the entire world. This is the basis of Mencius’ appeal to King Hui of Liang (r. 370-319 BCE):

[The king] asked abruptly, “How shall the world be settled?”

“It will be settled by unification,” I [Mencius] answered.

“Who will be able to unify it?”

“Someone without a taste for killing will be able to unify it…. Has Your Majesty noticed rice shoots? If there is drought during the seventh and eighth months, the shoots wither, but if dense clouds gather in the sky and a torrent of rain falls, the shoots suddenly revive. When that happens, who could stop it? … Should there be one without a taste for killing, the people will crane their necks looking out for him. If that does happen, the people will go over to him as water tends downwards, in a torrent – who could stop it? (1A6)

Mencius devotes some energy to arguing that “rightness” (yi) is internal, rather than external, to human beings. He does so using examples taken from that quintessentially Confucian arena of human relations, filial piety (xiao). Comparing the rightness that manifests itself in filial piety to such visceral activities as eating, drinking, and sexual intercourse, Mencius points out that, just as one’s attraction or repulsion regarding these activities is determined by one’s internal orientation (hunger, thirst, lust), one’s filial behavior is determined by one’s inner attitudes, as the following imaginary dialogue with one of his opponents shows:

[Ask the opponent] “Which do you respect, your uncle or your younger brother?” He will say, “My uncle.” “When your younger brother is impersonating an ancestor at a sacrifice, then which do you respect?” He will say, “My younger brother.” You ask him, “What has happened to your respect for your uncle?” He will say, “It is because of the position my younger brother occupies.” (6A5)

In other words, the rightness that one manifests in filial piety is not dependent on fixed, external categories, such as the status of one’s younger brother qua younger brother or one’s uncle qua one’s uncle. If it were, one always would show respect to one’s uncle and never to one’s younger brother or anyone else junior to oneself. But as it happens, shifts in external circumstances can effect changes in status; one’s younger brother can temporarily assume the status of a very senior ancestor in the proper ritual context, thus earning the respect ordinarily given to seniors and never shown to juniors. For Mencius, this demonstrates that the internal orientation of the agent (e.g., rightness) determines the moral value of given behaviors (e.g., filial piety).

Having made a teleological argument from the inborn potential of human beings to the presumption of virtues that can be developed, Mencius then offers his sketch of moral psychology – the structures within the human person that make such potential identifiable and such development possible.

8. Moral Psychology

The primary function of Mencius’ moral psychology is to explain how moral failure is possible and how it can be avoided. As Antonio S. Cua has noted, for Mencius, moral failure is the failure to develop one’s xin (heart-mind). In order to account for the moral mechanics of the xin, Mencius offers a quasi-physiological theory involving qi (vital energy) – “a hard thing to speak about” (2A2), part vapor, part fluid, found in the atmosphere and in the human body, that regulates affective-cognitive processes as well as one’s general well-being. It is especially abundant outdoors at night and in the early morning, which is why taking fresh air at these times can act as a physical and spiritual tonic (6A8). When Mencius is asked about his personal strengths, he says:

I know how to speak, and I am good at nourishing my flood-like qi. (2A2)

It is interesting to note the apparent link between powers of suasion – essential for any itinerant Warring States shi, whether official or teacher – and “flood-like qi.” The goal of Mencian self-cultivation is to bring one’s qi, xin, and yan (words) together in a seamless blend of rightness (yi) and ritual propriety (li). Mencius goes on to describe what he means by “flood-like qi“:

It is the sort of qi that is utmost in vastness, utmost in firmness. If, by uprightness, you nourish it and do not interfere with it, it fills the space between Heaven and Earth. It is the sort of qi that matches the right [yi] with the Way [Dao]; without these, it starves. It is generated by the accumulation of right [yi] – one cannot attain it by sporadic righteousness. If anything one does fails to meet the standards of one’s heart-mind, it starves. (2A2)

It is here that Mencius is at his most mystical, and recent scholarship has suggested that he and his disciples may have practiced a form of meditative discipline akin to yoga. Certainly, similar-sounding spiritual exercises are described in other early Chinese texts, such as the Neiye (“Inner Training”) chapter of the Guanzi (Kuan-tzu, c. 4th-2nd centuries BCE). It also is at this point that Mencius seems to depart most radically from what is known about the historical Confucius’ teachings. While faint glimpses of what may be ascetic and meditative disciplines sometimes appear in the Analects, nowhere in the text are there detailed discussions of nurturing one’s qi such as can be found in Mencius 2A2.

In spite of the mystical tone of this passage, however, all that the text really says is that qi can be nurtured through regular acts of “rightness” (yi). It goes on to say that qi flows from one’s xin (2A2), that one’s xin must undergo great discipline in order to produce “flood-like qi” (6B15), and that a well-developed xin will manifest itself in radiance that shines from one’s qi into one’s face and general appearance (7A21). In short, here is where Mencius’ case for human nature seems to leave philosophy and reasoned argumentation behind and step into the world of ineffability and religious experience. There is no reason, of course, why Mencius shouldn’t take this step; as Alan K. L. Chan has pointed out, ethics and spirituality are not mutually exclusive, either in the Mencius or elsewhere.

To sum up, both biology and culture are important for Mencian self-cultivation, and so is Tian. “By fully developing one’s heart-mind, one knows one’s nature, and by knowing one’s nature, one knows Heaven.” (7A1) One cannot help but begin with “a heart-mind that feels for others,” but the journey toward full humanity is hardly complete without having taken any steps beyond one’s birth. Guided by the examples of ancient sages and the ritual forms and texts they have left behind, one starts to develop one’s heart-mind further by nurturing its qi through habitually doing what is right, cultivating its “sprouts” into virtues, and bringing oneself up and out from the merely human to that which Tian intends for one, which is to become a sage. Nature is crucial, but so is nurture. Mencius’ model of moral psychology is both a “discovery” model (human nature is good) and a “development” model (human nature can be made even better):

A person’s surroundings transform his qi just as the food he eats changes his body. (7A36)

9. Key Interpreters of Mencius

Detailed discussion of Mencius’ key interpreters is best reserved for an article on Confucian philosophy. Nonetheless, an outline of the most important commentators and their philosophical trajectories is worth including here.

The two best known early interpreters of Mencius’ thought – besides the compilers of the Mencius themselves – are the Warring States philosophers Gaozi (Kao-tzu, 300s BCE) and Xunzi (Hsun-tzu, 310-220 BCE). Gaozi, who is known only from the Mencius, evidently knew Mencius personally, but Xunzi knew him only retrospectively. Both disagreed with Mencius’ views on human nature.

Gaozi’s dialogue with Mencius on human nature can be found in book six of the Mencius, in which both Mencius’ disciples and Gaozi himself question him on his points of disagreement with Gaozi. Gaozi – whom later Confucians identified, probably anachronistically, as a Daoist — offers multiple hypotheses about human nature, each of which Mencius refutes in Socratic fashion. Gaozi first argues that human nature is neither bad nor good, and presents two organic metaphors for its moral neutrality: wood (which can be carved into any object) and water (which can be made to flow east or west).

Challenging the carved wood metaphor, Mencius points out that in carving wood into a cup or bowl, one violates the wood’s nature, which is to become a tree. Does one then violate a human being’s nature by training him to be good? No, he says, it is possible to violate a human being’s nature by making him bad, but his nature is to become good. As for the water metaphor, Mencius rejects it by remarking that human nature flows to the good, just as water’s nature flows down. It is possible to make people bad, just as it is possible to make water flow up – but neither is a natural process or end. “Although man can be made to become bad, his nature remains as it was.” (6A2)

Like Mencius, Xunzi claims to interpret Confucius’ thought authentically, but leavens it with his own contributions. While neither Gaozi nor Mencius is willing to entertain the notion that human beings might originally be evil, this is the cornerstone of Xunzi’s position on human nature. Against Mencius, Xunzi defines human nature as what is inborn and unlearned, and then asks why education and ritual are necessary for Mencius if people really are good by nature. Whereas Mencius claims that human beings are originally good but argues for the necessity of self-cultivation, Xunzi claims that human beings are originally bad but argues that they can be reformed, even perfected, through self-cultivation. Also like Mencius, Xunzi sees li as the key to the cultivation of renxing.

Although Xunzi condemns Mencius’ arguments in no uncertain terms, when one has risen above the smoke and din of the fray, one may see that the two thinkers share many assumptions, including one that links each to Confucius: the assumption that human beings can be transformed by participation in traditional aesthetic, moral, and social disciplines. (Gaozi’s metaphor of carved wood, incidentally, is one of Xunzi’s favorites.) Through an accident of history, Mencius had no occasion to meet Xunzi and thus no opportunity to refute his arguments, but if he had, he might have replied that Xunzi cannot truly believe in the original depravity of human beings, or else he could not place such great faith in the morally-transformative power of culture.

Later interpreters of Mencius’ thought between the Tang and Ming dynasties are often grouped together under the label of “Neo-Confucianism.” This term has no cognate in classical Chinese, but is useful insofar as it unites several thinkers from disparate eras who share common themes and concerns. Thinkers such as Zhang Zai (Chang Tsai, 1020-1077 CE), Zhu Xi (Chu Hsi, 1130-1200 CE) and Wang Yangming (1472-1529 CE), while distinct from one another, agree on the primacy of Confucius as the fountainhead of the Confucian tradition, share Mencius’ understanding of human beings as innately good, and revere the Mencius as one of the “Four Books” — authoritative textual sources for standards of ritual, moral, and social propriety. Zhang Zai’s interest in qi as the unifier of all things surely must have been stimulated by Mencius’ theories, while Wang Yangming’s search for li (cosmic order or principle) in the heart-mind evokes Mencius 6A7: “What do all heart-minds have in common? Li [cosmic order] and yi [rightness].” Both thinkers also display a bent toward the cosmological and metaphysical which disposes them toward the mysticism of Mencius 2A2, and betrays the influence of Buddhism (of which Mencius knew nothing) and Daoism (of which Mencius indicates little knowledge) on their thought.

During the Qing (Ch’ing) dynasty (1644-1911 CE), late Confucian thinkers such as Dai Zhen (Tai Chen, 1724-1777 CE) developed critiques of Xunzi that aimed at the vindication of Mencius’ position on human nature. Kwong-loi Shun has pointed out that Dai Zhen’s defense of Mencius actually owes more to Xunzi than to Mencius, particularly in regard to how Dai Zhen sees one’s heart-mind as learning to appreciate li (cosmic order) and yi (rightness), rather than naturally taking pleasure in such things, as Mencius would have it. Although Dai Zhen shares Mencius’ view of the centrality of the heart-mind in moral development, in the end, he does not ascribe to the heart-mind the same kind of ethical directionality that Mencius finds there.

More recently, the philosophers Roger Ames and Donald Munro have developed postmodern readings of Mencius that involve contemporary developments such as process thought and evolutionary psychology. Although their philosophical points of departure differ, both Ames and Munro share a distaste for the prominence of Tian in Mencius’ thought, and each seeks in his own way to separate the “essence” of Mencian thought from the “dross.” For Ames, the “essence” – although, as a postmodern thinker, he rejects any notion of “essentialism” – is Mencius’ “process” model of human nature and the cosmos, while the “dross” is Mencius’ understanding of Tian as transcendent, which (in Ames’ reading) undermines human agency. For Munro, the “essence” is Mencius’ grounding ethics in inborn nature, while the “dross” is Mencius’ appeals to Tian as the author of that inborn nature. Their work is an attempt to make Mencius not only intelligible, but also valuable, to contemporary Westerners. At the same time, critics have noted that much of the authentic Mencius may be discarded on the cutting room floor in this process of reclaiming him for contemporary minds. One thinks of David Nivison’s warning to philosophers, past and present, not to indulge in “wishful thinking” and excise or explain away what one does not wish to see in the Mencius.

This cursory review of some important interpreters of Mencius’ thought illustrates a principle that ought to be followed by all who seek to understanding Mencius’ philosophical views: suspicion of the sources. Almost all of our sources for reconstructing Mencius’ views postdate him or come from a hand other than his own, and thus all should be used with caution and with an eye toward possible influences from outside of fourth century BCE China.

10. References and Further Reading

  • Allan, Sarah. The Way of Water and Sprouts of Virtue. Albany: State University of New York Press, 1997.
  • Ames, Roger T. “Mencius and a Process Notion of Human Nature,” in Mencius: Contexts and Interpretations, ed. Alan K. L. Chan (Honolulu: University of Hawai’i Press, 2002), 72-90.
  • Ames, Roger T. “The Mencian Conception of ren xing: Does It Mean `Human Nature’?” in Chinese Texts and Philosophical Contexts: Essays Dedicated to Angus C. Graham, ed. Henry Rosemont, Jr. (La Salle, IL: Open Court, 1991), 143-175.
  • Berthrong, John. “Trends in the Interpretation of Confucian Religiosity,” in The Confucian-Christian Encounter in Historical and Contemporary Perspective, ed. Peter K. H. Lee (Lewiston, ME: Edwin Mellen Press, 1991), 226-254.
  • Bloom, Irene. “Biology and Culture in the Mencian View of Human Nature,” in Mencius: Contexts and Interpretations, ed. Alan K. L. Chan (Honolulu: University of Hawai’i Press, 2002), 91-102.
  • Bloom, Irene. “Mencian Arguments on Human Nature (jen-hsing).” Philosophy East and West 44/1 (1994): 19-53.
  • Boodberg, Peter A. “The Semasiology of Some Primary Confucian Concepts,” in Selected Works of Peter A. Boodberg, ed. Alvin P. Cohen (Berkeley: University of California Press, 1979), 26-40.
  • Bosley, Richard. “Do Mencius and Hume Make the Same Ethical Mistake?” Philosophy East and West 38/1 (1988): 3-18.
  • Brooks, Bruce, and E. Taeko Brooks. “The Nature and Historical Context of the Mencius,” in Mencius: Contexts and Interpretations, ed. Alan K. L. Chan (Honolulu: University of Hawai’i Press, 2002), 242-281.
  • Chan, Wing-tsit, ed. A Sourcebook in Chinese Philosophy. Princeton: Princeton University Press, 1963.
  • Cua, Antonio S. “Xin and Moral Failure: Notes on an Aspect of Mencius’ Moral Psychology,” in Mencius: Contexts and Interpretations, ed. Alan K. L. Chan (Honolulu: University of Hawai’i Press, 2002), 126-150.
  • Dobson, W. A. C. H., trans. Mencius. Toronto and Buffalo: University of Toronto Press, 1963.
  • Eno, Robert. The Confucian Creation of Heaven. Albany: State University of New York Press, 1990.
  • Graham, A. C. Disputers of the Tao: Philosophical Argument in Ancient China. La Salle, IL: Open Court, 1989.
  • Ivanhoe, Philip J. Ethics in the Confucian Tradition: The Thought of Mencius and Wang Yang-ming. Atlanta: Scholars Press, 1990.
  • Lau, D. C. “Meng tzu (Mencius),” 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), 331-335.
  • Lau, D. C. trans. Mencius. 2 vols. Hong Kong: Chinese University Press, 1984.
  • Lau, D. C. “On Mencius’ Use of the Method of Analogy in Argument.” In Lau, trans., Mencius (London: Penguin Books, 1970), 235-263.
  • Legge, James, trans. The Works of Mencius. New York: Dover Publications, 1970.
  • Munro, Donald J. “Mencius and an Ethics of the New Century,” in Mencius: Contexts and Interpretations, ed. Alan K. L. Chan (Honolulu: University of Hawai’i Press, 2002), 305-316.
  • Munro, Donald J. The Concept of Man In Early China. Stanford, CA: Stanford University Press, 1969.
  • Nivison, David S. “The Classical Philosophical Writings,” in The Cambridge History of Ancient China: From the Origins of Civilization to 221 B.C., ed. Michael Loewe and Edward L. Shaughnessy (Cambridge: Cambridge University Press, 1999), 745-812.
  • Nivison, David S. The Ways of Confucianism: Investigations in Chinese Philosophy. Ed. Bryan W. Van Norden. Chicago and La Salle, IL: Open Court, 1996.
  • Schwartz, Benjamin I. The World of Thought in Ancient China. Cambridge, MA: The Belknap Press of Harvard University Press, 1985.
  • Shun, Kwong-loi. “Mencius, Xunzi, and Dai Zhen: A Study of the Mengzi ziyi shuzheng,” in Mencius: Contexts and Interpretations, ed. Alan K. L. Chan (Honolulu: University of Hawai’i Press, 2002), 216-241.
  • Shun, Kwong-loi. Mencius and Early Chinese Thought. Stanford, CA: Stanford University Press, 1997.
  • Taylor, Rodney L. “The Religious Character of the Confucian Tradition.” Philosophy East and West 48/1 (January 1998): 80-107.
  • Yearley, Lee H. Mencius and Aquinas: Theories of Virtue and Conceptions of Courage. Albany: State University of New York Press, 1990.

Author Information

Jeffrey Richey
Email: Jeffrey_Richey@berea.edu
Berea College
U. S. A.

Legal Positivism

Legal positivism is a philosophy of law that emphasizes the conventional nature of law—that it is socially constructed. According to legal positivism, law is synonymous with positive norms, that is, norms made by the legislator or considered as common law or case law. Formal criteria of law’s origin, law enforcement and legal effectiveness are all sufficient for social norms to be considered law.  Legal positivism does not base law on divine commandments, reason, or human rights.  As an historical matter, positivism arose in opposition to classical natural law theory, according to which there are necessary moral constraints on the content of law.

Legal positivism does not imply an ethical justification for the content of the law, nor a decision for or against the obedience to law. Positivists do not judge laws by questions of justice or humanity, but merely by the ways in which the laws have been created. This includes the view that judges make new law in deciding cases not falling clearly under a legal rule. Practicing, deciding or tolerating certain practices of law can each be considered a way of creating law.

Within legal doctrine, legal positivism would be opposed to sociological jurisprudence and hermeneutics of law, which study the concrete prevailing circumstances of statutory interpretation in society.

The word “positivism” was probably first used to draw attention to the idea that law is “positive” or “posited,” as opposed to being “natural” in the sense of being derived from natural law or morality.

Table of Contents

  1. The Pedigree Thesis
  2. The Separability Thesis
    1. Inclusive vs. Exclusive Positivism
  3. The Discretion Thesis
  4. Classic Criticisms of Positivism
    1. Fuller’s Internal Morality of Law
    2. Positivism and Legal Principles
    3. The Semantic Sting
  5. References and Further Reading

1. The Pedigree Thesis

The pedigree thesis asserts that legal validity is a function of certain social facts. Borrowing heavily from Jeremy Bentham, John Austin argues that the principal distinguishing feature of a legal system is the presence of a sovereign who is habitually obeyed by most people in the society, but not in the habit of obeying any determinate human superior (Austin 1995, p. 166). On Austin’s view, a rule R is legally valid (that is, is a law) in a society S if and only if R is commanded by the sovereign in S and is backed up with the threat of a sanction. The severity of the threatened sanction is irrelevant; any general sovereign imperative supported by a threat of even the smallest harm is a law.

Austin’s command theory of law is vulnerable to a number of criticisms. One problem is that there appears to be no identifiable sovereign in democratic societies. In the United States, for example, the ultimate political power seems to belong to the people, who elect lawmakers to represent their interests. Elected lawmakers have the power to coerce behavior but are regarded as servants of the people and not as repositories of sovereign power. The voting population, on the other hand, seems to be the repository of ultimate political authority yet lacks the immediate power to coerce behavior. Thus, in democracies like that of the United States, the ultimate political authority and the power to coerce behavior seem to reside in different entities.

A second problem has to do with Austin’s view that the sovereign lawmaking authority is incapable of legal limitation. On Austin’s view, a sovereign cannot be legally constrained because no person (or body of persons) can coerce herself (or itself). Since constitutional provisions limit the authority of the legislative body to make laws, Austin is forced to argue that what we refer to as constitutional law is really not law at all; rather, it is principally a matter of “positive morality” (Austin 1977, p. 107).

Austin’s view is difficult to reconcile with constitutional law in the United States. Courts regard the procedural and substantive provisions of the constitution as constraints on legal validity. The Supreme Court has held, for example, that “an unconstitutional act is not a law; it confers no rights; it imposes no duties; it is, in legal contemplation, as inoperative as though it had never been passed.” (Norton v. Shelby County, 118 U.S. 425 (1886)). Moreover, these constraints purport to be legal constraints: the Supremacy Clause of Article VI of the Constitution states that “[t]his Constitution … shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby.”

The most influential criticisms of Austin’s version of the pedigree thesis, however, owe to H. L. A. Hart’s seminal work, The Concept of Law. Hart points out that Austin’s theory provides, at best, a partial account of legal validity because it focuses on one kind of rule, namely that which requires citizens “to do or abstain from certain actions, whether they wish to or not” (Hart 1994, p. 81). While every legal system must contain so-called primary rules that regulate citizen behavior, Hart believes a system consisting entirely of the kind of liberty restrictions found in the criminal law is, at best, a rudimentary or primitive legal system.

On Hart’s view, Austin’s emphasis on coercive force leads him to overlook the presence of a second kind of primary rule that confers upon citizens the power to create, modify, and extinguish rights and obligations in other persons. As Hart points out, the rules governing the creation of contracts and wills cannot plausibly be characterized as restrictions on freedom that are backed by the threat of a sanction. These rules empower persons to structure their legal relations within the coercive framework of the law-a feature that Hart correctly regards as one of “law’s greatest contributions to social life.” The operation of power-conferring primary rules, according to Hart, indicates the presence of a more sophisticated system for regulating behavior.

But what ultimately distinguishes societies with full-blown systems of law from those with only rudimentary or primitive forms of law is that the former have, in addition to first-order primary rules, secondary meta-rules that have as their subject matter the primary rules themselves:

[Secondary rules] may all be said to be on a different level from the primary rules, for they are all about such rules; in the sense that while primary rules are concerned with the actions that individuals must or must not do, these secondary rules are all concerned with the primary rules themselves. They specify the way in which the primary rules may be conclusively ascertained, introduced, eliminated, varied, and the fact of their violation conclusively determined (Hart 1994, p. 92).

Hart distinguishes three types of secondary rules that mark the transition from primitive forms of law to full-blown legal systems: (1) the rule of recognition, which “specif[ies] some feature or features possession of which by a suggested rule is taken as a conclusive affirmative indication that it is a rule of the group to be supported by the social pressure it exerts” (Hart 1994, p. 92); (2) the rule of change, which enables a society to add, remove, and modify valid rules; and (3) the rule of adjudication, which provides a mechanism for determining whether a valid rule has been violated. On Hart’s view, then, every society with a full-blown legal system necessarily has a rule of recognition that articulates criteria for legal validity that include provisions for making, changing and adjudicating law. Law is, to use Hart’s famous phrase, “the union of primary and secondary rules” (Hart 1994, p. 107). Austin theory fails, on Hart’s view, because it fails to acknowledge the importance of secondary rules in manufacturing legal validity.

Hart also finds fault with Austin’s view that legal obligation is essentially coercive. According to Hart, there is no difference between the Austinian sovereign who governs by coercing behavior and the gunman who orders someone to hand over her money. In both cases, the subject can plausibly be characterized as being “obliged” to comply with the commands, but not as being “duty-bound” or “obligated” to do so (Hart 1994, p. 80). On Hart’s view, the application of coercive force alone can never give rise to an obligation-legal or otherwise.

Legal rules are obligatory, according to Hart, because people accept them as standards that justify criticism and, in extreme cases, punishment of deviations:

What is necessary is that there should be a critical reflective attitude to certain patterns of behavior as a common standard, and that this should display itself in criticism (including self-criticism), demands for conformity, and in acknowledgements that such criticism and demands are justified, all of which find their characteristic expression in the normative terminology of ‘ought’, ‘must’, and ‘should’, and ‘right’ and ‘wrong’ (Hart 1994, p. 56).

The subject who reflectively accepts the rule as providing a standard that justifies criticism of deviations is said to take “the internal point of view” towards it.

On Hart’s view, it would be too much to require that the bulk of the population accept the rule of recognition as the ultimate criteria for legal validity: “the reality of the situation is that a great proportion of ordinary citizens-perhaps a majority-have no general conception of the legal structure or its criteria of validity” (Hart 1994, p. 111). Instead, Hart argues that what is necessary to the existence of a legal system is that the majority of officials take the internal point of view towards the rule of recognition and its criteria of validity. All that is required of citizens is that they generally obey the primary rules that are legally valid according to the rule of recognition.

Thus, on Hart’s view, there are two minimum conditions sufficient and necessary for the existence of a legal system: “On the one hand those rules of behavior which are valid according to the system’s ultimate criteria of validity must be generally obeyed, and, on the other hand, its rules of recognition specifying the criteria of legal validity and its rules of change and adjudication must be effectively accepted as common public standards of official behavior by its officials” (Hart 1994, p. 113).

Hart’s view is vulnerable to the same criticism that he levels against Austin. Hart rejects Austin’s view because the institutional application of coercive force can no more give rise to an obligation than can the application of coercive force by a gunman. But the situation is no different if the gunman takes the internal point of view towards his authority to make such a threat. Despite the gunman’s belief that he is entitled to make the threat, the victim is obliged, but not obligated, to comply with the gunman’s orders. The gunman’s behavior is no less coercive because he believes he is entitled to make the threat.

Similarly, in the minimal legal system, only the officials of the legal system take the internal point of view towards the rule of recognition that endows them with authority to make, execute, adjudicate, and enforce the rules. The mere presence of a belief in the officials that they are entitled to make law cannot give rise to an obligation in other people to comply with their enactments any more than the presence of a belief on the part of a gunman that he is entitled to issue orders gives rise to an obligation in the victim to comply with those orders. Hart’s minimal legal system is no less coercive than Austin’s legal system.

2. The Separability Thesis

The second thesis comprising the foundation of legal positivism is the separability thesis. In its most general form, the separability thesis asserts that law and morality are conceptually distinct. This abstract formulation can be interpreted in a number of ways. For example, Klaus Faber (1996) interprets it as making a meta-level claim that the definition of law must be entirely free of moral notions. This interpretation implies that any reference to moral considerations in defining the related notions of law, legal validity, and legal system is inconsistent with the separability thesis.

More commonly, the separability thesis is interpreted as making only an object-level claim about the existence conditions for legal validity. As H.L.A. Hart describes it, the separability thesis is no more than the “simple contention that it is in no sense a necessary truth that laws reproduce or satisfy certain demands of morality, though in fact they have often done so” (Hart 1994, pp. 181-82). Insofar as the object-level interpretation of the separability thesis denies it is a necessary truth that there are moral constraints on legal validity, it implies the existence of a possible legal system in which there are no moral constraints on legal validity.

a. Inclusive vs. Exclusive Positivism

Though all positivists agree there are possible legal systems without moral constraints on legal validity, there are conflicting views on whether there are possible legal systems with such constraints. According to inclusive positivism (also known as incorporationism and soft positivism), it is possible for a society’s rule of recognition to incorporate moral constraints on the content of law. Prominent inclusive positivists include Jules Coleman and H.L.A. Hart, who maintains that “the rule of recognition may incorporate as criteria of legal validity conformity with moral principles or substantive values … such as the Sixteenth or Nineteenth Amendments to the United States Constitution respecting the establishment of religion or abridgements of the right to vote” (Hart 1994, p. 250).

In contrast, exclusive positivism (also called hard positivism) denies that a legal system can incorporate moral constraints on legal validity. Exclusive positivists like Joseph Raz (1979, p. 47) subscribe to the source thesis, according to which the existence and content of law can always be determined by reference to its sources without recourse to moral argument. On this view, the sources of law include both the circumstances of its promulgation and relevant interpretative materials, such as court cases involving its application.

At first glance, exclusive positivism may seem difficult to reconcile with what appear to be moral criteria of legal validity in legal systems like that of the United States. For example, the Fourth Amendment provides that “[t]he right of the people to be secure in their persons, houses, papers, and effects against unreasonable searches and seizures, shall not be violated.” Likewise, the First Amendment prohibits laws abridging the right of free speech. Taken at face value, these amendments seem to make moral standards part of the conditions for legal validity.

Exclusive positivists argue that such amendments can require judges to consider moral standards in certain circumstances, but cannot incorporate those standards into the law. When a judge makes reference to moral considerations in deciding a case, she necessarily creates new law on an issue-and this is so even when the law directs her to consider moral considerations, as the Bill of Rights does in certain circumstances. On this view, all law is settled law and questions of settled law can be resolved without recourse to moral arguments:

The law on a question is settled when legally binding sources provide its solution. In such cases judges are typically said to apply the law, and since it is source-based, its application involves technical, legal skills in reasoning from those sources and does not call for moral acumen. If a legal question is not answered by standards deriving from legal sources then it lacks a legal answer-the law on such questions is unsettled. In deciding such cases courts inevitably break new (legal) ground and their decision develops the law…. Naturally, their decisions in such cases rely at least partly on moral and other extra-legal considerations (Raz 1979, pp. 49-50).

If the judge can resolve an issue involving the First Amendment merely by applying past court decisions, then the issue is settled by the law; if not, then the issue is unsettled. Insofar as the judge looks to controversial moral standards to resolve the issue, she is going beyond the law because the mere presence of controversy about the law implies that it is indeterminate. Thus, on Raz’s view, references to moral language in the law, at most, direct judges to consider moral requirements in resolving certain unsettled questions of law. They cannot incorporate moral requirements into the law.

3. The Discretion Thesis

Third thesis commonly associated with positivism is the discretion thesis, according to which judges decide difficult cases by making new law in the exercise of discretion. Ronald Dworkin describes this thesis as follows:

The set of these valid legal rules is exhaustive of ‘the law’, so that if someone’s case is not clearly covered by such a rule . . . then that case cannot be decided by ‘applying the law.’ It must be decided by some official, like a judge, ‘exercising his discretion,’ which means reaching beyond the law for some other sort of standard to guide him in manufacturing a fresh legal rule or supplementing an old one (Dworkin 1977, p. 17).

On this view, a judge cannot decide a case that does not fall clearly under a valid rule by interpreting or applying the law; she must decide the case by creating or promulgating a law that did not exist prior to the adjudication. Thus, the discretion thesis implies that judges are empowered with a quasi-legislative lawmaking authority in cases that cannot be decided merely by applying law.

Though often associated with positivism, the discretion thesis does not belong to positivism’s theoretical core. The pedigree and separability theses purport to be conceptual claims that are true of every possible legal system. These two claims jointly assert that, in every possible legal system, propositions of law are valid in virtue of having been manufactured according to some set of social conventions. On this view, there are no moral constraints on the content of law that hold in every possible legal system.

But many positivists regard the discretion thesis as a contingent claim that is true of some, but not all, possible legal systems. Hart, for example, believes there will inevitably arise cases that do not fall clearly under a rule, but concedes a rule of recognition could deny judges discretion to make law in such cases by requiring judges “to disclaim jurisdiction or to refer the points not regulated by the existing law to the legislature to decide” (Hart 1994, p. 272). Indeed, Hart’s inclusive positivism allows him to hold that a rule of recognition could require judges to decide cases in precisely the manner that Dworkin advocates (Hart 1994, p. 263; and see Section IV-2, infra). Thus, at least for inclusive positivists like Hart, the discretion thesis makes a different kind of claim than the conceptual claims that form positivism’s theoretical core (Himma 1999).

Moreover, the discretion thesis is consistent with some forms of natural law theory. According to Blackstone’s classical naturalism, conformity with the natural law is a necessary condition for legal validity in every possible legal system. But insofar as the natural law is incomplete, there will inevitably arise issues that have multiple outcomes consistent with the natural law. Since none of the relevant outcomes in such cases offend the natural law, there is nothing in the assumption of necessary moral constraints on the content of law, in and of itself, that precludes Blackstone from endorsing the discretion thesis in such cases. Of course, if Blackstone believes the natural law contains a principle denying discretion to judges, then that commitment is inconsistent with the discretion thesis. But the assertion there are necessary constraints on the content of law, in and of itself, is consistent with the discretion thesis, even construed as a conceptual claim, as long as there are cases to which the natural law is indifferent.

In any event, Dworkin distinguishes three different senses in which a judge might be said to have discretion: (1) a judge has discretion when she exercises judgment in applying a legal standard to a particular case; (2) a judge has discretion when her decision is not subject to reversal by any other authority; and (3) a judge has discretion when her decision is not bound by any legal standards.

According to Dworkin, positivism’s discretion thesis is committed to the third sense of discretion, which he refers to as strong discretion. On Dworkin’s view, the thesis that judges have discretion only in the sense that they exercise judgment is trivially true, while the thesis that judges have discretion in the sense that their decisions are not subject to being reversed by a higher authority is false. Even the Supreme Court can be reversed by Congress or by constitutional amendment. Thus, on Dworkin’s view, the discretion thesis implies that judges have discretion to decide hard cases by what amounts to an act of legislation because the judge is not bound by any legal standards.

Thus construed, the discretion thesis is inconsistent with ordinary legal practice. Even in the most difficult of cases where there is no clearly applicable law, lawyers do not ask that the judge decide the relevant issue by making new law. Each lawyer cites cases favorable to her client’s position and argues that the judge is bound by those cases to decide in her client’s favor. As a practical matter, lawyers rarely, if ever, concede there are no legal standards governing a case and ask the judge to legislate in the exercise of discretion.

Nevertheless, the problem with Dworkin’s analysis is that it falsely presupposes an official cannot make new law unless there are no legal standards constraining the official’s decision. Indeed, lawmaking authorities in legal systems like the U.S. never have what Dworkin describes as strong discretion. Even the legislative decisions of Congress, the highest legislative authority in the nation, are always constrained by constitutional standards. For example, under the Fourteenth Amendment, Congress cannot enact a law that sets one speed limit for male drivers on interstate highways and another for female drivers.

For his part, Hart concedes that judicial lawmaking authority is limited in two respects: “not only are the judge’s powers subject to many constraints narrowing his choice from which a legislature may be quite free, but since the judge’s powers are exercised only to dispose of particular instant cases he cannot use these to introduce large-scale reforms or new codes” (Hart 1994, p. 273). What explains the judge’s discretion to make new law in a given case, on Hart’s view, is not the absence of legal standards constraining her decision; rather it is the absence of legal standards that dictate a uniquely correct answer to the case. The judge cannot decide such a case merely by applying existing law because there is more than one available outcome that coheres with existing law. In such instances, it is impossible to render a substantive decision (as opposed to simply referring the matter back to the legislature) without creating new law.

The discretion thesis is vulnerable to one powerful objection. Insofar as a judge decides a difficult case by making new law in the exercise of discretion, the case is being decided on the basis of a law that did not exist at the time the dispute arose. If, for example, a judge awards damages to a plaintiff by making new law in the exercise of discretion, it follows that she has held the defendant liable under a law that did not exist at the time the dispute arose. And, as Dworkin points out, it seems patently unfair to deprive a defendant of property for behavior that did not give rise to liability at the time the behavior occurred.

Nevertheless, Dworkin’s view fares no better on this count. While Dworkin acknowledges the existence of difficult cases that do not fall clearly under a rule, he believes they are not resolved by an exercise of judicial discretion. On Dworkin’s view, there is always a right answer to such cases implicit in the pre-existing law. Of course, it sometimes takes a judge of Herculean intellectual ability to discern what the right answer is, but it is always there to be found in pre-existing law. Since the right answer to even hard legal disputes is always part of pre-existing law, Dworkin believes that a judge can take property from a defendant in a hard case without unfairness (Dworkin 1977, pp. 87-130).

But if fairness precludes taking property from a defendant under a law that did not exist at the time of the relevant behavior, it also precludes taking property from a defendant under a law that did not give reasonable notice that the relevant behavior gives rise to liability. Due process and fundamental fairness require reasonable notice of which behaviors give rise to liability. As long as Dworkin acknowledges the existence of cases so difficult that only the best of judges can solve them, his theory is vulnerable to the same charge of unfairness that he levels at the discretion thesis.

4. Classic Criticisms of Positivism

a. Fuller’s Internal Morality of Law

In The Morality of Law, Lon L. Fuller argues that law is subject to an internal morality consisting of eight principles: (P1) the rules must be expressed in general terms; (P2) the rules must be publicly promulgated; (P3) the rules must be (for the most part) prospective in effect; (P4) the rules must be expressed in understandable terms; (P5) the rules must be consistent with one another; (P6) the rules must not require conduct beyond the powers of the affected parties; (P7) the rules must not be changed so frequently that the subject cannot rely on them; and (P8) the rules must be administered in a manner consistent with their wording (Fuller 1964, p. 39).

On Fuller’s view, no system of rules that fails minimally to satisfy these principles of legality can achieve law’s essential purpose of achieving social order through the use of rules that guide behavior. A system of rules that fails to satisfy (P2) or (P4), for example, cannot guide behavior because people will not be able to determine what the rules require. Accordingly, Fuller concludes that his eight principles are “internal” to law in the sense that they are built into the existence conditions for law: “A total failure in any one of these eight directions does not simply result in a bad system of law; it results in something that is not properly called a legal system at all” (Fuller 1964, p. 39).

These internal principles constitute a morality, according to Fuller, because law necessarily has positive moral value in two respects: (1) law conduces to a state of social order and (2) does so by respecting human autonomy because rules guide behavior. Since no system of rules can achieve these morally valuable objectives without minimally complying with the principles of legality, it follows, on Fuller’s view, that they constitute a morality. Since these moral principles are built into the existence conditions for law, they are internal and hence represent a conceptual connection between law and morality that is inconsistent with the separability thesis.

Hart responds by denying Fuller’s claim that the principles of legality constitute an internal morality; on Hart’s view, Fuller confuses the notions of morality and efficacy:

[T]he author’s insistence on classifying these principles of legality as a “morality” is a source of confusion both for him and his readers…. [T]he crucial objection to the designation of these principles of good legal craftsmanship as morality, in spite of the qualification “inner,” is that it perpetrates a confusion between two notions that it is vital to hold apart: the notions of purposive activity and morality. Poisoning is no doubt a purposive activity, and reflections on its purpose may show that it has its internal principles. (“Avoid poisons however lethal if they cause the victim to vomit”….) But to call these principles of the poisoner’s art “the morality of poisoning” would simply blur the distinction between the notion of efficiency for a purpose and those final judgments about activities and purposes with which morality in its various forms is concerned (Hart 1965, pp. 1285-86).

On Hart’s view, all actions, including virtuous acts like lawmaking and impermissible acts like poisoning, have their own internal standards of efficacy. But insofar as such standards of efficacy conflict with morality, as they do in the case of poisoning, it follows that they are distinct from moral standards. Thus, while Hart concedes that something like Fuller’s eight principles are built into the existence conditions for law, he concludes that they do not constitute a conceptual connection between law and morality.

Unfortunately, Hart’s response overlooks the fact that most of Fuller’s eight principles double as moral ideals of fairness. For example, public promulgation in understandable terms may be a necessary condition for efficacy, but it is also a moral ideal; it is morally objectionable for a state to enforce rules that have not been publicly promulgated in terms reasonably calculated to give notice of what is required. Similarly, we take it for granted that it is wrong for a state to enact retroactive rules, inconsistent rules, and rules that require what is impossible. Poisoning may have its internal standards of efficacy, but such standards are distinguishable from the principles of legality in that they conflict with moral ideals.

Nevertheless, Fuller’s principles operate internally, not as moral ideals, but merely as principles of efficacy. As Fuller would likely acknowledge, the existence of a legal system is consistent with considerable divergence from the principles of legality. Legal standards, for example, are necessarily promulgated in general terms that inevitably give rise to problems of vagueness. And officials all too often fail to administer the laws in a fair and even-handed manner-even in the best of legal systems. These divergences may always be prima facie objectionable, but they are inconsistent with a legal system only when they render a legal system incapable of performing its essential function of guiding behavior. Insofar as these principles are built into the existence conditions for law, it is because they operate as efficacy conditions-and not because they function as moral ideals.

Fuller’s jurisprudential legacy, however, should not be underestimated. While positivists have long acknowledged that law’s essential purpose is to guide behavior through rules (e.g., John Austin writes that “[a] law .. may be defined as a rule laid down for the guidance of an intelligent being by an intelligent being having power over him” Austin 1977, p. 5), they have not always appreciated the implications of this purpose. Fuller’s lasting contribution to the theory of law was to flesh out these implications in the form of his principles of legality.

b. Positivism and Legal Principles

Dworkin argues that, in deciding hard cases, judges often invoke legal principles that do not derive their authority from an official act of promulgation (Dworkin 1977, p. 40). These principles, Dworkin believes, must be characterized as law because judges are bound to consider them when relevant. But if unpromulgated legal principles constitute law, then it is false, contra the pedigree thesis, that a proposition of law is valid only in virtue of having been formally promulgated.

According to Dworkin, principles and rules differ in the kind of guidance they provide to judges:

Rules are applicable in an all-or-nothing fashion. If the facts a rule stipulates are given, then either the rule is valid, in which case the answer it supplies must be accepted, or it is not, in which case it contributes nothing to the decision…. But this is not the way principles operate…. [A principle] states a reason that argues in one direction, but does not necessitate a particular decision (Dworkin 1977, pp. 24-25).

On Dworkin’s view, conflicting principles provide competing reasons that must be weighed according to the importance of the respective values they express. Thus, rules are distinguishable from principles in two related respects: (1) rules necessitate, where principles only suggest, a particular outcome; and (2) principles have, where rules lack, the dimension of weight.

Dworkin cites the case of Riggs v. Palmer as representative of how judges use principles to decide hard cases. In Riggs, the court considered the question of whether a murderer could take under the will of his victim. At the time the case was decided, neither the statutes nor the case law governing wills expressly prohibited a murderer from taking under his victim’s will. Despite this, the court declined to award the defendant his gift under the will on the ground that it would be wrong to allow him to profit from such a grievous wrong. On Dworkin’s view, the court decided the case by citing “the principle that no man may profit from his own wrong as a background standard against which to read the statute of wills and in this way justified a new interpretation of that statute” (Dworkin 1977, p. 29).

The positivist might respond that when the Riggs court considered this principle, it was reaching beyond the law to extralegal standards in the exercise of judicial discretion. But Dworkin points out that the Riggs judges would “rightfully” have been criticized had they failed to consider this principle; if it were merely an extralegal standard, there would be no rightful grounds to criticize a failure to consider it (Dworkin 1977, p. 35). Accordingly, Dworkin concludes that the best explanation for the propriety of such criticism is that principles are part of the law.

Further, Dworkin maintains that the legal authority of standards like the Riggs principle cannot derive from promulgation in accordance with purely formal requirements: “[e]ven though principles draw support from the official acts of legal institutions, they do not have a simple or direct enough connection with these acts to frame that connection in terms of criteria specified by some ultimate master rule of recognition” (Dworkin 1977, p. 41). Unlike legal rules, legal principles lack a canonical form and hence cannot be explained by formal promulgation.

On Dworkin’s view, the legal authority of a binding principle derives from the contribution it makes to the best moral justification for a society’s legal practices considered as a whole. According to Dworkin, a legal principle maximally contributes to such a justification if and only if it satisfies two conditions: (1) the principle coheres with existing legal materials; and (2) the principle is the most morally attractive standard that satisfies (1). The correct legal principle is the one that makes the law the moral best it can be. Thus, Dworkin concludes, “if we treat principles as law we must reject the positivists’ first tenet, that the law of a community is distinguished from other social standards by some test in the form of a master rule” (Dworkin 1977, p. 44).

In response, positivists concede that there are legal principles, but argue that their authority as law can be explained in terms of the conventions contained in the rule of recognition:

Legal principles, like other laws, can be enacted or repealed by legislatures and administrative authorities. They can also become legally binding through establishment by the courts. Many legal systems recognize that both rules and principles can be made into law or lose their status as law through precedent (Raz 1972, p. 848).

According to this view, legal principles are like legal rules in that both derive their authority under the rule of recognition from the official acts of courts and legislatures. If the Riggs principle that no person shall profit from her own wrong has legal authority, it is because that principle was either declared by a court in the course of adjudicating a dispute or formally promulgated by the appropriate legislative body.

Further, inclusive positivists argue that Dworkin’s account of principles is itself consistent with the pedigree thesis. As Hart puts it, “this interpretative test seems not to be an alternative to a criterion provided by a rule of recognition, but … only a complex ‘soft-positivist’ form of such a criterion identifying principles by their content not by their pedigree” (Hart 1994, p. 263). The idea, familiar from Section II, is that a rule of recognition can incorporate content-based constraints on legal validity, even those rooted ultimately in morality.

c. The Semantic Sting

In Law’s Empire, Dworkin distinguishes two kinds of disagreement legal practitioners can have about the law. Lawyers can agree on the criteria a rule must satisfy to be legally valid, but disagree on whether those criteria are satisfied by a particular rule. For example, two lawyers might agree that a rule is valid if enacted by the state legislature, but disagree on whether the rule at issue was actually enacted by the state legislature. Such disagreements are empirical in nature and hence pose no theoretical difficulties for positivism.

There is, however, a second kind of disagreement that Dworkin believes is inconsistent with positivism. Lawyers often agree on the facts about a rule’s creation, but disagree on whether those facts are sufficient to endow the rule with legal authority. Such disagreement is considerably deeper than empirical disagreement as it concerns the criteria for legal validity-which, according to positivism, are exhausted by the rule of recognition. Dworkin calls this second kind of disagreement theoretical disagreement about the law.

Theoretical disagreement, on Dworkin’s view, is inconsistent with the pedigree thesis because the pedigree thesis explains the concept of law in terms of shared criteria for creating, changing and adjudicating law:

If legal argument is mainly or even partly about [the properties that make a proposition legally valid], then lawyers cannot all be using the same factual criteria for deciding when propositions of law are true and false. Their arguments would be mainly or partly about which criteria they should use. So the project of the semantic theories, the project of digging out shared rules from a careful study of what lawyers say and do, would be doomed to fail (Dworkin 1986, p. 43).

If lawyers disagree about the criteria of legal validity, then the grounds of legal validity cannot be exhausted by the shared criteria contained in a rule of recognition. The semantic sting, then, implies that there must be more to the concept of legal validity than can be explained by promulgation in accordance with shared criteria embodied in a rule of recognition.

The semantic sting resembles one of Dworkin’s earlier criticisms of Hart’s pedigree thesis. Hart believes that the rule of recognition is a social rule and is hence constituted by the conforming behavior of people who also accept the rule as a ground for criticizing deviations. Like all social rules, then, the rule of recognition has an external and internal aspect. The external aspect of the rule of recognition consists in general obedience to those rules satisfying its criteria of validity; the internal aspect is constituted by its acceptance as a public standard of official behavior. Hart believes it is this double aspect of the rule of recognition that accounts for its normativity and enables him to distinguish his theory from Austin’s view of law as a system of coercive commands. For, as Hart points out, a purely coercive command can oblige, but never obligate, a person to comply (see Section I, supra).

Dworkin argues that this feature of Hart’s theory commits him to the claim that there cannot be any disagreement about the content of rule of recognition:

Hart’s qualification … that the rule of recognition may be uncertain at particular points … undermines [his theory]…. If judges are in fact divided about what they must do if a subsequent Parliament tries to repeal an entrenched rule, then it is not uncertain whether any social rule [of recognition] governs that decision; on the contrary, it is certain that none does (Dworkin 1977, pp. 61-62).

On Dworkin’s view, the requirements of a social rule cannot be uncertain since a social rule is constituted by acceptance and conforming behavior by most people in the relevant group: “two people whose rules differ … cannot be appealing to the same social rule, and at least one of them cannot be appealing to any social rule at all” (Dworkin 1977, p. 55).

Jules Coleman responds that if the rule of recognition is a social rule, then Hart’s view implies there must be general agreement among the officials of a legal system about what standards constitute the rule of recognition, but it does not imply there cannot be disagreement as to what those standards require in any given instance:

The controversy among judges does not arise over the content of the rule of recognition itself. It arises over which norms satisfy the standards set forth in it. The divergence in behavior among officials as exemplified in their identifying different standards as legal ones does not establish their failure to accept the same rule of recognition. On the contrary, judges accept the same truth conditions for propositions of law…. They disagree about which propositions satisfy those conditions (Coleman 1982, p. 156).

Coleman, then, distinguishes two kinds of disagreement practitioners can have about the rule of recognition: (1) disagreement about what standards constitute the rule of recognition; and (2) disagreement about what propositions satisfy those standards. On Coleman’s view, Hart’s analysis of social rules implies only that (1) is impossible.

Under the U.S. rule of recognition, for example, a federal statute is legally valid if and only if it has been enacted in accordance with the procedural requirements described in the body of the Constitution and is consistent with the first fourteen amendments. Since, on Hart’s view, the U.S. rule of recognition is a social rule, U.S. officials must agree on the procedures the federal government must follow in enacting law, the set of sentences constituting the first fourteen amendments, and the requirement that federal enactments be consistent with those amendments.

But Hart’s view of social rules does not imply there cannot be any disagreement about whether a given enactment is consistent with the first fourteen amendments. Legal practitioners can and do disagree on what Hart calls penumbral (or borderline) issues regarding the various amendments. While every competent practitioner in the U.S. would agree, for example, that torturing a person to induce a confession violates the fifth amendment right against self-incrimination, there is considerable disagreement about whether compelling a defendant to undergo a psychiatric examination for the purpose of increasing her sentence also violates that right. On Coleman’s view, there is nothing in Hart’s analysis of social rules that precludes such borderline disagreements about whether a practice is consistent with the Fifth Amendment.

Despite its resemblance to this earlier criticism, Dworkin’s semantic sting argument takes aim at a deeper target. The semantic sting targets all so-called semantic theories of law that articulate the concept of law in terms of “shared rules … that set out criteria that supply the word’s meaning” (Dworkin 1986, p. 31). Thus, while the earlier criticism is directed at Hart’s extraneous account of social rules, the semantic sting is directed at what Dworkin takes to be the very heart of positivism’s theoretical core, namely, the claim that there are shared criteria that exhaust the conditions for the correct application of the concept of law.

At the root of the problem with semantic theories, on Dworkin’s view, is a flawed theory of what makes disagreement possible. According to Dworkin, semantic theories mistakenly assume that meaningful disagreement is impossible unless “we all accept and follow the same criteria for deciding when our claims are sound, even if we cannot state exactly, as a philosopher might hope to do, what these criteria are” (Dworkin 1986, p. 45). On this flawed assumption, two people whose concepts of law differ cannot be disagreeing about the same thing.

Perhaps with Coleman’s response to his earlier criticism in mind, Dworkin concedes that semantic theories are consistent with theoretical disagreements about borderline or penumbral cases: “people do sometimes speak at cross-purposes in the way the borderline defense describes” (Dworkin 1986, p. 41). But Dworkin denies semantic theories are consistent with theoretical disagreement about pivotal (or core) cases.  According to semantic theories, he says,

[Y]ou and I can sensibly discuss how many books I have on my shelf, for example, only if we both agree, at least roughly, about what a book is. We can disagree over borderline cases: I may call something a slim book that you would call a pamphlet. But we cannot disagree over what I called pivotal cases. If you do not count my copy of Moby-Dick as a book because in your view novels are not books, any disagreement is bound to be senseless (Dworkin 1986, p. 45).

The problem, on Dworkin’s view, is that many difficult appellate cases like Riggs involve theoretical disagreement about pivotal cases:

The various judges who argued about our sample cases did not think they were defending marginal or borderline claims. Their disagreements about legislation and precedent were fundamental; their arguments showed that they disagreed not only about whether Elmer should have his inheritance, but about why any legislative act, even traffic codes and rates of taxation, impose the rights and obligations everyone agrees they do…. They disagreed about what makes a proposition of law true not just at the margin but in the core as well (Dworkin 1986, pp. 42-43).

On Dworkin’s view, the judges in Riggs were not having a borderline dispute about some accepted criterion for the application of the concept of law. Rather, they were having a disagreement about the status of some putatively fundamental criterion itself: the majority believed, while the dissent denied, that courts have power to modify unambiguous legislative enactments.

Accordingly, theoretical disagreement about pivotal cases like Riggs is inconsistent with semantic theories of law, on Dworkin’s view, because it shows that shared criteria do not exhaust the proper conditions for the application of the concept of law. For the majority and dissenting judges in Riggs were having a sensible disagreement about law even though it centered on a pivotal case involving the criteria of legal validity. Thus, Dworkin concludes, the concept of law cannot be explained by so-called criterial semantics.

In response, Hart denies both that his theory is a semantic theory and that it assumes such an account of what makes disagreement possible:

[N]othing in my book or in anything else I have written supports [a semantic account] of my theory. Thus, my doctrine that developed municipal legal systems contain a rule of recognition specifying the criteria for the identification of the laws which courts have to apply may be mistaken, but I nowhere base this doctrine on the mistaken idea that it is part of the meaning of the word ‘law’ that there should be such a rule of recognition in all legal systems, or on the even more mistaken idea that if the criteria for the identification of the grounds of law were not uncontroversially fixed, ‘law’ would mean different things to different people (Hart 1994, p. 246).

Instead, Hart argues that his theory of law is “a descriptive account of the distinctive features of law in general as a complex social phenomenon” (Hart 1994, p. 246). Hart presents his theory, not as an account of how people apply the concept of law, but rather as an account of what distinguishes systems of law from other systems of social rules. On Hart’s view, it is the presence of a rule of recognition establishing criteria of validity that distinguishes law from other systems of social rules. Thus, according to Hart, Dworkin’s criticism fails because it mischaracterizes positivism as providing a criterial explanation of the concept of law.

5. References and Further Reading

  • Austin, John, Lectures on Jurisprudence and the Philosophy of Positive Law (St. Clair Shores, MI: Scholarly Press, 1977)
  • Austin, John, The Province of Jurisprudence Determined (Cambridge: Cambridge University Press, 1995)
  • Bentham, Jeremy, Of Laws In General (London: Athlone Press, 1970)
  • Blackstone, William, Commentaries on the Law of England (Chicago: The University of Chicago Press, 1979)
  • Coleman, Jules, “Negative and Positive Positivism,” 11 Journal of Legal Studies 139 (1982)
  • Dworkin, Ronald M., Law’s Empire (Cambridge: Harvard University Press, 1986)
  • Dworkin, Ronald M., Taking Rights Seriously (Cambridge: Harvard University Press, 1977)
  • Finnis, John, Natural Law and Natural Rights (Oxford: Clarendon Press, 1980)
  • Fuller, Lon L., The Morality of Law, Revised Edition (New Haven: Yale University Press, 1969)
  • Fuller, Lon L., “Positivism and Fidelity to Law–A Reply to Professor Hart,” 71 Harvard Law Review 630 (1958)
  • Faber, Klaus, “Farewell to ‘Legal Positivism’: The Separation Thesis Unraveling,” in George, Robert P., The Autonomy of Law: Essays on Legal Positivism (Oxford: Clarendon Press, 1996), 119-162
  • George, Robert P., “Natural Law and Positive Law,” in George, Robert P., The Autonomy of Law: Essays on Legal Positivism (Oxford: Clarendon Press, 1996), 321-334
  • Hart, H.L.A., The Concept of Law, Second Edition (Oxford: Clarendon Press, 1994)
  • Hart, H.L.A., “American Jurisprudence through English Eyes: The Nightmare and the Noble Dream,” reprinted in Hart, H.L.A., Essays in Jurisprudence and Philosophy (Oxford: Clarendon Press, 1983), 123-144.
  • Hart, H.L.A., “Book Review of The Morality of Law” 78 Harvard Law Review 1281 (1965)
  • Hart, H.L.A., Essays on Bentham (Oxford: Clarendon Press, 1982)
  • Hart, H.L.A., “Positivism and the Separation of Law and Morals,” 71 Harvard Law Review 593 (1958)
  • Himma, Kenneth E., “Judicial Discretion and the Concept of Law,” forthcoming in Oxford Journal of Legal Studies vol. 18, no. 1 (1999)
  • Mackie, J.L., “The Third Theory of Law,” Philosophy & Public Affairs, vol. 7, no. 1 (Fall 1977)
  • Moore, Michael, “Law as a Functional Kind,” in George, Robert P. (ed.), Natural Law Theory: Contemporary Essays (Oxford: Clarendon Press, 1992), 188-242
  • Raz, Joseph, The Authority of Law: Essays on Law and Morality (Oxford: Clarendon Press, 1979)
  • Raz, Joseph, “Authority, Law and Morality,” The Monist, vol. 68, 295-324
  • Raz, Joseph, “Legal Principles and the Limits of Law,” 81 Yale Law Review 823 (1972)
  • Raz, Joseph, “Two Views of the Nature of the Theory of Law: A Partial Comparison,” Legal Theory, vol. 4, no. 3 (September 1998), 249-282
  • Waluchow, W.J., Inclusive Legal Positivism (Oxford: Clarendon Press, 1994)

Author Information

Kenneth Einar Himma
Email: himma@spu.edu
Seattle Pacific University
U. S. A.

Ethnoepistemology

As a species of naturalized epistemology, ethnoepistemology treats all human epistemological activities as fully natural phenomena to be described, understood, and evaluated from a broadly anthropological and fully a posteriori perspective. In this spirit it examines the entire gamut of human epistemological activities ranging from those of ordinary folk and cognitive specialists (for example, diviners, shamans, priests, magicians, and scientists) to those of epistemologists themselves. Ethnoepistemology includes both domestic and non-domestic epistemological practices, and accordingly regards Western epistemological practices as simply one among many alternative, contingent epistemological projects advanced by and hence available to human beings. In this manner it aims to decenter and provincialize the definitions, aims, assumptions, methods, problems, and claims of Western epistemology.

Ethnoepistemology rejects what it considers to be the double standard embraced by most Western epistemology that exempts itself from the same kind of anthropological scrutiny that the epistemologies of non-Western cultures receive at the hands of Western ethnographers. And it also rejects the double standard that characterizes the epistemological activities of non-Western thinkers as mere ethnoepistemologies while characterizing the epistemological activities of Western thinkers as epistemology proper. Ethnoepistemologists argue that there is a dualism that is commonly expressed by the assertion that thinkers in other cultures practice mere “ethnoepistemology” or “ethnophilosophy.” What others do is thereby marginalized as mere anthropological curiosity, and those practicing it are deemed unqualified to participate in the West’s “genuinely” philosophical conversation. Indeed, the customary use of the terms “ethnophilosophy” and “ethnoepistemology” by Western philosophers is objectionable to ethnoepistemologists because it assumes that Western philosophy is the benchmark by which all other cultures’ philosophies and reflective activities are to be understood and measured, and that Western philosophy is philosophy simpliciter rather than one among many ethnophilosophies. The more broadly ecumenical and non-ethnocentric use of the term “ethnoepistemology” avoids this shortcoming since it includes all epistemological activities, be they African, East Asian, European, Native American, and so forth. And that is how the term will be used in this article. All epistemological activities are instances of ethnoepistemology in this broad sense; and all ethnoepistemologies are instances of epistemology. Finally, ethnoepistemology reflects critically upon the nature, method(s), aim(s), province and very definition of epistemology itself from the broadly anthropological, fully a posteriori perspective.

Table of Contents

  1. General Characterization
  2. Some Questions Addressed by Ethnoepistemology
    1. How Shall We Define Epistemology?
      1. A “Thin” Conception of Epistemology
      2. A “Thick” Conception of Epistemology
      3. Some Considerations Favoring a “Thin” Conception
      4. Two Further Issues
    2. What is the Nature of the Object of Epistemological Evaluation?
    3. How Important is Belief to Epistemology?
  3. Three Areas of Ethnoepistemological Inquiry
    1. The Ethnoepistemology of Ordinary Folk
    2. The Ethnoepistemology of Cognitive Specialists
    3. The Ethnoepistemology of Epistemologists
  4. References and Further Reading

1. General Characterization

Ethnoepistemology is a species of naturalized epistemology devoted to the a posteriori, anthropological style of investigation of all human epistemological activities, both domestic and non-domestic. (For an overview of naturalized epistemology, see Maffie (1990); Kitcher (1992); and Kornblith (1997.). Ethnoepistemology regards human epistemological activities as wholly natural phenomena susceptible to description, understanding, and evaluation from a broadly anthropological and fully a posteriori perspective. It examines the entire gamut of human epistemological activities ranging from those of ordinary folk and cognitive specialists to those of epistemologists themselves. What’s more, it examines not only non-domestic epistemological practices but also domestic Western epistemological practices, and regards the latter as constituting merely one among many alternative and contingent epistemological projects pursued by and available to human beings. In this manner, ethnoepistemology serves to de-center and provincialize the aims, assumptions, problems, methods, and conclusions of Western epistemology. The conception of ethnoepistemology sketched here thus differs from the dominant conception in contemporary Western academic discourse, which conceives ethnoepistemology as the study of non-Western epistemologies only. Lastly, ethnoepistemology reflects critically upon the nature, aims, and province of epistemology, from the selfsame broadly anthropological and fully a posteriori perspective.

As a species of naturalized epistemology, ethnoepistemology rejects epistemology as First Philosophy, i.e. epistemology conceived as an autonomous, a priori enterprise prior to and normative for all other inquiry. It rejects, for example, such mainstay principles of traditional Western epistemologyies, which assert that epistemology employs sui generis, a priori methods and evidence; epistemology employs evidential norms and standards epistemologically firmer or higher than those of the sciences; epistemology proceeds from a vantage point making no use of the substantive findings of the sciences; epistemology yields results epistemologically firmer or higher than those of the sciences; and epistemology is epistemologically prior to the sciences.

Ethnoepistemology conceives its own activities as continuous with the sciences. It endeavors to create such continuity by extending the epistemology of the sciences — e.g. their a posteriori evidential practices, styles of reasoning, and modes of explanation — as well as the substantive findings of the sciences into the ethnoepistemological study of epistemology. In short, ethnoepistemology is conducted within the sciences and as part of the sciences.

Ethnoepistemology thus construes inquiry into human epistemological activities as consisting of “scientific questions about a species of primates” (Quine 1975:68). It seeks an account of these activities that is compatible with creatures possessing the biology, history, cultures, and psychology of Homo Sapiens. Ethnoepistemology thus adopts a broadly interdisciplinary perspective that incorporates the findings of anthropology of knowledge, cultural anthropology, cognitive anthropology, cognitive psychology, indigenized psychology, the sociology of belief and knowledge, linguistics, history, evolutionary biology, etc., and unifies these under a single umbrella: one aptly characterized as “anthropology.” In this manner, its approach to human epistemological activities parallels anthropological approaches to other cultural practices such as morality, magic, shamanism, religion, and law. It regards all epistemological activities — ranging from the less reflective and less critical activities of ordinary folk to the more self-conscious, abstract, and reflective activities of epistemologists — as no different in principle from the aforementioned cultural activities. Epistemological activities are simply one among many natural phenomena, simply one among many human endeavors, and as such properly studied by anthropology. Ethnoepistemology thus considers epistemological activities — e.g. epistemological intuitions, judgments, concepts, norms, and goals — as amenable to the same methods of inquiry as employed by the sciences.

Ethnoepistemology approaches human epistemological activities as historically and contingently constituted natural phenomena conducted by reflective human beings. The nature, aims, norms, theories, concepts, and province of human epistemological activities are to be understood in terms of the life context in which these activities are organically rooted and sustained, rather than in terms of divine imperative, rationality per se, or pre-existing epistemological facts or principles. Epistemological goals, notions, principles, and theories are human postulates and fabrications. Epistemology is fashioned by humans and for humans. However, humans do not fashion their epistemologies in circumstances of their own choosing, and therefore do not fashion their epistemologies entirely as they please. External reality plays a role in the process. Humans fashion their ends and norms as a particular organism with a specific objective make-up, environment, and relationship to that environment which are not of its choosing and which transcend its wishes, language games, culturally-adopted evidential practices, and so forth. Consequently, that which instrumentally promotes the epistemic ends of human beings need not be necessarily socially constructed. In other words, ethnoepistemology (and naturalized epistemology generally) remains neutral between un-realist (constructivist) vs. realist theories regarding the ontological status of epistemological properties. (For supporting argument, see Maffie 1990, 1993, 1995, 1999.)

Ethnoepistemology embraces several methodological principles. The first is Reflexivity, which states that its own manner of description, explanation, and evaluation must be in principle applicable to itself. The practice of ethnoepistemology as proposed herein is itself an instance of ethnoepistemological activity and as such amenable to ethnoepistemological investigation. The second is Symmetry, according to which ethnoepistemology is symmetrical in style of explanation and evaluation. The same kinds of explanations and criteria of evaluation are employed regarding both true and false belief, justified and unjustified belief, and knowledge and ignorance. The third is Impartiality, that is to say, ethnoepistemology is impartial with respect to true and false belief, justified and unjustified belief, and knowledge and ignorance. Both sides of these dichotomies require explanation. Ethnoepistemology thus rejects the various dualisms commonly assumed by traditional epistemology that contradict these three methodological principles. (For related discussion, see Bloor 1991, and Maffie 1999.)

Ethnoepistemology examines all levels of epistemological activity conducted by all epistemological agents in all places. Therefore, ethnoepistemology is universal in scope in this threefold sense. First, it studies the epistemic practices of ordinary people, cognitive specialists such as shamans, priests, jurists and scientists, and of philosophers themselves. Philosophical activity does not transcend naturalistic (e.g., sociological, anthropological, etc.) investigation. It is one species of natural activity alongside cooking, childrearing, and counting. Professional academic philosophy, in particular, is no exception and is thus subject to anthropological scrutiny as well. Academic philosophers are simply one among many groups or subcultures alongside Roman Catholic priests, Yakut shamans, Mesoamerican curanderas, and Yoruba onisegun.

Second, ethnoepistemology studies the epistemological activities of both alien and domestic cultures, and thus incorporates non-domestic and domestic Western anthropology as well as non-domestic and domestic non-Western anthropology. Members of the American Philosophical Association along with the editors and referees of professional journals such as Philosophical Review and Mind are simply one group among many other cultural groups, and as such, are not exempt from anthropological scrutiny. Phenomena for domestic ethnoepistemological research include: (a) professional boundary-work, such as constructing the dominant epistemological canon and tradition, which includes questions such as, who is included in official histories and textbooks of epistemology, who is considered a “serious” epistemologist, and what is a “genuine” epistemological problem; and (b) professional gate-keeping activities such as editorial and investigative, and hiring and promotion decisions.

Ethnoepistemology thus rejects the tacit dualism and double standard of Western epistemology that exempts domestic (i.e. Western) epistemological practices from the same kind of anthropological scrutiny that the epistemological practices of non-Western cultures are subject to. Both are to be studied in the same manner, using the same kinds of methods, norms, and evidence. In addition, ethnoepistemology rejects the kindred dualism and double standard that characterizes the epistemological activities of non-Western cultures as ethnoepistemologies while characterizing the epistemological activities of Western culture as epistemology proper. This view is commonly expressed by the assertion that thinkers in other cultures practice mere “ethnoepistemology” or “ethnophilosophy,” whereas Western academic philosophers practice real epistemology or real philosophy. (This attitude is widespread in Western academia. Ethnoastronomy, for example, is commonly conceived as the study of non-Western astronomies, but not Western astronomy! Western astronomy is immune to anthropological examination because it is “real” astronomy, astronomy simpliciter. The same holds for ethnobotany, ethnomusicology, etc.) What non-Western thinkers do is thereby marginalized as mere anthropological curiosity (e.g. as mythologizing, poetizing, or storytelling), and they are deemed unqualified to participate in the “genuinely” philosophical discourse of the West. What thinkers in other cultures do is endemic and of local interest only. What they think is not universally relevant since it does not apply to humankind in general or reflect the human condition as such. It is simply assumed that this is not the case with Western philosophers.

Indeed, the customary use of the terms “ethnophilosophy” and “ethnoepistemology” by Western philosophers is objectionable, since it assumes that Western philosophy is the standard by which all other cultures’ philosophies and reflective activities are to be understood and measured, and that Western philosophy is philosophy simpliciter rather than one among many ethnophilosophies. (For a recent expression of this view, see Rorty 1991, 1992, 1993.) The more broadly ecumenical and non-ethnocentric use of the term “ethnoepistemology” employed here, however, avoids this shortcoming since it includes all epistemological activities, whether they African, East Asian, European or Latin American. All epistemological activities are instances of ethnoepistemology (in this broad sense); and all ethnoepistemologies are instances of epistemology.

Finally, the scope of ethnoepistemology is universal in the third sense that it subjects to anthropological scrutiny what Anglo-American analytic epistemologists call normative (or basic) level as well as meta-level epistemological activities. Normative level epistemology determines the correct theory of knowledge as well as the scope and sources of human knowledge. It also evaluates and prescribes cognitive behavior. Meta-epistemology investigates the semantics, metaphysics, and epistemology of knowledge claims. It determines the cognitive and epistemic status of epistemic judgments, the reference of epistemic expressions, the ontological status of epistemic properties, and so on. Meta-epistemology also inquires into the nature and content of epistemic ends. Ethnoepistemology examines epistemic agents’ normative level epistemological concepts, judgments, norms, and theories as well as their meta-level theories about the epistemology of epistemology, the ends of epistemology, etc.

2. Some Questions Addressed by Ethnoepistemology

Some of the questions that ethnoepistemology addresses include the following: How shall we define epistemology? What is the nature and province of epistemology? What is it about the biological constitution as well as social, cultural, and physical circumstances of humans that engender epistemic judgment, reflection, and theorizing? Why do humans practice epistemological inquiry? How do humans actually practice epistemological inquiry? What explains the importance of knowledge claims and knowledge holders (e.g. sages, scientists, priests) in the lives of humans?

What do humans actually care about when inquiring into epistemological questions? Do human epistemological activities vary across history, culture, class, race, gender, etc.? What is the ontological status of epistemic properties? Are there any nontrivial and cross-cultural generalizations regarding the epistemological landscape of humankind? Is humankind characterized by epistemological unity or relativity? Is epistemology unique to Western culture? Should humans continue to ask epistemological questions?

The foregoing questions are to be resolved a posteriori rather than by appeal to a priori intuitions, transcendental arguments, divine imperatives, rationality per se, or pre-existing epistemological facts or principles (as is customary with non-naturalist epistemologies). Ethnoepistemology regards these strategies as clever ways of begging the question with all the advantages of theft over hard empirical toil. Ethnoepistemology considers its answers to the above questions as scientific hypotheses, that is to say, fallible and corrigible.

Ethnoepistemology addresses these questions within the context of the fallible and corrigible, a posteriori, and social scientific finding that critical reflection and “the unusually stubborn attempt to think clearly” (as William James characterized philosophy) are indeed global endeavors (e.g., see Deloria et al. 1999; Deutsche and Bontekoe (eds.) 1997; Hester, Jr. and McPherson 1997; Oruka 1990; Leon-Portilla 1963; Radin 1957; and Scharfstein 1993). Let’s briefly consider two pressing questions facing ethnoepistemology.

a. How Shall We Define Epistemology?

Perhaps the most daunting issue facing ethnoepistemology is: How shall we define epistemology itself? When an intuition, concept, judgment, norm, theory or goal is epistemological, and what makes it so? When are critical reflection and “the unusual attempt to think clearly” epistemological? What definition or criterion shall ethnoepistemologists bring into the field when attempting to identify epistemological activities — as opposed to prima facie non-epistemological activities such as moral, aesthetic, prudential, parental or agricultural activities? Can we assume at the outset that epistemological activities are in principle distinct from moral, aesthetic, and other activities? Are we justified in assuming that there is even a distinctly epistemological — as opposed to moral, aesthetic or prudential — point of view?

How we answer these questions bears crucially upon our answers to other key questions such as: How do we avoid ethnocentrically begging the question in favor of our own domestic, meta-epistemological conception of epistemology and against alternative, nonequivalent conceptions advanced by other cultures? How do we avoid arbitrarily rejecting ex hypothesi alternative conceptions of the epistemological on the grounds that they are not genuinely epistemological? Bluntly put, how do we avoid the dismissive ethnocentrism — and the arrogant provincialism that typically underlies it — expressed by such prominent Western philosophers as: Edmund Husserl, who claimed that the expression “Western philosophy” is tautalogous, and the expression “non-western philosophy,”is oxymoronic (Gupta and Mohanty (eds.), 2000:xi); Emmanuel Levinas, who is quoted as having remarked, “I always say — but in private — that the Greeks and the Bible are all that is serious in humanity. Everything else is dancing” (Bernasconi, 1997:185); and Richard Rorty, (1991, 1992, 1993), who claims that looking for philosophy outside of the West is “pointless” since philosophy is unique to Western culture (quoted in Hallen, 1995:17).

i. A “Thin” Conception of Epistemology

As a start, let’s approach this issue by adopting a rather “thin” conception of epistemology. Although this conception is rooted in our own practices, it may nevertheless serve us well. After all, as contextualism has long urged, we cannot begin from scratch; we have no access to a presuppositionless, Archimedean standpoint from which to conduct inquiry. We can begin only from where we presently are.

According to this conception, epistemology consists of reflection upon the nature, source(s), and limits of knowledge. Epistemological intuitions, judgments, norms, theories, and ends are those concerned with the nature, source, and limits of knowledge. Ethnoepistemology regards this definition as a contingent, fallible, a posteriori anthropological hypothesis about the nature of our own practices — not a deliverance of a priori, rational insight into Platonic concepts or preexisting necessary truths, for example. This conception has the virtue of being sufficiently “thin” so as to enable us to capture a wide range of activities as being epistemological. When we encounter individuals, groups, or cultures and find they reflect, wonder, puzzle, or theorize about — in one degree or another, in one manner or another — the nature, source, and limits of knowledge — then we may claim that they practice epistemology. We may find them using, for example, epistemological notions such as knowledge, wisdom, and evidence or what we regard as their interpretive-translational equivalents. On the other hand, however, this conception appears sufficiently “thick” to warrant our excluding a wide range of activities from counting as epistemological such as farming, cooking, and playing chess. Hence, if we encounter individuals, groups, or cultures who do not reflect upon the nature, limits, and source of knowledge, we may claim they do not practice epistemology.

But is this definition too permissive? Does it allow us to distinguish epistemology from other human endeavors, such as morality and aesthetics, for example? Doesn’t it raise the concern that everything now qualifies as epistemology? If a culture defines right belief, evidence, or knowledge in terms of moral or aesthetic notions such as living a morally upright, genuinely human, or beautiful life, is it doing epistemology? Does it have an epistemology as opposed to an ethics or aesthetics of belief?

ii. A “Thick” Conception of Epistemology

By way of answering this question, let’s consider a “thicker” conception of epistemology. According to “thick” views, doing epistemology, having a genuinely epistemological conception of knowledge, making genuinely epistemological judgments, etc., requires that one embraces a specific definition (theory) of justification or knowledge, a specific conception of the end(s) of cognition from the epistemological point of view. “Thick” views certainly enable us to better uphold our familiar domestic distinctions between epistemology, on the one hand, and aesthetics, prudence and morality, on the other. But what is the cost?

One leading “thick” view places decisive weight on the role of truth. Many Western philosophers view correspondence truth as occupying the center stage of Western epistemology’s theories of knowledge and justification since Plato and Aristotle. The most prominent contemporary defender of this view is the North American philosopher Alvin Goldman. Goldman (1999) defends what he calls “veritism,” i.e., the thesis that humans across culture and history uniformly seek truth, epistemic notions such as justification and knowledge are properly defined in terms of truth, the aim of cognition from the epistemological point of view is truth, and a single concept of truth is cross-culturally present (namely, correspondence truth). Goldman is not alone in defending veritism, as it represents an enduring view upheld by the majority of twentieth-century Anglo-American epistemologists from William Alston and Roderick Chisholm to Bertrand Russell and Barry Stroud.

According to veritism, those who conceive of knowledge non-veritistically, as well as those who dismiss the importance or even relevance of correspondence truth to epistemological concepts, are simply not doing epistemology. They are doing something else instead, perhaps morality, aesthetics, pragmatics, etc. Therefore, even if we encounter terms in a target culture’s language that prima facie translate into English terms such as “knowledge” and “evidence,” they may not be properly translated in strictly epistemological terms. Such cultures are using “knowledge,” etc. in some alien, non-epistemological sense. For instance, they may be using the terms in a prudential or practical sense, where “to know” really means “know how,” not “know that.” Such cultures thus have a notion of practical knowledge or “knowledge how” but lack a notion of theoretical knowledge or “knowledge that.” It is the latter that is the proper focus of epistemology as such.

Goldman and others defend veritism in the face of a daunting pantheon of Western philosophers including David Hume, Friedrich Nietzsche, Martin Heidegger, William James, John Dewey, W.V.O. Quine, Nelson Goodman, and Richard Rorty, who reject the relevance of correspondence truth to epistemology, reject veritistic epistemologies, and propose alternative, non-veritistic epistemologies. What do veritists say about these philosophers? Presumably that they have abandoned epistemology per se in favor of some other activity such as reflecting upon the rightness of belief from the moral or pragmatic point of view (e.g., see Goldman, 1999).

Let’s consider this question from the broader perspective of comparative world philosophy. From this perspective, truth clearly appears to be merely one among many ends governing the regulation of belief (or cognition) and merely one among many ends in terms of which knowledge (or wisdom) is conceived. Non-veritistic cognitive ends include: living a life of balance and beauty; becoming a genuinely human; moral rectitude and purity; promoting social harmony; coexisting in harmony with nature; respect for nature; and conformity with sacred text (to name only a few). Let’s briefly review several studies.

Ben-Ami Scharfstein (2001) surveys Bhartriharian, Confucian, European Existentialist, Gangeshan, Neoplatonic, Inuit, !Kung, Navajo, and Taoist (among others) reflections upon the nature of truth and on this basis argues that no single conception of truth is shared universally by all the world’s philosophies. Humans define truth as: correspondence between verbal assertion (or language) and reality; practical utility; the sum-total of ideas that accords with reality; the way things really are (independently of verbal assertion and language); and accurate verbal articulation of what cannot be reasonably doubted because it ought not to be morally doubted.

David Hall (2001), David Hall and Roger Ames (1987, 1998), and Chad Hansen (1992), argue that classical, pre-Han Dynasty Taoist and Confucian epistemologies are not concerned with truth, true belief or truthful representation. Rather, they are concerned with identifying the proper path or appropriate model of conduct that enables humans to live the kind of life suitable for human beings. According to Confucianism, for example, the proper life consists of living harmoniously with one’s social surroundings. Correspondence truth plays no role in attaining or maintaining this life. One aims at living a life characterized by authenticity, genuineness, rectitude and wholeness — not knowledge defined as justified true belief. Confucian epistemology seeks to identify the kind of knowledge that is needed for following this path, i.e., knowledge that is performative and participatory rather than representational. Classical Chinese epistemologies seek right or appropriate belief — not true belief. If truth is relevant, it is defined in terms of genuineness or authenticity — not correspondence.

Indigenous North American philosophers Vine Deloria, Jr. (DeLoria, Jr. (1994) and DeLoria, et al (eds.), 1999) and Lee Hester (Hester and Cheney 2001), contend that indigenous North American philosophies treat cognitive states as maps rather than as beliefs. Hester claims Native American philosophy does not focus upon belief and as a consequence does not worry about the correspondence-truth of belief. Native Americans focus upon actions and practices, and adopt an attitude of non-belief (that is, neither belief nor disbelief) towards actions and practices. This attitude is rooted in the idea that one is defined by one’s actions, not one’s beliefs. Adopting the metaphor of “the map and the territory,” Hester maintains Native Americans adopt an agnostic attitude of epistemological humility regarding the correspondence-truth of their map. They are concerned with the utility of their map as a practical action-guide. Knowledge has a practical not theoretical focus; it concerns concrete experiences and narratives of actual lives in the world. Knowledge is not a species of belief.

Jim Cheney (Cheney 1998, Hester and Cheney 2001) argues that Indigenous North American philosophies conceive truth in moral terms such as responsibility, goodness and human well-being. This view of truth is a component of an ethical-epistemological orientation Cheney calls an “epistemology of respect” rather than an “epistemology of control.” Truth must responsibly guide action in the sense of promoting the well-being of everyone. It must be rooted in the world of concrete everyday practices and experiences in a way that makes possible human flourishing.

Willard Gingerich (1987), Miguel Leon-Portilla (1963), and James Maffie (2000b, 2002, 2003) maintain that pre-Hispanic indigenous Nahuatl-speaking philosophers of the High Central Plateau of Mexico conceived knowledge in non-veritistic terms such as balance, well-groundednness, moral uprightness, authenticity, and disclosingness. Correspondence truth played no role in their notions of wisdom, knowledge, proper belief, etc. Gordon Brotherston (2001) likewise argues that indigenous Amazonian philosophy conceives knowledge pragmatically in terms of the trustworthy, responsible, and careful ordering and arranging of things. It eschews broad, overarching, abstract conceptions of truth such as correspondence between propositions and world.

But what, exactly, does this survey of world philosophies show? Veritists will argue it shows very little. Regardless of what the preceding philosophers may think they are doing, they are simply not doing epistemology proper. They are doing something else: morality, aesthetics, pragmatics, or perhaps some aboriginal activity, that fails to make the necessary conceptual distinctions between the epistemological point of view, on the one hand, and the moral, aesthetic, etc., points of view, on the other.

Non-veritists, however, contend that the preceding shows veritism is a posteriori false. Goldman’s “thick” veritistic conceptions of knowledge, epistemology, and the epistemological point of view do not, as a matter of contingent fact, enjoy global acceptance. This fact demonstrates that Goldman’s veritism is simply too “thick” as a definition of the epistemological. Veritism excludes too many human activities across history and culture that are plausibly translated/interpreted as epistemological, and is therefore too restrictive to serve as an acceptable criterion for the epistemological when doing ethnoepistemology.

Furthermore, rather than simply assuming that non-veritist epistemologies mistakenly fail to draw a conceptually necessary or intrinsically rational distinction between the epistemological and the moral or aesthetic points of view, ethnoepistemology’s status as fallible, hypothetical, and a posteriori enterprise commits us to remain open to the possibilities that non-veritistic epistemologies have simply pursued an alternative path of epistemological development (one that may at some level even be incommensurable with the veritistic path), or that non-veritistic epistemologies have simply not committed the mistake of balkanizing the epistemological from the moral or aesthetic — i.e. the mistake of falsely drawing a distinction where there is no distinction to be made. After all, by naturalist lights, whether there is a distinction to be made is a contingent and a posteriori matter. The veritist’s putative distinction between these various points of view is not rooted in rationality per se, pre-existing non-natural epistemological reality, or a priori conceptual reality. In this regard, therefore, ethnoepistemologists need to be wary of a yet another version of ethnocentrism, namely, philosophical whiggism or the tendency to treat the claims and distinctions of the Western philosophical present not only as correct but as the inevitable, developmental destiny of all philosophical reflection. Comparative world philosophy clearly supports the idea that there is more than one philosophical (and epistemological) trajectory taken by humankind (see Deutsche and Bontekoe (eds.), 1997; Eze (ed.), 1996; Nuccetelli and Seay (eds.), 2004; Scharfstein, 1998; and Waters (ed.), 2004).

iii. Some Considerations Favoring a “Thin” Conception

How shall ethnoepistemology resolve this question? The “thin” conception of epistemology seems more attractive on several grounds. First, it leaves as open a posteriori question the nature and aims of knowledge and epistemology. Second, it is more inclusive. It recognizes a wider variety of possible answers to our questions concerning the nature and aims of knowledge and epistemology. Third, it achieves this inclusiveness in a manner that simultaneously respects the differences between world epistemologies. That is, it creates a common ground for world philosophers (and philosophies) without making all philosophers (and philosophies) the image of Western philosophers (philosophies). Alternatively put, it does not affirm that the non-Western “other” is doing epistemology by demanding that the non-Western “other” do precisely what Western epistemologists do and thus be indistinguishable from Western epistemologists.

Fourth, it avoids the subtle yet significant error committed by “thick” accounts such as Goldman’s. Goldman confounds normative and meta-levels of epistemology by construing his normative level definition of knowledge as a meta-epistemological constraint upon the nature of epistemology per se. As we’ve seen, Anglo-American philosophers distinguish meta- and normative levels of epistemological inquiry. Normative-level inquiry pursues such issues as the correct definition (or theory) of knowledge. Goldman’s normative-level theory of knowledge, for example, defines correspondence truth as a necessary condition knowledge. Meta-epistemological inquiry investigates the semantics, metaphysics, and epistemology of knowledge claims as well as the nature of epistemology itself. Goldman moves illegitimately from the normative level claim that truth is a necessary (defining) condition of knowledge to the logically distinct meta-level claim that truth is a necessary (defining) condition of epistemology proper. This leads Goldman to reject all non-veritistic conceptions of epistemology not on the grounds that they advocate a posteriori false theories of knowledge but on the grounds that they fail ex hypothesi to be epistemology per se.

In doing so, Goldman illegitimately construes his own peculiar meta-level theory about the correct ends of cognition from an epistemological point of view as a general definition of epistemology per se. Rather than being willing to see his view as one among many possible ways of conceiving knowledge, epistemic ends, etc., Goldman treats his way as the one and only way. In doing so, he forecloses ex hypothesi the possibility of genuine epistemological alternatives to – as well as legitimate dissent from – his own veritism.

Fifth, the “thin” conception leaves open the possibility of relativism concerning definitions of the proper ends of cognition from the epistemological point of view as well as relativism concerning definitions of knowledge, justification, evidence, right (good) belief. “Thicker” approaches, such as veritism, rule out relativism ex hypothesi; anyone who disagrees is simply not doing epistemology. Yet relativism should remain an open and contingent question; one to be resolved via a posteriori inquiry — not by conceptual fiat prior to inquiry.

Lastly, the “thin” view is less ethnocentric than the “thick.” While it is true that the “thin” view requires that others engage in the same kinds of reflective processes that we do on pain of not doing epistemology, it does not require that others arrive at the same substantive conclusions that we do in the way that “thicker” views require. Indeed, the “thin” view includes every cognitive practice we might feel inclined to translate/interpret as “epistemology.” In addition, it turns out that in most, if not all, cultures, individuals practice epistemology as “thinly” conceived.

In sum, ethnoepistemology strives to conceive epistemology as broadly, ecumenically, and open-endedly as possible without lapsing into triviality. In light of this, it adopts the “thin” definition above (at least until something better comes along).

iv. Two Further Issues

Implicit in the discussion above are two further closely related issues. First, does epistemology enjoy a metaphysical essence that necessarily distinguishes it from ethics, soccer, cooking, and pragmatics? In brief, it would seem not. Naturalism appears to afford us no such metaphysical underpinnings for human activities and no transcendental assurances concerning the eternal essence of epistemology, the ends of cognition from the epistemological point of view, or epistemology’s distinctness from other human activities such as doing science, playing chess or raising children. There is no pre-existing sui generis epistemological reality for humans to seek to discover through epistemology. Similarly, epistemology (like other human activities) does not appear to qualify as a natural kind like say, H2O, quark, and humanness. Rather, epistemology is a contingent enterprise fashioned by humans and for humans. Our conceptions of knowledge, justification and evidence as well as of epistemology itself are all contingent human fabrications.

However, this fact entails neither epistemological relativism nor metaphysical irealism regarding the ontological status of epistemological properties. Whether humankind’s epistemological activities are characterized by unity or relativity remains an open factual question to be settled a posteriori. Similarly, anti-essentialism regarding the essence of the enterprise of epistemology is compatible with realism regarding epistemic properties such as justification. (For supporting argument, see Maffie 1990, 1993, 1995, 1999).

Second, if epistemology is underpinned neither by a metaphysical essence nor by a natural kind, can we maintain that there is a pre-existing fact of the matter whether someone in another culture is really doing epistemology as opposed to something else? Can we maintain that it is precisely such facts that an adequate ethnoepistemology must capture? On the other hand must we deny the existence of such facts and maintain instead that whether or not someone is doing epistemology is ultimately a matter of our translation/interpretation of their behavior? (For relevant discussion, see Quine 1960; Davidson 1984; and Roth 1987).

b. What is the Nature of the Object of Epistemological Evaluation?

A second set of a posteriori issues confronting ethnoepistemology concerns the nature of the object of epistemological evaluation. First, assuming we define epistemology as concerned with evaluating whether or not some item qualifies as knowledge, how shall we construe the nature of knowledge: as something psychological, sociological, biological, behavioral, or ecological? Shall we think of knowledge as an entity one apprehends and possesses, as a map one uses, as an appellation bestowed by one’s social peers or as a way of acting in the world? Finally, does the actual practice of epistemology require that one construes knowledge in one of these ways rather than another?Ethnoepistemology ought to remain neutral regarding these questions in order to be as inclusive as possible regarding the variety of possible epistemologies in the world. There appears to be no compelling reason to think that the practice of epistemology proper requires that knowledge be defined as a private, mental entity as opposed to a behavioral or practical disposition; or that it be theorized as an entity to be acquired and possessed as opposed to a way of conducting one’s life, etc.

Second, if epistemology is concerned with knowledge, how shall we understand knowledge: in propositional or sentential terms (that is, as “theoretical knowledge” or “knowledge that”), or in practical terms (that is, as “practical knowledge” or “know how”)? Should we even accept this distinction? Similarly, if epistemology evaluates cognitive attitudes such as belief, should such cognitive attitudes be defined sententially, propositionally, or practically? Finally, how does this question bear upon whether a group or culture may be said to do epistemology?

Western epistemology has traditionally focused upon theoretical to the exclusion of practical knowledge. If one agrees and defines the proper concern of epistemological evaluation to be propositional knowledge (or belief), then it would appear to follow that those individuals, groups, and cultures that conceive knowledge (and belief) non-propositionally must a fortiori fail to be doing epistemology. Whatever they are doing, it simply is not epistemology.

Yet classical Chinese thought (as embodied in pre-Han Taoist and Confucian traditions) focused upon neither propositional (sentential) and theoretical attitudes nor propositional and theoretical (sentential) knowledge. Chinese linguistic theory is pragmatic, not semantic. According to Hansen, it is concerned with the assertability of “words, phrases, sentences, arguments and even whole dialogues” (Hansen 1992:44), rather than the truth of sentences or propositions. Chinese epistemology discusses zhi (knowledge) but interprets zhi non-propositionally.

The grammatical object of zhi (know) is always a noun or phrase, not a subject-predicate sentence. The kind of knowing that makes sense of Chinese views is knowing-how to do something, knowing-to-do something, or knowing-of (about) something (Hansen 1992:44).

According to Roger Ames, zhi is a way of acting in the world; it is “knowing…the ‘way’…” (Ames 1997:259). A host of indigenous North and Mesoamerican philosophies embrace remarkably similar pragmatic accounts of knowledge (and belief) (e.g., see Deloria, et al (eds.), 1999: Hester and Cheney, 2001: Gingerich, 1987: Maffie, 2002: and Waters (ed.), 2004).

Shall we conclude that East Asian and indigenous North and Mesoamerican philosophers cannot be said to be doing epistemology since they define knowledge in non-propositional, behavioral terms — that is, because they define knowledge incorrectly according to (some) Western philosopheis? Doing so clearly appears too restrictive, and ethnoepistemology therefore adopts a more ecumenical approach. We are simply confronted with different kinds of epistemologies: those concerned with propositional knowing, those concerned with non-propositional knowing, and those which reject the propositional vs. non-propositional dichotomy when characterizing knowing. Furthermore, defining the practice of epistemology per se in terms of a particular normative level theory about the nature of knowledge commits the fallacy of treating a normative level claim as a meta-epistemological level claim (see above).

c. How Important is Belief to Epistemology?

A third issue facing ethnoepistemology concerns the relevance of belief. Western epistemologists have commonly defined knowledge in terms of justified true belief, and commonly construed epistemology as being concerned with evaluating the epistemic credentials of belief. If we accept this account, what happens if there is no such thing as belief? Does epistemology go out of business? If beliefs exist but turn out to be a culturally specific cognitive phenomenon such that individuals in some cultures do not have beliefs, can they be said to practice epistemology?

Rodney Needham persuasively argues against the idea that “the institutions of…belief…express a distinct and universal mode of stable experience (Needham 1972:217), and hence the idea that belief is natural kind that cuts across culture. He quotes E.E. Evans-Pritchard as saying, “There is…no word in the Nuer language which could stand for ‘I believe'” (Needham 1972:23); no word with which to express belief. Whatever mental states, cognitive attitudes or sentiments the Nuer adopt towards the existence of, say, their gods or cosmologies, Evans-Pritchard denies they are felicitously translated/interpreted into English as “believe.” People in other cultures appear to employ different folk psychologies when characterizing their mental states (just as they employ different folk physics when characterizing their environments), and these folk psychologies need not include belief. As a consequence, we should not expect individuals in other cultures to have beliefs. Belief is simply not a useful notion in representing the mental states of individuals in (at least some) other cultures.

If Needham is correct, then it would seem that the epistemologies of such cultures as the Nuer, for example, focus upon evaluating some mental state or cognitive attitudes other than belief. But would this endeavor still qualify as epistemology? Does epistemology require that one evaluates belief specifically?

Hallen and Sodipo (1997) contend the most plausible translation/interpretation of Yoruba linguistic behavior containing abstract terms and concepts used in the evaluation and grading of information yields a reading which does not map neatly onto the English terms “belief” and “knowledge.” The Yoruba’s notions of gbagbo and mo are not logically equivalent to the English notions of belief and knowledge, respectively. Yoruba epistemological concepts and distinctions simply do not map neatly onto Anglo-American epistemological concepts and distinctions. In so arguing, the authors make a strong prima facie case for the non-universality of propositional attitudes as well as the non-universality of epistemological concepts (e.g., the concept of knowledge as justified true belief). Is the Yoruba’s evaluation of information properly characterized as epistemology? Does epistemology cease to exist in a culture wherein there is no belief to evaluate?

Chad Hansen argues that classical Chinese does not possess the notion of belief as a propositional or sentential attitude:

[It] has no grammatically parallel verb for propositional belief…. The closest counterparts to belief…focus on the term, not the sentence. Where we would say, “He believes it is good,” classical Chinese would use a structure something like, “He goods it” or He yi…(with regard to) that, wei (deems) [it] good” (Hansen 1992:44).

The closest counterparts to belief are best understood as “dispositions to use a term of some object” (Hansen 1992:44) rather than as propositional attitudes. Is epistemology possible under these circumstances?

Finally, Paul Churchland (1979, 1981), Patricia Churchland (1986, 1987), and Stephen Stich (1983) contend that the notion of belief is a theoretical constituent of Western culture’s folk psychology about what is the nature of mind. Western folk psychology will undoubtedly be supplanted by neuroscience, just as Western folk physics has been supplanted by Western scientific physics. In the process, they predict, the notion of belief will simply be eliminated, tossed into the rubbish bin of outmoded folk theoretical notions alongside unicorns, faeries, and leprechauns. If this is correct, will epistemology go out of business, or will it shift its focus to the evaluation of neurological states instead?

On this issue ethnoepistemology ought to remain neutral so as to be as inclusive as possible regarding the variety of possible world epistemologies. There are no compelling reasons for requiring that individuals have specific cognitive attitudes such as belief in order for there to be epistemology.

3. Three Areas of Ethnoepistemological Inquiry

Ethnoepistemology examines the epistemological activities of three groups of epistemic agents: ordinary folk, cognitive specialists (e.g., scientists and diviners), and epistemologists. In what follows, these are called “the ethnoepistemology of folk epistemology,” “the ethnoepistemology of cognitive specialists,” and “the ethnoepistemology of epistemology,” respectively. The three exist along a continuum since their activities differ in degree, not in kind. They differ in terms of their degree of critical self-reflection, abstraction and generality of theorizing. In one degree or another, and from time to time, ordinary folk as well as cognitive specialists engage in epistemological reflection. Reflection upon the general nature of evidence, justification, and knowledge is by no means the monopoly of professional philosophers (For supporting argument, see Maffie 1995, 1999).

Ethnoepistemology’s examination of each group admits of descriptive and critical as well as domestic and non-domestic varieties. Domestic ethnoepistemologies examine the evidential practices of one’s own culture; whereas non-domestic ethnoepistemologies examine those of alien cultures. Descriptive studies aim to describe and report faithfully the goals, norms and methodologies of various human epistemic activities. Critical studies aim to evaluate and critically reflect upon these practices. They also issue in critical or prescriptive reforming accounts of human epistemic norms, theories, and judgments.

a. The Ethnoepistemology of Ordinary Folk

The ethnoepistemology of ordinary folk examines what Goldman (1992) calls the “epistemic folkways” — i.e., the largely pre-reflective, untutored, and uncritical workaday epistemic concepts, intuitions, judgments, and norms of ordinary people.

Descriptive studies aim to describe faithfully the intuitions, judgments, standards, and goals of some particular folk epistemic practice. Such studies issue in reported accounts of epistemic folkways. They include (among others): Belenky, et al. (eds.), (1986), Code (1991), Coetze and Roux (eds.), (1998), P. Collins (1991), Crick (1982), Deloria et al (eds.), (1999), Eze (ed.), (1996), Goldman, (1986, 1992), Hallen and Sodipo, (1986), Lopez Austin, (1988), Kitchener (ed.), (2002), Radin, (1957), and Waters (ed.), (2004).

Critical studies reflect critically upon epistemic folkways and typically issue in critical evaluations of these folkways or reforming and prescriptive accounts of folk epistemic norms and concepts. Such projects include the naturalized epistemologies of Code (1991), P. Collins (1991), Goldman (1986, 1992, 1999) and Kornblith (ed.) (1997).

Incidentally, from the perspective of ethnoepistemology, self-proclaimed non-naturalist epistemologists such as Bonjour (1985) and Chisholm (1977) unwittingly practice descriptive or critical domestic ethnoepistemology of their epistemic folkways. After all, they rely upon ordinary intuitions and concepts, common sense judgments, etc., as the raw data for their a priori reflections and theories. Yet as Stephen Stich (1991:209) points out, their studies constitute “a sort of domestic cognitive anthropology which records and formalizes our culture’s commonsense epistemic notions.” Moreover, their projects are epistemologically flawed because their use of intuitions, judgments and thought-experiments amounts to little more than an appeal to anecdotal evidence.

b. The Ethnoepistemology of Cognitive Specialists

The ethnoepistemology of cognitive specialists examines the epistemological activities of curers, shamans, diviners, priests, scientists, etc. Cognitive specialists are individuals who cultivate the use of one (or more) specific method or style (e.g., altered states of consciousness, intuition, reason or observation) in the formation and regulation of cognitive attitudes. Trained in a specific cognitive method, they tend to be more self-conscious about their use of evidence, rules of evidence, evidential goals, etc., than most ordinary folk.

Descriptive studies aim to describe faithfully the epistemological concepts, judgments, norms and goals of cognitive specialists in various cultures. They may examine the practices of domestic or non-domestic cognitive specialists. Such studies include: Biagioli (1990), Bloor (1976), Deloria et al (eds.) (1999), Evans-Pritchard (1976), Goonatilake (1998), Horton (1993), Latour and Woolgar (1986), Leon-Portilla (1963, 1988), Lopez Austin (1988), Middleton (ed.) (1967), Peek (ed.) (1991), Shapin and Schaffer (1985), Sivan (1995), Turnbull (1993-1994), Watson-Verran and Turnbull (1995), and Wylie (2002).

Critical studies reflect critically upon the evidential concepts, norms, etc. of cognitive specialists. Such studies include: Bloor (1991), Callebaut (1993), Harding (1997, 1998), Harding (ed.) (1987, 1993), Latour and Woolgar (1986), Keller (1985), Quine (1951, 1969, 1975), Roth (1987, 1989) and Wylie (2002).

c. The Ethnoepistemology of Epistemologists

The ethnoepistemology of epistemologists examines the epistemological activities of epistemologists, i.e., individuals who reflect critically, abstractly, systematically, theoretically, and generally upon the nature, source and limits of knowledge per se — as opposed to the nature, source and limits of knowledge as conceived within the limits of some cognitive practice (e.g., science, religion, etc.). The ethnoepistemology of epistemologists is undoubtedly the most controversial area of ethnoepistemology since it conceives the activity of epistemologists as a straightforward natural phenomenon susceptible to a posteriori examination by cognitive psychologists, anthropologists, sociologists of knowledge, etc. Much like priests and shamans, epistemologists (and philosophers generally) typically maintain their activities and claims reside beyond the limits of naturalistic explanation since they fancy themselves able to transcend the natural realm by dint of special, non-natural cognitive faculties that provide them with privileged access to non-natural metaphysical truths, principles or facts. Ethnoepistemology insists upon studying the activities of philosophers in the same manner as anthropology studies the activities of priests, shamans, and scientists.

Descriptive ethnoepistemologies of epistemologists aim to describe faithfully the epistemological theories, intuitions, judgments, and goals of epistemologists. Such studies may be domestic or non-domestic. They include: Coetze and Roux (eds.) (1998), R. Collins (1998), Deutsche and Bontekoe (eds.) (1997), Deloria, et al (eds.) (1999), Eze (ed.) (1996), Gingerich (1987), Hall and Ames (1987, 1998), Hallen and Sodipo (1986), Kusch (1995), Leon-Portilla (1963), Maffie (2000b, 2002, 2003), Maffie (ed.) (2001), Nuccetelli and Seay (eds.) (2004), Oruka (1990), Presbey et al (eds.) (2002), Scharfstein (1998) and Waters (ed.) (2004).

Critical ethnoepistemologies of epistemologists engage critically with the epistemological concepts, principles, theories, etc., of epistemologists, both domestic and non-domestic. Such studies include: Code (1991), P. Collins (1991), Deloria et al (eds.) (1999), Deloria, Jr. and Wildcat (2001), Hall and Ames (1987, 1988), Harding (1991, 1998), Harding (ed.) (1987, 1993), Maffie (1995, 2000a, 2002, 2003), Maffie (ed.) (2001), Nuccetelli and Seay (eds.) (2004), Presbey et al (eds.) (2002), Roth (1987, 1989), Scharfstein (1993, 1998, 2001) and Waters (ed.) (2004).

Critical ethnoepistemology of epistemologists also involves high level philosophical reflection concerning the nature, aims and province of as well as motivations for epistemology. It is here that the questions enumerated above are most fruitfully addressed. How do we define epistemology itself? Is there a unique epistemological point of view, and if so what is it? How do we avoid begging the question in favor of our domestic definition? Is humankind characterized by epistemological unity or relativity? Seeing as these questions remain largely unanswered, there is much research yet to be done by ethnoepistemology.

4. References and Further Reading

  • Ames, Roger T. “Images of Reason in Chinese Culture.” Introduction to World Philosophies, Ed. Eliot Deutsche Upper Saddle River: Prentice Hall, 1997. 254-259.
  • Bernasconi, Robert. “African Philosophy’s Challenge to Continental Philosophy.” Postcolonial African Philosophy: A Critical Reader. Ed. Emmanuel Chukwadi Eze. Oxford: Blackwell, 1997. 183-193.
  • Biagioli, Mario. “The Anthropology of Incommensurability.” Studies in the History and Philosophy of Science 21 (1990):183-209.
  • Bloor, David. Knowledge and Social Imagery, 2nd ed. Chicago: University of Chicago Press, 1991.
  • Bonjour, L. The Structure of Empirical Knowledge. Cambridge: Harvard University Press, 1985.
  • Callebaut, Werner. Taking the Naturalistic Turn or How Real Philosophy of Science is Done. Chicago: University of Chicago Press, 1993.
  • Campbell, Donald T. “Evolutionary Epistemology.” The Philosophy of Karl Popper. Ed. P.A. Schilpp. La Salle: Open Court, 1974. 413-463.
  • Cheney, Jim. “Universal-Consideration: An Epistemological Map of the Terrain.” Environmental Ethics 20 (1998):265-277.
  • Chisholm, R. Theory of Knowledge. 2nd Ed. Englewood Cliffs: Prentice-Hall 1977.
  • Churchland, Patricia. Neuroscience. Cambridge: MIT Press, 1986.
  • Churchland, Patricia . “Epistemology in the Age of Neuroscience.” Journal of Philosophy. 84 (1987): 544-553.
  • Churchland, Paul. Scientific Realism and the Plasticity of Mind. Cambridge: Cambridge University Press, 1979.
  • Churchland, Paul . “Eliminative Materialism and the Propositional Attitudes.” Journal of Philosophy. 78 (1981):67-90.
  • Code, Lorraine. What Can She Know? Feminist Theory and the Construction of Knowledge. Ithaca: Cornell University Press, 1991.
  • Coetze, P.H., and A.P.J. Roux, eds. The African Philosophy Reader. New York: Routledge, 1998.
  • Collins, Patricia Hill. Black Feminist Thought: Knowledge, Consciousness, and the Politics of Empowerment. London: Routledge, 1991.
  • Collins, Randall. The Sociology of Philosophies: A Global Theory of Intellectual Change. Cambridge: Belknap Press, 1998.
  • Davidson, Donald. Inquiries into Truth and Interpretation. Oxford: Oxford University Press, 1984.
  • Deloria, Barbara, Kristen Foehner, and Sam Scinta, eds. Spirit and Reason: The Vine DeLoria Jr., Reader. Golden, Colorado: Fulcrum, 1999.
  • Deloria, Jr., Vine, and Daniel Wildcat. Power and Place: Indian Education in America. Golden, Colorado: Fulcrum, 2001.
  • Deutsche, E., and R. Bontekoe, eds. A Companion to World Philosophies. Oxford: Blackwell, 1997.
  • Evans-Pritchard, E.E. Witchcraft, Oracles, and Magic Among the Azande. Abridged Ed., E. Giles. Oxford: Oxford University Press, 1976.
  • Eze, Emmanuel Chukweze, ed. African Philosophy: A Reader. Oxford: Blackwell, 1996.
  • Giere, Ronald. Explaining Science. Chicago: University of Chicago Press, 1988.
  • Gingerich, Willard. “Heidegger and the Aztecs: The Poetics of Knowing in Pre-Hispanic Nahuatl Poetry.” Recovering the Word: Essays on Native American Literature. Eds. B. Swann and A. Krupat. Berkeley: University of California Press, 1987. 85-112.
  • Goldberger, Nancy, Jill Tarule, Blythe Clinchy, and Mary Belenky, eds. Knowledge, Difference, and Power: Essays Inspired by “Women’s Ways of Knowing.” New York: Basic Books, 1996.
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Author Information

James Maffie
Email: maffiej@umd.edu
University of Maryland
U. S. A.

Jacques Lacan (1901—1981)

LacanIt would be fair to say that there are few twentieth century thinkers who have had such a far-reaching influence on subsequent intellectual life in the humanities as Jacques Lacan. Lacan’s “return to the meaning of Freud” profoundly changed the institutional face of the psychoanalytic movement internationally. His seminars in the 1950s were one of the formative environments of the currency of philosophical ideas that dominated French letters in the 1960s and’70s, and which has come to be known in the Anglophone world as “post-structuralism.”

Both inside and outside of France, Lacan’s work has also been profoundly important in the fields of aesthetics, literary criticism and film theory. Through the work of Louis Pierre Althusser (and more lately Ernesto Laclau, Jannis Stavrokakis and Slavoj Zizek), Lacanian theory has also left its mark on political theory, and particularly the analysis of ideology and institutional reproduction.

This article seeks to outline something of the philosophical heritage and importance of Lacan’s theoretical work. After introducing Lacan, it focuses primarily on Lacan’s philosophical anthropology, philosophy of language, psychoanalysis and philosophy of ethics.

Table of Contents

  1. Biographical and General Introduction
    1. Biography
    2. Intellectual Biography
    3. Theoretical Project
  2. Lacan’s Philosophical Anthropology
    1. The Mirror Stage
    2. Desire is the Desire of the Other
    3. Oedipal Complex, Castration, Name of the Father, and the Big Other
    4. The Law and Symbolic Identification
    5. Summary
    6. Lacan’s Diagnostic Categories
  3. Lacan’s Philosophy of Language
    1. Language and Law
    2. Psychoanalysis as Interpretation
    3. The Curative Efficacy of the “Talking Cure”
  4. Lacanian Psychoanalysis and Philosophy of Ethics
    1. Master Signifiers, and the Decentred Nature of Belief
    2. Lacan’s Conception of Fantasy
    3. The Lacanian Subjects, and Ethics
  5. References and Further Reading

1. Biographical and General Introduction

a. Biography

Jacques-Marie-Émile Lacan was born in Paris on April 13 1901 to a family of solid Catholic tradition, and was educated at a Jesuit school. After completing his baccalauréat he commenced studying medicine and later psychiatry. In 1927, Lacan commenced clinical training and began to work at psychiatric institutions, meeting and working with (amongst others) the famous psychiatrist Gaetan Gatian de Clerambault. His doctoral thesis, on paranoid psychosis, was passed in 1932. In 1934, he became a member of La Societe Psychoanalytique de Paris (SPP), and commenced an analysis lasting until the outbreak of the war. During the Nazi occupation of France, Lacan ceased all official professional activity in protest against those he called “the enemies of human kind.” Following the war, he rejoined the SPP, and it was in the post-war period that he rose to become a renowned and controversial figure in the international psychoanalytic community, eventually banned in 1962 from the International Psychoanalytic Association for his unorthodox views on the calling and practice of psychoanalysis. Lacan’s career as both a theoretician and practicioner did not end with this excommunication, however. In 1963, he founded L’Ecole Freudienne de Paris (EFP), a school devoted to the training of analysts and the practicing of psychoanalysis according to Lacanian stipulations. In 1980, having single-handedly dissolved the EFP, he then constituted the Ecole for “La Cause Freudienne,” saying: “It is up to you to be Lacanians if you wish; I am Freudian.” Lacan died in Paris on September 9, 1981.

b. Intellectual Biography

Lacan’s first major theoretical publication was his piece “On the Mirror Stage as Formative of the I.” This piece originally appeared in 1936. Its publication was followed by an extended period wherein he published little. In 1949, though, it was re-presented to wider recognition. In 1953, on the back of the success of his Rome dissertation to the SPP on “The Function and Field of Speech in Psychoanalysis,” Lacan then inaugurated the seminar series that he was to continue to convene annually (albeit in different institutional guises) until his death. It was in this forum that he developed and ceaselessly revised the ideas with which his name has become associated. Although Lacan was famously ambivalent about publication, the seminars were transcribed by various of his followers, and several have been translated into English. Lacan published a selection of his most important essays in 1966 in the collection Ecrits. An abridged version of this text is available in an English-language edition (see References and Further Reading).

c. Theoretical Project

Lacan’s avowed theoretical intention, from at least 1953, was the attempt to reformalize what he termed “the Freudian field.” His substantial corpus of writings, speeches and seminars can be read as an attempt to unify and reground what are the four interlinking aspirations of Freud’s theoretical writings:

  1. a theory of psychoanalytic practice as a curative procedure;
  2. the generation of a systematic metapsychology capable of providing the basis for
  3. the formalization of a diagnostic heuristic of mental illness; and
  4. the construction of an account of the development of the “civilized” human psyche.

Lacan brought to this project, however, a keen knowledge of the latest developments in the human sciences, drawing especially on structuralist linguistics, the structural anthropology of Claude Levi-Strauss, topology, and game theory. Moreover, as Jacques Derrida has remarked, Lacan’s work is characterized by an engagement with modern philosophy (notably Descartes, Kant, Hegel, Heidegger and Sartre) unmatched by other psychoanalytic theorists, especially informed by his attendance at Andre Kojeve’s hugely influential Paris lectures on Hegel from 1933-1939.

2. Lacan’s Philosophical Anthropology

a. The Mirror Stage

Lacan’s article “The Mirror Stage as Formative of the I” (1936, 1949) lays out the parameters of a doctrine that he never foreswore, and which has subsequently become something of a post-structuralist mantra: namely, that human identity is “decentred.” The key observation of Lacan’s essay concerns the behaviour of infants between the ages of 6 and 18 months. At this age, Lacan notes, children become capable of recognizing their mirror image. This is not a dispassionate experience, either. It is a recognition that brings the child great pleasure. For Lacan, we can only explain this “jubilation” as a testimony to how, in the recognition of its mirror-image, the child is having its first anticipation of itself as a unified and separate individual. Before this time, Lacan contends (drawing on contemporary psychoanalytic observation), the child is little more than a “body in bits and pieces,” unable to clearly separate I and Other, and wholly dependant for its survival (for a length of time unique in the animal kingdom) upon its first nurturers.

The implications of this observation on the mirror stage, in Lacan’s reckoning, are far-reaching. They turn around the fact that, if it holds, then the genesis of individuals’ sense of individuation can in no way be held to issue from the “organic” or “natural” development of any inner wealth supposed to be innate within them. The I is an Other from the ground up, for Lacan (echoing and developing a conception of the ego already mapped out in Freud’s Ego and Id). The truth of this dictum, as Lacan comments in “Aggressivity and Psychoanalysis,” is evident in infantile transitivity: that phenomenon wherein one infant hit by another yet proclaims: “I hit him!” and visa-versa. It is more simply registered in the fact that it remains a permanent possibility of adult human experience for us to speak and think of ourselves in the second or third person. What is decisive in these phenomena, according to Lacan, is that the ego is at base an object: an artificial projection of subjective unity modelled on the visual images of objects and others that the individual confronts in the world. Identification with the ego, Lacan accordingly maintains, is what underlies the unavoidable component of aggressivity in human behaviour especially evident amongst infants, and which Freud recognised in his Three Essays on Sexuality when he stressed the primordial ambivalence of children towards their love object(s) (in the oral phase, to love is to devour; in the anal phase, it is to master or destroy…).

b. Desire is the Desire of the Other

It is on the basis of this fundamental understanding of identity that Lacan maintained throughout his career that desire is the desire of the Other. What is meant by him in this formulation is not the triviality that humans desire others, when they sexually desire (an observation which is not universally true). Again developing Freud’s theorization of sexuality, Lacan’s contention is rather that what psychoanalysis reveals is that human-beings need to learn how and what to desire. Lacanian theory does not deny that infants are always born into the world with basic biological needs that need constant or periodic satisfaction. Lacan’s stress, however, is that, from a very early age, the child’s attempts to satisfy these needs become caught up in the dialectics of its exchanges with others. Because its sense of self is only ever garnered from identifying with the images of these others (or itself in the mirror, as a kind of other), Lacan argues that it demonstrably belongs to humans to desire—directly—as or through another or others. We get a sense of his meaning when we consider such social phenomena as fashion. As the squabbling of children more readily testifies, it is fully possible for an object to become desirable for individuals because they perceive that others desire it, such that when these others’ desire is withdrawn, the object also loses its allure.

Lacan articulates this decentring of desire when he contends that what has happened to the biological needs of the individual is that they have become inseparable from, and importantly subordinated to, the vicissitudes of its demand for the recognition and love of other people. Events as apparently “natural” as the passing or holding back of stool, he remarks in Ecrits, become episodes in the chronicle of the child’s relationship with its parents, expressive of its compliance or rebellion. A hungry child may even refuse to eat food if it perceives that this food is offered less as a token of love than one of its parents’ dissatisfaction or impatience.

In this light, Lacan’s important recourse to game theory also becomes explicable. For game theory involves precisely the attempt to formalize the possibilities available to individuals in situations where their decisions concerning their wants can in principle both affect and be affected by the decisions of others. As Lacan’s article in the Ecrits on the “Direction of the Treatment” spells out, he takes it that the analytic situation, as theorized by Freud around the notion of transference (see Part 2), is precisely such a situation. In that essay, Lacan focuses on the dream of the butcher’s wife in Freud’s Interpretation of Dreams. The said “butcher’s wife” thought that she had had a dream which was proof of the invalidity of Freud’s theory that dreams are always encoded wish-fulfillments. As Freud comments, however, this dream becomes explicable when one considers how, after a patient has entered into analysis, her wishes are constructed (at least in part) in relation to the perceived wishes of the analyst. In this case, at least one of the wishes expressed by the dream was the woman’s wish that Freud’s desire (for his theory to be correct) be thwarted. In the same way, Lacan details how the deeper unconscious wish expressed in the manifest content of the dream (which featured the woman attempting to stage a dinner party with only one piece of smoked salmon) can only be comprehended as the coded fulfilment of a desire that her husband would not fulfill her every wish, and leave her with an unsatisfied desire.

c. Oedipal Complex, Castration, Name of the Father, and the Big Other

The principle that desire is the desire of the Other is also decisive in how Lacan reformulates Freud’s theory of the child’s socialisation through the resolution of its Oedipal complex in its fifth or sixth year. Lacan agrees with Freud that this event is decisive both in the development of the individual, and in the aetiology of any possible subsequent mental illness. However, in trying to understand this stage of subjective development, Lacan distances himself from Freud’s emphasis on the biological organ of the penis. Lacan talks instead of the phallus. What he is primarily referring to is what the child perceives it is that the mother desires. Because the child’s own desire is structured by its relationships with its first nurturer (usually in Western societies the mother), it is thus the desire of the mother, for Lacan, that is the decisive stake in what transpires with the Oedipus complex and its resolution. In its first years, Lacan contends, the child devotes itself to trying to fathom what it is that the mother desires, so that it can try to make itself the phallus for the mother- a fully satisfying love-object. At around the time of its fifth or sixth desire, however, the father will normally intervene in a way that lastingly thwarts this Oedipal aspiration. The ensuing renunciation of the aspiration to be the phallic Thing for the mother, and not any physical event or its threat, is what Lacan calls castration, and it is thus a function to which he thinks both boys and girls are normally submitted.

The child’s acceptance of its castration marks the resolution of its Oedipal complex, Lacan holds, again shadowing Freud. The Oedipal child remains committed to its project of trying to fathom and fulfil this desire. It accordingly (and famously) perceives the father as a rival and threat to its dearest aspirations. Because of this, in a maverick theoretical conjunction, Lacan indeed likens the father-child relation at this point (at least as it is perceived by the child) to the famous “struggle to the death for pure recognition” dramatized in Hegel’s Phenomenology of Spirit. In this struggle, of course, the child invariably loses. But everything turns, according to Lacanian theory, on whether this loss constitutes a violent humiliation for the child or whether, as in Hegel’s account of “Lordship and Bondage,” its resolution involves the founding of a pact between the parties, bound by the solemnification of mutually recognised Law.

If the castration complex is to normalize the child, Lacan argues, what the child must be made to perceive is that what satisfies or orders the desire of the mother is not any visible (imaginary) feature of the father (his obviously better physical endowments, and so on). The child must come to see that the whims of the mother are themselves ordered by a Law that exceeds and tames them. This law is what Lacan famously dubs the name (nom) of the father, trading on a felicitous homonymy in French between nom (name) and non (the “no!” to incestuous union). When the father intervenes, (at least when he is what Lacan calls the symbolic father) Lacan’s argument is that he does so less as a living enjoying individual than as the delegate and spokesperson of a body of social Law and convention that is also recognised by the mother, as a socialised being, to be decisive. This body of nomoi is what Lacan calls the big Other of the child’s given sociolinguistic community. Insofar as the force of its Law is what the child at castration perceives to be what moves the mother and gives the father’s words their “performative force” (Austin), Lacan also calls it the “phallic order.”

d. The Law and Symbolic Identification

The Law of the father is in this way theorised by Lacan as the necessary mediator between the child and the mother. A castrating acceptance of its sovereignity precipitates the child out of its ambivalent attempts to be the fully satisfying Thing for the mother. As Lacan quips, when the child accedes to castration, it accedes to the impossibility of it directly satisfying its incestous wish. If things go well, however, it will go away with “title deeds in its pocket” that guarantee that, when the time comes (and if it plays by the rules), it can at least have a satisficing substitute for its first lost love-object. What has occurred, in this event, is that the individual’s imaginary identifications (or “ideal egos”) that exclusively characterised its infantile years have been supplemented by an identification of an entirely different order: what Lacan calls a symbolic identification with an “ego ideal.” This is precisely identification with and within something that cannot be seen, touched, devoured, or mastered: namely, the words, norms and directives of its given cultural collective. Symbolic identification is always idenification with a normatively circumscribed way of organising the social-intersubjective space within which the subject can take on its most lasting imaginary identifications: (For example, the hysterical-vulnerable female identifies at the symbolic level with the patriarchal way of structuring social relations between sexes, outside of which her imaginary identification would be meaningless).

e. Summary

So, to repeat and summarise: Lacan’s philosophical anthropology (his answer to the question: what is it to be human?) involves several important reformulations of Freudian tenets. By drawing on Hegel, game theory, and contemporary observations of infant behaviour, he lays greater systematic emphasis than Freud had on the intersubjective constitution of human desire. In this feature at least, his philosophical anthropology is united with that of philosophers such as Levinas, Honneth and Habermas. Equally, since for Lacan human desire is “the desire of the other,” what he contends is at stake in the child’s socialisation is its aspiration to be the fully satisfying object for the mother, a function which is finally (or at least norm-ally) fulfilled by the Law-bearing words of the father. Human-being, for Lacan, is thus (as decentred) vitally a speaking animal (what he calls a parle-etre); one whose desire comes to be “inmixed” with the imperatives of, and stipulated within, the natural language of its society. [see Part 2] Particularly, Lacan picks up on certain cues within Freud’s texts (and those of Saint Paul) to emphasise the dialectical structuration of human desire in relation to the prohibitions of Law. If the Law of the father denies immediate access to what the child takes to be the fully satisfying object (as expounded above), from this point on, Lacan argues, (at least neurotic) desire is necessarily articulated in the interstices of what is permitted by the big Other. And it is characterised by an innate and “fatal” attraction to what it prohibits as such, which is why he placed such central emphasis throughout his career on the enigmatic Freudian notion of a death drive.

f. Lacan’s Diagnostic Categories

Finally, it should be noted that, because of Lacan’s reformulations of several of Freud’s key notions, Lacan’s diagnostic heuristic differs markedly from Freud’s. For Lacan, what is decisive in understanding mental illness is not the conflict between the embattled ego and its two more “irrational” psychic bedfellows, the superego and the id. It is how the subject bears up with respect to the condition of being a castrated animal forced to pursue its desire on “the inverted ladder of the signifier,” within the phallic order of its society’s big Other. The question to be asked, for Lacan, is: how fully has the subject acceded to its symbolic castration?, and- as such- how fully has it overcome the transitivity and aggressivity characteristic of the earlier infantile stages of its development?

As in Freud, Lacan stipulates three major classes of mental illness, all of which are situated by him with respect to the terms of this question, and which (as such) are elevated by him to something like three existential bearings towards the condition of being a decentred socialised animal. According to the Lacanian conceptualization, the neurotic is someone who has submitted to castration, but not without remainder. His/her symptoms stand testimony to a lasting refusal of, and resentment towards, the castrating agency of the big Other. The pervert is someone who has only partially acceded to castration. For him/her, the Law does not function wholly to repress or render inaccessible what s/he deeply desires (the maternal body). Because of this, this Law comes itself (either in its prosecution, or in its sufferance) to function as the object of her/his desire. Finally, the psychotic is someone who has never acceded (or been drawn to accede) to the symbolic order of social interchange bound by the name of the father. For him/her, this order of the big Other, in which people follow the Law “because it is the Law” can thus only ever appear to be a semblance. As is most clear in the delusions of paranoiacs, s/he will thus permanently be prey to the delusion that there must be some “Other of the big Other” (for example: aliens, the CIA, God) behind the scenes, pulling the strings of the social charade.

3. Lacan’s Philosophy of Language

The component of Lacanian theory for which it is perhaps most famous, and which has most baffled its critics, is the emphasis Lacan laid on language in his attempt to formalize psychoanalysis. From the 1950s, in complete opposition to any Jungian or romantic conceptions, Lacan instead described the unconscious as a kind of discourse: the discourse of the Other.

There are at least three interrelated concerns that inform the construction of what one might call Lacan’s “philosophy of language.” The first is the central argument that the child’s castration is the decisive point in its becoming a speaking subject. The second is his taking very seriously what might be termed the “interpretive paradigm” in Freud’s texts, according to which Freud repeatedly described symptoms, slips and dreams as symbolic phenomena capable of interpretation. -The third is Lacan’s desire to try to understand the efficacy of psychoanalytic interpretation as a curative procedure that relies solely on what Freud called in The Question of Lay Analysis the “magical” power of the word.

a. Language and Law

In Part 1, in recounting Lacan’s view on the resolution of the Oedipal complex, one reason why Lacan allocated language such importance was touched upon. For Lacan, it is only when the child accedes to castration and the Law of the father, that s/he becomes fully competent as a language-speaker within his/her given social collective. By contrast, individuals suffering from psychosis, Lacan stresses (in line with a vast wealth of psychological research), are prone to characteristic linguistic dysfunctions and inabilities. Already from this, then, we can outline a first crucial feature of Lacan’s “philosophy of language.” Like the later Wittgenstein, Lacan’s position is that to learn a language is to learn a set of rules or laws for the use and combination of words. Accordingly, for him too, “learning is based on believing” (Wittgenstein). Particularly, Lacan asserts a lasting link between the capacity of subjects to perceive the world as a set of discrete identifiable objects, and their acceptance of the unconditional authority of a body of convention. We will return to this below.

b. Psychoanalysis as Interpretation

Lacan’s contention concerning human-being as a parle-etre, put most broadly, is that when the subject learns its mother tongue, everything from its sense of how the world is, to the way it experiences its biological body, are over-determined by its accession to this order of language. This is the clearest register of the debt that Lacan owes to phenomenology. From Heidegger, he accepts the notion that to be a subject is to experience the world as a meaningful totality, and that language is crucial to this capability. Aligning Freud with the theories of Merleau-Ponty and Sartre, Lacan developed a psychoanalytic conception of how the body is caught in the play of meaning-formation between subjects, and expressive of the subjectivity that “lives” through it, as well as being an objectificable tool for the performance of instrumental activities. For Lacan, that is, “the unconscious” does not name only some other part of the mental apparatus than consciousness. It names all that about a subject, including bodily manifestations and identifications with others and “external” objects that insist beyond his/her conscious control.

Freud had already commented in the Introductory Lectures to Psychoanalysis that the unconscious can be compared to a language without a grammar. Lacan, using structuralist linguistics, attempted to systematize this contention, arguing that the unconscious is structured like a language, and that “it speaks”/ca parle. A symptom, Lacan (for example) claimed, is to be read as a kind of embodied corporeal metaphor. As Freud had argued, he takes it that what is at stake within a symptom is a repressed desire abhorrent to the consciously accepted self-conception and values of the subject. This desire, if it is to gain satisfaction at all, accordingly needs to be expressed indirectly. For example, a residual infantile desire to masturbate may find satisfaction indirectly in a compulsive ritual the subject feels compelled to repeat.

Just as one might metaphorically describe one’s love as a rose, Lacan argues, here we have a repressed desire being metaphorically expressed in some apparently dissimilar bodily activity. Equally, drawing on certain moments within Freud’s papers “On the Psychology of Love,” Lacan argues that desire is structured as a metonymy. In metonymy, one designates a whole object (for example, a car) by naming one part of it (for example: “a set of wheels”). Lacan’s argument is that, equally, since castration denies subjects full access to their first love object (the mother), their choice of subsequent love objects is the choice of a series of objects that each resemble in part the lost object (perhaps they have the same hair, or look at him/her the same way the mother did …). According to Lacan, the unconscious uses the multivalent resources of the natural language into which the subject has been inducted (what he calls “the battery of the signifier”) to give indirect vent to the desires that the subject cannot consciously avow.

Lacan’s Freudian argument is that a directly comparable process occurs in formations of the unconscious as in jokes. As Freud detailed in Jokes and Their Relation to the Unconscious, the “punch line” of jokes pack their punch by condensing in one statement, or even one word, two chains of meaning. The first of these is what the previous words and cues of the joke, and our shared norms for interpretation, lead us to expect. The second is a wholly different chain of associations, whose clash with what we had expected produces our sense of amusement. In the same way, Lacan observed that, for example, when an analysand makes a “slip of the tongue,” what has taken place is that the unconscious has employed such means as homonymy, the merging of two words, the forgetting or mispronunciation of certain words, or a slippage of pronoun or tense, etc., to intimate a whole chain of associations which the subject did not intend, but through which his unconscious desire is given indirect expression.

Lacan argues that what the consideration of jokes, symptoms and slips thus shows are a number of features of how it is that human beings form sense in language. The first thing is that the sentence is the absolutely basal unit of meaning. Before a sentence ends, Lacan notes, the sense of each individual word or signifier is uncertain. It is only when the sentence is completed that their sense is fixed, or—as Lacan variously put it—“quilted.” Before this time, they are what he calls “floating signifiers,” like to the leading premises of a joke.

The sense of this position can be easily demonstrated. One need only begin a sentence by proffering a subject, but then cease speaking before a verb and/or predicate is assigned to this in accordance with linguistic convention. For example, if I say: “when I was young I…” or “it’s not like…,” my interlocutor will be understandably want to know what it is that I mean. At the end of the sentence, by contrast, the sense of the beginning words becomes clear, as when I finish the first of the above utterances by saying “when I was young I ran a lot,” or whatever.

This understanding of sentences as the basic unit of sense, and of how it is that signifiers “float” until any given sentence is finished, is what informs Lacan’s emphasis on the future anterior tense. Sense, he argues, is always something that “will have been.” It is anticipated but not confirmed, when we hear uttered the beginning of a sentence (see transference below). Or else, at sentence’s end, it is something that we now see with the benefit of “twenty twenty hindsight” to have been intended all along. This is why, in Seminar I, Lacan even quips that the meaning of symptoms do not come from the past, but from the future. Before the work of interpretation, a symptom is a floating signifier, whose meaning is unclear to the analysand, and also to the analyst. As the analytic work proceeds, however, an interpretation is achieved at some later time that casts the whole behavior into relief in a wholly different light, and makes its sense clear.

c. The Curative Efficacy of the “Talking Cure”

Lacan’s emphasis on language is also over-determined by an elementary recollection that, if Freud’s intervention promised anything, it is that speaking with another person in strictly controlled circumstances can be a curative experience for people suffering from forms of mental illness. The analysand comes to the analyst with his troubling symptoms, and the analyst, at certain decisive points, offers interpretations of these behaviors that retrospectively make their meaning clear. And this is not simply an intellectual exercise. As Freud stressed, there is knowledge of the unconscious, and then there is knowledge that has effects upon it. A successful psychoanalytic interpretation is one that has effects even upon the biological reality of the body, changing the subject’s bearing towards the world, and dissolving his/her symptoms.

The need to explain this power of words and language is a clear and lasting motive behind Lacan’s understanding of language. His central and basal hypothesis concerning it can be stated in the following way. In a symptom, as we saw above, an unconscious desire seeks to make itself manifest. The symptom is recounted to the analyst, or else repeated in the way the subject responds to the analyst in the sessions. Then an interpretation is offered by the analyst, which recognizes or symbolizes the force of the desire at work in the symptom, and the symptom disappears. So here the recognition of a desire at the same time satisfies the desire. What this can accordingly only mean is that the unconscious desire given voice in the symptom is itself, from the start, at least in part a desire for recognition. This is an absolutely central Lacanian insight, wherein he again shows the influence of Hegel’s Phenomenology of Spirit upon his most central concepts. It synchronizes exactly with the philosophical anthropology recounted above, and Lacan’s stricture concerning how human desire is always caught up in the dialectics of individuals’ exchanges with others.

But, for Lacan, it also shows something vital about the language in or as which the subjects’ repressed desires are trying to find a vent. This is that language is above all a social pact. As Lacan wrote in the Ecrits: “As a rule everyone knows that others will remain, like himself, inaccessible to the constraints of reason, outside an acceptance in principle of a rule of debate that does not come into force without an explicit or implicit agreement as to what is called its basis, which is almost always tantamount to an anticipated agreement to what is at stake… I shall expect nothing therefore of these rules except the good faith of the Other, and, as a last resort, will make use of them, if I think fit or if I am forced to, only to amuse bad faith…” (Lacan, 2001: 154-155). Lacan’s idea is that to speak is to presuppose a body a conventions that ensue that, even if my immediate auditor doesn’t “get it,” the true meaning of what I wish to convey always will emerge, and be registered in some “Other” place. (Note that here is another meaning of the big Other touched upon in Part 1. The big Other is the place, tribunal, collective or single person which we presuppose will register the truth of what we say, whenever we speak.)

This is why Lacan’s philosophy of language is to be read in strong opposition to any philosophical account (whether Lockean, descriptivist or phenomenological) which argues that meaning is formed prior to the communicative act. Lacan defines speech as a process in which the subjects get their meanings back from the Other in an inverted form. Think once more of what is involved in psychoanalytic interpretation. Here the meaning of a symptom is rendered by the analyst. What this means, for Lacan, is that the symptom not only bears upon the subject’s past relations to others. If it can be dissolved by an Other’s interpretation, this is because it is formed with an eye to this interpretation from the start. To quote Slavoj Zizek on this Lacanian notion of how the symptom is from the start addressed to an Other supposed to know its truth: “The symptom arises where the world failed, where the circuit of symbolic communication was broken: it is a kind of “prolongation of communication by other means'”: the failed, repressed word articulates itself in a coded, ciphered form.

The implication of this is that the symptom can not only be interpreted but is, so to speak, formed with an eye to its interpretation … in the psychoanalytic cure the symptom is always addressed to the analyst, it is an appeal to him to deliver its hidden message … This … is the basic point: in its very constitution, the symptom implies the field of the big Other as consistent, complete, because its very formation is an appeal to the Other which contains its meaning …” (Zizek, 1989: 73). Even the key meaning of transference, for Lacan, is this supposition that there is an Other supposed to know the truth of my communicative acts, even down to the most apparently meaningless “slips” and symptomatic behaviours. In terms of the previous section, transference is the condition of possibility for the quilting of the meaning of floating signifiers that occurs even in the most basic sentences, as we saw. What occurs in a psychoanalytic interpretation is simply one more consequential version of this process. The subject, by speaking, addresses himself to some Other supposed to know her/his truth, and at the end of this process, the signifiers he offers to the Other are quilted, and return to him “in an inverted form.”

What has occurred at this point, on Lacan’s reckoning, is that the previously unquilted signifiers finding voice in the manifestations of his unconscious are integrated into the subject’s symbolic universe: the way s/he understands the world, in the terms of his/her community’s natural language. They have been subjectivised; which means that now s/he can recognise them as not wholly alien intrusions into his/her identity, but an integral part of this identity. Lacan’s stress is thus always, when he talks of psychoanalytic interpretation, that this interpretation does not add new content to the subject’s self-understanding, so much as affect the form of this understanding. An interpretation, that is, realigns the way the s/he sees her past, reordering the signifiers in which his/her self-understanding has come to be ordered. A crucial Lacanian category in theorising this process is that of the “master signifier.” Master signifiers are those signifiers to which a subject’s identity are most intimately bound. Standard examples are words like “Australian,” “democrat,” “decency,” “genuineness.” They are words which will typically be proffered by subjects as naming something like what Kant would have called ends in themselves. They designate values and ideals that the subject will be unwilling and unable to question without pulling the semantic carpet from beneath their own feet.

Lacan’s understanding of how these “master signifiers” function is a multi-layered one, as we shall see in more detail in Part 3. It is certainly true to say, though, that the importance of these signifiers comes from how a subject’s identification with them commits them to certain orderings of all the rest of the signifiers. For example, if someone identifies himself as a “communist,” the meanings of a whole array of other signifiers are ordered in quite different ways than for someone who thinks of himself as a “liberal.” “Freedom” for him comes to mean “freedom from the exploitative practices enshrined in capitalism and hidden beneath liberal ideological rhetoric.” “Democracy” comes to mean “the dictatorship of the proletariat.” “Equality” comes to mean something like “what ensues once the sham of the capitalist “equal right to trade” is unmasked.”

What Lacan argues is involved in the psychoanalytic process, then, is the elevation of new “master signifiers” which enable the subject to reorder their sense of themselves and of their relations to others. Previously, for example, a person may have identified with a conception of “decency” that has led him to repress aspects of his own libidinal makeup, which then return in neurotic symptoms. What analysis will properly lead him to do is identify himself with a different set of “master signifiers,” which re-signify the signifiers he had unconsciously been addressing to the Other in his symptoms, reducing their traumatic charge by integrating them into his symbolic (self-)understanding.

4. Lacanian Psychoanalysis and Philosophy of Ethics

Whereas Freud never systematically spoke on the ethics of psychoanalysis, Lacan devoted his pivotal seventh seminar (in 1959-1960) to precisely this topic. Seminar VII: The Ethics of Psychoanalysis goes to some lengths to stress that the position on ethics Lacan is concerned to develop is concerned solely with the clinical practice of psychoanalysis. Its central topic, in line with what we examined in Part 1 concerning the intersubjective structuration of subjective desire and identity, is the desire of the analyst as that Other addressed by the patient and implicated in the way s/he structures his/her desire through the transference. Nevertheless, it remains that Lacan develops his position through explicit engagement with Aristotle‘s Nichomachean Ethics, as well as Kant’s practical writings, and the texts of Marquis de Sade. Moreover, Lacan’s ethics accord with his metapsychological premises, examined in Section 2, and his theorization of language, examined in Section 3.

In this Section 4, accordingly, we will see Lacan’s understanding of ethics as a sophisticated position that, disavowals notwithstanding, can be read as a consistent post-Kantian philosophy of ethics. Section 4 is divided into three sub-sections. The first two develop further Lacan’s metapsychological and philosophical tenets. The first sub-section involves a further elaboration of the Lacanian conception of the “master signifiers.” The second sub-section involves an exposition of Lacan’s notion of the “fundamental fantasy.” The final sub-section then examines Lacan’s later notion of “traversing the fantasy” as the basis of his ethical position.

a. Master Signifiers, and the Decentred Nature of Belief

As I stated at the end of Part 2, Lacan assigns great importance in his theorization of the psychoanalytic process to what he calls “master signifiers.” These are those signifiers that the subject most deeply identifies with, and which accordingly have a key role in the way s/he gives meaning to the world. As was stressed, Lacan’s idea about these signifiers is that their primary importance is less any positive content that they add to the subject’s field of symbolic sense. It is rather the efficacy they have in reorienting the subject with respect to all of the other signifiers which structure his/her sense of herself and the world. It is precisely this primarily structural or formal function that underlies the crucial Lacanian claim that master signifiers are actually “empty signifiers” or “signifiers without a signified.”

As with all of Lacan’s key formulations, the notion that the master signifiers are “signifiers without signified” is a complex one. Even the key idea is the following. The concept or referent (or both) signified by any “master signifier” will always be something impossible for any one individual to fully comprehend. For example, “Australian-ness” would seem to be what is aimed at when someone proffers the self-identification: “I am an Australian.” The Lacanian question here is: what is “Australian” being used by the subject to designate here? Is “Australian-ness” something that inheres in everyone who is born in Australia? Or is it a characteristic that is passed on through the medium of culture primarily? Does it, perhaps, name most deeply some virtues or qualities of character all Australians supposedly have? However, even if we take it that all “Australians” share some basic virtues, which are these? Can a closed list everyone would agree upon be feasibly drawn up? Is it not easy to think of other peoples who share in valuing each individual trait we standardly call “Australian” (for example: courage, disrespect for pomposity)? And, since “Australian” would seem to have to aim at a singular entity, not a collection, or else some grounding quality of character that could perhaps unite all of the others, which is this? And is this “essential” quality- again- simply biological, perhaps genetic, or is it metaphysical, or what?

What Lacan’s account of “master signifiers” thus emphasizes is the gap between two things. The first is our initial certainty about the nature of such an apparently obvious thing as “Australian-ness.” (We may even get vexed when asked by someone). The second thing is the difficulty that we have of putting this certainty into words, or naming something that would correspond to the “essence” of “Australian-ness,” beneath all the different appearances.

What Lacan indeed argues, in line with his emphasis on the decentred self, is that our ongoing and usually unquestioning use of these words represents another clear case of how the construction of sense depends on the transferential supposition of “Others supposed to know.” Though we ourselves can never simply state what “Australian-ness,” etc. is, that is, Lacan argues that what is nevertheless efficient in generating our belief in (and identification with) this elusive “thing” is a conviction that nevertheless other people certainly know its nature, or seem to. Just as we desire through the Other, for this reason Lacanian theory also maintains that belief is always belief through an Other. (For example, in the Christian religion, priests would be the designated Others supposed to know the meaning of the Christian mystery vouchsafing believers’ faith.)

At this point, it is appropriate to recall from Part 1 Lacan’s thesis that castration marks the point wherein the child is made to renounce its aspiration to be the phallic Thing for the mother. A subject’s castration amounts at base, for Lacan, to the acceptance that it is the injunctions of the father- and through his name the conventions of the big Other of society- that govern the desire of the mother. The “master signifiers” are also what Lacan calls phallic signifiers. The reason is exactly that- despite the difficulty of locating any simple referent for them- they nevertheless are the words that seem to intimate to subjects what “really matters” about human existence. While no Christian believer may know what “God” is, nevertheless s/he will be in no doubt of the transcendent importance of whatever It is that this word names.

Lacan thus is drawing together his philosophical anthropology and his theorization of language when he defends the position that it is the consequence of “castration” that subjects are debarred from immediate knowledge of what it is that the “phallic signifiers” signify. He is also arguing, in the psychoanalytic field, a position profoundly akin to the Kantian postulation that finite human subjects are debarred from immediate access to things in themselves. Lacan’s argument is that it is this lost “signified,” which would as it were be “more real” than the other things that the subject can readily signify, that is what is primordially repressed when the subject accedes to becoming a speaking subject at castration. When the subject accedes to the symbolic, he repeats, the Real of aspired-to incestuous union, and the sexualized transgressive enjoyment or jouissance it would afford, is necessarily debarred.

b. Lacan’s Conception of Fantasy

If the neurotic subject does not to forego the Oedipal supposition that there is some Thing that would fully satisfy the desire of the mother, it is because s/he constructs fantasies about the nature of this lost Thing, and how s/he stands towards it. The primary means s/he deploys in this process is what we recounted above, when we noted how the difficulty in knowing the referent of the phallic master signifiers obliges subjects to construct their beliefs concerning it in a “decentred” manner, through the Others. While the subject accepts that the Real phallic Thing is lost to him/her, that is, in his/her fantasmatic life s/he yet supposes that there are Others who do know what it is that phallic signifiers refer to, and have more direct access to the Real of jousissance. In line with this, Lacan’s further argument is indeed that the deepest fantasmatic postulation of subjects is always that the Real Phallic Thing that s/he has been debarred from must be held in reserve by the “big Other” whose law it is that discernibly structures the mother’s desire.

What follows from this is the position that the manifestations of the unconscious represent small unconscious rebellions of subjects against the losses that they take themselves to have endured when they acceded to socialization. They are all under-girded by the more basic fantasmatic structuration of identity as constituted by the loss endured at castration. This is why Lacan talks of a fundamental fantasy, and argues that it is above all this fundamental fantasy that is at stake in psychoanalysis.

Lacan strived to formalize the invariant structure of this “fundamental fantasy” in the matheme: $ a. This matheme indicates that: “$,” the “barred” subject which is divided by castration between attraction to and repulsion from the Object of its unconscious desire, is correlative to (”) the fantasised lost object. This object, designated in the matheme as “a,” is called by Lacan the “object petit a,” or else the object cause of desire. Lacan holds that the subject always stabilizes its position with respect to the Real Thing by constructing a fantasy about how the debarred Thing is held in the big Other, manifesting only in a series of metonymic or partial objects (the gaze or voice of his/her love objects, a hair style, or some other “little piece of the Real”) that can be enjoyed as compensation for its primordial loss of the maternal Thing.

Lacan’s argument is that the fundamental psychological “gain” from the fundamental fantasy is the following. The fundamental fantasy represents what occurred at castration in the terms of a narrative of possession and loss. This fantasm thus consoles the subject by positing that s/he at one point did have the phallic Thing, but that then, at castration, it was taken away from him/her by the Other. What this of course means is that, since the Thing was taken away from the subject, perhaps also It can be regained by him/her. It is this promise, Lacan maintains, that usually structures neurotic human desire. What the fantasy serves to hide from the subject, then, is the possibility that a fully satisfying sexual relationship with the mother, or any metonymic substitute for her, is not only prohibited, but was never possible anyway. As I recounted in Part 1, the Lacanian view, which is informed by observation of infantile behavior, is that the mother-child relationship before castration is not Edenic, but characterized by imaginary transitivity and aggressivity.

This is why Lacan quips in Seminar XX that “there is no such thing as a sexual relationship” and elsewhere that the “Woman,” with a capital “W,” “does not exist.” Note then that the deepest logic of castration, according to Lacan, is a profoundly paradoxical one. The “no!” of the father prohibits something that is impossible. Its very prohibition, however, gives rise in the subject to the fantasmatic supposition that the Thing in question is one that is attainable but only being debarred. Lacan thus asserts that the fundamental fantasy is there to veil from the subject the terminal nature of its loss at castration. This is not simply a speculation, however. It is supported by telling evidences that he adduces.

The key point that supports Lacan’s position is the stipulation the objet petit is an anamorphotic object. What this means can be seen by looking at even the most well-known exemplar of the Lacanian objet petit a: the “object gaze.” Contrary to how it is sometimes read, the Lacanian “gaze” is anything but the intrusive and masterful male gaze on the world. For Lacan, gaze is indeed a “blind spot” in the subject’s perception of visible reality, “disturbing its transparent visibility” (Zizek, 1999a: 79). What it bears witness to is the subject’s inability to fully frame the objects that appear within his/her field of vision. The classic example of the object-gaze from Lacan’s Four Fundamental Concepts of Psychoanalysis is the floating skull at the feet of Holbein’s Ambassadors. What is singular about this “thing” is that it can literally only be seen from “awry,” and at the cost that the rest of the picture appears at that moment out of focus. From this point on the canvas, Lacan comments, it is as if the painting regards us. What he means is that the skull reminds us that we, and with us our desires and fantasies, are implicated in how the scene appears.

Here then is another meaning to $ a: the objet petit a, for Lacan, as something that can only operate its fascination upon individuals who bear a partial perspective upon it, is that object that “re-presents” the subject within the world of objects that it takes itself to be a wholly “external” perspective upon. If a subject thus happens upon it too directly, it disappears, or else—as in psychosis and the well-known filmic motif of what happens when one encounter one’s double—the cost is that one’s usual sense of how the rest of the world is must dissipate. What this indicates is that the object petit a, or at least the fascinating effect the object which bears it has upon the subject who is under its thrall, has no “objective” reality independently of this subject. The logical consequence of this, though, as Lacan stipulates, is that this supposedly “lost” object can never really have been lost by the subject, since s/he can never have possessed it in the first place. This is why Lacan argues the apparently chimerical position that the objet petit a is by definition an object that has come into being in being lost.

c. The Lacanian Subjects, and Ethics

Lacan argues that the subject is “the subject of the signifier.” One meaning of this claim at least is that there is no subject proper that is not a speaking subject, who has been subject to castration and the law of the father. I shall return to this formulation below, though, for its full meaning only becomes evident when another crucial claim that Lacan makes concerning the subject is properly examined. This is the apparently contradictory claim that the subject as such, at the same time as being a linguistic subject, lacks a signifier. There is no subject without language, Lacan wants to say, and yet the subject constitutively lacks a place in language.

At the broadest level, in this claim Lacan is simply restating in the language of structuralist linguistics a claim already made by Sartre, and before him Kojeve and Hegel (and arguably Kant). This is the claim that the subject is not an object capable of being adequately named within a natural language, like other objects can be (“table,” “chair,” or so on). It is no-thing. One of the clearest points of influence of Kojeve’s Heideggerian Hegelianism on Lacan is the emphasis he places on the subject as correlative to a lack of being (manqué-a-etre/want-to-be), especially in the 1950’s. Lacan articulates his position concerning the subject by way of a fundamental distinction between the ego or “moi“/”me” and the subject intimated by the shifter “je“/”I.” The subject is a split subject, Lacan claims, not only insofar as—Freud dixit—it has consciousness and an unconscious.

When Lacan says the subject is split, he means also that, as a subject of language, it will always evince the following two levels. The first is the ego, or subject of the enunciated. This is the self wherein the subject perceives/anticipates its imaginary unity. Since the ego is an object, according to Lacan, it is capable of being predicated about like any other object. I can say of myself more or less truthfully that “I am fat,” or “honest,” or anything else. What my enunciated sentence will speak about in these cases, for Lacan, is my ego.

But this is to be distinguished from a second “level” of subjectivity: the subject of the enunciation. Here as elsewhere, Lacan’s position turns around his philosophy of language examined in detail in Part 2. The distinction between the subject of the enunciation and the subject of the enunciated follows from Lacan’s understanding of what “speech-act” theorists like Austin or John Searle would call the “performative dimension” to language. Speech-act theorists emphasise that the words of given speech-acts are never enunciated in a vacuum. They are always uttered in a certain context, between language speakers. And through the utterances, subjects effectively do things (hence Austin’s title How to Do Things With Words). This is particularly evident in cases like commands or promises. When I make a promise (say: I promise I’ll meet you at 5:15) I do not primarily make a claim about an existing state of affairs. It is what I have done that matters. What I have done is make a pledge to meet you at some future time.

Lacan’s key argument, alongside that of Austin here, is that all linguistic acts have two important dimensions. The first is what Austin would call the constative dimension. Lacan calls this the level of what is enunciated. Words aim to express or represent factual states of affairs in the world. The second is the performative dimension, that Lacan calls the “level of the enunciation.” The subject of the unconscious is the subject of the enunciation, Lacan insists. This is one way he expresses the elementary Freudian hypothesis that, in symptoms and parapraxes, the subject says more than s/he intended to say. What s/he intended will usually be captured in the explicit content of what s/he has enunciated. Nevertheless, in his/her body language, or in a second chain of signification indicated by her/his mispronunciation (etc.), something other than what s/he intended will be conveyed to the analyst. This second chain of signification as it were “happens”- it is performed for the “Other supposed to know” before it can be explicitly and consciously enunciated by the speaking individual.

Lacan’s distinction between the subject of the enunciated and the subject of the enunciated can be exposed further through examining his treatment of the liar paradox. This is the paradox of someone saying: “I am a liar.” The paradox is that, if we suppose the proposition true (“person x is a liar”), we at the same time then have no reason to believe he is telling the truth when he says: “I am a liar.” As a liar, he can only be lying when he says this. But what this means is that we must suppose that he is a sincere truth-telling person. Lacan argues that this is a paradox only insofar as we have wrongly collapsed the distinction between the subject enunciated in the sentence, and the subject of the enunciation. A better understanding of the meaning of this utterance can be garnered by presenting the speech-act in both its two dimensions, as a case wherein (to formalize): person x says: “I am a liar.” The point is that the “I” in the spoken sentence here is what Lacan calls “the subject of the enunciated.” Of this ego, it may (or may not) be true that s/he is a liar. Yet, this ego is in no way to be identified with what we have called “person x” in the above formalization. “Person x” here is not the subject spoken about. S/he is the person speaking. And Lacan’s point is that it this subject of the enunciation that addresses itself to the Other supposed to know in analysis, despite whatever egoic plays and ploys the analysand might masquerade before his/her analyst in what s/he enunciates. The hysteric, Lacan thus says, is someone who tells the truth about his/her desire (at the level of enunciation) in the guise of lying or at least being indifferent to the factual truths of which she speaks (at the level of the enunciated). The obsessional, by contrast, lies or dissembles the truth of his/her involvement in what s/he speaks about (at the level of enunciation) in the guise of always telling the truth (at the level of what s/he enunciates).

Lacan’s position is that, when subjects wish to speak about themselves, the subject of enunciation is always either anticipated- at the beginning of the speech-act; or else missed- at the end of the speech-act, whence it has come to be falsely identified with the ego. In line with his prioritization of the future anterior, he comments that the subject always “will have been.” In philosophical terms, we can say that the Lacanian subject is a presupposition of any speech-act (someone will always be speaking), yet impossible to fill out with any substantial content.

It is for this reason that Slavoj Zizek has recently drawn a parallel between it and Kant’s unity of apperception in The Critique of Pure Reason. Lacan himself, in his seminar on the logic of fantasy, strove to articulate his meaning by a revision of Descartes’ famous cogito ergo sum: “I am not where I think.” The key to this formulation is the opposition between thinking and being. Lacan is saying that, at the point of my thought and speech (the subject of enunciation), there I have no substantial being that could be known. Equally, “I am not where I think” draws out the necessary misapprehension of the nature of the subject in what s/he enunciates. If Lacan’s subject thus seems a direct psychoanalytic restatement of Sartre/Kojeve’s position, however, it needs to be read in conjunction with his doctrines concerning the “master signifier” and the “fundamental fantasy.” Lacan says that master signifiers “represent the subject for other signifiers.”

Given his identification of the subject with a lack of being, a first register of this remark becomes clear. The master signifiers, as examined above, have no particular enunciated content or signified, according to Lacan. But the Lacanian position is precisely that this lack of enunciated content is correlative to the subject. In this way, his theorisation of the subject depends not only on a phenomenological analysis, as (for example) Sartre’s does in Being and Nothingness. If the subject is the subject “of the lack of the signifier,” Lacan means not only that it cannot be objectified at the point of its thinking, as I examined above. The subject is—directly—something that emerges at the point of- and because of- a lack in the field of signification, on his reckoning. This was already intimated above, in the section on the “logics of the fantasy,” which recounted Lacan’s position concerning how it is that subjects develop regimes of fantasy concerning what Others are supposed to know in order to ground their own belief in, and identification with, the master signifiers. The point to be emphasised now is that these master signifiers, if they are to function, cannot do without this subjective investment of fantasy. Lacan’s famous claim there is no metalanguage is meant to imply only this: that there is no field of sense that can be “quilted,” and attain to a semblance of consistency, unless subjects have invested their partial, biased perspective upon that field.

This is even the final and most difficult register to what Lacan aimed to express in the matheme: $ a. As we saw in Part 3, ii., the subject is correlative to the fantasmatically posed lost object/referent of the master signifiers. We can now state a further level of what Lacan implied in this matheme, though. This is that in fantasy what subjects misrecognize is not simply the non-existence of the incestuous-maternal Thing. What subjects primordially repress is the necessity of subjects’ implication in the play of signification that has over-determined the symbolic coordinates of their lives. The archetypal neurotic subject-position, Lacan notes, is one of victimization. It is the Others who have sinned, and not the subject. S/he has only suffered.

What is of course occluded by these considerations (which may be right or wrong from a moral or legal perspective) is how the subject has invested him/herself in the events of his/her life. Firstly, there is the fantasmatic investment of the subject in the “Others supposed to enjoy,” who are supposed not to have been made to undergo the castrating losses that s/he has undergone. As Lacan reads Freud’s later postulation of the superego, this psychical agency is constructed around residual fantasies of the Oedipal father supposed to have access to the sovereign jouissance of the mother’s body denied to the child. Secondly, what is occluded is what Freud already theorised when he spoke of subjects’ adaption to and “gain” from their illness, as a way of organising their access to jouissance in defiance of the demands of the big Other. Even if the subject has undergone the most frightful trauma, Lacan argues, what matters is how this trauma has come to be signified subsequently and retrospectively by the subject around the fundamental fantasy. S/he must be made to avow that the subject-position they have taken up towards their life is something that they have subjectified, and have an ongoing stake in.

This is why, in Seminar II, Lacan quips that the injunction of psychoanalysis is mange ton dasein!– eat your existence! He means that at the close of the analysis, the subject should come to internalise and so surpass the way that it has so far organised your life and relations to Others. It is this point, accordingly, that the ethics of Lacanian psychoanalysis is announced. Lacan’s name for what occurs at the end of the cure is traversing the fantasy. But since what the fantasy does, for Lacan, is veil from the subject his/her own implication in and responsibility for how s/he experiences the world, to traverse the fantasy is to reavow subjective responsibility. To traverse the fantasy, Lacan theorizes, is to cease positing that the Other has taken the “lost” object of desire. It is to accept that this object is something posited by oneself as a means to compensate for the experienced trauma of castration. One comes to accept that castration is not an event with a winner (the father) and a loser (the subject), but a structurally necessary factum for human-beings as such, to which all speaking subjects have been subjected. What equally follows is the giving up of the resentful and acquisitive project of trying to reclaim the objet petit a from the Other, and “settling the scores.”

This gives way to an identification with the place of this object that is at once within the fabric of the world, and yet which stands out from it. (Note that this is one Lacanian reading of “where It was, there I shall be”). The subject who has traversed the fantasy, for Lacan, is the subject who has not ceded on its desire. This desire is no longer fixed by the coordinates of the fundamental fantasy. S/he is able to accept that the fully satisfying sexual object, that which would fulfil the sovereign desire of the mother, does not exist. S/he is thus equally open to accepting that the big Other, and/or any concrete Other supposed by the subject to be its authoritive representative(s), does not have what s/he has “lost.” Lacan puts this by saying that what the subject can now avow is that the Other does not Exist: that it, too, lacks, and what it does and wants depends upon the interventions of the subject. The subject is, finally, able to thereby accept that what it took to be its place in the order of the Other is not a finally fixed thing. It can now avow without reserve that it is a lacking subject, or, as Lacan will also say, a subject of desire, but that the metonymic sliding of this desire has no final term. Rather than being ceaselessly caught in the lure of the object-cause of desire, this desire is now free to circle around on itself, as it were, and desire only itself, in what is a point of strange final proximity between Lacan and the Nietzcheanism he scarcely ever mentioned in his works.

5. References and Further Reading

  • Lacan, Jacques. Ecrits trans. Alan Sheridan (London: Routledge, 2001).
  • Lacan, Jacques. The Seminar of Jacques Lacan, Book I trans. John Forrester. Edited by J.A. Miller (Cambridge: Cambridge Uni. Press, 1988).
  • Lacan, Jacques. The Seminar of Jacques Lacan, Book II trans. Sylvana Tomaselli. Edited by J.A. Miller (Cambridge: Cambridge University Press, 1988).
  • Lacan, Jacques. The Seminar of Jacques Lacan, Book III: The Psychoses trans. Russell Grigg. Edited by J.A. Miller (W. Norton: Kent, 2000).
  • Lacan, Jacques. The Seminar of Jacques Lacan, Book VII: The Ethics of Psychoanalysis trans. Dennis Porter (New York: Norton, 1992).
  • Lacan, Jacques. SeminarXX: Encore! Trans. Bruce Fink (W. Norton: New York, 1975).
  • Zizek, Slavoj. The Sublime Object Of Ideology (London: Verso, 1989).
  • Zizek, Slavoj. Looking Awry: An Introduction to Lacan Through Popular Culture (Cambridge: Mass.: MIT Press, 1991).
  • Zizek, Slavoj. Enjoy Your Symptom! Jacques Lacan in Hollywood (London and New York, 1992).

Author Information

Matthew Sharpe
Email: matthew.sharpe@dewr.gov.au
University of Melbourne
Australia

Moral Development

This entry analyzes moral development as a perennial philosophical view complemented by modern empirical research programs. The two initial sections summarize what moral development is and why it is important for ethics and human nature theory. The “Roots” section notes historical versions of natural development in morality, touching on Confucius, Aristotle, Rousseau and Rawls. The next four sections assess current empirical research in moral psychology focusing on the cognitive-developmental approach of Piaget and Kohlberg and its philosophical theory. In the “Critical Specifics” section, controversies are taken up in stage theories of moral development focusing major rivalries in moral philosophy, critical and feminist theory. “Caring’s Different Voice” focuses on conflicts between justice and benevolence ethics. The “Pedagogical Implications” of moral cognition research are then summarized with a focus on classroom practices. Finally, “Related Research” is surveyed on the roles of moral perception, identity, empathy, convention/tradition, altruism and egoism, along with new moral-automaticity notions in cognitive science.

Table of Contents

  1. What it is
  2. What it is for
  3. Roots
  4. Empirical Philosophy (Cognitive-Developmentalism)
  5. Moral Stages of Reasoning
  6. Philosophical Research Method
  7. Philosophical Interpretation of Findings
  8. Critical Specifics
  9. Caring’s “Different Voice”
  10. Pedagogical Implications
  11. Related Research
  12. References and Further Reading

1. What it is

Human nature is naturally good. At least it leans decidedly toward an awareness of the good, and a preference for it, over evil and injustice. Despite appearances, human nature is inherently self-realizing and self-perfecting, if in moral understanding and aspiration more than practice. Morality grows in human beings spontaneously alongside physical limbs, basic mental and social capacities. Both individually and in social interaction the human species evolves mature moral conscience and character despite the many psychological and social impediments that slow or de-rail the process for a time.

These are the basic tenets of moral development in its most vital, if naive historical form–a dominant perspective in ancient ethics and traditional religion. By painting human nature in this ultimately elevated and dignified posture, moral development visions grounded an ultimate hope in human progress. They forecast the flowering of our species’ most humane and admirable potentials, leaving behind its troubled childhood.

Under critical scrutiny, moral development notions gradually surrendered their identification of human psychology with virtue. But for German idealism, however, their credibility continued to wane reaching a low ebb in the mid twentieth century when the “naturalness” of human morality seemed hardest to square with the stunning inhumanity engulfing much of the world at war. Scientifically, a continually strengthening fact-value distinction also placed “natural” and “moral” on opposite sides of the fence causing the history of moral development and perfectionist notions to seem mired in fallacy.

Only in the latter 19th century did moral development revive as a lively research field in social science led by the cognitive-developmental approach of Jean Piaget and Lawrence Kohlberg. Newfound credibility for this effort was garnered by abandoning the traditional geneticist position in moral development, which depicted even sophisticated moral reasoning as a physiologically, age-determined phenomenon. For cognitive-developmentalists, instead, natural development involves complex combinations of trial-and-error social interaction, guided only indirectly by certain implastic similarities in human motivation and basic cross-cultural institutions of social life. While these processes allow great variation in moral and quasi-moral socialization, their interaction yields remarkably similar patterns of coping. Only certain cognitive strategies seem capable of navigating basic social interaction successfully. Research suggests that the cognitive competences fueling them and their ordering in a certain sequence are practically unavoidable for functioning in human society. And these cognitive competences are decidedly moral in key and holistic respects.

2. What it is for

In human nature theory (or axiology) moral development notions convey a sense of ourselves as dynamic and progressive beings. It is normal for us to be ever-evolving and aspiring beyond ourselves even beyond the maturity of adulthood. Being potentially perfect or self-realizing, we inherit an august natural legacy to fulfill in our individual characters and through community, which reveals our hidden but awesome inherent worth. On this view, we owe it to ourselves not to sit still or languish in anything less than the full completion and perfection of all our potentials and powers.

Morally speaking, making progress in this supremely elevated cause is less daunting than its supreme end-point would suggest. We are naturally prone toward it after all. What we are obliged to do is what comes most natural to us deep down. The physical and psychological laws that govern our fundamental nature are all pulling for us, offering staunch and unremitting supporting for our journey toward ideals. For ethical perfectionism, supporting by natural development, the difficult “why be moral?” was airily brushed aside in the answer, “Because it’s who we are, because it’s self-fulfilling, because it is what we are meant to be.”

But such answers raise powerful questions. If we are so ideal deep down, why are we such disappointments everywhere else? Why do we fall so characteristically short in our characters and communities, showing all manner of vice and corruption, and making a cruel and violent mess of our world?

The typical response to such telling observations comes packaged in “alienation theory.” Either the outside world corrupts us—a world we can not well control. Or the inside world corrupts us. The human part of our aspiration comes freighted with, and mired in, the lustful, grasping, animal portion of our heritage, a portion not only difficult to control but bent on running us morally out of control. Or most ironic, we corrupt ourselves, conspiring unwittingly with these other corrupting influences due to the imperfect state and function of our all-too-slowly developing capacities. Our aspiring saint within is dogged not only by demons without and within, but by the natural imperfection of time needed. For most of its course development provides us only formative tools for dealing with hostilities that greet us full-formed from the start, always at the top of their game. Our ongoing inadequacies entrench themselves as habits in personality and as social institutions guiding socialization, making our already thorny path thornier still by our own misguided hand.

The alienation gambit loses perfectionist ethics its edge over competitors, sharing their disadvantages. Perfectionist principles must engage in just as much pleading and haranguing to have us walk the straight and narrow path against the stiff wind of temptation. Our development task takes on dual roles in this struggle. Building character requires clearing away the impediments to self-discipline and social righteousness. We must fight mental distractions, motivational lusts, prejudices, false ideologies, the myriad lures of false appearance and materialist obsession. With these temptations somewhat in hand, we must shine brightly forth from our natural core, “polishing our mirrors” so that unfolding capacities rise to their full level of flourishing. This pro-active urging of our spontaneous development is natural as well. Faced with the prospect of such awesome self-realization we can not just sit idly by, watching it take its natural pace, but instead offer a boost.

3. Roots

In ancient philosophies, moral development was normally conceived “teleologically.” This means defining the inherent reality or essence of a moral phenomenon by the valuable function or purpose it ultimately serves. Teleology is a strong version of functionalism—x is what x does (well).

Confucian traditions attributed “four beginnings” to human personality, which naturally unfolded into defining human virtues. These were reason (which becomes moral understanding) affiliation or fellow-feeling (which transmutes into compassion), resentment (which yields a sense of justice) and feelings of guilt and shame (which become moral regret at having done wrong). Moving from initial inner drives to polished virtues in such a direct way stretches plausibility. It leaves mysterious how such socially subtle and adept abilities spring forth from such psychologically isolated and internal roots, despite all the other influences apparently at play. This contrasts with the Confucian view of how ritual institutions in society guide the careful crafting of artful behaviors.

Aristotle also focuses on habituation regarding ethical virtues. But strands of natural growth and moral evolution are embedded throughout his depiction of human flourishing. For him, ethical happiness or flourishing is the fulfillment of our natural human function. The “Aristotelean Principle” of cognitive motivation is one such strand, moving us to prefer more complex to less complex activities. This pulls us toward greater challenges and resulting cognitive growth in dealing with them over time. The development of the intellectual virtues is largely a process of natural growth toward natural function. And some of these (logos and sophrosune especially) play necessary roles in the proper expression of ethical virtues.

Aristotle’s approach was more plausible because its natural growth only provided tools and tendencies for able behavior. No assumption need be made that human nature is distinctly moral. With these general abilities and sensibilities in place, social experience could pick up the developing story, shaping norm-compliant traits along and behaviors. An apparent psychological principle toward moderation leaned this process norm-compliance farther toward moral norms since many distinctly moral virtues arise at the mean between and under- and overflow of non-moral motivation.

In general, the more indirect and morally non-distinctive the view, the more plausible it depicts moral development. Developmental views of morality themselves make such an advance on earlier innatist viewpoints that locate full-blown moral insight and virtue in our souls from birth. Such views cannot explain the anomaly of moral wisdom amidst the naiveté of all other childhood beliefs, nor the failure of this wisdom to actually show itself. Likewise, direct moral development views cannot explain evolution’s highly distinctive selection of such a complexly civilized and culturally mediated form of social reasoning and cooperation. Nor can they explain why peculiarly institutionalized social experience seems necessary to attain full natural edification and character.

In general, also, the logic of moral development history tells us more than its authorship, suggesting strategies for the philosophical progress on the concept. Our “inherent goodness” is best viewed as akin to genetic instructions for seeking social competence, and competence in a general sense. The basic instruction is to unpack and upgrade personality potencies as suits whichever environments will welcome their designs. Some parts of the social environment will welcome the combined expression of cognitive and social talents that enable cooperation. Some combination will be practically geared, some geared more to prudent reciprocity and mutual expectation in kind. Those that are mutually beneficial across these dimensions will progress, in a general sense of beneficial or valuable. Some will function to produce norms, and institutionalize them—norms of various sorts.

As social organization and practice moves toward beneficial divisions of labor, some norms will engender bind with traditions, other generate laws and legal systems, and some foster moral tenets of mutual fairness and respect, mutual reliance and aid. Again, each norm system endures primarily because of its respective benefits such as sense of social continuity, belonging, meaning, or worth. Our cognitive and social capacities will help shape these distinct practices and tailor their functions to them. Those that take moral shape thereby realize our inherent moral nature.

To the degree this process is unavoidable in the moral realm, and progresses in an unavoidable manner, it is natural. Yet its distinctive moral nature arises naturally, for the most part, as the fruition of its basically non-moral or morally undifferentiated path. On this indirect view, it is not that uprightness simply works in the world, as our limbs do. It is that general competencies differentiate and partner, adapting to and helping shape differentiated social environments, some of which take a moral shape and demand moral functions from them. This explains why moral tendencies would be attractive to biological selection and evolution—why our “survivalist” human psycho-biology would turn toward admirable sociality along a progressive, age-appropriate time line.

The perfectionist legacy found in writers as diverse as Augustine and Nietzche carried this indirect approach forward, more and less. Perfectionist principles urged us to develop a range of non-moral traits, serving certain individual needs and interpersonal problem-solving functions. When practiced, polished, and performed artfully together, within an artfully organized social system, these rise to the level of virtues and find their moral niche.

With the decline of teleological metaphysics and axiology, the “natural development” of morality assumed a more purely functionalist form. (Development was not pulled by a potential telos or end-point; rather it foreshadows that end-point by able handling the means to it.) Arguable, this requires that moral development be reconceived as a distributed property, crossing various domains. One might be a perfectionist ethic, a second, the functional psychology on which it rides, and, third, the adaptive needs each serves for the individual and society (Puka 1980). In such combination, moral development becomes a naturally motivated striving to fulfill those prescriptions that bid us nurture and express certain virtues. These are the virtues that, in turn, produce an effective personality and excellent overall character while fostering a thriving, progressive society.

To avoid circularity, such naturalistic views strained historically to distinguish between descriptively and normatively “natural” psychological processes—between normal and adaptive, that is. They strained further to distinguish “adaptive” from “morally apt or desirable.” And their perfectionist ethical component strained hardest to represent the transitions from minimal moral ability to high moral excellence as a smooth and homogeneous continuum. This is a stretch because excellence by its admirable nature seems extraordinary, not “natural;” it requires special efforts, not mere formative growth, to attain.

Where such straining fails, the logic of moral development falls into various fallacies, seeming to build moral norms into social and psychological ones by fiat, then trying to pass the attempt off as descriptive or factual. Efforts to avoid this outcome are worthwhile because of the valuable function moral development serves in ethics.

Any morality faces so-called strains of commitment. At base, these are strains on motivational rationality. The ultimate logical question, “Why be moral” has real-world versions: why act as I am told I should when it conflicts with what I want—with what motivates me? why struggle toward a life of integrity, when the childhood propensity to duck and weave promises an easier path to a fun-filled life? This question raises the prospect that being intellectually moral is motivationally unnatural or irrational, or even pathological. What suits our reason likely doesn’t suit our full range of motivations (some stronger than reason) that reason, to be reasonable, should take into account. As noted, the most powerful psychological answer is this. “Because doing right is what is in fact most fulfilling overall: w are spontaneously drawn to it at all levels of need, desire and interest, the more so as we grow. Moral integrity produces greater self-esteem and personal satisfaction than material acquisition and social status. Thus morally we need follow our ever-increasing propensities to do what we should, exerting that little extra to bolster and stretch those propensities. The extra effort pays tenfold in making us more of what we are at our best.”

In these respects, moral development is to ethical perfectionism what psychological egoism is to ethical egoism. It renders excellent character and virtue natural, relatively easy to achieve, fulfilling, and therefore motivationally rational. Immorality does not seem so naturally desirable to us here that it must be forbidden. Instead, it presents merely tepid attraction, notable debilitation, and therefore, an undesirable cast overall. Natural development in morality, however, can serve any type of ethic, perfectionist or otherwise, providing the needed psychological resources for fulfilling whatever obligations and pursuits it recommends. Unfortunately, neither ancient teleological views of moral development nor their functionalist successors detailed the presumed processes of psycho-moral evolution. Nor did they clarify the relation of nature to nurture involved. This pointed to the need for copious empirical investigation.

Recent philosophical history gave a rare nod to moral development through Rawls’s (1972) A Theory of Justice. Like Kant before him, Rawls paid homage to Rousseau’s vision of moral cooperation. Such cooperation is nature’s way of humanizing and civilizing the human race, not merely of institutionalizing humanity’s civilizing intent to stabilize and protect it. But we see in Rawls’s hands the degree to which supporting ethical prescriptions with psychological proclivities has retreated under threats from the naturalistic fallacy, and other category mistakes. Rawls recognizes only the logical requirement that just social institutions remain compatible with the facts of human psychology and its development so that socializing each successive generation in justice institutions will be a feasible enterprise, assuring compliance. He does not turn to moral development for moral support, grounding value prescriptions on its facts.

Rawls relied on a pre-scientific account of moral development (Rousseau’s Emile), when an entire field of social science provided an empirically-based alternative. (This field was centered just a short stroll from Rawls’s Harvard office). We see here philosophy’s reluctance to rest enduring theory on the current state of empirical research programs. (Quine paid the price of resting the epistemology of Word and Object too heavily on the Skinnerian psychology of operant conditioning.) But we also see the skepticism and controversy that marks the research field of moral development and its guiding light, Lawrence Kohlberg. Philosophy gratefully accepted the flattering role of guide in the design of Kohlberg’s research design and the interpretation of data. But Kohlberg’s presumptive preferences for one rival philosophy over all others smacked of ideological partisanship. It raised philosophical hackles as well when Kantianism was provided empirical validation, while Utilitarianism, intuitionist virtue theory and the like were disconfirmed. Had evolution really selected Kant’s categorical imperative as our racial destiny? The title of Kohlberg’s first ethics monograph did nothing to mollify philosophical ire: “From Is to Ought: How To Commit the Naturalistic Fallacy in the Study of Moral Development and Get Away With It.”

4. Empirical Philosophy (Cognitive-Developmentalism)

In contemporary terms, “moral development” is a research specialty of cognitive and developmental psychology, with associated research in anthropology, cognitive science, social and political psychology, law and education. A strong research partnership with moral theorists has marked this field’s development from the outset. Researchers trace evolving systems of competence in interpreting, judging, and reasoning out moral problems. These cognitive systems incorporate empathic and social role-taking abilities that promote interpersonal negotiation, relation, and community (Selman vol. 2, Hoffman vol. 5, 7) [(References with volume numbers in the text refer to the series Moral Development: A Compendium)].

But they do not cover as much of personality, sociality, or character as the original teleological notions of human nature. Attempts to find anything like natural development in such breadth of human psychology and personality were empirically unsuccessful.

Empirical research that relies so heavily on leading philosophical conceptions, distinctions and methods of analysis cannot help but interest philosophers. Its results are highly relevant to philosophical debates, suggesting important roles for philosophy in scientific practice. The Piagetian definition of moral development’s domain distinguishes fruitfully between morality, morals, ethics (as in professional codes), cultural ethos, and Ethics (as “worthy living.”). Normative reasoning and reflective meta-cognition is also carefully distinguished within commonsense cognition itself. Research focuses on phenomena that have enough internal stability and cohesiveness to be said to develop–to undergo change while retaining identity and to evolve inherent, of their own accord. (This contrasts with being shaped externally, in ways that supplant an earlier version with a somewhat similar successor over time.) Great care is taken as well to demonstrate that the moral quality of observed phenomena are improving, not simply the functional sophistication of the psychological structure in which it is embedded (Kohlberg 1981).

Normative moral theory helps design the main research tools in moral development (the posing of research dilemmas and interpretation of findings). Moral-philosophical concepts are used to define empirical coding (identification) and scoring (rating) categories by issue, judgment, rationale or principle. The success of these categories suggests that the structural adequacy of moral theory derives in part from the functionality of its logic in common sense and practice. This renders those theoretical accounts of ethics that rise from “considered moral judgments” more than armchair credibility. It suggests, moreover, that difficulties faced in applying moral principles to socio-moral issues are worth the effort, and should turn out surmountable with effort. Paths have been chartered from moral judgment to theory that should be traversable in reverse direction.

Obviously, general moral principles and their logical prescriptivity indicate little in themselves about the feasibility of an ethic. Thus the philosopher must welcome any empirical account that renders reasoning a motivating and practically effective force. Moral developmentalists detail a variety of ways that conceptual competence itself motivates principled choice and action, while also partnering with moral emotions. Uncovering empirical evidence of a distinct competence-motivation principle is a great boon to theories of practical reason and intention generally, given how central conceptualization is to human competence and adaptivity. Showing a close affiliation between reasons and emotions, competence motivation and interest principles (the pleasure principle, law of effect or reinforcement) further bolsters the case.

But the philosophical bounty from moral development goes farther. A zeal for distinguishing facts from value judgments had driven modern psychology to explain morality away. Taking crudely reductionist stands, behaviorists portrayed morality as outward conformity to the prevailing ethos of one’s social environment. Freudians, in turn, depicted morality as a combination of irrational forces born of biological drives, coupled with ego-defensive coping in the face of social threats and presses. These portrayals not only create a disjunct between moral philosophy and the psychology its views must ride on in practice, but between moral theory and social science generally.

Cognitive developmentalism restored the role of reason and discriminating emotion in moral choice. It provided a central role for self-determination and distinctly moral autonomy to boot. Cognitive research traces the detailed psychological processes by which children unconsciously, yet self-constructively recreate their own systems of thought and self. In so doing they resist the coercion of inherited and socialized influences enough to gain control over their thinking—to in fact use these forces as raw materials for structuring their thought. Tracing these processes provides empirical evidence of the deep, two-level sort of self-determination on which even the most rationalist and autonomy-focused philosophical ethics of Kantianism can stand. Psychology’s more realistic and blended notion of “cognition” also suggests ways to overcome philosophy’s own pre-empirical divide between rationalism and emotivism or related voluntarism and determinism.

Further research on meta-cognition indicates that even common sense reasoning distinguishes between interested values, moral conventions, and autonomous morality. It depicts the former as merely interested and conventional, as morally arbitrary and relative, akin to tastes and fads. The latter, by contrast, it requires to invoke reasoned support and validating evidence (Turiel vol. 2, 4). Commonsense reasoning goes further in attributing distinctly moral responsibility to people for the self-determined choices and autonomous self-expressions they make (Blasi 2004 ).

While ancient philosophical views placed our psyches in the driver’s seat of “natural development,” they also provided the environment a guiding role. On this adaptation model social environment not only “watered” our inner growth, but provided the channels through which it unfolded properly. Unless society and nature stayed within the “normal,” “civil,” or even welcoming range, our personal growth and character would become stunted. With a modern psychology divided into environmentalists or geneticists on development, a cognitivist revival of the social-interactionist, moral adaptivity perspective was a crucial innovation.

5. Moral Stages of Reasoning

Jean Piaget (vol. 1) recognized the virtues of trying to reduce development either to nature or nurture. This is a tried and true theoretical research strategy in science and philosophy, reflecting the virtues of explanatory parsimony. Piagetians credited the role of socialization in developing moral ideologies and emotions. They saw the importance of guilt, shame and pride in reinforcing prevailing norms of right and wrong, also in developing ego-ideals and an aversive conscience-system to avoid censure from social authorities. But they recognized that even the most optimistic projections of such behaviorist and Freudian potential falls far short of capturing sophisticated moral deliberation and problem solving, not to mention interpersonal negotiation and relationship

Piaget introduced a third factor, the cognitive schema or system, that mediated the interplay of bio-psychology and socialization. He asked children to describe their intention and behavior, their goals and aspirations, and how they made sense of them. In this way, Piagetians have produced decades of evidence that children co-construct their moral reality much as they construct their physical reality and epistemology—organizing concepts as practical tools for interacting effectively with the world. The “tool” metaphor had special appeal when observing the continuity between using our limbs and coordinating our bodily movements in infancy, then using our conceptual categorizations of reality and coordinating their use through “logical” operations. Piagetians also demonstrated that continual enhancements to these operating systems could be depicted structurally, using the laws of propositional logic. This greatly improved the practical outlook for what seemed abstracted and overly general theory.

While tracing sequences of stages in the development of logical and scientific reasoning, however, Piaget only uncovered two somewhat cohesive systems of naturally-developing moral thought. The childhood “heteronomous” phase conditioned right and responsibility on concrete interests. It focused on conformity to approved social conventions as means of fulfilling them. The adult “autonomous phase” showed greater concern with doing the right thing per se within the framework of mutual purposes. This phase arose as children became critical and self-critical about their conventional moral beliefs and the social institutions supporting them, also as they began comparing different possible moral policies and practices with each other, intuiting the sorts of social purposes they needed to serve. The ability to intuit these purposes, even in the face of sparse and misleading information, is one of our great naturally-developing achievements. It provides intriguing support for those moral-political theorists who believe that the social contract model of ethics and just government is anything but the intellectual fiction that classical authors considered it. Still, with Piaget, it is unclear that the ancient philosophy of moral development and its inclusion within natural development of human personality had been reclaimed.

Lawrence Kohlberg determined to investigate whether there was much more detail and sophistication to the natural development of moral reasoning. And he doggedly pursued this singular investigation until his death, some thirty-five years later. In drawing hundreds of colleagues into his empirical and educational mission, across the globe, he virtually established moral development as a field. Kohlberg’s approach centers the field to this day, with no comparable rival but skepticism. However, much research is performed using a simpler device (DIT) developed by Rest and colleagues (2000) that also yields findings on more components of moral judgment than Kohlberg’s MJI. The continuing program of Kohlbergians and neo-Kohlbergians is best known for a moral judgment interview technique that led to a particular six-stage theory of moral judgment,also for educational programs designed to edify at-risk urban students and prison inmates, and notably, for “being controversial.” Philosophers have participated actively in the moral development debate, making Kohlberg’s work both well-known and infamous in ethics. Perhaps it should be best known for being poorly understood and critiqued.

The range of philosophical critiques that some believe discredit Kohlberg suffer from two basic flaws. They do not consider the likelihood that Kohlberg’s key interpretive models and claims are dispensable in his developmental theory. Nor do they try out the alternative position they favor (the position Kohlberg’s view is allegedly biased against) to see if this makes an appreciable difference for the findings involved. This violates normal philosophical policy on apt analysis. These shortfalls suggest a dismissive prejudgment of Kohlberg theory, based perhaps on prevailing intellectual ideologies. Contemporary thinking is averse to the apparent pigeon-holing of complex systems or inflexible (hierarchically) ordering of complex processes. Kohlberg’s frustratingly casual use of philosophical methods and overblown use of philosophical notions support such pre-judgment.

Even cursory observation suggests that Kohlberg’s philosophical self-depictions are dispensable indeed, leaving the empirically-based core of his theory in tact, and that his assessment of findings can be performed using a range of explanatory and meta-ethical standards (Puka vol. 4, Colby, Kohlberg. et. al. 1987). Kohlberg need not claim that observed development occurs in unified stages that are hierarchically integrated and arise in invariant sequence, that they culminate in a highest stage of a particular sort, or that stage development and the morality it captures is “natural” or “universal” in any cross-cultural sense. The leading theories of cognitive, ego, and social development do not make claims of this extreme sort, and yet are held adequate and valuable without them. Philosophers should be able to distinguish a developmental theory derived from data from further claims, derived theoretically, regarding the ethical significance of certain findings.

Kohlberg’s strongest and most criticized philosophical claim–that justice and rights are the central concepts of morality–is the most obviously dispensable. Kohlberg’s perennial stage descriptions center on different moral concept or theme in every stage such as prudence, benevolence, or advancing social welfare. They are even titled in this way. It was not until the fifteenth year of advancing the well-known stage theory that Kohlberg even seriously tried to find “justice operations” working in each of the stages (Colby and Kohlberg 1987).

Kohlberg’s even more fundamental claim that moral development can only be chartered where morality is non-relative seems dispensable. Moral judgment can become relatively developed, as aesthetic and culinary judgment does. There are clearly more and less developed palates and tastes, which would hold for morality were it mainly a matter of taste. Perhaps the most valuable service performed by Rest and colleagues (2000) in summarizing their twenty-years of neo-Kohlbergian research is to present the data without Kohlberg’s bold claims, showing that the stage sequence remains.

6. Philosophical Research Method

Drawing from the literature of moral philosophy, Kohlberg hypothesized that justice-as-fairness was the central moral concept, also that conflict resolution and fostering mutual cooperation were its chief aims and marks of adequacy. Kohlberg thus presented experimental subjects with moral conflicts and cooperation scenarios, recording their strategies for resolving the dilemmas involved. ( In the original longitudinal study, 52 subjects from a private Chicago boy’s school were interviewed every 3-4 years for 35 years (Colby and Kohlberg 1987)). Interview probe questions also challenged these strategies to uncover the subject’s highest level of ability versus present performance. Additional interview questions asked subjects to address issues of fairness, right, rights, responsibility, equality, guilt, law versus morality, values and ideals, promise-keeping and loyalty, benevolence and love in family relations and friendships (Kohlberg 1984). These dilemmas and questions provided respondents the opportunity to couch their responses at different social perspectives and within different social units, from primary and intimate relations to social-institutional and international perspectives.

After coding recorded interview responses (in logical, social, moral categories) Kohlberg and colleagues looked for patterns. They were particularly interested in whether the template of Piagetian stages could be put over the logical, social-perspectival, and moral aspects of responding. The results showed a six-stage sequence of such stages ranging from (a) a pre-conventional level in which children think egoistically or instrumentally, using each other to get what they want, through (b) a conventional level in which conformity to the institutional practices of one’s peer group and society are key toward maintaining group solidarity and stability, to (c) a post-conventional level at which morality is seen as a mutually created institution serving certain shared and elevated purposes—some achieved, some still being pursued. The post-conventional level shows commonsense rationales resembling those of reciprocal respect-for-persons, rule- utilitarianism, and libertarian rights.

Kohlberg’s non-empirical theorizing offended philosophical sensibilities by claiming that these findings on post-conventional morality especially support the adequacy of leading moral theories. To philosophers it seemed unlikely enough that natural selection equipped us to reproduce Kant, Mill and Locke when trying to deal with each other. Alternatively, it seemed unlikely that only these three individuals discovered and portrayed our universal moral inheritance. Claiming that the naturalistic fallacy had been overcome in this way–through a few dozens clinical interviews with Chicago school kids–also seemed a bit bold. Overlooked here is the obvious. Outside the internal debates of moral philosophers, the advisability of building general explanatory theories in a practical field like ethics is not clear. Neither is it clear that such theories can provide useful guides for choice and action. Thus hard evidence that theories further refine and elaborate thinking that works effectively on real-world moral problems should be welcome news.

Less known to philosophers are Kohlbergian observations on developmental process and its uncanny resemblance to intellectual theory building. These same observations may offer mutual support for the common sense and intellectual search for “unified theories” or understandings. The developmental process, left out of traditional accounts, starts with trial and error inquiry and experimental observation, then the differentiation of elements and observed relations among them in one’s observational field. Next these elements and relations are integrated via overarching rationales or principles designed to unify them and achieve a close correspondence between cognitive and environmental structure. The correspondence achieved is gauged functionally, by testing cognition’s predictive validity in practice. Such testing is part of general processing or assimilation of information to the stage structure achieved. This expresses ongoing competence levels until discrepant information is noticed (differentiated). Such information is then assimilated reductionistically to the structure until the discrepancies become too great and numerous. Then the structure is partially loosened or disassembled (disequilibrated) so that existing rationales can work in more ad hoc fashion, piecing together novel responses where needed. Additional ad hoc operating principles are added as well until a new more unified and coherent operating structure can be formed. When it does, we have completed stage-transition. Then the process of differentiation, accommodation, integration, and assimilative equilibrium begins once more.

While all these processes are self-constructional, they all occur quite unconsciously. This says something remarkable about our pre-intellectual capacities and routines, making the trained philosophical intellect appear less effete.

7. Philosophical Interpretation of Findings

Armed with these observations on developmental stages and processes, Kohlberg derived a range of overarching. They regarded their invariant moral and psychological progression, their spontaneous (untutored) and self-constructive quality, and their universality. In addition to launching a program of cross-cultural research, Kohlberg again consulted the philosophical literature for standards of logical, normative and meta-ethical adequacy. Gauging century-old debates, Kohlberg concluded that formal Kantian criteria as less problematic than alternatives. And he installed them as measures of moral progress in development, sketching how each stage more closely fulfilled them (Kohlberg 1981).

A host of commentators later charged Kohlberg’s methodology with formalist, Kantian, and liberal-egalitarian bias. Such charges have a point. Kohlberg, after all, had not experimented with using other meta-criteria for gauging moral progress. He did not show the caution of other social scientists who imported preferred theories from other disciplines, utilizing them more hypothetically and tentatively. Still, such criticism ignores the more powerful and generalizable assessment Kohlberg offered: the stage-by-stage-comparisons in which increasing completeness and inclusivity marked moral adequacy. Here each new stage of reasoning, each operating system, was shown to add a major type of principled operation that performed a vital problem-solving function. At the same time, each retained the least problematic structures and operations of all previous stages. A largely bottom-up assessment is involved here, gauging progress away from basic inadequacy and incompleteness in both psychological and moral processing. Examples would include not considering the social or interpersonal dimension of a problem, not considering the role of key values, virtues, or responsibilities that any conceptual analysis would consider relevant.

Applied to later-stage reasoning, such assessments invoke very basic and shared adequacy criteria among competing ethical outlooks. As such they match Piaget’s approach to measuring mature logical reasoning. Such “formal-operational” thought shows the competence to consider all relevant causal possibilities, from the most relevant perspectives required, to address a wide range of scientific problems.

It is worth noting that Kohlberg’s stage sequence likely measures up on rival meta-ethical measures, e.g., on rule-utilitarian criteria of a quasi-teleological, quasi-intuitionist form. This is true, at least, so long as the weighted utilities or rules involved stress justice and rights, as in Mill, or in Bentham’s “each is to count for one” proviso. There is good reason for preferring such a utilitarian lean as well; the perennial list of criticisms lodged against utilitarianism call for it. Utilitarianism is unable to assure minimal fairness and equality, to view such considerations and others as morally inherent and untradable, to create moral disjuncts that set upper limits on obligation and lower limits on decency, to accord proper place and protection for individual autonomy, and the like. While Kohlberg never attempted such an analysis, those criticizing the lack of one never even suggested why it would be difficult to perform.

While Kohlberg originally claimed a sixth and highest stage of moral development that put Kantian respect and individual rights first. But his research program eventually recanted this finding. Ongoing worldwide research, combined with the statistical reanalyzes of existing data, de-legitimated the significance of many Stage 6 observations, leaving too little reliable data for Stage 6 claims. This locates the highest empirical stage in Kohlberg’s theory in the same place that mainstream moral philosophy finds itself after two centuries of debate—with two main competing sets of principles, one fostering the advancement of social welfare and benevolent virtues, the other a mutual respect for individual liberty. These are accompanied by several intuitive rationales concerning goods of community, interpersonal responsibility and loyalty, equal economic opportunity and toleration, and various virtues of friendship. This state of ethical affairs approaches quasi-intuitionist rule-utilitarian criteria at least as well as it approaches Kantian, deontological ones.

The presence of interpersonal and virtue rationales in later moral development is often overlooked. Indeed, Kohlberg’s own stage descriptions downplay them by focusing on what is new and distinctive in each later stage of development, not on what is inclusively preserved from earlier stages. General ethical principles are the innovation in later stages because they reflect a broadened social perspective. This misleading emphasis in stage depictions was deemed necessary by the history of stage scoring system in research, Scorers constantly confounded similar moral rationales, expressed in adjacent stage terms. Thus distinctive stage-qualities had to be emphasized at each stage. Philosophical critics who do not immerse themselves within the empirical research project and its requirements miss matters of this sort completely, failing to credit ways in which an empirically-based theory can not be altered simply to serve conceptual goals such as neutrality or elegance.

8. Critical Specifics

Critics rightly fault the over-interpreted nature of Kohlberg’s initial research as well as the inflated nature of his claims relative to reliable data. Qualitative research generally offers poor safeguards against an author’s peculiar interpretive preferences, helping to shape the very content of observational “data.” Recognizing this, Kohlberg invited heretics and critics of his view into his central research group over time. His conceptual interpretations were radically reanalyzed in the 1980s seeking consensus among a dozen ideologically conflicting coders and scorers, working contentiously together.

Initially, Kohlberg was not careful to control either his qualitative research method or his theory-building process for biases. Ideological (liberal) and gender (male) biases proved hardest to tame. The Kohlberg program cannot legitimately be faulted simply for having a particular focus: it need not address the full diversity of relevant topics in moral psychology. But it has clearly fallen short in considering phenomena that strongly interact with those investigated, changing their nature. Certain moral emotions should have been researched that help set cognitive orientation, gather crucial information (Blum 1980), or facilitate moral self-expression and relation (Gilligan vol. 6). Empathy and compassion should have been investigated alongside cognitive role-taking and perspective-taking since, as moral competences, they are unlikely to function separately (Hoffman vol. 7). The same can be said for the relation of moral cognitive and meta-cognition at higher levels of development (Gibbs vol.4, 5). Kohlberg followed Piaget in conceiving moral development personally and psychologically, not seriously researching the phenomenon as an interpersonal or relational process above all, or one pertaining primarily to small communities. Such apparent shortfalls top a virtual catalogue of charged deficiencies, some holding particular philosophical interest.

Methodological: (1) Empirical researchers should seek their subjects’ own opinions on what morality encompasses and when it progresses or sinks low. Moral relevance and adequacy should not be pre-defined by “expert” theorists on theoretical grounds exclusively, intellectually limiting the scope and determining the emphasis of research. (2) At least one survey (Gilligan and Murphy vol. 4) indicates that subjects spontaneously conceive morality as setting value priorities or aspiring toward ideals when conceiving morality, as well as defining the kind of person one is. Testing subjects’ abilities to resolve conflicts of interest doesn’t get at these (teleological) moral sensibilities. (3) The use of an all-male sample in Kohlberg’s original, central, and ongoing study of moral development is not only unacceptable by present-day research standards. Instead, given the accumulated data on gender differences, the results should be radically reinterpreted as tracing male moral development primarily, not natural or human development. (4) The stage-system model of moral development does violence to data that shows a majority of subjects scoring at two and sometimes even three adjacent “stages” (out of five). This suggests that people remain distributed across the range of their development for most of their lives in a loose confederation of rationales and beliefs. (5) Asking research subjects to first resolve a moral dilemma then give reasons for their choice does not focus on moral reasoning or problem-solving competence, but on the ability to explain or justify judgments. Such an approach can not even distinguish justification from self-deceptive rationalization.

Conceptual: (1) Due to the many cultural and epochal influences on cognition, conceptual safeguards should have been in place to assure that American research on moral development did not unduly reflect western ideology. This includes the “social contract” or “natural rights” heritage of Anglo-American ideology (Sullivan vol. 4). (2) Defining adequate moral judgments as the decisive resolution of conflicting interests or duties fails to inquire into non-decisive, non-contending moral competences and their adequacy. These might include trying to avoid or skirt moral dilemmas due to harm done some parties by resolving them, or trying to pre-empt moral dilemmas through dialogue and negotiation aimed at altering the prior interests of involved parties (Gilligan and Murphy vol. 6). (3) Interpreting moral responses in exclusively structural or systemic terms, organized by general principles, ignores intuitionist and pluralist ethical considerations. It also ignores emotional sensibilities and intelligences, thus grossly distorting the moral-development profile. (4) Focusing moral development research on reasoning, not on traits producing expressive behavior, misses what is adequacy about moral development. The observed judgment-action gap allows a highest stage reasoner to be a high-level hypocrite, self-deceiver, and cad (Straughan vol. 4). (5) A great intermixing of moral and political perspectives, as well as similar moral and political concepts seems to occur in later developmental stages, as in some philosophical theories. Do we interpret this as a natural developing competence or incompetence? It fails in cognitive differentiation, yet seemingly shares a tendency found in expert ethical theories.

Kohlbergians have often tested and accommodated the panoply of criticisms leveled at them. Thus they have come to see the dialectic of debate as the central natural developmental course of their research program. Their absorption of many critics into their research team adds credibility to this portrayal. Some critiques have not yet been addressed however, and should be. As philosophers seem unaware, however, later phases of the Kohlberg research program arguably have evolved the most psychometrically sophisticated coding and scoring system known to qualitative research (Colby and Kohlberg 1987). This system offers the most sophisticated integration available of conceptual and empirical assessments for interpreting data and drawing conclusions from it, and arguably has generated the most impressive results in of any research program in cognitive development or moral psychology by far–winning over major opponents (Kurtines and Grief vol. 4).

In addition, Kohlberg’s original thirty-year study, begun with the least sophisticated methodology and fewest bias controls recently received a thorough empirical reanalysis by Edelstein and Keller (vol. 5) which surprisingly confirmed most original Kohlberg findings. As noted, twenty-years of parallel studies using a completely different research measure than Kohlberg’s also confirmed main findings (Rest, Narvaez et al 2000). Proponents of this neo-Kohlbrgian approach have detailed the role of moral structure in perceiving and interpreting moral issues, also the function of intermediate sized moral concepts and rationales that bring stage logic closer to real-life cases than universal principles do (Rest, Narvaez, Bebeau and Thoma 2000). Each year several large-scale cross-cultural studies are reported testing both Kohlbergian claims and the bias charges against them. The basic moral development sequence is verified in each (see New Research in Moral Development).

In light of such findings, philosophical critics must address a question too long delayed. If Kohlbergian stage theory is misguided and misconceived on major points, how do we explain the massive data accumulated over a half-decade that continuingly and surprisingly confirm its claims? After decades of methodological and conceptual criticism, why hasn’t the depiction of moral development come close to being disconfirmed?

Critical theory can be tapped for an answer, viewing Kohlberg research as parroting the socialized ideologies of western (individualistic, male-dominated, industrialized-capitalist) societies, found in his socially brain-washed subjects. But this speaks to conceptual possibility. No competing account is offered. More, it suffers from far more of the empirical shortfalls and conceptual leaps attributed to Kohlberg by critics, condemning it by its own standards. Still, Kohlberg often warned followers not to take “those stages” too seriously. As a scientist he assumed that future research would change current findings. The depiction of moral development would be altered further when each domain of natural cognitive development was eventually integrated into a general theory of cognitive ego-development.

9. Caring’s “Different Voice”

Of the more specific critiques coming from critical and cultural theory, one feminist-friendly version garnered most notice, especially outside research psychology. More noteworthy is the rare and rich alternative perspective on moral development that accompanied it: caring versus justice. Indeed, the caring theme offers an especially promising portrait of what benevolence ethics looks like on the practical level, in everyday life. As such it poses a far superior champion for the benevolence tradition than outsized views such as utilitarianism, or dated, intuitionist virtue theories. Feminism looks to virtue theory at its peril since, among other things, traditional trait theory has garnered very poor empirical backing. And the conceptualization of traditional virtues pre-dates both research psychology and the careful introspective or depth psychology that preceded it. The caring theme is researched as a set of interpretive skills and sensibilities, proclivities and habits, easily observed and verified. Further, caring is not only more realistic than its main virtue alternative, agape, but shows up such unconditional love as a kind of kindness-machismo.

Carol Gilligan (1982) argued that Kohlberg research, like Piagetian and Freudian research, reflected a male outlook on development. While occurring at the theoretical level, it also greatly infected Kohlbergian research methodology, making qualitative observations the fulfillment of prior ideological prophecy. The view of moral thinking and development that resulted—the “justice-and-rights orientation”–is over-abstracted, overly general and essentialistic. It focuses on foundational moral concepts only and on universal laws, not on a morality of social practice and interaction that its research claims to measure.. The moral orientation portrayed in Kohlbergian stages is rigid, formulaic or calculative, and legalistic. In personal life it is cold, aloof, and impersonal, if not manipulative and punitive. Its individualism urges contentiousness with vague threat of violence. These untoward qualities show in personal judgmentalism and blaming, in both social censure and legal punishment. But they also show in the demand-quality of rights-in-conflict, and in our restive resistance toward burdensome duties. Here, obligations are straightforwardly posed as moral burdens to be born, just as rights are cast as demands and “claims against” comrades. Responsibility is seen as diminishing free self expression when in care it is an opportunity for artful relation and fulfilling mutuality.

These observations on the coercive aspects of justice must strike a chord for ethicists, especially with Kantians who hold high the liberation of self-imposed moral laws. Vigilance against moralism within morality’s midst is a constant for non-partisan ethics. Critical-feminist ethicists can only welcome the picture of rights and duties as clubs and shields in a battle of conflicting interests. What better fits the military model of human relations glimpsed in the masculinist “state of nature” and social contract myth underlying western ideology? Need ethics be designed for remote cooperation against mutually mistrustful and threatening strangers? Must it form an artificial bridge of relation where natural relational bonds are weak, and relational know how deficient? Or can it equally serve the needs of enhancing primary relations and spreading their scope as the expression of a natural “will-to-care?” (Noddings 1985).

Gilligan (and Noddings) argued for an unrecognized sub-theme in male moral development and a preferred and comparably valid theme among women, left out of Kohlberg’s original research sample. This “care” theme focuses morality on skills of relationship—on supporting, nurturing, and being helpful, not on demanding, defending, requiring and compelling. Mature caring shows great competence in attending to others, in listening and responding sensitively to others through dialogue aimed at consensus. The inherent powers of relationship are rallied to address moral difficulties, not powers of individual ingenuity in problem solving or deliberative argumentation. As a goodness ethic, caring also emphasizes the sharing of aspirations, joys, accomplishments, and each other.

Relative to the unique longevity of the Kohlbergian program, care research remains in its infancy, as does its research methodology (Lyons, Brown, Argyris et. al. vol. 6). But even as a conceptual posit (a different voice hypothesis) care has proven extremely influential in hosts of fields spanning literature, domestic violence, leadership counseling and legal theory. It has garnered an array of serious critics in research psychology and theory (Walker, Maccoby & Greeno, Luria, Braebeck & Nunner-Winkler, Nichols, Tronto, Puka vol. 6), along with loyal devotees and defenders (Baumrind, Brown, Lyons Attanucci vol. 6). Care’s very relevance to moral development remains unclear since almost no significant longitudinal research under-wrote the view originally, nor has much been added since. The three developmental levels depicted exactly parallel what Gilligan herself portrays as coping strategies—particular strategic responses to particular kinds of personal crises (Gilligan 1982, ch 4). Such phenomena differ great from general competence systems evolved for, and able at handling moral issues generally. Gilligan also depicts care levels in the format of Perryan meta-cognition, bearing more similarities to ethical and interpersonal meta-cognition than Piagetian first-order moral judgment. (Research does not show natural meta-cognitive development, apparently, in any domain, e.g., epistemological, ontological, scientific judgment, social, self-concept.). Gilligan also refers to care levels as cognitive orientations, not competence systems, which research also shows to be quite different cognitive phenomena (Perry 1968).

Indeed, care “levels” have been defended as wholly different phenomena from Kohlbergian levels or stages, despite being depicted for two decades as constituting a comparable and parallel developmental path (Brown and Tappan vol. 6). Gilligan seemingly favors the “different realities” portrayal from the outset, noting that care orientations are likely some undetermined mixture of biology, socialization, experience, reflection and cognitive construction. Indeed, they are an admitted function of masculinist, sexist socialization in part (Gilligan 1982, Intro, chs. 1 and 3). After their initial depiction, moreover, the developmental levels of caring have rarely received mention in the care literature.

To philosophers, however, placing the depictions of caring cognition alongside Kohlbergian stages points to a progressive sequence that such a benevolence ethic might take, naturally developing or not. As such, it suggests an educational curriculum that would foster current communitarian interest and cross-disciplinary feminism. The care ethic is of exceptional utility in the classroom, proving much more applicable for addressing real-world moral issues than any so-called applied ethic derived from moral philosophy or stage structure. Certainly mature care can be applied to moral issues more easily than Kohlberg’s depiction of post-conventional moral reasoning. Students are struck by care’s preference for suspending judgment or making tentative and shaded judgments on moral difficulties that call out for interpersonal struggle and negotiation over time. For many, ethics seems too murky, and ethical problems too sparse on information to allow decisive, disjunctive solutions of a right-wrong, just-unjust variety.

10. Pedagogical Implications

Any developmental approach to education starts with this recognition: teachers are presenting ways to think to students who already have their own very competent ways to think. And students will use these ways of thinking to process the teacher’s input. Moreover, many of the views being presented are intellectually refined versions of viewpoints the student has developed herself in more rudimentary forms. Thus classroom presentations must partner with a students’ current cognitive competence system. Their design must appeal to student views even when attempting to enhance and challenge those views, not aiming fill up empty space or reorganize badly filled space with something new or better.

Teachers who serve up material that is not geared to each student’s acquired level of competence are “banging their head against a wall” to some extent. Worse, their lessons are “bouncing off”—being rejected as either incomprehensible or radically discordant with good sense. Or they are being distorted and misconceived to fit the student’s operating system. Enhancing the student’s ability to understand must work the opposite effect, urging the student’s terms of understanding to accommodate to the material’s structure, broadening its categories, adding distinct categories and interrelating them. For cognitive-moral developmentalists, this means presenting material that will unsettle current terms of understanding, urging students to construct new ones. Here the teacher can only get students to teach themselves and develop their own skills, as both psychology and ethics prescribe.

The stage or unified-system notion shows its power and utility most in this context. When philosophers present the range of post-conventional ethical or political theories in class, many students are processing them at a conventional level, thus systematically distorting them. They are not misunderstanding these views in a “factual” sense, but understanding them in different terms. This distortion is even greater when a less educated portion of the American public encounters teachings such as democratic toleration, equality before the law, separation of church and state and other constitutional principles.

Because stage structures are tightly integrated and encompassing–representing the basic meaning system of each student–class discussion also will have many students talking past each other in the same systematic sense. Arguments won by one party, or consensus achieved by two, may not at all be what it seems. Mutual miscommunication may be the rule here, not shared understanding. The same applies to citizens or voters in public discussion. Those parts of a discussion that end in greatest confusion, disagreement, and mutual dissatisfaction may be most educationally productive. And this is not simply because they provide food for reflective thought. Rather, at a deeper level, they may help initiate or exacerbate existing cognitive disequilibrium. And this will move a student toward the “accommodative reintegration” of her ideas in a higher level of understanding.

Likewise, a student whose paper is “a mess” of near-contradictory lines of thought, ad hoc rationales, and the like, may be showing a much greater degree of learning than one who presents a smooth and consistent rendering of ideas. The former student will confess, anxiously, that s/he got her or himself all mixed up, tied in knots, going this way and that. “I’m to the point where I understood the material far better when I first started.” Most likely, s/he is quite wrong. If teachers are not somehow urging and testing for such confusion and anxiety—for disequilibrated rather than equilibrated writing—they are likely falling short in enhancing fundamental student understanding. The same is true if they are not demanding the reconstruction of each student’s original and ongoing ideas in the face of challenges to them.

Many instructors likely will recognize the above phenomena in their teaching, finding this picture of them part-illuminating, part-affirming. Most ethics instructors are struck by their ability to uncover commonsense Aristotles, John Stuart Mills, Kants, Humes and Lockes in their classroom, merely by posing moral questions. Moral development findings provide a deep and systematic partial explanation of this phenomenon. Many instructors recognize that some students who “get views correct” don’t have a very reflective grasp of them. Other who seem to get things wrong often are actually grappling at a much deeper level with the views. And most instructors can tell when some lectures or class discussions have no hope of getting anywhere. “The students’ minds just don’t seem open to this way of thinking.” Yes, this is precisely what developmental theory and stage unity would predict.

William Perry (1968) offers a quasi-developmental account of meta-cognitive thinking in the college years, including ethical reflection. Faculty find it useful for understanding special problems that students face when confronted with opposing conceptions of fact and value across the curriculum. For the philosopher, such confrontations occur frequently within each course. Perry’s approach explicates the particular intellectual strategies students use when coping with conflicting fundamental theories. But it also indicates major shifts in student epistemic perspectives ranging from initial absolutism through a kind of relativistic functionalism. Because the account is as clinical as it is empirical in a research sense, it offers a insightful speculations on the emotions, motivations, and anxieties students experience in doing commonsense philosophy and ethics on their educational experience.

Nel Noddings (1995) poses mature caring as a model for reorganizing public schools. Students can be taught to care across the board—from the growing of plants in the classroom, through a kind of dialogue and coming to consensus with mathematical concepts, to the nurturing of friendships in class. But more, students can learn these lessons by being truly cared for by school personnel, not just respected or graded fairly. As a hospital aims to be a care-taking institution, so a school can conceive its overall mission that way, not simply transmitting education or developing student skills and the like, but supporting, nurturing, and partnering with students in every aspect of school life. That many school personnel mistakenly believe they are already doing this indicates how crucial it is to conceive care at higher developmental levels, with many differentiations and integrations, shadings and textures of adult caring given prominence. Conventional and post-conventional caring are quite different matters. Imagine what caring of this overall sort would look like in the usually anonymous setting of a college ethics course.

11. Related Research

The Kohlbergian approach to moral development has yielded hosts of cross-cultural studies bringing in the more developed cultural research methods of social anthropologists and creating some controversies regarding the issue of cultural relativism and universality (Sweder vol. 4, 7, Colby and Kohlberg 1987). Research on moral education, using Kohlberg research and theory, has taken several forms. Some measures the effects of discussing pointed moral dilemmas with students in the classroom, some measures the effect of creating “just communities” in which students can restructure their environment, making it more welcoming to morally sensitive reasoning.

The Kohlbergian approach also has spun of heretical research programs focused on the apparent development of moral conventions and traditions, independent of post-conventional reasoning development (Turiel vol. 2, 5), moral reflectivity, that occurs within seeming first-order moral judgment, not moving to the meta-cognitive level (Gibbs vol. 2), moral and political ideology, that often mires and masks moral reasoning within attitude schemes that bias its workings (Emler 1983), faith development that surprisingly mirrors moral cognition in its conceptualization of divinity and religious devotion (Fowler 1981, Oser 1980), and moral perception, one of several skills that enable the onset of moral deliberation, negotiation and reasoning (Rest, Narvaez, Bebeau & Thoma, 2000).

The Rest group offers a “four-component” model of ethical judgment that investigates many key components in true moral reasoning or problem solving, not clearly distinguished or investigated in Kohlbergian moral judgment. Narvaez has carried the moral perception component of this research to the classroom, assessing strategies for making students more sensitive to when morally-charged issues arise in daily life. She also has led attempts to integrate moral-development research with related cognitive science research on problem solving. Important new emphasis is being placed on non-deliberative aspects of moral judgment and “reasoning,” that show an immediate or automatic “rush to judgment.” These processes mark the typical, habitual way we handle routine moral decisions in daily life (Narvaez and Lapsley 2004 ).

Much research attention has been paid to the age-old problem of akrasia or weakness of will, termed the judgment-action gap by cognitive psychologists. The most progress in this area has been made by ego-developmentalists (Blasi 2004, Youniss & Damon vols. 2, 5). They suspect that our self-definitions—whether we view our sense of responsibility and character as central to who we are—most determine whether we practice what we moral preach. But many other factors seem involved, likely centered in moral emotions and attitudes, and the automaticity phenomena just noted. The important areas of moral motivation and emotion have proven the most difficult to get at empirically.

While not part of developmental research or theory, other specialties in psychology and philosophy frame moral-developmental concerns. Care research and feminist analysis can be seen in this way, as can Perry’s meta-cognitive research above. Psychoanalysts have performed many interesting clinical studies on moral emotions and their motivational effects, focusing on superego functions (guilt, fear, shame, regret) and the ego-ideal (pride, emulation, aspiration, internalization). Enright (vol. 7) has conducted a remarkably enduring and progressive research program on forgiveness and its effects. Hoffman, as noted, has researched empathy most extensively.

For decades, social psychologists such as Adorno and Sherif have looked at issues of cooperation and competition, authoritarianism and democracy in various types of organizations and groups. They have developed an entire area of research, Pro-Social Development, which takes a basically amoral or non-moral look at all forms of socially conforming and contributing behavior. A formative, but largely abandoned research movement in this area investigated the conditions under which onlookers will help or fail to help strangers, accepting different costs or levels of risks for doing so (Bickman vol. 7). An industrial branch of social psychology looks at fairness issues in the workplace and the effects of greater and lesser employee control there. Damon has conducted myriad studies of fairness judgments in early childhood that point to many factors not taken covered by cognitive competence systems of their development. Related areas of personality psychology look into the motivations behind forms of moral altruism especially, trying to understand the concept of self-sacrifice and doing good for its own sake (Staub vol. 7). A very interesting program of altruism research rises directly from philosophical accounts of egoism, both psychological and ethical (Batson vol. 7).

Some of the most inspiring research in moral development charts the development and reflective motivations of everyday moral exemplars and heroes. Lawrence Blum (1988) offered important distinctions among types of extraordinarily moral individuals, which were incorporated into interview research and theory by Colby and Damon in Some Do Care. Lawrence Walker has begun a long-term research program in this area as well, which likely will help tie cognitive-moral development in education to the prominent character-education and moral-literacy movement. Character education focuses intently on the nurturing of admirable traits, attitudes, outlooks and value commitments. Without more extensive psychological research to support its traditionalist emphases on core American values, traditional virtues, and the upholding of codes and creeds, this approach flirts with the discredited approaches of early Anglo-American public school education, rife with moralistic strictures and nationalistic indoctrination.

12. References and Further Reading

The empirical research references above can be found in the seven volume series:

  • Moral Development: A Compendium. (1995). B. Puka (ed), Garland Press.
    • Classic research by Piaget and Kohlberg is contained in vols. 1 & 2 Defining Perspectives in Moral Development and Classic Research in Moral Development. Cross-cultural and updated longitudinal research is contained in vol. 5: New Research in Moral Development. Kohlberg criticism is highlighted in vol. 4: The Great Justice Debate. Care research by Gilligan and colleagues is highlighted in vol. 6: Caring Voices and Women’s Moral Frames. Research on altruism, bystander intervention, egoism, and pro-social development is focused in vol. 7: Reaching Out.

Additional References:

  • Blasi, A (2004). “Moral functioning: Moral understanding and personality” In D. K. Lapsley and D. Narvaez (Eds.), Morality, Self, and Identity Mahwah, NJ: Erlbaum.
  • Blum, L. (1988) “Moral exemplars: Reflections on Schindler, the Trocmes and others”. Midwestern studies in philosophy. XII.
  • Blum, L. (1980 ) Friendship, Altruism and Morality. Boston: Routledge Kegan-Paul.
  • Colby, A., Kohlberg, L., Speicher-Dubin, B, Hewer, A., Candee, D., Gibbs, & Power, C. (1987) The Measurement of Moral Judgment.
  • Colby,A. & Damon, W. (1993) Some Do Care. NY: Free Press.
  • Confucius. (1979). The Analects. New York: Penguin Classics.
  • Emler, N., Resnick, S. & Malone, B. (1982). “The relationship between moral rasoning and political orientation”. Journal of Personality and Social Psychology, 45 1073-1080.
  • Fowler, J. (1981). Stages of Faith. San Francisco: Harper and Row.
  • Gilligan, C. (1982). In a Different Voice. Cambridge, MA: Harvard University Press.
  • Kohlberg, L. (1981). Essays in Moral Development: The Philosophy of Moral Development. (1984). The Psychology of Moral Development. New York: Harper and Row.
  • Narvaez, D. & Lapsley, D (2004, in press) S. Bend, Indiana: Notre Dame University Press.
  • Noddings, N. (1985). Caring: A Feminine Approach to Ethics and Moral Education. Los Angeles: University of California Press Press.
  • Noddings, N. (1995). The Challenge to Care in the Schools. Los Angeles: University of California Press.
  • Oser, F. (1980). Stages if religious judgment. In J. Fowler and A. Vergote (eds.) Toward Moral and Religious Maturity. Morristonw, NJ: Silver Burdett.
  • Perry, W. (1968). Forms of Intellectual and Ethical Development During the College Years. New York: Rinehart & Winston.
  • Puka, B. (1980). Toward Moral Perfectionism. NY: Garland Press.
  • Rawls, J (1971). A Theory of Justice. Cambridge MA: Harvard University Press. Rest. J. Narvaez, D., Thoma, S and Bebeau, M. Post-Conventional Moral Reasoning: A Neo-Kohlbergian Approach (2000). Mahway, NJ: Erlbaum Press..
  • Salovey, P. & Mayer, J.D. (1990). “Emotional intelligence,” Imagination, Cognition, and Personality 9 185-211.

Author Information

William Puka
Email: Pukab@aol.com
Rensselaer Polytechnic Institute
U. S. A.

Middle Knowledge

de Molina
Luis de Molina

If Aristotle had not been a student of Plato, then would Aristotle have chosen to start his school at Lyceum? If you believe God knows the answer to this question, you probably believe God has middle knowledge.

Middle knowledge is a form of knowledge first attributed to God by the sixteenth century Jesuit theologian Luis de Molina (pictured to the left). It is best characterized as God’s prevolitional knowledge of all true counterfactuals of creaturely freedom. This knowledge is seen by its proponents as the key to understanding the compatibility of divine providence and creaturely (libertarian) freedom (see Free Will).

Middle knowledge is so named because it comes between natural and free knowledge in God’s deliberations regarding the creative process. According to the theory, middle knowledge is like natural knowledge in that it is prevolitional, or prior to God’s choice to create. This, of course, also means that the content of middle knowledge is true independent of God’s will and therefore, He has no control over it. Yet, it is not the same as natural knowledge because, like free knowledge, its content is contingent. The doctrine of middle knowledge proposes that God has knowledge of metaphysically necessary states of affairs via natural knowledge, of what He intends to do via free knowledge, and in addition, of what free creatures would do if they were instantiated (via middle knowledge). Thus, the content of middle knowledge is made up of truths which refer to what would be the case if various states of affairs were to obtain.

Table of Contents

  1. Assumptions
  2. Scientia Media
  3. Objections to Middle Knowledge
    1. Rejection of Libertarian Freedom
      1. Libertarian Responses
    2. The Truth of Counterfactuals of Creaturely Freedom
      1. Objections to the Principle of Conditional Excluded Middle
      2. Molinist Responses
      3. Molinism and Determinism
      4. The Grounding Objection
      5. Molinist Responses
    3. The Usefulness of Middle Knowledge
      1. Viciously Circular
      2. Not True Soon Enough
      3. Molinist Responses
  4. References and Further Readings
    1. Books
    2. Articles

1. Assumptions

Before an examination of the theory of middle knowledge can be offered, several assumptions must be set forth. Each of these assumptions is important for an understanding of the doctrine of middle knowledge and its usefulness for theological reflection.

First, it is assumed that for an action to be free, it must be determined by the agent performing the action. This means that God cannot will a free creature to act in a particular way and the act still be free. Free actions must be self-determinative. This assumption may appear self-evident to some, and quite controversial to others. While it must be admitted that God could certainly desire a creature act in a particular way and the choice remain free, it is difficult to see how He could cause the choice and it still be free in a meaningful way. Proponents of middle knowledge do not deny that God may influence a free choice or persuade an agent to act in a particular way, but such influence and persuasion cannot be determinative if the action performed is to be free. In addition, middle knowledge requires freedom of a libertarian nature. That is, free creatures have the ability to choose between competing alternatives, and really could choose one or the other of the alternatives.

Second, it has become customary to speak of a logical priority in divine thoughts. This is not to deny the simplicity or omniscience of God, or to say that He gains knowledge that He did not previously possess. Rather, it is simply to acknowledge that dependency relationships exist between certain kinds of knowledge. It is also to acknowledge that something analogous to deliberation may take place in the divine mind. For example, in order for God to know that one plus one equals two, He must first comprehend the meaning of the concepts represented by the numbers, mathematical symbols, and formulaic expressions; they serve as a basis by which the truthfulness of the formula may be evaluated. But this is not to say that there was a time when God did not know 1+1=2. Thus, a relationship of logical priority, but not necessarily temporal priority exists between some of the content of divine knowledge.

Third, proponents of the doctrine of middle knowledge believe that things could have been different than they, in fact, are. There is much that is not necessary about the way the world is. For example, I could have married someone other than Stefana, the woman I did marry. Of course, that would depend upon my falling in love with someone else and that woman agreeing to my proposal of marriage. Although I find it difficult to imagine my falling in love with someone else (I love my wife very much), the point is that there is nothing about my marrying Stefana that is necessary. Stefana was free to reject my offer of marriage, I was free to never ask her out, we may never have existed, etc. Or, for another example, God could have made things differently. The sky could be yellow instead of blue, or the grass pink. God could have chosen to not create at all. Although this assumption should be self-evident, it is also supported by the Heisenberg Uncertainty Principle. Things could have been different.

2. Scientia Media

Molina’s doctrine is called scientia media, or middle knowledge, because it stands in the middle of the two traditional categories of divine epistemology as handed down by Aquinas, natural and free knowledge. It shares characteristics of each and, in the logical order of the divine deliberative process regarding creation, it follows natural knowledge but precedes free knowledge.

Natural knowledge is that part of God’s knowledge which He knows by His very nature or essence, and since His essence is necessary, so is that which is known through it. That is, the content of natural knowledge includes all metaphysically necessary truths. For example, the statement, “All bachelors are unmarried” is both necessary and part of natural knowledge. Other examples include other tautologies, mathematical certainties (e.g., 1+1=2), and all possibilities (since all possibilities are necessarily so). Natural knowledge can therefore be thought of as including a virtually infinite number of propositions of the form, It is possible that p, as well as a number of propositions of the form, It is the case that p. Thus, natural knowledge, properly conceived, is that part of God’s knowledge which could not have been different from what it is. It follows from this fact that the content of God’s natural knowledge is independent of His will; God has no control over the truth of the propositions He knows by natural knowledge. Consider, for example, the mathematical truth, 1+1=2. No matter what God wills, it will always be true that the concepts represented by the symbols 1, 2, +, and =, when arranged in a formulaic expression, one plus one equals two. It is important to note that, because natural knowledge is independent from God’s will and, to some extent, places limits upon the kinds of things God can do, natural knowledge informs(ed) God’s decision(s) regarding His creative work. This also means that natural knowledge is prevolitional.

Free knowledge is that part of God’s knowledge which He knows by His knowledge of His own will, both His desires and what He will, in fact, do. The content of this knowledge is made up of truths which refer to what actually exists (or has existed, or will exist). For example, the statement, “John Laing exists,” although certainly true, is dependent upon God’s choice to create me (or, more properly, to actualize a world where I am brought about), and hence, is part of God’s free knowledge. Free knowledge can therefore be thought of as including a number of propositions of the form, It is the case that p (Note that propositions of the forms, It was the case that p, and It will be the case that p, can be reduced to a proposition which refers to the present). Since free knowledge comes from God’s creative act of will, two things follow. First, the content of that knowledge is contingent; it could have been different from what it, in fact, is. That is, free knowledge includes only metaphysically contingent truths, or truths that could have been prevented by God if He chose to create different situations, different creatures, or to not create at all. Second, free knowledge is postvolitional; it is dependent upon God’s will.

As previously noted, middle knowledge is so named because it comes between natural and free knowledge in God’s deliberations regarding the creative process. According to the theory, middle knowledge is like natural knowledge in that it is prevolitional, or prior to God’s choice to create. This, of course, also means that the content of middle knowledge is true independent of God’s will and therefore, He has no control over it. Yet, it is not the same as natural knowledge because, like free knowledge, its content is contingent. The doctrine of middle knowledge proposes that God has knowledge of metaphysically necessary states of affairs via natural knowledge, of what He intends to do via free knowledge, and in addition, of what free creatures would do if they were instantiated (via middle knowledge). Thus, the content of middle knowledge is made up of truths which refer to what would be the case if various states of affairs were to obtain. For example, the statement, “If John Laing were given the opportunity to write an article on middle knowledge for the Internet Encyclopedia of Philosophy, he would freely do so,” although true, is certainly not necessarily so. I could easily have refrained from writing, if I were so inclined (or too busy, etc.). Likewise, its truth does not seem to be dependent upon God’s will in the same way that “John Laing exists” is. Even if God chose to not create me, the statement regarding my writing the article could still be true. In fact, its truth does not seem to be dependent upon God’s will at all, but rather upon my will. One of the basic assumptions of the doctrine of middle knowledge outlined above is that God cannot will a creature to freely choose anything. Thus, the content of middle knowledge can be thought of as including a virtually infinite number of propositions of the form, If person, P, were in situation, S, then P would freely perform action, A (or P(S®A)).

The theory of middle knowledge presents a picture of divine omniscience which includes not only knowledge of the past, present and future, but also knowledge of conditional future contingents (propositions which refer to how free creatures will choose in various circumstances), counterfactuals (propositions which refer to how things would actually be if circumstances were different than they are or will be), and counterfactuals of creaturely freedom (propositions which refer to what a free creature would have chosen (freely) to do if things had been different). This knowledge, together with natural knowledge, informs God’s decision about what He will do with reference to creation.

One of the most useful concepts for the explanation and evaluation of middle knowledge is that of possible worlds. The basic belief that things could have been different is commonly described as belief in many possible worlds. Each complete set of possible states of affairs (or way things could be) is a possible world, and although there is an extremely large number of possible worlds, it is not infinite (some states of affairs are impossible), and only one is actual (the way things are).

In the contemporary discussion of possible worlds, two concepts have proven particularly instructive: actualization and similarity. In popular piety, it is not unusual to refer to God creating the world. However, in possible worlds semantics, this is seen as semantically improper. Instead, God’s creative activity should be referred to as creating the heavens and the Earth, but actualizing a particular possible world (since possible states of affairs do not have a beginning, which the language of creation implies). According to the doctrine of Molinism, God can actualize a world where His will is brought about by the free decisions of creatures, but in order to make this claim, contemporary Molinists have had to distinguish between strong and weak actualization. Strong actualization refers to the efforts of a being when it causally determines the occurrence of an event (e.g., God causes something to happen), while weak actualization refers to the contribution of a being to the occurrence of an event by placement of a free creature in circumstances in which he will freely cause the event. Weak actualization has proven to be a powerful tool for understanding the relationship between God’s providence and human freedom. However, it must be noted that it implies that there may be some states of affairs that God cannot weakly actualize, which leads to the further conclusion that there may be some possible worlds that God cannot actualize.

A more controversial aspect of modern Molinism has been the use of possible worlds in determining the truth of counterfactuals. According to possible worlds semantics, a counterfactual is true in the actual world if it is true in the possible (but not actual) world that is most similar to the actual world. Not all Molinists have accepted this approach, noting the difficulty in determining comparative similarity among possible worlds.

3. Objections to Middle Knowledge

Much of the current discussion of middle knowledge has developed in the context of debate over the validity of the doctrine. Three basic objections to Molinism have been proffered: 1) Rejection of Libertarian Free Will, 2) The Truth of Counterfactuals of Creaturely Freedom, and 3) The Usefulness of Middle Knowledge for God’s Creative Decision.

a. Rejection of Libertarian Freedom

The principle objection to middle knowledge in Molina’s day was that it afforded creatures such a high view of freedom that God’s providence was compromised. Although Molina’s detractors were certainly motivated by political concerns, the strength of their theological and philosophical arguments cannot be denied. Today, this form of argument normally takes one of two forms. First, some theologians/philosophers have objected to the assumption that God cannot will the free actions of creatures. This argument will often be based on an appeal to mystery or the transcendence of God. God, it is said, works on a plane above that of creatures, and therefore can will an action of an individual while not impinging on his freedom. Second, and more commonly, some have objected to the concept of libertarian freedom and instead advocate compatibilist freedom. Whereas libertarian freedom is seen as the ability to choose between competing alternatives, compatibilist freedom is seen as the ability to choose in accordance with one’s desires. It is argued that libertarian freedom is radically indeterministic or even incoherent—if one’s desires are not determinative for his decision, then it appears that no decision can be made.

i. Libertarian Responses

Proponents of libertarian freedom have responded that it is the individual’s will which is determinative for the choice made. They have also pointed out that proponents of compatibilist freedom must believe that God possesses libertarian freedom in order to avoid theological fatalism: either God was able to choose to create or not create, for example, or He had to create. Since most theologians want to avoid the claim that God could always act in only one way, they must admit the coherence of libertarian freedom. At this point, then, the complaint with libertarian creaturely freedom can only be one of veracity—that it simply does not accurately explain the creaturely decision-making process. Proponents of libertarian freedom have pointed out that this claim cannot be proven, and that from an existential standpoint, it seems to be false. It should be noted that the majority of philosophers hold to libertarian freedom and these objections have been primarily entertained in the theological arena.

b. The Truth of Counterfactuals of Creaturely Freedom

The second type of objection to Molinism is really an attack on the belief, fundamental to the doctrine of middle knowledge, in counterfactuals of creaturely freedom. Many scholars have called into question the possibility that counterfactuals of creaturely freedom can be true. Various approaches have been taken to make this claim, from questioning the principle of conditional excluded middle, to arguing that true counterfactuals require determinism, to contending that counterfactuals of creaturely freedom have nothing which makes them true. Each will be presented, albeit only briefly.

i. Objections to the Principle of Conditional Excluded Middle

The first approach to arguing that counterfactuals of creaturely freedom cannot be true has come in the form of an attack on the principle of conditional excluded middle. The principle of conditional excluded middle states that, given two conditional statements with the same antecedent and opposite consequents, one must be true (Either p®q or p®~q). It is thought that Molinism requires the principle to hold because counterfactuals of freedom are often presented in pairs. For example, consider the following pair of conditional statements:

(1) If John were to ask Stefana to marry him, she would accept; and

(2) If John were to ask Stefana to marry him, she would not accept.

Although, properly speaking, these are not counterfactuals, since I did ask Stefana to marry me, in the literature it has become customary to speak of all conditional statements of this sort as counterfactuals. According to the doctrine of middle knowledge, one of either (1) or (2) must be true, and God knew which would be true prior to His free knowledge. However, if conditional excluded middle can be shown to be false, then the contention that one of a pair of counterfactuals must be true, cannot be sustained.

David Lewis has provided an example of two conditional statements which (he claims) seem equally true:

(3) If Verdi and Bizet were compatriots, Bizet would be Italian;

(4) If Verdi and Bizet were compatriots, Bizet would not be Italian.

It is unclear which statement is correct, yet according to CEM, one must be true. (3) could be true. After all, if Bizet were Italian, he and Verdi would be compatriots. However, (4) could also be true (if Verdi were French). It seems just as likely for Verdi to have been French as Bizet to have been Italian and therefore, neither (3) nor (4) is true. The principle of conditional excluded middle fails, and so does middle knowledge.

ii. Molinist Responses

Two basic responses have been offered by proponents of Molinism. First, some have questioned the accuracy of Lewis’ contention that (3) is just as likely to be true as (4). In deciding which is true, a judgment call has to be made regarding the relative similarity of possible worlds to the actual world, a. Suppose (3) is true in a possible world, b, and b is more similar, or closer, to a than any other possible world in which (3) is true. Suppose further that (4) is true in a possible world, g, and g is closer to a than any other possible world in which (4) is true. According to the standard possible worlds semantics, (3) is true if b is closer to a than g is, and (4) is true if g is closer to a than b is. However, Lewis argues that b and g may be equally similar to a and therefore, neither (3) nor (4) is true—they have an equal chance of being true.

However, it seems that this is not the case—the inability to determine which possible world, b or g, is closer to the actual world, a, appears to be due more to a lack of knowledge about the actual world than genuine indeterminacy regarding similarity among worlds. It may also be due to a lack of criteria regarding how similarity among possible worlds is to be determined. Thus, the inability to determine which of (3) or (4) is true may be due to epistemological uncertainty rather than equal likelihood.

Second, it has been pointed out that middle knowledge does not require the principle of excluded middle, but rather only the principle of bivalence. Lewis’ example does not present a problem for middle knowledge because the counterfactuals do not refer to creaturely activity and because two kinds of change are possible (Bizet could be Italian or Verdi could be French). In a counterfactual of creaturely freedom, only one sort of change is possible—either the creature performs the required action, or he/she does not. The only variable in the example given previously was Stefana’s action in response to the proposal. She could either accept, or not accept. Since only one variable exists, only the principle of bivalence is necessary.

iii. Molinism and Determinism

The second approach to arguing that counterfactuals of creaturely freedom cannot be true has come in the form of an assertion that Molinism leads to determinism and therefore, the counterfactuals do not refer to free actions. Several forms of this argument have been offered.

The first form has been to question the amount of risk God takes. Since middle knowledge affords God comprehensive knowledge of the future (when taken with His free knowledge), and of how creatures will exercise their freedom when faced with decisions, and since that knowledge is used by God in determining how He will providentially guide the world, all risk on God’s part is removed; He cannot be surprised and further, He specifically planned for everything that will occur. Yet, the objectors argue, true creaturely freedom requires risk on the part of God. Molinism removes the risk, but is doing so, abrogates creaturely freedom.

The most common response by Molinists to this form of the argument is simply that it begs the question of compatibilism. It is based on the questionable presuppositions that divine risk is necessary for creaturely freedom to exist, and that risk is eliminated by divine foreknowledge. But these presuppositions seem to assume incompatibilism (of creaturely freedom and divine foreknowledge), which is what the argument is supposed to prove. In addition, Molinists have also argued that it is dependent upon a particular view of risk that may be questioned as well.

The second form of the argument contends that the individual referred to in a counterfactual of creaturely freedom does not have the power to bring about the truth or falsity of that counterfactual and therefore, does not have the required freedom to perform, or not perform, the given action. The reason it is argued that individuals do not have the power to bring about the truth of counterfactuals about them is that some counterfactuals are true regardless of what the individual actually does. Consider the example given earlier in this article:

(1) If John were to ask Stefana to marry him, she would accept; and

(2) If John were to ask Stefana to marry him, she would not accept.

(1) is true, but according to this argument, Stefana does not bring about its truth because it is true whether or not she accepts. Suppose John never proposes—in that case, Stefana neither accepts nor rejects the offer because it was never made. That is, the counterfactual is true independent of Stefana’s action and, therefore, she does not make it true. So, the argument goes, since Stefana does not have the power to bring it about that the counterfactual is true, then she does not have the power to bring it about that the counterfactual is false. But since the counterfactual is true, it seems that she therefore does not have the power to not accept the proposal if it is made and therefore, she is not free with respect to the marriage proposal.

The proponents of middle knowledge have responded to this form of the argument with a variety of answers, most of which are rather complex discussions of the concepts of individual power and entailment, relative similarity among possible worlds, and bringing about. The upshot of these arguments is that it is not at all clear (at least to the Molinists) that individuals do not have the power to bring about the truth (or falsity) of counterfactuals which refer to them. In fact, most Molinists have argued for the validity of the concept of counterfactual power over the past (power of an individual to act in such a way that certain things in the past would have been other than they were, if the person were going to act in that way, which they were not).

The third form of the argument builds upon the first and the second, specifically with reference to the way that God makes use of middle knowledge and the fixity of the past. Since God’s knowledge of counterfactuals of creaturely freedom informs His decision about which possible world to actualize, that knowledge and the true counterfactuals are part of the causal history of the actual world and therefore, are part of the fixed past. The problem this causes for Molinism is due to the fact that genuine freedom requires that the individual has the ability to either act in the specified manner or not act in the specified manner. In other words, if God considered (1) in his decision regarding actualization of this world, once He did actualize this world (in which (1) is true), then (1) became part of the history of this world and part of the fixed past. This leads to the suggestion that Stefana did not really have the ability to not accept the offer of marriage, if John were to propose (that is, to bring it about that (2) is true instead of (1)).

Molinists have responded to this objection by denying the central claim that events which had causal consequences in the past are hard facts about the past. Most Molinists believe that free agents have counterfactual power over the past (power to act such that, if one were to act in that way, the past would have been different from how it, in fact, was). If this sort of power is accepted as plausible, then the objection fails.

iv. The Grounding Objection

The third approach to arguing that counterfactuals of creaturely freedom cannot be true is the most popular and seems to serve as the basis for the other objections. It is typically referred to as the “grounding objection,” and is related to the question already posed regarding what causes counterfactuals to be true. According to the argument, there appears to be no good answer to the question of what grounds the truth of counterfactuals of creaturely freedom. They cannot be grounded in God because determinism would follow—the necessity of God’s being or His will would transfer to the counterfactuals. Additionally, the prevolitional character of middle knowledge speaks against grounding counterfactuals of creaturely freedom in the will of God. However, they also cannot be grounded in the individuals to which they refer for at least four reasons. First, counterfactuals of creaturely freedom are true prior to the existence of the individual to which they refer. Second, the existence of the individuals is dependent upon the will of God, and therefore, the truth of the counterfactuals would also be dependent upon the will of God (which has already been shown to be problematic). Third, counterfactuals, properly speaking, refer to non-actual states of affairs and therefore, the events to which they refer never happen, and fourth, psychological makeup cannot serve as grounding because this suggests that the actions performed are not free and thus, the propositions describing the decisions/actions cannot be deemed counterfactuals of freedom.

v. Molinist Responses

Molinists have responded to the grounding objection in a variety of ways, five of which will be surveyed here. The first response to the grounding objection has been to simply state that counterfactuals of freedom do not need to be grounded and that no satisfactory explanation of the grounding relation can be given. The upshot of this response is that counterfactuals of creaturely freedom seem to be brute facts about the possible worlds in which they are true or brute facts about the creatures to whom they refer.

The second response is similar in that it turns the grounding objection against the detractor of middle knowledge. Some of the proponents of middle knowledge have suggested that the grounding objection is based on the assumption that a causal connection must exist between the antecedent and consequent of a counterfactual of creaturely freedom in order for it to be true. This assumption, however, is problematic because it assumes libertarian freedom to be false. The grounding objection, then, begs the question of compatibilism.

The third Molinist response has been to compare contingent propositions which refer to the actual future (or futurefactuals) with contingent propositions which refer to counterfactual states of affairs, specifically regarding statements which include how free creatures will decide and would have decided. Those propositions which refer to the actual future are either true or false now, even though there is nothing in the present that can be pointed to as grounding their truth. In a similar fashion, counterfactuals are either true or false, even though there is nothing in the present that can be pointed to as grounding their truth.

The fourth response by proponents of middle knowledge builds upon the third and utilizes the standard possible worlds semantics. It may be argued that the truth of futurefactuals of creaturely freedom are grounded in the future occurrence or nonoccurrence of the event. In a similar fashion, the truth of counterfactuals of creaturely freedom may be grounded in the occurrence or nonoccurrence of the event in the closest possible-but-not-actual world to the actual world. Thus, there is something (an event) that may be pointed to as grounding the truth of the statement.

The fifth and final response of Molinists has been to build upon the suggestion that counterfactuals are brute facts about particular individuals, by arguing that the truth of counterfactuals are grounded in the individuals to which they refer as they exist in the precreative mind of God as ideas. Since the grounding is in the individual, contingency remains, yet since it is as the individual exists in the mind of God as an idea, the problems associated with grounding in the individual are avoided.

Although some of these responses may be deemed more successful than others, and while some may be seen as more of a shifting of the burden of proof than an answer to the specific objection, they do demonstrate that the demand for grounding is somewhat unclear. However, it must also be conceded that the efforts to answer the objection show that some sort of idea of grounding is at least conceivable.

c. The Usefulness of Middle Knowledge

The third major objection to middle knowledge is similar to the second in that it deals with the truth of counterfactuals of creaturely freedom. Several forms of this argument have been proffered, but in its most basic form, it claims that the priority inherent in the Molinist system creates a problem for the truth of counterfactuals of creaturely freedom—the verdict is that Molinist is either viciously circular, or counterfactuals of creaturely freedom are not true soon enough to aid God’s creative decision.

i. Viciously Circular

Proponents of this objection point out that, according to Molinism, the truth of counterfactuals of creaturely freedom must be prior to God’s creating activity because they inform His creative decision. However, under the standard possible worlds analysis, which counterfactuals are true is dependent upon which world is actual (counterfactuals are true if they are true in the closest possible-but-not-actual world to the actual world). Thus, which world is actual (and presumably, how close all possible worlds are to it) must be prior to God’s knowledge of the true counterfactuals. But this means that God’s creative decision must be prior to God’s creative decision! Thus, middle knowledge is circular.

ii. Not True Soon Enough

A variation on this same argument ignores the possible worlds approach to determining counterfactual truth and instead begins with the view that a counterfactual is true by the action of the agent named in the counterfactual. This, however, also leads to a problem because it means that a truth regarding how the agent would act must be prior to the agent’s activity (presupposed in Molinism), but because the agent is free, he could refrain from acting and thereby cause the counterfactual to be false. Therefore, the truth of counterfactuals must be “up in the air” until the agent acts. But this means that God could not use counterfactuals of creaturely freedom to aid His creative decision because they would not be true soon enough for Him to use them (or if they were, the agents named could not refrain from acting and therefore, would not be free).

iii. Molinist Responses

A whole host of answers have been presented by Molinists. The most obvious response is to reject the possible worlds analysis of counterfactuals—disallow the contention that the truth of counterfactuals is somehow dependent upon which world is actual. Other responses have included discussion of the use of “priority” or the “depends on” relation in the two arguments. In both cases, it appears that an equivocation has taken place. Last, both versions of the argument betray an assumption of the incompatibility of libertarian creaturely freedom and divine foreknowledge.

4. References and Further Readings

a. Books

  • Craig, William Lane. Divine Foreknowledge and Human Freedom: The Coherence of Theism, Omniscience. New York: Brill, 1990.
  • Craig, William Lane. The Problem of Divine Foreknowledge and Future Contingents from Aristotle to Suarez. New York: Brill, 1988.
  • Flint, Thomas P. Divine Providence: The Molinist Account.. Ithaca: Cornell, 1998.
  • Hasker, William. God, Time, and Knowledge. Ithaca: Cornell, 1989.
  • Molina, Luis de. On Divine Foreknowledge: Part IV of the Concordia. Translated by Alfred J. Freddoso. Ithaca: Cornell, 1988.
  • Plantinga, Alvin. The Nature of Necessity. Oxford: Clarendon, 1974.

b. Articles

  • Adams, Robert Merrihew. “An Anti-Molinist Argument” In Philosophical Perspectives, vol. 5, Philosophy of Religion, ed. by James E. Tomberlin, 343-53. Atascadero, CA: Ridgeview, 991.
  • Adams, Robert Merrihew. “Middle Knowledge and the Problem of Evil.” American Philosophical Quarterly 14:2 (April 1977): 109-17.
  • Hasker, William. “Middle Knowledge: A Refutation Revisited.” Faith and Philosophy 12:2 (April 1995): 223-36.
  • Hasker, William. “A New Anti-Molinist Argument.” Religious Studies 35:3 (September 1999): 291-97.

Author Information

John D. Laing
Email: jlaing@swbts.edu
Southwestern Baptist Theological Seminary
U. S. A.

Emile Meyerson (1859—1933)

MeyersonEmile Meyerson, a chemist and philosopher of science, proposed that the explanations of science are governed by two fundamental principles of reason, namely, the principle of lawfulness and the principle of causality. While the contents of explanations change through history as the explanatory theories of science move from early atomism and qualitative theories to relativity physics and quantum mechanics, the form of thought stays the same, Meyerson said. The following article provides an overview of his life, influence, philosophy of science, and writings.

Meyerson studies the theories of science from the point of view of psychology. His work spans a 2500-year period of developments in science, and he claims that the goal of reason to explain and control nature is the same now as always because of the action of two innate psychological principles. Meyerson then extends their range to the realm of common sense. His study generates two main questions. The first concerns the accuracy of what he says about the mind, while the second applies his discovery to the course of future developments in science. Can the proper use of these psychological principles help us avoid bad science?

Meyerson calls his two innate psychological principles “lawfulness and causality.” The first principle of reason leads us to expect the regularity of natural events. We expect to find that the relationship between conditions and property behavior in nature remains constant. In his words, “our acts are performed in view of an end which we foresee; but this foresight would be entirely impossible if we did not have the absolute conviction that nature is well ordered, that certain antecedents determine and will always determine certain consequences” (IR 19). The second innate principle, causality, leads us to expect identities between the antecedent and consequent of a change. This principle underlies the success of scientific laws.

Table of Contents

  1. Life
  2. Influence
  3. Philosophy of Science
  4. References and Further Reading
    1. Books
    2. Articles

1. Life

Emile Meyerson was born in Lublin Poland on February 12, 1859. In 1870, he traveled to Heidelberg, Germany, to study chemistry with Wilhelm Bunsen and Hermann Kopp, and to Berlin to study chemistry with Liebermann. He came to France at age 22 and spent two years (1882-1884) at the Schulzenberger laboratory of the College de France to complete his studies in chemistry. In 1884 he served as Director of a dye factory in Argenteuil, but after a bitter disappointment with applied chemistry (see, Frédéric Lefevre, ‘Une heure avec M. Emile Meyerson’ In Les Nouvelles Littéraires, Saturday, Nov. 6, 1926) he left in 1889 to read philosophy at the Nationale. He read Renouvier (who taught him how to apply a scientific background to philosophy), Kant (who taught him that the thing in itself was unknowable) and Descartes (who taught him about the mathematical nature of science). He read in the history of science for 19 years before publishing his first book in 1908. During this period he supported himself by working as foreign news correspondent with l’agence Havas (Meyerson was fluent in the major European languages.) He became a naturalized French citizen after the war. The greatest influences on his thought are Auguste Comte, Boutroux and Bergson, Poincaré and Duhem, Descartes and Kant. Meyerson labels himself an ‘antipositivist’. He spent afternoons at the library reading the history of science, and evenings at home in conversation with the leading thinkers of the day; notably Lévy-Brühl, Brunschvicg, Lalande, and Langevin (plagued by insomnia Meyerson rarely slept more than four hours a day.) Whenever Einstein was in Paris, he would make it a point to visit Meyerson. In 1897, Meyerson was appointed Director General of the Jewish Colonization Association (JCA). He viewed the appointment as an opportunity to encourage the establishment of a Jewish settlement in Palestine. Meyerson shared Spencer’s belief that the rules of natural selection that govern the animal world should apply equally to human societies. On Saturday, December 2, 1933, in Paris, France, Meyerson died in his sleep of a heart attack. He had been unwell for some time. An article by André George commemorating Meyerson’s contribution to the philosophy of science appeared in Les Nouvelles Littéraires Dec 9, 1933.

The Central Zionist Archives (CZA) in Jerusalem contains 5.6 metres (35 boxes) of material and many thousands of documents on Meyerson. See ‘Personal Papers’ A 408 Emile Meyerson. (Rochelle Rubinstein, 2004).

2. Influence

The work of Emile Meyerson is an investigation into the psychological principles that accompany scientific theories. His work forms an important chapter in the history of science. From the first appearance of Identité et réalité in 1908, Emile Meyerson has been acclaimed as one of the most stimulating thinkers of our time. The title ‘Profound Philosopher,’ which Bergson conferred upon him in 1909, never left him. Einstein published an article in 1928 in which he expressed approval and admiration for what Meyerson said about the psychology of relativity physics. George Boas and André Metz are two of a long list of philosophers that wrote major books on his philosophy. Boas spent time with Meyerson getting to know him personally, while Metz is a life-long disciple. J. Lowenberg hailed him as a new Kant and thought that Meyerson had provided an important refutation of positivism. L. Lichtenstein at the University of Leipzig and C. De Koninck at Laval University developed courses on his philosophy. Scholars such as Blumberg, Bachelard, Brunschvieg, Lalande, Maritain, Schlick, and Sée, have been impressed by his work. Many doctoral dissertations are written on Meyerson’s work. André Bonnard, Charles De Koninck, T. R. Kelly, Joseph La Lumia, George Mourélos, Henri Sée, C.G. Sterling, O. Stumper, and W. A. Wallace have each written a book on his philosophy. Meyerson’s study of the history of scientific developments influenced modern French historiography of science (Alexandre Koyré, Hélène Metzger…)

3. Philosophy of Science

References to Meyerson’s work are abbreviated IR (trans.) for Identity and Reality; ES for De l’explication dans les sciences; DR for La déduction relativiste; CP for Du cheminement de la pensée; RD for Réel et déterminisme dans la physique quantique. These along with Essais, a posthumous publication of his major articles, make up the whole of his work.

Meyerson’s work is a study of scientific inductions, past and present. He examined the works of science to determine the psychological nature of scientific thought. Whereas Auguste Comte had argued that the ‘principle of lawfulness’ (the description of phenomena) governs the whole of thought, Meyerson’s evidence suggested to him that this was not the whole of thought. Science, he says, attempts equally to explain phenomena. This explanation consists in the identification of antecedent and consequent. His empirical study of scientific theories, old and new, proposes that two innate principles of reason regulate how the scientist views reality. The first rational principle predisposes a scientist to expect that nature shall attend herself with some degree of regularity. The second principle, leads a scientist to expect that the identification of antecedent and consequent shall explain the phenomena of observation. The name he reserves for these two psychological principles is lawfulness and causality, respectively. Meyerson claimed that the principles of reason were factual rather than normative.

Meyerson said that Comte did not pursue explanations in science because he limited the psychology of thought to the first of these principles. Comte did this because he was convinced that a too detailed investigation of nature would be counter-productive and lead to incoherent or sterile results. For instance, he protested strongly against the “abuse of microscopic research and the exaggerated merit still too often accorded to a means of investigation so dubious.” (IR 21). Comte expressed horror of all explanatory theory. Meyerson expressed the fundamental distinction between the principles of reason (and between Comte and himself) as follows:

The law states simply that, conditions happening to be modified in a determined manner, the actual properties of the substance must undergo an equally determined modification; whereas according to the causal principle there must be equality between causes and effects—that is, the original properties plus the change of conditions must equal the transformed properties. (ibid.,41).

According to Meyerson, the ways of reason provide evidence that both principles are in use whenever we think. In other words, science expresses a belief that its proportionality relationships (the principle of lawfulness) are grounded in an underlying structure (the principle of causality) or what Meyerson calls ‘ontology’. Thus, he says, description or lawfulness is not the only business of science. The concern for structure cannot remain foreign to science. Meyerson’s argument was based on a detailed study of the psychological principles that accompany all scientific inductions, past and present.

Meyerson’s research proposes that his work (which is essentially philosophy of mind; see Essais 59-105) shows that the psychological need to identify phenomena (the effect of the causal postulate) explains the developments of science. For instance, he says it generates the atomic theories of science. The focus of explanation is on positing the persistence of identities (to think is to identify), not on the nature of the persistent residuum. While science no longer thinks of the atom as being an irreducible unit, the causal postulate pushes the search for identities to an investigation for smaller constituents within the atom. Meyerson suggested that the same rational tendency to identify matter created the principles of conservation and ultimately lead to the elimination of time. The identification of antecedent and consequent of a change eliminated the difference between them, and therefore time. He claimed (following Spencer) that matter as eternal is just as it has to be to satisfy the ways of reason. Meyerson writes that the causal postulate creates the concept of the unity of matter and leads to ‘the assimilation of this latter with space’ (IR Ch. 7). The causal postulate ultimately leads to the annihilation of the external world. Meyerson explained this feat as a two-step movement of the causal postulate. The first movement of explanation identifies antecedent and consequent and thereby explains differences away. This step halts the movement of time because when nothing happens (a consequence of the identification of antecedent and consequent) time does not exist. Eternal matter is reduced to space. However, the march of the causal postulate is ongoing as the explanations of reason and the search for identities enter a second phase. In this case, Meyerson claims that the sufficient reason of matter is traced to the space that envelops it. The causal postulate establishes identity between matter and space. At this point nothing is left because space now empty of contents vanishes in turn.

The causal postulate and the tendency to reduce the whole of reality to an all-inclusive identity proposition failed. Science reacted, says Meyerson, and this reaction was expressed by Carnot’s principle (Meyerson calls Carnot the ‘hero of science’). The ‘irrationals’ of science such as transitive action and impact arise because reality does not lend itself to the (Eleatic) goal of total identification. We do not have the identities of antecedent and consequent supposed by the causal postulate. Carnot’s principle saves science. He reminds us that it costs energy to do work and the fully reversible reaction of rational mechanics is an illusion. Meyerson described the ‘irrationals’ of science as places of recalcitrance in reality, places that refuse to lend themselves to the formula of identification.

At this point, Meyerson introduced the distinction between identification and identities. We hope for full explanations (identification) of reality but achieve only partial explanations (identities). Meyerson fuses the convergence and divergence of reason and reality into what he terms the ‘plausible propositions’ of science (ibid., 148). He says that all scientific theories are generated this way as they reveal a mix of an a priori tendency to identify and the a posteriori elements of experience that resist total identification. The ‘plausible’ propositions of science are best expressed through mathematics since it provides a mechanism to preserve diversity while expressing identity. For instance, the proposition 7 plus 5 equals 12 expresses identity while accounting for the differences between antecedent and consequent. Meyerson attributes the discovery of this application (the mathematical method) to René Descartes.

CP extends the causal postulate to the world of common sense. The world we see upon awakening each morning is the result of the activity of the causal postulate. Reason must have its identities and cannot tolerate the fleetingness of sensations. We create the world as a place to house sensations in their absence. The world of common sense arises out of the hypostasis of sensations. This action provides an ontological foundation for science. Science purifies the world of common sense by subjecting it to additional layers of identification. Meyerson said that the constructs of science—electrons, atoms—are more real than the objects of common sense because they arise out of several coatings of identification.

The formula of identification recognizes that diversity is itself an irrational. Reason cannot know the real without reducing it to something other than itself. Meyerson is in full agreement with the Kantian view that reality is essentially unknowable or noumenal. The thing in itself cannot be known since the ways of reason spontaneously transform diversity into identity (RD 21.) The explanatory structure of science depends on the discovery of identities in diversity. But that discovery leads to the (Kantian) conclusion that reality in itself is unknowable. Does this mean that (lawfulness) description remains the only business of science? Not at all! Meyerson does not change his mind about the insufficiencies of positivistic epistemology. He reminds us that the causal postulate is factual rather than normative. The point about causality is that something must persist. The irrational nature of diversity means that some aspect of reality will always remain unknown. Error comes out of hastily constructed theories, theories with few instances of identifications, not the causal postulate. The principles of lawfulness and causality are the core structure of reason. To explain is to identify. Meyerson says that to identify is to discover sufficient reasons, as was clear to Leibniz; “Things are thus because they were already previously thus” (IR 43). Meyerson said there is no evidence to suggest that the way we think will ever change. In the past, the human mind has never modified its essence. Thus, this form of thought will shape the future of scientific developments. However, he explained the evolution of science as a two-pronged movement of reason. First, science is an attempt to generate a theory of everything through the discovery of increasingly comprehensive identity propositions. Second, we experience changes in the relationship between reason and reality. For instance the shift from the Newtonian view of homogeneous space to the heterogeneous space of relativity physics (see DR) arose because the concept space has been shown to obtain a posteriori. Experience (now) teaches us that space is not the same everywhere and therefore the concept cannot come from reason (is not a priori). Meyerson’s criticism of positivistic epistemology (and the ‘Copenhagen’ view of quantum theory) earned Einstein’s approval because it explained how the forms of reason lead to the reducibility of matter and time to heterogeneous space (see ‘the success of relativism’ In DR Ch. 16—133: ‘La réussite du relativisme’.)

4. References and Further Reading

a. Books

  • (1908) Identité et réalité. Paris: F. Alcan. xix and 571 pages.
    • The second edition appears in 1912, and the third edition in 1926. The third edition is translated into English by Kate Lowenberg. (1930) Identity and Reality. George Allen & Unwin Limited. (1960). New York, N.Y.: Dover Publications, Inc. This book is an inductive study of the theories generated by scientific thought—from their first beginnings in the works of the early Atomists to their latest developments in quantum physics—to uncover the psychological principles that accompany all scientific inductions.
  • (1921) De l’explication dans les sciences. 2 volumes. Paris:Payot. 784 pages. The Second Edition appears in 1927. The book is translated into English by Mary-Alice and David A. Sipfle. (1991) Explanation in the Sciences. Boston Studies in the Philosophy of Science. No. 128. Hingham, Mass: Kluwer Academic Publishers. 648 pages.
    • Meyerson says that IR is inductively based whereas this book is more philosophical because it moves deductively from the application of principles uncovered in that first book to their application in scientific developments.
  • (1924) La déduction relativiste. Paris: Payot. 396 pages.
    • Meyerson had been accused of dealing with pre 20th century science, so in this work he applies the principles uncovered in IR to current scientific thought. His work did not go unnoticed. In 1928, Einstein expressed admiration for Meyerson’s epistemological perspective, citing DR as a penetrating and exacting study of relativity physics. Einstein notes the presence of ‘ce démon de l’explication’ in his own work; “Eh bien j’ai lu votre livre, et je vous l’avoue, je suis convaincue” (ah yes, I read your book, I admit it, I am convinced.) See Albert Einstein, 1928, ‘A propos de la déduction relativiste de M. Emile Meyerson. In Revue Philosophique, 105, mars-avril, 161-166.
  • (1931) Du cheminement de la pensée. Three volumes. Paris: F. Alcan. xxvii and 1036 pages, (vol 3 is reserved for notes).
    • The work moves beyond science to focus on the application of principles of reason to the realm of common sense.
  • (1933) Réel et déterminisme dans la physique quantique. Paris: Hermann. 49 pages.
    • This small special study moves ahead to apply the psychological structure of thought (lawfulness and causality) to quantum mechanics. The book’s Preface is by Louis de Broglie.
  • (1936) Essais. Paris: J. Vrin. xvi and 272 pages.
    • A posthumous publication of Meyerson’s major articles. Meyerson prepared the list of articles to be included in the book. The Preface is by Louis de Broglie, and the Foreword is by L. Lévy-Bruhl.

b. Articles

i. Articles included in Essais

  • (1884) Jean Rey et la loi de la conservation de la matière. Revue scientifique. 33, jan-juillet, pp 299-303.
  • (1888) Théodore Turquet de Mayerne et la découverte de l’hydrogène. Revue scientifique. 42, nov. pp. 665-670.
  • (1891) La coupellation chez les anciens Juifs. Revue scientifique. 47, juin, pp. 756-758.
  • (1914) Y-a-t-il un rythme dans le progrès intellectuel? Bulletin de la société française de philosophie. 14. Séance des 29 janvier et 5 février, pp. 61-140.
  • (1923) Le sens commun vise-t-il la connaissance? Revue de métaphysique et de morale. 30, 15 mars, pp. 13-21.
  • (1923) Le sens commun et la quantité. Journal de psychologie. 30, 15 mars, pp. 206-217.
  • (1923) Hegel, Hamilton, Hamelin et le concept de cause. Revue philosophique. 96, juillet-aout, pp. 33-55.
  • (1933) La notion de l’identique. Recherches philosophiques. 3, pp. 1-17.
  • (1934) Le savoir et l’univers de la perception immédiate. Journal de psychologie, pp. 3-4.
  • (1934) Philosophie de la nature et philosophie de l’intellect. Revue de métaphysique et de morale. 41, avril, pp. 59-105.
  • (1934) Les mathématiques et le divers. Revue philosophique. 117, mai-juin, pp. 321-334.
  • (1934) De l’analyse des produits de la pensée. Revue philosophique. 118, sept.-oct. , pp. 135-170.

ii. Other Articles

  • (1890) Les travaux de M. Charles Henry sur une theorie mathématique de l’expression. Bulletin scientifique. 16, pp. 3-5.
  • (1891) Paracelsus et la découverte de l’hydrogne. Revue scientifique. 47, juin, p. 796.
  • (1911) L’histoire du problème de la connaissance de M. E. Cassirer. Revue de métaphysique et de morale. 19, janvier, pp. 100-129.
  • (1916) La science et les systèmes philosophiques. Revue de métaphysique et de morale. 23 janvier, pp. 203-242.
  • (1924) La tendance apriorique et l’expérience. Revue philosophique. 97, jan-juin, pp.161-179.
  • (1930) Le physicien et le primitif. Revue philosophique. 109, jan.-juin, pp. 321-358.

Author Information

Kenneth A. Bryson
Email: ken_bryson@cbu.ca
Cape Breton University
Canada

Maurice Merleau-Ponty (1908—1961)

merleau-pontyMaurice Merleau-Ponty’s work is commonly associated with the philosophical movement called existentialism and its intention to begin with an analysis of the concrete experiences, perceptions, and difficulties, of human existence. However, he never propounded quite the same extreme accounts of radical freedom, being-towards-death, anguished responsibility, and conflicting relations with others, for which existentialism became both famous and notorious in the 1940s and 1950s. Perhaps because of this, he did not initially receive the same amount of attention as his French contemporaries and friends, Jean-Paul Sartre and Simone de Beauvoir. These days though, his phenomenological analyses are arguably being given more attention than either, in both France and in the Anglo-American context, because they retain an ongoing relevance in fields as diverse as cognitive science, medical ethics, ecology, sociology and psychology. Although it is difficult to summarize Merleau-Ponty’s work into neat propositions, we can say that he sought to develop a radical re-description of embodied experience (with a primacy given to studies of perception), and argued that these phenomena could not be suitably understood by the philosophical tradition because of its tendency to drift between two flawed and equally unsatisfactory alternatives: empiricism and, what he called, intellectualism. This article will seek to explain his understanding of perception, bodily movement, habit, ambiguity, and relations with others, as they were expressed in his key early work, Phenomenology of Perception, before exploring the enigmatic ontology of the chiasm and the flesh that is so evocatively described in his unfinished book, The Visible and the Invisible.

Table of Contents

  1. Life and Works
  2. Early Philosophy
    1. Habit
    2. Philosophy and Reflection
    3. Ambiguity
  3. Later Philosophy
    1. The Critique of the Phenomenology of Perception
    2. The Chiasm/Reversibility
    3. The Other
    4. Hyper-Reflection
  4. References and Further Reading
    1. Writings
    2. Some Commentaries and Collections of Essays

1. Life and Works

Maurice Merleau-Ponty was born on March 14th 1908, and like many others of his generation, his father was killed in World War I. He completed his philosophy education at the Ecole Normale Superieure in 1930, and rather rapidly became one of the foremost French philosophers of the period during, and immediately following World War II, where he also served in the infantry. As well as being Chair of child psychology at Sorbonne in 1949, he was the youngest ever Chair of philosophy at the College de France when he was awarded this position in 1952. He continued to fulfill this role until his untimely death in 1961, and was also a major contributor for the influential political, literary, and philosophical magazine that was Les Temps Modernes. While he repeatedly refused to be explicitly named as an editor alongside his friend and compatriot Jean-Paul Sartre, he was at least as important behind the scenes.

Along with Sartre, he has frequently been associated with the philosophical movement existentialism, though he never propounded quite the same extreme accounts of freedom, anguished responsibility, and conflicting relations with others, for which existentialism became both famous and notorious. Indeed, he spent much of his career contesting and reformulating many of Sartre’s positions, including a sustained critique of what he saw as Sartre’s dualist and Cartesian ontology. He also came to disagree with Sartre’s rather hard-line Marxism, and this was undoubtedly a major factor in what was eventually a rather acrimonious ending to their friendship. For Merleau-Ponty’s assessment of their differences see Adventures of the Dialectic, but for Sartre’s version of events, see Situations. While he died before completing his final opus that sought to completely reorient philosophy and ontology (The Visible and the Invisible), his work retains an importance to contemporary European philosophy. Having been one of the first to bring structuralism and the linguistic emphasis of thinkers like Saussure into a relationship with phenomenology, his influence is still considerable, and an increasing amount of scholarship is being devoted to his works.

His philosophy was heavily influenced by the work of Husserl, and his own particular brand of phenomenology was preoccupied with refuting what he saw as the twin tendencies of Western philosophy; those being empiricism, and what he termed intellectualism, but which is more commonly referred to as idealism. He sought to rearticulate the relationship between subject and object, self and world, among various other dualisms, and his early and middle work did so primarily through an account of the lived and existential body (see The Phenomenology of Perception). He argued that the significance of the body, or the body-subject as he sometimes referred to it, is too often underestimated by the philosophical tradition which has a tendency to consider the body simply as an object that a transcendent mind orders to perform varying functions. In this respect, his work was heavily based upon accounts of perception, and tended towards emphasizing an embodied inherence in the world that is more fundamental than our reflective capacities, though he also claims that perception is itself intrinsically cognitive. His work is often associated with the idea of the ‘primacy of perception’, though rather than rejecting scientific and analytic ways of knowing the world, Merleau-Ponty simply wanted to argue that such knowledge is always derivative in relation to the more practical exigencies of the body’s exposure to the world.

2. Early Philosophy

When asked whether he was contemplating retirement on account of illness and the ravages of advancing age, Pope John Paul II confirmed that he was, and bemoaned the fact that his body was no longer a docile instrument, but a cage. Although it is difficult to deny that a docile body that can be used instrumentally might be preferable to its decaying alternative–a body that prevents us acting as we might wish to–both positions are united by a very literal adherence to the mind-body duality, and the subordination of one term of that duality; the body. Of course, such a dualistic way of thinking, and the denunciation of the body that it usually entails, is certainly not restricted to religious traditions. This denigration of embodiment governs most metaphysical thought, and perhaps even most philosophical thought, until at least Nietzsche. Even Heidegger’s philosophy has been accused of deferring the question of the body, and a non-dualistic exploration of our embodied experience seems to be a project of some importance, and it is one that preoccupied Maurice Merleau-Ponty throughout his entire career.

While a major figure in French phenomenology, Merleau-Ponty, at least until relatively recently, has rarely been accorded the amount of attention of many of his compatriots. In my opinion, this has been a considerable oversight, as it is doubtful that any other philosopher, phenomenologist or otherwise, has ever paid such sustained attention to the significance of the body in relation to the self, to the world, and to others. There is no relation or aspect of his phenomenology which does not implicate the body, or what he terms the body-subject (which is later considered in terms of his more general notion of the flesh), and significantly, his descriptions allow us to reconceive the problem of embodiment in terms of the body’s practical capacity to act, rather than in terms of any essential trait.

In the Phenomenology of Perception, which is arguably his major work, Merleau-Ponty sets about exposing the problematic nature of traditional philosophical dichotomies and, in particular, that apparently age-old dualism involving the mind and the body. It is no accident that consideration of this dualism plays such an important role in all of his work, since the constitution of the body as an ‘object’ is also a pivotal moment in the construction of the idea of an objective world which exists ‘out there’ (PP 72). Once this conception of the body is problematized, so too, according to Merleau-Ponty, is the whole idea of an outside world that is entirely distinguishable from the thinking subject.

Merleau-Ponty criticizes the tendency of philosophy to fall within two main categories, neither of which is capable of shedding much light on the problems that it seeks to address. He is equally critical of the rationalist, Cartesian accounts of humanity, as well as the more empirical and behavioristic attempts to designate the human condition.

Rationalism is problematic because it ignores our situation, and consequently the contingent nature of thought, when it makes the world, or at least meaning, the immanent property of the reflecting mind. One quote from Descartes is illustrative of this type of attitude:

“If I chance to look out of the window onto men passing in the street, I do not fail to say, on seeing them, that I see men… and yet, what do I see from this window, other than hats and cloaks, which cover ghosts or dummies who move only by means of springs? But I judge them to be really men, and thus I understand, by the sole power of judgment that resides in my mind, what I believed I saw with my eyes” (Crossley 10).

Descartes’ prioritizing of the mental above the physical (and indeed the duality itself), is very obvious here and this is something that Merleau-Ponty strongly rejects. As well as being unjust to existential experience, it also leaves the problem of meaningful judgment untouched. The account presupposes the meaningful judgment of hats and cloaks, rather than explaining how this perception could actually be meaningful. We shall return to such criticisms of Cartesianism throughout this chapter, but for the time being it is more important for us to have an accurate understanding of where Merleau-Ponty situates his philosophy, than it is for us to have a systematic comprehension of exactly why he refutes rationalism, or what he terms intellectualism.

According to Merleau-Ponty, empiricism also makes our cultural world an illusion, by ignoring the internal connection between the object and the act. For him, perception is not merely the result of the functioning of individual organs, but also a vital and performative human act in which “I” perceive through the relevant organs. Each of the senses informs the others in virtue of their common behavioral project, or concern with a certain human endeavor, and perception is inconceivable without this complementary functioning. Empiricism generally ignores this, and Merleau-Ponty contends that whatever their efficacy in explaining certain phenomena, these type of scientific and analytic causalities cannot actually appraise meaning and human action. As one critic points out, “if we attempt to localize and sectionalize the various activities which manifest themselves at the bodily level, we lose the signification of the action itself” (Barral 94). In the terms of Merleau-Ponty’s later philosophy, such an analysis would “recuperate everything except itself as an effort of recuperation, it would clarify everything except its own role” (VI 33).

The main point to extract from this is that, for Merleau-Ponty, both empiricism and intellectualism are eminently flawed positions:

“In the first case consciousness is too poor, in the second too rich for any phenomenon to appeal compellingly to it. Empiricism cannot see that we need to know what we are looking for, otherwise we would not be looking for it, and intellectualism fails to see that we need to be ignorant of what we are looking for, or equally again we should not be searching” (PP 28).

It is not difficult to see why Merleau-Ponty would be preoccupied with undermining such dichotomous tendencies. Essentially it ensures that one exists as a constituting thing (subject) or as a thing (object). Moreover, that perennial philosophical debate regarding whether humanity is free or determined is more than tangentially related, and all of these issues seem to be inextricably intertwined in what Foucault aptly terms the “empirico-transcendental doublet of modern thought.” This ontological dualism of immanence and transcendence – see mind/body, thought/language, self/world, inside/outside – is at the forefront of all of Merleau-Ponty’s attempts to re-orientate philosophy.

While Merleau-Ponty does not want to simplistically deny the possibility of cognitive relations between subject and object, he does want to repudiate the suggestion that these facts are phenomenologically primitive. It may be useful, in a particular situation, to conceive of a seer and a seen, a subject and an object. Many scientific endeavors fruitfully rely upon the methodological ideal of a detached consciousness observing brute facts about the world. Merleau-Ponty can accommodate this, provided that the terms of such dualities are recognized to be relationally constituted. In other words, for him, the seer and the seen condition one another and, of course, there is an obvious sense in which our capacity for seeing does depend on our capacity for being seen – that is, being physically embodied in what Merleau-Ponty has occasionally described as an ‘inter-individual’ world.

In this repudiation of traditional metaphysical philosophy and its governing subject-object relationship, it is perhaps unsurprising that Merleau-Ponty, when speaking of his phenomenological method, suggests that “the demand for a pure description excludes equally the procedure of analytical reflection on the one hand, and that of scientific explanation on the other” (PP ix). Only by avoiding these tendencies, according to him, can we “rediscover, as anterior to the ideas of subject and object, the fact of my subjectivity and the nascent object, that primordial layer at which both things and ideas come into being” (PP 219).

The Phenomenology of Perception is hence united by the claim that we are our bodies, and that our lived experience of this body denies the detachment of subject from object, mind from body, etc (PP xii). In this embodied state of being where the ideational and the material are intimately linked, human existence cannot be conflated into any particular paradigm, for as Nick Crossley suggests, “there is no meaning which is not embodied, nor any matter that is not meaningful” (Crossley 14). It should be clear from this that Merleau-Ponty’s statement that ‘I am my body’ cannot simply be interpreted as advocating a materialist, behaviorist type position. He does not want to deny or ignore those aspects of our life which are commonly called the ‘mental’ – and what would be left if he did? – but he does want to suggest that the use of this ‘mind’ is inseparable from our bodily, situated, and physical nature. This means simply that the perceiving mind is an incarnated body, or to put the problem in another way, he enriches the concept of the body to allow it to both think and perceive. It is also for these reasons that we are best served by referring to the individual as not simply a body, but as a body-subject.

Virtually the entirety of the Phenomenology of Perception is devoted to illustrating that the body cannot be viewed solely as an object, or material entity of the world. Perception has been a prominent theme in Merleau-Ponty’s attempts to establish this, and even in his latest work, he still holds its primacy as our clearest relationship to Being, and in which the inadequacy of dualistic thinking is most explicitly revealed. However, despite the titles of two of his major works (Phenomenology of Perception and The Primacy of Perception), perception, at least as the term is usually construed, is paradoxically enough, not really a guiding principle in his work. This is because the practical modes of action of the body-subject are inseparable from the perceiving body-subject (or at least mutually informing), since it is precisely through the body that we have access to the world. Perception hence involves the perceiving subject in a situation, rather than positioning them as a spectator who has somehow abstracted themselves from the situation. There is hence an interconnection of action and perception, or as Merleau-Ponty puts it, “every perceptual habituality is still a motor habit” (PP 153).

This ensures that there is no lived distinction between the act of perceiving and the thing perceived. This will become clearer in his later philosophy, where the figure of the chiasm becomes an important ontological motif for explaining how and why this is the case. At this stage however, it suffices to recognize that for Merleau-Ponty, “in the natural attitude, I do not have perceptions” (PP 281). Moreover, in the “Working Notes” of his final, unfinished work, The Visible and the Invisible, he states that “we exclude the term perception to the whole extent that it already implies a cutting up of what is lived into discontinuous acts, or a reference to things whose status is not specified, or simply an opposition between the visible and the invisible” (VI 157-8). Hence, as Gary Madison has pointed out, “what traditionally has been referred to as ‘perception’, no longer figures in Merleau-Ponty’s post-foundationalist mode of thinking” (MPHP 83). To the degree that we can actually speak of Merleau-Ponty’s account of perception, it essentially suggests the same thing as the rest of his work (and despite the incredible breadth and perspicacity of his work, one cannot deny that the Phenomenology of Perception is repetitious); it criticizes our tendency to bifurcate between two positions. Merleau-Ponty suggests that;

“We started off from a world in itself which acted upon our eyes so as to cause us to see it, and now we have consciousness of, or thought about the world, but the nature of the world remains unchanged; it is still defined by the absolute mutual exteriority of its parts, and is merely duplicated throughout its extent by a thought which sustains it” (PP 39).

In other words, the common perceptual paradigm that involves passively seeing something and then interpreting that biological perception is, for Merleau-Ponty, a false one. The presumption is still that one exists either as a thing, or as a consciousness (PP 198), but the perceiving body-subject conforms to neither of this positions; its mode of existence is manifestly more complicated and ambiguous. As hard as we may try, we cannot see the broken shards of a beer bottle as simply the sum of its color, shape etc. The whole background apparatus of what that bottle is used for, what consuming the liquids contained therein means for different people, what it is for something to be ‘broken’ etc, comes with, and not behind, our perception of that bottle. For Merleau-Ponty, perception cannot be characterized as a type of thought in a classical, reflective sense, but equally clearly, it is also far from being a third person process where we attain access to some rarefied, pure object. Just as for Heidegger we cannot hear pure noise but always a noise of some activity, the objects that we encounter in the world are always of a particular kind and relevant to certain human intentions (explicit or otherwise), and we cannot step outside this instrumentality to some realm of purified objects or, for that matter, thought.

Perception then, is not merely passive before sensory stimulation, but as Merleau-Ponty suggests, is a “creative receptivity”. In this respect, it is interesting to observe that our modern vernacular incorporates this more ‘active’ and appropriative dimension of perception. After all, one is often commended for ‘perceptive’ observations, and for this to function as a compliment at all, it must admit of an individual’s creative influence, and hence some responsibility, over the manner in which they perceive.

More empirically, it is also worth pointing out that if we were merely passive before a sensory image, it would not be possible to see different aspects of things as we so often do, or for that matter, for different individuals to construe a particular representation differently. Consider Jastrow’s/Wittgenstein’s famous example in which a picture can be variously interpreted as a duck or a rabbit, or the prominent psychological diagram that highlights the capacity of an individual to see a vase at one moment and two faces confronting one another at the next, depending upon which part of the diagram they determine to be the background. These experiential studies seem to reinforce Merleau-Ponty’s fundamental point that we are not simply passive before sensorial stimulation, since the visual experience seems to change, and yet nothing changes optically with respect to color, shape or distance. What we literally see, or notice, is hence not simply the objective world, but is conditioned by a myriad of factors that ensures that the relationship between perceiving subject and object perceived is not one of exclusion. Rather, each term exists only through its dialectical relation to the other, and from this analysis of the perceiving body-subject, Merleau-Ponty enigmatically concludes that “Inside and outside are inseparable. The world is wholly inside and I am wholly outside myself” (PP 407).

For Merleau-Ponty, this inseparability of inner and outer ensures that a study of the perceived ends up revealing the subject perceiving. As he puts it, “the body will draw to itself the intentional threads which bind it to its surroundings and finally will reveal to us the perceiving subject as the perceived world” (PP). It is precisely this ambiguous intertwining of inner and outer, as it is revealed in a phenomenological analysis of the body, which the intellectualism of philosophy cannot appreciate. According to Merleau-Ponty, philosophers of reflection ignore the paradoxical condition of all human subjectivity: that is, the fact that we are both a part of the world and coextensive with it, constituting but also constituted (PP 453).

However, if perception is not grounded in either an objective or subjective component (for example, it is not objectively received before a subjective interpretation), but by a reciprocal openness which resides between such categories, it may be remarked that this would seem to endow perception with an instability that it clearly doesn’t have. Merleau-Ponty’s philosophy has the means to cater for this stability though.

His analysis of the body’s tendency to seek an equilibrium through skilful coping, or what he somewhat problematically terms “habituality,” affirms how perception is learnt, primarily through imitation, in an embodied and communal environment. While perception is subject to change, just as communities can change over periods of time, this possibility certainly does not allow for wild fluctuations in perceptive experience from one moment to the next. Habit, and the production of schemes in regards to the body’s mobilization, “gives our life the form of generality and prolongs our personal acts into stable dispositions” (PP 146). This tendency of our body to seek its own equilibrium and to form habits, is an infinitely important component of Merleau-Ponty’s body-subject, and it is a theme that we will return to.

For the moment however, we must return to other manifestations of Merleau-Ponty’s argument for the body-subject. Another idea of central significance for him is the fact that the body is always there, and that its absence (and to a certain degree also its variation) is inconceivable (PP 91). It means that we cannot treat the body as an object available for perusal, which can or cannot be part of our world, since it is not something that we can possibly do with out. It is the mistake of classical psychology, not to mention the empiricism of all sciences, that it treats the body as an object, when for Merleau-Ponty, an object “is an object only insofar as it can be moved away from me… Its presence is such that it entails a possible absence. Now the permanence of my body is entirely different in kind” (PP 90). It is inordinately difficult to fault this claim that the omnipresence of our body prevents us treating it simply as an object of the world, even though such an apparently axiomatic position is not always recognized by traditional philosophy, as we have already seen exemplified by both Descartes, and Pope John Paul II.

Another factor against conceiving of the body as being completely constituted, and an object in-itself, is the fact that it is that by which there are objects. Our motility, that is, our capability of bodily movement, testifies that the body cannot be the mere servant of consciousness, since “in order that we may be able to move our body towards an object, the object must first exist for it, our body must not belong to the realm of the in-itself” (PP 139). This Sartrean term will be accorded with more significance as we progress, but for the moment, one only need see that Merleau-Ponty is making explicit that the aspects of an object revealed to an individual are dependent upon their bodily position.

For him, it is also clear that we are not accorded quite the same privilege in viewing our own bodies, as we have in viewing other ‘objects’. For Merleau-Ponty, this is because “the presentation of objects in perspective cannot be understood except through the resistance of my body to all variation of perspective” (PP 92). We cannot see our body as the other does, and as Merleau-Ponty says, “the reflection of the body upon itself always miscarries at the last minute” (VI 9). I think it is relatively clear that we do need the other to attain to true awareness of ourselves as a body-subject. Even our vision of ourselves in a mirror is always mediated by body image, and hence by the other, and it would seem that we can’t look at our own mirror image in quite the same way that we can appreciate the appearance of others. These more existential aspects of our existence suggest that there is something fundamentally true about Merleau-Ponty’s more general suggestion that our body should be conceived of as our means of communication with the world, rather than merely as an object of the world which our transcendent mind orders to perform varying functions.

Merleau-Ponty offers one particularly good example of the body as a means of communication, which also makes it clear that a subject-object model of exchange tends to deprive the existential phenomena of their true complexity. He suggests that:

“If I touch with my left hand my right hand while it touches an object, the right hand object is not the right hand touching: the first is an intertwining of bones, muscles and flesh bearing down on a point in space, the second traverses space as a rocket in order to discover the exterior object in its place” (PP 92).

More significantly, the hand touching itself represents the body’s capacity to occupy the position of both perceiving object and subject of perception, if not at once, then in a constant oscillation. However, as he puts it, “when I press my two hands together, it is not a matter of two sensations felt together as one perceives two objects placed side by side, but an ambiguous set-up in which both hands can alternate the role of ‘touching’ and being ‘touched'” (PP 93). Mark Yount expresses Merleau-Ponty’s point well, when he suggests that “the reflexivity of this touching-touched exceeds the logic of dichotomy: the two are not entirely distinguished, since the roles can be reversed; but the two are not identical, since touching and touched can never fully coincide” (MPHP 216-7). This double touching and encroachment of the touching onto the touched (and vice versa), where subject and object cannot be unequivocally discerned, is considered to be representative of perception and sensibility generally. Pre-empting the more explicit ontology of The Visible and the Invisible (and with which we shall become increasingly concerned), Merleau-Ponty hence tacitly argues for the “reversibility” of the body, its capacity to be both sentient and sensible, and reaffirms his basic contention that incarnate consciousness is the central phenomena of which mind and body are abstract moments (PP 193).

a. Habit

However, Merleau-Ponty has another vitally important and related point to make about the status of our bodies, which precludes them from being categorized simply as objects. According to him, we move directly and in union with our bodies. As he points out, “I do not need to lead it (the body) towards a movement’s completion, it is in contact with it from the start and propels itself towards that end” (PP 94, my italics). In other words, we do not need to check to see if we have two legs before we stand up, since we are necessarily with our bodies. The consequences of this simple idea however, are more extensive than one may presume.

On a more complicated level, the sporting arena testifies to this being with our bodies, as does the wave, or other gesture, that simply responds to given circumstances without the intervention of traditional philosophical conceptions of thought and/or intention. For instance, the basketball player who says that they are “in the zone” perceives the terrain in accordance with some general intentions, but these are modified by the situation in which they find themselves. Their actions are solicited by the situations that confront them, in a constantly evolving way.

Interestingly enough, in The Structure of Behavior, Merleau-Ponty also makes use of a sporting analogy. He suggests that:

“For the player in action the football field is not an ‘object’, that is, the ideal term which can give rise to a multiplicity of perspectival views and remain equivalent under its apparent transformations. It is pervaded with lines of force (the ‘yard lines’; those which demarcate the penalty area) and articulated in sectors (for example, the ‘openings’ between the adversaries) which call for a certain mode of action and which initiate and guide the action as if the player were unaware of it. The field itself is not given to him, but present as the immanent term of his practical intentions; the player becomes one with it and feels the direction of the goal, for example just as immediately as the vertical and horizontal planes of his own body” (SB 168).

This passage implies that to perceive the football pitch it is not necessary that an individual be aware of perceiving it, but this is not the only significance of this revealed mode of being. The perceptions/actions of the sportsperson reveal a form of intelligence that informs much of our everyday interaction, and that refutes many dichotomous positions (PP 142), most obvious among these being the insistence that a separate act of interpretation (to determine a goal or intention), is necessary to give action a meaningful form. Moreover, Merleau-Ponty’s descriptions of sporting activity also imply that as we refine our skills for coping with existence (based upon past experiences), scenarios show up as soliciting those acquired skilful responses, and it is this aspect of his work that attracts Hubert Dreyfus’ attention. For Dreyfus, this “skilful coping does not require a mental representation of its goal. It can be purposive without the agent entertaining a purpose” and this pre-reflective mode of existence reveals many of the postulations of dualistic thinking as abstractions.

Moreover, if this purposive action without a purpose (other than best accommodating oneself to the situation in which one is immersed), is forestalled, say if a particular golfer starts to ponder the intricacies of their swing, where their feet are positioned, mental outlook etc, rather than simply responding, it is certainly probable that they will lose form. So what, one may ask? According to Merleau-Ponty, the point is that “whether a system of motor or perceptual powers, our body is not an object for an ‘I think’, it is a grouping of lived-through meanings which moves towards its equilibrium” (PP 153). The emphasis upon rationalistic thought, and its tendency to dissect human behavior through the ‘I think’, can conspire to turn us away from the body’s acclimatization to it’s own environment. Merleau-Ponty hence seems to explore a more basic motivation for human action than is usually taken to be the case. Rather than focusing upon our desire to attain certain pleasures or achieve certain goals, his analysis reveals the body’s more primordial tendency to form intentional arcs, and to try and achieve an equilibrium with the world.

Through reference to embodied activity, Merleau-Ponty makes it clear that our actions, and the perceptions involved in those actions, are largely habitual; learnt through imitation, and responsiveness within an environment and to a community. Indeed, without such a pre-reflective base, language-games would be unlearnable, and as Wittgenstein was also beginning to do at virtually the same historical moment (the early 1940’s), Merleau-Ponty hence emphasizes the philosophical importance of the act of learning, and by implication, training. According to him, philosophy has generally been unable to adequately address these phenomena (PP 142), and it is worth repeating what I take to be an important sentence from the Phenomenology of Perception. Merleau-Ponty suggests that empiricism and intellectualism (the two logical outcomes of metaphysical thought), “are in agreement in that neither can grasp consciousness in the act of learning, and that neither attaches due importance to that circumscribed ignorance, that still empty but always determinate intention which is attention itself” (PP 28).

This emphasis upon consciousness in the act learning, is also what Dreyfus is intent on exploring in relation to Merleau-Ponty’s philosophy, and he agrees that in the act of learning, consciousness is irremediably embodied. Dreyfus asks, “if everything is similar to everything else in an indefinitely large number of ways, what constrains the space of possible generalizations so that trial and error learning has a chance of succeeding? Here is where the body comes in”. It is worth suggesting that this might apply equally if everything is dissimilar, other to everything else – the body narrows this disparate range of phenomena down, or more accurately, renders them intelligible. Our skilful embodiment makes it possible for us to encounter “more and more differentiated solicitations to act”, and enables us to react to situations, in ways that have previously proved successful, and which do not require purposive thought.

However, in order to begin to fathom what Dreyfus’ “embodied solicitations to act” might involve, it is worth contemplating the suggestion of another commentator, who also emphasizes the importance of the body in learning:

“Movements of the body are developed almost without conscious effort, in most cases. There seems to be a sort of intelligence of the body: a new dance is learned without analyzing the sequence of movements. Children learn dances very easily and well… This is also the reason why habits can be formed: the body seems to have understood and retained the new meaning” (Barral 137).

From this description, we can ascertain that it is usually not through conscious reflection and analysis that a dance or other language-game is learnt, but through repeated embodied efforts that are modified until the “right” movements are achieved. This intelligence of the body (for example, its capacity to innovate and retain new meaning), again denies the heavy emphasis that much of the philosophical tradition has placed upon interpretation, and certainly any conception of interpretation that contrasts itself with a purely passive perception. This can also be envisaged as applying just as well to the intellectual, as it does to the dancer. In reacting to their own different, but nevertheless distinct set of influences, they still choose modes of action in relation to past success. Even in the most apparently ‘thoughtful’ of activities, the body inclines itself towards an equilibrium.

It is worth making explicit that this habit to which we are referring, is far from being merely a mechanistic or behaviorist propensity to pursue a certain line of action. Our habitual mode of being is constantly being altered (in however small a way), and the point is that habit is far more akin to a competence, or a “flexible skill, a power of action and reaction” (Crossley 12), which can be mobilied under different conditions to achieve different effects (PP 143). However, we may want to ask, as Merleau-Ponty does, “if habituality is neither a form of knowledge nor an involuntary action, what is it then?” According to him, “it is knowledge in the hands, which is forthcoming only when bodily effort is made, and cannot be formulated in detachment from that effort” (PP 144). Merleau-Ponty suggests that this type of “knowledge in the hands” is primordial, and he implies that if we completely detach ourselves from this habitual base, we risk embarking upon philosophic and scientific endeavors that are of no practical benefit, and that might also artificially serve to legitimize the mind-body dualism.

Another good example of this practical and embodied intelligence that Merleau-Ponty insistently points us towards, is the driving of a car. We are intimately aware of how a particular car’s gearshift needs to be treated, its ability to turn, accelerate, brake etc, and importantly, also of the dimensions of the vehicle. When we reflect on our own parking, it is remarkable that there are so few little bumps considering how many times we are actually forced to come very close. Indeed, even when reversing many drivers need not really monitor the progress of their car, because they ‘know’ (in the sense of a harmony between aim and intention) what result the various movements of the steering wheel are likely to induce. The car is absorbed into our body schema with almost the same precision that we have regarding our own spatiality. It becomes an “area of sensitivity” which extends “the scope and active radius of the touch” (PP 143) and rather than thinking about the car, it is more accurate to suggest that we think from the point of view of the car, and consequently also perceive our environment in a different way (Crossley 12). Notably, this thinking is not reflective or interpretive – we do not have to perceive the distance to a car park, and then reflect upon the fact that we are in a car of such and such proportions, before the delicate maneuver can be attempted. Rather, it is a practical mastery of a technique which ensures that the given rules can be followed blindly (or at least without reflective thought), and yet nevertheless with an embodied intelligence.

In one paragraph from the Phenomenology of Perception, Merleau-Ponty captures the issues at hand particularly well. He observes that:

“We said earlier that it is the body which “understands” in the acquisition of habituality. This way of putting it will appear absurd, if understanding is subsuming a sense datum under an idea, and if the body is an object. But the phenomenon of habituality is just what prompts us to revise our notion of “understand” and our notion of the body. To understand is to experience harmony between what we aim at and what is given, between the intention and the performance – and the body is our anchorage in the world” (PP 144).

In this paragraph, Merleau-Ponty defines understanding as a harmony between what we aim at and what is given, between intention and performance, and this also sheds some light upon his suggestion that consciousness is primarily not a matter of “I think that”, but of “I can” (PP 137). Action in this paradigm is spontaneous and practical, and it is clear that we move phenomenally in a manner somewhat antithetical to the mind-body distinction (PP 145).

However, it is worth pointing out that while habit and the tendency to seek an equilibrium might help us adjust to the circumstances of our world, they don’t simply make things easy. For Merleau-Ponty, “what enables us to centre our existence is also what prevents us from centering it completely, and the anonymity of our body is inseparably both freedom and servitude” (PP 85). Merleau-Ponty’s point seems to be that though the body searches for equilibrium, as a mortal and temporal body it is also precluded from perpetual equilibrium (cf PP 346).

Merleau-Ponty’s claim that knowing is far from an imperative for human action will be considered in greater detail throughout, but for the moment it is more important to consider some other consequences of his account of embodiment, particularly in relation to his suggestion that we move spontaneously, and pre-reflectively, in accord with our bodies. According to his version of the pre-reflective cogito, when one motions towards a friend to come nearer, there is no preceding or ancillary thought prepared within me which motivates my action (PP 111). I do not perceive a certain signal in my mind and then decide to act on it, or if I do, it is a rare and derivative occurrence. According to Merleau-Ponty, the immense difference posited by the philosophical tradition between thinking and perceiving (and of course, mind and body), is hence revealed as a mistake.

However, this suggestion that pre-reflective existence does not require interpretation, or any prior formulation of intention, is an important one and deserving of prolonged consideration. Insisting that we cannot discern an interior state that precedes the expression of that state, Merleau-Ponty suggests that “I am not in front of my body, I am in it or rather I am it… If we can still speak of interpretation in relation to the perception of one’s own body, we shall have to say that it interprets itself” (PP 150). One would struggle to envisage a much closer relationship to the body than that, and Merleau-Ponty elsewhere goes so far as to suggest that:

“Nothing is changed when the subject is charged with interpreting his reactions himself, which is what is proper to introspection. When he is asked if he can read the letters inscribed on a panel or distinguish the details of a shape, he will not trust a vague “impression of legibility”. He will attempt to read or describe what is presented to him” (SB 183).

According to Merleau-Ponty then, there is no ‘mental’ correlate of reading that makes it possible to definitively know that reading is taking place. Faced with the demand that they prove that they have actually read, an individual can only refer, with circularity, to the words that have read themselves, repeating what is in front of him or her. If further justification is demanded, eventually one can respond only by pointing out that “this is simply what I do”, and that these are the practices that I engage in.

Refusing to accord the ‘mental’ any privileged status, Merleau-Ponty even suggests that:

“If I try to study love or hate purely from inner observation, I will find very little to describe: a few pangs, a few heart throbs – in short, trite agitations which do not reveal the essence of love or hate… We must reject the prejudice which makes “inner realities” out of love, hate or anger, leaving them accessible to one single witness: the person who feels them. Anger, shame, hate and love are not psychic facts hidden at the bottom of another’s consciousness: they are types of behavior or styles of conduct which are visible from the outside” (SNS 52-3).

Human subjectivity is no longer conceived of as residing in an inaccessible, private domain of the ‘mental’. Rather, Merleau-Ponty’s notion of the body-subject entails an affirmation of public and surface interaction, and of the physiognomic qualities of our bodies. This does not preclude deep feelings, but merely suggests that they must necessarily be manifested in our public lives. A disturbance aroused in the affective life of an individual will have correlative repercussions in the physical, perceptive, and expressive life of that person. This will obviously have significant ramifications for how we conceive of relationships with the other, but these are not merely flippant remarks designed only to refute intellectualism and empiricism. Merleau-Ponty has thought through the consequences and recognizes, for example, that the Japanese express the emotion of love in significantly different ways to the archetypal French or Australian citizen. But for him this cultural variance, “or to be more precise, this difference of behavior, corresponds to a difference in the emotions themselves. It is not only the gesture that is contingent in relation to the body’s organization, it is the manner itself in which we meet the situation and live it…. Feelings and passional conduct are invented like words” (PP 189).

This quote is slightly misleading, because Merleau-Ponty’s philosophy of situation does not want to suggest that either passional conduct, or words for that matter, can simply be constructed from nothing by a self-actualized individual. The word invention, which seems to imply an individual inventing something, is the problematic term here. Both passional conduct and words however, are invented, but by a community, and hence subtend any individual existence.

b. Philosophy and Reflection

However, for some critics Merleau-Ponty’s notion of the body-subject, and his emphasis upon the intentional arc that inclines one towards an equilibrium and tacitly suggests the derivative nature of thought and interpretation, induces a picture of humanity that is too easy, and not reflective enough. There is, after all, a tendency to interpret his position as being an advocacy of simple, spontaneous relations, and a nostalgic desire for some primordial inherence in Being. It has been suggested that Merleau-Ponty’s phenomenology does not give the required amount of attention to reflection, and other factors that might complicate this spontaneous, pre-reflective state.

On the other hand, it might also be claimed that not only can Merleau-Ponty’s philosophy of situation accommodate rationality, it also consigns it to its proper place. While in many ways his philosophy does affirm the primacy of perception (broadly construed to incorporate the practical action that it cannot be distinguished from), this doesn’t simply come at the cost of sacrificing the validity of rational processes. Rather, it attempts to ground them in our situation, and to reinforce that reflection should not feign ignorance of its origins in perceptual experience. His point is simply that the “I can” precedes and conditions the possibility of the “I know” (PP 137). As Merleau-Ponty states, there is “a privilege of reason, but precisely in order to understand it properly, we must begin by replacing thought amongst the phenomena of perception” (PrP 222).

Analytic thought, and philosophy per se, can and should be used to render pre-reflective experience intelligible, for as he points out:

“It is a question not of putting the perceptual faith in place of reflection, but on the contrary of taking into account the total situation, which involves reference from the one to the other. What is given is not a massive and opaque world, or a universe of adequate thought; it is a reflection which turns back over the density of the world in order to clarify it, but which, coming second, reflects back to it only its own light” (VI 35).

Indeed, despite the nostalgic yearning that Merleau-Ponty occasionally seems to have for a primordial union with the world, he nevertheless makes it clear that one never returns to immediate experience. It is only a question of whether we are to try to understand it, and he believes that to attempt to express immediate experience is not to betray reason but, on the contrary, to work towards its aggrandizement. Philosophy is hence a means to improve our ways of living, and reason has a role in this, providing that it is based in the phenomenological exigencies of the subject and their life-world. While his philosophy is poised on the margins of philosophy and non-philosophy, it is not anti-philosophical in any respect.

c. Ambiguity

Moreover, Merleau-Ponty does not intend to suggest that the complicity of body and mind that we see in habit and the mastery of a certain technique, implies an absolute awareness of one’s own ‘subjectivity’. According to him, “there is the absolute certitude of the world in general, but not of anything in particular” (PP 344). Knowing an individual person in a particular manifestation may presuppose an understanding of humanity in its totality, but certainly not any singular motivation for a particular act. Lived relations can never be grasped perfectly by consciousness, since the body-subject is never entirely present-to-itself. Meaningful behavior is lived through, rather than thematized and reflected upon, and this ensures that the actions of particular individuals “may be meaningful without them being fully or reflectively aware of the meaning that their action creates or embodies. In this sense, the behaving actor is not a fully-fledged subject in the Cartesian sense. She is not fully transparent to herself” (Crossley 12). There is ambiguity then, precisely because we are not capable of disembodied reflection upon our activities, but are involved in an intentional arc that absorbs both our body and our mind (PP 136). For Merleau-Ponty, both intellectualism and empiricism presuppose “a universe perfectly explicit in itself” (PP 41), but residing between these two positions, his body-subject actually requires ambiguity and, in a sense, indeterminacy.

According to Merleau-Ponty, ambiguity prevails both in my perception of things, and in the knowledge I have of myself, primarily because of our temporal situation which he insists cannot but be ambiguous. He suggests that:

“My hold on the past and the future is precarious and my possession of my own time is always postponed until a stage when I may fully understand it, yet this stage can never be reached, since it would be one more moment bounded by the horizon of its future, and requiring in its turn, further developments in order to be understood” (PP 346 cf 426).

In such sentiments Merleau-Ponty seems to be suggesting that the relationship that we have to ourselves is one that is always typified by alterity, on account of a temporal explosion towards the future that precludes us ever being self-present. [The term “alterity” is basically synonymous with otherness and radical difference, but it also emphasizes change and transformation in a way that these terms might not.]  There can be no self-enclosed “now” moment because time also always has this reflexive aspect that is aware of itself, and that opens us to experiences beyond our particular horizons of significance. Indeed, it is because of this temporal alterity, that Merleau-Ponty asserts that we can never say ‘I’ absolutely (PP 208). Rather, he suggests, “I know myself only insofar as I am inherent in time and in the world, that is, I know myself only in my ambiguity” (PP 345). Elsewhere in the Phenomenology of Perception he goes on to imply that the subject is time and time is the subject (PP 431-2), and these sentiments are not that far from certain ‘postmodern’ conceptions of subjectivity.

Moreover, the attempt to take seriously the notion of ambiguity would, or at least should, also involve the deconstruction of what is termed the ‘metaphysics of presence’. Being the “mark of a thought which is resolutely attempting to overcome oppositional thinking itself” (MPHP 120), Merleau-Ponty’s emphasis upon ambiguity, if consistently adhered to, would seem capable of refuting the various readings of him that assert that he is overly preoccupied with presence.

Mary Barral puts Merleau-Ponty’s point exceedingly well, when she suggests that “since we cannot remain in the alternative of either not understanding the subject, or of knowing nothing about the object, we must seek the object at the very heart of our experience… to understand the paradox that there is a “for-us” of the “in-itself” (Barral 130 cf PP 71). In other words, we must attain an understanding of what Merleau-Ponty describes elsewhere as “the paradox of transcendence in immanence” (PrP 16) – that is, to understand that objects are given over to us, influenced by us, just as we are influenced by the objects that surround us. For Merleau-Ponty, this interdependence and mutual encroachment is evident in all aspects of perception and subjectivity. As he makes clear, “whenever I try to understand myself, the whole fabric of the perceptible world comes too, and with it comes the others who are caught in it (S 15). In the concluding words of the Phenomenology of Perception he insists that “man is a network of relations” (PP 456), or “man is a knot of relations”, depending upon the translation, and the strong implication of Merleau-Ponty’s philosophy is that this is not a knot (or network) of the Gordian variety, and that these relations are not something that we can, or even should, want to unravel. The interdependence of the knot is what gives humanity its very qualities, and by dissecting it, we risk losing the very thing that establishes us as human.

But I think this point is best explored by Merleau-Ponty when he describes how in writing his philosophical texts, he might not necessarily have a precise idea of exactly where his discussion is leading but, “as if by magic”, the words flow from him and slowly become a cogent whole (PP 177). This is not to be dismissed as merely being symptomatic of a supposed continental lack of philosophical rigor. All papers, analytic or otherwise, are not written in the head, entirely worked out, before they are laid down. The process of laying them down inevitably effects alterations. Merleau-Ponty embraces this aspect of writing, and he doesn’t consider it merely the derivative attempt to faithfully transcribe some self-present thought. However, there is also the further point that where exactly the written creation derives from (the particular word, as much as the whole book) is a fundamentally ambiguous point, since it is neither the self-present subject, nor the cultural world, which determines the product, but the knot, the sum relation of all networks.

Again, this also necessitates a certain ambiguity at the heart of our experience. Trying to discern what is a legitimate authentic project of the self, which is not induced by the demands of one’s society, is infinitely difficult. Indeed, it is not a possibility for Merleau-Ponty and because of its overtones of an unattainable individualism, he refused to use the existential concept of authenticity for his entire career. But he would not want to say that something like, but slightly different from authenticity (that is, an individual coming to terms with their own situation in an empowering way), is an impossibility. In many ways, this is a primary ethical demand of his. Finally however, this ambiguity at the heart of our experience will always be there and an authentic path is not one that we consciously choose by attempting to ensure that we are the only origin of our projects, somehow attempting what he contends is impossible; that is, the transcending of our environment. Rather, Merleau-Ponty’s suggestion is that circumstances point us to, and in fact, allow us to find a way (PP 456). The human situation is both a product of the ‘mind’ and our socio-historical situation, and moral achievement is a tenuous embrace of these facts.

3. Later Philosophy

Merleau-Ponty died before he had the opportunity to complete The Visible and the Invisible, which was intended to be a text of some considerable proportions. He left us with three reasonably complete chapters, as well as his “Working Notes” for the remainder of this book, and from these two sources it is apparent that his thought had undergone some transformations. However, opinions vary widely as to the extent of these changes. Indeed, it is worth recalling that in an essay that was unpublished in his own lifetime, Merleau-Ponty describes his philosophical career as falling into two distinct phases: he tells us that the first phase of his work – up to and including the Phenomenology of Perception – involved an attempt to restore the world of perception and to affirm the primacy of the pre-reflective cogito. In other words, in this period of his work he was intent on emphasizing an inherence in the world that is more fundamental than our thinking/reflective capacities. The second distinct phase of his work, which refers predominantly to The Visible and the Invisible as well as to the abandoned Prose of the World, is characterized as an attempt “to show how communication with others, and thought, take up and go beyond the realm of perception” (EW 367-8). This is important for several reasons, not least that it suggests a fairly major change in direction. The idea that communication with others goes beyond the realm of perception, is sufficiently radical to put him at odds with at least a certain definition of phenomenology.

Ostensibly in opposition to this type of characterisation, Martin Dillon’s book Merleau-Ponty’s Ontology has emphasized that these two periods of Merleau-Ponty’s career are actually intimately connected. Dillon downplays the significance of quotes from Merleau-Ponty like that which has just been cited, and instead insists that The Visible and the Invisible is primarily concerned with bringing the results of the earlier work, which are often primarily psychological, to their ontological explication. Merleau-Ponty has also suggested similar things at times (cf VI 176), and according to this type of account, the ontology of his later philosophy was already implied in his earlier works.

Despite agreeing with the broad outlines of this position, there are nevertheless some problems with such a characterization that suggest that the truth of this dispute might lie somewhere between these respective accounts. The more radical aspects of The Visible and the Invisible are ignored by the view that conflates these two major periods, and Merleau-Ponty’s treatment of Sartre’s work in his two main texts (VI and PP) also seems to be importantly different. It is however, more for exegetical than philosophical reasons that I have separated out Merleau-Ponty’s thought into two major periods.

a. The Critique of the Phenomenology of Perception

Before we begin to examine his final attempt to circumvent the subject-object dichotomy, it is first necessary to get some idea as to why Merleau-Ponty thought his philosophy had to change. Basically his main criticism of the Phenomenology of Perception is that it remains confined within a philosophy of consciousness, or a philosophy of mind paradigm. He thinks that to a certain extent the Phenomenology of Perception remains Cartesian, in that it starts from the position of the reflecting philosopher in his or her ivory tower. Merleau-Ponty suggests that this starting point presupposes a subject doing the reflection, and it hence has an element of humanism about it.

More importantly however, he suggests that this starting point also means that the problems he raises are largely insoluble, as he never quite gets away from a subject/object dichotomy. If it is unclear what all of these references to a subject-object dichotomy mean, I am simply pointing out the tendency in Western philosophy to posit that which is seen within the field of vision as an object, whereas that which looks, or does the perceiving, is the subject. Various versions of this type of thought have recurred throughout the tradition, and this partly explains the tendency that we have to think in terms of things in the world (for example, empirical objects or facts), and the human capacity to reflect upon these brute things of the world, and hence transcend them. We generally maintain a very distinct difference between ourselves and the objects of the world – say the seat upon which we sit – and it might be suggested that we are free, and they are determined, for instance. Or even if one does not want to assert that human activity is predominantly reflective (and usually this amounts to saying that it is free), philosophers and most of us generally, think in terms of the difference between the empirical fact of what we did, and our reason which transcends this behavior. This object/consciousness distinction is a dualism.

In The Visible and the Invisible, Merleau-Ponty suggests that the Phenomenology of Perception was ultimately unsuccessful in getting beyond this dualistic way of thinking. Of course, there is little doubt that Merleau-Ponty is a little bit harsh in regards to his retrospective accounts of his earlier philosophy, and is also simplifying matters if he wants us to believe that the Phenomenology of Perception doesn’t significantly problematize this subject-object dichotomy, and any of philosophies other traditional dualisms.

What is clear however, is that The Visible and the Invisible does attempt to effect a transition from something like a phenomenology of consciousness (which is basically just an analysis of how the objects we perceive present themselves to us), to a philosophy of Being. Being is another of those words in philosophy that is frequently thrown around, but perhaps relatively rarely understood. This is partly because it is not something that we can pin down or define, because it exceeds all of our resources for attempting to describe it. Let us suggest, hesitatingly, that Being is that which allows existence to be possible at all, and Merleau-Ponty becomes increasingly concerned with such matters.

This move away from a subject-based philosophy also has some important consequences for the type of philosophy that he was interested in writing. No longer is his work so strictly an analysis of phenomenological subjectivity, and this means that in some ways The Visible and the Invisible is a little harder to get into than his earlier work. It is not existential in the sense that the Phenomenology of Perception is. This earlier text is typified by numerous phenomenological descriptions of our everyday activity and the situations that confront us, and his later work is more concerned with ontological matters.

Ontology just means the study of Being, of that which allows things to be at all, and it is this type of terrain that Merleau-Ponty moves into. One could even suggest that The Visible and the Invisible gives the results of the Phenomenology of Perception their ontological significance. In that sense, the subject influenced, and often psychological thinking of his earlier work, would be revealed as also presupposing an account of the structure of Being, which only later came to be elaborated. It is apparent however, that his thought his changed to the extent that the notion of subjectivity, and its controlling place, is further diminished. References to the body-subject are also conspicuously absent in his later philosophy, and he seems to have decided that such terminology is inadequate. The consequences of this move away from a subjective orientation will become more apparent when we consider his ontology later in this essay.

Merleau-Ponty also makes one other important comment about the Phenomenology of Perception, and his reasons for writing a new ontology, which is worth exploring. According to him, a major factor behind him setting out upon this different path, was the conviction that the tacit or pre-reflective cogito of his earlier philosophy is problematic (VI 179). The pre-reflective cogito is basically just the idea that there is a cogito before language, or to put it crudely, that there is a self anterior to both language and thought that we can aim to get in closer contact with. The notion of a pre-reflective cogito hence presumes the possibility of a consciousness without language, and it exhibits something of a nostalgic desire to return to some brute, primordial experience. This is something that thinkers like Irigiray have criticized Merleau-Ponty for, and in The Visible and the Invisible he has come to share these type of concerns.

In his own words, he suggests that while this concept of the pre-reflective, or tacit cogito, can make understood how language is not impossible, it nevertheless cannot make understood how it is possible (VI 179). While a logician might grimace at such a suggestion, Merleau-Ponty is certainly aware of this paradox, and seeks to explicate the problems that he associates with this concept of the tacit cogito. He suggests that like all other philosophies of consciousness, his notion of the pre-reflective cogito depends upon the illusion of non-linguistic signification and The Visible and The Invisible attempts to call into question the very coherence of such a concept. As he states in one of his “Working Notes”:

“What I call the tacit cogito is impossible. To have the idea of thinking (in the sense of thought of seeing and thought of feeling), to make the phenomenological reduction to the things themselves, to return to immanence and to consciousness, it is necessary to have words. It is by the combination of words that I form the transcendental attitude” (VI 171).

He later goes on to speak of the “mythology of self-consciousness to which the word consciousness refers”, and contends that “there are only differences between significations” and language (VI 171).

According to Merleau-Ponty, the tacit cogito is therefore a product of language, and the language of the philosopher, in particular. He continues to speak of a world of silence, but the concept of the pre-reflective cogito imports the language of the philosophy of consciousness into the equation, and hence misrepresents the relationship between vision and speech. The famous phenomenological reduction to the things themselves, which tries to bracket out the outside world, is hence envisaged as a misplaced nostalgia rather than as a real possibility.

There is a sense in which Merleau-Ponty’s giving up on the pre-reflective cogito also entails something like a giving up on phenomenology, despite the fact that embodiment is still a major factor in The Visible and the Invisible. By way of clarification, it is worth noting that he still thinks that an analysis of the body is one of the best ways to avoid the subject-object dichotomy that he argues is typical of most philosophical thought. At the same time however, his abandonment of the idea of a pre-reflective cogito, or consciousness before linguistic significance, at the very least serves to radicalize phenomenology. It also means that language comes to play a far more important role in his philosophy than it previously had.

Indeed, Merleau-Ponty used both linguistics, and the language-based emphasis of structuralism to critique Sartre, among other of his contemporaries, who only accorded language a minimal role in their philosophies. He was also friends with, and used the work of people like Jacques Lacan (a psychoanalyst who suggested that the unconscious is structured like a language), Claude Levi-Strauss (a structuralist anthropologist who dedicated his major work The Savage Mind to the memory of Merleau-Ponty), and also Ferdinand De Saussure (a linguist who showed what a pivotal role differences play in language, and whose work has inspired many recent philosophers including Derrida). Merleau-Ponty was hence very much involved in what is termed the linguistic turn, and one curious aspect of Merleau-Ponty’s place within the philosophical tradition is that despite the enduring attention he accords to the problem of language, the work of thinkers such as those cited above, and others who have been inspired by them (Derrida and Foucault for example), has been used to criticize him. In an important way, he paradoxically laid the groundwork for his own denigration and unfashionability in French intellectual circles, and it is only in the last 15 years that it has been realized that his phenomenology took very seriously the claims of such thinkers, and even pre-empted some aspects of what has come to be termed ‘postmodern’ thought. Levi-Strauss actually finds The Visible and the Invisible to be a synthesis of structuralism with phenomenology, and he is not alone in this regard.

b. The Chiasm/Reversibility

Rather than maintaining a traditional dualism in which mind and body, subject and object, self and other, and so forth, are discrete and separate entities, in The Visible and the Invisible Merleau-Ponty argues that there is an important sense in which such pairs are also associated. For example, he does not dispute that there is a divergence, or dehiscence, in our embodied situation that is evident in the difference that exists between touching and being touched, between looking and being looked at, or between the sentient and the sensible in his own vocabulary. On the contrary, this divergence is considered to be a necessary and constitutive factor in allowing subjectivity to be possible at all. However, he suggests that rather than involving a simple dualism, this divergence between touching and being touched, or between the sentient and the sensible, also allows for the possibility of overlapping and encroachment between these two terms.

For example, Merleau-Ponty has somewhat famously suggested that the experience of touching cannot be understood without reference to the tacit potential for this situation to be reversed. As Thomas Busch points out, The Visible and the Invisible highlights that “in the body’s touching of itself is found a differentiation and an encroachment which is neither sheer identity nor non-identity” (MPHP 110). To substantiate this claim in adequate detail would take us too far afield of this essay’s main concerns, but it is important to recognize that Merleau-Ponty’s initial, and I think permissible presumption, is that we can never simultaneously touch our right hand while it is also touching an object of the world. He suggests that “either my right hand really passes over into the rank of the touched, but then its hold on the world is interrupted, or it retains its hold on the world, but then I do not really touch it” (VI 148). There is then, a gap (or ecart in French) between ourselves as touching and ourselves as touched, a divergence between the sentient and sensible aspects of our existence, but this gap is importantly distinct from merely reinstating yet another dualism. Touching and touched are not simply separate orders of being in the world, since they are reversible, and this image of our left hand touching our right hand does more than merely represent the body’s capacity to be both perceiving object and subject of perception in a constant oscillation (as is arguably the case in Sartre’s looked at, looked upon, dichotomy, as well as the master-slave oscillations that such a conception induces). As Merleau-Ponty suggests:

“I can identify the hand touched in the same one which will in a moment be touching… In this bundle of bones and muscles which my right hand presents to my left, I can anticipate for an instant the incarnation of that other right hand, alive and mobile, which I thrust towards things in order to explore them. The body tries… to touch itself while being touched and initiates a kind of reversible reflection” (PP 93).

This suggests that the hand that we touch, while it is touching an inanimate object, is hence not merely another such ‘object’, but another fleshy substance that is capable of reversing the present situation and being mobile and even aggressive. Given that we cannot touch ourselves, or even somebody else, without this recognition of our own tangibility and capacity to be touched by others, it seems that the awareness of what it feels like to be touched encroaches, or even supervenes upon the experience of touching (VI 147). Any absolute distinction between being in the world as touching, and being in the world as touched, deprives the existential phenomena of their true complexity. Our embodied subjectivity is never located purely in either our tangibility or in our touching, but in the intertwining of these two aspects, or where the two lines of a chiasm intersect with one another. The chiasm then, is simply an image to describe how this overlapping and encroachment can take place between a pair that nevertheless retains a divergence, in that touching and touched are obviously never exactly the same thing.

According to Merleau-Ponty, these observations also retain an applicability that extends well beyond the relationship that obtains between touching and being touched. He contends that mind and body (VI 247, 259), the perceptual faith and its articulation (VI 93), subject and object, self and world (VI 123), as well as many other related dualisms, are all associated chiasmically, and he terms this interdependence of these various different notions the flesh (VI 248-51). The rather radical consequences of this intertwining become most obvious when Merleau-Ponty sets about describing the interactions of this embodied flesh. At one stage in The Visible and the Invisible he suggests that the realization that the world is not simply an object:

“does not mean that there was a fusion or coinciding of me with it: on the contrary, this occurs because a sort of dehiscence opens my body in two, and because between my body looked at and my body looking, my body touched and my body touching, there is overlapping or encroachment, so that we may say that the things pass into us, as well as we into the things” (VI 123).

According to Merleau-Ponty then, this non-dualistic divergence between touching and being touched, which necessitates some form of encroachment between the two terms, also means that the world is capable of encroaching upon and altering us, just as we are capable of altering it. Such an ontology rejects any absolute antinomy between self and world, as well as any notion of subjectivity that prioritizes a rational, autonomous individual, who is capable of imposing their choice upon a situation that is entirely external to them. To put the problem in Sartrean terms, while it may sometimes prove efficacious to distinguish between transcendence and facticity [a technical term of Martin Heidegger’s that in Merleau-Ponty’s usage refers to the sum of brute “facts” about us, including our social situation and our physical attributes, abilities and circumstances], or Being-for-itself and Being-in-itself, Merleau-Ponty thinks that such notions also overlap in such a way as to undermine any absolute difference between these two terms. As a consequence, Sartre’s conception of an absolute freedom in regards to a situation is also rendered untenable by the recognition of the ways in which self and world are chiasmically intertwined, though this is not to suggest that the world can be reduced to us. Indeed, Merleau-Ponty explicitly asserts that precisely what is rarely considered is this paradoxical fact that though we are of the world, we are nevertheless not the world (VI 127), and in affirming the interdependence of humanity and the ‘things’ of the world in a way that permits neither fusion nor absolute distance, he advocates an embodied inherence of a different type.

c. The Other

Given that he rarely makes any distinction between the structure of our relations with others and the structure of our relations with the world, his descriptions also pertain directly to the problem of the other, which has come to be accorded of lot of attention in recent times under the auspices of what is frequently termed alterity. Merleau-Ponty’s chiasmic ontology ensures that in some sense the other is always already intertwined within the subject, and he explicitly suggests that self and non-self are but the obverse and reverse of each other (VI 83, 160). If I can present his position a little schematically, basically his later philosophy attempts to reinforce that self and other are also relationally constituted via their potential reversibility. One example of this might be the way in which looking at another person – or even a painter looking at trees, according to one of Merleau-Ponty’s more enigmatic examples – always also involves the tacit recognition that we too can be looked at. However, rather than simply oscillating between these two modes of being – looker and looked upon, as Sartrean philosophy would have it – for Merleau-Ponty each experience is betrothed to the other in such a way that we are never simply a disembodied looker, or a transcendental consciousness. Rather, the alterity of the other’s look is always already involved in us, and rather than unduly exalting alterity by positing it as forever elusive, or as recognizable only as freedom that transcends my freedom, he instead affirms an interdependence of self and other that involves these categories overlapping and intertwining with one another, but without ever being reduced to each other. One consequence of Merleau-Ponty’s position is that questions regarding the otherness of the other are rendered something of an abstraction, at least if they attempt to conceive of that other without reference to the subjectivity with which it is always chiasmically intertwined. As Dorothy Olkowski has suggested, “if there is to be room in the world for others as others, there must be some connection between self and other that exceeds purely psychic life” (Olkowski 4), and this is envisaged as an ontological necessity rather than an attempt to propound a thesis that restores us to the primordial affection that we have for the other. For Merleau-Ponty, a responsible treatment of alterity consists in recognizing that alterity is always already intertwined within subjectivity, rather than by obscuring this fact by projecting a self-present individual who is confronted by an alterity that is essentially inaccessible and beyond comprehension. Far from merely being a negative thing, the alterity of the other is too complicated to simply be posited as that which will forever elude us, and such a description ignores the important ways in which self and other are partially intertwined.

In The Visible and the Invisible then, there is a tacit claim regarding what a responsible treatment of the alterity of the other consists in, even if Merleau-Ponty rarely considers notions like responsibility in any explicit fashion. His final ontology wants to insist that alterity is something that can only be appreciated in being encountered, and in a recognition of the fact that there can be no absolute alterity. If absolute alterity is but a synonym of death, and inconceivable to humanity, then what needs to be considered, according to Merleau-Ponty, is the paradoxical way in which self and other are intertwined, and yet also, and at the same time, divergent.

Indeed, Merleau-Ponty is also careful not to fall prey to what has been termed, sometimes disparagingly, the horizonality of phenomenology. He devotes an entire chapter titled “Interrogation and Intuition” to distancing himself from this tendency of phenomenology – which he traces to Hegel, Husserl and Bergson – to subsume all else under the concept of context and background. Engendering a coincidence between self and world (or self and other), is just as antithetical to his philosophical purposes as advocating a vast abyssal difference, and Merleau-Ponty asserts that when we are overly sure of the other, just as when we are overly unsure of the other, an inadequate apprehension of human relations beckons. For Merleau-Ponty, alterity is that which cannot be reduced to the logic of an either/or, as he doesn’t want to espouse a Sartrean version of human relations where the other can never really be understood, and yet nor does his philosophy reductively ignore this alterity. He suggests that: “this infinite distance, this absolute proximity express in two ways – as a soaring over or as fusion – the same relationship with the thing itself. They are two positivisms…” (VI 127), indeed, neither of which he wants to associate with his new ontology.

In an attempt to avoid this dualistic tendency to conceive of the other as either beyond the comprehension of a subject, or as domesticated by the subject and their horizons of significance, The Visible and the Invisible emphasizes that the other is always already encroaching upon us, though they are not reducible to us, and for Merleau-Ponty, the risk of this overlapping with the other can and should always be there (VI 123). His philosophy consistently alludes to the manner in which this encroachment is not simply a bad thing. For Merleau-Ponty, interacting with and influencing the other (even contributing to permanently changing them), does not necessarily constitute a denial of their alterity. On the contrary, if done properly it in fact attests to it, because we are open to the possibility of being influenced and changed by the difference that they bring to bear upon our interaction with them. This is the ethics that his ontology of the flesh tacitly presupposes, and it is a position that is importantly different from those proposed by more recent philosophers, including Sartre, Levinas and Derrida respectively.

d. Hyper-Reflection

Before themes like the death of philosophy, and the non-space of philosophy began to dominate the philosophical landscape, Merleau-Ponty had already begun to articulate a similar problem, though arguably without sharing quite the same nihilistic consequences that some more recent proponents of a similar position have found themselves implicated in. Harboring a deep distrust of the philosophy of reflection, Merleau-Ponty sought to ensure that reflection was not unduly exalted in the Phenomenology of Perception, and The Visible and the Invisible reaffirms this contention, albeit in slightly different terms, through his espoused methodology of “hyper-reflection,” which is also synonymously referred to as a “hyper-dialectic.” There are several aspects of this notion that require delineation, but the most obvious of these pertains to the role of philosophy, and precisely what he thinks it can accomplish.

At one stage in The Visible and the Invisible, Merleau-Ponty rather controversially claims that in the philosopher’s descriptions of the sensible world, “there is no longer identity between the lived experience and the principle of non-contradiction” (VI 87). Merleau-Ponty’s apparent disavowal of the law of non-contradiction requires further consideration, as it challenges one of the most fundamental principles of Western philosophy since Aristotle. In explaining his rejection of this principle, he suggests that:

“The situation of the philosopher who speaks as distinct from what he speaks of, insofar as that situation affects what he says with a certain latent content which is not its manifest content… implies a divergence between the essences he fixes and the lived experience to which they are applied, between the operation of living the world and the entities and negentities in which he expresses it” (VI 87).

For Merleau-Ponty then, lived experience may partake in contradiction on account of a residue of this difference between the act of speaking and what is spoken of, as well as a correlative divergence between a latent content and a manifest content. This divergence that he theorizes hints at a predicament that seems closely related to what Jacques Derrida has more recently insisted upon in his strategy of deconstruction, in that both philosophers point towards the inevitability of a philosophical expression containing contrary elements within it. While Derrida has also implicitly entertained the possibility that the law of non-contradiction might be false, in suggesting that there may instead be a law of impurity or “a principle of contamination”, it is important to ascertain that there are some surprising similarities between Merleau-Ponty and Derrida’s descriptions of the necessarily double nature of a philosophy that can never recapture the pre-reflective faith, or coincide with itself in a moment of self-presence. This strange proximity between deconstruction and Merleau-Ponty’s own methodology cannot be explored in any detail in this essay, but Jean-Francois Lyotard and Rodolphe Gasche are two important ‘continental’ thinkers to have recognized the manner in which Merleau-Ponty’s notion of a hyper-reflection pre-empted aspects of deconstruction.

Of course, unlike Derrida, Merleau-Ponty’s critique of reflection, and his subsequent call for a hyper-reflection, quite obviously locates itself primarily in an analysis of the body where he discerns a necessary and constitutive divergence within the embodied situation. As we have seen, this ecart is variously described as the difference between the sentient and the sensible, the tangible and the touched, and for Merleau-Ponty, it also applies to several other divergences, including one between the perceptual faith and its articulation (VI 87). Once again, this concept is most easily demonstrated through an example that we have previously contemplated – that is, an individual’s left hand touching their right hand, while their right hand is also simultaneously touching another object. Of this situation, Merleau-Ponty suggests that:

“If my left hand is touching my right hand, and if I wish to suddenly apprehend with my right hand the work of my left hand as it touches, this reflection of the body upon itself always miscarries at the last moment: the moment I feel my left hand with my right hand, I correspondingly cease touching my right hand with my left hand” (VI 9, cf to PP 108).

According to Merleau-Ponty, there is hence a fundamental divergence within the body, but just as this gap ensures the impossibility of any thorough and all-encompassing self-perception, it is also that which allows perception, and indeed subjectivity, to be possible at all. It is important to ascertain that if our embodied divergence inaugurates our capacity for perception (as well as language and reflection), this same divergence also ensures that there are certain limits upon this capacity. Just as we cannot reflexively attain to a self-identity with the hand that we are touching, for Merleau-Ponty the philosophy of reflection cannot entirely overcome similar divergences (VI 38).

In his critique of Hegel, Sartre and others, Merleau-Ponty insists that “reflection recuperates everything except itself as an effort of recuperation, it clarifies everything except its own role” (VI 33). There is a temporal divergence that precludes the attempted recovery of meaning via reflection from coinciding with that which it attempts to demarcate. The task of hyper-reflection then, is to ensure that reflection is always aware of its own finitude. It is hence somewhat removed from philosophical reflection itself, and resides in what several theorists have referred to as the non-space of philosophy. The proximity of such sentiments to Derrida has been widely recognized (and also occasionally contested), but what is irrefutable is that Merleau-Ponty is concerned with the tendency of the metaphysical tradition to exalt self-presence, as well as the rationalism that this usually entails. While traditional reflective thought is inevitable and indeed indispensable, the idea of philosophy being able to mirror or transcend nature is disparaged (VI 99). Philosophy and other reflective pursuits cannot recuperate the pre-reflective faith or rediscover some pure immediacy (VI 35, 99). On the contrary, he claims that:

“What we propose here, and oppose to the search for the essence, is not the return to the immediate, the coincidence, the effective fusion with the existent, the search for an original integrity, for a secret lost and to be rediscovered, which would nullify our questions and even reprehend language. If coincidence is lost, this is no accident; if Being is hidden, this is itself a characteristic of Being and no disclosure will make us comprehend it” (VI 121-2).

Of course, this is a rather negative characterization of what hyper-reflection involves, and it is worth digressing to consider more precisely what it is that Merleau-Ponty wants his philosophy to achieve. According to him:

“What we call hyper-dialectic is a thought that, on the contrary, is capable of reaching truth because it envisages without restriction the plurality of the relationships and what has been called ambiguity. The bad dialectic is that which thinks it recomposes being by a thetic thought, by an assemblage of statements, by thesis, antithesis, and synthesis; the good dialectic is that which is conscious of the fact that every thesis is an idealization, that Being is not made up of idealizations or of things said… but of bound wholes where signification never is except in tendency” (VI 94).

While this passage reaffirms the enduring role of ambiguity in his philosophy, Merleau-Ponty’s hyper-dialectic is also described as acknowledging that not only is every thesis an idealisation, but that Being cannot be ascertained through such idealisations. He also goes on to suggest that such a dialectical thought:

“Abounds in the sensible world, but on condition that the sensible world has been divested of all that the ontologies have added to it. One of the tasks of the dialectic, as a situational thought, a thought in contact with being, is to shake off the false evidences, to denounce the significations cut off from the experience of being, emptied – and to criticize itself in the measure that it itself becomes one of them” (VI 92).

Merleau-Ponty’s hyper-dialectic is envisaged as being a situational thought that must criticize all thinking that ignores the conditional nature of idealizations, and it must also maintain a vigilance to ensure that it does not itself become one of them. This is why Merleau-Ponty describes his project as propounding an ‘indirect’ ontology, rather than a direct ontology (VI 179). Undoubtedly these themes are deserving of more prolonged attention, but there seems to be a significant and underestimated connection between what Merleau-Ponty’s hyper-reflection seeks to achieve, and what Derrida’s deconstructive methodology has more recently attempted. Without digressing unduly in this regard, his work retains a relevance to contemporary European philosophy, and not least because many theorists are convinced that he is a valuable resource who doesn’t quite succumb to the excesses of his successors on the French scene.

4. References and Further Reading

a. Writings

  • Adventures of the Dialectic, trans. Bien, Evanston: Northwestern University Press, 1973.
  • The Essential Writings of Merleau-Ponty, ed. Fisher, New York: Harcourt, 1969 (referred to as EW in main text).
  • Humanism and Terror: An Essay on the Communist Problem, trans. O’Neill, Boston: Beacon Press, 1969.
  • Phenomenology of Perception, trans. Smith, London: Routledge and Kegan Paul, 1962 (PP in text).
  • The Primacy of Perception: and Other Essays on Phenomenology, Psychology, the Philosophy of Art, History and Politics, ed. Edie, Evanston: Northwestern University Press, 1964 (PrP in text).
  • Prose of the World, trans. O’Neill, Evanston: Northwestern University Press, 1969.
  • Sense and Nonsense, trans. Dreyfus & Dreyfus, Evanston: Northwestern University Press, 1964 (SNS in text).
  • Signs, trans. McCleary, Evanston: Northwestern University Press, 1964 (S in text).
  • The Structure of Behavior, trans. Fischer, London: Metheun, 1965 (SB in text).
  • The Visible and the Invisible, trans. Lingis, Evanston: Northwestern University Press, 1968 (VI in text).

b. Some Commentaries and Collections of Essays

  • Barral, M., Merleau-Ponty: The Role of the Body-Subject in Interpersonal Relations, Pittsburgh: Duquesne University Press, 1965 (Barral in text).
  • Busch, T., and Gallagher, S., (eds) Merleau-Ponty, Hermeneutics and Postmodernism, Albany: State University of New York Press, 1992 (MPHP in text).
  • Crossley, N., The Politics of Subjectivity: Between Foucault and Merleau-Ponty, Aldershot, England: Brookfield USA, Avebury Series in Philosophy, 1994 (Crossley in text).
  • Dillon, M., Merleau-Ponty’s Ontology, Bloomington: Indiana University Press, 1988.
  • Dillon, M., (ed) Ecart and Differance: Merleau-Ponty and Derrida on Seeing and Writing, New Jersey: Humanities Press, 1997.
  • Evans, F and Lawlor, L., (eds) Chiasms: Merleau-Ponty’s Notion of Flesh, Albany: State University of New York Press, Suny Series in Contemporary Continental Philosophy, 2000.
  • Langer, M., Merleau-Ponty’s Phenomenology of Perception, Hampshire: MacMillan Press, 1989.
  • Madison, G., The Phenomenology of Merleau-Ponty: A Search for the Limits of Consciousness, Athens: Ohio University Press, 1981.
  • Olkowski, D., and Morley, J., (eds) Merleau-Ponty, Interiority and Exteriority, Psychic Life and the World, Albany: State University of New York Press, 1999 (Olkowski in text).
  • Priest, S., Merleau-Ponty, London: Routledge, 1998.
  • Schmidt, J., Maurice Merleau-Ponty: Between Phenomenology and Structuralism, New York: St Martin’s Press, 1985.

Author Information

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

George Herbert Mead (1863—1931)

MeadGeorge Herbert Mead is a major figure in the history of American philosophy, one of the founders of Pragmatism along with Peirce, James, Tufts, and Dewey. He published numerous papers during his lifetime and, following his death, several of his students produced four books in his name from Mead’s unpublished (and even unfinished) notes and manuscripts, from students’ notes, and from stenographic records of some of his courses at the University of Chicago. Through his teaching, writing, and posthumous publications, Mead has exercised a significant influence in 20th century social theory, among both philosophers and social scientists. In particular, Mead’s theory of the emergence of mind and self out of the social process of significant communication has become the foundation of the symbolic interactionist school of sociology and social psychology. In addition to his well- known and widely appreciated social philosophy, Mead’s thought includes significant contributions to the philosophy of nature, the philosophy of science, philosophical anthropology, the philosophy of history, and process philosophy. Both John Dewey and Alfred North Whitehead considered Mead a thinker of the highest order.

Table of Contents

  1. Life
  2. Writings
  3. Social Theory
    1. Communication and Mind
    2. Action
    3. Self and Other
  4. The Temporal Structure of Human Existence
  5. Perception and Reflection: Mead’s Theory of Perspectives
  6. Philosophy of History
    1. The Nature of History
    2. History and Self-Consciousness
    3. History and the Idea of the Future
  7. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Life

George Herbert Mead was born in South Hadley, Massachusetts, on February 27, 1863, and he died in Chicago, Illinois, on April 26, 1931. He was the second child of Hiram Mead (d. 1881), a Congregationalist minister and pastor of the South Hadley Congregational Church, and Elizabeth Storrs Billings (1832-1917). George Herbert’s older sister, Alice, was born in 1859. In 1870, the family moved to Oberlin, Ohio, where Hiram Mead became professor of homiletics at the Oberlin Theological Seminary, a position he held until his death in 1881. After her husband’s death, Elizabeth Storrs Billings Mead taught for two years at Oberlin College and subsequently, from 1890 to 1900, served as president of Mount Holyoke College in South Hadley, Massachusetts.

George Herbert Mead entered Oberlin College in 1879 at the age of sixteen and graduated with a BA degree in 1883. While at Oberlin, Mead and his best friend, Henry Northrup Castle, became enthusiastic students of literature, poetry, and history, and staunch opponents of supernaturalism. In literature, Mead was especially interested in Wordsworth, Shelley, Carlyle, Shakespeare, Keats, and Milton; and in history, he concentrated on the writings of Macauley, Buckle, and Motley. Mead published an article on Charles Lamb in the 1882-3 issue of the Oberlin Review (15-16).

Upon graduating from Oberlin in 1883, Mead took a grade school teaching job, which, however, lasted only four months. Mead was let go because of the way in which he handled discipline problems: he would simply dismiss uninterested and disruptive students from his class and send them home.

From the end of 1883 through the summer of 1887, Mead was a surveyor with the Wisconsin Central Rail Road Company. He worked on the project that resulted in the eleven- hundred mile railroad line that ran from Minneapolis, Minnesota, to Moose Jaw, Saskatchewan, and which connected there with the Canadian Pacific railroad line.

Mead earned his MA degree in philosophy at Harvard University during the 1887-1888 academic year. While majoring in philosophy, he also studied psychology, Greek, Latin, German, and French. Among his philosophy professors were George H. Palmer (1842-1933) and Josiah Royce (1855-1916). During this time, Mead was most influenced by Royce’s Romanticism and idealism.

Since Mead was later to become one of the major figures in the American Pragmatist movement, it is interesting that, while at Harvard, he did not study under William James (1842-1910) (although he lived in James’s home as tutor to the James children).

In the summer of 1888, Mead’s friend, Henry Castle and his sister, Helen, had traveled to Europe and had settled temporarily in Leipzig, Germany. Later, in the early fall of 1888, Mead, too, went to Leipzig in order to pursue a Ph.D. degree in philosophy and physiological psychology. During the 1888-1889 academic year at the University of Leipzig, Mead became strongly interested in Darwinism and studied with Wilhelm Wundt (1832-1920) and G. Stanley Hall (1844-1924) (two major founders of experimental psychology). On Hall’s recommendation, Mead transferred to the University of Berlin in the spring of 1889, where he concentrated on the study of physiological psychology and economic theory.

While Mead and his friends, the Castles, were staying in Leipzig, a romance between Mead and Helen Castle developed, and they were subsequently married in Berlin on October 1, 1891. Prior to George and Helen’s marriage, Henry Castle had married Frieda Stechner of Leipzig, and Henry and his bride had returned to Cambridge, Massachusetts, where Henry continued his studies in law at Harvard.

Mead’s work on his Ph.D. degree was interrupted in the spring of 1891 by the offer of an instructorship in philosophy and psychology at the University of Michigan. This was to replace James Hayden Tufts (1862-1942), who was leaving Michigan in order to complete his Ph.D. degree at the University of Freiburg. Mead took the job and never thereafter resumed his own Ph.D. studies

Mead worked at the University of Michigan from the fall of 1891 through the spring of 1894. He taught both philosophy and psychology. At Michigan, he became acquainted with and influenced by the work of sociologist Charles Horton Cooley (1864-1929), psychologist Alfred Lloyd, and philosopher John Dewey (1859-1952). Mead and Dewey became close personal and intellectual friends, finding much common ground in their interests in philosophy and psychology. In those days, the lines between philosophy and psychology were not sharply drawn, and Mead was to teach and do research in psychology throughout his career (mostly social psychology after 1910).

George and Helen Mead’s only child, Henry Castle Albert Mead, was born in Ann Arbor in 1892. When the boy grew up, he became a physician and married Irene Tufts (James Hayden Tufts’ daughter), a psychiatrist.

In 1892, having completed his Ph.D. work at Freiburg, James Hayden Tufts received an administrative appointment at the newly-created University of Chicago to help its founding president, William Rainey Harper, organize the new university (which opened in the fall of 1892). The University of Chicago was organized around three main departments: Semitics, chaired by J.M. Powis Smith; Classics, chaired by Paul Shorey; and Philosophy, chaired by John Dewey as of 1894. Dewey was recommended for that position by Tufts, and Dewey agreed to move from the University of Michigan to the University of Chicago provided that his friend and colleague, George Herbert Mead, was given a position as assistant professor in the Chicago philosophy department.

Thus, the University of Chicago became the new center of American Pragmatism (which had earlier originated with Charles Sanders Peirce [1839-1914] and William James at Harvard). The “Chicago Pragmatists” were led by Tufts, Dewey, and Mead. Dewey left Chicago for Columbia University in 1904, leaving Tufts and Mead as the major spokesmen for the Pragmatist movement in Chicago.

Mead spent the rest of his life in Chicago. He was assistant professor of philosophy from 1894-1902; associate professor from 1902-1907; and full professor from 1907 until his death in 1931. During those years, Mead made substantial contributions in both social psychology and philosophy. Mead’s major contribution to the field of social psychology was his attempt to show how the human self arises in the process of social interaction, especially by way of linguistic communication (“symbolic interaction”). In philosophy, as already mentioned, Mead was one of the major American Pragmatists. As such, he pursued and furthered the Pragmatist program and developed his own distinctive philosophical outlook centered around the concepts of sociality and temporality (see below).

Mrs. Helen Castle Mead died on December 25, 1929. George Mead was hit hard by her passing and gradually became ill himself. John Dewey arranged for Mead’s appointment as a professor in the philosophy department at Columbia University as of the 1931-1932 academic year, but before he could take up that appointment, Mead died in Chicago on April 26, 1931.

2. Writings

During his more-than-40-year career, Mead thought deeply, wrote almost constantly, and published numerous articles and book reviews in philosophy and psychology. However, he never published a book. After his death, several of his students edited four volumes from stenographic records of his social psychology course at the University of Chicago, from Mead’s lecture notes, and from Mead’s numerous unpublished papers. The four books are The Philosophy of the Present (1932), edited by Arthur E. Murphy; Mind, Self, and Society (1934), edited by Charles W. Morris; Movements of Thought in the Nineteenth Century (1936), edited by Merritt H. Moore; and The Philosophy of the Act (1938), Mead’s Carus Lectures of 1930, edited by Charles W. Morris.

Notable among Mead’s published papers are the following: “Suggestions Towards a Theory of the Philosophical Disciplines” (1900); “Social Consciousness and the Consciousness of Meaning” (1910); “What Social Objects Must Psychology Presuppose” (1910); “The Mechanism of Social Consciousness” (1912); “The Social Self” (1913); “Scientific Method and the Individual Thinker” (1917); “A Behavioristic Account of the Significant Symbol” (1922); “The Genesis of Self and Social Control” (1925); “The Objective Reality of Perspectives” (1926);”The Nature of the Past” (1929); and “The Philosophies of Royce, James, and Dewey in Their American Setting” (1929). Twenty-five of Mead’s most notable published articles have been collected in Selected Writings: George Herbert Mead, edited by Andrew J. Reck (Bobbs-Merrill, The Liberal Arts Press, 1964).

Most of Mead’s writings and much of the secondary literature thereon are listed in the References and Further Reading, below.

3. Social Theory

a. Communication and Mind

In Mind, Self and Society (1934), Mead describes how the individual mind and self arises out of the social process. Instead of approaching human experience in terms of individual psychology, Mead analyzes experience from the “standpoint of communication as essential to the social order.” Individual psychology, for Mead, is intelligible only in terms of social processes. The “development of the individual’s self, and of his self- consciousness within the field of his experience” is preeminently social. For Mead, the social process is prior to the structures and processes of individual experience.

Mind, according to Mead, arises within the social process of communication and cannot be understood apart from that process. The communicational process involves two phases: (1) the “conversation of gestures” and (2) language, or the “conversation of significant gestures.” Both phases presuppose a social context within which two or more individuals are in interaction with one another.

Mead introduces the idea of the “conversation of gestures” with his famous example of the dog-fight:

Dogs approaching each other in hostile attitude carry on such a language of gestures. They walk around each other, growling and snapping, and waiting for the opportunity to attack . . . . (Mind, Self and Society 14) The act of each dog becomes the stimulus to the other dog for his response. There is then a relationship between these two; and as the act is responded to by the other dog, it, in turn, undergoes change. The very fact that the dog is ready to attack another becomes a stimulus to the other dog to change his own position or his own attitude. He has no sooner done this than the change of attitude in the second dog in turn causes the first dog to change his attitude. We have here a conversation of gestures. They are not, however, gestures in the sense that they are significant. We do not assume that the dog says to himself, “If the animal comes from this direction he is going to spring at my throat and I will turn in such a way.” What does take place is an actual change in his own position due to the direction of the approach of the other dog. (Mind, Self and Society 42-43, emphasis added).

In the conversation of gestures, communication takes place without an awareness on the part of the individual of the response that her gesture elicits in others; and since the individual is unaware of the reactions of others to her gestures, she is unable to respond to her own gestures from the standpoint of others. The individual participant in the conversation of gestures is communicating, but she does not know that she is communicating. The conversation of gestures, that is, is unconscious communication.

It is, however, out of the conversation of gestures that language, or conscious communication, emerges. Mead’s theory of communication is evolutionary: communication develops from more or less primitive toward more or less advanced forms of social interaction. In the human world, language supersedes (but does not abolish) the conversation of gestures and marks the transition from non-significant to significant interaction.

Language, in Mead’s view, is communication through significant symbols. A significant symbol is a gesture (usually a vocal gesture) that calls out in the individual making the gesture the same (that is, functionally identical) response that is called out in others to whom the gesture is directed (Mind, Self and Society 47).

Significant communication may also be defined as the comprehension by the individual of the meaning of her gestures. Mead describes the communicational process as a social act since it necessarily requires at least two individuals in interaction with one another. It is within this act that meaning arises. The act of communication has a triadic structure consisting of the following components: (1) an initiating gesture on the part of an individual; (2) a response to that gesture by a second individual; and (3) the result of the action initiated by the first gesture (Mind, Self and Society 76, 81). There is no meaning independent of the interactive participation of two or more individuals in the act of communication.

Of course, the individual can anticipate the responses of others and can therefore consciously and intentionally make gestures that will bring out appropriate responses in others. This form of communication is quite different from that which takes place in the conversation of gestures, for in the latter there is no possibility of the conscious structuring and control of the communicational act.

Consciousness of meaning is that which permits the individual to respond to her own gestures as the other responds. A gesture, then, is an action that implies a reaction. The reaction is the meaning of the gesture and points toward the result (the “intentionality”) of the action initiated by the gesture. Gestures “become significant symbols when they implicitly arouse in an individual making them the same responses which they explicitly arouse, or are supposed [intended] to arouse, in other individuals, the individuals to whom they are addressed” (Mind, Self and Society 47). For example, “You ask somebody to bring a visitor a chair. You arouse the tendency to get the chair in the other, but if he is slow to act, you get the chair yourself. The response to the gesture is the doing of a certain thing, and you arouse that same tendency in yourself” (Mind, Self and Society 67). At this stage, the conversation of gestures is transformed into a conversation of significant symbols.

There is a certain ambiguity in Mead’s use of the terms “meaning” and “significance.” The question is, can a gesture be meaningful without being significant? But, if the meaning of a gesture is the response to that gesture, then there is meaning in the (non-significant) conversation of gestures — the second dog, after all, responds to the gestures of the first dog in the dog- fight and vice-versa.

However, it is the conversation of significant symbols that is the foundation of Mead’s theory of mind. “Only in terms of gestures as significant symbols is the existence of mind or intelligence possible; for only in terms of gestures which are significant symbols can thinking — which is simply an internalized or implicit conversation of the individual with himself by means of such gestures — take place” (Mind, Self and Society 47). Mind, then, is a form of participation in an interpersonal (that is, social) process; it is the result of taking the attitudes of others toward one’s own gestures (or conduct in general). Mind, in brief, is the use of significant symbols.

The essence of Mead’s so-called “social behaviorism” is his view that mind is an emergent out of the interaction of organic individuals in a social matrix. Mind is not a substance located in some transcendent realm, nor is it merely a series of events that takes place within the human physiological structure. Mead therefore rejects the traditional view of the mind as a substance separate from the body as well as the behavioristic attempt to account for mind solely in terms of physiology or neurology. Mead agrees with the behaviorists that we can explain mind behaviorally if we deny its existence as a substantial entity and view it instead as a natural function of human organisms. But it is neither possible nor desirable to deny the existence of mind altogether. The physiological organism is a necessary but not sufficient condition of mental behavior (Mind, Self and Society 139). Without the peculiar character of the human central nervous system, internalization by the individual of the process of significant communication would not be possible; but without the social process of conversational behavior, there would be no significant symbols for the individual to internalize.

The emergence of mind is contingent upon interaction between the human organism and its social environment; it is through participation in the social act of communication that the individual realizes her (physiological and neurological) potential for significantly symbolic behavior (that is, thought). Mind, in Mead’s terms, is the individualized focus of the communicational process — it is linguistic behavior on the part of the individual. There is, then, no “mind or thought without language;” and language (the content of mind) “is only a development and product of social interaction” (Mind, Self and Society 191- 192). Thus, mind is not reducible to the neurophysiology of the organic individual, but is an emergent in “the dynamic, ongoing social process” that constitutes human experience (Mind, Self and Society 7).

b. Action

For Mead, mind arises out of the social act of communication. Mead’s concept of the social act is relevant, not only to his theory of mind, but to all facets of his social philosophy. His theory of “mind, self, and society” is, in effect, a philosophy of the act from the standpoint of a social process involving the interaction of many individuals, just as his theory of knowledge and value is a philosophy of the act from the standpoint of the experiencing individual in interaction with an environment.

There are two models of the act in Mead’s general philosophy: (1) the model of the act-as-such, i.e., organic activity in general (which is elaborated in The Philosophy of the Act), and (2) the model of the social act, i.e., social activity, which is a special case of organic activity and which is of particular (although not exclusive) relevance in the interpretation of human experience. The relation between the “social process of behavior” and the “social environment” is “analogous” to the relation between the “individual organism” and the “physical-biological environment” (Mind, Self and Society 130).

The Act-As-Such

In his analysis of the act-as-such (that is, organic activity), Mead speaks of the act as determining “the relation between the individual and the environment” (The Philosophy of the Act 364). Reality, according to Mead, is a field of situations. “These situations are fundamentally characterized by the relation of an organic individual to his environment or world. The world, things, and the individual are what they are because of this relation [between the individual and his world]” (The Philosophy of the Act 215). It is by way of the act that the relation between the individual and his world is defined and developed.

Mead describes the act as developing in four stages: (1) the stage of impulse, upon which the organic individual responds to “problematic situations” in his experience (e.g., the intrusion of an enemy into the individual’s field of existence); (2) the stage of perception, upon which the individual defines and analyzes his problem (e.g., the direction of the enemy’s attack is sensed, and a path leading in the opposite direction is selected as an avenue of escape); (3) the stage of manipulation, upon which action is taken with reference to the individual’s perceptual appraisal of the problematic situation (e.g., the individual runs off along the path and away from his enemy); and (4) the stage of consummation, upon which the encountered difficulty is resolved and the continuity of organic existence re- established (e.g., the individual escapes his enemy and returns to his ordinary affairs) (The Philosophy of the Act 3-25). ]

What is of interest in this description is that the individual is not merely a passive recipient of external, environmental influences, but is capable of taking action with reference to such influences; he reconstructs his relation to his environment through selective perception and through the use or manipulation of the objects selected in perception (e.g., the path of escape mentioned above). The objects in the environment are, so to speak, created through the activity of the organic individual: the path along which the individual escapes was not “there” (in his thoughts or perceptions) until the individual needed a path of escape. Reality is not simply “out there,” independent of the organic individual, but is the outcome of the dynamic interrelation of organism and environment. Perception, according to Mead, is a relation between organism and object. Perception is not, then, something that occurs in the organism, but is an objective relation between the organism and its environment; and the perceptual object is not an entity out there, independent of the organism, but is one pole of the interactive perceptual process (The Philosophy of the Act 81).

Objects of perception arise within the individual’s attempt to solve problems that have emerged in his experience, problems that are, in an important sense, determined by the individual himself. The character of the individual’s environment is predetermined by the individual’s sensory capacities. The environment, then, is what it is in relation to a sensuous and selective organic individual; and things, or objects, “are what they are in the relationship between the individual and his environment, and this relationship is that of conduct [i.e., action]” (The Philosophy of the Act 218).
The Social Act
While the social act is analogous to the act-as-such, the above-described model of “individual biological activity” (Mind, Self and Society 130) will not suffice as an analysis of social experience. The “social organism” is not an organic individual, but “a social group of individual organisms” (Mind, Self and Society 130). The human individual, then, is a member of a social organism, and his acts must be viewed in the context of social acts that involve other individuals. Society is not a collection of preexisting atomic individuals (as suggested, for example, by Hobbes, Locke, and Rousseau), but rather a processual whole within which individuals define themselves through participation in social acts. The acts of the individual are, according to Mead, aspects of acts that are trans- individual. “For social psychology, the whole (society) is prior to the part (the individual), not the part to the whole; and the part is explained in terms of the whole, not the whole in terms of the part or parts” (Mind, Self and Society 7). Thus, the social act is a “dynamic whole,” a “complex organic process,” within which the individual is situated, and it is within this situation that individual acts are possible and have meaning.

Mead defines the social act in relation to the social object. The social act is a collective act involving the participation of two or more individuals; and the social object is a collective object having a common meaning for each participant in the act. There are many kinds of social acts, some very simple, some very complex. These range from the (relatively) simple interaction of two individuals (e.g., in dancing, in love-making, or in a game of handball), to rather more complex acts involving more than two individuals (e.g., a play, a religious ritual, a hunting expedition), to still more complex acts carried on in the form of social organizations and institutions (e.g., law- enforcement, education, economic exchange). The life of a society consists in the aggregate of such social acts.

It is by way of the social act that persons in society create their reality. The objects of the social world (common objects such as clothes, furniture, tools, as well as scientific objects such as atoms and electrons) are what they are as a result of being defined and utilized within the matrix of specific social acts. Thus, an animal skin becomes a coat in the experience of people (e.g., barbarians or pretenders to aristocracy) engaged in the social act of covering and/or adorning their bodies; and the electron is introduced (as a hypothetical object) in the scientific community’s project of investigating the ultimate nature of physical reality.

Communication through significant symbols is that which renders the intelligent organization of social acts possible. Significant communication, as stated earlier, involves the comprehension of meaning, i.e., the taking of the attitude of others toward one’s own gestures. Significant communication among individuals creates a world of common (symbolic) meanings within which further and deliberate social acts are possible. The specifically human social act, in other words, is rooted in the act of significant communication and is, in fact, ordered by the conversation of significant symbols.

In addition to its role in the organization of the social act, significant communication is also fundamentally involved in the creation of social objects. For it is by way of significant symbols that humans indicate to one another the object relevant to their collective acts. For example, suppose that a group of people has decided on a trip to the zoo. One of the group offers to drive the others in his car; and the others respond by following the driver to his vehicle. The car has thus become an object for all members of the group, and they all make use of it to get to the zoo. Prior to this particular project of going to the zoo, the car did not have the specific significance that it takes on in becoming instrumental in the zoo-trip. The car was, no doubt, an object in some other social act prior to its incorporation into the zoo-trip; but prior to that incorporation, it was not specifically and explicitly a means of transportation to the zoo. Whatever it was, however, would be determined by its role in some social act (e.g., the owner’s project of getting to work each day, etc.). It is perhaps needless to point out that the decision to go to the zoo, as well as the decision to use the car in question as a means of transportation, was made through a conversation involving significant symbols. The significant symbol functions here to indicate “some object or other within the field of social behavior, an object of common interest to all the individuals involved in the given social act thus directed toward or upon that object” (Mind, Self and Society 46). The reality that humans experience is, for Mead, very largely socially constructed in a process mediated and facilitated by the use of significant symbols.

c. Self and Other

The Self as Social Emergent

The self, like the mind, is a social emergent. This social conception of the self, Mead argues, entails that individual selves are the products of social interaction and not the (logical or biological) preconditions of that interaction. Mead contrasts his social theory of the self with individualistic theories of the self (that is, theories that presuppose the priority of selves to social process). “The self is something which has a development; it is not initially there, at birth, but arises in the process of social experience and activity, that is, develops in the given individual as a result of his relations to that process as a whole and to other individuals within that process” (Mind, Self and Society 135). Mead’s model of society is an organic model in which individuals are related to the social process as bodily parts are related to bodies.

The self is a reflective process — i.e., “it is an object to itself.” For Mead, it is the reflexivity of the self that “distinguishes it from other objects and from the body.” For the body and other objects are not objects to themselves as the self is.

It is perfectly true that the eye can see the foot, but it does not see the body as a whole. We cannot see our backs; we can feel certain portions of them, if we are agile, but we cannot get an experience of our whole body. There are, of course, experiences which are somewhat vague and difficult of location, but the bodily experiences are for us organized about a self. The foot and hand belong to the self. We can see our feet, especially if we look at them from the wrong end of an opera glass, as strange things which we have difficulty in recognizing as our own. The parts of the body are quite distinguishable from the self. We can lose parts of the body without any serious invasion of the self. The mere ability to experience different parts of the body is not different from the experience of a table. The table presents a different feel from what the hand does when one hand feels another, but it is an experience of something with which we come definitely into contact. The body does not experience itself as a whole, in the sense in which the self in some way enters into the experience of the self (Mind, Self and Society 136).

It is, moreover, this reflexivity of the self that distinguishes human from animal consciousness (Mind, Self and Society, fn., 137). Mead points out two uses of the term “consciousness”: (1) “consciousness” may denote “a certain feeling consciousness” which is the outcome of an organism’s sensitivity to its environment (in this sense, animals, in so far as they act with reference to events in their environments, are conscious); and (2) “consciousness” may refer to a form of awareness “which always has, implicitly at least, the reference to an ‘I’ in it” (that is, the term “consciousness” may mean self– consciousness) (Mind, Self and Society 165). It is the second use of the term “consciousness” that is appropriate to the discussion of human consciousness. While there is a form of pre-reflective consciousness that refers to the “bare thereness of the world,” it is reflective (or self-) consciousness that characterizes human awareness. The pre-reflective world is a world in which the self is absent (Mind, Self and Society 135-136).

Self-consciousness, then, involves the objectification of the self. In the mode of self- consciousness, the “individual enters as such into his own experience . . . as an object” (Mind, Self and Society 225). How is this objectification of the self possible? The individual, according to Mead, “can enter as an object [to himself] only on the basis of social relations and interactions, only by means of his experiential transactions with other individuals in an organized social environment” (Mind, Self and Society 225). Self-consciousness is the result of a process in which the individual takes the attitudes of others toward herself, in which she attempts to view herself from the standpoint of others. The self-as-object arises out of the individual’s experience of other selves outside of herself. The objectified self is an emergent within the social structures and processes of human intersubjectivity.

Symbolic Interaction and the Emergence of the Self

Mead’s account of the social emergence of the self is developed further through an elucidation of three forms of inter-subjective activity: language, play, and the game. These forms of “symbolic interaction” (that is, social interactions that take place via shared symbols such as words, definitions, roles, gestures, rituals, etc.) are the major paradigms in Mead’s theory of socialization and are the basic social processes that render the reflexive objectification of the self possible.

Language, as we have seen, is communication via “significant symbols,” and it is through significant communication that the individual is able to take the attitudes of others toward herself. Language is not only a “necessary mechanism” of mind, but also the primary social foundation of the self:

I know of no other form of behavior than the linguistic in which the individual is an object to himself . . . (Mind, Self and Society 142). When a self does appear it always involves an experience of another; there could not be an experience of a self simply by itself. The plant or the lower animal reacts to its environment, but there is no experience of a self . . . . When the response of the other becomes an essential part in the experience or conduct of the individual; when taking the attitude of the other becomes an essential part in his behavior — then the individual appears in his own experience as a self; and until this happens he does not appear as a self (Mind, Self and Society 195).

Within the linguistic act, the individual takes the role of the other, i.e., responds to her own gestures in terms of the symbolized attitudes of others. This “process of taking the role of the other” within the process of symbolic interaction is the primal form of self-objectification and is essential to self- realization (Mind, Self and Society 160-161).

It ought to be clear, then, that the self-as-object of which Mead speaks is not an object in a mechanistic, billiard ball world of external relations, but rather it is a basic structure of human experience that arises in response to other persons in an organic social-symbolic world of internal (and inter- subjective) relations. This becomes even clearer in Mead’s interpretation of playing and gaming. In playing and gaming, as in linguistic activity, the key to the generation of self-consciousness is the process of role-playing.” In play, the child takes the role of another and acts as though she were the other (e.g., mother, doctor, nurse, Indian, and countless other symbolized roles). This form of role-playing involves a single role at a time. Thus, the other which comes into the child’s experience in play is a “specific other” (The Philosophy of the Present 169).

The game involves a more complex form of role-playing than that involved in play. In the game, the individual is required to internalize, not merely the character of a single and specific other, but the roles of all others who are involved with him in the game. He must, moreover, comprehend the rules of the game which condition the various roles (Mind, Self and Society 151). This configuration of roles-organized-according-to- rules brings the attitudes of all participants together to form a symbolized unity: this unity is the “generalized other” (Mind, Self and Society 154). The generalized other is “an organized and generalized attitude” (Mind, Self and Society 195) with reference to which the individual defines her own conduct. When the individual can view herself from the standpoint of the generalized other, “self- consciousness in the full sense of the term” is attained.

The game, then, is the stage of the social process at which the individual attains selfhood. One of Mead’s most outstanding contributions to the development of critical social theory is his analysis of games. Mead elucidates the full social and psychological significance of game-playing and the extent to which the game functions as an instrument of social control. The following passage contains a remarkable piece of analysis:

What goes on in the game goes on in the life of the child all the time. He is continually taking the attitudes of those about him, especially the roles of those who in some sense control him and on whom he depends. He gets the function of the process in an abstract way at first. It goes over from the play into the game in a real sense. He has to play the game. The morale of the game takes hold of the child more than the larger morale of the whole community. The child passes into the game and the game expresses a social situation in which he can completely enter; its morale may have a greater hold on him than that of the family to which he belongs or the community in which he lives. There are all sorts of social organizations, some of which are fairly lasting, some temporary, into which the child is entering, and he is playing a sort of social game in them. It is a period in which he likes “to belong,” and he gets into organizations which come into existence and pass out of existence. He becomes a something which can function in the organized whole, and thus tends to determine himself in his relationship with the group to which he belongs. That process is one which is a striking stage in the development of the child’s morale. It constitutes him a self-conscious member of the community to which he belongs (Mind, Self and Society 160, emphasis added).

The “Me” and the “I”

Although the self is a product of socio-symbolic interaction, it is not merely a passive reflection of the generalized other. The individual’s response to the social world is active; she decides what she will do in the light of the attitudes of others; but her conduct is not mechanically determined by such attitudinal structures. There are, it would appear, two phases (or poles) of the self: (1) that phase which reflects the attitude of the generalized other and (2) that phase which responds to the attitude of the generalized other. Here, Mead distinguishes between the “me” and the “I.” The “me” is the social self, and the “I” is a response to the “me” (Mind, Self and Society 178). “The ‘I’ is the response of the organism to the attitudes of the others; the ‘me’ is the organized set of attitudes of others which one himself assumes” (Mind, Self and Society 175). Mead defines the “me” as “a conventional, habitual individual,” and the “I” as the “novel reply” of the individual to the generalized other (Mind, Self and Society 197). There is a dialectical relationship between society and the individual; and this dialectic is enacted on the intra-psychic level in terms of the polarity of the “me” and the “I.” The “me” is the internalization of roles which derive from such symbolic processes as linguistic interaction, playing, and gaming; whereas the “I” is a “creative response” to the symbolized structures of the “me” (that is, to the generalized other).

Although the “I” is not an object of immediate experience, it is, in a sense, knowable (that is, objectifiable). The “I” is apprehended in memory; but in the memory image, the “I” is no longer a pure subject, but “a subject that is now an object of observation” (Selected Writings 142). We can understand the structural and functional significance of the “I,” but we cannot observe it directly — it appears only ex post facto. We remember the responses of the “I” to the “me;” and this is as close as we can get to a concrete knowledge of the “I.” The objectification of the “I” is possible only through an awareness of the past; but the objectified “I” is never the subject of present experience. “If you ask, then, where directly in your own experience the ‘I’ comes in, the answer is that it comes in as a historical figure” (Mind, Self and Society 174).

The “I” appears as a symbolized object in our consciousness of our past actions, but then it has become part of the “me.” The “me” is, in a sense, that phase of the self that represents the past (that is, the already-established generalized other). The “I,” which is a response to the “me,” represents action in a present (that is, “that which is actually going on, taking place”) and implies the restructuring of the “me” in a future. After the “I” has acted, “we can catch it in our memory and place it in terms of that which we have done,” but it is now (in the newly emerged present) an aspect of the restructured “me” (Mind, Self and Society 204, 203).

Because of the temporal-historical dimension of the self, the character of the “I” is determinable only after it has occurred; the “I” is not, therefore, subject to predetermination. Particular acts of the “I” become aspects of the “me” in the sense that they are objectified through memory; but the “I” as such is not contained in the “me.”

The human individual exists in a social situation and responds to that situation. The situation has a particular character, but this character does not completely determine the response of the individual; there seem to be alternative courses of action. The individual must select a course of action (and even a decision to do “nothing” is a response to the situation) and act accordingly, but the course of action she selects is not dictated by the situation. It is this indeterminacy of response that “gives the sense of freedom, of initiative” (Mind, Self and Society 177). The action of the “I” is revealed only in the action itself; specific prediction of the action of the “I” is not possible. The individual is determined to respond, but the specific character of her response is not fully determined. The individual’s responses are conditioned, but not determined by the situation in which she acts (Mind, Self and Society 210-211). Human freedom is conditioned freedom.

Thus, the “I” and the “me” exist in dynamic relation to one another. The human personality (or self) arises in a social situation. This situation structures the “me” by means of inter-subjective symbolic processes (language, gestures, play, games, etc.), and the active organism, as it continues to develop, must respond to its situation and to its “me.” This response of the active organism is the “I.”

The individual takes the attitude of the “me” or the attitude of the “I” according to situations in which she finds herself. For Mead, “both aspects of the ‘I’ and the ‘me’ are essential to the self in its full expression” (Mind, Self and Society 199). Both community and individual autonomy are necessary to identity. The “I” is process breaking through structure. The “me” is a necessary symbolic structure which renders the action of the “I” possible, and “without this structure of things, the life of the self would become impossible” (Mind, Self and Society 214).

The Dialectic of Self and Other

The self arises when the individual takes the attitude of the generalized other toward herself. This “internalization” of the generalized other occurs through the individual’s participation in the conversation of significant symbols (that is, language) and in other socialization processes (e.g., play and games). The self, then, is of great value to organized society: the internalization of the conversation of significant symbols and of other interactional symbolic structures allows for “the superior co-ordination” of “society as a whole,” and for the “increased efficiency of the individual as a member of the group” (Mind, Self and Society 179). The generalized other (internalized in the “me”) is a major instrument of social control; it is the mechanism by which the community gains control “over the conduct of its individual members” (Mind, Self and Society 155).”Social control,” in Mead’s words, “is the expression of the ‘me’ over against the expression of the ‘I'” (Mind, Self and Society 210).

The genesis of the self in social process is thus a condition of social control. The self is a social emergent that supports the cohesion of the group; individual will is harmonized, by means of a socially defined and symbolized “reality,” with social goals and values. “In so far as there are social acts,” writes Mead, “there are social objects, and I take it that social control is bringing the act of the individual into relation with this social object” (The Philosophy of the Act 191). Thus, there are two dimensions of Mead’s theory of internalization: (1) the internalization of the attitudes of others toward oneself and toward one another (that is, internalization of the interpersonal process); and (2) the internalization of the attitudes of others “toward the various phases or aspects of the common social activity or set of social undertakings in which, as members of an organized society or social group, they are all engaged” (Mind, Self and Society 154-155).

The self, then, has reference, not only to others, but to social projects and goals, and it is by means of the socialization process (that is, the internalization of the generalized other through language, play, and the game) that the individual is brought to “assume the attitudes of those in the group who are involved with him in his social activities” (The Philosophy of the Act 192). By learning to speak, gesture, and play in “appropriate” ways, the individual is brought into line with the accepted symbolized roles and rules of the social process. The self is therefore one of the most subtle and effective instruments of social control.

For Mead, however, social control has its limits. One of these limits is the phenomenon of the “I,” as described in the preceding section. Another limit to social control is presented in Mead’s description of specific social relations. This description has important consequences regarding the way in which the concept of the generalized other is to be applied in social analysis.

The self emerges out of “a special set of social relations with all the other individuals” involved in a given set of social projects (Mind, Self and Society 156-157). The self is always a reflection of specific social relations that are themselves founded on the specific mode of activity of the group in question. The concept of property, for example, presupposes a community with certain kinds of responses; the idea of property has specific social and historical foundations and symbolizes the interests and values of specific social groups.

Mead delineates two types of social groups in civilized communities. There are, on the one hand, “concrete social classes or subgroups” in which “individual members are directly related to one another.” On the other hand, there are “abstract social classes or subgroups” in which “individual members are related to one another only more or less indirectly, and which only more or less indirectly function as social units, but which afford unlimited possibilities for the widening and ramifying and enriching of the social relations among all the individual members of the given society as an organized and unified whole” (Mind, Self and Society 157). Such abstract social groups provide the opportunity for a radical extension of the “definite social relations” which constitute the individual’s sense of self and which structure her conduct.

Human society, then, contains a multiplicity of generalized others. The individual is capable of holding membership in different groups, both simultaneously and serially, and may therefore relate herself to different generalized others at different times; or she may extend her conception of the generalized other by identifying herself with a “larger” community than the one in which she has hitherto been involved (e.g., she may come to view herself as a member of a nation rather than as a member of a tribe). The self is not confined within the limits of any one generalized other. It is true that the self arises through the internalization of the generalized attitudes of others, but there is, it would appear, no absolute limit to the individual’s capacity to encompass new others within the dynamic structure of the self. This makes strict and total social control difficult if not impossible.

Mead’s description of social relations also has interesting implications vis-a-vis the sociological problem of the relation between consensus and conflict in society. It is clear that both consensus and conflict are significant dimensions of social process; and in Mead’s view, the problem is not to decide either for a consensus model of society or for a conflict model, but to describe as directly as possible the function of both consensus and conflict in human social life.

There are two models of consensus-conflict relation in Mead’s analysis of social relations. These may be schematized as follows:

  1. Intra-Group Consensus — Extra-Group Conflict
  2. Intra-Group Conflict — Extra-Group Consensus

In the first model, the members of a given group are united in opposition to another group which is characterized as the “common enemy” of all members of the first group. Mead points out that the idea of a common enemy is central in much of human social organization and that it is frequently the major reference-point of intra-group consensus. For example, a great many human organizations derive their raison d’etre and their sense of solidarity from the existence (or putative existence) of the “enemy” (communists, atheists, infidels, fascist pigs, religious “fanatics,” liberals, conservatives, or whatever). The generalized other of such an organization is formed in opposition to the generalized other of the enemy. The individual is “with” the members of her group and “against” members of the enemy group.

Mead’s second model, that of intra-group conflict and extra-group consensus, is employed in his description of the process in which the individual reacts against her own group. The individual opposes her group by appealing to a “higher sort of community” that she holds to be superior to her own. She may do this by appealing to the past (e.g., she may ground her criticism of the bureaucratic state in a conception of “Jeffersonian Democracy”), or by appealing to the future (e.g., she may point to the ideal of “all mankind,” of the universal community, an ideal that has the future as its ever-receding reference point). Thus, intra-group conflict is carried on in terms of an extra-group consensus, even if the consensus is merely assumed or posited. This model presupposes Mead’s conception of the multiplicity of generalized others, i.e., the field within which conflicts are possible. It is also true that the individual can criticize her group only in so far as she can symbolize to herself the generalized other of that group; otherwise she would have nothing to criticize, nor would she have the motivation to do so. It is in this sense that social criticism presupposes social- symbolic process and a social self capable of symbolic reflexive activity.

In addition to the above-described models of consensus-conflict relation, Mead also points out an explicitly temporal interaction between consensus and conflict. Human conflicts often lead to resolutions that create new forms of consensus. Thus, when such conflicts occur, they can lead to whole “reconstructions of the particular social situations” that are the contexts of the conflicts (e.g., a war between two nations may be followed by new political alignments in which the two warring nations become allies). Such reconstructions of society are effected by the minds of individuals in conflict and constitute enlargements of the social whole.

An interesting consequence of Mead’s analysis of social conflict is that the reconstruction of society will entail the reconstruction of the self. This aspect of the social dynamic is particularly clear in terms of Mead’s concept of intra-group conflict and his description of the dialectic of the “me” and the “I.” As pointed out earlier, the “I” is an emergent response to the generalized other; and the “me” is that phase of the self that represents the social situation within which the individual must operate. Thus, the critical capacity of the self takes form in the “I” and has two dimensions: (1) explicit self- criticism (aimed at the “me”) is implicit social criticism; and (2) explicit social criticism is implicit self- criticism. For example, the criticism of one’s own moral principles is also the criticism of the morality of one’s social world, for personal morality is rooted in social morality. Conversely, the criticism of the morality of one’s society raises questions concerning one’s own moral role in the social situation.

Since self and society are dialectical poles of a single process, change in one pole will result in change in the other pole. It would appear that social reconstructions are effected by individuals (or groups of individuals) who find themselves in conflict with a given society; and once the reconstruction is accomplished, the new social situation generates far-reaching changes in the personality structures of the individuals involved in that situation.” In short,” writes Mead, “social reconstruction and self or personality reconstruction are the two sides of a single process — the process of human social evolution” (Mind, Self and Society 309).

4. The Temporal Structure of Human Existence

The temporal structure of human existence, according to Mead, can be described in terms of the concepts of emergence, sociality, and freedom.

Emergence and Temporality

What is the ground of the temporality of human experience? Temporal structure, according to Mead, arises with the appearance of novel or “emergent” events in experience. The emergent event is an unexpected disruption of continuity, an inhibition of passage. The emergent, in other words, constitutes a problem for human action, a problem to be overcome. The emergent event, which arises in a present, establishes a barrier between present and future; emergence is an inhibition of (individual and collective) conduct, a disharmony that projects experience into a distant future in which harmony may be re-instituted. The initial temporal structure of human time-consciousness lies in the separation of present and future by the emergent event. The actor, blocked in his activity, confronts the emergent problem in his present and looks to the future as the field of potential resolution of conflict. The future is a temporally, and frequently spatially, distant realm to be reached through intelligent action. Human action is action-in-time.

Mead argues out that, without inhibition of activity and without the distance created by the inhibition, there can be no experience of time. Further, Mead believes that, without the rupture of continuity, there can be no experience at all. Experience presupposes change as well as permanence. Without disruption, “there would be merely the passage of events” (The Philosophy of the Act 346), and mere passage does not constitute change. Passage is pure continuity without interruption (a phenomenon of which humans, with the possible exception of a few mystics, have precious little experience). Change arises with a departure from continuity. Change does not, however, involve the total obliteration of continuity — there must be a “persisting non-passing content” against which an emergent event is experienced as a change (The Philosophy of the Act 330-331).

Experience begins with the problematic. Continuity itself cannot be experienced unless it is broken; that is, continuity is not an object of awareness unless it becomes problematic, and continuity becomes problematic as a result of the emergence of discontinuous events. Hence, continuity and discontinuity (emergence) are not contradictories, but dialectical polarities (mutually dependent levels of reality) that generate experience itself. “The now is contrasted with a then and implies that a background which is irrelevant to the difference between them has been secured within which the now and the then may appear. There must be banks within which the stream of time may flow” (The Philosophy of the Act 161).

Emergence, then, is a fundamental condition of experience, and the experience of the emergent is the experience of temporality. Emergence sunders present and future and is thereby an occasion for action. Action, moreover, occurs in time; the human act is infected with time — it aims at the future. Human action is teleological. Discontinuity, therefore, and not continuity (in the sense of mere duration or passage), is the foundation of time-experience (and of experience itself). The emergent event constitutes time, i.e., creates the necessity of time.

The Function of the Past in Human Experience

The emergent event is not only a problem for ongoing activity: it also constitutes a problem for rationality. Reason, according to Mead, is the search for causal continuity in experience and, in fact, must presuppose such continuity in its attempt to construct a coherent account of reality. Reason must assume that all natural events can be reduced to conditions that make the events possible. But the emergent event presents itself as discontinuous, as a disruption without conditions.

It is by means of the reconstruction of the past that the discontinuous event becomes continuous in experience: “The character of the past is that it connects what is unconnected in the merging of one present into another” (“The Nature of the Past” [1929], in Selected Writings 351). The emergent event, when placed within a reconstructed past, is a determined event; but since this past was reconstructed from the perspective of the emergent event, the emergent event is also a determining event (The Philosophy of the Present 15). The emergent event itself indicates the continuities within which the event may be viewed as continuous. There is, then, no question of predicting the emergent, for it is, by definition and also experientially, unpredictable; but once the emergent appears in experience, it may be placed within a continuity dictated by its own character. Determination of the emergent is retrospective determination.

Mead’s conception of time entails a drastic revision of the idea of the irrevocability of the past. The past is “both irrevocable and revocable” (The Philosophy of the Present 2). There is no sense in the idea of an independent or “real” past, for the past is always formulated in the light of the emerging present. It is necessary to continually reformulate the past from the point of view of the newly emergent situation. For example, the movement for the liberation of African-Americans has led to the discovery of the American black’s cultural past. “Black (or African-American) History” is, in effect, a function of the emergence of the civil rights movement in the late 1940s and early 1950s and the subsequent development of that movement. As far as most Americans were hitherto concerned, there simply was no history of the American black — there was only a history of white Europeans, which included the history of slavery in America.

There can be no finality in historical accounts. The past is irrevocable in the sense that something has happened; but what has happened (that is, the essence of the past) is always open to question and reinterpretation. Further, the irrevocability of the past “is found in the extension of the necessity with which what has just happened conditions what is emerging in the future” (The Philosophy of the Present 3). Irrevocability is a characteristic of the past only in relation to the demands of a present looking into the future. That is to say that even the sense that something has happened arises out of a situation in which an emergent event has appeared as a problem.

Like Edmund Husserl, Mead conceives of human consciousness as intentional in its structure and orientation: the world of conscious experience is “intended,” “meant,” “constituted,” “constructed” by consciousness. Thus, objectivity can have meaning only within the domain of the subject, the realm of consciousness. It is not that the existence of the objective world is constituted by consciousness, but that the meaning of that world is so constituted. In Husserlian language, the existence of the objective world is transcendent, i.e., independent of consciousness; but the meaning of the objective world is immanent, i.e., dependent on consciousness. In Mead’s “phenomenology” of historical experience, then, the past may be said to possess an objective existence, but the meaning of the past is constituted or constructed according to the intentional concerns of historical thought. The meaning of the past (“what has happened”) is defined by an historical consciousness that is rooted in a present and that is opening upon a newly emergent future.

History is founded on human action in response to emergent events. Action is an attempt to adjust to changes that emerge in experience; the telos of the act is the re-establishment of a sundered continuity. Since the past is instrumental in the re-establishment of continuity, the adjustment to the emergent requires the creation of history. “By looking into the future,” Mead observes, “society acquired a history” (The Philosophy of the Act 494). And the future- orientation of history entails that every new discovery, every new project, will alter our picture of the past.

Although Mead discounts the possibility of a transcendent past (that is, a past independent of any present), he does not deny the possibility of validity in historical accounts. An historical account will be valid or correct, not absolutely, but in relation to a specific emergent context. Accounts of the past “become valid in interpreting [the world] in so far as they present a history of becoming in [the world] leading up to that which is becoming today . . . . ” (The Philosophy of the Present 9). Historical thought is valid in so far as it renders change intelligible and permits the continuation of activity. An appeal to an absolutely correct account of the past is not only impossible, but also irrelevant to the actual conduct of historical inquiry. A meaningful past is a usable past.

Historians are, to be sure, concerned with the truth of historical accounts, i.e., with the “objectivity” of the past. The historical conscience seeks to reconstruct the past on the basis of evidence and to present an accurate interpretation of the data of history. Mead’s point is that all such reconstructions and interpretations of the past are grounded in a present that is opening into a future and that the time-conditioned nature and interests of historical thought made the construction of a purely “objective” historical account impossible. Historical consciousness is “subjective” in the sense that it aims at an interpretation of the past that will be humanly meaningful in the present and in the foreseeable future. Thus, for Mead, historical inquiry is the imaginative-but-honest, intelligent-and-intelligible reconstruction and interpretation of the human past on the basis of all available and relevant evidence. Above all, the historian seeks to define the meaning of the human past and, in that way, to make a contribution to humanity’s search for an overall understanding of human existence.

Sociality and Time

The emergent event, then, is basic to Mead’s theory of time. The emergent event is a becoming, an unexpected occurrence “which in its relation to other events gives structure to time” (The Philosophy of the Present 21). But what is the ontological status of emergence? What is its relation to the general structure of reality? The possibility of emergence is grounded in Mead’s conception of the relatedness, the “sociality,” of natural processes.

Mead’s philosophy arises from a fundamental ecological vision of the world, a vision of the world containing a multiplicity of related systems (e.g., the bee system and the flower system, which together form the bee-flower system). Nature is a system of systems or relationships; it is not a collection of particles or fragments which are actually separate. Distinctions, for Mead, are abstractions within fields of activity; and all natural objects (animate or inanimate) exist within systems apart from which the existence of the objects themselves is unthinkable.

The sense of the organic body arises with reference to “external” objects; and these external objects in turn derive their character from their relation to an organic individual. The body-object and the physical object arise with reference to each other, and it is this relationship, in Mead’s view, that constitutes the reality of each referent. “It is over against the surfaces of other things that the outside of the organism arises in experience, and then the experiences of the organism which are not in such contacts become the inside of the organism. It is a process in which the organism is bounded, and other things are bounded as well” (The Philosophy of the Act 160). Similarly, the resistance of the object to organic pressure is, in effect, the activity of the object; and this activity becomes the “inside” of the object. The inside of the object, moreover, is not a projection from the organism, but is there in the relation between the organism and thing (see The Philosophy of the Present 122-124, 131, 136). The relation between organism and object, then, is a social relation (The Philosophy of the Act 109-110).

Thus, the relation between a natural object (or event) and the system within which it exists is not unidirectional. The character of the object, on the one hand, is determined by its membership in a system; but, on the other hand, the character of the system is determined by the activity of the object (or event). There is a mutual determination of object and system, organism and environment, percipient event and consentient set (The Philosophy of the Act 330).

While this mutuality of individual and system is characteristic of all natural processes, Mead is particularly concerned with the biological realm and lays great emphasis on the interdependence and interaction of organism and environment. Whereas the environment provides the conditions within which the acts of the organism emerge as possibilities, it is the activity of the organism that transforms the character of the environment. Thus, “an animal with the power of digesting and assimilating what could not before be digested and assimilated is the condition for the appearance of food in his environment” (The Philosophy of the Act 334). In this respect, “what the individual is determines what the character of his environment will be” (The Philosophy of the Act 338).

The relation of organism and environment is not static, but dynamic. The activities of the environment alter the organism, and the activities of the organism alter the environment. The organism-environment relation is, moreover, complex rather than simple. The environment of any organism contains a multiplicity of processes, perspectives, systems, any one of which may become a factor in the organism’s field of activity. The ability of the organism to act with reference to a multiplicity of situations is an example of the sociality of natural events. And it is by virtue of this sociality, this “capacity of being several things at once” (The Philosophy of the Present 49), that the organism is able to encounter novel occurrences.

By moving from one system to another, the organism confronts unfamiliar and unexpected situations which, because of their novelty, constitute problems of adjustment for the organism. These emergent situations are possible given the multiplicity of natural processes and given the ability of natural events (e.g., organisms) to occupy several systems at once. A bee, for example, is capable of relating to other bees, to flowers, to bears, to little boys, albeit with various attitudes. But sociality is not restricted to animate events. A mountain may be simultaneously an aspect of geography, part of a landscape, an object of religious veneration, the dialectical pole of a valley, and so forth. The capacity of sociality is a universal character of nature.

There are, then, two modes of sociality: (1) Sociality characterizes the “process of readjustment” by which an organism incorporates an emergent event into its ongoing experience. This sociality in passage, which is “given in immediate relation of the past and present,” constitutes the temporal mode of sociality (The Philosophy of the Present 51). (2) A natural event is social, not only by virtue of its dynamic relationship with newly emergent situations, but also by virtue of its simultaneous membership in different systems at any given instant. In any given present, “the location of the object in one system places it in the others as well” (The Philosophy of the Present 63). The object is social, not merely in terms of its temporal relations, but also in terms of its relations with other objects in an instantaneous field. This mode of sociality constitutes the emergent event; that is, the state of a system at a given instant is the social reality within which emergent events occur, and it is this reality that must be adjusted to the exigencies of time. Thus, the principle of sociality is the ontological foundation of Mead’s concept of emergence: sociality is the ground of the possibility of emergence as well as the basis on which emergent events are incorporated into the structure of ongoing experience.

Temporality and the Problem of Freedom

When Mead’s theory of the self is placed in the context of his description of the temporality of human existence, it is possible to construct an account, not only of the reality of human freedom, but also of the conditions that give rise to the experience of loss of freedom.

Mead grounds his analysis of human consciousness in the social process of communication and, on that foundation, makes “the other” an integral part of self- understanding. The world in which the self lives, then, is an inter- subjective and interactive world — a “populated world” containing, not only the individual self, but also other persons. Intersubjectivity is to be explained in terms of that “meeting of minds” which occurs in conversation, learning, reading, and thinking (The Philosophy of the Act 52-53). It is on the basis of such socio-symbolic interactions between individuals, and by means of the conceptual symbols of the communicational process, that the mind and the self come into existence.

The human world is also temporally structured, and the temporality of experience, Mead argues, is a flow that is primarily present. The past is part of my experience now, and the projected future is also part of my experience now. There is hardly a moment when, turning to the temporality of my life, I do not find myself existing in the now. Thus, it would appear that whatever is for me, is now; and, needless to say, whatever is of importance or whatever is meaningful for me, is of importance or is meaningful now. This is true even if that which is important and meaningful for me is located in the “past” or in the “future.” Existential time is time lived in the now. My existence is rooted in a “living present,” and it is within this “living present” that my life unfolds and discloses itself. Thus, to gain full contact with oneself, it is necessary to focus one’s consciousness on the present and to appropriate that present (that “existential situation”) as one’s own.

This “philosophy of the present” need not lead to a careless, “live only for today” attitude. Our past is always with us (in the form of memory, history, tradition, etc.), and it provides a context for the “living present.” We live “in the present,” but also “out of the past;” and to live well now, we cannot afford to “forget” the past. A fully meaningful human existence must be “lived now,” but with continual reference to the past: we must continue to affirm “that which has been good,” and we must work to eliminate or to avoid “that which has been bad.” Moreover, a full human existence must be lived, not only in-the-present-out-of-the-past, but also in- the-present-toward-the-future. The human present opens toward the future. “Today” must always be lived with a concern for “tomorrow,” for we are continually moving toward the future, whether we like it or not. Further, we are “called” into this future, toward ever new possibilities; and we must, if we wish to live well, develop a “right mindfulness” which orients our present- centered consciousness toward the possibilities and challenges of the impending future. But we must “live now” with reference to both past and future.

The self, as we have seen, is characterized in part by its activity (the “I”) in response to its world, and how the individual is active with respect to his world is through his choices and his awareness of his choices. The individual experiences himself as having choices, or as being confronted with situations which require choices on his part. He does not (ordinarily) experience himself as being controlled by the world. The world presents obstacles to him, and yet he experiences himself as being able to respond to these obstacles in a variety (even though a finite variety) of ways.

One loses one’s freedom, even one’s selfhood, when one is unaware of one’s choices or when one refuses to face the fact that one has choices. From the standpoint of Mead’s description of the temporality of action and his emphasis on the importance of problematic situations in human experience, emergencies or “crises” in one’s life are of the utmost existential significance. I am a being that exists in relation to a world. As such, it is essential that I experience myself as “in harmony with” the world; and if this proves difficult or impossible, then I am thrown into a “crisis,” i.e., I am threatened with separation (Greek, krisis) from the world; and separation from the world, from the standpoint of a being- in-the-world, is tantamount to non- being. It is in this context that the loss of one’s freedom, the experience of lost autonomy, becomes a real possibility. Encountering a crisis in the process of life, the individual may well experience himself as paralyzed, as “stuck” in his situation, as patient rather than as agent of change. But it is also the case that the experience of crisis may lead to a deepened sense of one’s active involvement in the temporal unfolding of life. From Mead’s point of view, a crisis is a “crucial time” or a turning-point in individual existence: negatively, it is a threat to the individual’s continuity in and with his world; positively, it is an opportunity to redefine, broaden, and deepen the individual’s sense of self and of the world to which the self is ontologically related.

Thus, it would appear that crises may in fact undermine the sense of freedom of choice; and yet, it is also true that crises constitute opportunities for the exercise of freedom since such “breaks” or discontinuities in our experience demand that we make decisions as to what we are “going to do now.” In this way, break-downs might be viewed as break-throughs. Freedom denied on one level of experience is rediscovered at another. One must lose oneself in order to find oneself.

5. Perception and Reflection: Mead’s Theory of Perspectives

Mead’s concept of sociality, as we have seen, implies a vision of reality as situational, or perspectival. A perspective is “the world in its relationship to the individual and the individual in his relationship to the world” (The Philosophy of the Act 115). A perspective, then, is a situation in which a percipient event (or individual) exists with reference to a consentient set (or environment) and in which a consentient set exists with reference to a percipient event. There are, obviously, many such situations (or perspectives). These are not, in Mead’s view, imperfect representations of “an absolute reality” that transcends all particular situations. On the contrary, “these situations are the reality” which is the world (The Philosophy of the Act 215).

Distance Experience

For Mead, perceptual objects arise within the act and are instrumental in the consummation of the act. At the perceptual stage of the act, these objects are distant from the perceiving individual: they are “over there;” they are “not here” and “not now.” The distance is both spatial and temporal. Such objects invite the perceiving individual to act with reference to them, to “make contact” with them. Thus, Mead speaks of perceptual objects as “plans of action” that “control” the “action of the individual” (The Philosophy of the Present 176 and The Philosophy of the Act 262). Distance experience implies contact experience. Perception leads on to manipulation.

The readiness of the individual to make contact with distant objects is what Mead calls a “terminal attitude.” Terminal attitudes “are beginnings of the contact response that will be made to the object when the object is reached” (The Philosophy of the Act 161). Such attitudes “are those which, if carried out into overt action, would lead to movements which, if persevered in, would overcome the distances and bring the objects into the manipulatory sphere” (The Philosophy of the Act 171). A terminal attitude, then, is an implicit manipulation of a distant object; it stands at the beginning of the act and is an intellectual-and-emotional posture in terms of which the individual encounters the world. As present in the beginning of the act, the terminal attitude contains the later stages of the act in the sense that perception implies manipulation and in the sense that manipulation is aimed at the resolution of a problem. In terminal attitudes, all stages of the act interpenetrate.

Within the act, then, there is a tendency on the part of the perceiving individual to approach distant objects in terms of the “values of the manipulatory sphere.” Distant objects are perceived “with the dimensions they would have if they were brought within the field in which we could both handle and see them” (The Philosophy of the Act 170-171). For example, a distant shape is seen as being palpable, as having a certain size and weight, as having such and such a texture, and so forth. In perception, the manipulatory area is extended, and the distant object becomes hypothetically a contact object.

In immediate perceptual experience, the distant object is in the future. Contact with the distant object is implicit, i.e., anticipated. “The percept,” according to Mead, “is there as a promise” (The Philosophy of the Act 103). In so far as the act of perception involves terminal attitudes, the promise (or futurity) of the distant object is “collapsed” into a hypothetical “now” in which the perceiving individual and the perceptual object exist simultaneously. The temporal distance between individual and object is thus suspended; this suspension of time permits alternative (and perhaps conflicting) contact reactions to the object to be “tested” in imagination. Thus, the act may be “completed” in abstraction before it is completed in fact. In this sense, “the percept is a collapsed act” (The Philosophy of the Act 128).

The contemporaneity of individual and distant object is an abstraction within the act. In the collapsed act, time is abstracted from space “for the purposes of our conduct” (The Philosophy of the Present 177). Prior to actual manipulation, the perceiving individual anticipates a variety of ways in which a given object might be manipulated. This implicit testing of alternative responses to the distant object is the essence of reflective conduct. The actual futurity of the distant object is suspended, and the object is treated as though it were present in the manipulatory area. The time of the collapsed act, therefore, is an abstracted time that involves “the experience of inhibited action in which the goal is present as achieved through the individual assuming the attitude of contact response, and thus leaving the events that should elapse between the beginning and the end of the act present only in their abstracted character as passing” (The Philosophy of the Act 232).

Thus, in the abstracted time of the collapsed act, “certain objects cease to be events, cease to pass as they are in reality passing and in their permanence become the conditions of our action, and events take place with reference to them” (The Philosophy of the Present 177). The perceiving individual’s terminal attitudes constitute an anticipatory contact experience in which the futurity of distant objects is reduced to an abstract contemporaneity. This reduction of futurity, we have seen, is instrumental in the reflective conduct of the acting individual.

In perception, then, distant objects are reduced to the manipulatory area and become (hypothetically) contact objects. “The fundamentals of perception are the spatio-temporal distances of objects lying outside the manipulatory area and the readiness of the organism to act toward them as they will be if they come within the manipulatory area” (The Philosophy of the Act 104). Perception involves the assumption of contact qualities in the distant object. The object is removed from its actual temporal position and is incorporated in a “permanent” space which is actually the space “of the manipulatory area, hypothetically extended” (The Philosophy of the Act 185). The object, which is actually spatio-temporally distant, becomes, hypothetically and for the purposes of reflective conduct, spatio-temporally present: it is, in the perceiving individual’s assumption of the contact attitude, both “here” and “now.”

Perspectives

Early modern accounts of perception, in an attempt to ground the theories and methods of modern science in a philosophical framework, made a distinction between the “primary” and “secondary” qualities of objects. Galileo articulated the latter distinction as follows:

I feel myself impelled by the necessity, as soon as I conceive a piece of matter or corporeal substance, of conceiving that in its own nature it is bounded and figured in such and such a figure, that in relation to others it is either large or small, that it is in this or that place, in this or that time, that it is in motion or remains at rest . . . , that it is single, few or many; in short by no imagination can a body be separated from such conditions: but that it must be white or red, bitter or sweet, sounding or mute, of a pleasant or unpleasant odour, I do not perceive my mind forced to acknowledge it necessarily accompanied by such conditions; so if the senses are not the escorts, perhaps the reason or the imagination by itself would never have arrived at them. Hence I think that these tastes, odours, colors, etc., on the side of the object in which they seem to exist, are nothing but mere names, but hold their residence solely in the sensitive body; so that if the animal were removed, every such quality would be abolished and annihilated (quoted by E.A. Burtt, The Metaphysical Foundations of Modern Physical Science [Doubleday, 1932], 85-86).

Another way of putting this is to say that the primary qualities of an object are those which are subject to precise mathematical calculation, whereas the secondary qualities of the object are those which are rooted in the sensibility of the perceiving organism and which are therefore not “objectively” quantifiable. The primary qualities (number, position, extension, bulk, and so forth) are there in the object, but the secondary qualities are subjective reactions to the object on the part of the sensitive organism. A corollary of this doctrine is that the primary qualities, because they are objective, are more “knowable” than are the subjective secondary qualities.

A serious breakdown in the theory of primary and secondary qualities appeared in the critical epistemology of George Berkeley. According to Berkeley, whatever we know of objects, we know on the basis of perception. The primary as well as the secondary qualities of objects are apprehended in sensation. Moreover, primary qualities are never perceived except in conjunction with secondary qualities. Both primary and secondary qualities, therefore, are derived from perception and are ideas “in the mind.” When we “know” the primary qualities of an object, what we “know” are “our own ideas and sensations.” Thus, Berkeley calls into question the “objectivity” of the primary qualities; these qualities, it would appear, are as dependent upon a perceiving organism as are secondary qualities. The outcome of Berkeley’s radical subjectivism (which reaches its apogee in the skepticism of Hume) is an epistemological crisis in which the “knowability” of the external world is rendered problematic.

Mead’s account of distance experience offers a description of the experiential basis of the separation of primary and secondary qualities. In the exigencies of action, we have seen, there is a tendency on the part of the acting individual to reduce distant objects to the contact area. “It is this collapsing of the act,” according to Mead, “which is responsible for the so- called subjective nature of the secondary qualities . . . [of] objects” (The Philosophy of the Act 121). The contact characters of the object become the main focus within the act, while the distance characters are bracketed out (that is, held in suspension or ignored for the time being). For the purposes of conduct, “the reality of what we see is what we can handle” (The Philosophy of the Act 105). In Mead’s analysis of perception, the distinction between distance and contact characters is roughly equivalent to the traditional distinction between secondary and primary qualities, respectively. For Mead, however, the distance characters of an object are not “subjective,” but are as objective as the contact characters. Distance characters (such as color, sound, odor, and taste) are there in the act; they appear in the transition from impulse to perception and are present even in manipulation: “In the manipulatory area one actually handles the colored, odorous, sounding, sapid object. The distance characters seem to be no longer distant, and the object answers to a collapsed act” (The Philosophy of the Act 121).

Mead’s theory of perspectives is, in effect, an attempt to make clear the objective intentionality of perceptual experience. In Mead’s relational conception of biological existence, there is a mutual determination of organism and environment; the character of the organism determines the environment, just as the character of the environment determines the organism.

In his opposition to outright environmental determinism, Mead points out that the sensitivity, selectivity, and organizational capacities of organisms are sources of the control of the environment by the form. On the human level, for example, we find the phenomenon of attention. The human being selects her stimuli and thereby organizes the field within which she acts. Attention, then, is characterized by its selectivity and organizing tendency. “Here we have the organism as acting and deter mining its environment. It is not simply a set of passive senses played upon by the stimuli that come from without. The organism goes out and determines what it is going to respond to, and organizes the world” (Mind, Self and Society 25). Attention is the foundation of human intelligence; it is the capacity of attention that gives us control over our experience and conduct. Attention is one of the elements of human freedom.

The relation between organism and environment is, in a word, interactive. The perceptual object arises within this interactive matrix and is “determined by its reference to some percipient event, or individual, in a consentient set” (The Philosophy of the Act 166). In other words, perceptual objects are perspectively determined, and perspectives are determined by perceiving individuals.

Even when we consider only sense data, the object is clearly a function of the whole situation whose perspective is determined by the individual. There are peculiarities in the objects which depend upon the individual as an organism and the spatio-temporal position of the individual. It is one of the important results of the modern doctrine of relativity that we are forced to recognize that we cannot account for these peculiarities by stating the individual in terms of his environment. (The Philosophy of the Act 224).

The perceiving individual cannot be explained in terms of the so-called external world, since that individual is a necessary condition of the appearance of that world.

Mead thus abandons, on the basis of his interpretation of relativity theory, the object of Newtonian physics. But in addition to denying the concrete existence of independent objects, he also denies the existence of the independent psyche. There is nothing subjective about perceptual experience. If objects exist with reference to the perceiving individual, it is also true that the perceiving individual exists with reference to objects. The qualities of objects (distance as well as contact qualities) exist in the relation between the perceiving individual and the world. The so-called secondary sensuous qualities, therefore, are objectively present in the individual-world matrix; sensuous characters are there in a given perspective on reality.

In actual perceptual experience, the object is objectively present in relation to the individual. Whereas the relation between the world and the perceiving individual led Berkeley to a radical subjectification of experience, Mead’s relationism leads him to an equally radical objectification of experience.

Perspectives, in Mead’s view, are objectively real. Perspectives are “there in nature,” and natural reality is the overall “organization of perspectives.” There is, so far as we can directly know, no natural reality beyond the organization of perspectives, no noumena, no independent “world of physical particles in absolute space and time” (The Philosophy of the Present 163). The cosmos is nature stratified into a multiplicity of perspectives, all of which are interrelated. Perspectival stratifications of nature “are not only there in nature but they are the only forms of nature that are there” (The Philosophy of the Present 171).

The Scientific Object

Mead distinguishes two main types of perspective: (1) the perceptual perspective and (2) the reflective perspective. A perceptual perspective is rooted in the space-time world in which action is unreflective. This is the world of immediate perceptual experience. A reflective perspective is a response to the world of perceptual perspectives. The perspectives of fig trees and wasps are, from the standpoint of the trees and wasps (hypothetically considered), perceptually independent, except for certain points of intersection (that is, actual contacts). “But in the reflective perspective of the man who plants the fig trees and insures the presence of the wasps, both life-histories run their courses, and their intersection provides a dimension from which their interconnection maintains their species” (The Philosophy of the Act 185). Reflectively, the fig tree perspective and the wasp perspective form a single perspective “that includes the perspectives of both” (The Philosophy of the Act 184). The world of reflective perspectives is the world of reflective thought and action, the world of distance experience and the world of scientific inquiry. It is within the reflective perspective that the hypothetical objects of the collapsed act arise. Since Mead’s conception of distance experience has been discussed earlier, the present analysis will concentrate on the emergence of the scientific object in reflective experience.

Corresponding to the two types of perspective outlined above are two attitudes toward the perceptual objects which arise in experience. There is, first, and corresponding to the perceptual perspective, “the attitude of immediate experience,” which is grounded in “the world that is there” (The Philosophy of the Act 14). The world that is there (a phrase Mead uses over and over again) includes our own acts, our own bodies, and our own psychological responses to the things that emerge in our ongoing activity. Perceptual objects, in the world that is there, are what they appear to be in their relation to the perceiving individual.

The second attitude toward perceptual objects is that of “reflective analysis,” which attempts to set forth the preconditions of perceptual experience. This attitude corresponds to the reflective perspective. It is through reflective analysis of perceptual objects that scientific objects are constructed. Examples of scientific objects are the Newtonian notions of absolute space and absolute time, the concept of the world at an instant (absolute simultaneity), the notion of “ultimate elements” (atoms, electrons, particles), and so on. Such objects, according to Mead, are hypothetical abstractions which arise in the scientific attempt to explain the world of immediate experience. “The whole tendency of the natural sciences, as exhibited especially in physics and chemistry, is to replace the objects of immediate experience by hypothetical objects which lie beyond the range of possible experience” (The Philosophy of the Act 291). Scientific objects are not objects of experience. Science accounts for the perceptible in terms of the non- perceptible (and often the imperceptible).

There is a danger in the reflective analysis of the world that is there, namely, the reification of scientific objects and the subjectification of perceptual objects. That is, it is possible to conceive of the perceptual world as a product of organic sensitivity (including human consciousness) while the world of scientific objects is “conceived of as entirely independent of perceiving individuals” (The Philosophy of the Act 284- 285). According to Mead, this formulation of the relation between scientific objects and perceptual objects is “entirely uncritical” (The Philosophy of the Act 19). The alleged separation of scientific and perceptual objects leads to a “bifurcated nature” in which experience is cut off from reality through the dualism of primary and secondary qualities. Mead’s critique of the latter doctrine, discussed above, reveals that “the organism is a part of the physical world we are explaining” (The Philosophy of the Act 21). and that the perceptual object, with all of its qualities, is objectively there in the relation between organism and world. The scientific object, moreover, has ultimate reference to the perceptual world. The act of reflective analysis within which the scientific object arises presupposes the world that is there in perceptual experience. Scientific objects are abstractions within the reflective act and are, in effect, attempts to account for the objects of perceptual experience. And it is to the world that is there that the scientist must go to confirm or disconfirm the hypothetical objects of scientific theory.

Reflective analysis thus arises within and presupposes an unreflective world of immediate experience. And it is this immediate world “which is the final test of the reality of scientific hypotheses as well as the test of the truth of all our ideas and suppositions” (Mind, Self and Society 352). In Mind, Self and Society, Mead refers to the unreflective world as the world of the “biologic individual.” “The term,” he points out,

refers to the individual in an attitude and at a moment in which the impulses sustain an unfractured relation with the objects around him . . . . I have termed it “biologic” because the term lays emphasis on the living reality which may be distinguished from reflection. A later reflection turns back upon it and endeavors to present the complete interrelationship between the world and the individual in terms of physical stimuli and biological mechanisms [scientific objects]; the actual experience did not take place in this [hypothetical] form but in the form of unsophisticated reality (Mind, Self and Society 352, 353, emphasis added).

The world that is there is prior to the reflective world of scientific theory. The reification of scientific objects at the expense of perceptual experience is, in Mead’s view, the product of an “uncritical scientific imagination” (The Philosophy of the Act 21).

Mead’s analysis of the scientific object is an attempt to establish the actual relation between reflective analysis and perceptual experience. His aim is to demonstrate the objective reality of the perceptual world. He does not, however, deny the reality of scientific objects. Scientific objects are hypothetical objects which are real in so far as they render the experiential world intelligible and controllable. Harold N. Lee, in discussing Mead’s philosophy, points out that “the task of science is to understand the world we live in and to enable us to act intelligently within it; it is not to construct a new and artificial world except in so far as the artificial picture aids in understanding and controlling the world we live in. The artificial picture is not be substituted for the world” (Lee 56, emphasis added). Scientific knowledge is not final, but hypothetical; and the reality of scientific objects is, therefore, hypothetical rather than absolute.

Reflective conduct takes place with reference to problems that emerge in the world that is there, and the construction of scientific objects is aimed at solving these problems. Problematic situations occur within the world that is there; it is not the entire world of experience that becomes problematic, but only aspects of that world. And while the scientific attitude is “ready to question everything,” it does not “question everything at once” (Selected Writings 200). “The scientist,” according to Mead, “always deals with an actual problem;” he does not question “the whole world of meaning,” but only that part of the world which has come into conflict with accepted doctrine. The unquestioned aspects of the world “form the necessary field without which no conflict can arise.” “The possible calling in question of any content, whatever it may be, means always that there is left a field of unquestioned reality” (Selected Writings 205). It is to this field of unquestioned reality that the scientist returns to test his reconstructed theory. “The world of the scientist is always there as one in which reconstruction is taking place with continual shifting of problems, but as a real world within which the problems arise” (Selected Writings 206, emphasis added).

6. Philosophy of History

a. The Nature of History

History, according to Mead, is the collective time of the social act. Historical thought arises in response to emergent events (crises, new situations, unexpected disruptions) that are confronted in community life. Mead’s general description of experiential time holds with reference to the time of historical experience: the continuity of experience is rendered problematic by the emergent event; present and future are cut off from each other, and the past (both in terms of its content and of its meaning) is called into question; the past is reconstructed in such a way that the emergent event is seen as continuous with the past. In this manner, the present difficulty becomes intelligible, and the emergent discontinuity of experience is potentially resolvable. Historical thought is a reconstruction of a communal past in an attempt to understand the nature and significance of a communal present and a (potential) communal future. Historical accounts are never final since historical thought continually restates the past in terms of newly emergent situations in a present that opens upon a future.

Human life is an ongoing process that is temporally structured. The existential present, the “now” within which we act, is dynamic and implies a past and a future. The notion of the world at an instant (the knife-edge present) is, according to Mead, an abstraction within the act which may be instrumental in the pursuit of consummation; but as a description of concrete experience, the knife-edge present is a specious present. The specious present is not the actual present of ongoing experience. The present, in Mead’s words, “is something that is happening, going on” (Movements of Thought in the Nineteenth Century 300). “Our experience is always a passing experience, and . . . this passing experience always involves an extension into other experiences. It is what has just happened, what is going on, what is just appearing in the future, that gives to our experience its peculiar character. It is never an experience just at an instant. There is no such thing as the experience of a bare instant as such” (Movements of Thought in the Nineteenth Century 299). Human experience is fundamentally dynamic, and human life is built on a temporal foundation.

The emergent event is the foundation of novelty in experience. This novelty is characteristic, not only of the present, but also of the past and future. The future, on the one hand, lies beyond the emergent present; and the novelty of the future takes the form of the unexpected. The emergent event creates a future that comes to us as a surprise. The past, on the other hand, must be reinterpreted in the light of the emergent event; the result of such reinterpretation is nothing less than a new past. Consciousness of the past develops in response to emergent events that alter our sense of temporal relationships.

We find that each generation has a different history, that it is a part of the apparatus of each generation to reconstruct its history. A different Caesar crosses the Rubicon not only with each author but with each generation. That is, as we look back over the past, it is a different past. The experience is something like that of a person climbing a mountain. As he looks back over the terrain he has covered, it presents a continually different picture. So the past is continually changing as we look at it from the point of view of different authors, different generations. It is not simply the future [and present] which is novel, then; the past is also novel (Movements of Thought in the Nineteenth Century 116-117).

History is the reconstruction of the past in response to a new present that opens toward a new future. This emphasis on the novelty of human experience pervades Mead’s thought. Science, according to Mead, thrives on novelty. Scientific inquiry is, in essence, a response to exceptions to laws. While science, on the one hand, defines knowledge as “finding uniformities, finding rules, laws” (Movements of Thought in the Nineteenth Century 270), it also, on the other hand, seeks to upset all uniformities, rules, and laws through the quest for novelty. Scientific inquiry arises out of the conflict between what was expected to happen and what actually happens; contradictions in experience are the starting- points for the scientific reconstruction of knowledge (Mead, Selected Writings 188).

Science, for Mead, is a continual reconstruction of our conception of the world in response to novel situations. Mead’s slogan for science is, “The law is dead; long live the law!” (Movements of Thought in the Nineteenth Century 286). Science is a form of human existence, a way of moving with the changes that emerge before us. Science is essentially “a method, a way of understanding the world” (Movements of Thought in the Nineteenth Century 288).

History is the science of the human past. Historical inquiry presents the past “on the basis of actual documents and their interpretation in terms of historical criticism” (Movements of Thought in the Nineteenth Century 448). But the historical past, as we have seen, is not independent of present and future. Historical inquiry, like scientific inquiry in general, takes place in a present that has become problematic through the occurrence of an emergent event. An ancient village is unearthed in Asia Minor, and the rise of human civilization is suddenly pushed back five thousand years in time; the demand on the part of African-Americans for liberty and identity leads to a revaluation of black culture in terms of its historical roots.

In Mead’s conception of historical method, the past is in the present and becomes meaningful in the present. As Tonness has suggested, the past is not “a metaphysical reality accessible to present activity,” but an “epistemological reference system” which gives coherence to the emerging present (606). Historical thought reconstructs the past continually in an attempt to reveal the cognitive significance of present and future.

It is not only the content of the past that is subject to change. Past events have meanings that are also changed as novel events emerge in ongoing experience. The meaning of past events is determined by the relation of those events to a present. The elucidation of such meaning is the task of historical thought and inquiry. An historical account, as we have seen, is true to the extent that the present is rendered coherent by reference to past events. Historical thought reinterprets the past in terms of the present. But this reinterpretation is not capricious. The historical past arises in the reexamination and representation of evidence. Historical accounts must be documented. No historical account, however, is final. The meaning of the past is always open to question; any given interpretation of the past may be criticized from the standpoint of a different interpretation.

Historical truth, in Mead’s view, is relative truth. The meaning of the past changes as present slides into present (The Philosophy of the Present 9) and as different individuals and groups are confronted with new situations that demand a temporal reintegration of experience. A new present suggests a new future and demands a new past. This interdependence of past, present, and future is the essential character of human temporality and of historical consciousness.

b. History and Self-Consciousness

In Movements of Thought in the Nineteenth Century, Mead offers the Romantic movement of the late 18th and 19th centuries as an example of the present and future orientation of human inquiries into the past. Mead’s description of the Romantics’ reconstruction of self-consciousness on the basis of a reconstructed past is a concrete illustration of his conception of historical consciousness as developing with reference to a problematic present. The Romantic historians and philosophers, confronted with the disruption of experience, which was the result of the early modern revolutionary period, turned to the medieval past in an effort to redefine the historical and cultural identity of European man. The major characteristic of Romantic thought, according to Mead, was an attempt to redefine European self- consciousness through the re-appropriation of the historical past. “It was the essence of the Romantic movement to return to the past from the point of view of the self-consciousness of the Romantic period, to become aware of itself in terms of the past” (Movements of Thought in the Nineteenth Century 447- 448). The European had been cut off from his past by the political and cultural revolutions of the 16th, 17th, and 18th centuries; and in the post-revolutionary world of the early 19th century, the Romantic movement represented the European quest for a reconstructed identity. It was history that provided the basis for this reconstruction.

The Revolt of Reason Against Authority

The idea of rationality has played a central role in modern social theory. The revolt against arbitrary authority “came on the basis of a description of human nature as having in it a rational principle from which authority could proceed” (Movements of Thought in the Nineteenth Century 12). Thus, the aim of modern social theory has been to root social institutions in human nature rather than in divine providence. The doctrine of the rights of man and the idea of the social contract, for example, were brought together by Hobbes, Locke, and Rousseau in an effort to ground political order in a purely human world. Society was conceived as a voluntary association of individuals; and the aim of this association was the preservation of natural rights to such goods as life, liberty, and property. Social authority, then, was derived from the individuals who had contracted to live together and to pursue certain human goals. This analysis of society was at the root of the revolutionary social criticism of the eighteenth century.

When men came to conceive the order of society as flowing from the rational character of society itself; when they came to criticize institutions from the point of view of their immediate function in preserving order, and criticized that order from the point of view of its purpose and function; when they approached the study of the state from the point of view of political science; then, of course, they found themselves in opposition to the medieval attitude which accepted its institutions as given by God to the church (Movements of Thought in the Nineteenth Century 13-14).

But the outcome of “the revolution,” according to Mead, was not what the philosophers of the age of reason had expected. The institutions of the medieval past (e.g., monarchy, theocracy, economic feudalism) were either eliminated or severely limited in their scope and power. But the new regime contained reactionary elements of its own. The victorious bourgeoisie began to build a new class society based on the dialectic of capital and labor; and in this new society, the rights of man came to be conceived in terms of the successful struggle for economic power (Movements of Thought in the Nineteenth Century 223). Each man came to be viewed as “an economic unit,” and the freedom of man became the freedom to compete for profits in the market (Movements of Thought in the Nineteenth Century 217).

The initial effects of the rise of capitalist society were disastrous for the working classes. “When labor was brought into the factory centers, there sprang up great cities in which men and women lived in almost impossible conditions. And there sprang up factories built around the machine in which men, women, and children worked under ever so hideous conditions” (Movements of Thought in the Nineteenth Century 206). This situation was rationalized by an ideology that defined human rights in terms of economic competition and that “regarded industry as that which provided the morale of a laborer community” (Movements of Thought in the Nineteenth Century 207).

Under such conditions, the rights and liberties for which “the revolution” had been fought became more ideological than real. It was only after the subsequent rise of the trade union and socialist movements that the contradiction between ideology and reality began to be transcended.

While “the revolution” was at least partially fulfilled in England and America, it was, from the standpoint of the early nineteenth century, a total failure on the European continent. The French Revolution deteriorated into a period of political terror that laid the foundation for the emergence of Napoleon’s imperialism. The ideals of liberty, equality, and fraternity proved inadequate as bases for a fully rational society.

These ideals, in Mead’s view, are politically naive. The concept of freedom is negative; it is a demand “that the individual shall be free from restraint” (Movements of Thought in the Nineteenth Century 22). In the actual political world, where there is a conflict of wills, the concept of freedom falls into contradiction with itself. The freedom of one individual or group often infringes upon the freedom of another individual or group (Movements of Thought in the Nineteenth Century 22).

The concept of equality, which demands that “each person shall have . . . the same political [and perhaps economic] standing as every other person” (Movements of Thought in the Nineteenth Century 23), is also far removed from the actual conditions of political and economic life. According to Mead, any society is a complex organization of many individuals and groups. These individuals and groups possess varying degrees of power and prestige. Given this situation, the concept of equality is at most an ideal to be pursued; but it is not a description of what goes on the in the concrete social world.

Similarly, the ideal of fraternity, the idea of the comradeship of all humanity, is “much too vague to be made the basis for the organization of the state.” The concept of fraternity ignores the fact that, all too often, “people have to depend upon their sense of hostility to other persons in order to identify themselves with their own group” (Movements of Thought in the Nineteenth Century 24).

The ideals of liberty, equality, and fraternity are, from Mead’s standpoint, abstract ideals that could not survive the post-revolutionary struggles for political supremacy and the control of property.

The Romantic movement emerged in the aftermath of the failure of “the revolution.” “There came a sense of defeat, after the breakdown of the Revolution, after the failure to organize a society on the basis of liberty, equality, and fraternity. And it is out of this sense of defeat that a new movement arose, a movement which in general terms passes under the title of ‘romanticism'” (Movements of Thought in the Nineteenth Century 57). The failure of “the revolution” left Europe in confusion. The European’s ties to his medieval past had been severed, but his revolutionary hopes had not been realized. He was caught between two worlds. He could not be sure of his identity. His sense of self was in crisis. The Romantic movement was an attempt to overcome this crisis by returning to and reconstructing the European past. Romanticism, then, was an effort to reestablish the continuity between the past, present, and future of European culture.

Romantic Self-Consciousness

The Romantic conception of the self was an outgrowth of Kant’s critique of associationism. “What took place in the Romantic period along a philosophical line was to take this [the?] transcendental unity of apperception, which was for Kant a bare logical function, together with the postulation of the self which we could not possibly know but which Kant said we could not help assuming, and compose them into the new romantic self” (Movements of Thought in the Nineteenth Century 67). The Romantic self, however, was not conceived of as transcendental. The Romantics did not “postulate” the self; they asserted it “as something which is directly given in experience” (Movements of Thought in the Nineteenth Century 86). The Romantics agreed with Kant that the self is the basis of all knowledge and judgment. But while the Kantian self had been developed as a regulative concept in the attempt to render experience intelligible, the Romantic self was held to be actually constitutive of experience. The Romantics, Mead argues, established “the existence of our self as the primary fact. That is what we insist upon. That is what gives the standard to values. In that situation the self puts itself forward as its ultimate reality” (Movements of Thought in the Nineteenth Century 62). Thus, for the Romantics, knowledge of the self was not only possible, but was viewed as the highest form of knowledge.

At the heart of the Romantic preoccupation with self-consciousness was the question of the relation between subject and object. This question, we have seen, is also a central concern in Mead’s ontology and epistemology. Philosophically, the Romantic analysis of the subject- object relation arose in relation to what Mead calls “the age-old problem of knowledge: How can one get any assurance that that which appears in our cognitive experience is real?” (Movements of Thought in the Nineteenth Century 80). The early modern revolt of reason against authority had ended in a skepticism which, Mead writes, “shattered all the statements, all the doctrines, of the medieval philosophy. It had even torn to pieces the philosophy of the Renaissance. It had [with Hume’s analysis of causation] shattered the natural structure of the world which the Renaissance science had presented in such simplicity and yet such majesty, that causal structure that led Kant to say that there were two things that overwhelmed him, the starry heavens above and the moral law within” (Movements of Thought in the Nineteenth Century 80). The Romantics were reacting against this skeptical attitude. They approached the problem of knowledge from the standpoint of the self. The self, for the Romantics, was the pre-condition of experience; and experience, therefore, including the experience of objects, was to be understood in relation to the self. The epistemological problem of Romantic philosophy was to assimilate the not-self to the self, to encompass the objective world within the subjective world, to make the universe- at-large an intimate part of self-consciousness.

Self-consciousness, as was pointed out above, operates in the “reflexive mode.” In self- consciousness, the self appears as both subject and object. We can be conscious of our consciousness. Mead points out that this reflexivity of consciousness is the foundation of Descartes’ affirmation of the existence of the self. But Romantic self-consciousness goes beyond the Cartesian cogito in observing that “the self does not exist except in relation to something else” (Movements of Thought in the Nineteenth Century 74). Self implies not-self; subject implies object. For every subject, there is an object; and for every object, there is a subject. “There cannot be one without the other” (Movements of Thought in the Nineteenth Century 78).

The latter insight of Romantic thought is reflected, in a different form, in Mead’s doctrine of perspectives. The Romantic view of the object as a constitutive element in experience marks a movement away from Cartesian subjectivism and toward the objectification of experience that occurs in Mead’s perspectivism. “For Descartes, I am conscious and therefore exist; for the romanticist, I am conscious of myself and therefore this self, of which I am conscious, exists and with it the objects it knows. The object of knowledge, in this mode at least, is given as there with the same assurance that the thinker is given in the action of thought” (Movements of Thought in the Nineteenth Century 83).

Romanticism, then, as Mead presents it, is not an extreme subjectivism. “The romantic attitude is rather the externalizing of the self. One projects one’s self into the world, sees the world through the guise, the veil, of one’s own emotions. That is the essential feature of the Romantic attitude” (Movements of Thought in the Nineteenth Century 75). The world exists in relation to the self; but the world is (objectively) there as a necessary structure of human experience. Self and not-self, subject and object, are not contradictories, but dialectical polarities.

Another aspect of Romantic self-consciousness is the view that the self is a dynamic process. The polarity of self and not-self is not a static structure, but an ongoing relationship, “something that is going on” (Movements of Thought in the Nineteenth Century 88).”The very existence of the self,” Mead writes,

implies a not-self; it implies a not-self which can be identified with the self. You have seen that the term “self” is a reflexive affair. It involves an attitude of separation of the self from itself. Both subject and object are involved in the self in order that it may exist. The self must be identified, in some sense, with the not-self. It must be able to come back at itself from the outside. The process, then, as involved in the self is the subject-object process, a process within which both of these phases of experience lie, a process in which these different phases can be identified with each other — not necessarily as the same phase but at least as expressions of the same process (Movements of Thought in the Nineteenth Century 88).

The upshot of this point of view, according to Mead, is an activist or pragmatic conception of mind and knowledge. Knowing is a process involving the interaction of self and not-self. Knowledge is a result of a process in which the self takes action with reference to the not-self, in which the not-self is appropriated by the self. In this analysis of the Romantic epistemology, the germ of Mead’s own “philosophy of the act” is apparent. The interaction of self and not-self is the foundation, not only of our knowledge of the world, but also of our knowledge of the self. Self-consciousness requires the objectification of the self. The Romantic elucidation of the polarity of self and not-self makes self-objectification (and therefore self- consciousness) theoretically comprehensible. In action toward the not-self, self-discovery becomes possible.

The world, according to Mead, “is organized only in so far as one acts in it. Its meaning lies in the conduct of the individual; and when one has built up his world as such a field of action, then he realizes himself as the individual who carried out that action. That is the only way in which he can achieve a self. One does not get at himself simply by turning upon himself the eye of introspection. One realizes himself in what he does, in the ends which he sets up, and in the means he takes to accomplish those ends” (Movements of Thought in the Nineteenth Century 90). The world is a field of action. In this field, there are tasks to be accomplished; and it is through the accomplishing of tasks, through the appropriation of the not-self by the self, that the self is enlarged and actualized.

Thus, in Mead’s analysis, philosophical Romanticism provides a theoretical description of the conditions under which self-consciousness is possible. The fundamental condition of self-consciousness, as we have seen, is self- objectification. However, for Mead, the basic process of self-objectification takes place in interpersonal experience. “We have to realize ourselves by taking the role of another, playing the part of another, taking the attitude of the community toward ourselves, continually seeing ourselves as others see us, regarding ourselves from the standpoint of those about us. This is not the self- consciousness that goes with awkwardness and uneasiness. It is the assured recognition of one’s own position, one’s social relations, that comes from being able to take the attitude of others toward ourselves” (Movements of Thought in the Nineteenth Century 95). This interpretation of self- consciousness, which is the essence of Mead’s theory of the self, has its roots in the Romantic analysis of the relation between self and not-self.

History and Romantic Self-Consciousness

There is a close connection between historical consciousness and self- consciousness in Romantic thought. The Romantic movement arose out of the failure of the bourgeois revolution. The hopes of the age of reason had not been realized, and the European was faced with a crisis in his sense of historical identity. Romantic consciousness, Mead argues, was a “discouraged” consciousness. In reaction to a disappointing present, the Romantics looked back to the Middle Ages for a model of life that carried with it a certain security. But the bourgeois revolution, for all its failures, had created a new concept of the individual. Post- revolutionary man “looked at himself as having his own rights, regarded himself as having his own feet to stand on.” In the Romantic period, European man experienced himself as an individual. “This gave him a certain independence which he did not have before; it gave him a certain self- consciousness that he never had before” (Movements of Thought in the Nineteenth Century 59-61). Thus,

Europe discovered the medieval period in the Romantic period . . . ; but it also discovered itself. In fact, it discovered itself first. Furthermore, it discovered the apparatus by means of which this self-discovery was possible. The self belongs to the reflexive mode. One senses the self only in so far as the self assumes the role of another so that it becomes both subject and object in the same experience. This is the thing of great importance in this whole historical movement (Movements of Thought in the Nineteenth Century 63).

The Romantic view of the Middle Ages, then, arose with reference to a problematic present and constituted an attempt on the part of European man to reconstruct the continuity of his experience. This reconstruction of historical time — which is, as suggested above, a collective time — resulted in the creation of a new sense of collective identity. The Romantic conception of the medieval past developed as an effort to redefine the self. European man had, in a sense, lost his self, and he turned to history in an attempt to recapture his sense of continuity. “What the Romantic period revealed, then, was not simply a past, but a past as the point of view from which to come back upon the self. One has to grow into the attitude of the other, come back to the self, to realize the self . . . . ” (Movements of Thought in the Nineteenth Century 60).

Romanticism, in Mead’s view, “is a reconstruction of the self through the self’s assuming the roles of the great figures of the past” (Movements of Thought in the Nineteenth Century 62). In placing oneself at the standpoint of others in the past, one can view oneself in a new light. Here, Mead reveals still another form of experience — historical experience — in which the self might be objectified. “That is, the self looked back at is own past as it found it in history. It looked back at it and gave the past a new form as that out of which it had sprung. It put itself back into the past. It lived over again the adventures and achievements of those old heroes with an interest which children have for the lives of their parents — taking their roles and realizing not only the past but the present itself in that process” (Movements of Thought in the Nineteenth Century 69). In the Romantic search for the “historical connections” between past and present, a new past was created, and, with it, a new sense of “how the present had grown out of the past” emerged. History, viewed from the standpoint of Romantic self-consciousness, became the description of “an organized past” which rendered the problematic present of the Romantic period intelligible. Romantic self- consciousness turned to the past, reconstructed the past, and made the past one of the main foundations of the self. Romantic self-consciousness was thereby expanded and deepened through historical consciousness. We might say that the Romantic movement reconstructed western self-consciousness through a reconstruction of western historical consciousness.

The bourgeois revolution had sundered the connection between the past and present of early 19th century Europe and had left the future in question. It was the task of the Romantic movement to redefine European self- consciousness by way of a reconstruction of the continuity of historical time. In so doing, the Romantic movement revealed the present-directedness and future- directedness of historical consciousness and developed, by the way, an historically significant conception of the self as rooted in the experience of time.

c. History and the Idea of the Future

The idea of evolution is central in Mead’s philosophy. For Mead, experience is fundamentally processual and temporal. Experience is the undergoing of change. Mead’s entire ontology is an expression of evolutionary thinking. His concept of reality-as- process is ecological in structure and dynamic in content. Nature is a system of systems, a multiplicity of “transacting” fields and centers of activity. The relation between organism and environment (percipient event and consentient set) is mutual and dynamic. Both organism and environment are active: the activity of the organism alters the environment, and the activity of the environment alters the organism. There is no way of separating the two in reality, no way of telling which is primary and which secondary. Thus, Mead’s employment of the concept of evolution is an aspect of his attempt to avoid the behavioristic and environmentalist determinism that would regard the organism as passive and as subject to the caprices of nature.

History as Evolution

Mead’s concept of evolution is stated in social terms. In Mead’s ontology, the entire realm of nature is described as social. The ontological principle of sociality is a fundamentally evolutionary concept that describes reality as a process in which percipient events adjust to new situations and adapt themselves to a variety of consentient sets.

Mind, as an emergent in the social act of communication, “lies inside of a process of conduct” (Movements of Thought in the Nineteenth Century 345) and is temporally structured. Reflective intelligence is the peculiarly human way of overcoming the conflicts in experience; it is called into play when action is inhibited, and it has reference to a future situation in which the inhibition is overcome (Mind, Self and Society 90). And since, as we have seen, the reconstruction of the past is an important element in the temporal organization of human action, historical consciousness becomes a significant instrument in the human evolutionary process. Historical thought redefines the present in terms of a reinterpreted and reconstructed past and thereby facilitates passage into the future.

Human existence, then, is described by Mead in terms of evolution, temporality, and historicity. Human life involves a constant reconstruction of reality with reference to changing conditions and newly emergent situations. This process of evolutionary reconstruction, according to Mead, is evident in institutional change. The historical consciousness fostered by the Romantic movement has permitted us to view human institutions as “structures which arose in a process, and which simply expressed that process at a certain moment” (Movements of Thought in the Nineteenth Century 149). For Mead, the ideas of process and structure do not exclude each other, but are related dialectically in actual historical developments. Historical thought, then, becomes one way of getting into “the structure, the movement, the current of the process” (Movements of Thought in the Nineteenth Century 149).

Historical consciousness is a way of comprehending change. But it is also a way of fostering change; that is, by comprehending the direction of historical change, one can place oneself within a given current of change and pursue the historical success of that current. In this way, the historically minded individual or group can contribute to the development of new structures within the process of time. This, as Mead points out, is a way of “carrying over revolution into evolution” (Movements of Thought in the Nineteenth Century 149).

Mead’s conception of historical consciousness is rooted in his view of intelligence as the reconstruction of human experience in response to “new situations.” As has been shown earlier, Mead views the novel event as the basis of intelligent conduct. “If there were no new situations, our conduct would be entirely habitual . . . . Conscious beings are those that are continually adjusting themselves, using their past experience, reconstructing their methods of conduct . . . . That is what intelligence consists in, not in finding out once and for all what the order of nature is and then acting in certain prescribed forms, but rather in continual readjustment” (Movements of Thought in the Nineteenth Century 290). The historical resort to the past has reference to new situations that emerge in a present and that suggest a future. Human thought, including historical consciousness, is a confrontation with novelty and is aimed at passing from a problematic present to a non-problematic future. And the past is called in and reconstructed in relation to this project of coming to grips with the novelty of experience. “When what emerges is novel, the explanation of this novelty is sought in an order of events in the past which was not previously recognized” (Mead, “Relative Space-Time and Simultaneity” 529). Historical consciousness, as we have seen in the case of the Romantic movement, is instrumental in redefining and maintaining the temporal continuity of human experience.

Novelty, for Mead, is the foundation of consciousness, intelligence, and the freedom of conduct; it is the ground of human experience. “As far as experience is concerned, if everything novel were abandoned, experience itself would cease” (Movements of Thought in the Nineteenth Century 290). Human experience is temporal, and, as such, it “involves the continual appearance of that which is new.” Thus, “we are always advancing into a future which is different from the past” (Movements of Thought in the Nineteenth Century 290). The future is open, and in acting toward the future, man becomes an active agent in the formulation of his own existence.

Although reality always exists in a present, the telos of this reality is to be found in the future. In Mead’s view, the future is a factor, perhaps the main factor, in directing our conduct. It is the nature of intelligent conduct to be future-directed. “We are moving on, in the very nature of the case, in a process in which the past is moving into the present and into the future” (Movements of Thought in the Nineteenth Century 509).

Human-directedness-toward-the-future is the foundation of freedom. The mechanistic view of the world is inadequate as an account of freedom; in fact, mechanism, since it denies the possibility of final causes and attempts to explain everything in terms of efficient causes, must deny the possibility of freedom. And yet, the “essence of conduct” is that “it is directed toward goals, ends which, while not yet actual, are operative in the determination of the directions which conduct shall take” (Movements of Thought in the Nineteenth Century 317).

Goals, unlike efficient causes, are selected by the organism; and our selection of goals is not explicable (or predictable) on the basis of efficient causes. Thus, “the interpenetration of experience does go into the future. The essence of reality involves the future as essential to itself . . . . The coming of the future into our conduct is the very nature of our freedom” (Movements of Thought in the Nineteenth Century 317).

Human action is action toward the future. The past does not determine (although it does condition) human conduct; it is, rather, human conduct that determines the past. Human action takes place in a present that opens on the future, and it is in terms of the emergent present and impending future that the content and meaning of the past are determined. Human acts are teleological rather than mechanical. Thus, as Strauss indicates, Mead’s evolutionism permits him “to challenge mechanical conceptions of action and the world and to restate problems of autonomy, freedom and innovation in evolutionary and social rather than mechanistic and individualistic terms” (xviii).

The Ideal of History

Although Mead describes human existence as evolving toward an open future that cannot be prefigured with any finality, he does not ignore the fact that there are ideals that are operative in directing human action. “Cognizant of social realities and wary of utopian panaceas, [writes Reck,] resorting to the method of science in questions of morality rather than to authoritative religions or traditional customs, aware that men consist of impulses and instincts as well as of intelligence, Mead nevertheless discerned that there are ideal ends that operate as standards and goals for human conduct” (“Introduction” xl). That many of the ideal ends humans have pursued have been naive (that is, at odds with the realities of social and political life) is clear in Mead’s criticism of the notions of liberty, equality, and fraternity. Attempts to convert such ideals into realities have often met with frustration in the ironies of history. It is for this reason that Mead argues that ideal ends, in some sense, must be grounded in historical reality; otherwise they become either fanciful wishes or mere ideological and rhetorical pronouncements.

Of the many ideals that have influenced human conduct, Mead selects one for special consideration: the ideal of the universal community. This ideal has appeared time and again in the history of human thought and is, in Mead’s view, “the ideal or ultimate goal of human social progress” (Mind, Self and Society 310). The ideal of the universal community is, then, the ideal of history. According to this ideal, the goal of history is the establishment of “a society in which everyone is going to recognize the interests of everyone else,” a society “in which the golden rule is to be the rule of conduct, that is, a society in which everyone is to make the interests of others his own interest” (Movements of Thought in the Nineteenth Century 362). The vision of the universal community is, in fact, the basis of the philosophy of history as a distinctive form of thought. “A philosophy of history arose as soon as men conceived that society was moving toward the realization of triumphant ends in some great far-off event. It became necessary to relate present conduct and transient values to the ultimate values toward which creation moved” (The Philosophy of the Act 504). This is the eschatological vision that is at the root of the historical conceptions of St. Paul, St. Augustine, Hegel, Marx, Herbert Spencer, and as we shall see, of Mead himself.

The ideal of the universal community is, however, “an abstraction” in as much as it is not actualized in the concrete world. In the life of the realities of political and social conflict (e.g., the conflict between private and public interests), the ideal of the universal community stands outside of history. And yet, this ideal is, in a sense, an historical ideal; that is, the ideal of the universal community, although not explicit in history, is, according to Mead, implicit in the historical process. The ideal is, on the one hand, operative in the hopes of mankind, and, on the other hand, it is potentially present in certain concrete historical forces. Among these historical forces, Mead finds three of particular importance: (1) the universal religions; (2) universal economic processes; and (3) the process of communication.

Both economic processes and universal religions tend toward a universal community. Religious and economic attitudes tend potentially toward “a social organization which goes beyond the actual structure in which individuals find themselves involved” (Mind, Self and Society 290). Commerce and love are both potentially universalizing ideas, and both have been significant factors in the development of human societies. The forces of exchange and love know no boundaries; all men are included (although abstractly) in the community of exchange and love. Although the religious attitude is a more profound form of identifying with others, the economic process, precisely because of its relative superficiality, “can travel more rapidly and make possible easier communication.” “It is important to recognize,” Mead writes, that these religious and economic developments toward a universal community are “going on in history” (Mind, Self and Society 296-197). That is, the movement toward a universal community is an immanent process and not merely an abstract idea. Human history seems to imply a universal community.

A third historical force that implies universality is the process of communication, to which Mead devotes so much of his attention in his various works. Language, as we have seen, is the matrix of social coordination. A linguistic gesture is an action which implies a response from another and which is dependent for its meaning on that response. The process of communication is a way of gesturing toward others, a way of transcending oneself, a way of taking the role of another. The linguistic act both presupposes and implies a human community of unspecified and unlimited extension.

“Language,” according to Mead, “provides a universal community which is something like the economic community” (Mind, Self and Society 283). It is through significant communication that the individual is able to generalize her experience to include the experiences of others. The world of “thought and reason” that emerges out of the social act of communication is, almost by definition, transpersonal and therefore verges toward the universal. Social organization and social interaction require a commonality of meaning, a “universe of discourse,” within which individual acts can take on significance (Mind, Self and Society 89-90). The process of significant communication is the source of this universe of discourse.

It is Mead’s contention that “the thought world” created in significant communication constitutes the widest of human communities to date. The group “defined by the logical universe of discourse” is that which is the most general of all human groups — the one that “claims the largest number of individual members.” This group is based on “the universal functioning of gestures as significant symbols in the general human social process of communication” (Mind, Self and Society 157-158). This universalizing tendency of language comes closer to the realization of the ideal community than do the religious and economic attitudes. These latter, moreover, actually presuppose the communicational process: religion and economics organize themselves as social acts on the basis of communication.

Mead thus states the ideal of history in primarily communicational terms:

The human social ideal . . . is the attainment of a universal human society in which all human individuals would possess a perfected social intelligence, such that all social meanings would each be similarly reflected in their respective individual consciousnesses — such that the meanings of any one individual’s acts or gestures (as realized by him and expressed in the structure of his self, through his ability to take the social attitudes of other individuals toward himself and toward their common social ends or purposes) would be the same for any other individual whatever who responded to them(Mind, Self and Society 310).

Mead’s vision seems to imply a society of many personalities (Mind, Self and Society 324-325) in perfect communication with one another. Every person would be capable of putting herself into the place of every other person. Such a system of perfect communication, in which the meanings of all symbols are fully transparent, would realize the ideal of a universal human community.

Mead recognizes, of course, how far we are from realizing the universal community. Our religions, our economic systems, and our communicational processes are severely limited. At present, these historical forces separate us as much as they unite us. All three, for example, are conditioned by another historical force which has a fragmenting rather than a universalizing effect on modern culture, namely, nationalism (see Mead, Selected Writings 355- 370). Mead points out that “the limitation of social organization is found in the inability of individuals to place themselves in the perspectives of others, to take their points of view” (The Philosophy of the Present 165). This limitation is far from overcome in contemporary life. And “the ideal human society cannot exist as long as it is impossible for individuals to enter into the attitudes of those whom they are affecting in the performance of their particular functions” (Mind, Self and Society 328). Contemporary culture is a world culture; we all affect each other politically, culturally, economically. Nonetheless, “the actual society in which universality can get its expression has not risen” (Mind, Self and Society 267).

But it is also true that the ideal of the universal community is present by implication in our religions, in our economic systems, and in our communicational acts. The ideal is there as a directive in human history. It implies an evolution toward an ideal goal and informs our conduct accordingly.

Mead’s social idealism is not utopian, but historical. The ideal of history, the ideal of the universal community, is “an ideal of method, not of program. It indicates direction, not destination” (The Philosophy of the Act 519). And in so far as this ideal informs our actual conduct in the historical world, it is a concrete rather than an abstract universal (The Philosophy of the Act 518-519). The ideal of history is both transcendent and immanent; it is rooted in the past and present, but leads into the future which is always awaiting realization.

Historical thought, then, for Mead, is instrumental in the evolution of human society. It is through the constant reconstruction of experience that human intelligence and human society are expanded. Mead’s evolutionary conception of human history is clearly a progressive notion which he seeks to document throughout his writings. There is implicit in human history a tendency toward a larger and larger sense of community. The ultimate formulation of this historical tendency is found in the ideal of the universal community. This ideal is not purely abstract (that is, extra-historical), but is rooted in actual historical forces such as the universal religions, modern economic forces, and the human communicational process. According to Mead, it is this ideal of the universal community that informs the human evolutionary process and that indicates the implicit direction or teleology of history.

7. References and Further Reading

a. Primary Sources

Books

  • Mind, Self, and Society, ed. C.W. Morris (University of Chicago 1934)
  • Movements of Thought in the Nineteenth Century, ed. M.H. Moore (University of Chicago 1936)
  • The Philosophy of the Act, ed. C.W. Morris et al. (University of Chicago 1938).
  • The Philosophy of the Present, ed. A.E. Murphy (Open Court 1932)
  • Selected Writings, ed. A.J. Reck (Bobbs-Merrill, Liberal Arts Press, 1964).

Articles

  • “A Behavioristic Account of the Significant Symbol,” Journal of Philosophy, 19 (1922): 157-63.
  • “Bishop Berkeley and his Message,” Journal of Philosophy, 26 (1929): 421- 30.
  • “Concerning Animal Perception,” Psychological Review, 14 (1907): 383- 90.
  • “Cooley’s Contribution to American Social Thought,” American Journal of Sociology, 35 (1930): 693-706.
  • “The Definition of the Psychical,” Decennial Publications of the U. of Chicago, 1st Series, Vol. III (1903): 77-112.
  • “The Genesis of the Self and Social Control,” International Journal of Ethics, 35 (1925), pp. 251-77.
  • “Image or Sensation,” Journal of Philosophy, Psychology and Scientific Method, 1 (1904): 604-7.
  • “The Imagination in Wundt’s Treatment of Myth and Religion,” Psychological Bulletin, 3 (1906): 393-9.
  • “Josiah Royce – A Personal Impression,” International Journal of Ethics, 27 (1917): 168-70.
  • “The Mechanism of Social Consciousness,” J. of Philosophy, Psychology and Scientific Methods, 9 (1912): 401-6.
  • “National-Mindedness and International-Mindedness,” International Journal of Ethics, 39 (1929): 385-407.
  • “Natural Rights and the Theory of the Political Institution,” Journal of Philosophy, 12 (1915): 141-55.
  • “The Nature of Aesthetic Experience,” International Journal of Ethics, 36 (1925-1926): 382-93.
  • “The Nature of the Past,” in Essays in Honor of John Dewey, ed. by J. Coss (Henry Holt 1929): 235-42.
  • “A New Criticism of Hegelianism: Is It Valid?,” American Journal of Theology, 5 (1901): 87-96.
  • “The Objective Reality of Perspectives,” Proceedings of the 6th Internat’l Congress of Philosophy (1926): 75-85.
  • “The Philosophical Basis of Ethics,” International Journal of Ethics, 18 (1908): 311-23.
  • “A Pragmatic Theory of Truth,” in University of California Publications in Philosophy, 11 (1929): 65-88.
  • “The Psychology of Social Consciousness Implied in Instruction,” Science, 31 (1910): 688-93.
  • “The Relation of Play to Education,” University of Chicago Record, 1 (1896): 140-5.
  • “The Relation of Psychology and Philology,” Psychological Bulletin, 1 (1904): 375-91.
  • “Relative Space-Time and Simultaneity,” ed. D.L. Miller, Review of Metaphysics, 17 (1964): 511-535.
  • “Royce, James, & Dewey in Their American Setting,” Internat’l Journal of Ethics, 40 (1929): 211-31.
  • “Scientific Method & the Individual Thinker,” in Creative Intelligence, ed. J. Dewey et al. (Holt 1917): 176-227.
  • “Scientific Method and the Moral Sciences,” International Journal of Ethics, 33 (1923), pp. 229-47.
  • “Social Consciousness and the Consciousness of Meaning,” Psychological Bulletin, 7 (1910): 397-405.
  • “Social Psychology as Counterpart to Physiological Psychology,” Psychological Bulletin, 6 (1909): 401-8.
  • “The Social Self,” Journal of Philosophy, Psychology and Scientific Methods, 10 (1913): 374-80.
  • “Suggestions Towards a Theory of the Philosophical Disciplines,” Philosophical Review, 9 (1900): 1-17.
  • “A Theory of Emotions from the Physiological Standpoint,” Psychological Review (1895): 162-4.
  • “A Translation of Wundt’s ‘Folk Psychology’,” American Journal of Theology, 23 (1919): 533-36.
  • “What Social Objects Must Psychology Presuppose?,” J. of Phil., Psych. & Scientific Methods, 7 (1910): 174-80.
  • “The Working Hypothesis in Social Reform,” American Journal of Sociology, 5 (1899): 367-71.

b. Secondary Sources

http://paradigm.soci.brocku.ca/~lward/frame2.html (click on “Commentaries”).

The following is a selection of books and articles that I have found especially helpful in my own work on Mead.

Books

  • Aboulafia, Mitchell. The Mediating Self: Mead, Sartre and Self- Determination (Yale 1986).
  • Aboulafia, Mitchell (ed.). Philosophy, Social Theory and the Thought of George Herbert Mead (SUNY 1991).
  • Baldwin, John D. George Herbert Mead: A Unifying Theory for Sociology, (Sage 1986).
  • Cook, Gary A. George Herbert Mead: The Making of a Social Pragmatist (University of Illinois 1993).
  • Corti, Walter Robert (ed.), The Philosophy of G.H. Mead (Amriswiler Bucherei [Switzerland] 1973).
  • Goff, Thomas. Marx and Mead: Contributions to a Sociology of Knowledge (Routledge 1980).
  • Hamilton, Peter. George Herbert Mead: Critical Assessments (Routledge 1993).
  • Hanson, Karen. The Self Imagined: Philosophical Reflections on the Social Character of Psyche (Routledge 1987).
  • Joas, Hans. G.H. Mead: A Contemporary Re-Examination of His Thought (MIT Press 1997).
  • Joas, Hans. Pragmatism and Social Theory (University of Chicago 1993).
  • Miller, David L. G.H. Mead. Self, Language, and the World (University of Chicago 1973).
  • Morris, Charles. Signification and Significance: A Study of the Relations of Signs and Values (MIT Press 1964).
  • Morris, Charles. Signs, Language, and Behavior (Prentice-Hall 1946).
  • Natanson, Maurice. The Social Dynamics of George H. Mead (Public Affairs Press 1956).
  • Pfeutze, Paul E. Self, Society, Existence: George Herbert Mead and Martin Buber (Harper 1961).
  • Rosenthal, Sandra. Mead and Merleau-Ponty: Toward a Common Vision (SUNY 1991).
  • Rucker, Darnell. The Chicago Pragmatists (University of Minnesota Press 1969).

Articles

  • Aboulafia, Mitchell. “Mead, Sartre: Self, Object & Reflection,” Philosophy & Social Criticism, 11 (1986): 63-86.
  • Aboulafia, Mitchell. “Habermas and Mead: On Universality and Individuality,” Constellations, 2 (1995): 95-113.
  • Ames, Van Meter. “Buber and Mead,” Antioch Review, 27 (1967): 181-91.
  • Ames, Van Meter. “Zen to Mead,” Proceedings and Addresses of the Amer. Phil. Assn., 33 (1959-1960): 27-42.
  • Ames, Van Meter. “Mead & Husserl on the Self,” Philosophy & Phenomenological Research, 15 (1955): 320-31.
  • Ames, Van Meter. “Mead and Sartre on Man,” Journal of Philosophy, 53 (1956): 205-19.
  • Baldwin, John D. “G.H. Mead & Modern Behaviorism,” Pacific Sociological Review, 24 (1981): 411-40.
  • Batiuk, Mary-Ellen. “Misreading Mead: Then and Now,” Contemporary Sociology, 11 (1982): 138-40.
  • Baumann, Bedrich. “George H. Mead and Luigi Pirandello,” Social Research, 34 (1967): 563-607.
  • Blumer, Herbert. “Sociological Implications of the Thought of G.H. Mead,” American J. of Sociology, 71 (1966): 535-44.
  • Blumer, Herbert. “Mead & Blumer: Social Behaviorism & Symbolic Interactionism,” American Sociological Review, 45 (1980): 409-19.
  • Bourgeois, Patrick L. “Role Taking, Corporeal Intersubjectivity & Self: Mead & Merleau-Ponty,” Philosophy Today (1990): 117-28.
  • Burke, Richard. “G.H. Mead & the Problem of Metaphysics,” Philosophy & Phenomenological Research, 23 (1962): 81-8.
  • Cook, Gary Allan. “The Development of G.H. Mead’s Social Psychology,” Transactions of the C.S. Peirce Society, 8 (1972): 167-86.
  • Cook, Gary Allan. “Whitehead’s Influence on the Thought of G.H. Mead”, Transactions of the C.S. Peirce Society, 15 (1979):107-31.
  • Coser, Lewis. “G.H. Mead,” in Lewis Coser, Masters of Sociological Thought (Harcourt 1971): 333-55.
  • Cottrell, Leonard S., Jr. “George Herbert Mead and Harry Stack Sullivan,” Psychiatry, 41 (1978): 151-62.
  • Faris, Ellsworth. “Review of Mind, Self, and Society by G.H. Mead,” American J. of Sociology, 41 (1936): 909-13.
  • Faris, Ellsworth. “The Social Psychology of G.H. Mead,” American Journal of Sociology, 43 (1937-8): 391-403.
  • Fen, Sing-Nan. “Present & Re-Presentation: A Discussion of Mead’s Philosophy of the Present,” Philosophical Review, 60 (1951): 545-50.
  • Joas, Hans. “The Creativity of Action & the Intersubjectivity of Reason: Mead’s Pragmatism & Social Theory,” Transactions of the C.S. Peirce Society, 26 (1990): 165-94.
  • Lee, Harold N. “Mead’s Doctrine of the Past,” Tulane Studies in Philosophy, 12 (1963): 52-75.
  • Lewis, J. David. “G.H. Mead’s Contact Theory of Reality,” Symbolic Interaction, 4 (1981): 129-41.
  • Meltzer, Bernard N. “Mead’s Social Psychology,” in Symbolic Interaction, ed. J.G. Manis & B.N. Meltzer (Allyn and Bacon 1972): 4-22.
  • Miller, David L. “G.H. Mead’s Conception of the Present,” Philosophy of Science, 10 (1943): 40-46.
  • Miller, David L. “The Nature of the Physical Object,” Journal of Philosophy, 44 (1947): 352-9.
  • Natanson, Maurice, “G.H. Mead’s Metaphysics of Time,” Journal of Philosophy, 50 (1953): 770-82.
  • Reck, Andrew J. “Editor’s Introduction,” Selected Writings: George Herbert Mead (Bobbs-Merrill 1964).
  • Reck, Andrew J. “The Philosophy of George Herbert Mead,” Tulane Studies in Philosophy, 12 (1963): 5-51.
  • Rosenthal, Sandra. “Mead and Merleau-Ponty,” Southern Journal of Philosophy, 28 (1990): 77-90.
  • Smith, T. V. “The Social Philosophy of G.H. Mead,” American Journal of Sociology, 37 (1931): 368-85.
  • Strauss, Anselm. “Introduction,” in George Herbert Mead on Social Psychology, ed. A. Strauss (Chicago 1964).
  • Strauss, Anselm. “Mead’s Multiple Conceptions of Time & Evolution,” Internat’l Sociology, 6 (1991): 411-26.
  • Tonness, Alfred. “A Notation on the Problem of the Past — G.H. Mead,” Journal of Philosophy, 24 (1932): 599-606.

Author Information

George Cronk
Email: gcronk@bergen.edu
Bergen Community College
U. S. A.

Pudgalavada Buddhist Philosophy

buddhaThe Pudgalavāda was a group of five of the Early Schools of Buddhism. The name arises from their adherents’ distinctive doctrine (vāda) concerning the self or person (pudgala). The doctrine holds that the person, in a certain sense, is real. To other Buddhists, their view seemed to contradict a fundamental tenet of Buddhism, the doctrine of non-self. However, the Pudgalavādins were convinced that they had had preserved the true interpretation of the Buddha’s teaching.

Although now all but forgotten, the Pudgalavāda was one of the dominant traditions of Buddhism in India during the time that Buddhism survived there. It was never strong in other parts of Asia, however, and with the eventual disappearance of Buddhism in India, almost all of the literature of the Pudgalavāda was lost. It is difficult to reconstruct their understanding of the self from the few Chinese translations that have come down to us, and from the summaries of their doctrines and the critiques of their position that have been preserved by other Buddhist schools. But there is no doubt that they affirmed the reality of the self or person, and that with scriptural authority they held that the self of an enlightened one cannot be described as non-existent after death, in “complete Nirvana” (Parinirvana), even though the five “aggregates” which are the basis of its identity have then passed away without any possibility of recurrence in a further life. These five are material form, feeling, ideation, mental forces, and consciousness.

It seems, then, that they thought of some aspect or dimension of the self as transcending the aggregates and may have identified that aspect with Nirvana, which like most early Buddhists they regarded as an eternal reality. In its involvement with the aggregates through successive lives, the self could be seen as characterized by incessant change; but in its eternal aspect, it could be seen as having an identity that remains constant through all its lives until it fulfils itself in the impersonal happiness of Parinirvana. Although their account of the self seemed unorthodox and irrational to their Buddhist opponents, the Pudgalavādins evidently believed that only such an account could do justice to the Buddha’s moral teaching, to the accepted facts of karma, rebirth and liberation, and to our actual experience of selves and persons.

Table of Contents

  1. Introduction
  2. The Problem of the Self in Buddhism
  3. The Pudgalavādin Characterization of the Self
  4. Reconstruction of the Pudgalavādin Conception of the Self
  5. Pudgalavādin Arguments in Support of their Conception of the Self
  6. Conclusion
  7. References and Further Reading

1. Introduction

The Pudgalavāda was a group of five of the Early Schools of Buddhism, distinguished from the other schools by their doctrine of the reality of the self. The group consists of the Vātsīputrīya, the original Pudgalavādin School, and four others that derived from it, the Dharmottarīya, the Bhadrayānīya, the Sāmmitīya and the Shannagarika. Of these, only the Vātsīputrīya and the Sāmmitīya had a large following. The Vātsīputrīya evidently arose about two centuries after the death of the Buddha (the Parinirvana). Since the date of the Buddha’s death was probably in about 486 BCE or 368 BCE (according to which sources one follows), the rise of the Vātsīputrīya school would have been in the early third century or toward the middle of the second century BCE. According to the Chinese monk Xuanzang (Hsüan-tsang), who traveled in India in the seventh century CE, the Sāmmitīya was at that time by far the largest of the Shrāvakayāna schools (or Early Schools), equal in size to all of the other schools combined; and as the monastic populations of the Shrāvakayāna and the Mahāyāna were roughly the same, the Sāmmitīya represented about a quarter of the entire Buddhist monastic population of India. The Vātsīputrīya and a branch of the Sāmmitīya survived in India at least until the tenth century, but since the Pudgalavādin schools never spread to any great extent beyond the subcontinent, when Buddhism died out in India, the tradition of the Pudgalavāda came to an end.

The name Pudgalavāda came to be applied to these schools because “pudgala” was one of the words which they used for the self whose reality they affirmed. “Pudgala” is a term that appears in the early canonical texts with the meaning of a person or individual. The Pudgalavāda is thus a Doctrine of the Person, or Personalism, and Pudgalavādins are accordingly Personalists. Their use of the term “pudgala” has sometimes given the impression that they were trying to conceal their unorthodoxy by talking about a person rather than a self. But in fact they often used other words for the self, such as “ātman” and “jīva,” and were evidently quite unabashed in declaring that the self is real.

It is hardly necessary to point out the importance, both philosophically and historically, of a form of Buddhism which differs strikingly in its interpretation of the Buddha’s teaching from what we have come to regard as orthodox, and yet was for some time, at least, the dominant form of Shrāvakayāna Buddhism in India. But the difficulties facing us in investigating the Pudgalavāda are considerable. There is no living tradition of Pudgalavāda; there are no learned monks to whom we can turn for interpretations handed down within that tradition. There are very few Pudgalavādin texts that have survived, only two of them with anything to say about the self, and those only in Chinese translations of poor quality. Apart from these, we have extensive quotations from their texts (but none, unfortunately, dealing with the self) in an Indian Buddhist work which has survived only in Tibetan, some brief summaries of their doctrines in Tibetan and Chinese translations of Indian works on the formation of the Shrāvakayāna schools, and finally criticisms of their doctrines in works from other schools, some of these fortunately available in Pali or Sanskrit. The evidence we have is thus quite limited, much of it surviving only in translation, and some of it from hostile sources. Any interpretation of the Pudgalavādin doctrine of the self will necessarily be to a considerable extent a reconstruction, and should accordingly be regarded as a more or less plausible hypothesis rather than anything like a definitive account.

2. The Problem of the Self in Buddhism

The Buddha taught that no self is to be found either in or outside of the five skandhas or in their aggregates; the five are material form, feeling, ideation, mental forces, and consciousness. He rejected the two extreme positions of a permanent, unchanging self persisting in Samsara (cycle of death and rebirth) through successive lives, and of a self which is completely destroyed at death. He taught instead a middle position of dependent origination (pratītyasamutpāda), according to which our existence in this life has arisen as a result of our ethically significant volitional acts (karma) in our last life, and such volitional acts in our present life will give rise to our existence (but will not determine our acts) in our next life. What we are now is thus not the same as what we were, since this is a new life with a different body, different feelings and so on, but neither is it entirely separate from what we were, since what we are now is the result of decisions made in our past life.

In the non-Pudgalavādin schools, which we now think of as orthodox in this regard, this teaching was interpreted (not unreasonably) as a denial that there is any substantial self together with an affirmation of the complex process of evanescent phenomena which at any particular time we identify as a person. In the opinion of these schools, the teaching understood in this way offers several advantages: first, it is true, in the sense that it can be accepted as an accurate account of what can actually be observed of a person (including the events and decisions of past lives, which were supposed to be accessible to the Buddha’s memory); secondly, it removes the basis for selfishness (the root of both wrong-doing and suffering) by exposing the ultimate unreality of the self as a substantial entity; and thirdly, it supports the view that what we do makes a real difference to what we become in both this life and future lives. It thus offers rational hope for an eventual dismantling of the otherwise self-perpetuating mechanism of misunderstanding, craving and suffering in which we are trapped.

But this interpretation of the Buddha’s teaching also involves certain difficulties. In the first place, even if we can understand the functional identity of the person as simply the continuity of a causal process in which the evanescent phenomena of the five aggregates occur and recur in a gradually changing pattern, it is hard to understand how this continuity is maintained through death to the birth of the person in a new life. If rebirth is immediate, as the Theravādins held, how can the final moments of one life bring about the beginning of a new life in a place necessarily at some distance from the place of death? But if there is an intermediate state between death and rebirth, as the Sarvāstivādins held, how can the person journey from one life to the next when the aggregates of the old life have passed away and the aggregates of the new life have not yet arisen? Or if there are aggregates in the intermediate state, why does this state not constitute a life interposed between the one that has ended and the one that is to begin?

In the second place, the denial of the ultimate reality of the self certainly seems to cut away the basis for selfishness, but it seems in the same way to cut away the basis for compassion. If the effort to gain anything for oneself is essentially deluded, how can it not be equally deluded to try to gain anything for other persons, other selves? If to be liberated is to realize that there was never anyone to be liberated, why would that liberation not include the realization that there was never anyone else to be liberated either? Yet it was out of compassion that the Buddha, freshly enlightened, undertook to teach in the first place, and without that compassion there would have been no Buddhism.

Schools that accepted this interpretation, such as the Theravāda and Sarvāstivāda, were of course aware of these difficulties and dealt with them as well as they could. But it is not surprising that the Pudgalavādin schools, sensitive to such problems, developed a fundamentally different interpretation of the Buddha’s teaching about the self.

3. The Pudgalavādin Characterization of the Self

The Pudgalavādins described the person or self as “inexpressible,” that is, as indeterminate in its relation to the five aggregates, since it cannot be identified with the aggregates and cannot be found apart from them: the self and the aggregates are neither the same nor different. But whereas other schools took this indeterminacy as evidence that the self is unreal, the Pudgalavādins understood it to characterize a real self, a self that is “true and ultimate.” It is this self, they maintained, that dies and is reborn through successive lives in Samsara, continuing to exist until enlightenment is attained. Even in Parinirvana, when the aggregates of the enlightened self have passed away in death and no new aggregates can arise in rebirth, the self, though no longer existent with the aggregates of an individual person, cannot actually be said to be non-existent.

Like most other Shrāvakayāna Buddhists, the Pudgalavādins regarded Nirvana as a real entity, differing from the realm of dependent origination (though not absolutely distinct from it) in being uncaused (asamskrita) and thus indestructible. Accordingly, Nirvana is not something brought into being at the moment of enlightenment, but is rather an eternally existing reality which at that moment is finally attained. The Pudgalavādins held that the self is indeterminate also in its relation to this eternal reality of Nirvana: the self and Nirvana are neither the same nor different.

In its indeterminate relationship with the five aggregates and Nirvana, the self is understood to constitute a fifth category of existence, the “inexpressible.” The phenomena of the five aggregates and of temporal existence in general form three categories: past phenomena, present phenomena and future phenomena. Nirvana, as an eternal, uncaused reality, is the fourth category. The self or person, not to be described either as the same as the dependent phenomena of the temporal world or as distinct from them, is the fifth.

The Pudgalavādins distinguished three ways in which the self can be designated or conceived:

  1. according to the aggregates appropriated as its basis in a particular life: In the this case, we have a conception of a particular person based on what we know of that person’s physical appearance, feelings, thoughts, inclinations and awareness.
  2. according to its acquisition of new aggregates in its transition from a past life to its present one, or from the present life to a future one: In this case, we would have a conception of a particular person as one who was such-and-such a person, with that person’s body, feelings and so on, in a previous life, or as one who will be reborn as such-and-such a person, with that person’s body, feelings and so on, in a future life.
  3. according to the final passing away of its aggregates at death after attaining enlightenment: In the this case, we have a conception of a person who has attained Parinirvana based on the body, feelings, thoughts, inclinations and awareness that have passed away at death without any possibility of recurrence.

In this way, all the statements made by the Buddha—and by others on his authority or on the strength of their own observation, concerning persons or selves and their past or future existences—can be shown to be based on the five aggregates from which those persons are inseparable.

Other schools understood the self to be a merely conceptual entity in the sense that it was simply the diverse phenomena of the five aggregates comprehended for convenience under a single term such as “self” or “person.” They supposed its existence to be thus purely nominal; there is no single, substantial entity corresponding to the term we use for it. We might expect that the Pudgalavādins, who held that the self is real, would on the contrary insist that the self is not merely conceptual or nominal, but substantial. But in fact they seem to have regarded the self, at lest initially, as conceptual, though “true and ultimate.” A later source represents them as maintaining that it is neither conceptual nor substantial, and still later sources ascribe the view to them that the self is indeed substantial. The difference in these accounts may be the result of confusion in our sources, but it is certainly possible that the Pudgalavādins gradually modified their position under the pressure of criticism from other schools.

The Theravādins and Sarvāstivādins made a clear distinction between what are traditionally called “two truths,” which in modern parlance is a distinction between two types of “truth predicates”: ultimate truth (paramārthasatya) and conventional truth (samvritisatya). Ultimate truth distinguishes accurate statements about primary phenomena (dharmas) and their relationships. Conventional truth distinguishes accurate statements about persons and other composite entities; they were thus statements expressed according to the conventions of ordinary usage, and are true only in the sense that they could in principle be translated into accurate statements about the constituent phenomena on which such conventional notions as “person” and so on were based. The two types of truth predicates (commonly called the “Two Truths”) are to be distinguished from four important principles taught by the Buddha, which are not truth predicates, but are called the “Four Noble Truths.” These “Truths” are: (1) life is suffering (the Truth of Suffering), (2) suffering arises from desire (the Truth of the Origination of Suffering), (3) suffering can be stopped (the Truth of Nirvana and the Cessation of Suffering), (4) the cessation of suffering is brought about by adherence to the Buddhist Path, which consists of prescriptions such as the Eight Fold Path (the Truth of the Path).

The Pudgalavādins also distinguished between two kinds of doctrine, concerning phenomena and concerning persons, but they did not regard these as related to higher and lower kinds of truth predicates. They actually recognized three truth predicates: “ultimate truth,, “characteristical truth,” and “practical truth.” They identified ultimate truth with the Third Noble Truth, the Truth of Nirvana, and the cessation of suffering. Characteristical truth distinguishes the First, Second and Fourth of the Noble Truths, the Truths of Suffering, its Origin, and the Path leading to its cessation. Because the characteristical truth predicate was understood as characterizing the world oriented of the Four Noble Truths, it was understood as also distinguishing accurate claims about dependent phenomena. The practical truth predicate distinguished forms of speech and behavior inherited through local or family traditions or learned through monastic training. It would seem that the self was subject to all three of these truths, as the one who eventually attains the cessation of suffering, as the one who suffers as a result of craving and follows a path leading to the end of suffering, and as the one who speaks and acts in accordance with the norms of secular or monastic life.

4. Reconstruction of the Pudgalavādin Conception of the Self

What the Pudgalavādins said (or in some cases are said to have said) about the self is sufficient to locate their conception of the self in relation to various Buddhist and non-Buddhist opinions that they rejected. But the exact nature of their conception of it remains unclear. Just what was the self supposed to be? Was it simply the five aggregates taken together as a totality but which was not reducible to its parts? Or was it a persisting entity distinct from the aggregates but bound to them so that it could be said to change as the aggregates connected with it changed? Or was it in fact something else altogether?

If the self was supposed to be conceptual, as the Pudgalavādins seem initially to have asserted, that would tend to support the view that they regarded the self as the totality of its constituent aggregates. This view differed from the Theravādins and Sarvāstivādins in not thinking that this conceptual whole was reducible to its parts. On the other hand, if it was supposed to be substantial, as the Pudgalavādins seem later to have asserted, that would tend to support the view that they regarded it as an entity in its own right, non-different from the aggregates only in the sense that it was inseparably bound to them. But there is a problem that affects both of these interpretations. The person who has completely passed away in Parinirvana is supposed to be neither existent nor non-existent. If the self were the aggregates taken as a whole, then with the final destruction of body, feeling, and so on the self would simply be non-existent. But if the self were an entity distinct from the aggregates though bound to them, then in Parinirvana the self would either come to an end together with the aggregates and thus be non-existent, or else it would continue to exist without the aggregates, in spite of allegedly being bound to them, and so would be simply existent. The former interpretation in fact comes too close to identifying the self with the aggregates, and the latter, to treating it as a separate entity.

An analogy that the Pudgalavādins frequently made use of may give some indication of what they actually had in mind. They say that the person is to the aggregates as fire is to its fuel. This analogy appears in a number of the canonical texts and so would have to be accepted by all Buddhist who accepted these texts, though their understanding of it would of course be different from the Pudgalavādins’. As the Pudgalavādins explain it, fire is described in terms of its fuel, as a wood fire or a straw fire, but the fire is not the same as the fuel, nor can it continue to burn without the fuel. Similarly, the person is described in terms of the aggregates, as having such-and-such a physical appearance and so on, but it is not the same as that particular body, those feelings and so on, and cannot exist without a body, feelings and the other aggregates. This analogy makes it clear that although the aggregates in some sense support the self, they are not actually its constituents, since a fire, though supported by its fuel, is certainly not a whole constituted by some particular arrangement of logs.

What the analogy seems not to make clear is why the person in Parinirvana, no longer supported by the aggregates, is not simply non-existent like a fire that has gone out when its fuel is exhausted. But there is reason to think that the Pudgalavādins did not understand the extinction of the fire as we would. Several of the canonical texts that use this analogy specifically compare the Buddha after death to a fire that has gone out and has not gone north, south, east or west, but is simply extinct; but instead of going on to say that the Buddha is non-existent, they say that he is “unfathomable”, that he cannot be described in terms of arising or non-arising, existence or non-existence. Another text, preserved and accepted as authoritative by the Theravādins, explains that Nirvana exists eternally and can be attained even though there is no place where it is “stored up,” just as fire exists and can be produced by rubbing two sticks together even though there is no place where it is stored up. The extinction of the fire can be understood as a transition from its local existence supported by its fuel to a non-local state which cannot be described as either existence or non-existence. The Parinirvana of the Buddha will then be his transition from a local existence supported by the aggregates to a non-local state which is unfathomable. A canonical text of the Mahāyāna explicitly describes the non-local form of the Buddha after his death as his “eternal body,” which is said to be like the fire that has not gone north, south, east or west, but is simply extinct.

There is no evidence that the Pudgalavādins anticipated this Mahāyāna doctrine of an eternal body of the Buddha. However, the analogy understood in this way certainly indicates that the person or self (in this case, the Buddha) is a local manifestation of something. Could that “something” have been a supreme self such as we find in the Upanishads and the Vedānta, and, suitably qualified, in some Mahāyāna texts? There is no evidence to suggest that it was, and in fact the Pudgalavādins may have felt that it would be inappropriate to use the term designating a local, dependent manifestation of that something to refer to the something itself, which unlike any self was eternal and independent of the aggregates.

But there is some evidence which points in another direction. One of our Pudgalavādin sources speaks of the person in Parinirvana as having attained the “unshakeable happiness”, and another source says that the Pudgalavādins held that although Nirvana has the nature of non-existence, because there is no body, faculty or thought there, it also has the nature of existence, because the supreme, ever-lasting happiness is there. So Nirvana is characterized by eternal happiness, but it is a happiness unaccompanied by any body, faculty or thought. Moreover, another source ascribes to the Pudgalavādins the view that Nirvana is the quiescence of the person’s previous “coming and going” in Samsara; it seems to say, then, that Nirvana is a state that the person achieves. This “state” cannot be something that comes into being when Nirvana is attained; otherwise Nirvana would be dependent and so in principle impermanent. And in Parinirvana there are no aggregates, and thus no person, in any normal sense, of which this quiescence could be a state. But if this quiescence is Nirvana, it cannot be simply the non-existence of the person, since we are told explicitly that the person is not nonexistent in Parinirvana (though of course not existent, either). Nirvana must be quiescence in the sense in which it is the “cessation of suffering,” not as a state that arises at the moment of enlightenment and is completed at death, but as an already existing reality whose attainment puts an end to suffering and the coming and going of Samsara.

But in what sense is this eternal happiness “attained” by the person who at death ceases to exist as a self supported by body, faculties and thought? And in what sense is a person who has attained this eternal happiness “not non-existent” after death, even though the five aggregates have passed away once and for all? If even without the aggregates the person somehow survives to enjoy the eternal happiness, why do the Pudgalavādins deny that the person is existent in Parinirvana? But if the person does not survive and there is supposed to be only eternal happiness without anyone who enjoys it, in what sense does the person attain it?

The difficulty arises from the assumption that the self or person and Nirvana are two different things, the one impermanent and the other eternal. But the Pudgalavādins say that the self and Nirvana are neither the same nor different. Even while suffering in Samsara the self is not distinct from the eternal happiness of Nirvana, and when the person’s body, feelings and so on have passed away in Parinirvana, the self is still not entirely non-existent. That is because Nirvana, which is not distinct from the self, continues to exist. The relationship between the self and Nirvana, then, seems to be similar to that between the local manifestation of fire and the fire in its non-local state. The “something” that is locally manifested as a self on the basis of the aggregates would thus be Nirvana.

5. Pudgalavādin Arguments in Support of their Conception of the Self

The Pudgalavādins, like other Buddhist philosophers, saw it as their task to present what they believed to be the best interpretation of the teaching of the Buddha and to support that interpretation through rational argument. The correctness of the Buddha’s teaching was beyond question; what could be debated was the adequacy of this or that interpretation as an explanation of his meaning. Accordingly, their arguments were broadly of two kinds: appeals to the canonical texts (sutras) in which the Buddha’s teaching had been preserved, and arguments on the basis of consistency with acknowledged fact. These were not entirely distinct, since the Buddha’s teaching was supposed to be based not on divine revelation but on the exercise of human faculties developed to an extraordinary degree, and “acknowledged fact” was understood to include generally accepted Buddhist doctrines concerning, for example, karma and rebirth.

Appeals to the canonical texts were not entirely straightforward. These texts had been transmitted orally for several centuries before being committed to writing. Each school preserved its own versions of these texts, and although the versions agreed to a considerable extent, there were also differences, in some cases involving whole sutras. It was not enough, then, for the Pudgalavādins and their opponents to quote sutras from their own versions of the canon; they had to make sure that the sutra they quoted was also included in their opponents’ version. Otherwise, their opponents would feel free to dismiss it as quite possibly a forgery.

The Pudgalavādins often quoted passages in which the Buddha spoke of persons or the self as existing. In most cases, these could be readily explained by their opponents on the basis of the two truths: the Buddha spoke conventionally of persons and the self, but elsewhere made it clear that ultimately there are only the phenomena of the five aggregates. In the view of such non-Pudgalavādin schools as the Theravādins and Sarvāstivādins, these passages merely serve to explain how the Pudgalavādins have come to misunderstand the Buddha’s teaching; they give no support at all to the misinterpretation.

But there is one case at least in which the Buddha’s way of expressing himself is more difficult to account for, and the Theravādin and Sarvastivādin explanations of it show signs of strain. Here the Buddha speaks of the five aggregates as the burden, and identifies the bearer of the burden as the person. Certainly it is possible to explain this in terms, for example, of decisions made by the aggregates of a past life whose consequences are then a burden to the aggregates of this life. But the more natural and obvious reading is to take it as distinguishing between the person who transmigrates from life to life, and the aggregates which the person takes up with each life and carries as a burden.

In another passage to which the Pudgalavādins referred, the Buddha indicates that the idea that one has no self is a mistake. Their opponents were quick to point out that in the same passage he also indicates that the idea that one has a self is a mistake; the meaning, they would suggest, is that it is a mistake to affirm the ultimate existence of the self, but a mistake also to deny its conventional existence. This is certainly not unreasonable; but neither is the Pudgalavādins’ explanation: that it is a mistake to affirm the existence of a self that is either the same as the aggregates or separate from them (these being the two ways in which the self is usually imagined). but a mistake also to deny that there is any self at all.

The fact that the Buddha seems to have been generally unwilling to say outright that the self does not exist is something of an embarrassment for the Pudgalavādins’ opponents. The Buddha characteristically said that the self is not to be found in the aggregates or apart from them. The Theravādins, Sarvāstivādins and others take this to mean that there is no self at all (except nominally or conventionally); but the Pudgalavādins take it as characterizing an existing self which is neither the aggregates themselves nor something apart from them. Whenever the Buddha says that the aggregates in particular or phenomena (dharmas) in general are non-self, the Pudgalavādins understand this only as a denial that the self can be simply identified with them. The view of the Theravādins and Sarvāstivādins, that what we call the self is simply the ever-changing aggregates spoken and thought of for convenience as a persisting entity, seems to the Pudgalavādins to be equivalent to identifying the self with its aggregates, a view which the Buddha explicitly rejected.

Apart from appeals to the canonical texts, the Pudgalavādins also offered arguments pointing out what they saw as the inadequacy of their opponents’ view to account for some of the facts of personal existence and self-cultivation which were generally accepted by Buddhists. They argued, for example, that if there were no person distinguishable from the aggregates, there would be no real basis for identifying oneself, as the Buddha did, with the person that one was in a previous life, since the aggregates in the two lives would be completely different. They evidently felt that the causal relationship that was supposed to obtain between the aggregates of a past life and those of the present life was insufficient to establish a personal identity persisting through the successive lives.

They also argued that one of the meditations recommended by the Buddha, in which the meditator cultivates the wish that all sentient beings may be happy, presupposes the existence of real sentient beings, of persons, to be the objects of the meditator’s benevolence. They rejected their opponents’ opinion that the aggregates are the real object of benevolence, and insisted that if that were the case, the Buddha’s recommendation to wish that all sentient beings may be happy would not have been “well said”. In their opponents’ view, this was simply another case in which the Pudgalavādins failed to recognize that the Buddha spoke conventionally of sentient beings and persons when it would have been inconvenient to speak in terms of the aggregates, which were all that was ultimately there. But to the Pudgalavādins it seemed clear that benevolence toward a sentient being or person is not the same thing as benevolence (if it is possible at all) toward a series of constantly changing aggregates.

They argued also that the operation of karma is incomprehensible if the person is nothing more than an assemblage of phenomena. Destroying a particular arrangement of particles of clay in the form of an ox is not killing anything and has in itself no karmic consequences; but destroying a particular arrangement of aggregates in the form of a living ox is killing something and has unfortunate consequences for the person who killed it. If the ox is really nothing but an arrangement of aggregates, destroying that arrangement, rearranging the aggregates, should have no more moral and karmic significance than smashing the clay image of an ox. Their thought seems to have been something like this: the phenomena (dharmas) which are supposed to be the ox’s constituents cannot, strictly speaking, be destroyed, since their existence is in any case momentary; all that can be destroyed is the arrangement in which these phenomena have been occurring, and that, in the view of their opponents, is nothing real. As Buddhists, their opponents agree with the Pudgalavādins in accepting the effectiveness of karma, but their denial of the reality of the self makes nonsense of what they accept.

The analogy with fire was important in explaining the indeterminacy of the self or person in relation to the aggregates, but they did not offer it as an argument in its own right for the reality of the self. Its function was rather to clarify the nature of the relationship between the self and the aggregates, and to serve as evidence that at least one instance of such a relationship could be recognized in the world around us, so that there could be no justification for rejecting their position out of hand as manifestly impossible.

6. Conclusion

The view of the Pudgalavādins, that the self is a real entity which is neither the same as the aggregates nor different from them, is certainly paradoxical and seems to have been regarded by their opponents as fundamentally irrational. But they evidently felt that only such a view did justice to our actual experience of personal existence and to what in the Buddhist tradition were the accepted facts of karma, rebirth and final liberation. To some extent they were able to explain the paradox by pointing to the ways in which the self seems limited to a particular body, particular feelings and so on and the ways in which it also seems to transcend these, but the self in their view remains something mysterious and only partially amenable to the principles of rational thought.

The Theravādins, Sarvāstivādins and others naturally saw the Pudgalavādins’ account of the self as not so much paradoxical as incoherent. They were sure that the reason that the Pudgalavādins could not really make sense of the self they affirmed was that no such self is possible. But there was after all some justification for the Pudgalavādins’ view, that their opponents, if they achieved consistency, did so to some extent at the expense of the facts. And the insistence of the Theravādins and Sarvāstivādins on the precise determinacy of anything that they were prepared to regard as real brought its own problems, as the dialectic of the Mādhyamikas would show.

The very considerable success of the Pudgalavādins in India surely indicates that there were many who regarded their doctrine as a viable interpretation of the Buddha’s teaching. At the very least, it was an interpretation which, though different from what we now regard as orthodox, had significant strengths as well as weaknesses. Perhaps belief in a real though indeterminate self would tend, as their opponents argued, to reinforce our inveterate selfishness; but the Pudgalavādins held that the self once realized to be indeterminate could not be a basis for the self-love and craving that are the source of suffering. Their conception of a persisting self, moreover, could be felt to give a stronger sense of our investment in the person that we are to become, and thus a greater appreciation of the significance of our actions in this life. Finally, belief in the reality of other selves would seem to make it more difficult to ignore the suffering of others than if all persons were thought to be essentially an illusion. That there was in fact a danger that belief in the unreality of the self might lead to an attitude of indifference to other sentient beings is evident from the endless admonishments to cultivate compassion that we find in the works of the Mahāyāna.

As a theory of the self, the Pudgalavāda was naturally shaped and so in some measure limited by the concerns of Buddhism; the Pudgalavādins were interested in the nature of selfhood only to the extent that it had a bearing on the problem of suffering. But their interpretation of the Buddha’s teaching offers a perspective which is also of more general interest. Even in the fragmentary evidence that has come down to us, we can see at least the rough outline of a view which gives full weight to the instinctive conviction that as persons we are neither reducible to our apparent constituents, whether these are conceived to be dharmas or molecules, nor separable from our particular, concrete presence in the physical world. It is a view that reminds us of the experiential immediacy of our awareness of other selves, and that confirms our natural resistance to regarding a person as nothing more than a construct of the understanding. Finally, it renews in us the sense of something mysterious and perhaps ultimately unfathomable in the mere fact of our selfhood and of our existence in the world as conscious beings.

7. References and Further Reading

  • Aung, Shwe Zan and C.A.F. Rhys Davids. Points of Controversy. (English translation of the Kathāvatthu. ) London: Pali Text Society, 1915. Reprinted 1960.
  • Bareau, André. “Trois traités sur les sectes bouddhiques attribués à Vasumitra, Bhavya et Vinītadeva.” Journal Asiatique, 242 (1954), 229–66; 244 (1956), 167–200.
  • Bareau, André. Les sectes bouddhiques du petit véhicule. Paris: École Française d’ Extrême-Orient, 1955.
  • Conze, Edward. Buddhist Thought in India. London: George Allen & Unwin, 1962. Reprinted 1967, Ann Arbor: University of Michigan Press.
  • Demiéville, Paul. “L’origine des sectes bouddhiques d’après Paramartha.” Mélanges chinois et bouddhiques, 1 (1932),15–64. Reprinted 1973 in Choix d’études bouddhiques (1928–1970), Leiden: E.J. Brill, 80–130.
  • Dube, S.N. Cross Currents in Early Buddhism. New Delhi: Manohar, 1980.
  • Duerlinger, James. Indian Buddhist Theories of Persons: Vasubandhu’s “Refutation of the Theory of a Self”. London, New York: Routledge Curzon, 2003.
  • Dutt, Nalinaksha. Buddhist Sects in India. Calcutta: K.L. Mukhopadhyay, 1970.
  • Hurvitz, Leon. “The Road to Buddhist Salvation as Described by Vasubhadra.” (Includes a translation of part of the Siehanmu chaojie, Kumarabuddhi’s Chinese translation of the Tridharmakhandaka.) Journal of the American Oriental Society, 87.4 (1967), 434–86.
  • Jha, Ganganatha. The Tattvasamgraha of Sāntaraksita with the Commentary of Kamalasīla. (English translation of Shāntarakshita’sTattvasamgraha..) Baroda: Oriental Institute, 1937.
  • La Vallée Poussin, Louis de. L’Abhidharmakosa de Vasubandhu. (French translation from Xuanzang’s Chinese version of Vasubandhu’s Abhidharmakoshabhāshya.) Mélanges chinoises et bouddhiques, 16 (1923–31). Reprinted 1971.
  • La Vallée Poussin, Louis de. “La controverse du temps et du pudgala dans le Vijnānakāya.” (French translation of the first chapter of Xuanzang’s Chinese version of Devasharman’s Vijnānakāya.) Études Asiatiques, 20 (1923), 343–76.
  • Law, B.C. The Debates Commentary. (English translation of the Kathāvatthuppakarana-atthakathā.) London: Pali Text Society, 1940. Reprinted 1969.
  • Masuda, Jiryo. “Origin and Doctrines of Early Indian Buddhist Schools: a translation of the Hsüan-chwang version of Vasumitra’s treatise.” Asia Major, 2 (1925), 1–78.
  • Priestley, Leonard C.D.C. Pudgalavāda Buddhism: The Reality of the Indeterminate Self. Toronto: Centre for South Asian Studies, University of Toronto, 1999.
  • Sastri, N. Aiyaswami. Satyasiddhi of Harivarman, Vol. II. (English translation of Kumārajīva’s Chinese version of Harivarman’s Tattvasiddhi or Satyasiddhi.) Baroda: Oriental Institute, 1978.
  • Schayer, S. “Kamalasīlas Kritik des Pudgalavāda.” Rocnik Orientalistyczny, 10 (1934), 68–93.
  • Skilling, Peter. “History and Tenets of the Sāmmatīya School.” LinhSonPublications d’études bouddhiques, 19 (1982), 38–52.
  • Skilling, Peter. “The Samskrtāsamskrta-Viniscaya of Dasabalasrīmitra.” Buddhist Studies Review, 4.1 (1987), 3–23.
  • Stcherbatsky, T. Soul Theory of the Buddhists. (Includes an English translation from the Tibetan of the ninth chapter of Vasubandhu’s Abhidharmakoshabhāshya, the “Pudgalavinishcaya”.) Bulletin de l’Academie des Sciences de Russie, 1919: 823–54, 937–58. Reprinted 1970, Varanasi: Bharatiya Vidya Prakasan.
  • Thich Thien Chau, Bhikshu. The Literature of the Personalists of Early Buddhism. Delhi: Motilal Banarsidass, 1999. English translation by Sara Boin-Webb of Les Sectes personnalistes (Pudgalavâdin) du bouddhisme ancien, Thèse pour le Doctorat d’ État ès-Lettres et Sciences humaines, Université de la Sorbonne Nouvelle (Paris III), 1977.
  • Venkataramanan, K. “Sāmmitīyanikāya Sāstra.” (English translation of the Sāmmitīyanikāyashāstra..) Visva-Bharati Annals, 5 (1953), 155–243.
  • Walleser, Max. Die Sekten des alten Buddhismus. (Die buddhistische Philosophie in ihrer geschichtlichen Entwicklung, Part 4.) Heidelberg: Carl Winter, 1927.

Author Information

Leonard Priestley
Email: leonard.priestley@utoronto.ca
University of Toronto
Canada

Dualism and Mind

Dualists in the philosophy of mind emphasize the radical difference between mind and matter. They all deny that the mind is the same as the brain, and some deny that the mind is wholly a product of the brain. This article explores the various ways that dualists attempt to explain this radical difference between the mental and the physical world. A wide range of arguments for and against the various dualistic options are discussed.

Substance dualists typically argue that the mind and the body are composed of different substances and that the mind is a thinking thing that lacks the usual attributes of physical objects: size, shape, location, solidity, motion, adherence to the laws of physics, and so on. Substance dualists fall into several camps depending upon how they think mind and body are related. Interactionists believe that minds and bodies causally affect one another. Occasionalists and parallelists, generally motivated by a concern to preserve the integrity of physical science, deny this, ultimately attributing all apparent interaction to God. Epiphenomenalists offer a compromise theory, asserting that bodily events can have mental events as effects while denying that the reverse is true, avoiding any threat to the scientific law of conservation of energy at the expense of the common sense notion that we act for reasons.

Property dualists argue that mental states are irreducible attributes of brain states. For the property dualist, mental phenomena are non-physical properties of physical substances. Consciousness is perhaps the most widely recognized example of a non-physical property of physical substances. Still other dualists argue that mental states, dispositions and episodes are brain states, although the states cannot be conceptualized in exactly the same way without loss of meaning.

Dualists commonly argue for the distinction of mind and matter by employing Leibniz’s Law of Identity, according to which two things are identical if, and only if, they simultaneously share exactly the same qualities. The dualist then attempts to identify attributes of mind that are lacked by matter (such as privacy or intentionality) or vice versa (such as having a certain temperature or electrical charge). Opponents typically argue that dualism is (a) inconsistent with known laws or truths of science (such as the aforementioned law of thermodynamics), (b) conceptually incoherent (because immaterial minds could not be individuated or because mind-body interaction is not humanly conceivable), or (c) reducible to absurdity (because it leads to solipsism, the epistemological belief that one’s self is the only existence that can be verified and known).

Table of Contents

  1. Dualism
  2. Platonic Dualism in the Phaedo
    1. The Argument From Opposites
    2. The Argument From Recollection
    3. The Argument From Affinity
    4. Criticisms of the Platonic Arguments
  3. Descartes’ Dualism
    1. The Argument From Indivisibility
    2. Issues Raised by the Indivisibility Argument
    3. The Argument From Indubitability
    4. The Real Distinction Argument
  4. Other Leibniz’s Law Arguments for Dualism
    1. Privacy and First Person Authority
    2. Intentionality
    3. Truth and Meaning
    4. Problems with Leibniz’s Law Arguments for Dualism
  5. The Free Will and Moral Arguments
  6. Property Dualism
  7. Objections to Dualism Motivated by Scientific Considerations
    1. Arguments from Human Development
    2. The Conservation of Energy Argument
    3. Problems of Interaction
    4. The Correlation and Dependence Arguments
  8. The Problem of Other Minds
  9. Criticisms of the Mind as a Thinking Thing
  10. References and Further Reading

1. Dualism

The most basic form of dualism is substance dualism, which requires that mind and body be composed of two ontologically distinct substances. The term “substance” may be variously understood, but for our initial purposes we may subscribe to the account of a substance, associated with D. M. Armstrong, as what is logically capable of independent existence. (Armstrong, 1968, p. 7). According to the dualist, the mind (or the soul) is comprised of a non-physical substance, while the body is constituted of the physical substance known as matter. According to most substance dualists, mind and body are capable of causally affecting each other. This form of substance dualism is known as interactionism.

Two other forms of substance dualism are occasionalism and parallelism. These theories are largely relics of history. The occasionalist holds that mind and body do not interact. They may seem to when, for example, we hit our thumb with a hammer and a painful and distressing sensation occurs. Occassionalists, like Malebranche, assert that the sensation is not caused by the hammer and nerves, but instead by God. God uses the occasion of environmental happenings to create appropriate experiences.

According to the parallelist, our mental and physical histories are coordinated so that mental events appear to cause physical events (and vice versa) by virtue of their temporal conjunction, but mind and body no more interact than two clocks that are synchronized so that the one chimes when hands of the other point out the new hour. Since this fantastic series of harmonies could not possibly be due to mere coincidence, a religious explanation is advanced. God does not intervene continuously in creation, as the occasionalist holds, but builds into creation a pre-established harmony that largely eliminates the need for future interference.

Another form of dualism is property dualism. Property dualists claim that mental phenomena are non-physical properties of physical phenomena, but not properties of non-physical substances. Some forms of epiphenomenalism fall into this category. According to epiphenomenalism, bodily events or processes can generate mental events or processes, but mental phenomena do not cause bodily events or processes (or, on some accounts, anything at all, including other mental states). (McLaughlin, p. 277) Whether an epiphenomenalist thinks these mental epiphenomena are properties of the body or properties of a non-physical mental medium determines whether the epiphenomenalist is a property or substance dualist.

Still other dualists hold not that mind and body are distinct ontologically, but our mentalistic vocabulary cannot be reduced to a physicalistic vocabulary. In this sort of dualism, mind and body are conceptually distinct, though the phenomena referred to by mentalistic and physicalistic terminology are coextensive.

The following sections first discuss dualism as expounded by two of its primary defenders, Plato and Descartes. This is followed by additional arguments for and against dualism, with special emphasis on substance dualism, the historically most important and influential version of dualism.

2. Platonic Dualism in the Phaedo

The primary source for Plato‘s views on the metaphysical status of the soul is the Phaedo, set on the final day of Socrates’ life before his self-administered execution. Plato (through the mouth of Socrates, his dramatic persona) likens the body to a prison in which the soul is confined. While imprisoned, the mind is compelled to investigate the truth by means of the body and is incapable (or severely hindered) of acquiring knowledge of the highest, eternal, unchanging, and non-perceptible objects of knowledge, the Forms. Forms are universals and represent the essences of sensible particulars. While encumbered by the body, the soul is forced to seek truth via the organs of perception, but this results in an inability to comprehend that which is most real. We perceive equal things, but not Equality itself. We perceive beautiful things but not Beauty itself. To achieve knowledge or insight into the pure essences of things, the soul must itself become pure through the practice of philosophy or, as Plato has Socrates provocatively put it in the dialogue, through practicing dying while still alive. The soul must struggle to disassociate itself from the body as far as possible and turn its attention toward the contemplation of intelligible but invisible things. Though perfect understanding of the Forms is likely to elude us in this life (if only because the needs of the body and its infirmities are a constant distraction), knowledge is available to pure souls before and after death, which is defined as the separation of the soul from the body.

a. The Argument From Opposites

Plato’s Phaedo contains several arguments in support of his contention that the soul can exist without the body. According to the first of the Phaedo‘s arguments, the Argument from Opposites, things that have an opposite come to be from their opposite. For example, if something comes to be taller, it must come to be taller from having been shorter; if something comes to be heavier, it must come to be so by first having been lighter. These processes can go in either direction. That is, things can become taller, but they also can become shorter; things can become sweeter, but also more bitter. In the Phaedo, Socrates notes that we awaken from having been asleep and go to sleep from having been awake. Similarly, since dying comes from living, living must come from dying. Thus, we must come to life again after we die. During the interim between death and rebirth the soul exists apart from the body and has the opportunity to glimpse the Forms unmingled with matter in their pure and undiluted fullness. Death liberates the soul, greatly increasing its apprehension of truth. As such, the philosophical soul is unafraid to die and indeed looks forward to death as to liberation.

b. The Argument From Recollection

A second argument from the Phaedo is the Argument from Recollection. Socrates argues that the soul must exist prior to birth because we can recollect things that could not have been learned in this life. For example, according to Socrates we realize that equal things can appear to be unequal or can be equal in some respects but not others. People can disagree about whether two sticks are equal. They may disagree about if they are equal in length, weight, color, or even whether they are equally “sticks.” The Form of Equality—Equality Itself—can never be or appear unequal. According to Socrates, we recognize that the sticks are unequal and that they are striving to be equal but are nevertheless deficient in terms of their equality. Now, if we can notice that the sticks are unequal, we must comprehend what Equality is. Just as I could not recognize that a portrait was a poor likeness of your grandfather unless I already knew what your grandfather looked like, I cannot reccognize that the sticks are unequal by means of the senses, without an understanding of the Form of Equality. We begin to perceive at birth or shortly thereafter. Hence, the soul must have existed prior to birth. It existed before it acquires a body. (A similar argument is developed in Plato’s Meno (81a-86b).

c. The Argument From Affinity

A third argument from the Phaedo is the Argument from Affinity. Socrates claims that things that are composite are more liable to be destroyed than things that are simple. The Forms are true unities and therefore least likely ever to be annihilated. Socrates then posits that invisible things such as Forms are not apt to be disintegrated, whereas visible things, which all consist of parts, are susceptible to decay and corruption. Since the body is visible and composite, it is subject to decomposition. The soul, on the other hand, is invisible. The soul also becomes like the Forms if it is steadfastly devoted to their consideration and purifies itself by having no more association with the body than necessary. Since the invisible things are the durable things, the soul, being invisible, must outlast the body. Further, the philosophical soul, that becomes Form-like, is immortal and survives the death of the body.

d. Criticisms of the Platonic Arguments

Some of these arguments are challenged even in the Phaedo itself by Socrates’ friends Simmias and Cebes and the general consensus among modern philosophers is that the arguments fail to establish the immortality of the soul and its independence and separability from the body. (Traces of the Affinity argument in a more refined form will be observed in Descartes below). The Argument from Opposites applies only to things that have an opposite and, as Aristotle notes, substances have no contraries. Further, even if life comes from what is itself not alive, it does not follow that the living human comes from the union of a dead (i.e. separated) soul and a body. The principle that everything comes to be from its opposite via a two-directional process cannot hold up to critical scrutiny. Although one becomes older from having been younger, there is no corresponding reverse process leading the older to become younger. If aging is a uni-directional process, perhaps dying is as well. Cats and dogs come to be from cats and dogs, not from the opposites of these (if they have opposites). The Arguments from Recollection and Affinity, on the other hand, presuppose the existence of Forms and are therefore no more secure than the Forms themselves (as Socrates notes in the Phaedo at 76d-e).

We turn now to Descartes’ highly influential defense of dualism in the early modern period.

3. Descartes’ Dualism

The most famous philosophical work of René Descartes is the Meditations on First Philosophy (1641). In the Sixth Meditation, Descartes calls the mind a thing that thinks and not an extended thing. He defines the body as an extended thing and not a thing that thinks (1980, p. 93). “But what then am I? A thing that thinks. What is that? A thing that doubts, understands, affirms, denies, wills, refuses, and which also imagines and senses.” (1980, p. 63). He expands on the notion of extension in the Fifth Meditation saying, “I enumerate the [extended] thing’s various parts. I ascribe to these parts certain sizes, shapes, positions, and movements from place to place; to these movements I ascribe various durations” (1980, p. 85). Bodies, but not minds, are describable by predicates denoting entirely quantifiable qualities and hence bodies are fit objects for scientific study.

Having thus supplied us with the meanings of “mind” and “body,” Descartes proceeds to state his doctrine: “I am present to my body not merely in the way a seaman is present to his ship, but . . . I am tightly joined and, so to speak, mingled together with it, so much so that I make up one single thing with it” (1980, p. 94). The place where this “joining” was believed by Descartes to be especially true was the pineal gland—the seat of the soul. “Although the soul is joined to the whole body, there is yet in the body a certain part in which it seems to exercise its functions more specifically than in all the others. . . I seem to find evidence that the part of the body in which the soul exercises its functions immediately is. . . solely the innermost part of the brain, namely, a certain very small gland.” (1952, p. 294). When we wish to “move the body in any manner, this volition causes the gland to impel the spirits towards the muscles which bring about this effect” (1952, p. 299). Conversely, the body is also able to influence the soul. Light reflected from the body of an animal and entering through our two eyes “form but one image on the gland, which, acting immediately on the soul, causes it to see the shape of the animal.” (1952, p. 295-96).

It is clear, then, that Descartes held to a form of interactionism, believing that mental events can sometimes cause bodily events and that bodily events can sometimes cause mental events. (This reading of Descartes-as-interactionist has recently been challenged. See Baker and Morris (1996). Also, Daniel Garber suggests that Descartes is a quasi-occasionalist, permitting minds to act on bodies, but invoking God to explain the actions of inanimate bodies on each other and phenomena where bodies act on minds, such as sensation. See Garber, 2001, ch. 10).

a. The Argument From Indivisibility

Descartes’ primary metaphysical justification of the distinction of mind and body is the Argument from Indivisibility. He writes, “there is a great difference between a mind and a body, because the body, by its very nature, is something divisible, whereas the mind is plainly indivisible. . . insofar as I am only a thing that thinks, I cannot distinguish any parts in me. . . . Although the whole mind seems to be united to the whole body, nevertheless, were a foot or an arm or any other bodily part amputated, I know that nothing would be taken away from the mind. . .” (1980, p. 97). Decartes argues that the mind is indivisible because it lacks extension. The body, as an object that takes up space, can always be divided (at least conceptually), whereas the mind is simple and non-spatial. Since the mind and body have different attributes, they must not be the same thing, their “unity” notwithstanding.

This Indivisibility Argument makes use of Leibniz’s Law of Identity: two things are the same if, and only if, they have all of the same properties at the same time. More formally, x is identical to y if, and only if, for any property p had by x at time t, y also has p at t, and vice versa. Descartes uses Leibniz’s Law to show that the mind and body are not identical because they do not have all of the same properties. An illustration (for present purposes a property can be considered anything that may be predicated of a subject): If the man with the martini is the mayor, it must be possible to predicate all and only the same properties of both “the man” and “the mayor,” including occupying (or having bodies that occupy) the same exact spatial location at the same time.

Since divisibility may be predicated of bodies (and all of their parts, such as brains) and may not be predicated of minds, Leibniz’s Law suggests that minds cannot be identical to bodies or any of their parts or systems. Although it makes sense to speak of the left or right half of the brain, it makes no sense to speak of half of a desire, several pieces of a headache, part of joy, or two-thirds of a belief. What is true of mental states is held to be true of the mind that has the states as well. In the synopsis of the Meditations, Descartes writes, “we cannot conceive of half a soul, as we can in the case of any body, however small.” (1980, p. 52). The mind has many ideas, but they are all ideas of one indivisible mind.

b. Issues Raised by the Indivisibility Argument

John Locke argued that awareness is rendered discontinuous by intervals of sleep, anesthesia, or unconsciousness. (Bk.II, ch.I, sect.10). Is awareness then divisible? Locke suggests that the mind cannot exhibit temporal discontinuity and also have thought as its essence. But even if Descartes was wrong to consider the mind an essentially thinking thing, the concept of mind is not reduced to vacuity if some other, positive characteristic can be found by which to define it. But what might that be? (Without some such means of characterizing the mind it would be defined entirely negatively and we would have no idea what it is).

Against Locke, Dualists can argue in several ways. (1) That the mind has both conscious and unconscious thoughts and that Locke’s argument shows only that the mind is not always engaged in conscious reflection, though it may be perpetually busy at the unconscious level. Locke argues that such a maneuver creates grave difficulties for personal identity (Bk.II, Ch.I, sect.11), however, and denies that thoughts can exist unperceived. (2) Dualists can argue that the soul always thinks, but that the memory fails to preserve those thoughts when asleep or under anesthesia. (3) Dualists can argue that the Lockean observation is not relevant to the Argument from Indivisibility because the discontinuity Locke identifies in consciousness is not a spatial discontinuity but a temporal one. The Argument from Indivisibility seeks to show that bodies but not minds are spatially divisible and that argument is not rebutted by pointing out that consciousness is temporally divisible. (Indeed, if minds are temporally divisible and bodies are not, we have an argument for dualism of a different sort).

David Hume, on the other hand, questioned of what the unity of consciousness might consist. The Indivisibility Argument suggests that the mind is a simple unity. Hume finds no reason to grant or assume that the diversity of our experiences (whether visual perception, pain or active thinking and mathematical apprehension) constitute a unity rather than a diversity. For Hume, all introspection reveals is the presence of various impressions and ideas, but does not reveal a subject in which those ideas inhere. Accordingly, if observation is to yield knowledge of the self, the self can consist in nothing but a bundle of perceptions. Even talk of a “bundle” is misleading if that suggests an empirically discoverable internal unity. Thus, Descartes’ commitment to a res cogitans or thing which thinks is unfounded and substance dualism is undermined. (For a contrary view on what constitutes the unity of the self, see Madell’s view that, “What unites all of my experiences…is simply that they all have the irreducible and unanalyzable property of ‘mineness,'” in Nagel, 1986, p. 34, n. 5).

Immanuel Kant replied to Hume that we must suppose or posit the unity of the ego (which he called the “transcendental unity of apperception”) as a preliminary to all experience since without such a unity the manifold of sense-data (or “sensibility”) could not constitute, for example, the experience of seeing a clock. However, Kant agreed that we must not mistake the unity of apperception for the perception of unity—that is, the perception of a unitary thing or substance. Kant also argued that there is little reason to suppose that the mind or ego cannot be destroyed despite its unity since its powers may gradually attenuate to the point where they simply fade away. The mind need not be separated into non-physical granules to be destroyed since it can suffer a kind of death through loss of its powers. Awareness, perception, memory and the like admit of degrees. If the degree of consciousness decreases to zero, then the mind is effectively annihilated. Even if, as Plato and Descartes agree, the mind is not divisible, it does not follow that it survives (or could survive) separation from the body. Additionally, if the mind is neither physical nor identical to its inessential characteristics (1980, p. 53), it is impossible to distinguish one mind from another. Kant argues that two substances that are otherwise identical can be differentiated only by their spatial locations. If minds are not differentiated by their contents and have no spatial positions to distinguish them, there remains no basis for individuating their identities. (On numerically individuating non-physical substances, see Armstrong, 1968, pp. 27-29. For a general discussion of whether the self is a substance, see Shoemaker, 1963, ch. 2).

c. The Argument From Indubitability

Descartes’ other major argument for dualism in the Meditations derives from epistemological considerations. After taking up his celebrated method of doubt, which commits him to reject as false anything that is in the slightest degree uncertain, Descartes finds that the entirety of the physical world is uncertain. Perhaps, after all, it is nothing but an elaborate phantasm wrought by an all-powerful and infinitely clever, but deceitful, demon. Still, he cannot doubt his own existence, since he must exist to doubt. Because he thinks, he is. But he cannot be his body, since that identity is doubtful and possibly altogether false. Therefore, he is a non-bodily “thinking thing,” or mind. As Richard Rorty puts it: “If we look in Descartes for a common factor which pains, dreams, memory-images, and veridical and hallucinatory perceptions share with concepts of (and judgments about) God, number, and the ultimate constituents of matter, we find no explicit doctrine. . . . The answer I would give to the question ‘What did Descartes find?’ is ‘Indubitability'” (1979 p. 54). In sum, I cannot doubt the existence of my mind, but I can doubt the existence of my body. Since what I cannot doubt cannot be identical to what I can doubt (by Leibniz’s Law), mind and body are not identical and dualism is established.

This argument is also featured in Descartes’ Discourse on Method part four: “[S]eeing that I could pretend that I had no body and that there was no world nor any place where I was, but that I could not pretend, on that account, that I did not exist; and that, on the contrary, from the very fact that I thought about doubting the truth of other things, it followed very evidently and very certainly that I existed. . . . From this I knew that I was a substance the whole essence or nature of which was merely to think, and which, in order to exist, needed no place and depended on no material things. Thus this ‘I,’ that is, the soul through which I am what I am, is entirely distinct from the body. . .” (1980, p. 18).

The Argument from Indubitability has been maligned in the philosophical literature from the very beginning. Most famously, Arnauld comments in the objections originally published with the Meditations that, “Just as a man errs in not believing that the equality of the square on its base to the squares on its sides belongs to the nature of that triangle, which he clearly and distinctly knows to be right angled, so why am I perhaps not in the wrong in thinking that nothing else belongs to my nature which I clearly and distinctly know to be something that thinks, except that fact that I am this thinking being? Perhaps it also belongs to my essence to be something extended.” (1912, p. 84). Suppose that I cannot doubt whether a given figure is a triangle, but can doubt whether its interior angles add up to two right angles. It does not follow from this that the number of degrees in triangles may be more or less than 180. This is because the doubt concerning the number of degrees in a triangle is a property of me, not of triangles. Similarly, I may doubt that my body is not a property of my body, believing it to be a property of whatever part of me it is that doubts, and that “whatever” may be something extended.

The dualist can reply in two ways. First, he or she may argue that, while doubting the body is not a property of bodies, being doubtable is a property of bodies. Since bodies have the property of being doubtable, and minds do not, by Leibniz’s Law the diversity of the two is established. Second, the dualist may reply that it is always possible to doubt whether the figure before me is a triangle. As such, Arnauld’s supposedly parallel argument is not parallel at all. Similar objections are open against other, more recent rebuttals to Descartes’ argument. Consider, for example, the following parallel argument from Paul Churchland (1988, p. 32): I cannot doubt that Mohammed Ali was a famous heavyweight boxer but can doubt that Cassius Clay was a famous heavyweight boxer. Following Descartes, it ought to be that Ali is not Clay (though in fact Clay was a famous heavyweight and identical to Ali). By way of reply, surely it is possible for an evil demon to deceive me about whether Mohammed Ali was a famous heavyweight boxer. So, the dualist might insist, the case of mind is unique in its immunity from doubt. It is only with reference to our own mental states that we can be said to know incorrigibly.

d. The Real Distinction Argument

A third argument in the Meditations maintains that the mind and body must really be separate because Descartes can conceive of the one without the other. Since he can clearly and distinctly understand the body without the mind and vice versa, God could really have created them separately. But if the mind and body can exist independently, they must really be independent, for nothing can constitute a part of the essence of a thing that can be absent without the thing itself ceasing to be. If the essence of the mind is incorporeal, so must be the mind itself.

4. Other Leibniz’s Law Arguments for Dualism

a. Privacy and First Person Authority

As noted earlier, dualists have argued for their position by employing Leibniz’s Law in many ingenious ways. The general strategy is to identify some property or feature indisputably had by mental phenomena but not attributable in any meaningful way to bodily or nervous phenomena, or vice versa. For example, some have suggested that mental states are private in the sense that only those who possess them can know them directly. If I desire an apple, I know that I have this desire “introspectively.” Others can know of my desire only by means of my verbal or non-verbal behavior or, conceivably, by inspection of my brain. (The latter assumes a correlation, if not an identity, between nervous and mental states or events). My linguistic, bodily and neural activities are public in the sense that anyone suitably placed can observe them. Since mental states are private to their possessors, but brain states are not, mental states cannot be identical to brain states. (Rey pp. 55-56).

A closely related argument emphasizes that my own mental states are knowable without inference; I know them “immediately.” (Harman, 1973, pp. 35-37). Others can know my mental states only by making inferences based on my verbal, non-verbal or neurophysiological activity. You may infer that I believe it will rain from the fact that I am carrying an umbrella, but I do not infer that I believe it will rain from noticing that I am carrying an umbrella. I do not need to infer my mental states because I know them immediately. Since mental states are knowable without inference in the first person case, but are knowable (or at least plausibly assigned) only by inference in the third person case, we have an authority or incorrigibility with reference to our own mental states that no one else could have. Since beliefs about the physical world are always subject to revision (our inferences or theories could be mistaken), mental states are not physical states.

b. Intentionality

Some mental states exhibit intentionality. Intentional mental states include, but are not limited to, intendings, such as plans to buy milk at the store. They are states that are about, of, for, or towards things other than themselves. Desires, beliefs, loves, hates, perceptions and memories are common intentional states. For example, I may have a desire for an apple; I may have love for or towards my neighbor; I may have a belief about republicans or academics; or I may have memories of my grandfather.

The dualist claims that brain states, however, cannot plausibly be ascribed intentionality. How can a pattern of neural firings be of or about or towards anything other than itself? As a purely physical event, an influx of sodium ions through the membrane of a neural cell creating a polarity differential between the inside and outside of the cell wall, and hence an electrical discharge, cannot be of Paris, about my grandfather, or for an apple. [Although Brentano goes further than most contemporary philosophers in regarding all mental phenomena as intentional, he argues that “the reference to something as an object is a distinguishing characteristic of all mental phenomena. No physical phenomena exhibits anything similar.” (Brentano, 1874/1973, p. 97, quoted in Rey, 1997, p. 23).] Thus, by Leibniz’s Law, if minds are capable of intentional states and bodies are not, minds and bodies must be distinct. (Taylor, pp. 11-12; Rey pp. 57-59).

c. Truth and Meaning

Another attempt to derive dualism by means of Leibniz’s Law observes that some mental states, especially beliefs, have truth-values. My belief that it will rain can be either true or false. But, the dualist may urge, as a purely physical event, an electrical or chemical discharge in the brain cannot be true or false. Indeed, it lacks not only truth, but also linguistic meaning. Since mental states such as beliefs possess truth-value and semantics, it seems incoherent to attribute these properties to bodily states. Thus, mental states are not bodily states. Presumably, then, the minds that have these states are also non-physical. (Churchland, 1988, p. 30; Taylor, 1983, p. 12).

d. Problems with Leibniz’s Law Arguments for Dualism

Although each of these arguments for dualism may be criticized individually, they are typically thought to share a common flaw: they assume that because some aspect of mental states, such as privacy, intentionality, truth, or meaning cannot be attributed to physical substances, they must be attributable to non-physical substances. But if we do not understand how such states and their properties can be generated by the central nervous system, we are no closer to understanding how they might be produced by minds. (Nagel, 1986, p. 29). The question is not, “How do brains generate mental states that can only be known directly by their possessors?” Rather, the relavent question is “How can any such thing as a substance, of whatever sort, do these things?” The mystery is as great when we posit a mind as the basis of these operations or capacities as when we attribute them to bodies. Dualists cannot explain the mechanisms by which souls generate meaning, truth, intentionality or self-awareness.Thus, dualism creates no explanatory advantage. As such, we should use Ockham’s razor to shave off the spiritual substance, because we ought not to multiply entities beyond what is necessary to explain the phenomena. Descartes’ prodigious doubt notwithstanding, we have excellent reasons for thinking that bodies exist. If the only reasons for supposing that non-physical minds exist are the phenomena of intentionality, privacy and the like, then dualism unnecessarily complicates the metaphysics of personhood.

On the other hand, dualists commonly argue that it makes no sense to attribute some characteristics of body to mind; that to do so is to commit what Gilbert Ryle called a “category mistake.” For example, it makes perfect sense to ask where the hypothalamus is, but not, in ordinary contexts, to ask where my beliefs are. We can ask how much the brain weighs, but not how much the mind weighs. We can ask how many miles per hour my body is moving, but not how many miles per hour my mind is moving. Minds are just not the sorts of things that can have size, shape, weight, location, motion, and the other attributes that Descartes ascribes to extended reality. We literally could not understand someone who informed us that the memories of his last holiday are two inches behind the bridge of his nose or that his perception of the color red is straight back from his left eye. If these claims are correct, then some Leibniz’s Law arguments for dualism are not obviously vulnerable to the critique above.

5. The Free Will and Moral Arguments

Another argument for dualism claims that dualism is required for free will. If dualism is false, then presumably materialism, the thesis that humans are entirely physical beings, is true. (We set aside consideration of idealism—the thesis that only minds and ideas exist). If materialism were true, then every motion of bodies should be determined by the laws of physics, which govern the actions and reactions of everything in the universe. But a robust sense of freedom presupposes that we are free, not merely to do as we please, but that we are free to do otherwise than as we do. This, in turn, requires that the cause of our actions not be fixed by natural laws. Since, according to the dualist, the mind is non-physical, there is no need to suppose it bound by the physical laws that govern the body. So, a strong sense of free will is compatible with dualism but incompatible with materialism. Since freedom in just this sense is required for moral appraisal, the dualist can also argue that materialism, but not dualism, is incompatible with ethics. (Taylor, 1983, p. 11; cf. Rey, 1997, pp. 52-53). This, the dualist may claim, creates a strong presumption in favor of their metaphysics.

This argument is sometimes countered by arguing that free will is actually compatible with materialism or that even if the dualistic account of the will is correct, it is irrelevant because no volition on the part of a non-physical substance could alter the course of nature anyway. As Bernard Williams puts it, “Descartes’ distinction between two realms, designed to insulate responsible human action from mechanical causation, insulated the world of mechanical causation, that is to say, the whole of the external world, from responsible human action. Man would be free only if there was nothing he could do.” (1966, p. 7). Moreover, behaviorist opponents argue that if dualism is true, moral appraisal is meaningless since it is impossible to determine another person’s volitions if they are intrinsically private and otherworldly.

6. Property Dualism

Property dualists claim that mental phenomena are non-physical properties of physical phenomena, but not properties of non-physical substances. Property dualists are not committed to the existence of non-physical substances, but are committed to the irreducibility of mental phenomena to physical phenomena.

An argument for property dualism, derived from Thomas Nagel and Saul Kripke, is as follows: We can assert that warmth is identical to mean kinetic molecular energy, despite appearances, by claiming that warmth is how molecular energy is perceived or manifested in consciousness. Minds detect molecular energy by experiencing warmth; warmth “fixes the reference” of heat. (“Heat” is a rigid designator of molecular motion; “the sensation of heat” is a non-rigid designator.) Similarly, color is identical to electromagnetic reflectance efficiencies, inasmuch as color is how electromagnetic wavelengths are processed by human consciousness. In these cases, the appearance can be distinguished from the reality. Heat is molecular motion, though it appears to us as warmth. Other beings, for example, Martians, might well apprehend molecular motion in another fashion. They would grasp the same objective reality, but by correlating it with different experiences. We move toward a more objective understanding of heat when we understand it as molecular energy rather than as warmth. in our case, or as whatever it appears to them to be in theirs. Consciousness itself, however, cannot be reduced to brain activity along analogous lines because we should then need to say that consciousness is how brain activity is perceived in consciousness, leaving consciousness unreduced. Put differently, when it comes to consciousness, the appearance is the reality. Therefore, no reduction is possible. Nagel writes:

Experience . . . does not seem to fit the pattern. The idea of moving from appearance to reality seems to make no sense here. What is the analogue in this case to pursuing a more objective understanding of the same phenomena by abandoning the initial subjective viewpoint toward them in favor of another that is more objective but concerns the same thing? Certainly it appears unlikely that we will get closer to the real nature of human experience by leaving behind the particularity of our human point of view and striving for a description in terms accessible to beings that could not imagine what it was like to be us. (Nagel 1974; reprinted in Block et. al. p. 523).

Consciousness is thus sui generis (of its own kind), and successful reductions elsewhere should give us little confidence when it comes to experience.

Some property dualists, such as Jaegwon Kim, liken “having a mind” to “a property, capacity, or characteristic that humans and some higher animals possess in contrast with things like pencils and rocks. . . . Mentality is a broad and complex property.” (Kim, 1996, p. 5). Kim continues: “[Some properties] are physical, like having a certain mass or temperature, being 1 meter long, and being heavier than. Some things—in particular, persons and certain biological organisms—can also instantiate mental properties, like being in pain and liking the taste of avocado.” (p. 6). Once we admit the existence of mental properties, we can inquire into the nature of the relationship between mental and physical properties. According to the supervenience thesis, there can be no mental differences without corresponding physical differences. If, for example, I feel a headache, there must be some change not only in my mental state, but also in my body (presumably, in my brain). If Mary is in pain, but Erin is not, then, according to the supervenience thesis, there must be a physical difference between Mary and Erin. For example, Mary’s c-fibers are firing and Erin’s are not. If this is true, it is possible to argue for a type of property dualism by arguing that some mental states or properties, especially the phenomenal aspects of consciousness, do not “supervene on” physical states or properties in regular, lawlike ways. (Kim, p. 169).

Why deny supervenience? Because it seems entirely conceivable that there could exist a twin Earth where all of the physical properties that characterize the actual world are instantiated and are interrelated as they are here, but where the inhabitants are “zombies” without experience, or where the inhabitants have inverted qualia relative to their true-Earth counterparts. If it is possible to have mental differences without physical differences, then mental properties cannot be identical to or reducible to physical properties. They would exist as facts about the world over and above the purely physical facts. Put differently, it always makes sense to wonder “why we exist and not zombies.” (Chalmers, 1996, p. 110). (Kim, 169 and following.; Kripke, 1980, throughout; Chalmers, 1996, throughout, but esp. chs. 3 & 4).

Some have attempted to rebut this “conceivability argument” by noting that the fact that we can ostensibly imagine such a zombie world does not mean that it is possible. Without the actual existence of such a world, the argument that mental properties do not supervene on physical properties fails.

A second rebuttal avers that absent qualia thought experiments (and inverted spectra though experiments) only support property dualism if we can imagine these possibilities obtaining. Perhaps we think we can conceive a zombie world, when we really can’t. We may think we can conceive of such a world but attempts to do so do not actually achieve such a conception.

To illustrate, suppose that Goldbach’s Conjecture is true. If it is, its truth is necessary. If, then, someone thought that they imagined a proof that the thesis is false, they would be conceiving the falsity of what is in reality a necessary truth. This is implausible. What we should rather say in such a case is that the person was mistaken, and that what they imagined false was not Goldbach’s Conjecture after all, or that the “proof” that was imagined was in fact no proof, or that what they were really imagining was something like an excited mathematician shouting, “Eureka! So it’s false then!” Perhaps it is likewise when we “conceive” a zombie universe. We may be mistaken about what it is that we are actually “picturing” to ourselves. Against this objection, however, one could argue that there are independent grounds for thinking that the truth-value of Goldbach’s theorem is necessary and no independent reasons for thinking that Zombie worlds are impossible; therefore, the dualist deserves the benefit of the doubt.

But perhaps the physicalist can come up with independent reasons for supposing that the dualist has failed to imagine what she claims. The physicalist can point, for example, to successful reductions in other areas of science. On the basis of these cases she can argue the implausibility of supposing that, uniquely, mental phenomena resist reduction to the causal properties of matter. That is, an inductive argument for reduction outweighs a conceivability argument against reduction. And in that case, the dualist must do more than merely insist that she has correctly imagined inverted spectra in isomorphic individuals. (For useful discussions of some of these issues, see Tye 1986 and Horgan 1987.)

7. Objections to Dualism Motivated by Scientific Considerations

The Ockham’s Razor argument creates a strong methodological presumption against dualism, suggesting that the mind-body split multiplies entities unnecessarily in much the way that a demon theory of disease complicates the metaphysics of medicine compared to a germ theory. It is often alleged, more broadly, that dualism is unscientific and renders impossible any genuine science of mind or truly empirical psychology.

a. Arguments from Human Development

Those eager to defend the relevance of science to the study of mind, such as Paul Churchland, have argued that dualism is inconsistent with the facts of human evolution and fetal development. (1988, pp. 27-28; see also Lycan, 1996, p. 168). According to this view, we began as wholly physical beings. This is true of the species and the individual human. No one seriously supposes that newly fertilized ova are imbued with minds or that the original cell in the primordial sea was conscious. But from those entirely physical origins, nothing non-physical was later added. We can explain the evolution from the unicellular stage to present complexities by means of random mutations and natural selection in the species case and through the accretion of matter through nutritional intake in the individual case. But if we, as species or individuals, began as wholly physical beings and nothing nonphysical was later added, then we are still wholly physical creatures. Thus, dualism is false. The above arguments are only as strong as our reasons for thinking that we began as wholly material beings and that nothing non-physical was later added. Some people, particularly the religious, will object that macro-evolution of a species is problematic or that God might well have infused the developing fetus with a soul at some point in the developmental process (traditionally at quickening). Most contemporary philosophers of mind put little value in these rejoinders.

b. The Conservation of Energy Argument

Others argue that dualism is scientifically unacceptable because it violates the well-established principle of the conservation of energy. Interactionists argue that mind and matter causally interact. But if the spiritual realm is continually impinging on the universe and effecting changes, the total level of energy in the cosmos must be increasing or at least fluctuating. This is because it takes physical energy to do physical work. If the will alters states of affairs in the world (such as the state of my brain), then mental energy is somehow converted into physical energy. At the point of conversion, one would anticipate a physically inexplicable increase in the energy present within the system. If it also takes material energy to activate the mind, then “physical energy would have to vanish and reappear inside human brains.” (Lycan, 1996, 168).

The dualists’ basically have three ways of replying. First, they could deny the sacredness of the principle of the conservation of energy. This would be a desperate measure. The principle is too well established and its denial too ad hoc. Second, the dualist might offer that mind does contribute energy to our world, but that this addition is so slight, in relation to our means of detection, as to be negligible. This is really a re-statement of the first reply above, except that here the principle is valid in so far as it is capable of verification. Science can continue as usual, but it would be unreasonable to extend the law beyond our ability to confirm it experimentally. That would be to step from the empirical to the speculative—the very thing that the materialist objects to in dualism. The third option sidesteps the issue by appealing to another, perhaps equally valid, principle of physics. Keith Campbell (1970) writes:

The indeterminacy of quantum laws means that any one of a range of outcomes of atomic events in the brain is equally compatible with known physical laws. And differences on the quantum scale can accumulate into very great differences in overall brain condition. So there is some room for spiritual activity even within the limits set by physical law. There could be, without violation of physical law, a general spiritual constraint upon what occurs inside the head. (p. 54)

Mind could act upon physical processes by “affecting their course but not breaking in upon them” (1970, p. 54). If this is true, the dualist could maintain the conservation principle but deny a fluctuation in energy because the mind serves to “guide” or control neural events by choosing one set of quantum outcomes rather than another. Further, it should be remembered that the conservation of energy is designed around material interaction; it is mute on how mind might interact with matter. After all, a Cartesian rationalist might insist, if God exists we surely wouldn’t say that He couldn’t do miracles just because that would violate the first law of thermodynamics, would we?

c. Problems of Interaction

The conservation of energy argument points to a more general complaint often made against dualism: that interaction between mental and physical substances would involve a causal impossibility. Since the mind is, on the Cartesian model, immaterial and unextended, it can have no size, shape, location, mass, motion or solidity. How then can minds act on bodies? What sort of mechanism could convey information of the sort bodily movement requires, between ontologically autonomous realms? To suppose that non-physical minds can move bodies is like supposing that imaginary locomotives can pull real boxcars. Put differently, if mind-body interaction is possible, every voluntary action is akin to the paranormal power of telekinesis, or “mind over matter.” If minds can, without spatial location, move bodies, why can my mind move immediately only one particular body and no others? Confronting the conundrum of interaction implicit in his theory, Descartes posited the existence of “animal spirits” somewhat subtler than bodies but thicker than minds. Unfortunately, this expedient proved a dead-end, since it is as incomprehensible how the mind could initiate motion in the animal spirits as in matter itself.

These problems involved in mind-body causality are commonly considered decisive refutations of interactionism. However, many interesting questions arise in this area. We want to ask: “How is mind-body interaction possible? Where does the interaction occur? What is the nature of the interface between mind and matter? How are volitions translated into states of affairs? Aren’t minds and bodies insufficiently alike for the one to effect changes in the other?”

It is useful to be reminded, however, that to be bewildered by something is not in itself to present an argument against, or even evidence against, the possibility of that thing being a matter of fact. To ask “How is it possible that . . . ?” is merely to raise a topic for discussion. And if the dualist doesn’t know or cannot say how minds and bodies interact, what follows about dualism? Nothing much. It only follows that dualists do not know everything about metaphysics. But so what? Psychologists, physicists, sociologists, and economists don’t know everything about their respective disciplines. Why should the dualist be any different? In short, dualists can argue that they should not be put on the defensive by the request for clarification about the nature and possibility of interaction or by the criticism that they have no research strategy for producing this clarification.

The objection that minds and bodies cannot interact can be the expression of two different sorts of view. On the one hand, the detractor may insist that it is physically impossible that minds act on bodies. If this means that minds, being non-physical, cannot physically act on bodies, the claim is true but trivial. If it means that mind-body interaction violates the laws of physics (such as the first law of thermodynamics, discussed above), the dualist can reply that minds clearly do act on bodies and so the violation is only apparent and not real. (After all, if we do things for reasons, our beliefs and desires cause some of our actions). If the materialist insists that we are able to act on our beliefs, desires and perceptions only because they are material and not spiritual, the dualist can turn the tables on his naturalistic opponents and ask how matter, regardless of its organization, can produce conscious thoughts, feelings and perceptions. How, the dualist might ask, by adding complexity to the structure of the brain, do we manage to leap beyond the quantitative into the realm of experience? The relationship between consciousness and brain processes leaves the materialist with a causal mystery perhaps as puzzling as that confronting the dualist.

On the other hand, the materialist may argue that it is a conceptual truth that mind and matter cannot interact. This, however, requires that we embrace the rationalist thesis that causes can be known a priori. Many prefer to assert that causation is a matter for empirical investigation. We cannot, however, rule out mental causes based solely on the logic or grammar of the locutions “mind” and “matter.” Furthermore, in order to defeat interactionism by an appeal to causal impossibility, one must first refute the Humean equation of causal connection with regularity of sequence and constant conjunction. Otherwise, anything can be the cause of anything else. If volitions are constantly conjoined with bodily movements and regularly precede them, they are Humean causes. In short, if Hume is correct, we cannot refute dualism a priori by asserting that transactions between minds and bodies involve links where, by definition, none can occur.

Some, such as Ducasse (1961, 88; cf. Dicker pp. 217-224), argue that the interaction problem rests on a failure to distinguish between remote and proximate causes. While it makes sense to ask how depressing the accelerator causes the automobile to speed up, it makes no sense to ask how pressing the accelerator pedal causes the pedal to move. We can sensibly ask how to spell a word in sign language, but not how to move a finger. Proximate causes are “basic” and analysis of them is impossible. There is no “how” to basic actions, which are brute facts. Perhaps the mind’s influence on the pineal gland is basic and brute.

One final note: epiphenomenalism, like occasionalism and parallelism, is a dualistic theory of mind designed, in part, to avoid the difficulties involved in mental-physical causation (although occasionalism was also offered by Malebranche as an account of seemingly purely physical causation). According to epiphenomenalism, bodies are able to act on minds, but not the reverse. The causes of behavior are wholly physical. As such, we need not worry about how objects without mass or physical force can alter behavior. Nor need we be concerned with violations of the conservation of energy principle since there is little reason to suppose that physical energy is required to do non-physical work. If bodies affect modifications in the mental medium, that need not be thought to involve a siphoning of energy from the world to the psychic realm. On this view, the mind may be likened to the steam from a train engine; the steam does not affect the workings of the engine but is caused by it. Unfortunately, epiphenomenalism avoids the problem of interaction only at the expense of denying the common-sense view that our states of mind have some bearing on our conduct. For many, epiphenomenalism is therefore not a viable theory of mind. (For a defense of the common-sense claim that beliefs and attitudes and reasons cause behavior, see Donald Davidson.)

d. The Correlation and Dependence Arguments

The correlation and dependence argument against dualism begins by noting that there are clear correlations between certain mental events and neural events (say, between pain and a-fiber or c-fiber stimulation). Moreover, as demonstrated in such phenomena as memory loss due to head trauma or wasting disease, the mind and its capacities seem dependent upon neural function. The simplest and best explanation of this dependence and correlation is that mental states and events are neural states and events and that pain just is c-fiber stimulation. (This would be the argument employed by an identity theorist. A functionalist would argue that the best explanation for the dependence and correlation of mental and physical states is that, in humans, mental states are brain states functionally defined).

Descartes himself anticipated an objection like this and argued that dependence does not strongly support identity. He illustrates by means of the following example: a virtuoso violinist cannot manifest his or her ability if given an instrument in deplorable or broken condition. The manifestation of the musician’s ability is thus dependent upon being able to use a well-tuned instrument in proper working order. But from the fact that the exhibition of the maestro’s skill is impossible without a functioning instrument, it hardly follows that being skilled at playing the violin amounts to no more than possessing such an instrument. Similarly, the interactionist can claim that the mind uses the brain to manifest it’s abilities in the public realm. If, like the violin, the brain is in a severely diseased or injurious state, the mind cannot demonstrate its abilities; they of necessity remain private and unrevealed. However, for all we know, the mind still has its full range of abilities, but is hindered in its capacity to express them. As for correlation, interactionism actually predicts that mental events are caused by brain events and vice versa, so the fact that perceptions are correlated with activity in the visual cortex does not support materialism over this form of dualism. Property dualists agree with the materialists that mental phenomena are dependent upon physical phenomena, since the fomer are (non-physical) attributes of the latter. Materialists are aware of these dualist replies and sometimes invoke Ockham’s razor and the importance of metaphysical simplicity in arguments to the best explanation. (See Churchland, 1988, p. 28). Other materialist responses will not be considered here.

8. The Problem of Other Minds

The problem of how we can know other minds has been used as follows to refute dualism. If the mind is not publicly observable, the existence of minds other than our own must be inferred from the behavior of the other person or organism. The reliability of this inference is deeply suspect, however, since we only know that certain mental states cause characteristic behavior from our own case. To extrapolate to the population as a whole from the direct inspection of a single example, our own case, is to make the weakest possible inductive generalization. Hence, if dualism is true, we cannot know that other people have minds at all. But common sense tell us that others do have minds. Since common sense can be trust, dualism is false.

This problem of other minds, to which dualism leads so naturally, is often used to support rival theories such as behaviorism, the mind-brain identity theory, or functionalism (though functionalists sometimes claim that their theory is consistent with dualism). Since the mind, construed along Cartesian lines, leads to solipsism (that is, to the epistemological belief that one’s self is the only existence that can be verified and known), it is better to operationalize the mind and define mental states behaviorally, functionally, or physiologically. If mental states are just behavioral states, brain states, or functional states, then we can verify that others have mental states on the basis of publicly observable phenomena, thereby avoiding skepticism about other selves.

Materialist theories are far less vulnerable to the problem of other minds than dualist theories, though even here other versions of the problem stubbornly reappear. Deciding to define mental states behaviorally does not mean that mental states are behavioral, and it is controversial whether attempts to reduce mentality to behavioral, brain, or functional states have been successful. Moreover, the “Absent Qualia” argument claims that it is perfectly imaginable and consistent with everything that we know about physiology that, of two functionally or physiologically isomorphic beings, one might be conscious and the other not. Of two outwardly indistinguishable dopplegangers, one might have experience and the other none. Both would exhibit identical neural activity; both would insist that they can see the flowers in the meadow and deny that they are “blind”; both would be able to obey the request to go fetch a red flower; and yet only one would have experience. The other would be like an automaton. Consequently, it is sometimes argued, even a materialist cannot be wholly sure that other existing minds have experience of a qualitative (whence, “qualia”) sort. The problem for the materialist then becomes not the problem of other minds, but the problem of other qualia. The latter seems almost as severe an affront to common sense as the former. (For an interesting related discussion, see Churchland on eliminative materialism, 1988, pp. 43-49.)

9. Criticisms of the Mind as a Thinking Thing

We earlier observed that some philosophers, such as Hume, have objected that supposing that the mind is a thinking thing is not warranted since all we apprehend of the self by introspection is a collection of ideas but never the mind that purportedly has these ideas. All we are therefore left with is a stream of impressions and ideas but no persisting, substantial self to constitute personal identity. If there is no substratum of thought, then substance dualism is false. Kant, too, denied that the mind is a substance. Mind is simply the unifying factor that is the logical preliminary to experience.

The idea that the mind is not a thinking thing was revived in the twentieth century by philosophical behaviorists. According to Gilbert Ryle in his seminal 1949 work The Concept of Mind, “when we describe people as exercising qualities of mind, we are not referring to occult episodes of which their overt acts and utterances are effects; we are referring to those overt acts and utterances themselves.” (p. 25). Thus, “When a person is described by one or other of the intelligence epithets such as ‘shrewd’ or ‘silly’, ‘prudent’ or ‘imprudent’, the description imputes to him not the knowledge, or ignorance, of this or that truth, but the ability, or inability, to do certain sorts of things.” (p. 27). For the behaviorist, we say that the clown is clever because he can fall down deliberately yet make it look like an accident We say the student is bright because she can tell us the correct answer to complex, involved equations. Mental events reduce to bodily events or statements about the body. As Ludwig Wittgenstein notes in his Blue Book:

It is misleading then to talk of thinking as of a “mental activity.” We may say that thinking is essentially the activity of operating with signs. This activity is performed by the hand, when we think by writing; by the mouth and larynx, when we think by speaking; and if we think by imagining signs or pictures, I can give you no agent that thinks. If then you say that in such cases the mind thinks, I would only draw your attention to the fact that you are using a metaphor. (1958, p. 6)

John Wisdom (1934) explains: “‘I believe monkeys detest jaguars’ means ‘This body is in a state which is liable to result in the group of reactions which is associated with confident utterance of ‘Monkeys detest jaguars,’ namely keeping ‘favorite’ monkeys from jaguars and in general acting as if monkeys detested jaguars.'” (p. 56-7).

Philosophical behaviorism as developed by followers of Wittgenstein was supported in part by the Private Language Argument. Anthony Kenny (1963) explains:

Any word purporting to be the name of something observable only by introspection (i.e. a mental event)… would have to acquire its meaning by a purely private and uncheckable performance . . . If the names of the emotions acquire their meaning for each of us by a ceremony from which everyone else is excluded, then none of us can have any idea what anyone else means by the word. Nor can anyone know what he means by the word himself; for to know the meaning of a word is to know how to use it rightly; and where there can be no check on how a man uses a word there is no room to talk of “right” and “wrong” use (p. 13).

Mentalistic terms do not have meaning by virtue of referring to occult phenomena, but by virtue of referring to something public in a certain way. To understand the meaning of words like “mind,” “idea,” “thought,” “love,” “fear,” “belief,” “dream,” and so forth, we must attend to how these words are actually learned in the first place. When we do this, the behaviorist is confident that the mind will be demystified.

Although philosophical behaviorism has fallen out of fashion, its recommendations to attend to the importance of the body and language in attempting to understand the mind have remained enduring contributions. Although dualism faces serious challenges, we have seen that many of these difficulties can be identified in its philosophical rivals in slightly different forms.

10. References and Further Reading

  • Aristotle, Categories.
  • Armstrong, D. M.: A Materialist Theory of the Mind (Routledge and Kegan Paul, London 1968) Chapter Two.
  • Baker, Gordon and Morris, Katherine J. Descartes’ Dualism (Routledge, London 1996).
  • Block, Ned, Owen Flanagan, and Gueven Guezeldere eds. The Nature of Consciousness: Philosophical Debates (MIT Press, Cambridge 1997).
  • Brentano, Franz: Psychology from an Empirical Standpoint trans. A. Rancurello, D. Terrell, and L. McAlister (Routledge and Kegan Paul, London 1874/1973).
  • Broad, C. D. Mind and Its Place in Nature (Routledge and Kegan Paul, London 1962).
  • Campbell, Keith: Body and Mind (Anchor Books, Doubleday & Co., Garden City NJ 1970).
  • Chalmers, David J.: The Conscious Mind: In Search of a Fundamental Theory (Oxford University Press, Oxford 1996).
  • Churchland, Paul: Matter and Consciousness, Revised Edition (MIT Press, Cambridge MA 1988).
  • Davidson, Donald: “Actions, Reasons and Causes” The Journal of Philosophy 60 (1963) pp. 685- 700, reprinted in The Philosophy of Action, Alan White, ed. (Oxford University Press, Oxford 1973).
  • Descartes, Rene: Discourse on Method and Meditations on First Philosophy, Donald A. Cress trans. (Hackett Publishing Co., Indianapolis 1980).
  • Descartes, Rene: Descartes’ Philosophical Writings, selected and translated by Norman Kemp Smith (Macmillan, London 1952).
  • Descartes, Rene: The Philosophical Works of Descartes, vol.2, Elizabeth S. Haldane, trans. (Cambridge University Press, 1912).
  • Dicker, Georges: Descartes: An Analytical and Historical Introduction (Oxford University Press, Oxford 1993).
  • Ducasse, C. J.: “In Defense of Dualism” in Dimensions of Mind, Sydney Hook, ed. (Macmillan, NY 1961).
  • Garber, Daniel: Descartes Embodied: Reading Cartesian Philosophy through Cartesian Science (Cambridge University Press, Cambridge 2001).
  • Harman, Gilbert: Thought (Princeton University Press, Princeton 1973).
  • Hart, William D. “Dualism” in A Companion to the Philosophy of Mind, Samuel Guttenplan, ed. (Basil Blackwell, Oxford 1994) pp. 265-269.
  • Horgan, Terence: “Supervenient Qualia” Philosophical Review 96 (1987) pp. 491-520.
  • Hume, David: An Enquiry Concerning Human Understanding (Hackett Publishing, Indianapolis 1977).
  • Joad, C. E. M.: How Our Minds Work (Philosophical Library, 1947).
  • Kant, Immanuel: Critique of Pure Reason, Norman Kemp Smith, trans. (Macmillan, London 1963).
  • Kenny, Anthony: Action, Emotion and the Will (Routledge & Kegan Paul, London 1963).
  • Kim, Jaegwon: Philosophy of Mind (Westview Press, Boulder 1996).
  • Kripke, Saul: Naming and Necessity (Harvard University Press, Cambridge 1980).
  • Locke, John: Essay Concerning Human Understanding vol. 1, collated and annotated by Alexander Fraser (Dover Publications, NY 1959).
  • Lycan, William: “Philosophy of Mind” in The Blackwell companion to Philosophy, Nicholas Bunnin and E. P. Tsui-James eds. (Blackwell Publishers, Oxford 1996).
  • Madell, G. The Identity of the Self (Edinburgh University Press, 1983).
  • Malcolm, Norman: “Knowledge of Other Minds” in The Philosophy of Mind, V. C. Chappell, ed. (Prentice-Hall , Englewood Cliffs 1962).
  • McLaughlin, Brian P.: “Epiphenomenalism” in A Companion to the Philosophy of Mind, Samuel Guttenplan, ed. (Blackwell, Oxford 1994).
  • Mill, J. S. : An Examination of Sir William Hamilton’s Philosophy, 6th ed. (Longman’s, London 1889).
  • Nagel, Thomas: “Brain Bisection and the Unity of Consciousness” in Jonathan Glover, ed. The Philosophy of Mind (Oxford University Press, Oxford 1976).
  • Nagel, Thomas: The View From Nowhere (Oxford University Press, Oxford 1986).
  • Nagel, Thomas: “What Is It Like to Be a Bat?” Philosophical Review 83 (1974) 435-450.
  • Plato: Meno.
  • Plato: Phaedo.
  • Rey, Georges: Contemporary Philosophy of Mind (Blackwell Publishers, Cambridge 1997).
  • Rorty, Richard: Philosophy and the Mirror of Nature (Princeton University Press, Princeton NJ 1979).
  • Rorty, Richard: “Mind-Body Identity, Privacy and Categories” in The Mind/Brain Identity Theory, C. V. Borst ed. (Macmillan, London 1970).
  • Ryle, Gilbert: The Concept of Mind, (University Paperbacks, Barnes & Noble, NY 1949).
  • Shoemaker, Sydney: Self-Knowledge and Self-Identity (Cornell University Press, Ithaca 1963).
  • Taylor, Richard: Metaphysics, 3rd edition (Prentice Hall, Englewood Cliffs 1983).
  • Tye, Michael: “The Subjective Qualities of Experience” Mind 95 (Jan. 1986) pp. 1-17.
  • Williams, Bernard: “Freedom and the Will” in Freedom and the Will, D. F. Pears, ed. (Macmillan, London 1966).
  • Wisdom, John: Problems of Mind and Matter, (Cambridge University Press, 1934).
  • Wittgenstein, Ludwig: The Blue and Brown Books (Harper & Row, NY 1958).

Author Information

Scott Calef
Email: swcalef@owu.edu
Ohio Wesleyan University
U. S. A.

Donald Davidson: Anomalous Monism

davidson2Anomalous Monism is a type of property dualism in the philosophy of mind. Property dualism combines the thesis that mental phenomena are strictly irreducible to physical phenomena with the denial that mind and body are discrete substances. For the anomalous monist, the plausibility of property dualism derives from the fact that although mental states, events and processes have genuine causal powers, the causal relationships that they enter into with physical entities cannot be explained by appeal to fundamental laws of nature. This doctrine about the relationship between mind and body was first explicitly defended by Donald Davidson in his paper “Mental Events,” though its root in the Western philosophical tradition go back at least as far as Spinoza. It was a topic of energetic debate and disagreement among English-speaking philosophers for the last thirty years of the twentieth century.

The extent to which Davidson’s commitment to anomalous monism turns out to derive from his views about methodology is partly obscured by his own tendency (shared by the majority of both his followers and his critics) to discuss issues connected with the mind/body problem in traditionally metaphysical terms. But whenever he actually sets about the task of defending the statement that mental events cause physical events, what is at issue always turns out to be a distinctively methodological question: When we set about explaining the actions of other human beings, to what extent must we employ our own, perhaps entirely parochial, standards for determining what counts as rational behavior?

Table of Contents

  1. A Trilemma
  2. Historical Precursors
    1. Parallelism
    2. Verstehen Theory
  3. Mental Events are Physical Events
  4. The Irreducibility of the Mental
    1. Supervenience and Anomalous Monism
    2. “Strict” and “Non-Strict” Natural Laws
  5. A Methodological Postscript
  6. References and Further Reading

1. A Trilemma

Anomalous Monism (AM) is a philosophical thesis about the place of the mind and of mental states in the natural order. The term was first used by Donald Davidson in his 1970 paper “Mental Events.” Since the publication of this paper, Davidson has re-described and refined his position on the mind/body problem in a number of different ways, and both critics and supporters of AM have come up with their own characterizations of the thesis, many of which appear to differ from Davidson’s in non-trivial ways. Nonetheless, AM is distinguished from other positions in the philosophy of mind by the three following claims:

  1. Mental events cause physical events.
  2. All causal relationships are backed by natural laws.
  3. There are no natural laws connecting mental phenomena with physical phenomena.

Taken separately, none of these claims has won anything like universal support from philosophers in the contemporary tradition. So-called “epiphenomenalists” about the nature of mental events and processes would certainly deny the truth of (1). (2) appears to require both denying that the notion of a causal disposition is more primitive than that of a natural law, as well as affirming an implausibly strict distinction between genuine laws of nature and mere statistical generalizations. And proponents of a reductionist view of the mind, at least as this sort of position has traditionally been articulated, would certainly have to deny the truth of (3).

Even if none of these arguments are successful, this trio of claims gives off a pretty strong whiff of inconsistency. Nonetheless, Davidson maintains that all three are true. The best route to understanding this is to start out by taking a somewhat broader look at the relevant historical backdrop. It is also necessary to acquaint oneself with Davidson’s broader philosophical program.

2. Historical Precursors

a. Parallelism

The early modern philosopher whose views on the relationship between mind and body bear the closest similarity to AM is Benedict De Spinoza. Like most philosophers of his period, Spinoza was preoccupied with the central problem of the Cartesian inheritance, namely, that of accounting for the apparently systematic causal interaction between mind and body. This problem had arisen for Descartes specifically because he had believed that mind and body were discrete types of substances with irreconcilable natures. ContraDescartes, Spinoza denied that mind and body were separate substances at all, and proposed instead that they are merely separate attributes of a single substance. He suggested that, for every physical item P, there is a corresponding mental item I(P), which he identified as “the idea of P.” The human mind, for example, was nothing for Spinoza but the “idea” of the human body. These “ideas” differ from one another in “perfection,” based upon the complexity of the physical object to which each corresponds.

In Book Two of the Ethics, Spinoza goes on to defend (very briefly) the doctrine of psycho-physical parallelism. He proposes that “the order and connection of ideas is the same as the order and connection of things.” [de Spinoza, 1949, p. 83] This remark is usually taken to imply that for every causal chain of ideas, there is a sequence of physical causes and effects that run parallel to it through time, like so [see Bennett pp. 127-132]:

t1 t2 t3 t4 t5
Sequence A P1 P2 P3 P4 P5
Sequence B I(P)1 I(P)2 I(P)3 I(P)4 I(P)5

Spinoza showed no obvious sign of interest in whether one of these two causal orders is more fundamental. But since he was a strict determinist, it seems he believed that the relations that obtain among the items belonging to both causal sequences were law-like in nature. He may thus plausibly be read as having accepted the truth of something like statement (1).

A further distinctive feature of Spinoza’s metaphysical monism, however, was his denial that there could be any ‘causal flow’ between different attributes of the single substance that he identified both with God and with Nature. This might make it appear that he have endorsed statement (3) of our original trilemma at the price of rejecting statement (1).

But when we read the Ethics from the other side of the ‘linguistic turn’ in twentieth century Western philosophy, there is a strong temptation to reinterpret Spinoza’s metaphysical distinction between a single substance and its many attributes. Post linguistic turn, this amounts to the distinction between a single class of entities and the plurality of equally well-grounded ways that may exist of describing them. It is thus perhaps not too coercive to interpret Spinoza’s parallelism as implying that there is a systematic problem with the practice of referring to mental and physical phenomena as entering into causal relations with one another. But this is perfectly consistent with the truth of statement (1). In this qualified sense, then, Spinozistic parallelism may be viewed as a genuine historical precursor to AM.

Two questions immediately arise about the doctrine of parallelism as just described. First, if there really is an absolutely reliable pairing-off between the constituents of physical and mental causal chains, then why couldn’t we just use characterizations of items in Sequence B as though they referred to items in Sequence A? Why couldn’t claims about the “ideas” of objects be used in the natural sciences, but there understood as merely abbreviating claims about those physical objects themselves? The feature of Spinoza’s philosophy that makes it impossible for him to allow for this is his commitment to causal rationalism – the thesis that for any genuinely causal relationship one should always be able to deduce the effect from a true description of the cause [see de Spinoza, 1949, p. 42ff]. This is not a doctrine that would appeal to the sensibilities of many contemporary philosophers, but it does turn out to have an important analog in Davidson’s treatment of the mind/body problem.

The second question that arises about Spinoza’s parallelism concerns the fact that even the very simplest and most transparent of mental phenomena appear to depend for their existence upon a highly complex collection of physical phenomena. But then why suppose that just any physical event, no matter how simple (the movement of a single electron, say) must have an ideational correlate? If one chooses to hypothesize that a specific degree of physical complexity is necessary for a mental phenomenon to occur, then the threat (or promise) of reductionism looms. But most contemporary philosophers would certainly favor reductionism over the alternative of panpsychism that Spinoza himself embraces [de Spinoza, 1949, p. 90]. Interestingly Davidson himself also ends up embracing an analog of panpsychism in the course of his struggle to harmonize statements (1) –(3).

b. Verstehen Theory

Davidson’s own views about the nature of mind emerged out of a set of disputes that were instructively similar to the arguments that took place among philosophers during the Cartesian era. For most of the twentieth century, philosophers both on the European continent and in English-speaking universities had been preoccupied with the autonomy of humanistic enquiry. This issue was (and continues to be) a source of disagreements that extend well beyond the relatively narrow boundaries of metaphysical debate and into the realms of institutional policymaking and literary and artistic culture. Among analytic philosophers of the 1960s, disputes upon this general topic were focused largely around a question that was partly epistemological and partly ontological in its significance, whether or not it is appropriate to view thereasons that people have for performing specific actions as also themselves being causes of those actions.

According to one school of thought, which more or less began with the Verstehen theorists of the nineteenth century – Wilhelm Dilthey, Max Weber and Bendetto Croce, among others – the aim of the social sciences and of humanistic enquiry in general is not the discovery of causal relationships at all. To others, however – mechanists, materialists and methodological monists about the sciences – such claims were deemed to be either patently false or well-nigh incomprehensible [See Anthony, 1989, p. 155, for a full discussion]. Seen against this backdrop, Davidson’s own approach to the issue of how reasons relate to causes takes on the appearance of a compromise position. For Davidson both rejects reductionism and denies the view that the distinction between reasons and causes is as absolute as the Verstehentheorists wanted to claim.

In a famous example, Davidson describes a situation in which a mountain climber accidentally causes the death of another man by loosening his grip on a tethering rope. Suppose that this happened, not because the first climber was deliberately setting out to do in his comrade, but rather because he was merely “unnerved” by the thought that he could make himself safer by ridding himself of the extra weight. What we need, Davidson suggests, is to be able to distinguish this sort of circumstance from a situation in which the climber really does drop his comrade intentionally to rid himself of the extra weight. In this second case, the reason (that the first climber had for being concerned for his own safety) was also a cause (of the death of the second climber). But then there is a differentiation between reasons that are not causes and reasons which are. [Davidson, 1973, p. 79]

In “Thinking Causes,” Davidson explains the metaphysical significance of these observations. He says here that “anomalous monism holds that mental entities (particular time- and space-bound objects and events) are physical entities, but that mental concepts are not reducible by definition or natural law to physical concepts.” [Davidson, 1993, p. 3]. Thus, while the sorts of mental events that we habitually identify as reasons (under which broad classification he includes “perceivings, notings, calculations, judgements, decisions, internal actions and changes of belief” [Davidson, 1970, p. 208]) may also beidentified as causes, this does not preclude us from being able to appeal to the difference between reasons and causes as part of a general characterization of what is distinctive about the human sciences.

The description of AM given thus far does nothing to distinguish it from other, substantively different forms of so-called “property dualism” in the contemporary philosophy of mind. We must first ask why Davidson believes that mental events are identical with physical events, and then ask why he nonetheless denies the reducibility of the one to the other.

3. Mental Events are Physical Events

A crucial part of Davidson’s overall strategy for reconciling statements (1)-(3) is his endorsement of the thesis of token physicalism (TKP). This is the doctrine that while mental properties (types) cannot be identified with physical properties, mental particulars (tokens) can be identified with particular, spatio-temporally determinate physical entities. Davidson is not the only influential analytic philosopher to have defended this doctrine, but his reasons for doing so arise from a fairly idiosyncratic set of views.

The most distinctive feature of Davidson’s version of TKP is that it is a doctrine about events, rather than processes, states, or (at least in the primary instance) objects [see Davidson, 1970, p. 210]. His belief in the ontological primacy of events arises from the underlying logical form of certain types of English sentences; the fact that we can comprehend that sentences like “Jones buttered the toast deliberately in the bathroom with a knife at midnight” entails the sentence “Jones buttered the toast” cannot be explained (Davidson thinks) without supposing that both make implicit reference to some spatio-temporally bounded particular event [for the full argument, see Davidson, 1967, pp. 105-107]. The identity conditions of events can furthermore, he thinks, be established purely extensionally: event A and event B are identical if and only if they have all of the same causes and all of the same effects. [Davidson, 1969, p. 179]

When we successfully pick out an event by means of a mentalistic description as being the cause of some other, physical event, we have according to Davidson done all that is necessary to show that there is mental causation. He traces this minimalist approach to the classification of events as mental back to the writings of Elizabeth Anscombe, who famously defended the view that all that is necessary for an act’s having been intended is that it be truly describable as such [Davidson, 1967, p. 147]. So what, then counts as a genuinely mentalistic description of any given event? Davidson’s own views upon this subject are less than entirely clear. In “Mental Events” he makes the more general proposal that the hallmark of the mental is intensionality. That is, true descriptions of mental events include a verb with a subject that refers to a person, and a complement for which the usual rules of substitution break down. Thus, while “Lois thought that Clark Kent was lovely” would clearly count as a mentalistic description of an event, since she might not have thought the same about Superman, “Lois was smaller than Clark Kent” would fail to satisfy the aforementioned criterion.

It is important to recognize, however, that intensionality is for Davidson merely a sufficient condition for mentality; he does not seem to regard it as being even close to necessary. This is clear from some rather startling remarks that he makes in “Mental Events.” He asks us to consider “some event that we all intuitively accept as physical, let’s say the collision of two stars in distant space.” If we can truthfully describe this event as being merely simultaneous to some other clearly mental event, then this fact is enough by itself, Davidson thinks, for us to be warranted in describing the former occurrence as a mental event too [Davidson, 1970, p. 211].

Davidson suggests that this sort of “Spinozistic extravagance” is philosophically harmless to the case for AM because it provides us with all the better reason for believing TKP. For the more inclusive our criteria for mentality are, the more reason we will have to accept that all mental events are identical to physical events [Davidson, 1970, p. 212]. But one thing that these considerations seem to imply is that every event A that is caused by some mental event B will also have the very same event as a physical cause. And this makes it look as though the defender of AM will either have to explain away an unpalatable form of causal over-determination in the natural sciences, or else regard mental events as being purely epiphenomenal.

The claim that AM is really just epiphenomenalism in disguise has been the single most common and widespread criticism of Davidson’s thesis since the publication of “Mental Events.” The suggestion was first made by Ted Honderich in a paper from 1982. Honderich draws a suggestive analogy between mental properties and the properties possessed by a bunch of green pears sitting on a grocer’s scale. These pieces of fruit maybe truly described as green, or as French, but the fact that they possess these properties is clearly not what causes them to make the scale read “1 lb.” So why should the fact that we can describe some events in ways that satisfy Davidson’s rather permissive criteria for mentality lead us to believe that the natural world contains even a single instance of mental causation? [Honderich , 1982, pp. 61-62]. The same objection is made somewhat more abstractly by Jaegwon Kim when he described what he calls the “exclusion problem” for mental causation. Suppose that an event m causes a distinct event e, and that m has two properties, M and P. Furthermore suppose that only the property P of m is connected by a strict causal law to some property of e. But then, Kim asks how the property M can be understood to be doing any “causal work” whatsoever [Kim, 1993, pp. 25-26].

Davidson responds to challenges of this general type by re-iterating his commitment to a strictly extensionalist account of event-causation. It is simply infelicitous, he thinks, to suppose that whether or not one event is the cause of another depends upon our ability to connect up their properties in any sort of statement whatsoever, whether law-like or not. As he puts it in “Thinking Causes,”

There is…no room for a concept of ‘cause as’ that would make causality a relation among three or four entities rather than two. On the view of events and causality assumed here, it makes no more sense to say event c caused event e as instantiating law L than it makes to say that a weighs less than b as belonging to sort c [Davidson, 1993, p. 6].

Many philosophers have found this characterization of causality by Davidson singularly implausible. For it does not seem as though extensionalism by itself simply implies that events do not have the causal powers that they do by virtue of falling under causal laws [see McLaughlin, 1993, pp. 30-34]. And regardless of whether one is talking about events, physical objects, thoughts, or whatever, it is surely a perfectly natural and coherent question to ask whether it is because something has a property M that it causes something else to have property N. At least one recent defender of AM has suggested that perhaps the very notion of causation itself is a fundamentally ambiguous one, in the sense that its content changes depending upon whether we employ the discrete standards of rational intelligibility that are required by either a “personal” or an “impersonal” perspective upon the natural world [see Hornsby, 1997, p. 140]. To adopt this thesis about causation would appear to represent an abandonment of the project of finding a genuinely intermediate position between the approach favored by Verstehen theorists to explanation in the human sciences and the traditional forms of metaphysical materialism to which Davidson himself appears to be willing to give at least qualified endorsement.

One of Davidson’s earlier claims about the relationship between mind and body is that the mentalsupervenes upon the physical. To say that properties of type X supervene upon properties of type Y is at the very least to commit oneself to the view that objects and events cannot differ X-wise without also differing Y-wise. If this were in fact the case, one could argue that there is at least some minimal sense in which the possession of mental properties “makes a difference” to the causal relations exhibited by particular physical events. For, unlike the properties of color and nationality possessed by the pears in Honderich’s famous example, supervenient mental properties are always going to stand in an empirically significant relationship to the physical regularities that that are exhibited among the physical properties that they supervene upon.

But the supervenience relation is one that has been characterized in multitudinous different ways in late twentieth-century philosophy [See Kim, 1990 for a fairly exhaustive catalogue]. Not all of the accounts that have been given would provide equally good support for this contention. According to Kim, the most pressing question about the supervenience relation is whether it might actually entail the reducibility of the supervenient class of properties or concepts to their subvenient base. What, then, are some reasons that the defender of AM might give for denying that mental concepts are simply reducible to physical ones?

4. The Irreducibility of the Mental

a. Supervenience and Anomalous Monism

Davidson describes the relationship of supervenience as the key to understanding how mental phenomena may be “in some sense dependent” upon physical phenomena in spite of there not being any strict psycho-physical laws [Davidson, 1970, p. 214]. He clearly regards the notion of supervenience as representing a sort of panacea for anyone skeptical about the possibility of reconciling statements (1)-(3) [Davidson, 1993, p. 4]. So what, precisely, is the supervenience relation supposed to amount to?

The earliest instance of an appeal to the notion of supervenience in the twentieth century was by S.E. Pepper, in a paper first published in 1926. Pepper used the word “supervenient” to refer to a type ofchange that gives rise to emergent properties in the objects undergoing the relevant transformation [see van Brakel, 1999, pp. 4-5]. Over the last thirty years of the twentieth century, the term “supervenience” came to be used by philosophers in a wide variety of contexts, not only in ethics and the philosophy of mind, but in areas as diverse as aesthetics, modal metaphysics, the philosophy of biology and philosophical theology. Davidson himself acknowledges having borrowed the term from R.M. Hare’s discussion of the relationship between ethical and natural properties in The Language of Morals. Unlike Pepper, both Hare and Davidson characterize supervenience in explicitly linguistic terms, without reference to metaphysical notions like emergence that is supposed to be antecedently clear. Thus, for Davidson, “a predicate P is supervenient on a set of predicates S if and only if P does not distinguish any entities that cannot be distinguished by S” [Davidson, 1993, p. 4].

What is most striking about this characterization of the supervenience relation is its apparent weakness. When we make a Davidsonian supervenience claim we do not undertake any commitment whatsoever to the thesis that the supervening predicate can be could be shown to be redundant by even the most vigorous applications of Ockham’s razor.

In “Mental Events” Davidson develops two puzzling but suggestive analogies for the way in which the mental may be thought of as supervening upon the physical. He first suggests that we think of mentalistic predicates as being like the Tarskian truth predicate and the vocabulary of physics as being like the resources that are present within a natural language to describe its own syntax. For the truth predicate as Tarski describes it had the following important characteristic: it cannot be defined using only the resources of the object language, even though one might well be able to pick out all of the sentences that lie within its extension [see Davidson, 1970, pp. 214-215]. The other comparison that he makes involves an allusion to the failure of what he refers to as “definitional behaviorism” in scientific psychology. This theory was abandoned by empirical psychologists, he suggests, not because of any single piece of disconfirming evidence, but rather because they noticed “system in the failures” of behaviorists to define concepts like belief and desire in explicitly behavioral terms [see Davidson, 1970, p. 217].

In contrast to these suggestive but rather underdeveloped analogies, Jaegwon Kim famously argues that the supervenience of a class of properties G upon another class D actually entails that G is reducible to D[see Kim, 1984, p. 78]. If this claim were correct, then it would certainly be difficult to see how a Davidsonian could claim that there were no strict laws of nature connecting mental properties with physical ones. It is less clear that from Davidson’s own characterizations of supervenience in terms of the mere distinguishability of objects represents a weaker notion than that which is favored by reductionists following Kim.

A somewhat more subtle and less radical criticism of Davidson’s use of the supervenience relation to defend AM has been offered by Simon Blackburn. Blackburn parses supervenience claims as non-trivial restrictions upon how we conceive of the possibility that different sorts of objects could exist within the same world. Even the weakest sorts of supervenience claims, he suggests, involves implicit reference to the notion that an object has some property as the result of also possessing what he refers to an “underlying” set of natural (i.e. physical) properties. To say that property M supervenes upon property P, then, is to make an assertion with the following logical form:

(S) Necessarily, if there exists some x such that Mx and Px and if Px underlies Mx, then, for all y, if Py then My [Blackburn, 1985, p. 131].

Blackburn points out that the truth of any instance of (S) would be perfectly consistent with there beingsome possible worlds containing objects which have P (which may turn out to be some extremely complex or disjunctive physical property) while lacking M. Nonetheless, he thinks that our default modal intuitions should cause us to rankle whenever we are presented with a claim having the form of (S). We should react this way, he thinks, because (S) represents a violation of what he calls the “principle of plentitude” about possible worlds. Why shouldn’t there be possible worlds in which some objects or events that instantiate a given set of physical predicates also instantiate a given mental property, while others do not? This, according to Blackburn, is the key metaphysical question that the doctrine of AM compels us to ask, but for which its advocates have never really provided an answer [Blackburn, 1985, p. 135].

According to Blackburn’s recipe for supervenience, “underlying” properties will always be physical ones. It thus seems pretty clear that violations of the “principle of plentitude” about possible worlds of the sort that Blackburn is talking about here must occur at the level of nomological (as opposed to logical, metaphysical or epistemic) possibility. The advocate of AM would surely, after all, not want to deny that it is at least logically possible for a world to contain two physically identical beings, one with a mind and one without, not that such a circumstance fell entirely outside the range of human conceivability. Thus, if the question that Blackburn asks about supervenience is the right one to pose to the anomalous monist, then we may at this stage draw an important methodological conclusion. It looks as though Davidson’s claim that the mental supervenes upon the physical is, after all, really just another way of stating his commitment to the impossibility of strict natural laws connecting mental and physical phenomena. In order to understand why the advocate of AM will be committed to the irreducibility of the mental, then, one need only ask what he thinks it is about instances of mental causation that makes them insusceptible to the sort of explanation that can be provided by appeal to so-called “strict” natural laws.

b. “Strict” and “Non-Strict” Natural Laws

A universal generalization is law-like, according to Davidson, just so long as it provides support for a suitably broad set of subjunctive and counterfactual conditionals. For example, the statement “Whenever it rains, the grass gets wet” might well count as law-like, since it provides at least partial supports for the claims “If it were to rain next week, the grass would be wet” and “If it had not rained this morning, the grass would not presently be wet” – provided, at least, that we restrict our attention to possible words where a sprinkler is not available. A law-like statement also qualifies as “homonomic” if the scope of its generality can be increased by means of “adding further provisos and conditions,” all of which can be stated in “the same general vocabulary as the original statement.” “Whenever it rains, the grass gets wet” would thus presumably fail to count as homonomic, since the ceteris paribus clause “…unless someone has pitched a tent in the yard” is not a statement that makes exclusive use of the language of meteorology.

A strict law of nature for Davidson will thus be a homonomic law-like generalization that has been supplemented to the fullest possible extent by ceteris paribus clauses that do not violate this restriction. All general causal statements connecting mentalistic and physicalistic concepts must, according to Davidson, be regarded as non-strict, or “heteronomic” in nature.

Davidson proposes, controversially, that the criterion just described for what it takes to be a natural law is an a priori truth [see Davidson, 1970, pp. 216-220]. But from whence comes his confidence that it is possible, even in principle, to come up with these sorts of generalization anywhere in the natural sciences? He repeatedly claims that such completely exceptionless generalizations are most likely to be found in theoretical physics. But this assertion is not defended. Furthermore, even if he is right that such perfectly “strict” laws of nature could in principle be set down, the question remains whether there are good reasons to suspect that any of the vocabulary currently available for use in the natural sciences is suitable for the formulation of these sorts of statements. In response to these sorts of concerns, a fairly broad contingent of philosophers of science have defended accounts of the concept of a natural law which represent scientific knowledge as being heteronomic through and through [See e.g. Cartwright, 1994 and Fodor 1974].

Another more subtle issue has been raised by some philosophers in connection with Davidson’s rather thin conception of natural law. It seems possible to identify a fairly broad class of generalizations whose status as laws of nature does not depend upon either their predictive usefulness or the vocabulary within which ceteris paribus clauses for them are formulated. These are what Robert Cummins calls “instantiation laws.” The logical form of instantiation laws, as Cummins describes them, is as follows: Anything having components C1…Cn organized in manner O has property P [See Cummins, 1981, p. 17]. Such generalizations serve to explain what it is about the structure of some system that makes the system an instantiation of a given property. They do not explain how it is that that system’s properties change over time. Entries in the Periodic Table of the elements would appear to qualify as expressions of this sort of law, since the information that they communicate is that the arrangement of a specific number of electrons around an atomic nucleus at a given set of energy levels is what makes one atom count as a sample of hydrogen, oxygen, iron, etc.

Even if there were no psycho-physical laws in Davidson’s sense of the term, mightn’t there in fact be plenty of psycho-physical instantiation laws? Perhaps the only way to explain changes in belief or short-term memory is by making generalizations that refer (either implicitly or explicitly) to other beliefs or memories. But it seems perfectly cogent to suppose that, even if this were true, we might be able to explain what it is that makes some particular state of a person (or her neurosystem) a belief or a memory in a purely neurophysiological vocabulary. How would it affect the case for AM if it were to turn out that we could make these sorts of generalizations connecting physical concepts with mentalistic ones?

Upon this topic, opinions diverge quite broadly. Louise Anthony has suggested that, once we recognize the possibility of formulating psycho-physical “instantiation laws,” we will be able to reject statement (3) in a way sensitive to the intuition underlying Davidson’s mountain climber thought experiment. This would, of course, be bad news for the advocate of AM. But Nick Zangwill has suggested that something like the spirit of AM could be preserved even if one were to accept the possibility of what he calls “strict derivative causal laws” (SDLs). Laws of this character, which are quite common in the sciences (according to Zangwill) combine the causal information that instantiations of a property M are followed by instantiations of a property M* with the “metaphysical” information that a system that instantiates M* will do so because it is of type P. It seems easy enough, indeed, to think up putative instances of this type of natural law – consider, for example, the claim that an occurrent general desire for nourishment (M) in a creature whose senses can detect hot oatmeal nearby (P) will normally (ceteris paribus, of course) bring about a more specific desire for oatmeal (M*).

If there are true SDLs that connect up the vocabulary of psychology with the vocabulary of physical science in this sort of way, then there is at least one sense in which statement (3) must clearly be regarded as false. But Zangwill proposes that the defender of AM may still have good grounds for believing that mental phenomena are anomalous in something very much like the way that Davidson originally supposed. For SDLs will generally lack the sort of explanatory significance that “strict” laws of nature, in the Davidsonian sense of the term, may generally be thought to have. They are clearly not the sorts of generalizations that could be conclusively verified without appeal to a background theory consisting at least for the most part of more simply structured law-like generalizations. Furthermore, the underlying physical properties referred to within putatively psycho-physical SDLs are likely to be so wildly disjunctive in nature that such “laws” might normally end up covering nothing more than a single actual instance of mental causation [see Zangwill, 1993, pp. 69-76].

There do, then, appear to be a wide variety of claims that differ both in content and in logical form, but which may nonetheless be entirely plausible candidates for the status of laws of nature. But then from whence comes the surprisingly powerful conviction shared by Davidson and his sympathizers of the falsity of statement (3)? It is impossible to understand why Davidson subscribes to this radical view without becoming acquainted with his views about the norms of empirical methodology that govern all forms of humanistic enquiry. An examination of what he says upon this general subject will therefore help to shed light upon what motivates him to claim that the concepts referred to by mental and physical predicates are simply not ‘made for’ one another.

5. A Methodological Postscript

The extent to which Davidson’s commitment to AM turns out to derive from his views about methodology is partly obscured by his own tendency (shared by the majority of both his followers and his critics) to discuss issues connected with the mind/body problem in traditionally metaphysical terms. But whenever he actually sets about the task of defending statement (1), what is at issue always turns out to be a distinctively methodological question. When we set about explaining the actions of other human beings, to what extent must we employ our own, perhaps entirely parochial, standards for determining what counts as rational behavior?

In his discussion of the two mountain climbers, for example, the identification of the second climber’s decision to let his companion fall as mental causation serves the purpose of providing us with a means for ascribing responsibility. And one could think up other scenarios with relative ease within which the same sort of appeal to the causal efficacy of the mental could be used to bolster our intuitions about an agent’smoral praiseworthiness, his independence from physical coercion or his very sanity. It is this cluster of distinctly normative concepts that seem to represent the principal ingredients in our everyday concept of rationality.

Once one understands this feature of Davidson’s philosophical program, it becomes considerably clearer what is really going on in the two analogies from “Mental Events,” that is, his comparison of the mental/physical distinction in metaphysics to the difference between semantics and syntax and to the failure of behaviorism to supplant belief/desire psychology. Because the methodology whereby radically unfamiliar languages may be interpreted requires us to treat the speakers of these languages as predominantly rational, for Davidson semantics cannot be reduced to syntax [Davidson, 1973b, pp. 134-137]. And it is because the attribution of rationally ordered beliefs and desires is a constitutive feature of all psychological explanation that this pair of concepts are not susceptible to the sorts of reductive accounts sought by the “definitional behaviorist.” Davidson’s belief in the impossibility of fitting together mental and physicalistic concepts into statements that express strict laws of nature is just one more instance of this general pattern of insisting upon a rigorous distinction between descriptive and normative considerations in scientific methodology.

New problems will of course arise for the defender of AM who treats it as a straightforward consequence of these sorts of methodological considerations. It might, for example, be protested that considerations to do with the a priori, constitutive constraints that govern the interpretation of human speech, thought, and action have no obvious implications at all when it comes to assessing the plausibility of statement (3). Philosophers have, after all, had widely divergent intuitions about just what the connection might be between such normative injunctions and the laws of nature. Kim, for example, suggests that if the relevant constraints upon human ethology are as different from those that operate in the rest of the sciences as Davidson thinks they are, then there should surely be no true law-like generalizations – strict or non-strict – connecting mental properties with physical ones [Kim, 1993, p. 25]. Whereas Blackburn remarks that there seems to be no intrinsic reason to suppose that “interesting laws” could be discovered even between properties the attribution of which “answers to different constraints.” [Blackburn, 1985, p. 140]

Other more general worries arise in connection with the very idea that the concept of causation has a distinctive sort of usefulness in explicitly normative contexts. This belief of Davidson’s makes it look as though he might, after all, be implicitly committed to a type of causal rationalism. For suppose our claim that the malicious climber’s deliberate decision to cut his comrade loose caused the latter’s death is partially underwritten by the sorts of normative considerations that Davidson identifies. Our very decision to describe the climber as having deliberated at all, then, will have been partly motivated by our felt need to hold him responsible for the death of his comrade.

But in this case, our descriptions of the cause and of the effect would appear to lack the sort of logical independence from one another that true causal statements are usually (or at least common-sensically) required to have. This observation does not by itself represent a straightforward refutation of Davidson’s position – after all, as we have seen, causal rationalism was openly embraced by Spinoza, as well as by many other philosophers of the early Enlightenment. But it does make Davidson’s views about causation start to look very strange to contemporary sensibilities.

It appears as though coming to a final verdict upon the plausibility of AM would require one to engage in some much more general reflections about the relationship between how we go about obtaining our beliefs about the world – specifically the parts of it that are relevant to the aspiring interpreter of human thought and language – and what sorts of beings that world objectively contains. That we find ourselves faced with this daunting prospect when we try to determine the prospects for achieving a reconciliation of statements (1)-(3) is perhaps something of a disappointment. But it should also perhaps not surprise one too much. The general problem of discerning where the boundary lies between epistemology and metaphysics is, after all, just one more part of the Cartesian legacy.

6. References and Further Reading

  • Anthony, Louise, “Anomalous Monism and the Problem of Explanatory Force,” The Philosophical Review vol. 48 (1989), 153-187.
  • Anthony, Louise, “The Inadequacy of Anomalous Monism as A Realist Theory of Mind,” in G. Preyer et. al (eds.) Language, Mind and Epistemology: On Donald Davidson’s Philosophy (Dordrecht: Kluwer Academic Publishers, 1994), 223-253.
  • Bennett, Jonathan, A Study of Spinoza’s Ethics (Indianapolis: Hackett, 1984).
  • Blackburn, Simon, “Supervenience Revisited,” reprinted in Essays in Quasi-Realism (New York: Oxford University Press, 1993), 130-148. First published in 1985.
  • Cartwright, Nancy, “Fundamentalism versus the Patchwork of Laws,” Proceedings from the Aristotelian Society 94 (1994), 279-292.
  • Cummins, Robert, The Nature of Psychological Explanation (Cambridge, Mass.: The MIT Press, 1981).
  • Davidson, Donald, “The Logical Form of Action Sentences,” reprinted in Essays on Actions and Events(Oxford: Clarendon Press, 1980), 105-149. First published in 1967.
  • Davidson, Donald, “The Individuation of Events,” reprinted in Essays on Actions and Events (Oxford: Clarendon Press, 1980), 163-180. First published in 1969.
  • Davidson, Donald, “Mental Events,” reprinted in Essays on Actions and Events (Oxford: Clarendon Press, 1980), 207-224. First published in 1970.
  • Davidson, Donald, “Freedom to Act,” reprinted in Essays on Actions and Events (Oxford: Clarendon Press, 1980), 63-82. First published in 1973.
  • Davidson, Donald, “Radical Interpretation,” reprinted in Inquiries into Truth and Interpretation(Oxford: Clarendon Press, 1984), 125-150. First published in 1973 (b).
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Author Information

Mark Silcox
Email: silcoma@auburn.edu
Auburn University
U. S. A.

Hindu Philosophy

hindu2The compound “Hindu philosophy” is ambiguous. Minimally it stands for a tradition of Indian philosophical thinking. However, it could be interpreted as designating one comprehensive philosophical doctrine, shared by all Hindu thinkers. The term “Hindu philosophy” is often used loosely in this philosophical or doctrinal sense, but this usage is misleading. There is no single, comprehensive philosophical doctrine shared by all Hindus that distinguishes their view from contrary philosophical views associated with other Indian religious movements such as Buddhism or Jainism on issues of epistemology, metaphysics, logic, ethics or cosmology. Hence, historians of Indian philosophy typically understand the term “Hindu philosophy” as standing for the collection of philosophical views that share a textual connection to certain core Hindu religious texts (the Vedas), and they do not identify “Hindu philosophy” with a particular comprehensive philosophical doctrine.

Hindu philosophy, thus understood, not only includes the philosophical doctrines present in Hindu texts of primary and secondary religious importance, but also the systematic philosophies of the Hindu schools: Nyāya, Vaiśeṣika, Sāṅkhya, Yoga, Pūrvamīmāṃsā and Vedānta. In total, Hindu philosophy has made a sizable contribution to the history of Indian philosophy and its role has been far from static: Hindu philosophy was influenced by Buddhist and Jain philosophies, and in turn Hindu philosophy influenced Buddhist philosophy in India in its later stages. In recent times, Hindu philosophy evolved into what some scholars call “Neo-Hinduism,” which can be understood as an Indian response to the perceived sectarianism and scientism of the West. Hindu philosophy thus has a long history, stretching back from the second millennia B.C.E. to the present.

Table of Contents

  1. Introduction
    1. Defining Hinduism: Salient Features and False Starts
      1. Karma
      2. Polytheism
      3. Purushārthas: dharma, artha, kāma and mokṣa
      4. Varna (Caste)
    2. A Textual Definition of Hinduism and Hindu Philosophy
  2. Stage One: Non-Systematic Hindu Philosophy: The Religious Texts
    1. The Four Vedas
      1. Karma Khaṇḍa or Action Section of the Vedas
      2. Jñana Khaṇḍa or Knowledge Section of the Vedas
    2. Secondary Texts: Smṛti Literature
      1. Itihāsas
      2. Bhagavad Gītā
      3. Purāṇas
      4. Dharmaśāstra
  3. Stage Two: Systematic Hindu Philosophy: the Darśanas
    1. Nyāya
    2. Vaiśeṣika
    3. Sāṅkhya
    4. Yoga
    5. Pūrvamīmāṃsā
    6. Vedānta
      1. Bhedābheda
      2. Commonalities of the Three Famous Commentaries
      3. Advaita
      4. Viśiṣṭādvaita
      5. Dvaita
    7. Classical Hindu Philosophy in the Context of Indian Philosophy
  4. Stage Three: Neo-Hinduism
  5. Conclusion: the Status of Hindu Philosophy
  6. References and Further Readings
    1. Primary Sources
    2. Secondary Sources

1. Introduction

“Hinduism” is a term used to designate a body of religious and philosophical beliefs indigenous to the Indian subcontinent. Hinduism is one of the world’s oldest religious traditions, and it is founded upon what is often regarded as the oldest surviving text of humanity: the Vedas. It is a religion practiced the world over. Countries with Hindu majorities include Bali, India, Mauritius and Nepal, though countries in Asia, Africa, Europe and the Americas have sizable minorities of practicing Hindus.

For historical and doctrinal reasons, some modern Indologists have adopted the convention of distinguishing between traditional Hinduism and “Neo-Hinduism” (cf. Hacker; Halbfass, India and Europe). Against this distinction, “Hinduism” is often reserved for some traditional philosophical and religious beliefs indigenous to the Indian subcontinent, and “Neo-Hinduism” is reserved for a modern set of religious and philosophical beliefs articulated by Indians who defined their religious views in contrast to a perceived Western preoccupation with scientism and sectarianism. For many Western educated individuals in the world today (particularly those who count themselves as “Hindus”), the philosophy captured under the term “Neo-Hinduism” designates their religious and philosophical belief set. While Neo-Hinduism is no doubt a part of the Hindu philosophical tradition, it constitutes a distinct development within the tradition. Here the terms “Neo-Hindu” and “Neo-Hinduism” will be used to single out this recent development of Hindu thought. “Hindu” and “Hinduism” will be used to designate any portion of the tradition. The label “Hindu philosophy” will be reserved for the philosophical elements of Hinduism.

The history of Hindu philosophy can be divided roughly into three, largely overlapping stages:

  1. Non-Systematic Hindu Philosophy, found in the Vedas and secondary religious texts (beginning in the 2nd millennia B.C.E.)
  2. Systematic Hindu Philosophy (beginning in the 1st millennia B.C.E.)
  3. Neo-Hindu Philosophy (beginning in the 19th century C.E.)

Hindu philosophy is difficult to narrow down to a definite doctrine because Hinduism itself, as a religion, resists identification with any well worked out doctrine. This may not be so surprising when we consider that the term “Hinduism” itself is not in traditional, pre-colonial Hindu literature. Prior to the modern period of history, authors that we think of as Hindus did not identify themselves by that title. The term itself is not rooted in any Indian language, but likely derives from the Persian term “sindhu,” cognate with the Latin “Indus,” used to refer to inhabitants of the Indian subcontinent (cf. Monier-Williams p.1298). Its historical usage is thus an umbrella term that identifies many related religious and philosophical traditions that are not clearly part of another Indian tradition, such as Buddhism and Jainism.

Owing to the geographical proximity of the views grouped under the term “Hinduism” we might expect that such views have some comprehensive doctrinal similarities. However, many of the ideas and practices commonly associated with Hinduism can be found in adjacent Indian religio-philosophical traditions, such as Buddhism and Jainism. Moreover, some of them are not common to all Hindu thinkers. The rich diversity of views within the Hindu tradition that overlap with non-Hindu views makes identifying “Hinduism” on the basis of a shared, comprehensive doctrine difficult if not impossible.

a. Defining Hinduism: Salient Features and False Starts

i. Karma

A common thesis associated with Hinduism is the view that events in a person’s life are determined by karma. The term literally means “action,” but in this context it denotes the moral, psychological spiritual and physical causal consequences of morally significant past choices. If it were the case that a belief in karma is common to all Hindu philosophies, and only Hindu philosophies, then we would have a clear doctrinal criterion for identifying Hinduism. This approach is unsuccessful because a belief in karma is common to many of India’s religious traditions—including Buddhism and Jainism. Moreover, it is not evident that it is embraced by all sources that we consider Hindu. For instance, the doctrine of karma seems to be absent from much of the Vedas. Karma is not a sufficient criterion of Hinduism, and it likely is not a necessary condition either.

ii. Polytheism

Polytheism, or the worship of many deities, is often identified as a distinctive feature of Hinduism. However, it is not true that all Hindus are polytheists. Indeed, many Hindus belong to sectarian traditions (such as Vaiṣṇavism, or Śaivism) that specify that only one deity (Viṣṇu, in the first case, or Śiva, in the second), or a very small set of deities, are genuine Gods, and subordinate the rest of the pantheon associated with Hinduism to the status of exalted beings. We could identify Hinduism as the set of religious views that recognize the divinity or exalted status of a core set of Indic deities, but this too would not provide a way to separate Hinduism from Buddhism and Jainism. Many “Hindu” deities, such as Brahmā (the Creator God), are recognized and treated as exalted beings and deities in the Buddhist Pāli Canon (cf. Majjhima Nikāya II.130; Saṃyutta Nikāya I.421-23). Likewise, the popular Hindu deity Kṛṣṇa is treated in the early Jain tradition as a Jain Ford Maker, and a tradition of worshiping the Goddess Lakṣmī (a goddess revered by Hindus as the consort of Viṣṇu) continues amongst Jains today (see Dundas pp. 98, 183). Belief in certain deities might constitute a necessary condition of Hinduism, but it is not a sufficient criterion.

iii. Puruṣārthas : dharma, artha, kāma and mokṣa

Hinduism might be identified with a core set of values, commonly known in Hindu literature as the puruṣārthas , or ends of persons. The puruṣārthas are a set of four values: dharma, artha, kāma and mokṣa. “Dharma” in the Puruṣārtha scheme and throughout much of Hindu literature stands for the ethical or moral (in action, or in character, hence it is often translated as “duty”), “artha” for economic wealth, “kāma” for pleasure, and “mokṣa” for soteriological liberation from rebirth and imperfection. Hinduism, one might argue, is any religious view from the Indian subcontinent that recognizes that human beings ought to maximize the puruṣārthas at the appropriate time and in the appropriate ways. This approach will not do, for not all views that we consider Hindu recognize the validity of all of these values. While many of the systematic Hindu philosophical schools seem to be critical of kāma, understood as sensual pleasure, the early stage of one Hindu philosophical school—Pūrvamīmāṃsā—does not recognize the idea that there is anything like liberation as a possible end for individuals.

The puruṣārthas are important for any study of Indian thought, however, for they constitute the value-theoretic backdrop against which Indian thinkers articulated their views: typically, most all Indian philosophers recognized the validity of all four values, though some, like the Materialists (Cārvāka) are on record as holding that kāma or sensual pleasure is the only dharma or morality (Guṇaratna p.276), and that there is no such thing as liberation. Others such as the early Pūrvamīmāṃsā ignore the idea of personal liberation but emphasizes the importance of dharma. As all Hindu philosophical schools appear to recognize something that might count as “dharma” or morality, we might attempt to understand Hinduism in terms of its allegiance to a particular moral theory. This attempt to define Hinduism in terms of a simple doctrine fails, for some of what passes for dharma (ethics, morality or duty) in the context of particular schools of Hindu philosophical thought share much with non-Hindu, but Indian schools of thought. This is particularly apparent in the case of the Hindu philosophical school of Yoga, whose moral theory shares much with Jainism, and with Buddhist Mahāyāna thought. Also, there is sufficient variation amongst the schools of Hindu philosophy on moral matters that makes defining Hindu philosophy solely on the basis of a shared moral doctrine impossible. If there is a core moral theory common to all Hindu schools, it is likely to be so thin that it will also be found as a component of other Indian religions. Thus, an ethical theory might be a necessary criterion of Hinduism, but it is insufficient.

iv. Varna (Caste)

Finally, one might attempt to identify Hinduism with the institution of a caste system that carves society into a specified set of classes whose natures dispose them and obligate them to certain occupations in life. More specifically, one might argue that Hinduism is any belief system wedded to the idea that any well ordered society is composed of four castes: Brahmins (priestly or scholarly caste), Kṣatriya (marshal or royal caste), Vaiśyas (merchant caste) and Sūdras (labor caste).
This approach to defining Hinduism is essentially a rehabilitation of the idea that some core moral doctrine cements Hinduism together. There are two problems with this approach that renders it unhelpful to identifying Hinduism. First, anyone familiar with Indian society will know that caste (“varna,” or more commonly “jāti”) is an Indian phenomenon that is not restricted to Hindu sections of society. One might argue that the approving use of the term “Brahmin” in Buddhist and Jain texts shows that even these socially critical movements were comfortable with a caste structured society provided that obligations and privileges accorded to the various castes were justly distributed (cf. Dhammapada ch. XXVI; cf. Sūtrakṛtānga I.xii.11-21). Secondly, and more importantly, it is not clear that caste is philosophically important to many schools that are conventionally understood under the heading of “Hindu philosophy.” Some schools, such as Yoga, appear to be implicitly critical of life in conventional society guided by the values of social and ecological domination, while some schools, such as Advaita Vedānta, are openly critical of the idea that caste morality has any relevance to a spiritually serious aspirant.

b. A Textual Definition of Hinduism and Hindu Philosophy

Because the term “Hinduism” has no roots in the self-conceptualization of people that we in retrospect label as “Hindus,” we are unlikely to find anything very significant in the way of philosophical doctrine that is essential to Hinduism. Yet, the term continues to be useful because it centers on a stance that separates Hindu thinkers from Buddhist, Jain, or Sikh thinkers. The stance in question is openness to the provisional validity of a core set of Hindu texts. At the center of the canon of Hindu texts is the Vedas, followed by a large body of literature of secondary religious importance, which largely derive their legitimacy from Vedic thought. Non-systematic Hindu philosophy is comprised of the philosophical elements of the primary and secondary bodies of canonical Hindu texts, while the systematic Hindu philosophies, which also adopt the congenial disposition towards the Vedas, find their definitive expressions in formal philosophical texts authored by professional philosophers. Finally, Neo-Hindu philosophy of late likewise adopts a positive disposition to the Vedas, and hence constitutes the latest offering in the history of Hindu philosophy.

2. Stage One: Non-Systematic Hindu Philosophy: The Religious Texts

a. The Four Vedas

The Vedas are a large corpus, originally committed to memory and transmitted orally from teacher to student. The term “veda” means “knowledge” or “wisdom” and embodies what was likely regarded by its original attendants as the sum-total of the knowledge of their people. On the basis of linguistic variations in the corpus, contemporary scholars are of the opinion that the Vedas were composed at various points during approximately a 900 year span that can be no later than 1500 B.C.E. to 600 B.C.E.. The Vedas are composed in an Indo-European language that is loosely referred to as Sanskrit, but much of it is in an ancient precursor to Sanskrit, more properly called Vedic.

The Vedic corpus is comprised of four works each called “Vedas.” The four Vedas are Ṛg Veda, Sāma Veda, Yajur Veda and Atharva Veda, respectively. Each of the four Vedas is edited into four distinct sections: Mantras, Brāhmanas, Āraṇyakas, and Upaniṣads.

i. Karma Khaṇḍa or Action Section of the Vedas

The main portion of the Veda (which the term “Veda” most properly refers to) consists of mantras, or sacred chants and incantations. A section called the Brāhmanas, which contains ritual instruction, and speculative discussions on the meaning of Vedic rituals, follows this. These first two portions comprise what is often called the karma khaṇḍa or “action portion” of the Vedas, or alternatively, the Pūrvamīmāṃsā (“former inquiry”). (The philosophical school of Pūrvamīmāṃsā takes its name from its focus on the early part of the Vedas.)

Many of the hymns of the karma khaṇḍa ask for special favors from deities, and emphasize the worldly rewards of artha (economic prosperity) and kāma (sensual pleasure) that come from propitiating gods through prescribed sacrifices. However, the earlier portion of the Vedas is not entirely devoid of lofty or philosophical significance. Many of the mantras resurface in the latter portion of the Vedas as dense expressions of metaphysical theses. Moreover, many portions of the karma khaṇḍa elaborate the significance of the various Vedic deities, which surpass the role that could be attributed to them in a polytheistic context. Instead, what one finds frequently is the elevation of a single deity to the level of the cosmic soul (for example, see the Śrī Rudra).

A recurrent cosmological and ethical vision appears to emerge in the karma khaṇḍa. This is the idea that the universe is a closed ethical system, supported by a system of reciprocal sacrifice and obligation. In this context, the karma khaṇḍa promotes the practice of animal sacrifices to the gods, to ensure that conditions on earth are livable and fruitful for all of its inhabitants. A related doctrine that begins to emerge in portions of the karma khaṇḍa is the four-fold caste system that sets out strict obligations for all to fulfill, along with the idea that the caste-social order is divinely ordained. This is most clearly related in the Puruṣa Sūkta, a section of mantras from the Ṛg Veda. According to the Puruṣa Sūkta, the universe, as we know it, is a result of the self-sacrifice of a Cosmic Person (an ultimate God, later identified with Viṣṇu or Śiva, depending upon sectarian contexts). Upon being bound and sacrificed by the gods, the various portions of the Cosmic Person become the various castes: the head becomes the Brahmins, the arms become the Ksatriya caste, the thighs become the Vaiśya caste, and the feet become the Sūdra caste. While the caste system may be a pervasively Indian phenomenon, the idea that the caste system is divinely ordained appears to be found in Hindu philosophies in proportion to the weight they give to the authority of the karma khaṇḍa.

ii. Jñana Khaṇḍa or Knowledge Section of the Vedas

The karma khaṇḍa is followed by the Āraṇyakas, or forest books, which for the most part eschew rituals, and are far more speculative. After the Āraṇyakas come the section of the Vedas known as the “ Upaniṣads,” which consist of a dialogue between a teacher and student on metaphysical, axiological and cosmological issues. Whereas the goal of the early portion of the Vedas is action, the goal of the latter portion of the Vedas is jñāna (knowledge) of Brahman (a neuter term for the Ultimate, depicted in the Upaniṣads as the ultimate God). Further, the Upaniṣads identify Brahman with Ātma (Self) and suggest that knowing this entity will save one from all sorrow (cf. Muṇdaka Upaniṣad 7) and result in liberation. Brahman or Ātma is additionally presented as the omniscient, omnipotent and omnipresent entity hidden from plain view, but known through philosophical speculation that is driven by dissatisfaction with earthly rewards. This latter part of the Vedas is often referred to as the uttara mīmāṃsā (“higher inquiry”), or the vedānta, which means “end of the Vedas.” Alternatively, it is known as the jñāna khaṇḍa, or “knowledge portion” of the Vedas. (The Hindu schools known as Vedānta take their name from their focus on this portion of the Vedas). The sustained theme of the uttara mīmāṃsā is that the cosmos as we know it is the result of the causal efficacy of Brahman, or Ātma, that the results of works are ephemeral, and that knowledge of reality brings everlasting reward. The uttara mīmāṃsā is characterized by a pervasive dissatisfaction with ritual (cf. Muṇdaka Upaniṣad I.ii.10).

The specific relationship between the individual and Brahman, or Ātma, is a matter of controversy amongst commentators on the latter portions of the Vedas. Four major commentarial schools evolved to interpret the import of the later portions of the Vedas. This confirms the suspicion that the actual position of the Upaniṣads is less than clear, or at least debatable. (See Vedānta.)

b. Secondary Texts: Smṛti Literature

On many traditional Hindu accounts (specifically the account found in the Pūrvamīmāṃsā and Vedānta schools), the Vedas are regarded as “śruti”, “heard” or revealed texts, and are contrasted with smṛti or remembered texts. The smṛti texts are far more numerous, but purport to be based upon the learning of the Vedas. Unlike the Vedas, the smṛtis were traditionally regarded as appropriate for general consumption, while the Vedas were regarded as the sole preserve of the high castes. The smṛti literature, as a rule, was originally authored in Sanskrit. Over time, however, translations into vernacular languages became popular, and additional texts were authored in vernaculars.

The tradition of smṛti literature stretches back to the end of the Vedic period, and in some ways is still very much alive today. The smṛti texts can all be read as attempting to unify the seemingly divergent goals of the action section of the Vedas (being morality, or dharma) and the knowledge section of the Vedas (being liberation or mokṣa). The overall strategy offered in the various smṛti texts is to affirm a moral scheme known traditionally as varna āśrama dharma, or the morality of caste (varna) and station in life (āśrama). This scheme reconciles the demands of dharma and mokṣa, as well as artha and kāma, by apportioning different stages of life to the pursuit of different ends. At the end of childhood, and before the beginning of adolescence, an individual is typically expected to be a celibate student (brahmacarya), and learn one caste’s ways. Then at an appropriate age they are to marry and become a householder (gṛhastha). During this stage an individual is permitted and expected to pursue the ends of kāma or sensual pleasure through married life and artha or economic prosperity through caste occupations. After raising a family, a couple is to retire to the forest and become forest dwellers (vānaprastha), to facilitate their transition from a life focused on kāma and artha to a life geared towards liberation. Finally, individuals give up all possessions, renounce society and become a ascetic (sannyāsa) at which point they are to focus solely on mokṣa or spiritual liberation.

There are three prominent varieties of smṛti literature that are important to the study of Hindu philosophy. Though they for the most part express and extol the doctrine of varna āśrama dharma, they are composed in different styles, and with different audiences in mind.

i. Itihāsas

The best known of the smṛti literature are the great Hindu epics, such as the Mahābhārata and Rāmāyana. The focal plot of the Mahābhārata is a fratricidal war between the children of two princes. The deity Kṛṣṇa figures prominently in this epic, as a mutual cousin of both warring factions, though he is not the protagonist. The Rāmāyana is an account of the life story of the crown prince Rāma up until he vanquishes the tyrant King Rāvana and successfully rescues his wife and the crown princess Sītā from Rāvana’s grips. Both Kṛṣṇa and Rāma are traditionally regarded as human incarnations of Viṣṇu. Both the Mahābhārata and Rāmāyana are grouped under the heading of itihāsa (‘thus spoken’) literature. The focal events of the two epics likely occurred between 1000 B.C.E. and 700 A.D. (Thapar p. 31) though the epics themselves appear to have gone through a long process of revision and evolution before their final Sanskrit versions appear on the scene in the first two centuries of the common era.

Itihāsas, though recorded in the form of a narrative, are littered with philosophical discussions on cosmology, and ethics. The most philosophically famous portion of the itihāsa literature is the Bhagavad Gītā. The Bhagavad Gītā forms a portion of the Mahābhārata, but owing to its importance in the tradition it is often regarded as a stand-alone text.

ii. Bhagavad Gītā

The Bhagavad Gītā consists of a discourse given by Kṛṣṇa on the eve of the battle of the fratricidal war of the Mahābhārata to his cousin Arjuna, who becomes despondent at the thought of engaging in a war whose main aim is resting control over the throne, at the expense of the destruction of his family. Kṛṣṇa exhorts Arjuna to do his duty as a Ksatriya and fight the war that he has been charged with (Bhagavad Gītā 2:31). For “[b]etter is one’s own duty, though ill done, than the duty of another well done….” (Bhagavad Gītā 18:47; cf. Manu X. 97). In keeping with the general theme of the smṛti literature, Kṛṣṇa focuses on reconciling the goal of mokṣa with that of dharma. Kṛṣṇa’s first solution to the problem of the conflict of dharma and mokṣa involves doing one’s duty with a strong deontological consciousness, which attends to duty for duty’s sake, and not for its rewards. This deontological attitude not only perfects moral action, on Kṛṣṇa’s account, but it also constitutes true renunciation, which is a prerequisite to mokṣa. Kṛṣṇa calls the deontological renunciation of rewards of dutiful action karma yoga, or the discipline (yoga) of action (karma) (Bhagavad Gītā ch.3). This is not the only type of yoga that Kṛṣṇa prescribes. He also propounds what he identifies as distinct yogas (Bhagavad Gītā chs. 4-11) that might be grouped under the heading of jñāna yoga, or the discipline (yoga) of knowledge (jñāna), whereby one develops a detached attitude towards the fruits of works through knowledge of the excellences and unchanging nature of the transcendent (sometimes spoken of as “Brahman” in this text), and the ephemeral and temporary nature of worldly accomplishments. To this end, Kṛṣṇa calls upon the philosophy of Sāṅkhya and Yoga, as well as the philosophical concepts of the Upaniṣads to explicate the nature of the changing and the transcendent. Finally, Kṛṣṇa also prescribes what he calls bhakti yoga or the “discipline (yoga) of devotion (bhakti)” (Bhagavad Gītā chs. 12-18). Whereas in karma yoga, one merely gives up fruits of actions, in bhakti yoga one offers the fruits of one’s actions to God. Whereas in jñāna yoga one pursues knowledge for its own sake, in bhakti yoga one pursues knowledge for the sake of a loving relationship with the Ultimate. Kṛṣṇa appears to hold that any of the ways that he prescribes will result in liberation for all three varieties of yogas will ensure that the obstacle to liberation—attachment to fruits of actions—is over come.

iii. Purāṇas

Purāna” means history and is the term applied to a group of texts that share a few features: (a) they typically provide a detailed history of the origin of the various gods and the Universe, and (b) they are written in praise of the exploits of a particular deity. Unlike the itihāsas, the Purāṇas are not restricted to incarnations of deities, but describe the activities of the deities, including their incarnations. The Purāṇa literature comes down to us from a time that post dates the composition of the Vedas, though their precise dates of composition are not known (cf. Thapar p.29). There are many Purāṇas, though the most famous is likely the Bhāgavata Purāṇa.

The Bhāgavata Purāṇa is distinguished amongst Purāṇas for being regarded by Gaudiya Vaiṣṇavism, founded by the medieval Bengali saint Caitanya, as the ultimate revelation on all doctrinal matters. This tradition has come into prominence in recent times in the form of the International Society for Kṛṣṇa Consciousness, commonly known as the Hare Kṛṣṇa movement. According to the Bhāgavata Purāṇa, the Ultimate (Brahman) is both identical with and distinct from creation: on this account, Brahman converts itself into the universe but maintains a distinct identity all the same. The Bhāgavata Purāṇa also identifies Viṣṇu with Brahman, and holds that bhakti (devotion) is the chief means of attaining liberation, which consists in the personal absorption of the individual (jīva) in Brahman. The Bhāgavata Purāṇa thus presents one of the famous and enduring theistic expressions of the Bhedābheda philosophy. In the way of ethics, the Bhāgavata Purāṇa strays little from the Varna āśrama dharma found in most smṛti literature (Bhāgavata Purāṇa I.ii.9-12), though it advocates what it calls “bhāgavata dharma” (bhāgavata ethic) which is a combination of the karma yoga and bhakti yoga of the Gītā supplemented with an emphasis on living the life characteristic of a devotee of Kṛṣṇa as described in the Bhāgavata Purāṇa (XI.iii.23-31).

iv. Dharmaśāstra

The term “dharmaśāstra” literally means treaties or science (śāstra) of dharma. The term refers to a corpus of literature clearly authored by Brahmins with the aim of reinforcing a particular conception of Varna āśrama dharma: a moral theory that critics will note ensures that Brahmins are allotted a privileged or crowning position in the caste scheme. The dharmaśāstras contain many features of other smṛti literature that make them philosophically interesting.

Like the Purāṇa literature, many of the dharmaśāstras provide accounts of the origins of the universe, and sometimes they delve into the question of the means to liberation. Their dominant concern however is to prescribe the specific duties and privileges of each caste. After attending to the political question of the proper ordering of society, the dharmaśāstras typically focus on the matter of prayaścitta, or ritual expiation (see Kane vol.4 ch.1 pp. 1-40).

The idea of ritual expiation can be understood as a procedure concerned with alleviating ritual impurity. However, it also has clear moral implications: prayaścittas are prescribed for every manner of offence, and if an agent undertakes the appropriate prayaścitta, they can atone for their moral transgressions. A prayaścitta can take the form of a ritual, an act of charity, or corporal punishment. The idea that one can ritually atone for moral transgressions is unique to the dharmaśāstras, and related texts in the history of Hindu philosophy.

3. Stage Two: Systematic Hindu Philosophy: the Darśanas

Core Hindu canonical texts—the Vedas—form the textual backdrop against which many of the systematic Hindu philosophies are articulated. However, they do not exhaust the import of Hindu philosophy for two main reasons. First, the Vedas are not composed with the intention of being systematic treaties on philosophical issues. They leave many issues of philosophy relatively untouched. Secondly, the core Hindu canonical texts are not canonical in the same way for all Hindus. By and large, those we tend to regard as Hindu accord some type of provisional authority to both the Vedas, and the secondary Vedic literature. However, the authority accorded is something that Hindu thinkers have disagreed upon. Some of the foundational works in systematic Hindu philosophy do not explicitly mention the Vedas (for example, the Sāṅkhya Kārikā), leaving the impression that these schools were tolerant of the authority of the Vedas, but not philosophically wedded to it in any deep sense.

The term “darśana” in Sanskrit translates as “vision” and is conventionally regarded as designating what we are inclined to look upon as systematic philosophical views. The history of Indian philosophy is replete with darśanas. The number of darśanas to be found in the history of Indian philosophy depends largely on the organizational question of how one is to enumerate darśanas: how much difference between expressions of philosophical views can be tolerated before we are inclined to count texts as expressing distinct darśanas? The question seems particularly pertinent in cases like Buddhist and Jain philosophy, which have all had rich philosophical histories. The issue is relatively easier to settle in the context of Hindu philosophy, for a convention has developed over the centuries to count systematic Hindu philosophy as being comprised of six (āstika, or Veda recognizing) darśanas. The six darśanas are: Nyāya, Vaiśeṣika, Sāṅkhya, Yoga, Pūrvamīmāṃsā, and Vedānta.

As a rule, systematic Indian philosophy (Hinduism, Jainism and Buddhism) was recorded in Sanskrit, the pan-Indian language of scholarship, after the end of the Vedic period. While scholars are confident about the approximate dates that the texts of systematic Indian philosophy handed down to us were written (cf. Potter, “Bibliography,” Encyclopaedia of Indian Philosophies, vol.1) scholars are not in many cases as confident about the age of the schools themselves. Moreover, most of the schools of Hindu philosophy have existed side by side. Thus, the order of explication of the systematic schools of Hindu philosophy follows the conventional order of explication and not any particular historical order.

a. Nyāya

The term “nyāya” traditionally had the meaning “formal reasoning,” though in later times it also came to be used for reasoning in general, and by extension, the legal reasoning of traditional Indian law courts. Opponents of the Nyāya school of philosophy frequently reduce it to the status of an arm of Hindu philosophy devoted to questions of logic and rhetoric. While reasoning is very important to Nyāya, this school also had important things to say on the topic of epistemology, theology and metaphysics, rendering it a comprehensive and autonomous school of Indian philosophy.

The Nyāya school of Hindu philosophy has had a long and illustrious history. The founder of this school is the sage Gautama (2nd cent. C.E.)—not to be confused with the Buddha, who on many accounts had the name “Gautama” as well. Nyāya went through at least two stages in the history of Indian philosophy. At an earlier, purer stage, proponents of Nyāya sought to elaborate a philosophy that was distinct from contrary darśanas. At a later stage, some Nyāya and Vaiśeṣika authors (such as Śaṅkara-Misra, 15th cent. C.E.) became increasingly syncretistic and viewed their two schools as sister darśanas. As well, at the latter stages of the Nyāya tradition, the philosopher Gaṅgeśa (14th cent. C.E.) narrowed the focus to the epistemological issues discussed by the earlier authors, while leaving off metaphysical matters and so initiated a new school, which came to be known as Navya Nyāya, or “New” Nyāya. Our focus will be mainly on classical, non-syncretic, Nyāya.

According to the first verse of the NyāyaSūtra, the Nyāya school is concerned with shedding light on sixteen topics: pramāna (epistemology), prameya (ontology), saṃśaya (doubt), prayojana (axiology, or “purpose”), dṛṣṭānta(paradigm cases that establish a rule), Siddhānta (established doctrine), avayava (premise of a syllogism), tarka (reductio ad absurdum), nirnaya (certain beliefs gained through epistemically respectable means), vāda (appropriately conducted discussion), jalpa (sophistic debates aimed at beating the opponent, and not at establishing the truth), vitaṇḍa(a debate characterized by one party’s disinterest in establishing a positive view, and solely with refutation of the opponent’s view), hetvābhāsa (persuasive but fallacious arguments), chala (unfair attempt to contradict a statement by equivocating its meaning), jāti (an unfair reply to an argument based on a false analogy), and nigrahasthāna (ground for defeat in a debate) (NyāyaSūtra and Vātsyāyana’s Bhāṣya I.1.1-20).

With respect to the question of epistemology, the NyāyaSūtra recognizes four avenues of knowledge: these are perception, inference, analogy, and verbal testimony of reliable persons. Perception arises when the senses make contact with the object of perception. Inference comes in three varieties: pūrvavat (a priori), śeṣavat (a posteriori) and sāmanyatodṛṣṭa (common sense) (NyāyaSūtra I.1.3–7).

The Nyāya’s acceptance of both arguments from analogy and testimony as means of knowledge, allows it to accomplish two theological goals. First, it allows Nyāya to claim that the Veda’s are valid owing to the reliability of their transmitters (NyāyaSūtra II.1.68). Secondly, the acceptance of arguments from analogy allows the Nyāya philosophers to forward a natural theology based on analogical reasoning. Specifically, the Nyāya tradition is famous for the argument that God’s existence can be known for (a) all created things resemble artifacts, and (b) just as every artifact has a creator, so too must all of creation have a creator (Udayanācārya and Haridāsa Nyāyālaṃkāra I.3-4).

The metaphysics that pervades the Nyāya texts is both realistic and pluralistic. On the Nyāya view the plurality of reasonably believed things exist and have an identity independently of their contingent relationship with other objects. This applies as much to mundane objects, as it does to the self, and God. The ontological model that appears to pervade Nyāya metaphysical thinking is that of atomism, the view that reality is composed of indecomposable simples (cf. NyāyaSūtra IV.2.4.16).

Nyāya’s treatment of logical and rhetorical issues, particularly in the Nyāya Sūtra, consists in an extended inventory acceptable and unacceptable argumentation. Nyāya is often depicted as primarily concerned with logic, but it is more accurately thought of as being concerned with argumentation.

b. Vaiśeṣika

The Vaiśeṣika system was founded by the ascetic, Kaṇāḍa (1st cent. C.E.). His name translates literally as “atom-eater.” On some accounts Kaṇāḍa gained this name because of the pronounced ontological atomism of his philosophy (Vaiśeṣika Sūtra VII.1.8), or because he restricted his diet to grains picked from the field. If the Nyāya system can be characterized as being predominantly concerned with matters of argumentation, the Vaiśeṣika system can be characterized as overwhelmingly concerned with metaphysical questions. Like Nyāya, Vaiśeṣika in its later stages turned into a syncretic movement, wedded to the Nyāya system. Here the focus will be primarily on the early Vaiśeṣika system, with the help of some latter day commentaries.

Kaṇāḍa’s Vaiśeṣika Sūtra’s opening verses are both dense and very revealing about the scope of the system. The opening verse states that the topic of the text is the elaboration of dharma (ethics or morality). According to the second verse, dharma is that which results not only in abhyudaya but also the Supreme Good (niḥreyasa), commonly known as mokṣa (liberation) in Indian philosophy (Vaiśeṣika Sūtra I.1.1-2). The term “abhyudaya” designates the values extolled in the early, action portion of the Vedas, such as artha (economic prosperity) and kāma (sensual pleasure). From the second verse it thus appears that the Vaiśeṣika system regards morality as providing the way for the remaining puruṣārthas . A reading of the obscure third verse provided by the latter day philosopher Śaṅkara-Misra (15th cent. C.E.) states that the validity of the Vedas rests on the fact that it is an explication of dharma. (Misra’s alternative explanation is that the phrase can be read as asserting that the validity of the Vedas derives from the authority of its author, God—this is a syncretistic reading of the Vaiśeṣika Sūtra, influenced by Nyāya philosophy.) (Śaṅkara-Misra’s Vaiśeṣika Sūtra Bhāṣya I.1.2, p.7).

From the densely worded fourth verse, it appears that the Vaiśeṣika system regards itself as an explication of dharma. The Vaiśeṣika system holds that the elaboration or knowledge of the particular expression of dharma (which is the Vaiśeṣika system) consists of knowledge of six categories: substance (dravya), attribute (guṇa), action (karma), genus (sāmānya), particularity (viśeṣa), and the relationship of inherence between attributes and their substances (samavāya) (Vaiśeṣika Sūtra I.1.4).

The dense fourth verse of the Vaiśeṣika Sūtra gives expression to a thorough going metaphysical realism. On the Vaiśeṣika account, universals (sāmānya) as well as particularity (viśeṣa) are realities, and these have a distinct reality from substances, attributes, actions, and the relation of inherence, which all have their own irreducible reality.

The metaphysical import of the fourth verse potentially obscures the fact that the Vaiśeṣika system sets itself the task of elaborating dharma. Given the weight that the Vaiśeṣika Sūtra gives to ontological matters, it is inviting to treat its insistence that it seeks to elaborate dharma as quite irrelevant to its overall concern. However, subsequent authors in the Vaiśeṣika tradition have drawn attention to the significance of dharma to the overall system.

Śaṅkara-Misra suggests that dharma understood in its particular presentation in the Vaiśeṣika system is a kind of sagely forbearance or withdrawal from the world (Śaṅkara-Misra’s Vaiśeṣika Sūtra Bhāṣya I.1.4. p.12). In a similar vein, another commentator, Chandrakānta (19th cent. C.E.), states:

Dharma presents two aspects, that is under the characteristic of Pravṛitti or worldly activity, and the characteristic of Nivṛitti or withdrawal from worldly activity. Of these, Dharma characterized by Nivṛitti, brings forth tattva–jñana or knowledge of truths, by means of removal of sins and other blemishes. (Chandrakānta p.15.)

Thus the view of the commentators appears to be that the Vaiśeṣika system, which yields “knowledge of truths,” “knowledge of the categories,” or “knowledge of the essences” (cf. Śaṅkara-Misra, p.5) is a moral virtue of the person who is initiated into the system—that is, a “particular dharma” of that person. Hence, in elaborating the nature of reality, the Vaiśeṣika system seeks to extinguish the ignorance that obstructs the effects of dharma, and it thus also constitutes a moral virtue of the proponent of the Vaiśeṣika system. This virtue will not only yield the fruits of works, such as kāma and artha (which the Vaiśeṣika sage will know to appreciate at a distance) but it will also yield the highest good: mokṣa.

c. Sāṅkhya

The term “Sāṅkhya” means ‘enumeration’ and it suggests a methodology of philosophical analysis. On many accounts, Sāṅkhya is the oldest of the systematic schools of Indian philosophy. It is attributed to the legendary sage Kapila of antiquity, though we have no extant work left to us by him. His views are recounted in many smṛti texts, such as the Bhāgavata Purāṇa and the Bhagavad Gītā, but the Sāṅkhya system appears to stretch back to the end of the Vedic period itself. Key concepts of the Sāṅkhya system appear in the Upaniṣads (Kaṭha Upaniṣad I.3.10–11), suggesting that it is an indigenous Indian philosophical school that developed congenially in parallel with the Vedic tradition. Its relative antiquity appears to be confirmed by the references to the school in classical Jain writings (for instance, Sūtrakṛtānga I.i.1.13), which are known for their antiquity. Unlike many of the other systematic schools of Hindu philosophy, the Sāṅkhya system does not explicitly attempt to align itself with the authority of the Vedas (cf. Sāṅkhya Kārikā 2).

The oldest systematic writing on Sāṅkhya that we have is Īśvarakṛṣna’s Sāṅkhya Kārikā (4th cent. C.E.). In it we have the classic Sāṅkhya ontology and metaphysic set out, along with its theory of agency.

According to the Sāṅkhya system, the cosmos is the result of the mutual contact of two distinct metaphysical categories: Prakṛti (Nature), and Puruṣa (person). Prakṛti, or Nature, is the material principle of the cosmos and is comprised of three guṇas, or “qualities.” These are sattva, rajas, and tamas. Sattva is illuminating, buoyant and a source of pleasure; rajas is actuating, propelling and a source of pain; tamas is still, enveloping and a source of indifference (Sāṅkhya Kārikā 12-13).

Puruṣa, in contrast, has the quality of consciousness. It is the entity that the personal pronoun “I” actually refers to. It is eternally distinct from Nature, but it enters into complex configurations of Nature (biological bodies) in order to experience and to have knowledge. According to the Sāṅkhya tradition, mind, mentality, intellect or Mahat (the Great one) is not a part of the Puruṣa, but the result of the complex organization of matter, or the guṇas. Mentality is the closest thing in Nature to Puruṣa, but it is still a natural entity, rooted in materiality. Puruṣa, in contrast, is a pure witness. It lacks the ability to be an agent. Thus, on the Sāṅkhya account, when it seems as though we as persons are making decisions, we are mistaken: it is actually our natural constitution comprised by the guṇas that make the decision. The Puruṣa does nothing but lend consciousness to the situation (Sāṅkhya Kārikā 12-13, 19, 21).

The contact of Prakṛti and Puruṣa, on the Sāṅkhya account, is not a chance occurrence. Rather, the two principles make contact so that Puruṣa can come to have knowledge of its own nature. A Puruṣa comes to have such knowledge when sattva, the illuminating guṇa, assumes a governing position in a bodily constitution. The moment that this knowledge comes about, a Puruṣa becomes liberated. The Puruṣa is no longer bound by the actions and choices of its body’s constitution. However, liberation consists in the end of karma tying the Puruṣa to Prakṛti: it does not coincide with the complete annihilation of past karma, which would consist in the disentangling of a Puruṣa from Prakṛti. Hence, the Sāṅkhya Kārikā likens the self-realization of the Puruṣa to a potter’s wheel, which continues to spin down, after the potter has ceased putting energy to keep the wheel in motion (Sāṅkhya Kārikā 67).

Students of ancient Western philosophy are apt to note that the Sāṅkhya guṇas, and the dualistic theory of personhood, appear to have echos in Plato (4th cent. B.C.E.). Plato held that the body is the casing of the soul (though Plato, at Phaedo 81 and Phaedrus 250c suggests it is a prison, which the Sāṅkhya system does not), and that the embodied soul is composed of three characteristics: an earthy quality geared toward menial tasks that is appetitive (corresponding to bronze), a high-spirited quality geared towards accomplishment and competition (silver), and a reflective or rational portion that is in a position to put in order the constitution of the soul (gold) (Republic 3.415, 4.435–42). Prima facie, the bronze quality appears to correspond to tamas, silver to rajas, and sattva to gold. Owing to the antiquity of the Sāṅkhya system, it is historically implausible that it was influenced by Platonistic thought. This of course invites the contrary proposal, that Plato was influenced by the Sāṅkhya system. While Indian philosophers had an important impact on the course of ancient Greek philosophy (through Pyrrho of Elis, who traveled to India in the 3rd cent. B.C.E. and was impressed by a type of dialectic nihilism characteristic of some Buddhist philosophies, promoted by gymnosophists—naked wise people—who resemble Jain monks) (see Flintoff), there is no historical evidence to suggest that Sāṅkhya thought made its way to ancient Greece. This suggests that both Plato (4th cent. B.C.E.), and the Sāṅkhya system (dating back to the 6th cent. B.C.E. in the Vedas) articulate an ancient Indo-European philosophical perspective that predates both Plato and the Sāṅkhya system, if the similarities between the two are not purely coincidental.

d. Yoga

The Yoga tradition shares much with the Sāṅkhya darśana. Like the Sāṅkhya philosophy, traces of the Yoga tradition can be found in the Upaniṣads. While the systematic expression of the Yoga philosophy comes to us from Patañjali’s Yoga Sūtra, it comes relatively late in the history of philosophy (at the end of the epic period, roughly 3rd century C.E.), the Yoga philosophy is also expressed in the Bhagavad Gītā. The Yoga philosophy shares with Sāṅkhya its dualistic cosmology. Like Sāṅkhya, the Yoga philosophy does not attempt to explicitly derive its authority from the Vedas. However, Yoga departs from Sāṅkhya on an important metaphysical and moral point—the nature of agency—and from Sāṅkhya in its emphasis on practical means to achieve liberation.

Like the Sāṅkhya tradition, the Yoga darśana holds that the cosmos is the result of the interaction of two categories: Prakṛti (Nature) and Puruṣa (Person). Like the Sāṅkhya tradition, the Yoga tradition is of the opinion that Prakṛti, or Nature, is comprised of three guṇas, or qualities. These are the same three qualities extolled in the Sāṅkhya system—tamas, rajas, and sattva—though the Yoga Sūtra refers to many of these by different terms (cf. Yoga Sūtra II.18). As with the Sāṅkhya system, liberation in the Yoga system is facilitated by the ascendance of sattva in a person’s mind, which permits enlightenment on the nature of the self.

A relatively important point of cosmological difference is that the Yoga system does not consider the Mind or the Intellect (Mahat) to be the greatest creation of Nature. A major difference between the two schools concerns Yoga’s picture of how liberation is achieved. On the Sāṅkhya account, liberation comes about by Nature enlightening the Puruṣa, for Puruṣas are mere spectators (cf. Sāṅkhya Kārikā 62). In the contexts of the Yoga darśana, the Puruṣa is not a mere spectator, but an agent: Puruṣa is regarded as the “lord of the mind” (Yoga Sūtra IV.18): for Yoga it is the effort of the Puruṣa that brings about liberation. The empowered account of Puruṣa in the Yoga system is supplemented by a detail account of the practical means by which Puruṣa can bring about its own liberation.

The Yoga Sūtra tells us that the point of yoga is to still perturbations of the mind—the main obstacle to liberation (Yoga Sūtra I.2). The practice of the Yoga philosophy comes to those with energy (Yoga Sūtra I.21). In order to facilitate the calming of the mind, the Yoga system prescribes several moral and practical means. The core of the practical import of the Yoga philosophy is what it calls the Astāṅga yoga (not to be confused with a tradition of physical yoga also called Astāṅga Yoga, popular in many yoga centers in recent times). The Astāṅga yoga sets out the eight (aṣṭa) limbs (anga) of the practice of yoga (Yoga Sūtra II.29). The eight limbs include:

  • yama – abstention from evil-doing, which specifically consists of abstention from harming others (Ahiṃsā), abstention from telling falsehoods (asatya), abstention from acquisitiveness (asteya), abstention from greed/envy (aparigraha); and sexual restraint (brahmacarya)
  • niyamas – various observances, which include the cultivation of purity (sauca), contentment (santos) and austerities (tapas)
  • āsana – posture
  • prāṇāyāma – control of breath
  • pratyāhāra – withdrawal of the mind from sense objects
  • dhāranā– concentration
  • dhyāna – meditation
  • samādhi – absorption [in the self] (Yoga Sūtra II.29-32)

According to the Yoga Sūtra, the yama rules “are basic rules…. They must be practiced without any reservations as to time, place, purpose, or caste rules” (Yoga Sūtra II.31). The failure to live a morally pure life constitutes a major obstacle to the practice of Yoga (Yoga Sūtra II.34). On the plus side, by living the morally pure life, all of one’s needs and desires are fulfilled:

When [one] becomes steadfast in… abstention from harming others, then all living creatures will cease to feel enmity in [one’s] presence. When [one] becomes steadfast in… abstention from falsehood, [one] gets the power of obtaining for [oneself] and others the fruits of good deeds, without [others] having to perform the deeds themselves. When [one] becomes steadfast in… abstention from theft, all wealth comes.… Moreover, one achieves purification of the heart, cheerfulness of mind, the power of concentration, control of the passions and fitness for vision of the Ātma [self, or Puruṣa]. “(Yoga Sūtra II.35–41)

The steadfast practice of the Astāṅga yoga results in counteracting past karmas. This culminates in a milestone-liberating event: dharmameghasamādhi (or the absorption in the cloud of virtue). In this penultimate state, the aspirant has all their past sins washed away by a cloud of dharma (virtue, or morality). This leads to the ultimate state of liberation for the yogi, kaivalya (Yoga Sūtra IV.33). “Kaivalya” translates as “aloneness.”

Critics of the Yoga system charge that it cannot be accepted on moral grounds for it has as its ultimate goal a state of isolation. On this view, kaivalya is understood literally as a state of social isolation (see Bharadwaja). The defender of the Yoga Sūtra can point out that this reading of “kaivalya” takes the final event of liberation in the Yoga system out of context. The penultimate event that paves way for the state of kaivalya is a wholly moral event (dharmameghasamādhi) and the path that leads to this morally perfecting event is itself an intrinsically moral endeavor (Astāṅga yoga, and particularly the yamas). If the concept of ‘kaivalya’ is to be understood in the context of the Yoga system’s preoccupation with morality, it seems that it must be understood as a function of moral perfection. Given the uncommon journey that the yogi takes, it is also natural to conclude that the state of kaivalya is the state characterized by having no peers, owing to the radical shift in perspective that the yogi attains through yoga. The yogi, at the point of kaivalya, no longer sees things from the perspective of individuals in society, but from the perspective of the Puruṣa. This arguably is the yogi’s loneliness.

e. Pūrvamīmāṃsā

The Pūrvamīmāṃsā school of Hindu philosophy gains its name from the portion of the Vedas that it is primarily concerned with: the earlier (pūrva) inquiry (Mīmāṃsā), or the karma khaṇḍa. In the context of Hinduism, the Pūrvamīmāṃsā school is one of the most orthodox of the Hindu philosophical schools because of its concern to elaborate and defend the contents of the early, ritually oriented part of the Vedas. Like many other schools of Indian philosophy, Pūrvamīmāṃsā takes dharma (“duty” or “ethics”) as its primary focus (Mīmāṃsā Sūtra I.i.1). Unlike all other schools of Hindu philosophy, Pūrvamīmāṃsā did not take mokṣa, or liberation, as something to extol or elaborate upon. The very topic of liberation is nowhere discussed in the foundational text of this tradition, and is recognized for the first time by the medieval Pūrvamīmāṃsā author Kumārila (7th cent. C.E.) as a real objective worth pursuing in conjunction with dharma (Kumārila V.xvi.108–110).

The school of philosophy known as Pūrvamīmāṃsā has its roots in the Mīmāṃsā Sūtra, written by Jaimini (1st cent. C.E.). The Mīmāṃsā Sūtra, like the Vaiśeṣika Sūtra, begins with the assertion that its main concern is the elaboration of dharma. The second verse tells us that dharma (or the ethical) is an injunction (codana) that has the distinction (lakṣaṇa) of bringing about welfare (artha) (Mīmāṃsā Sūtra I.i.1-2).

The Pūrvamīmāṃsā system is distinguished from other Hindu philosophical schools—but for the Vedānta systems—in its view that the Vedas are epistemically foundational. Foundationalism is the view that certain knowledge claims are independently valid (which means that no further justificatory reasons are either possible or necessary to justify these claims), and moreover, that these independently valid knowledge claims are able to serve as justifications for beliefs that are based upon them. Such independently valid knowledge claims are thought to be justificatory foundations of a system of beliefs. While all Hindu philosophical schools recognize the validity of the Vedas, only the Pūrvamīmāṃsā and Vedānta systems explicitly regard the Vedas as foundational, and being in no need of further justification: “… instruction [in the Vedas] is the means of knowing it (dharma)—infallible regarding all that is imperceptible; it is a valid means of knowledge, as it is independent…” (Mīmāṃsā Sūtra I.i.5). The justificatory capacity of the Vedas serves to ground the smṛti literature, for it is the sacred tradition based on the Vedas (Mīmāṃsā Sūtra I.iii.2). If a smṛti text conflicts with the Vedas, the Vedas are to be preferred. When there is no conflict, we are entitled to presume that the Vedas stand as support for the smṛti text (Mīmāṃsā Sūtra I.iii.3).

Pūrvamīmāṃsā perhaps more than any other school of Indian philosophy made a sizable contribution to Indian debates on the philosophy of language. Some of Pūrvamīmāṃsā’s distinctive linguistic theses impact on theological matters. One distinctive thesis of the Pūrvamīmāṃsā tradition is that the relationship between a word and its referent is “inborn” and not mediated by authorial intention (Mīmāṃsā Sūtra I.i.5). The second view is that words, or verbal units (śabda), are eternal existents. This view contrasts sharply with the view taken by the Nyāya philosophers, that words have a temporary existence, and are brought in and out of existence by utterance (Nyāya Sūtra II.ii.13, cf. Mīmāṃsā Sūtra I.i.6-11). The commentator Śabara (5th cent. C.E.) explains the Pūrvamīmāṃsā view thus:

…the word is manifested (not produced) by human effort; that is to say, if, before being pronounced, the word was not manifest, it becomes manifested by the effort (or pronouncing). Thus it is found that the fact of words being “seen after effort” is equally compatible with both views.… The Word must be eternal;—why?—because its utterance is for the purpose of another…. If the word ceased to exist as soon as uttered then no one could speak of any thing to others…. Whenever the word “go” (cow) is uttered, there is a notion of all cows simultaneously. From this it follows that the word denotes the Class. And it is not possible to create the relation of the Word to a Class; because in creating the relation, the creator would have to lay down the relation by pointing to the Class; and without actually using the word “go” (which he could not use before he has laid down its relation to its denotation) in what manner could he point to the distinct class denoted by the word “go”…. (Śabara Bhāṣya on Mīmāṃsā Sūtra I.i.12-19, pp. 33–38)

Hence, the only solution to the problem of how words have their meaning, on the Pūrvamīmāṃsā account, is that they have them eternally. If they do not have their meaning eternally and independent of subjective associations between referents and words, communication would be impossible. These strikingly Platonistic positions on the nature of meaning allows the Pūrvamīmāṃsā tradition to argue that the Vedas are an eternally existing, unauthored corpus, and that it’s validity is beyond reproach: “… if the Veda be eternal its denotation cannot but be eternal; and if it be non-eternal (caused), then it can have no validity…” (Kumārila XXVII–XXXII, cf. V.xi.1).

Views in the history of Hindu philosophy that contrast with the Pūrvamīmāṃsā view, on the question of the source and nature of the Vedas, is the view implicit in the Nyāya Sūtra, and stated more clearly by the later syncretic Vaiśeṣika (and Nyāya) author Śaṅkara-Misra (Vaiśeṣika Sūtra Bhāṣya, p.7): the Vedas is the testimony of a particular person (namely God). This is a view that also appears to be echoed in the theistic schools of Vedānta, such as Viśiṣṭādvaita, where God is alluded to as the author of the Vedas (cf. Rāmānuja’s Bhagavad Gītā Bhāṣya 18:58).

f. Vedānta

Like the Pūrvamīmāṃsā tradition, the Vedānta school is concerned with explicating the contents of a particular portion of the Vedas. While the Pūrvamīmāṃsā concerns itself with the former portion of the Vedas, the Vedānta school concerns the end (anta) of the Vedas. Whereas the principal concern of the earlier portion of the Vedas is action and dharma, the principal concern of the latter portion of the Vedas is knowledge and mokṣa.

Philosophies that count technically as expressions of the Vedānta philosophy find their classical expression in a commentary on a synopsis of the Upaniṣads. The synopsis of the contents of the Upaniṣads is called the Vedānta Sūtras, or the Brahma Sūtras, and its author is Bādarāyana (1st cent. C.E.). The latter portion of the Vedas is a vast corpus that does not elaborate a single doctrine in the manner of a monograph. Rather, it is a collection of speculative texts of the Vedas with overlapping themes and images. A common thread that runs through most of the Upaniṣads is a concern to elaborate the nature of the Ultimate, or Brahman, Ātma or the Self (often equated in these texts with Brahman) and what in the subsequent tradition is known as the jīva, or the individual psychological unity. The Upaniṣads are relatively clear that Brahman stands to creation as its source and support, but its unsystematic nature leaves much to be specified in the way of doctrine. While Bādarāyana’s Brahma Sūtra is the systematization of the teachings of the Upaniṣads, many of the verses of the Brahma Sūtra are obscure and unintelligible without a commentary.

Owing to the cryptic nature of the Brahma Sūtra itself, many commentarial subtraditions have evolved in Vedānta. As a result, it is possible to misleadingly use the term “Vedānta” as though it stood for one comprehensive doctrine. Rather, the term “Vedānta” is best understood as a term embracing within it divergent philosophical views that have a common textual connection: their classical expression as a commentary on Bādarāyana’s text.

There are three famous commentaries (Bhāṣyas) on the Brahma Sūtra that shine in the history of Hindu philosophy. These are the 8th century C.E. commentary of Śaṅkara (Advaita) the 12th century C.E. commentary of Rāmānuja (Viśiṣṭādvaita) and the 13th century C.E. commentary by Madhva (Dvaita). These three are not the only commentaries. There appears to have been no less than twenty-one commentators on the Brahma Sūtra prior to Madhva (Sharma, vol.1 p.15), and Madhva is by no means the last commentator on the Brahma Sūtra either. Important names in the history of Indian theology are amongst the latter day commentators: Nimbārka (13th cent. C.E.), Śrkaṇṭha(15th cent. C.E.), Vallabha (16th cent. C.E.), and Baladeva (18th cent. C.E.). However, the majority of the commentaries prior to Śaṅkara have been lost to history. The philosophical positions expressed in the various commentaries fall into four major camps of Vedānta: Bhedābheda, Advaita, Viśiṣṭādvaita and Dvaita. They principally differ on the metaphysics of individual selves and Brahman, though there are also some striking ethical differences between these schools as well.

i. Bhedābheda

According to the Bhedābheda view, Brahman converts itself into the created, but yet maintains a distinct identity. Thus, the school holds that Brahman is both different (bheda) and not different (abheda) from creation and the individual jīva.

The philosophical persuasion that has produced the most commentaries on the Brahma Sūtra is the Bhedābheda philosophy. Textual evidence suggests that all of the commentaries authored prior to Śaṅkara’s famous Advaita commentary on the Brahma Sūtra subscribed to a form of Bhedābheda, which one historian calls “Pantheistic Realism” (Sharma, pp. 15-7). And on natural readings, it appears that most of the remaining commentators (but for the three famous commentators) also promulgate an interpretation of the Brahma Sūtra that falls within the Bhedābheda camp.

ii. Commonalities of the Three Famous Commentaries

While the three major commentators on the Brahma Sūtra’s differ on important metaphysical questions like the nature and relationship of Brahman to creation and jīvas, or the important moral questions on the priority of Vedic morality, there are some common views that they all share.

All of the three major schools of Vedānta hold that the Vedas are the ultimate source of knowledge of Brahman, and that the Vedas have an independent validity, not reducible or contingent upon the validity of any other means of knowledge (Śaṅkara’s, Rāmānuja’s and Madhva’s Brahma Sūtra Bhāṣyas, I.i.1-3). This interpretation of the Brahma Sūtra pits the Vedānta tradition against the Nyāya optimism about natural theology. For the major schools of Vedānta, natural reason cannot, on its own, arrive at knowledge of the existence of God (Brahman). (For a detailed criticism of the Nyāya natural theology, see Rāmānuja’s Brahma Sūtra Bhāṣya pp. 162-74.)

Rāmānuja and Śaṅkara both regard the individual jīva as being uncreated, and having no beginning (Śaṅkara’s Brahma Sūtra Bhāṣya II.iii.16; Rāmānuja’s Brahma Sūtra Bhāṣya II.iii.18). Madhva concurs that individual souls are eternal, but yet insists that it is correct to regard Brahman as the source of individual souls (Madhva’s Brahma Sūtra Bhāṣya II.iii.19).

The three major commentators on the Brahma Sūtra see eye to eye on the nature of the individual as agent. According to Śaṅkara, Rāmānuja and Madhva, the individual, or jīva, is an agent, with desires and goals. However, in and of itself, it has no power to make its will manifest. Brahman, on all three accounts, steps in and grants the fruits of the desires of an individual. Thus while on this account individuals are agents, they are really also quite impotent. (Śaṅkara’s and Rāmānuja’s Brahma Sūtra Bhāṣyas I.iii.41; Madhva’s Brahma Sūtra Bhāṣya II.iii.42). All three authors are sensitive to the fact that Brahman’s help in bringing about the fruits of desires of individuals implicates Brahman in the evils of the world, and hence opens up the problem of evil. The theodicy of all three relies upon the doctrine of the eternality of the individual jīva. Since there is always some prior choice and action on the part of the individual according to which Brahman has to dispense consequences, at no point can Brahman be accused of partiality, cruelty, or making persons choose the things that they do (Śaṅkara’s and Rāmānuja’s Brahma Sūtra Bhāṣyas II.i.34; Madhva Bhāṣya II.i.35, iii.42).

Finally, Rāmānuja and Śaṅkara both appear to take a position on the propriety of animal sacrifices as prescribed in the Vedas that is reminiscent of the Pūrvamīmāṃsā deferral to the Vedas on all matters of morality. According to both Śaṅkara and Rāmānuja, animal sacrifices cannot be regarded as evils for they are enjoined in the Vedas, and the Vedas is the ultimate authority on such matters (Śaṅkara’s and Rāmānuja’s Brahma Sūtra Bhāṣya III.i.25). Madhva in contrast is reputed to have been a staunch opponent of animal sacrifices, who held that such rituals are a result of a corruption of the Vedic tradition. He interprets the Brahma Sūtra in such a way that the question of animal sacrifices does not arise.

iii. Advaita

Combining the negative particle “a” with the term “dvaita” creates the term “advaita”. The term “dvaita” is often translated as “dualism” as the term “advaita” is often translated as “non-dualism.” In the case of Dvaita Vedānta, this convention of translation is misleading, for Dvaita Vedānta does not, like the Sāṅkhya system, propound a metaphysical dualism. Indeed, Dvaita Vedānta holds an explicitly pluralistic metaphysics. Rather, “dvaita” in the context of Vedānta nomenclature is an ordinal, meaning “secondness.” Dvaita Vedānta, thus, holds that there is such a thing as secondness—something extra, that comes after the first: Brahman. Advaita Vedānta, in contrast, holds that Brahman is one without a second. “Advaita” can thus be translated as “monism,” “non-duality” or most perspicuously as “non-secondness” (Hacker p.131n21).

The principal author in the Advaita tradition is Śaṅkara. In addition to writing several philosophical works, Śaṅkara the commentator on the Brahma Sūtra, set up four monasteries in the four corners of India. Successive heads of the monasteries, according to tradition, take Śaṅkara’s name. This has contributed to great confusion about the views that Śaṅkara, the commentator on the Brahma Sūtras held, for many of his successors also authored philosophical works with the same name. On the basis of comparing writing style, vocabulary, and the colophons of the various works attributed to “Śaṅkara,” the German philologist and scholar of Indian philosophy, Paul Hacker, has concluded that only a portion of the works attributed to Śaṅkara are by the author of the commentary on the Brahma Sūtras (Hacker pp. 41-56). These genuine works include commentaries on the Upaniṣads, and a commentary on the Bhagavad Gītā. The following explication will be restricted to such works.

It is commonly held that Śaṅkara argued that the common sense, empirical world as we know it is an illusion, or māyā. The term “māyā” does not figure prominently in the genuine writings of Śaṅkara. However, it is an accurate assessment that Śaṅkara holds that the majority of our beliefs about the reality of a plurality of objects and persons are ultimately false.

Śaṅkara’s philosophy and criticism of common sense rests on an argument unique to him in the history of Indian philosophy—an argument that Śaṅkara sets at the outset of his commentary on the Brahma Sūtra. From this argument from superimposition, the ordinary human psyche (which self identifies with a body, a unique personal history, and distinguishes itself from a plurality of other persons and objects) comes about by an erroneous superimposition of the characteristics of subjectivity (consciousness, or the sense of being a witness), with the category of objects (which includes the characteristics of having a body, existing at a certain time and place and being numerically distinct from other objects). According to Śaṅkara, these categories are opposed to each other as night and day. And hence, the conflation of the two categories is fallacious. However, it is also a creative mistake. As a result of this superimposition, the jīva (individual person) is constructed complete with psychological integrity, and a natural relationship with a body (Śaṅkara Brahma Sūtra Bhāṣya, Preamble to I.i.1). All of this is brought about by beginningless nescience (avidyā)—a creative factor at play in the creation of the cosmos.

In reality, all there really is on Śaṅkara’s account is Brahman: objects of its awareness, such as the entire universe, exist within the realm of its consciousness. The liberation of the individual jīva occurs when it undoes the error of superimposition, and no longer identifies itself with a body, or a particular person with a natural history, but with Brahman.

It is worth stressing that Śaṅkara’s view is not a form of subjective idealism, or solipsism in any ordinary sense. For those sympathetic to Śaṅkara’s account, superimposition is an objective occurrence that happens most anywhere there is an ordinary organism with a living body. However, Śaṅkara’s system is properly characterized as a form of Absolute Idealism, for on its account only the undifferentiated Absolute is ultimately real, while affairs of the world are its thoughts.

Śaṅkara’s Advaita tradition is known for giving a nuanced, and two-part account of the ‘self’ and ‘Brahman.’ On Śaṅkara’s account, there is a lower and higher self. The lower self is the jīva, while the higher self (the real referent of the personal pronoun “I,” used by anyone) is the one real Self: Ātma, which on Śaṅkara’ s account is Brahman. Likewise, on Śaṅkara’s account, there is a lower and a higher Brahman (Śaṅkara Brahma Sūtra Bhāṣya IV.3.16. pp. 403-4). The lower Brahman is the personal God that pious devotees pray to and meditate on, while the Higher Brahman is devoid of most all such qualities, is impersonal, and is characterized as being essentially bliss (ānanda) (Śaṅkara Brahma Sūtra Bhāṣya III.3.14) truth (satyam) knowledge (jñānam) and infinite (anantam) (cf. Śaṅkara, Taittitrīya Upaniṣad Bhāṣya II.i.1.). The lower Brahman, or the personal God that people pray to, can be afforded the title of “Brahman” owing to its proximity to the Highest Brahman: in the world of plurality, it is the closest thing to the Ultimate (Śaṅkara Brahma Sūtra Bhāṣya IV.3.9). However, it too, like the concept of the individual person, is a result of the error of superimposing the qualities of objectivity and subjectivity on each other (Śaṅkara, Brahma Sūtra Bhāṣya IV.3.10). In the Advaita tradition, the lower Brahman is known as the saguṇa Brahman (or Brahman with qualities) while the highest Brahman is known as the nirguṇa Brahman (or Brahman without qualities) (Śaṅkara Brahma Sūtra Bhāṣya III.2.21).

Śaṅkara takes a skeptical attitude towards the importance of dharma, or morality. On Śaṅkara’s account, so long as one exists as a construction of necessience, operating under the erroneous assumption that one is a distinct object from Brahman and other objects, then one ought to follow the Vedas and its injunctions regarding dharma for it will help form tendencies to look within (Śaṅkara, Bhagavad Gītā Bhāṣya on 18:66). However, for the serious aspirant, Śaṅkara regards dharma as an impediment to liberation—it too must be abandoned, lest an individual reinforce their self-identification with a body in contradistinction to other bodies and persons (Śaṅkara, Bhagavad Gītā Bhāṣya on 4:21). Those sympathetic to Śaṅkara’s philosophy often regard Śaṅkara’s skepticism about dharma as a liberal and progressive aspect to his philosophy, for it devalues the importance of Vedic dharma, which contains within it caste morality. Critics of Śaṅkara are likely to regard Śaṅkara’s skepticism about the importance of dharma as troubling, not because it implies that we should forsake Vedic dharma, but because it suggests that we ought to give up moral concerns, altogether, for the sake of spiritual pursuits (lest we fall back into the fallacy of superimposition).

iv. Viśistādvaita

The term “Viśiṣṭādvaita” is often translated as “Qualified Non-Dualism.” An alternative, and more informative, translation is “Non-duality of the qualified whole,” or perhaps ‘Non-duality with qualifications.” The principal exponent of this school of Vedānta is Rāmānuja, who attempted to eschew the illusionist implications of Advaita Vedānta, and the perceived logical problems of the Bhedābheda view while attempting to reconcile the portions of the Upaniṣads that affirmed a substantial monism and those that affirmed substantial pluralism. Rāmānuja’s solution to his problematic is to argue for a theistic and organismic conception of Brahman.

The theism of Rāmānuja’s Viśiṣṭādvaita shows up in his insistence that Brahman is a specific deity (Viṣṇu, also known as “Nārāyana”) who is an abode of an infinite number of auspicious qualities. The organismic aspect of Rāmānuja’s model consists in his view that all things that we normally consider as distinct from Brahman (such as individual persons or jīvas, mundane objects, and other unexalted qualities) constitute the Body of Brahman, while the Ātman spoken of in the Upaniṣads is the non-body, or mental component of Brahman. The result is a metaphysic that regards Brahman as the only substance, but yet affirms the existence of a plurality of abstract and concrete objects as the qualities of Brahman’s Body and Soul (Vedārthasaṅgraha §2).

Rāmānuja holds that in the absence of stains of passed karma the jīva (individual person) resembles Brahman in being of the nature of consciousness and knowledge (Rāmānuja, Brahma Sūtra Bhāṣya, I.i.1. “Great Siddhānta” pp. 99-102). Past actions cloud our true nature and force us to act out their consequences. On Rāmānuja’s account, the prime way of extricating ourselves from the beginningless effects of karma involves bhakti, or devotion to God. But bhakti on its own is not sufficient, or at least, bhakti if it is to bring about liberation must either be combined with the karma yoga mentioned in the Bhagavad Gītā, or it must turn into bhakti yoga. For attending to one’s dharma (duty) is the chief means by which one can propitiate God, on Rāmānuja’s account (Rāmānuja, Gītā Bhāṣya, XVIII.47 p.583). Moreover, in attending to one’s dharma in the deontological spirit characteristic of karma yoga and consonant with bhakti yoga one prevents the development of new karmic dispositions, and can allow the past stores of karma to be naturally extinguished. This will have the effect of unclouding the individual jīva’s omniscience, and bringing the jīva closer to a vision of God, which alone is an unending source of joy (Vedārthasaṅgraha §241). Unlike Śaṅkara, Rāmānuja insists that dharma is never to be abandoned (Rāmānuja, Bhagavad Gītā Bhāṣya XVIII.66, p.599).

v. Dvaita

Madhva is one of the principal theistic exponents of Vedānta. On his account, Brahman is a personal God, and specifically He is the Hindu deity Viṣṇu.

According to Madhva, reality is characterized by a five fold difference: (i) jīvas (individual persons) are different from God; (ii) jīvas are also different from each other; (iii) inanimate objects are different from God; (iv) inanimate objects are different from other inanimate objects; (v) inanimate objects are different from jīvas (Mahābhāratatātparnirnayaḥ, I. 70-71). The number of types of entities on Madhva’s account appears thus to be three: God, jīvas, and inanimate objects. However, the actual number of objects on Madhva’s account appears to be very high. This substantial pluralism sets Madhva apart from the other principle exponents of Vedānta.

A distinctive doctrine of Madhva’s Vedānta is his view that jīvas fall into a hierarchy, with the most exalted jīvas occupying a place below Viṣṇu (such as Viṣṇu’s companions in his eternal abode) to the lowest jīvas, who occupy dark hell regions. Moreover, on Madhva’s account, the ranking of jīvas is eternal, and hence those who occupy the lowest hells are eternally damned. Amongst the middle level jīvas, the Gods and the most virtuous of humans are eligible for liberation. The average amongst the middle rung jīvas transmigrate forever, while the lowest amongst the middle level jīvas find themselves in the upper hells (Mahābhāratatātparnirnayaḥ I.85-88).

Madhva holds that liberation comes to those who appreciate the five fold differences and the hierarchy of the jīvas (Mahābhāratatātparnirnayaḥ, 81-2). However, ultimately, whether one is liberated or not is completely at the discretion of Brahman, and Brahman is pleased by nothing more than bhakti, or devotion (Mahābhāratatātparnirnayaḥ I.117).

g. Classical Hindu Philosophy in the Context of Indian Philosophy

Hindu philosophy did not develop in a vacuum. Rather, it is an inextricable part of the history of Indian philosophy. Hence, other Indian philosophical movements did not only influence Hindu philosophy, but it also arguably had an influence on their development as well.

The most salient manner in which Hindu philosophy was influenced by other Indian philosophical developments is in the realm of ethics. In its infancy, Hindu philosophy as set out in the action portion of the Vedas was wedded to the practice of animal sacrifices (see Aitareya Brāhmana, book II.1-2). Buddhism and Jainism were both critical of the practice. Buddhism as a philosophy devoted to the alleviation of suffering is disposed to see animal sacrifices as involving unnecessary suffering. Jainism, in contrast, had made Ahiṃsā, or non-harmfulness, its chief moral virtue. Jainism might very well have been the first religio-philosophical movement in India staunchly wedded to vegetarianism. And while vegetarianism was alien to early Hindu practice, it has become an integral part of Hindu orthodoxy in many parts of India. Now, for many Hindus, the very idea of eating meat is the very archetype of immoral and irreligious behavior. This attitude can be found amongst the most orthodox followers of both Śaṅkara and Rāmānuja, who, as noted, defended the propriety of animal sacrifices. The shift in the general attitude of many Hindus arguably goes to the credit of Jainism, a once prevalent religion in India, which has been a source of tireless criticism of violence.

A case might also be made for the influence of Jainism on the Yoga darśana. Specifically, the yama rules found in the Yoga darśana, which include Ahiṃsā, are identical to the five Great vows of Jainism (Ācāraṅga Sūtra II.15.i.1–v.1). While it is possible that these precepts have a third common source, or that they are indigenous to the Yoga tradition, it is also highly probable that they were incorporated, early on, into the Yoga tradition by way of influence of Jain thought. The Yoga tradition also shows the mark of being influenced by Mahāyāna Buddhism in its account of “dharmameghasamādhi”—a term that shows up in many latter day Buddhist texts (see Klostermaier).

In the realm of metaphysics, a controversial argument can be made that Hindu philosophy, as found in the Upaniṣads, has exercised a profound effect on the development of latter day Indian Buddhist thought. Increasingly, in the context of latter Indian Buddhism, there is a movement away from a seeming agnosticism to an affirmation of the Ultimate in terms of a master concept, which designates both the grounding and the source of all. For Buddhist Idealism (Yogācāra, or Vijñānavāda) the master concept is that of Consciousness-Only, and in the context of Mādhyamika Buddhism of Nāgārjuna (2nd cent. C.E.) the master concept is that of Emptiness, or Śūnyatā. Such a move towards a master concept resembles the Upaniṣad’s employment of the concept “Brahman” and is arguably an adaptation of some elements of the metaphysical picture of the Upaniṣads into Buddhist philosophy.

Similarly, a case might also be made that the notion of “Two-Truths” (the doctrine that there is a distinction to be drawn between conventional truth that operates in ordinary, domestic discourse that recognizes diversity, and Truth from the perspective of the Ultimate which rejects diversity) operative in latter Buddhist thought is also a doctrine that can be found in the Upaniṣads (cf. Muṇdaka Upaniṣad, I.i. 5-6). While this doctrine gets its clearest explication in the context of latter day Buddhist thought in India, it seems that it has its precursor in Vedic speculation.

4. Stage Three: Neo-Hinduism

The term “Neo-Hinduism” refers to a conception of the Hindu religion formed by recent authors who were learned in traditional Indian philosophy, and English. Famous Neo-Hindus include Swami Vivekānanda (1863-1902) the famous disciple of the traditional Hindu saint Rāma-Kṛṣṇa, and India’s first president, Sarvepalli Radhakrishnan (1888-1975) a professional philosopher who held academic posts at various universities in India and Oxford, in the UK.

A famous formulation of the doctrine of Neo-Hinduism is the simile that likens religions to rivers, and the oceans to God: as all rivers lead to the ocean so do all religions lead to God. Similarly, Swami Nirvenananda in his book Hinduism at a Glance writes:

All true religions of the world lead us alike to the same goal, namely, to perfection if, of course, they are followed faithfully. Each of them is a correct path to Divinity. The Hindus have been taught to regard religion in this light. (Nivernananda, p.20.)

Frequently, Neo-Hindu authors identify Hinduism with Vedānta in their elaboration of Neo-Hindu doctrine, and in this formulation we find another tenet of Neo-Hinduism: Hinduism is not simply another religion, but a meta-religion, or the philosophy of religion. Hence, we find Vivekānanda writes:

Ours is the universal religion. It is inclusive enough, it is broad enough to include all the ideals. All the ideals of religion that already exist in the world can be immediately included, and we can patiently wait for all the ideals that are to come in the future to be taken in the same fashion, embraced in the infinite arms of the religion of Vedānta. (Vivekānanda, vol. III p.251-2.)

Similarly, Radhakrishnan holds “[t]he Vedānta is not a religion, but religion itself in its most universal and deepest significance” (Radhakrishnan, 35).

The view identified as Neo-Hinduism here might be understood as a form of Universalism or liberal theology that attempts to ground religion itself in Hindu philosophy. Neo-Hinduism must be distinguished from another theological view that has a long history in India, which we might call Inclusivist Theology. According to Inclusivist Theology, there are elements in any number of religious practices that are consonant with the one true religion, and if a practitioner of a contrary religion holds fast to those elements in their religion that are correct, they will eventually attain the Ultimate. Often, this view finds expression in the widespread Hindu view that all the various deities are really lower manifestations of one true deity (for example, a Vaiṣṇava who held an Inclusivist theology might interpret all deities, in so far as they are consonant with the qualities attributed to Viṣṇu, to be lower manifestations of Viṣṇu, and thus good first steps to conceptualizing the Ultimate). Neo-Hinduism, in contrast, makes no distinction between deities, religions, or elements within religions, for all religions operate at the level of the practical, while the Ultimate, ex hypothesi, is transcendent. There is no religion, or no portion of any religion, which is incorrect, on this view, for all are equally human efforts to strive for the Divine. Neo-Hindus do not typically regard themselves as forming a new philosophy or religion, though the doctrine expressed by Neo-Hinduism is characterized by theses and concerns not clearly expressed in classical Hindu philosophy. As a rule, Neo-Hinduism is a reformulation of Advaita Vedānta, which emphasizes the implicit liberal theological tendencies that follow from the two-fold account of Brahman.

Recall that on Śaṅkara’s account a distinction is to be drawn between a lower and higher Brahman. Higher Brahman (nirguṇa Brahman) is impersonal and lacks much of what is normally attributed to God. In contrast, lower Brahman (saguṇa Brahman) has personal characteristics attributed to deities. While the higher Brahman is the eternally existing reality, lower Brahman is a result of the same creative error that results in the construction of normal integrated egos in bodies: superimposition. Neo-Hinduism takes note of the fact that this account of lower Brahman’s nature implies that the deities normally worshiped in a religious context are really natural artefacts, or projections of aesthetic concerns on the Ultimate: they are images of the Ultimate formulated for the sake of religious progress. Neo-Hinduism thus reasons that no one’s personal God is any more the real God than another religion’s personal God: rather, all are equally approximations of the one real, impersonal Brahman that transcends the domestic qualities attributed to it. While personal deities are considerably devalued on this account, the result is a liberal theology that is closed to no religious tradition, in principle, for any religion that personalizes God will be approaching the highest Brahman through the lens of superimposed characteristics of object-qualities on Brahman.

Critics of Neo-Hinduism have noted that while Neo-Hinduism aspires to shun the sectarianism that characterises the history of religion in the West through a spirit of Universalism, Neo-Hinduism itself engages in a sectarianism, in so far as it identifies Hinduism with the true perspective that understands the quality-less nature of the Ultimate (cf. Halbfass, Tradition and Reflection pp. 51-86). In defense of Neo-Hinduism, it could be argued that it is a genuine, modern attempt to re-understand the philosophical implications of earlier Hindu thought, and not an attempt to reconcile the various religions of the world.

Critics might also argue that Neo-Hinduism is bad history: many philosophers that we today regard as Hindu (such as Rāmānuja or Madhva) would not accept the idea that all deities are equal, and that God is ultimately an impersonal entity. Moreover, Śaṅkara, the commentator on the Brahma Sūtras did not argue for the type of Universalism characteristic of Neo-Hinduism, which regards all religious observance as equally valid (though this arguably is an implication of his philosophy). Neo-Hinduism, the critic might argue, is historical revisionism. In response, Neo-Hinduism might defend itself by insisting that it is not in the business of providing an account of the history of all of Hindu philosophy, but only a certain strand that it regards as the most important.

5. Conclusion: the Status of Hindu Philosophy

Hindu philosophers have taken varied views on many important issues in philosophy. Hindu philosophers, for instance, are not in agreement as to whether God is a person. They have not all agreed upon the nature and scope of the epistemic validity of the Vedas, nor have they all agreed on basic questions of axiology, such as the content of morality. Some affirm the importance of Vedicly prescribed acts, such as animal sacrifices, while others, such as the Yoga philosopher Patañjali, appear to suggest that violence is always to be avoided. Likewise, some Hindu philosophers hold that the content of the Vedas as always binding, such as Rāmānuja. Others, such as Śaṅkara, regard it as constituting provisional obligations, subject to a person not being serious about liberation. All Hindu philosophers are not in agreement on whether there is anything like liberation. Most recognize the existence of liberation, while the early Pūrvamīmāṃsā does not. While all Hindu philosophers hold that there is something like an individual self, they differ radically in their account of the reality and nature of this individual. This difference in ontology reflects the rich metaphysical diversity amongst Hindu philosophers: some affirm the existence of a plurality of objects; qualities and relations (such as the Vaiśeṣika, Dvaita Vedānta) while others do not (Advaita Vedānta). Such differences have made Hindu philosophy into a sub-tradition of philosophy within Indian philosophy, and not simply one comprehensive philosophical view amongst many. Hindu philosophy is not a static doctrine, but a growing tradition rich in diverse philosophical perspectives. Contrary to some popular accounts, what is presented as Hindu philosophy in recent times is not simply an elaboration of ancient tradition, but a re-evaluation and dialectical evolution of Hindu philosophical thought. Far from detracting from the authority or authenticity of recent Hindu speculation, what this shows is that Hindu philosophy is a living and vibrant tradition that shows no sign of being fossilized into a curiosity from the past, any time soon.

6. References and Further Readings

a. Primary Sources

  • Ācāraṅga Sūtra. Trans. Harmann Georg Jacobi. Jaina Sūtras. Ed. Harmann Georg Jacobi. Vol. 1. 2 vols. Delhi: AVF Books, 1987.
  • Aiterya Brāhmana. Aiterya Brāhmana of the Ṛg Veda. Trans. Martin Haug. Sacred Books of the Hindus. Ed. B.D. Basu. Allahabad: Sudhindra Nath Vasu, 1922.
  • Bhāgavata Purāṇa. Śrīmad Bhāgavatam. Trans. Tapasyānanda. Madras: Sri Ramakrishna Math, 1981.
  • Chandrakānta. Vaiśeṣika Sūtra (Gloss). Trans. Nandal Sinha. Allahabad: Sudhindra Nath Basu, 1923.
  • Dhammapada. A Source Book in Indian Philosophy. Eds. S. Radhakrishnan and Charles Alexander Moore. Princeton, N.J.: Princeton University Press, 1967. 292-325.
  • Gautama. Nyāya Sūtra. Trans. Satisa Chandra Viyabhusana. Sacred Books of the Hindus. Ed. Nandalal Sinha. 2nd rev. and enl. ed. Vol. 8. Allahabad: Panini Office, 1930.
  • Gautama, Vātsyāyana, and Uddyotakara. The NyāyaSūtras of Gautama: with the Bhāṣya of Vātsyāyana and the Vārtika of Uddyotakara. Trans. Ganganatha Jha. Delhi: Motilal Banarsidass, 1984.
  • Gītā. Śrīmad Bhagavad Gītā; the Scripture of Mankind. Trans. and Ed. Swāmi Tapasyānanda. Madras: Śrī Ramakrishna Math, 1986.
  • Guṇaratna. Tarkarahasyadīpika. Cārvāka/Lokāyata: an Anthology of Source Materials and Some Recent Studies. Ed. Debiprasad Chattopadhyaya. New Delhi: Indian Council of Philosophical Research in association with Rddhi-India Calcutta, 1990.
  • Īśvarakrsna. Sāṅkhya Kārikā. Trans. S.S. Suryanārāyana-Sastri. Madras University Philosophical Series. no. 3. Ed. S.S. Suryanārāyana-Sastri. 2nd rev. ed. Madras: University of Madras, 1948.
  • Jaimini. Mīmāṃsā Sūtra. Trans. and Ed. Mohan Lal Sandal. Sacred Books of the Hindus. Vol. 27. Allahabad: Sudhindre Nath Basu, 1923.
  • Khaṇḍa. Vaiśeṣika Sūtra. Trans. and Ed. Nandalal Sinha. Sacred Books of the Hindus. Ed. Nandal Sinha. 2nd rev. and enl. ed. Vol. 6. Allahabad: Sudhindra Nath Basu, Panini Office, 1923.
  • Kaṭha Upaniṣad. Trans. and Ed. Swami Gambirananda. Eight Upaniṣads, With the Commentary of Śankarācārya. Ed. Swami Gambirananda. Vol. 2: Advaita Ashrama, 1977. 91-220.
  • Kumārila. Ślokavārtika. 1909 Bibliotheca Indica. Calcutta: Asiatic Society. Trans. Ganganatha Jha. Śrī Garib Das Oriental Series. Vol. 8. Delhi: Śrī Satguru, 1983.
  • Madhva. Mahābhāratātparyanirnayah. Trans. and Ed. K.T. Pandurang. Vol. 1. Chirtanur: Sriman Madhva Siddhantonnanhini Sabha, 1993. Madhva. Vedānta Sūtras with the commentary of Śrī Madhwacharya (Madva Brahma Sūtra Bhāṣya). Trans. S. Subba Rau. Madras: Thompson and Co., 1904.
  • Majjhima Nikāya. The Collection of the Middle Length Sayings. Trans. I. B. Horner. Pali Text Society Translation Series. Vol. 29–31. 3 vols. London: Published for the Pali Text Society by Luzac, 1957.
  • Manu. The Laws of Manu (Manavadharmaśāstra). Trans. G.Buhler. Sacred Books of the East. Ed. Max Müller. Vol. xxv. Oxford: Oxford University Press, 1886.
  • Muṇdaka Upaniṣad. Trans. and Ed. Swami Gambirananda. Eight Upaniṣads, With the Commentary of Śankarācārya. Vol. 2: Advaita Ashrama, 1977. 77-172.
  • Patañjali. Yoga Sūtra. Trans. and Ed. Swāmi Prabhavananda. Madras: Ramakrishna Math., 1953.
  • Plato. Phaedo. Trans. Hugh Tredennick. The Collected Dialogues of Plato, Including the Letters. Bollingen Series 71. Eds. Edith Hamilton and Huntington Cairns. New York: Pantheon Books, 1966. 40-99.
  • Plato. Phaedrus. Trans. R. Hackforth. The Collected Dialogues of Plato, Including the Letters. Bollingen Series 71. Eds. Edith Hamilton and Huntington Cairns. New York: Pantheon Books, 1966. 475-525.
  • Plato. Republic. Trans. Paul Shorey. The Collected Dialogues of Plato, Including the Letters. Bollingen Series 71. Eds. Edith Hamilton and Huntington Cairns. New York: Pantheon Books, 1966. 575-844.
  • Puruṣa Sūkta. Śrī Rudram and Puruṣasūktam. Trans. and Ed. Swami Amritananda. Ed. Swami Amritananda. Chennai: Sri Ramakrishna Math, 1997.
  • Radhakrishnan, S. The Hindu View of Life. Books that matter. London: G. Allen & Unwin, 1961.
  • Radhakrishnan, S., and Charles Alexander Moore, eds. A Source Book in Indian Philosophy. Princeton, N.J.: Princeton University Press, 1967.
  • Rāmānuja. Śrī Rāmānuja Gītā Bhāṣya. Trans. and Ed. Swāmi Ādidevānada. Madras: Sri Ramakrishna Math, 1991.
  • Rāmānuja. Vedānta Sūtras with the commentary of Rāmānuja (Rāmānuja Brahma Sūtra Bhāṣya; Śrī Bhāṣya). Trans. George Thibaut. Sacred Books of the East. Vol. 48. Delhi: Motilal Banarsidass, 1996.
  • Rāmānuja. Vedārthasaṅgraha. Trans. and Ed. S.S. Ragavachar. Mysore: Sri Ramakrishna Ashrama, 1968.
  • Ṛg Veda. Vedic hymns. Trans. Hermann Oldenberg. Sacred books of the East. Ed. F. Max Müller. Vol. 32, 46. 2 vols. Oxford: The Clarendon Press, 1891.
  • Śabara. Śabara Bhāṣya. Trans. Ganganatha Jha. Gaekwad’s Oriental Series. Vol. 66, 70, 73. Baroda: Oriental Institute, 1933.
  • Saṃyutta Nikāya. The Connected Discourses of the Buddha : a New Translation of the Saṃyutta Nikāya; translated from the Pāli. Trans. Bhikkhu Bodhi. 2 vols. Somerville, MA: Wisdom Publications, 2000.
  • Śaṅkara (ācārya). Bhagavad Gītā with the commentary of Śankarācārya. Trans. Swāmi Gambhirānanda. Calcutta: Advaita Ashrama, 1991.
  • Śaṅkara (ācārya). “Taittitrīya Upaniṣad Bhāṣya.” Trans. Swami Gambirananda. Eight Upaniṣads, With the Commentary of Śankarācārya. Vol. 1: Advaita Ashrama, 1977. 3-29.
  • Śaṅkara (ācārya). The Vedānta Sūtras (Brahma Sūtra Bhāṣya). Sacred books of the East, vol.38. Delhi: Motilal Banarsidass, 1994.
  • Śaṅkara-Misra. Vaiśeṣika Sūtra Bhāṣya. Trans. Nandalal Sinha. Sacred Books of the Hindus. Ed. Nandal Sinha. 2nd rev. and enl. ed. Vol. 6. Allahabad: Sudhindra Nath Basu, Panini Office, 1923.
  • Sūtrakṛtānga . Trans. Harmann Georg Jacobi. Jaina Sūtras. Ed. Harmann Georg Jacobi. Vol. 2. Delhi: AVF Books, 1987. 235–436.
  • Tapasyānanda, Swāmi. Bhakti Schools of Vedānta. Madras: Ramakrishna Math, 1990.
  • Udayanācārya and Haridāsa Nyāyālamkāra. The Kusumāñjali: or, Hindu Proof of the Existence of a Supreme Being (10th Century). (Udayanācārya’s Nyāyausumāñjali with Haridāsa’s Nyāyālaṃkāra’s Vyākhyā). Trans. and Ed. E.B. Cowell. Varanasi: Bharat-Bharati, 1980.
  • Vivekānanda. The Complete Works of Swami Vivekānanda. Mayavati memorial ed. Calcutta: Advaita Ashrama, 1964.

b. Secondary Sources

  • Bharadwaja, V.K. “A Non-Ethical Concept of Ahiṃsā.” Indian Philosophical Quarterly. xi.2 (1984): 171-77.
  • Chaterjee, Satischandra, and Dhirendramohan Data. An Introduction to Indian Philosophy. Calcutta: University of Calcutta, 1960.
  • Dasgupta, Surendranath. A History of Indian Philosophy. 5 vols. Delhi: Motilal Banarsidas, 1975.
  • Deutsch, Eliot. Advaita Vedānta: a Philosophical Reconstruction. 1st ed. Honolulu: East-West Center Press, 1969.
  • Dundas, Paul. The Jains. New York: Routledge, 1992.
  • Flintoff, Everard. “Pyrrho and India.” Phronesis 25 (1980): 88-106.
  • Fox, Michael W. Bringing Life to Ethics: Global Bioethics for a Humane Society. Albany: State University of New York Press, 2001.
  • Hacker, Paul. Philology and Confrontation. Ed. Wilhelm Halbfass. Albany: State Universisty of New York, 1995.
  • Halbfass, Wilhelm. India and Europe: an Essay in Understanding. Indien und Europa: Perspektiven ihrer geistigen Begegnung. Basel; Stuttgart: Schwabe, 1981. Albany, N.Y.: State University of New York Press, 1988.
  • Halbfass, Wilhelm. Tradition and Reflection: Explorations in Indian Thought. Albany, N.Y.: State University of New York Press, 1991.
  • Jha, Ganganatha. Purva Mīmāṃsā in its Sources. Trans. Jha, Ganganatha. Library of Indian Philosophy and Religion. Benares: Benares Hindu University, 1942.
  • Kane, Pandurang Vaman. History of Dharmaśāstra: Ancient and Mediæval Religious and Civil Law in India. Government Oriental Series. Class B. no. 6. 2nd rev. and enl. ed. 5 vols. Poona: Bhandarkar Oriental Research Institute, 1990.
  • Klostermaier, Klaus. “Dharmamegha samādhi: Comments on Yoga Sūtra IV.29.” Philosophy East and West 36.3 (1986:): 253-62.
  • Larson, Gerald James, and Ram Shankar Bhattacharya. Samkhya: a Dualist Tradition in Indian Philosophy. Encyclopedia of Indian Philosophies. Ed. Karl H. Potter. Vol. 4. Princeton, N.J.: Princeton University Press, 1987.
  • Monier-Williams, Monier. A Sanskrit-English Dictionary: Etymologically and Philologically Arranged, with Special Reference to Cognate Indo-European Languages. Oxford University Press 1872, enlarged 1899. “greatly enlarged and improved” ed. Delhi: Motilal Banarsidass Publishers, 1995.
  • Potter, Karl H., ed. Encyclopedia of Indian Philosophies. 5 vols. Princeton NJ; Delhi: Princeton University Press; Motilal Banarsidass, 1970–1995.
  • Potter, Karl H., ed. Presuppositions of India’s Philosophies. Prentice-Hall Philosophy Series. Englewood Cliffs, N.J.: Prentice-Hall, 1963.
  • Potter, Karl H., and Sibajiban Bhattacharya. Indian Metaphysics and Epistemology: The Tradition of Nyāya–Vaiśeṣika up to Gaṅgeśa. The Encyclopedia of Indian Philosophies. Ed. Karl H. Potter. Vol. 2. Princeton NJ: Princeton University, 1977.
  • Sharma, B. N. Kṛṣṇamurti. The Brahma Sūtras and their Principal Commentaries; a Critical Exposition. 2nd ed. New Delhi: Munshiram Manoharlal, 1986.
  • Thapar, Romila. A History of India. Vol. 1. London: Penguin Books, 1990.
  • Whicher, Ian. The Integrity of the Yoga Darśana. Albany: State University of New York, 1998.

Author Information

Shyam Ranganathan
Email: shyamr@yorku.ca
York University
Canada

Gottlob Frege: Language

FregeGottlob Frege (1848-1925) is most celebrated today for his contributions to mathematical logic and the philosophy of language. The first section below considers why a philosophical investigation of language mattered at all for Frege, the mathematician, and why it should have mattered to him.  At the same time, the considerations may serve to illustrate some general motivations that were behind the development of philosophy of language as a separate branch of philosophy in the 20th century. Section 2 deals with Frege’s idea of a formal language and the motivations for developing and employing such a language for purposes of logico-philosophical analysis. The shift from Frege’s early semantics to his famous distinction between sense and significance is explained in Section 3, as are the motivations for this shift. The section also contains a discussion of the difficulties that scholars have encountered when trying to find a proper English translation of Frege’s key semantic terms. Michael Dummett‘s claim that Frege had brought the modern tradition to an end by replacing epistemology with the theory of meaning as the foundation of philosophy in general has been an influential interpretation, but has increasingly been challenged in the past decades.  The present article emphasizes that  Frege’s philosophy of language should be regarded as a branch of epistemology, even if Frege himself did not fully engage in epistemology in the narrower sense of the term.

Table of Contents

  1. Language and Thought
    1. Communication
    2. Language and Memory
    3. Rationalism, Platonism, and Empiricism about Thoughts
  2. The Formal Language Approach
    1. The Concept Script
    2. The Logical Imperfections of Ordinary Language
      1. Non-Observance of the Difference Between Concept and Object
      2. Empty Proper Names
      3. The Vagueness of Predicates
      4. Grammatical versus Logical Categories
      5. The Intermingling of Subjective and Objective Aspects of Meaning
  3. From Conceptual Contents to Sinn and Bedeutung: The Development of Frege’s Semantics
    1. The Monism of Frege’s Early Semantics
    2. Sense and Significance
    3. Some Issues of Translation
    4. The Context Principle and the Priority of Judgments over Concepts
  4. References and Further Reading
    1. Frege’s Writings
    2. Other Recommended Literature
      1. General Introductions and Companions to Frege’s Work
      2. General Introductions to the Philosophy of Language
      3. On (Various Aspects of) Frege’s Philosophy of Language
      4. Other Philosophy of Language Relevant to or Referenced in this Article
      5. Some Specialized Literature on the Epistemological Dimensions of Frege’s Thought
      6. General Contributions and Companions to the History of Early Analytic Philosophy
      7. Literature on Other Aspects of Frege’s Philosophy
      8. Other Literature Referenced in this Article
    3. Related Entries

1. Language and Thought

Long before Frege, it was considered commonplace that language is a necessary vehicle for human thought. In the modern period, Thomas Hobbes and John Locke had assigned two main characteristic uses to language with regard to thought: First, it is used to assist memory, or the representation and recording of one’s own thoughts; and second, it is used as a required vehicle of communication of one’s own thoughts to other people (Hobbes 1655:192-97; Locke 1690, Bk. III, §1). It was not before the later decades of the 19th century, however, that philosophical method was finally beginning to take a radically “linguistic turn” – investigating language in order to best deal with ontological or conceptual problems – and Frege has been regarded as one of the first and the most innovative thinkers in this respect.

For Frege, too, it was the very insight that human thought depends in certain ways on language, or on symbols in general, that compelled him to analyze the workings of language in order to investigate the logical structure of thought. Indeed, it seems that language itself was never the primary object of his philosophical interest. Rather, most of the general philosophical issues upon which Frege reflected, aside from his more specialized projects in the philosophy of mathematics, had to do with the nature of thought in general and its relation to logic, to truth, to language, and to the objects it can be about. In 1918, Frege published a lengthy essay titled “Thoughts,” in which he describes his motives for investigating the nature of language:

I am not here in the happy position of a mineralogist who shows his audience a rock-crystal: I cannot put a thought in the hands of my readers with the request that they should examine it from all sides. Something in itself not perceptible by sense, the thought is presented to the reader – and I must be content with that – wrapped up in a perceptible linguistic form. The pictorial aspect of language presents difficulties. The sensible always breaks in and makes expressions pictorial and so improper. So one fights against language, and I am compelled to occupy myself with language although it is not my proper concern here. I hope I have succeeded in making clear to my readers what I want to call ‘thought’ (1997:333f., n.).

Frege presents us with a dilemma that lies at the heart of his lifelong attitude toward language. On the one hand, language is indispensable for us in order to get access to thought. On the other hand, language – because of its sensible character – obscures thought (which by itself is insensible). Thus, Frege saw himself forced to deal with language by way of a continuous struggle – fighting the distortions that are imposed on thought by language, and diagnosing as well as clarifying the misunderstandings that result from these distortions.

But why is language indispensable for thought, and why did Frege think that it is? These two questions are central for an understanding of the rise of philosophy of language in general, and of Frege’s engagement in philosophy of language in particular. They are important because, if it turns out that we cannot find a convincing reason for the indispensability of language for thought, then the struggle with language that Frege is talking about above would not seem necessary for philosophical inquiry: we could just circumvent the obstacle of language and access our concepts and thoughts directly. Historically, dealing with the second question in particular might give us some insight about the extent of Frege’s possible indebtedness, or lack thereof, to earlier conceptions of the relations between language and thought and language as such.

Thus, it would be worthwhile taking a closer look at the two traditional functions of language with regard to thought that Hobbes and Locke distinguished in the context of their respective epistemological reflections. These were: (a) the indispensable assistance of language to memory, or to the representation and recording of one’s own thoughts, and (b) its role as a necessary vehicle of the communication of one’s own thoughts to other people.

a. Communication

If we take a closer look at those two characteristic functions of language as traditionally distinguished we find that they seem to be intimately connected. For one thing, if we conceive of human communication as essentially intentional – as has been the standard view probably throughout the history of philosophy, and most prominently advocated in the 20th century by Paul Grice – then we must ask just how we could even intend to convey a certain piece of information to someone else if we are not able to represent this information to ourselves in conscious thought. Our communicative intention would be quite void – there would be a missing element in the three-place relation “X intends to convey Y to Z”. Even less, it seems, could intentional communication ever succeed if the speaker is not herself aware of what she intends to communicate – unless, perhaps, we also acknowledge the existence of subconscious communicational intentions. But even in this case, it could be argued, the speaker presumably would need to be able to have a representation of what she subconsciously intends to convey in order to do so, and if such a representation is only to be had through language then even the kind of communication that rests on subconscious intentions could not take place without language.

To be sure, information may in principle be conveyed even without the conveyor’s intention, and perhaps it is merely a matter of terminology whether or not we acknowledge that there is also something like unintentional human communication: slips of the tongue, a blushful face, or mere movements of a face muscle, can only too well convey information about the thoughts or attitudes of the conveyor, and even indirectly about what these thoughts and attitudes are about.  However, even if we include such phenomena in the category of “human communication”, it still appears that language is required for communication precisely insofar as it is required for the representation and recording of one’s own thoughts.  For, in such a case, the very act of understanding the piece of information conveyed requires the person to whom it is conveyed to be able to record it for herself in her own memory; and, inasmuch as this requires language, human communication always requires language at least on he side of the receiver of the information – even if communication is to be understood as not presupposing communicational intentions. On this account, language appears as a necessary vehicle of human communication precisely because it is a necessary vehicle to record one’s own thoughts. Thus, communication of one’s own thoughts to another appears to be entirely dependent on representing and recording one’s own thoughts to herself.

b. Language and Memory

Why should language be a necessary vehicle to record one’s own thoughts? And what does this exactly mean? Does it mean that language constitutes thought, so that the latter could not be without the former? Or does it merely mean that we could not become aware of our thoughts or could not grasp them without language?

Let us look at what Frege thought about this matter. His earliest and at the same time most comprehensive attempt to answer the first question above is in his 1882 piece “On the Scientific Justification of a Begriffsschrift”. The relevant passages are cited at full length:

Our attention is directed by nature to the outside. The vivacity of sense-impressions surpasses that of memory-images to such an extent that, at first, sense-impressions determine almost by themselves the course of our ideas, as is the case in animals. And we would scarcely ever be able to escape this dependency if the outer world were not to some degree dependent on us.

Even most animals, through their ability to move about, have an influence on their sense-impressions: They can flee some, seek others. And they can even effect changes in things. Now humans have this ability to a much greater degree; but nevertheless, the course of our ideas would still not gain its full freedom from this ability alone: It would still be limited to that which our hand can fashion, our voice intone, without the great invention of symbols, which call to mind that which is absent, invisible, perhaps even beyond the senses.

I do not deny that even without symbols the perception of a thing can gather about itself a group of memory-images; but we could not pursue these further: A new perception would let these images sink into darkness and allow others to emerge. But if we produce the symbol of an idea that a perception has called to mind, we create in this way a firm, new focus about which ideas gather. We then select another idea from these in order to elicit its symbol. Thus we penetrate step by step into the inner world of our ideas and move about there at will, using the realm of sensibles itself to free ourselves from its constraint. Symbols have the same importance for thought that discovering how to use the wind to sail against the wind had for navigation….

Also, without symbols we would scarcely lift ourselves to conceptual thinking. Thus in applying the same symbol to different but similar things, we actually no longer symbolize the individual thing, but rather what the similarities have in common: the concept. This concept is first gained by symbolizing it; for since it is, in itself, imperceptible, it requires a perceptible representative in order to appear to  us” (1972:83f. Note, Frege’s expression “men” has been changed to “humans”).

Frege appears to locate the source of the dependence of human thought on language in the power that sensation exerts on our attention. Based on this he specifies three main characteristic domains of thought for which we need symbols. First, without symbols we could not become aware of things that are physically absent or insensible. Without them we could only become aware of our immediate sensations and some fleeting memory images of these sensations. This view, however – that we could not grasp or become aware of thoughts about invisible things – does not by itself imply that the thoughts themselves could not be without language.

The second domain concerns memory in general. Though according to Frege, the mere perception of a physical object can serve as a focus around which memory images gather even without the help of symbols, these would not be stable and lasting, for new perceptual images would soon take their place. Immediate sensations are usually so much stronger than memory images that without the help of a tool by means of which we could regulate the train and content of our thought independently of sensation it would be almost entirely determined by immediate sensory input. Thus, what Frege seems to have in mind here is that only by using symbols do we enable ourselves to memorize ideas in such a way that we can henceforth call them up more or less at will. In this way, symbols – though themselves sensible – are able, to a large extent, to free us from our dependence on the sensible world. Again, this argument leads only to the conclusion that we could not freely call up past thoughts about the world – it does not show that these thoughts could not exist in the first place without language.

In any case, why should the memory of symbols be less subject to the overwhelming influence of immediate sensations than the fleeting memory images caused by perception without the help of symbols? Perhaps a later passage in the same paper gives us a clue about how it seemed possible to Frege that due to its very nature language could give us power over the immediate impact of sensation and thus enable us to memorize our thoughts:

It is impossible, someone might say, to advance science with a conceptual notation, for the invention of the latter already presupposes the completion of the former. Exactly the same apparent difficulty arises for [ordinary] language. This is supposed to have made reason possible, but how could humans have invented language without reason? Research into the laws of nature employs physical instruments; but these can be produced only by means of an advanced technology, which again is based upon knowledge of the laws of nature. The circle is resolved in each case in the same way: An advance in physics results in an advance in technology, and this makes possible the construction of new instruments by means of which physics is advanced. The application to our case is obvious (1972:89).

Here, Frege draws an analogy between language and reason on the one hand, and technology and science on the other. In both cases, each of the two elements in the respective pairs is needed in order to advance the other. Thus, language is needed to develop and/or employ our faculty of reasoning, on the one hand, but at the same time reason has to be presupposed to a certain degree in order for language to be possible. Hence, for Frege there is something which is the condition of possibility of language, even though that something –which he calls reason – may not fully function or be applicable without language as its tool. This suggests that for Frege reason is also what enables us to overcome the power of immediate sensual input by using language as a tool; it enables us to memorize links between symbols and what they symbolize even despite the continuous influx of fleeting sensations and memory images. In effect, Frege appears to propose a non-vicious circle between reason and language such that, roughly, the former enables us – by its very nature – to hold in memory a small initial assortment of symbols, and such that the use of these symbols then expands our rational capacities to allow for the combinations and application of those symbols, which in turn are stored in the memory to lead to further combinations – as well as the possible invention of new symbols or symbolic systems – whose use leads to further mental expansion, etc. This conception seems to rule out that language could be the product of mere sensation, at least if sensation is not to be conceived of as part of reason or as its basis.

Frege’s third explanation for why we need language in order to think is that without the help of symbols we could never raise ourselves to the level of specifically conceptual thinking. For, according to Frege in the passage above, we acquire concepts only by applying the same symbol to different but similar things, thereby no longer symbolizing the individual things, but rather what they have in common: the concept.  Again, this argument does not show that concepts could not exist without language or symbols; rather, it shows that concepts could not become available to us without language. In Frege’s own terms, it shows that we could not represent to ourselves what a group of similar things have in common, which is what he calls a concept.

c. Rationalism, Platonism, and Empiricism about Thoughts

Scholars point out that aspects of Frege’s 1882 explanation of why we need language in order to think suggest an empiricist, psychologist account (at least of thought content) according to which thought content derives simply from sense impressions via memory images; however, this stands in contrast at least to Frege’s later views on the matter (for example, Sluga 2002:82). Indeed, Frege’s above admission that at the most basic level sense perception and memory are possible without prior possession of non-sensual conceptual elements seems to stand in direct contrast to rationalist as well as Kantian accounts of the nature of perception. Though, as we saw in the previous section, none of Frege’s arguments for the dependency of thought on language explicitly commit him to the view that the very existence of concepts or thought contents depend on language, the idea that at least basic thoughts and memories are possible on the basis of sensation alone raises the question of why then not all thought and memory content may derive – by means of language – from sensual images (which clearly would be an empiricist view).

If this assessment of Frege’s 1882 view of content is correct, then it might also be relevant to our evaluation of the above argument as an attempt at explaining why language is necessary for thought. For if, by contrast, we assume that the human mind is furnished with innate ideas in addition to the faculty of sensation – as had been the standard view in modern Continental Rationalism – then it might need some more argumentation to show why concepts become available to us only through the application of general symbols to things that we perceive through the senses, or why we could think of invisible, insensible things only by creating symbols for them. After all, innate ideas – if they exist – are in a certain sense continually present in the mind, if not in our consciousness, and this very presence could perhaps already explain why we are able to memorize perceptual experiences, to engage in conceptual thinking, and in general to overcome the continuous impact of sensation on our attention. In other words, if our minds were already furnished with innate ideas then it would need further explanation to understand why reason could not have a direct impact on human consciousness, that is, why it needs language in addition in order to guide and develop our capacity of thinking. If we assume, however, that thought contents are by their very nature entirely made up of sensations and images gained through sensation, then it would seem much more obvious that without the acquisition of general symbols to represent concepts – instead of the individual, elusive images delivered by sensation – there would be no way for us to make use of and memorize them.

Thus, if Frege held a rationalist view of thought contents at this early point, his argument above for the indispensability of thought for language would still appear somewhat incomplete, and if he was an empiricist about thought content at the time but changed his view later, he should have been expected to supplement his argument at that later time in order to convince us of the necessity to study language in order to explore concepts and thoughts. So let us take a closer look both at Frege’s views of the nature of thought content and at plausible rationalist motivations for the philosophical study of language based on the idea that language is necessary for human thought.

Let us first get back to Frege’s apparent view – in his 1882 piece – that basic forms of sense perception and memory are possible without prior possession of non-sensual thought contents. This view appears to contradict his own later remarks on perception in, for instance, 1918’s “Thought”. There he emphasizes that:

Sense impressions alone do not reveal the external world to us. Perhaps there is a being that has only sense impressions without seeing or touching things….Having visual impressions is certainly necessary for seeing things, but not sufficient. What must still be added is not anything sensible. And yet this is just what opens up the external world for us; for without this non-sensible something everyone would remain shut up in his inner world. So perhaps, since the decisive factor lies in the non-sensible, something non-sensible, even without the cooperation of sense impressions, could also lead us out of the inner world and enable us to grasp thoughts (1997: 342f.).

For Frege, forming a thought about the external world — even the kind of thought involved in the mere perception of an object — requires more than sense impressions that are available to the human mind. In addition, something non-sensible has to be assumed in order to account for the possibility of perception. The aim of “Thought” was to show that this something is the thought itself — an entity that, as Frege argues here, belongs neither to the inner world of subjective ideas nor to the world of spatio-temporal, perceivable objects, but rather to a third realm of objective but non-physical things. Indeed, as we read in an earlier passage of the piece, “although the thought does not belong with the contents of the thinker’s consciousness, there must be something in his consciousness that is aimed at the thought. But this should not be confused with the thought itself” (ibid.: 342).  In this last passage, Frege clearly distinguishes between a conscious act of thinking – which must be in a certain way “aimed at” an abstract, objective thought – and the thought itself at which it is aimed.

In addition, Frege explicitly rejects the idea that sense impressions alone could enable our minds to grasp such an objective, non-sensible thought — rather, what is required is again something “non-sensible.” This idea obviously fits in with what he said in his 1882 piece about the relation between language and reason. For according to that remark, language – as a means for grasping thoughts – presupposes reason at least as an independent potential. Reason, then, is a likely candidate for the “something non-sensible” that may be required, according to Frege in 1918, “to lead us out of the inner world and enable us to grasp thoughts.”  Since language itself consists of and works through the perception and use of sensible symbols, it could not be language that Frege has in mind here. However, Frege does not make use of the term “reason” in his 1918 piece but speaks more concretely of a “special mental capacity, the power of thinking”, which is supposed to explain our ability to grasp a thought (ibid.: 341).

In any case, these remarks provide clear evidence that Frege in 1918 conceived of thoughts as existing independently of both physical and empirically psychological reality – thereby ruling out an empiricist account of their constitution. They do not provide conclusive evidence that Frege endorsed a rationalist or transcendentalist view of the origin or nature of conceptual entities, if by this we understand a view according to which either a special faculty of reason – or pure understanding – or alternatively a certain normative value or principle that is constitutive of rationality in general serve to provide the conceptual content of our thought episodes. Rather, Frege’s 1918 remarks would just as well be compatible with a naive Platonist view about thought contents, according to which their objective existence is a brute fact, that is, not accountable or explainable in terms of anything else. (This still seems to be one of the most dominant readings of the nature of Fregean thoughts, as well as concepts and numbers; see Baker and Hacker 1984, Dummett 1991, Burge 1992, & al.)

It seems obvious, however, that Frege favored a broadly rationalist or transcendentalist account of the origin of conceptual entities both in his first monograph Conceptual Notation (1879) and in his second, The Foundations of Arithmetic (1884). For in §23 of Conceptual Notation, Frege claims to have shown “how pure thought, regardless of any content given through the senses or even given a priori through an intuition, is able, all by itself, to produce from the content which arises from its own nature judgments that at first glance seem to be possible only on the grounds of some intuition.” What Frege has in mind here by “the content that arises from its [pure thought’s] own nature” obviously is the content of the laws of logic, which he also calls the “laws of thought” in his preface to Conceptual Notation. Those judgments, by contrast, which “at first glance seem to be possible only on the grounds of some intuition” presumably are those of arithmetic, which Kant had believed to be grounded on the pure intuition of time. This 1879 metaphor of pure thought as grounding arithmetical judgments by way of “the content that arises from its own nature” not only appears inconsistent with Frege’s 1882 seeming slip into psychologism about mental content, but at the same time suggests a rationalist or transcendental approach to the nature of at least some of the contents of our judgments. This is so if we conceive of “pure thought” as referring to a capacity or principle that is constitutive of the rational mind, which is how this expression, and similar ones, had been used by Leibniz, Kant, and their successors.

Indeed, in Foundations Frege explicitly sympathizes with Leibniz’s view that “the whole of arithmetic is innate and is in virtual fashion in us;” a view according to which even what is innate may need to be learned in order for us to become consciously aware of it (1953, §11). In other passages of Foundations, Frege presents objectivity itself as being constituted by reason, and numbers as its nearest kin:

I understand objective to mean what is independent of our sensations, intuition and imagination, and of all construction of mental pictures out of memories of earlier sensations, but not what is independent of the reason, – for what are things independent of the reason? To answer that would be as much as to judge without judging, or to wash the fur without wetting it (1953, §26).

[O]bjectivity cannot, of course be based on any sense-impression, which as an affection of our mind is entirely subjective, but only, so far as I can see, on the reason (ibid., §27).

On this view of numbers the charm of work on arithmetic and analysis is, it seems to me, easily accounted for. We might say, indeed, almost in the well-known words: The reason’s proper study is itself. In arithmetic we are not concerned with objects which we come to know as something alien from without through the medium of the senses, but with objects given directly to our reason and, as its nearest kin, utterly transparent to it. And yet, or rather for that very reason, these objects are not subjective fantasies. There is nothing more objective than the laws of  arithmetic” (ibid., §105).

The first passage above, in particular, recalls Kant´s idea that objectivity is not a feature of things-in-themselves, but of things as they are constituted and apprehended by means of logical forms of judgment, pure categories of understanding and pure forms of intuition. These latter constitute part of the transcendental as opposed to the subjective, psychological aspect of the mind according to Kant. Scholars who tend to read Frege from the perspective of Neo-Kantianism have therefore taken passages like those above as strong evidence for the thesis that his notion of objectivity was not dogmatically metaphysical but epistemological in the tradition of transcendental philosophy (cf. Sluga 1980:120).

In any case, it seems that under the presupposition of either a naive Platonist or a rationalist/transcendentalist account of the origins of objective thought contents, the strength of Frege’s 1882 argument for the indispensability of symbols for human thought rests largely on assumptions about the causal influence of sensation on our train of thought. Indeed, as we saw, Frege had initiated this argument with observations about the effect of sense-impressions on our attention. In this he simply followed Leibniz, who – although a rationalist about the origin of thought – had granted that the senses are required to make the mind attentive to truths and to direct it towards some truths rather than others. For this reason, according to Leibniz, even though intellectual ideas and the truths arising from them do not “originate in the senses”, without the senses we would never think of them (ibid., I, i, §§5, 11). Similarly, Kant points out in the Critique of Pure Reason that our empirical consciousness must be prompted by sensation or sensible impressions in order to have a beginning in time; hence “all our cognitions commence with experience” (1781/86:B1). Frege obviously agrees with Kant and Leibniz on this point, as he regards sense impressions as necessary – if not sufficient – for perception insofar as they “occasion our judgments” (1924/5, 1979:267; see also Frege’s preface to Conceptual Notation, 1972:103). Indeed, with regard to the causality of consciousness we would be “as stupid as rocks” without sense impressions, “and should know nothing either of numbers or of anything else” (1953, §105, n.).

Given such presuppositions about the causal role sensation plays in the generation of actual processes of conscious thought, Frege can still make his case for the necessity of language for thinking by arguing as follows: Without sensible symbols, which – due to their intimate connection to reason (perhaps in the form of a set of innate ideas) – are able to draw our attention away from other sensory input and toward conceptual thought, our entire mental life would be largely dictated by the nature of our immediate sensations. Therefore, we would be psychologically unable to rise to higher forms of conscious awareness and contemplation than those provided by immediate sense perception and the fleeting memory images arising from it. This way of arguing would not commit him to the view that concepts or conceptual thought contents themselves depend for their existence on symbols or on any other sensible images. Rather, the dependence of human thought on language could itself be thought of as merely causal (Baker and Hacker 1984:65f.). As we saw before, Frege apparently sympathized with Leibniz’s view that what is innate may need to be learned in order for us to become consciously aware of it. But if we need to learn about truths and concepts that have been in our understanding all along – as Leibniz saw it – then this is compatible with the claim that in order to learn them we need to use language.

Indeed, in a much later piece written and submitted for publication shortly before his death (“Sources of Knowledge of Mathematics and the Mathematical Natural Sciences”), Frege finally comes to explicitly commit himself to the view that language is necessary not for the existence of thought contents themselves, but only for our conscious awareness of them, that is, for our acts of thinking. In this context, he speaks of a “logical source of knowledge” and a “logical disposition” in us that must be at work in the formation of language, where he made use in 1882 of the ambiguous word “reason” and in 1918 of the expression “power of thinking” to denote a special mental capacity:

The senses present us with something external and because of this it is easier to comprehend how mistakes can occur than it is in the case of the logical source of knowledge which is wholly inside us and thus appears to be more proof against contamination. But appearances are deceptive. For our thinking is closely bound up with language and thereby with the world of the senses. Perhaps our thinking is at first a form of speaking which then becomes an imaging of speech. Silent thinking would in that case be speech that has become noiseless, taking place in the imagination. Now we may of course also think in mathematical signs; yet even then thinking is tied up with what is perceptible to the senses. To be sure, we distinguish the sentence as the expression of a thought from the thought itself. We know we can have various expressions for the same thought. The connection of a thought with one particular sentence is not a necessary one; but that a thought of which we are conscious is connected in our mind with some sentence or other is for us humans necessary.

But that does not lie in the nature of the thought but in our own nature. There is no contradiction in supposing there to exist beings that can grasp the same thought as we do without needing to clad it in a form that can be perceived by the senses. But still, for us humans there is this necessity. Language is a human creation; and so humans had, it would appear, the capacity to shape it in conformity with the logical disposition alive in them. Certainly the logical disposition of humans was at work in the formation of language but equally alongside this many other dispositions – such as the poetic disposition. And so language is not constructed from a logical “blueprint” (1979:269).

Here, Frege explains how it comes about that language in a certain sense “contaminates” the logical source of knowledge – that is, the faculty in us that enables us to have knowledge about logical structures and relations. As he sees it here, this logical disposition in us is not identical to the ability to speak a language, although it is required for the development and acquisition of a language. As he points out in a later passage,

If we disregard how thinking occurs in the consciousness of an individual, and attend instead to the true nature of thinking, we shall not be able to equate it with speaking. In that case we shall not derive thinking from speaking; thinking will then emerge as that which has priority and we shall not be able to blame thinking for the logical defects we have noted in language” (ibid.: 270).

Accordingly, thoughts are not to be identified with their linguistic expressions, and they do not in principle require any language in order to be accessible to rationally ideal beings that are capable of grasping them in an entirely non-sensible way. Presumably, these beings would possess a logical source of knowledge that is so powerful that it doesn’t require language at all in order to produce acts of thought. This idea again recalls Leibniz’s account of the nature of thought, and in particular of his admission that God and the angels were exactly such rational beings who do not – like human beings – require language in order to think (Leibniz 1704/1765, Bk. IV, ch. 5, §1). They do not require language precisely because their attention is not distracted or dominated by the continuous impact of sense impressions.

As opposed to this, Frege points out human beings require language in order to become conscious of a thought. And this, together with the fact that ordinary language – the kind of language in which human beings normally learn to think – is shaped also by other, less rational aspects of human nature, explains for Frege why actual human thought (as opposed to the bare content of pure thought, or that at which an act of thinking, as part of human consciousness, has to aim in order to be a thought at all) is prone to impurity through the influence of the language in which it is normally clad.

These results raise doubts about Michael Dummett‘s  notorious claim that Frege brought the modern tradition to an end by replacing epistemology with the theory of meaning as the foundation of philosophy in general (1981a: 669f.).  Dummett’s central claim about Frege’s philosophy of language is that Frege simply converted traditional problems of epistemology into questions about language (1991: 111-112).  The question, for instance, of how “numbers [are] given to us, if we cannot have any ideas or intuitions of them” raised by Frege in §62 of Foundations, is clearly epistemological. However, according to Dummett, it simply becomes the question of how we refer to, that is, succeed in talking about, numbers. And as Dummett understands this question, it is answered simply by Frege’s account of the meanings of conventionally introduced expressions. The problem with this interpretation is that, presumably, for Frege any complete account of how expressions can possess meaning at all would have to involve a complete account of how we can grasp and understand pure thoughts – and it does not appear that he thought this question could be sufficiently answered with recourse to language simply because for Frege language itself presupposes certain rational capacities in order to be capable of expressing thoughts.

This seems to be precisely why Frege repeatedly takes refuge in various metaphors to indicate the existence of certain rational faculties that enable us to grasp a thought, like the mysterious “power of thinking” that he talks about in “Thought”. Indeed, in a draft dating from 1897 he explicitly describes the act of thinking as “perhaps the most mysterious of all”, and adds that he regards the question of how it is possible as “still far from being grasped in all its difficulty” (1979:145). At the same time, he explicitly denies that this question could ever be answered in terms of empirical psychology or in terms of logic. Certainly, then, he could not seriously hold that specifying a relation between expressions and what they designate, or between sentences and their truth-values, could ever fully replace the question of how it is possible that we can think of anything at all.

Consequently, this also means that a philosophy of language in Frege’s view could never be more than a fragment of a complete philosophy of human thought, albeit an important one. Dummett is aware that in this sense, Frege’s philosophical account of thought and understanding is still incomplete; however, it is doubtful that Frege would have agreed that it could be completed by reflecting further on the uses and functions of language – which is Dummett’s own proposal (1981:413). In fact, whether the question of what thoughts consist in and what their preconditions are could be completely settled within the philosophy of language or not has been one of the major – and most interesting – issues of dispute in 20th century analytic philosophy.  (For detailed discussions of Dummett’s interpretation of Frege see Dummett and Lotter 2004, chap. 2.4.)

2. The Formal Language Approach

We now begin to understand why language was a serious matter to Frege, even though he did not consider it his primary object of interest. His interest in the philosophy of language was based on his firm belief that language is necessary for human thought, and it was triggered in particular by his investigations into the foundations of mathematics, in which he faced a serious problem concerning the symbolic tools that were available at the time for such investigations. In his 1919 “Notes for Ludwig Darmstaedter,” he describes the problem that first led him to investigate language as follows:

I started out from mathematics. The most pressing need, it seemed to me, was to provide this science with a better foundation. I soon realized that number is not a heap, a series of things, nor a property of a heap either, but that in stating a number that we have arrived at as the result of counting we are making a statement about a concept.

The logical imperfections of language stood in the way of such investigations. I tried to overcome these obstacles with my concept-script. In this way I was led from mathematics to logic” (1979:253).

Frege Points out that the logical imperfections of language – by which he means the natural language of everyday life, or the “language of life”, as he sometimes calls it – had proven to be an obstacle for his investigations into the ontology of numbers and the epistemology of mathematics, especially arithmetic. He was trying to find out whether all arithmetic formulas could be proven on the basis of logical axioms and definitions alone, and whether numbers could therefore be construed as logical objects – a view that later came to be called “logicism.” In order to find this out, Frege had to see just “how far one could get in arithmetic by inferences alone, supported only by the laws of thought that transcend all particulars” (1997:48). However, the formula language of arithmetic, in which numbers and their relations are expressed, did not contain expressions for specifically logical relations; and ordinary language proved to be insufficiently transparent with regard to the discovery of logical relations – especially logical consequence – to serve Frege’s purposes well. Therefore, Frege decided to create what he regarded as a logically superior notational system for arithmetic – a notational system that was supposed to be as transparent as possible with respect to the logical structure of thought in that area, and one that contained symbols not only for arithmetical entities but also for specifically logical relations and concepts. Moreover, each term contained or introduced into this notational system should be given a precise and fixed meaning by way of definitions in terms of small number of primitive terms.

a. The Concept Script

Following Adolf Trendelenburg (in his 1867 essay “On Leibniz’s Project of a Universal Characteristic”) Frege baptized his new symbolic system “Begriffsschrift”.  (Although “Begriffsschrift” is usually translated as “concept script” or “conceptual notation”, it is sometimes translated differently; in Frege 1952, for example, it is translated as “ideography”.)  He gives two independent reasons for the choice of this terminology: First – as he explains in the preface to Conceptual Notation – because in it all and only that part of the content of natural language expressions is to be represented that is of significance for logical inference; and this is what Frege called the “conceptual content” of an expression (1997:49). Secondly – as we learn again from his 1882 piece mentioned earlier – Frege means by “Begriffsschrift” a symbolic system in which, contrary to natural language, the written symbols come to express their subject matter directly, that is, without the intervention of speech (1972:88). In this way, expressions of conceptual content could be radically abbreviated; for instance, a simple statement could be accommodated in one line as a formula of the concept script. Frege also decided to represent complex statements of propositional logic – statements linking two or more simple statements – in a two-dimensional manner for reasons of perspicuity.

Historically, the idea of a concept script derives from the Leibnizian project of developing a so-called “universal characteristic” (characteristica universalis): A universal symbolic system in which every complex concept is completely defined based on a set of primitive concepts and logical rules of inference and definition, and which thus enables us to make the conceptual structure of our universe explicit. Such a symbolic system would also contain a logical calculus (calculus ratiocinator) consisting of purely syntactic inference rules based on the types of symbols used within the formal language. However, according to the Leibnizian conception, logic itself is not merely a calculus but expressible in an ideal language, that is, in the universal characteristic. Frege certainly adopted this view of logic from Leibniz; his main source of his understanding of Leibniz’s conception very likely was again Trendelenburg’s essay (Sluga 1980, ch. 2.4). However, 20th and 21st century mainstream analytic philosophy has somewhat misleadingly characterized Frege as regarding logic itself as a universal language rather than a calculus (for example, van Heijenoort, 1967).

The latter characterization is misleading for two reasons. The first is that, as we have seen, Frege did not regard language as the source of thought contents; he did regard logic, however, as consisting of (true) thought contents (though this has been recently disputed for the Frege of the Conceptual Notation period in Linnebo 2003). Hence, he could not have regarded logic as being identical with any language. Secondly, Frege did not actually attempt to develop his concept script as a universal language in Leibniz’s sense (though he agrees that logic itself contains universally applicable laws of thought). Rather, he held the more cautious belief that if such a language could be developed at all, its development would have to proceed gradually, in a step-by-step manner:

“Arithmetical, geometrical and chemical symbols can be regarded as realizations of the Leibnizian conception in particular fields. The concept script offered here adds a new one to these – indeed, the one located in the middle, adjoining all the others. From here, with the greatest prospect of success, one can then proceed to fill in the gaps in the existing formula languages, connect their hitherto separate fields into the domain of a single formula language and extend it to fields that have hitherto lacked such a language” (1997:50).

Thus, Frege intended his concept script primarily for the expression of logical relations within the realm of arithmetic – the field that he saw as located in the middle of all other areas of possible inquiry. He did seem optimistic that his concept-script could be successfully applied “wherever a special value has to be placed on the validity of proof” (ibid.); and this seemed appropriate not only with regard to mathematics but also with regard to “fields where, besides conceptual necessity, natural necessity prevails” – that is, the pure theory of motion, mechanics and physics (ibid.). He also expressed – in the 1882 piece mentioned earlier – the belief that in principle the concept-script could be applied wherever logical relations pertain, and that therefore philosophers as well should pay attention to it. However, he was never ambitious or even interested in examining how it could be applied to areas that were remote from arithmetic.

Frege’s revival of the idea of a universal, logically ideal language for the analysis and advancement of science and human knowledge subsequently became extremely influential especially through the writings of Russell and the early Wittgenstein and it contributed to the development of Logical Positivism in the first half of the 20th century. Rudolf Carnap and other members of the Vienna Circle actually worked on the establishment of a universal formal language of science in which not only every scientific theory could be expressed in a unified way, but also every meaningful philosophical problem would be soluble by way of logical reconstruction (Carnap 1928a and 1928b). Still in the fifties and sixties of the last century, after attempts at establishing a universal formal language of science had eventually proven unsuccessful, Nelson Goodman practiced and endorsed an axiomatic approach — based on the idea of multiple formal reconstructions of certain areas of philosophical inquiry — for investigating the conceptual relation between universals and particulars and between the world of phenomenal experience and that of physical objects (Goodman 1951, 1963). Frege, by contrast, never applied his concept-script to fields other than logic and mathematics, choosing an informal, argumentative (rather than formal) and “constructivist” approach to dealing with philosophical issues arising from – or underlying – his logicist project. Some remarks in the preface to Conceptual Notation might give us a clue as to why he did not go so far as Carnap and Goodman in his adherence to formula language in philosophical inquiry. There, Frege uses the analogy of the microscope and the eye in order to explain the relation between ordinary language (or the “language of life”, as Frege calls it) and concept-script:

The latter (that is, the eye), because of the range of its applicability and because of the ease with which it can adapt itself to the most varied circumstances, has a great superiority over the microscope. Of course, viewed as an optical instrument it reveals many imperfections, which usually remain unnoticed only because of its intimate connection with mental life. But as soon as scientific purposes place strong requirements upon sharpness of resolution, the eye proves to be inadequate. On the other hand, the microscope is perfectly suited for just such purposes; but, for this very reason, it is useless for all others” (1972:105).

According to Frege, the concept-script is not to replace ordinary language in all its uses; on the contrary, he regards it as “useless” in all contexts but “scientific” ones. Given this belief, it remains undecided whether Frege regarded philosophy itself as an entirely scientific discipline or whether he thought that there are areas of philosophy in which the concept-script would be useless in principle. That he never even considered formalizing his claims about perception, meaning, the nature of thought, or the basis of objectivity may be taken as some evidence for the latter, although it would not be conclusive.

b. The Logical Imperfections of Ordinary Language

What all of these “formal language” approaches have in common is not merely the insight that ordinary language lacks a certain amount of transparency when it comes to exploring the meanings and logical relations between words and sentences. It is moreover the assumption that an artificial formula language is in principle able to capture the logical structure of thought – or even of the world itself as it is reflected in thought – better than any natural language that characterizes the approach to language taken by Frege – and after him Russell, the early Wittgenstein, and the Logical Positivists.

The following is a brief survey of what Frege considered the most prominent logical impurities of natural language that stood in the way of his logical investigations into the foundations of arithmetic, and how Frege thought them to be eliminated in a logically perfect language like his concept-script.

i. Non-Observance of the Difference Between Concept and Object

According to Frege, the difference between concept and object is not generally well observed in natural languages. Often, the same word serves to designate both a concept and an object that falls under it. The word “horse”, for instance, sometimes serves to denote a concept, as in “This is a horse”, other times a single object, as in “This horse is black”, and sometimes also an entire biological species, as in “The horse is an herbivorous animal” (1972:84). Even though we could read the second sentence above as “There is exactly one x at location y such that x is a horse and x is black”, thereby maintaining the same logical category for “horse” as in the first sentence, this syntactical structure is not transparent in ordinary language. In a logically ideal language, by contrast, every word or complex expression would have to stand for exactly one object, concept, or relation, and it would have to be clear from the syntax of the language — that is, from the syntactical categories of the expressions themselves — to which of those ontological categories the entity designated belongs. Thus, the logical syntax of the language would reflect the logical structure within the realm of entities to which it is applied.

The main rationale for Frege’s strict distinction between concepts and objects, as well as their corresponding syntactic categories, appears to lie in his understanding of logical unity. In his “Notes for Ludwig Darmstaedter” Frege points out that:

[W]here logic is concerned, it seems that every combination of parts results from completing something that is in need of supplementation; where logic is concerned, no whole can consist of saturated parts alone. The sharp separation of what is in need of supplementation from what is saturated is very important” (1983:254).

Frege does not think that a logical unit such as a sentence,  a thought, or truth value could consist of components all of which are logically complete; such components could not really hang together to constitute a logical whole. Rather, in order to account for the possibility of logically complex units at all, we have to assume that they are composed of a combination of two types of logical components; saturated, complete, self-subsisting ones, on the one hand, and unsaturated, incomplete ones – ones that essentially are in need of supplementation – on the other. On the level of ontology, Frege calls every unsaturated entity a “concept” or “relation”, and every saturated one an “object”. Up until the very last phase of his intellectual career, he included in the latter category not only physical things, and psychological events, but also abstract entities like sets, numbers, truth values, and even entire thoughts (in his specific sense of that which is grasped in an act of thinking).

On the syntactic level, the contrast between saturated and unsaturated entities is reflected in the distinction between proper names, on the one hand, and predicates (which Frege calls “concept-words”) on the other. In this sense, we can say that in Frege, syntactic distinctions as well as relations are not only presupposed in the creation of any meaningful linguistic unit but they already have a meaning in themselves. Thus, the mere combination of a proper name with a predicate in a logically ideal language as such already expresses something – namely, it expresses that an object falls under a concept (which was for Frege the most basic logical relation one can think of).

A proper name in Frege’s sense is any singular expression, that is, a proper name is any expression that serves to designate one and only one particular object; a predicate, by contrast, designates a concept or a relation. Thus, the class of Fregean proper names in ordinary language comprises not only names in the narrow sense like “Aristotle” but also any other expression that is used to refer to one particular object. Notoriously, since at least from 1891 onwards Frege conceives of truth values as objects and of sentences as referring to truth values (1892a), he regards complete sentences of ordinary language as proper names as well – unlike assertions or asserted judgments, which are represented in the concept script by means of an assertion sign (1906a; 1979:195).

ii. Empty Proper Names

Besides its lack of exact correspondence between syntactical and ontological categories, another problem of ordinary language – which Frege encountered not only in fictional but also in scientific contexts – is that of empty proper names. These are grammatically well-formed singular expressions that do not happen to denote anything, or that apply to more than one thing and therefore do not actually fulfill their function as singular terms. One example that Frege cites is the syntactically well-formed expression “the celestial body most distant from the Earth”; it is doubtful whether this expression denotes anything at all. This is even more obvious with expressions like “the least rapidly convergent series”, which are just as void of an object of designation as is the name “Odysseus” (1892a; 1952:58; 1997:153). In his very late phase, Frege traces back the paradoxes of set theory, which brought about the failure of his logicist project, to this very problem of empty singular terms in natural language, as it had misled him into believing that sets,  (that is, extensions of concepts) and numbers were logical objects (1979:269f.; 1997:369f.).

In a logically perfect language, by contrast, “every expression grammatically well constructed as a proper name out of signs already introduced shall in fact designate an object, and… no new sign shall be introduced as a proper name without being secured a significance” (1952:70, 1997:163). In addition Frege suggested that, if need be, an artificial significance could be stipulated for all those proper names that turn out to lack reference to an actually existing object (ibid.).

iii. The Vagueness of Predicates

According to Frege, while proper names serve to designate objects, concept-words serve to designate concepts, which as such belong to an entirely separate logical category (1892:5). This is also reflected in the use of concept-words, which — in contrast to proper names — can refer even if no object falls under the concept they designate (1979:123ff). Nonetheless, a concept-word lacks significance just like an empty proper name if it does not clearly express under which conditions an object falls under the designated concept and under which it doesn’t. For Frege, the logic of pure thought cannot acknowledge concepts with undetermined boundaries (1891a, 1891b).

It seems obvious that most, if not all, concept-words in natural language lack the kind of semantic precision that Frege expects of a logically perfect language. For instance, do we know exactly under what conditions anyone falls under the concept of baldness and under what conditions s/he does not? If not then – barring the remote possibility that there really is a sharp boundary of which we are more or less ignorant – most if not all ordinary language concept-words have vague meanings in Frege’s sense. Hence, strictly speaking most, if not all, concept-words in ordinary language would lack significance, according to Frege’s logic.

In a logically perfect language – as Frege conceived of it – the vagueness of predicates could be eliminated through their arrangement in an axiomatic system, through logical analysis, as well as informal elucidations and clarification of the primitive terms by way of examples. Frege strictly distinguishes definitions from illustrative examples. The latter, together with other forms of elucidation, merely serve to clarify the meanings of primitive signs (signs whose meanings cannot be analyzed further into logical components). Theoretically, one would never be able to fully clarify the meaning of such an expression by way of examples; however, according to Frege “we do manage to come to an understanding about the meanings of words” in practice. Whether we do, of course, will in this case always depend on a “meeting of minds, on others guessing what we have in mind” (1914/1979:207).

Definitions in the proper sense are constructive, in that they introduce a new sign to abbreviate a more complex expression that we have constructed out of its logical components. Frege distinguishes from these purely stipulative definitions cases of what were in his time called “analytic definitions”. These display a logical analysis of the sense of a sign that has long been in use before by identifying its sense with that of a complex expression; this sense then is a function of the senses of the latter’s logical parts. In this case the meaning equation is not a mere matter of arbitrary stipulation but can only be recognized by “an immediate insight.”

iv. Grammatical versus Logical Categories

For Frege, the logician’s main goal in her struggle with language is to “separate the logical from the psychological;” that is, the logician’s main goal in her struggle with language is to isolate the logically relevant aspects of grammar and meaning from those that are not. Frege defines “logically relevant aspects of grammar” as only those aspects of language that have a bearing on logical inference (1979:4). Accordingly, as philosophers interested in pure thought we “have to turn our backs on” any grammatical distinctions and elements of meaning that are not relevant for logical inferences, or that may even obscure them.

This includes, but is not limited to, the grammatical distinction between the subject and the predicate of a sentence, which Frege contends misled logicians for centuries. Grammatically speaking, the subject of a sentence is the expression that signifies what the sentence is “about”, or as Frege puts it, the subject of the sentence is “the concept with which the judgment is chiefly concerned” (1979:113). The predicate, by contrast, would then be the expression that signifies what is being said about the subject or, alternatively, the concept that is applied to the subject. So, for instance, in the sentence “Archimedes perished at the conquest of Syracuse,” the word “Archimedes” appears to be the subject; and “…perished at the conquest of Syracuse, “the predicate. According to Frege, however, the grammatical distinction between subject and predicate, which used to be the model for traditional logic, does not match the logical structure of that part of the content of sentences that is relevant for logic.

More precisely, Frege thought the distinction between subject and predicate to be neither necessary nor sufficient to describe the logical structure of thought. It is not necessary because it yields distinctions between sentences that appear to have the same logical power of inference. For instance, the following two sentences obviously are grammatically distinct:

(1) “At Plataea the Greeks defeated the Persians.”
(2) “At Plataea the Persians were defeated by the Greeks.”

In (1) “the Greeks” appears to be the grammatical subject, while in (2) it is “the Persians”. Yet from a logical point of view the two sentences have the same conceptual content, and therefore do not need to be distinguished in a logically perfect language (ibid.:112f.); all the consequences that can be derived from (1) combined with certain others can also be derived from (2) combined with the same others, which means that the logically relevant part of their content, which Frege decides to call “conceptual content”, is the same.

The second reason why Frege thought the grammatical distinction between subject and predicate is unnecessary for the expression of, or distinction between, conceptual contents and their components is that, logically speaking, the linguistic expression of a judgment or assertion can always be rephrased as a combination of a nominal phrase, which contains the entire conceptual content, and a grammatical predicate like “is a fact” or “is true”, which does not add anything to that content. Hence, as Frege points out, “we can imagine a language in which the proposition “Archimedes perished at the conquest of Syracuse” would be expressed in the following way: “The violent death of Archimedes at the conquest of Syracuse is a fact” (1879, §3; 1972:113). In such a case the grammatical subject contains the whole content of the judgment and the predicate serves only to present this content as a judgment; hence, strictly speaking, nothing at the level of conceptual content — at the level of what is relevant to logical inference — corresponds to the predicate here. In fact, for Frege a logically ideal language like the concept-script is a language in which the only grammatical predicate is “is a fact”, represented by a combination of the so-called judgment stroke ” |-” and the content stroke “~”; and occurring to the left of judgable contents (” ….”) (1879, §2). Because Frege conceives of such contents as identical to the contents of nominal phrases and thus all complete expressions in his system are names (or “terms” in Russellian terminology), his sentential logic today is sometimes called “term logic” (for example, Zalta 2004) as opposed to standard propositional logic, in which propositions or sentences are regarded as a logical category distinct from both predicates and terms.

Furthermore, even for cases when we do seem to be able to use the distinction between predicate and subject to analyze judgable contents into their components, Frege thought the grammatical opposition of subject and predicate to be insufficient for capturing important logical distinctions that apply to the contents of sentences in a logically ideal language. In particular, it does not appear to suffice for an analysis of the differences between singular, particular, and general propositions. Singular propositions, according to Frege, are those in which an object is subsumed or falls under a concept; this is what he regarded as the fundamental relation in logic to which all others can be reduced (1979:118). Nevertheless, for the purposes of understanding the structure and logical impact of general and existential propositions, Frege distinguishes two other structural relations within conceptual contents: First, that of subordination or bringing something under something else, which pertains between two concepts of the same logical order; and second, that of a concept’s falling within a concept of higher order.

In a proposition like “All whales are mammals”, for instance, the expression “all whales” again appears as grammatical subject, but “all whales” does not seem to denote a particular object, hence it cannot be construed as a proper name. Instead, what we actually mean is this: “If anything is a whale then it is a mammal”. This indicates that what the sentence actually is about is a relation between two concepts, that of a whale and that of a mammal. What the sentence says about these concepts is that whatever falls under the first also falls under the second; it thereby subordinates the first under the second concept (1979:119; 1884, §47). However, the second concept is not a property of the first; being a mammal is not a property of the concept of being a whale but rather of the objects falling under that concept, just as being a whale itself is. Hence, the two concepts are of the same logical order – they both apply to objects.

This is different in statements that concern the existence of things of a certain kind. If one says “Mammals exist”, or “Some mammals are elephants” then one is not talking about about any particular mammal or elephant but rather about the concepts of a mammal or an elephant; and what one means is that these concepts are satisfied in at least one case. Frege, therefore, regards existence as a concept of the second order. A concept of the second order is one that applies to concepts of the first order; that is, a concept of the second order does not apply to objects but to concepts of the first order, and it is concepts of the first order, not concepts of the second order, that apply directly to objects. Thus, contrary to the use of ordinary language, statements like “Caesar exists” turn out to be senseless because they contain a category mistake (1892b/1997:189). By contrast, we could meaningfully say, “There is one man named ‘Caesar;'” but in this case one is again ascribing existence to a concept; that is, one is ascribing existence to the concept of being named “Caesar”. Moreover, if one rephrases her original singular existence statement as “There is one and only one man named Caesar”, she does not only say something false (for surely there have been plenty of people baptized “Caesar”) but is again just referring to the concept of being named “Caesar;” that is, one is again incorrectly stating that the name “Caesar” applies to exactly one object.

For these reasons, Frege decided to replace the traditional logical distinction between subject and predicate (which in his view is derived from the grammatical distinction between subject and predicate expressions) with the distinction between function and argument a distinction with which he was familiar through his expertise in mathematical analysis. In Conceptual Notation, this distinction is introduced in connection with the notion of judgment. For Frege, “in the expression of a judgment we can always regard the combination of symbols to the right of the turnstile as a function of one of the symbols occurring in it” (1879, §11).  As one can see, the terms “function” and “argument” apply to to expressions rather than to what they stand for. In Conceptual Notation those terms in fact are still used for both; only later did Frege reserve them for those entities that a functional expression and an argument expression respectively stand for.

Functional expressions typically contain placeholders (or variables), which in singular sentences have to be replaced by an argument in order to determine a definite truth-value. For instance, the expression “2 + x = 5” is functional in the sense that its truth-value depends on the value of the variable “x” that occurs in it. If “x” is replaced by “3” then the expression becomes a true sentence or formula of arithmetic; if it is replaced by any other numeral the resulting sentence or formula will be false. Thus, for Frege a function is what such a functional expression stands for. A potential argument for that function is an entity denoted by an expression that serves to supplement the functional expression so as to yield a complete sentence. On the basis of this distinction between function and argument, Frege achieved a new, mathematically oriented understanding of concepts and relations: a concept simply is a function whose value always is a truth value for any suitable argument, and a relation is a function that has more than one such argument place. This idea of concepts or relations as functions covers even cases of higher-order properties: those are conceived of as functions that take on only other, lower-order functions as arguments so as to determine a truth-value. Finally, by contrast to subject-predicate analyses of expressions and their meanings, the distinction between function and argument can be applied also to those logical components that do not by themselves constitute complete sentences, that is, the distinction can be applied to operations like that expressed by “the father of ( )”.

v. The Intermingling of Subjective and Objective Aspects of Meaning

The general motivation for Frege’s abandonment of logical distinctions that are, in his view, still too close to the grammar of natural language was his conviction that ordinary language grammar “is a mixture of the logical and the psychological” (1979:3)  He thought that theses two areas of inquiry should be strictly distinguished both with regard to the questions they raise and to their respective ways of answering them. This anti-psychologism about logic itself extends also to the contents of natural language and thought. As we saw above, one of Frege’s reasons for calling his symbolic system “concept-script” was the fact that it was supposed to represent only that part of the content of natural language expressions that is of significance for logical inference. This implies, however, that according to Frege the content of ordinary language expressions comprises more than just their “conceptual content”. Frege is quite explicit about this point both in early and in later writings. Concerning the two sentences “At Plataea the Greeks defeated the Persians” and “At Plataea the Persians were defeated by the Greeks” he points out in Begriffsschrift that:

Even if one can perceive a slight difference in sense, the agreement still predominates. Now I call the part of the content which is the same in both the conceptual content” (1972, §3:112).

It seems clear that the words “sense” and “content” are being used to cover both logically relevant and other aspects of the meaning of a linguistic expression; for the former constitute only part of the content of an expression. The meaning of “sense” (Sinn) in Frege’s later writings comes closer to that of “conceptual content” in his earlier works. However, the general word “content” still appears to retain its very broad use in works that were written even after Frege’s famous distinction between sense and significance. In a letter to Husserl, for instance, Frege points out that the content of a sentence can include more than just that which can be true or false: for example, a sentence content can also contain “a mood, feelings, and ideas”, none of which can be judged as true or false and none of which, therefore, concerns logic (1906b:106). Note that at this point, interestingly, Frege’s criterion of the logical relevance of linguistic content is no longer articulated in terms of inference but rather in terms of the capacity to be true or false. Frege here lays the ground for that movement in 20th century philosophy of language that rests on the principle that linguistic meaning consists solely in truth conditions, and that therefore a theory of meaning can either be derived from or is identical to a theory of truth – a movement whose most prominent representative was Donald Davidson.

However, the isolated word “content” in Frege’s own writings still covers both logically relevant and logically irrelevant aspects of ordinary language meaning. Hence, to distinguish the two, and sort out the latter, is in Frege’s view one of the main tasks of the logician. What is also peculiar about Frege’s view of natural language content is that he appears to regard all of that part of it which is logically irrelevant as being purely subjective and thus a matter only of psychology, as his mentioning of “moods, feelings, and ideas” already shows. That is, he does not appear to recognize any but subjective and purely psychological meaning elements that are not, strictly speaking, logically relevant. He writes:

The task of logic being what it is, it follows that we must turn our backs on anything that is not necessary for setting up the laws of inference. In particular, we must reject all distinctions in logic that are made from a purely psychological standpoint and have no bearing on inference…. In the form in which thinking naturally develops the logical and the psychological are bound up together. The task in hand is precisely that of isolating what is logical” (between 1879 and 1891, in 1979:3).

According to Frege, such logically irrelevant distinctions include “all aspects of language that result only from the interaction of speaker and listener” such as all information conveyed to the latter by way of intonation or word-order in order to draw the listener’s attention to a particular part of speech (between 1879 and 1891, in 1979:3). They also include merely connotational differences between words denoting the same entities, as exemplified by groups of expressions like “walk”, “stroll”, and “saunter”. Though all of these expressions stand for the same concept, Frege thinks that they all act in different ways on the imagination of the listener, adding to the meaning of the sentences in which they are used an element that is irrelevant to logical inference. Whether one says, “This dog howled the whole night”, or one says, “This cur howled the whole night,” makes no difference with regard to the logical inferences one can draw from them in connection with sentences, nor with regard to their truth or falsity. One tends to associate with the word “cur” rather unpleasant ideas;  however, for Frege, even if one disagrees that these associations match the dog in question, this would still not make the second sentence above false (1979:140).

According to how Frege characterizes these extra-logical, yet, rule-governed features of ordinary language meaning, these are not different from the merely arbitrary association of images with certain words in the minds of individual speakers. In other words, the difference between the meanings of the words “dog” and “cur” would be just as intangible and subjective as the difference between the internal image that a horseman, painter, or zoologist may have come to associate with the name “Bucephalus” and which Frege considers just as subjective “coloring and shading” of a piece of linguistic information (1997:154). And while Frege admits that “without some affinity in human ideas art would certainly be impossible,” he does not seem to see – or be interested in exploring – the conventional rules that govern the difference in meaning between the pejorative “cur” and the neutral “dog”(1997:155).

In other words, Frege does not even seem to acknowledge an entire field of philosophy of language that has been explored subsequently by John Austin, John Searle, Paul Grice and others and that is based on the assumption that we can philosophically – not just psychologically – explore the meaning of utterances as opposed to, or even underlying, the meaning of sentences. Frege reduces this entire area of inquiry to “all aspects of language that result only from the interaction of speaker and listener”, and he thereby overlooks that the phenomena described above do not result just from the interaction between two people. Rather, they are either based on conventional rules and maxims – adherence to which is generally rational or even essential for the possibility of linguistic communication – or at least presuppose knowledge of some such maxims or conventions in order to be properly understood. Therefore, solutions of problems connected to speaker meaning and speech acts are not at all just a matter of psychology; rather, they are at least as philosophically important in any comprehensive account of linguistic communication as problems of the relation between expressions and things in the world, or between expression and what they express.

3. From Conceptual Contents to Sinn and Bedeutung: The Development of Frege’s Semantics

The development of Frege’s view of the semantics of a logically perfect language can be divided up in two major phases, corresponding to two styles of semantic analysis that Frege consecutively adopted. Following Alberto Coffa, we can regard the first as a form of semantic monism and the second as a form of semantic dualism (1991:79f.). What both styles have in common is a broadly picture-theoretic idea of the relation between language and world, and a corresponding ideal of semantic analysis; to serve its purpose, language has to be partitioned into basic syntactical units, each of which is to be associated with an appropriate semantic correlate, which is conceived as an entity. For this reason, monism and dualism can also be regarded as varieties of an entity theory of meaning as defined more recently by Lycan (2000: 78, 83). This is so at least if we keep in mind that for Frege not all those entities that his semantic theory associates with linguistic expressions are supposed to be “individual things”, as Lycan’s characterization of an entity theory of meaning suggests. Rather, as we have seen, some semantic entities in Frege are intrinsically incomplete, like concepts and relations.

A disagreement between monism and dualism arises with regard to the number and character of the entities that are associated with the logical components of sentences. The monist believes that only one such entity needs to be postulated in order to explain how linguistic expressions mean anything and how sentences can be true or false. The dualist, by contrast, holds that linguistic expressions can have truth value potential only if we assign them not one but two different kinds of values, one of which then becomes our link to extra-linguistic reality (that is, to the entities denoted by expressions of our language).

a. The Monism of Frege’s Early Semantics

Frege’s early account of semantics given in Conceptual Notation and Foundations appears to be monistic in the sense above. Frege’s early semantics is based on the notion of a conceptual content, that is, it is based on that part of meaning that is relevant for logical inferences. The class of conceptual contents in turn is divided up into judgable and non-judgable ones, whereby the former are logically composed of and can be decomposed into the latter. What Frege may have had in mind – although he does not put it exactly this way – with his distinction between judgable and non-judgable contents is the following consideration: a judgable content is such that we can reasonably either affirm or deny it: it is acceptable to say “Archimedes’s death is/is not true”, where one of the two alternatives must be correct. Thus, “Archimedes death” is a judgable content. However, this is different in a statement like “This house is/is not true ” – unless we take it to be elliptic for something like “The existence of this house is/is not true”. For a house by itself (unlike its existence) does not belong to the category of things for which the question of whether they are true or false is logically appropriate under the law of excluded middle (tertium non datur), since by itself it can be neither true nor false (alternatively, we can say that it is both not true and not false). For this reason, “this house” is a non-judgable content.

In Conceptual Notation and Foundations, Frege does not appear to acknowledge any ontological difference between a non-judgable content and the object or function that the expression having this content stands for. There are at least three main pieces of textual as well as theoretical evidence for this. The first has to do with Frege’s early account of identity as a relation between signs.  Conceptual content in Frege’s early account is explained by recourse to the illustrative example of the the two propositions “At Plataea the Greeks defeated the Persians” and “At Plataea the Persians were defeated by the Greeks”. This appears to be the first example Frege gives for the relation of “identity of content”. The relation then is explicitly introduced in §8 of Conceptual Notation. There it is explained in the following way:

Identity of content differs from conditionality and negation by relating to names, not to contents. Although symbols are usually only representative of their contents…they at once appear in propria persona as soon as they are combined by the symbol for identity of content, for this signifies the circumstance that the two names have the same content” (1972:124).

As Frege points out, the symbol of content identity has the peculiarity that wherever it is used the resulting judgment no longer is about the contents of the names connected by the identity sign but rather about those names themselves. What such a judgment of identity expresses then is that those names have the same content, whatever this content is. Because Frege considers judgable contents to be fully expressible by nominal phrases of the form “The violent death of Archimedes at the conquest of Syracuse”, and as he considers the concept-script to be a symbolism in which every judgable content is so expressed, we can include names and nominal phrases that stand for judgable contents among the symbols that are suitable candidates for the relation of content identity.

Somewhat later in the same paragraph, Frege goes on to explain what exactly he means by the content of a name in the context of identity of content. He does so in order to show why the identity sign does not merely serve to state trivial tautologies or to introduce abbreviations for complex expressions. Taking an example from geometry he lets a straight line rotate about a fixed point ‘A’ on the circumference of a circle. This shows that ‘A’ can be determined in various ways; for instance, it can be determined either directly through perception, or indirectly, through a description. ‘A’ is also uniquely determined as the point corresponding to the rotating straight line’s being perpendicular to the diameter of the circle on ‘A’. Thus, for Frege the need of a special symbol for identity of content rests on the fact that the same content, in this case point ‘A’, can be determined in different ways and that this fact cannot always be known in advance; rather, it is itself the content of a judgment that requires proof.

Thus, what Frege regards as the conceptual content of a geometrical name, that is, of the description of a single object, appears to be the object itself: the same train of thought that he applied to geometrical points, their ways of determination, and their names, can also be applied to physical (or any other) objects.  Frege contends that the conceptual content of the name “evening star” is the planet Venus, as is the conceptual content of the name “morning star”, though this content is determined in each case in a different way. In the case of names for judgable contents, the object seems to be a true or false circumstance, whereby its truth or falsity are themselves to be regarded as part of the conceptual content in this case. For after his distinction between sense and significance Frege would point out that he has now divided up what he regarded as judgable content in his earlier account into the thought on the one hand and its truth value on the other (1891c:63). Thus, a judgable content in Frege’s early semantics comprises both aspects while – at least in the case of names – a non-judgable content does not appear to contain more than the object denoted by the name. It does not, apparently, contain the way this object is determined – instead, this way of being determined is conceived of as part of the name itself: there is, in a certain sense, no clear logical distinction between the name as a purely syntactic string of characters and its symbolic character or force, in virtue of which it is able to pick out the object it denotes, in Frege’s early semantics.

More concrete evidence for the monistic character of Frege’s early semantics arises from the fact that it does not allow for the difference between meaningful sentences that lack a truth-value on the one hand, and sentences that are completely meaningless on the other. In other words, it does not account for the existence of sentences expressing mock thoughts, which are so plentiful both in fiction and everyday life. This would not be so, had Frege’s early semantics incorporated a second layer of meaning, which a sentence or expression can possess even if nothing exists to which it actually refers. Frege appears to be quite aware of the advantage that his later distinction between sense and significance in this respect provided. In Foundations he still took it for granted that an expression that fails to denote anything lacks any sense or meaning (1884, §§97: 100-102). After his distinction between sense and significance, however, he is quick to point out that he would now prefer to replace the word “Sinn” (“sense”) in those contexts by “Bedeutung” (“reference” or “significance”) (1980:63).

Finally, objects and concepts – the entities that expressions of a logically perfect notational system would stand for – are discussed in Foundations in the context of Frege’s distinction between objective and subjective ideas, a distinction that was supposed to help clarify Kant’s “true views”:

An idea [Vorstellung] in the subjective sense is what is governed by the psychological laws of association; it is of a sensible, pictorial character. An idea in the objective sense belongs to logic and is in principle non-sensible, although the word which refers to an objective idea is often accompanied by a subjective idea, which nevertheless is not its significance. Subjective ideas are often demonstrably different in different people, objective ideas are the same for all. Objective ideas can be divided into objects and concepts. I shall myself, to avoid confusion, use “idea” only in the subjective sense. It is because Kant associated both meanings with the word that his doctrine assumed such a very subjective, idealist complexion, and his true view was made so difficult to discover. The distinction here drawn stands or falls with that between psychology and logic. If only these themselves were to be kept always rigidly distinct!” (1884, §27, n.).

Frege claims to have clarified the Kantian view with his distinction between objective and subjective ideas. It is disputable just how serious we are to take this lip service to Kantianism, and it is also doubtful that Kant would have accepted Frege’s proposed amendment – for Kant and Frege do not appear to have shared the same notion of objectivity. Nevertheless, Frege’s terminological amendment here certainly serves to clarify his own earlier terminology; for in Conceptual Notation, he still uses the expression “combinations of ideas” to refer to judgable contents (1879, §2). In light of this, however, claiming that objective ideas can be divided up into objects and concepts, as Frege does in the above passage, supports the notion that those judgable contents — as combinations of objective ideas — were at the same time combinations of objects and concepts. Thus, this too supports the claim that early Fregean linguistic symbols have only one semantic dimension, namely, the objects, concepts, and true or false judgable contents that they designate.

One should note that Frege’s distinction between subjective and objective ideas (the latter includes physical objects and properties), as well as his later distinction between the inner and the outer realms of entities, suggests that “subjective”, inner states of the mind (like acts of thinking) cannot be conceived of in physical terms. This, of course, is in striking contrast to physicalist accounts of “the mental” and may strike many contemporary philosophers of mind as naive.

b. Sense and Significance

Around 1891, Frege revised his semantics. This revision solves a number of problems that the earlier, monistic account is not able to handle without further expansion. According to Frege’s mature account, each expression has a sense (“Sinn”), which contains a unique way in which the object (or function) that the expression stands for is given to us. The sense is a way an object is determined by an expression . (Roughly, “sense” in Frege’s 1891 account resembles a way an object is determined by an expression in his earlier account.) The object or function that the expression stands for is the expression’s significance (“Bedeutung”), also called “reference” or “referent” both in English translations of Frege’s work and in Anglo-Saxon Frege scholarship. It follows that for each particular sense there can be maximally one significance/reference, while numerous distinct senses may correspond to the same significance, representing the various ways the object (or concept) that an expression stands for can be uniquely given to us in thought. For Frege, not only proper names but also concept words and relational expressions possess sense and significance. Their significance then is a concept or relation, not an object, and their sense – though Frege does not say much about it – presumably consists in a logical thought component that contains the necessary and sufficient conditions for an object to fall under the concept (or stand in the relation to another object). Finally, the sense of a complete sentence is a thought, and its significance a truth-value.

Although the terms “Sinn” and “Bedeutung” appear already in Foundations of 1884, the distinction itself and the semantic account connected with it do not occur in Frege’s writings before 1891.  Part of that distinction is a logical bifurcation of what Frege earlier calls the “judgable content” into a truth-value and a thought as the truth-value bearer. At the same time, the new account classifies ways an object is given as logical components of thoughts, while the relation between ways an object can be determined according to his earlier account to the judgable contents of which it is a logical component had never been clarified. Thus, the new account appears more consistent and complete with regard to the question of how semantic wholes are composed of their parts. On both levels, that of sense and that of significance, wholes are conceived of as functionally composite units that depend on the nature of their parts. On each level, moreover, the unit of a whole requires the supplement of a function by a suitable argument. A truth-value for Frege simply is the value of a concept or relation relative to certain arguments. Likewise, a thought is a composite of senses, at least one of which plays the part of a function and the other of its argument.

Furthermore, the new account opens up an approach to the semantics of fictional language, that is, it opens up an approach to sentences “about” fictional characters or locations. Such sentences typically contain thoughts that have no truth-value because one or the other of their logical components – senses of fictional terms – lacks a corresponding significance in terms of a real object (or concept). Frege’s idea here is based on the dependence of truth-values on arguments and functions – the non-existence of an object corresponding to a specific sense amounts to the lack of an argument for the functional part of the sentence, and therefore leads to the lack of a value for that function in this case.

Also, the distinction between sense and significance allows for an expansion of Frege’s semantics to belief ascriptions, that is, to sentences of the form “John believed that the earth is flat.” The idea is that this sentence may be true independently of whether the embedded part of it (“the earth is flat”) is true. But this means that — since the truth-value of the entire sentence functionally depends on the significance of each part — what the embedded part stands for cannot be a truth-value. Rather, Frege concludes that in the case of indirect speech and belief ascriptions, embedded sentences take on their original sense – the thought they normally express – as an indirect significance. Thus, while the thought they normally express is their sense in direct speech, it becomes their significance in indirect speech.

Finally, the distinction between sense and significance gives a more consistent account of the informative nature of certain kinds of identity statements (like “The evening star is the morning star”) than Frege’s earlier distinction between what is designated by a name and the way it is determined by means of the name. By introducing this new distinction, Frege no longer needs to regard the concept (or relation) of identity as having the peculiar feature of taking on names rather than objects themselves as its arguments. Thus, within his mature semantics, identity once again becomes an ontological relation in which each object stands to itself (though this has been recently disputed in Caplan & Thau 2001). Identity statements no longer are conceived as being about the fact that two different names have the same conceptual content but rather about the fact that the object given to us in one particular way is the same as the object given in another. The idea is similar to Frege’s early solution to the puzzle of informative identity statements: some identity statements are informative insofar as they state that an object determined or given to us in one way is the same as an object determined or given to us in some other way. However, how this idea is theoretically applied and connected to a general account of semantic content appears more consistent in Frege’s later semantics than in his earlier one.

c. Some Issues of Translation

There have been a number of suggestions as to how to translate “Bedeutung” as opposed to “Sinn” in later Frege into English. Besides “meaning”, which in 1970 was officially chosen as the standard translation in all Blackwell editions of Frege’s works because of its exegetical neutrality (see Beaney 1997: 36, n. 84), the two main other alternatives that have been proposed are “reference” and “significance”, by Dummett and Tugendhat, respectively. Dummett also suggests that we distinguish between “reference” for the relation between an expression and the object it refers to and “referent” for this object itself (1981a:93f.). The term “meaning”, by contrast, is problematic as a translation for “Bedeutung” because meaning often is taken to be either something like sense – that is, the thought connected to a sentence in our minds – or something like the rules of use for an expression in any given context: but none of this is what Frege had in mind when he spoke of “Bedeutung”.

Tugendhat’s proposal to translate “Bedeutung” in Frege as “significance” is based on the insight that, while “reference” or “referent” may be regarded as an adequate rendering of “Bedeutung” in the case of proper names, it is quite misleading in that of predicate expressions (Tugendhat 1970:177; cp.. Dummett 1981a:182f.). Indeed, Frege himself points out that in the case of concepts we could not properly speak about the “Bedeutung” – in the sense of “referent” – of the expression, since then we would imply that we were talking about an object, which cannot be the case in light of Frege’s distinction between objects and concepts (1997: 177, 365). Thus, rendering “Bedeutung” always as “reference” or “referent” would in fact require us to introduce some general notion of “entity”, which comprises both concepts and objects in order to explain just what  “Bedeutung” in general is. However, Frege obviously never saw any need for such a general, all-embracing ontological category like “entity”.

Dummett admits that besides the idea of the name-bearer relation, which he regarded as Frege’s prototype relation of reference, a secondary aspect of reference must be acknowledged as well, which consists in the semantic role of the respective expression, that is, in its contribution the truth-values of sentences in which it may occur (1981a:190f.). On this view, predicate expressions behave like proper names in having the function of contributing to the truth-values of sentences in which they occur by means of their respective references, though their semantic role is different from that of proper names. However, Tugendhat (1970) claims that “Bedeutung” in Frege should be understood to always mean primarily the semantic role of an expression, that is, its truth-value potential, and precisely for this reason “Bedeutung” should be translated as “significance” or “importance”. The main evidence in favor of this interpretation is that, for Frege, which reference an expression has, and whether it has any at all, is logically significant only for determining the truth-values of the sentences in which it may occur (as well as whether they have a truth-value at all). Thus, for Tugendhat, there appears to be no additional aspect of the reference of proper names that would justify regarding it as the “prototype” semantic relation, that is, as somewhat superior to the relation between predicates and the concepts or relations that they stand for.

Unlike “reference”, “significance” as a candidate translation for Fregean “Bedeutung” has the advantage that it is generally accepted as a regular connotative aspect of the various meanings of “Bedeutung” in standard German usage, and that it is explicitly used in this meaning by Frege himself (1997:80; cp.. Gabriel 1984:192). Moreover, it seems to be supported by an important principle that Frege endorses, namely, the so-called context principle.

d. The Context Principle and the Priority of Judgments over Concepts

According to the context principle, which is most explicitly stated in Foundations – though nowhere called “context principle” by Frege himself – the sense and/or significance of a word cannot be explained or inquired after in isolation but only in the context of a proposition/sentence (1984: x, §106). It has been a matter of scholarly dispute whether Frege understood this principle to be about sense, or about significance, or about both, since at the time of Foundations the distinction between the two had not been made yet. There has also been a long debate about what exactly the principle implies and how it is to be understood, especially since in one of its formulations, Frege goes so far as to state that a word possesses sense and/or significance only in the context of a sentence (ibid., §62). In fact, this latter formulation has received the most attention in the secondary literature, leading to a widespread conviction that Frege proposes a principle of semantic holism.

However, some scholars, including Dummett, claim that Frege drops the principle in his later writings while others argue that there are passages even in later writings where Frege seems to articulate semantic or non-semantic versions of it in the light of the distinction between sense and significance. For instance, in “Notes for Ludwig Darmstaedter,” Frege points out that one comes at the parts of a thought only by analyzing the whole – which may be taken as a version of the context principle as a holistic principle at the level of sense (1997:362). It is also conceivable to regard the context principle, as some scholars have, as a semantic version of what has been called the “principle of priority of judgments over concepts” (see Bell 1979, Sluga 1980), which figures in Frege’s very early writings composed before Foundations. According to this latter principle, which Frege explicitly presents as a novel principle in the history of logic, the judgment and its content are to be regarded as logically primitive while concepts, as components of judgable contents in Frege’s early account, are derivative logical entities that can be isolated only by analysis of judgable contents (1979:17, 1983:19). In this respect, Frege is thought to deviate from traditional Aristotelian logic much further than logicians of his time or earlier, who tend to naively presuppose the concepts required to create judgable contents as independently given.

Be that as it may, Tugendhat’s claim is that the context principle was an early statement by Frege that points to his conception of “Bedeutung” as truth-value potential and thus to “significance” as the most basic and general meaning of that term (1970:182; cp.. Gabriel 1984:189ff.). It is clear from this that he believed Frege to have held the context principle as a principle about the dependency of significance on truth-value, that is, on what is characteristically denoted only by sentences. For why should a word have significance only in the context of a sentence if not for the reason that its significance simply consists in a truth-value potential, and that sentences are the only kind of expressions considered as true or false? From this it naturally follows that the question of whether an expression has significance can only arise in connection with the question of whether a sentence is true or false. And this idea indeed is used extensively in Frege’s later writings, especially in the context of his distinction between the realms of  art and science (1997:157). “Bedeutung” in this sense is a purely normative term always directed towards an aim or value. And what Frege appears to focus on in “On Sense and Reference” is the question relative to what value or aim the relation of proper names to the objects they stand for – that is, their reference in Dummett’s terminology – is significant: namely, relative to the scientific value of truth alone, and this is a value that only sentences can have.

However, one should note that the context principle has been perceived to clash with another principle commonly assigned to Frege, namely, that of the principle of functionality or compositionality. According to this principle, as it has been interpreted by some scholars, the senses of sentences are ultimately made up of atomic building blocks. According to this interpretation, then, Frege was an atomist and not a holist about meaning components; and this view — though irreconcilable with the context principle, at least as it has been commonly understood — would support Dummett’s interpretation of the reference relation between names and objects as the paradigm relation of logical semantics. (For a detailed critical overview and discussion of the debate about the context principle and the principle of compositionality in Frege see Pelletier 2000).

4. References and Further Reading

a. Frege’s Writings

  • 1879. Begriffsschrift, eine der arithmetischen nachgebildete Formelsprache des reinen Denkens, Halle: L. Niebert; reprinted in Frege 1998a; trans. as “Begriffsschrift, a Formula Language, Modeled upon that of Arithmetic, for Pure Thought” in From Frege to Gödel, edited by J. van Heijenoort, Cambridge, MA: Harvard University Press 1967, and as “Conceptual Notation” in Frege 1972; selections in Frege 1997.
  • 1879-1891: “Logik”, in Frege 1983: 1-8; trans. as “Logic” in Frege 1979: 1-8.
  • 1880/1: “Booles rechnende Logik und meine Begriffsschrift”, in Frege 1983: 9-52; trans. As “Boole’s Logical Calculus and the Concept-Script”, in Frege 1979: 9-46.
  • 1882: “Über die wissenschaftliche Berechtigung einer Begriffsschrift”, in Zeitschrift für Philosophie und philosophische Kritik 81: 48-56; repr. in Frege 1998: 106-14; trans. as “On the Scientific Justification of a Begriffsschrift”, in Frege 1972: 83-89.
  • 1884: Die Grundlagen der Arithmetik, eine logisch mathematische Untersuchung über den Begriff der Zahl, Breslau: W. Koebner; reprinted with an introduction and afterword by J. Schulte, Stuttgart: Reclam 1987; trans. by J. L. Austin as The Foundations of Arithmetic: A Logico-Mathematical Enquiry into the Concept of Number in Frege 1953; selections in Frege 1997.
  • 1891a: “Funktion und Begriff”, Jena: Hermann Pohle, 1891; reprinted in Frege 1990: 125-42; trans. as “Function and Concept” in Frege 1984: 137-56, in Frege 1952: 21-41, and in Frege 1997:130-48.
  • 1891b: “Über das Trägheitsgesetz”, in Zeitschrift für Philosophie und philosophische Kritik 98: 145-61; reprinted in Frege 1990: 113-24; trans. as “On the Law of Inertia” in Frege 1984: 123-36.
  • 1891c: Letter to Husserl of 5/24/1891, in Frege 1976: 94-98; trans. in Frege 1980: 61-64.
  • 1892a: “Über Sinn und Bedeutung”, in Zeitschrift für Philosophie und philosophische Kritik 100: 25-50; reprinted in Frege 1990: 143-62; trans. as “On Sense and Meaning” Frege 1984: 157-77, as “On Sinn and Bedeutung” in Frege 1997: 151-71, and as “On Sense and Reference” in Frege 1952: 56-78.
  • 1892b: “Über Begriff und Gegenstand”, in Vierteljahresschrift für wissenschaftliche Philosophie 16: 192-205, reprinted in Frege 1990: 167-178; trans. as “On Concept and Object” in Frege 1980: 182-94, in Frege 1952: 42-55, and in Frege 1997: 181-93.
  • 1892-95: “Ausführungen über Sinn und Bedeutung”, in Frege 1983: 128-36; trans. as “Comments on Sense and Meaning” in Frege 1979: 118-25, and as “Comments on Sinn and Bedeutung” in Frege 1997: 172-80.
  • 1893: Die Grundgesetze der Arithmetik, vol. I, Jena: Verlag Hermann Pohle; reprinted in Frege 1998b; incomplete translation in Frege 1982.
  • 1903: Die Grundgesetze der Arithmetik, vol. II, Jena: Verlag Hermann Pohle; reprinted in Frege 1998b; trans. in Frege 1982.
  • 1906a: “Einleitung in die Logik”, in Frege 1983: 201-18; trans. as “Introduction to Logic” in Frege 1979: 185-96, and in Frege 1997: 293-8.
  • 1906b: “Brief an Husserl, 9.12.1906”, in Frege 1976: 105-6; trans. in Frege 1997: 305-307.
  • 1914: “Logik in der Mathematik” in Frege 1983: 219-70; trans. as “Logic in Mathematics” in Frege 1979: 203-50.
  • 1918: “Der Gedanke”, in Beiträge zur Philosophie des deutschen Idealismus 1 (1918-9): 58-77, reprinted in Frege 1990: 342-78; trans. as “Thoughts” in Frege 1984: 351-72, and as “Thought” in Frege 1997: 325-45.
  • 1919a: “Die Verneinung”, in Beiträge zur Philosophie des deutschen Idealismus 1 (1918-19): 143-57, reprinted in Frege 1990: 362-78; trans. as “Negation” in Frege 1984: 373-89 and in Frege 1997: 346-61.
  • 1919b: “Aufzeichnungen für Ludwig Darmstaedter” in Frege 1983: 273-77; trans. as “Notes for Ludwig Darmstaedter” in Frege 1979: 253-57, and in Frege 1997: 362-7.
  • 1924/5: “Erkenntnisquellen der Mathematik und der mathematischen Naturwissenschaften”, in Frege 1983: 286-294; trans. as “Sources of Knowledge of Mathematics and the Mathematical Natural Sciences” in Frege 1979: 267-274.
  • 1952: Translations from the Philosophical Writings of Gottlob Frege, ed. by: Geach and M. Black, Oxford: Basil Blackwell.
  • 1953: The Foundations of Arithmetic: A Logico-Mathematical Enquiry into the Concept of Number/Die Grundlagen der Arithmetik, eine logisch mathematische Untersuchung über den Begriff der Zahl, Oxford: Basil Blackwell.
  • 1972: Conceptual Notation and Related Articles, ed. by T. W. Bynum. London: Oxford University Press.
  • 1976: Wissenschaftlicher Briefwechsel, Hamburg: Felix Meiner Verlag; trans. as Frege 1980.
  • 1979: Posthumous Writings, trans. by: Long and R. White, Oxford: Basil Blackwell.
  • 1980: Philosophical and Mathematical Correspondence, trans. by H. Kaal, Chicago: University of Chicago Press.
  • 1982: The Basic Laws of Arithmetic, ed. and trans. by Montgomery Furth, Berkeley: University of California Press.
  • 1983: Nachgelassene Schriften, ed. by H. Hermes, F. Kambartel, F. Kaulbach, Hamburg: Felix Meiner Verlag (2nd ed.).
  • 1984: Collected Papers on Mathematics, Logic and Philosophy, trans. by M. Black, V. Dudman: Geach, H. Kaal, E.-H. W. Kluge, B. McGuinness, and R. H. Stoothoff, New York: Basil Blackwell.
  • 1990: Kleine Schriften, ed. by I. Angelelli, Hildesheim: Georg Olms Verlag (2nd ed.); trans. as Frege 1984.
  • 1997: The Frege Reader, ed. M. Beaney, Oxford: Basil Blackwell.
  • 1998a: Begriffsschrift und andere Aufsätze, ed. by I. Angelelli, Hildesheim: Georg Olms Verlag (2nd ed. reprint); trans. by T. W. Bynum as Frege 1972.
  • 1998b: Die Grundgesetze der Arithmetik I/II, Hildesheim: Georg Olms Verlag (2nd reprint of the 1893/1903 editions); trans. as Frege 1982.

b. Other Recommended Literature

i. General Introductions and Companions to Frege’s Work

  • Baker, G.P. and P.M. S. Hacker, 1984, Frege: Logical Excavations, New York: Oxford University Press.
    • Comprehensive introduction to and critique of Frege’s work from a Wittgensteinian perspective; takes issue especially with Dummett’s interpretation of Frege.
  • Beaney, Michael, 1997: “Introduction” in Frege 1997: 1-46.
    • Good and concise introduction to both Frege’s work and the state of Frege scholarship at the time.
  • Bynum, Terrell W., 1972: “On the Life and Work of Gottlob Frege”, in Frege 1972: 1-54.
    • Good first source of information on Frege, including biographical information about his life and career.
  • Currie, Gregory, 1982, Frege: An Introduction to His Philosophy, Sussex: Harvester Press.
    • Good and well-written general introduction to Frege’s work with emphasis on his epistemological and ontological views and his indebtedness to the Kantian tradition.
  • Dummett, Michael, 1978: “Frege’s Philosophy”, in Dummett, M., Truth and Other Enigmas, Cambridge, MA: Harvard University Press; earlier version published in the Encyclopedia of Philosophy (Volume 3), ed. Edwards, New York: MacMillan, 1967.
    • One of the first attempts to locate Frege’s place within the history of philosophy; good as a very first orientation but opinionated and no longer generally accepted.
  • Dummett, Michael, 1981b, The Interpretation of Frege’s Philosophy, Cambridge, MA: Harvard University Press.
    • Is a follow-up to Dummett’s Frege: Philosophy of Language and contains extensive discussions of and defense against Sluga’s critique of that book.
  • Gabriel, Gottfried and Uwe Dathe (eds.), 2000, Gottlob Frege: Werk und Wirkung, Paderborn: Mentis Verlag.
    • In German; contains historical assessments of Frege’s work and influence on 20th century philosophy on occasion of his 150th birthday; also contains his hitherto unpublished proposals for a reform of the Germanelection law.)
  • George, Alexander and Richard Heck (1998, 2003): “Frege, Gottlob”, In E. Craig (ed.), Routledge Encyclopedia of Philosophy, London: Routledge.
    • Very concise; good to get a very first overview over Frege’s work, especially in the philosophy of logic and mathematics.
  • Haaparanta, Leila and Jaakko Hintikka (eds.), 1986, Frege Synthesized. Boston: D. Reidel
    • Contains specialized articles on various aspects of Frege’s thought.
  • Ricketts, Thomas G. (ed.), The Cambridge Companion to Frege, Cambridge: Cambridge University Press, forthcoming.
    • Contains scholarly articles on all the main aspects of Frege’s thought.
  • Schirn, Matthias (ed.), 1976, Studien zu Frege, 3 vols., Stuttgart-Bad Cannstatt: Verlag Frommann-Holzboog.
    • Contains various scholarly interpretations of the core aspects of Frege’s work; articles in German and English.
  • Schirn, Matthias (ed.), 1996, Frege – Importance and Legacy, Berlin-New York: DeGruyter.
    • Contains further scholarly interpretations of the core aspects of Frege’s work.
  • Sluga, Hans, 1980, Gottlob Frege, London: Routledge & Kegan Paul.
    • Comprehensive historical introduction; lays emphasis on the historical roots and background of Frege’s thought in 19th century German philosophy, especially Lotze; good to gain a comprehensive picture of the original historical setting of Frege’s thought.
  • Sluga, Hans (ed.), 1993, The Philosophy of Frege, 4 vols., New York: Garland Publishing.
    • Contains specialist papers on various aspects of Frege’s thought.
  • Weiner, Joan, 1999, Frege (Past Masters), Oxford: Oxford University Press.
    • Brief and concise; good as first introduction.
  • Weiner, Joan, 2004, Frege Explained, Open Court Publishing.
    • Even briefer; good as first introduction.
  • Wright, Crispin (ed.), 1984, Frege: Tradition and Influence, Oxford: Basil Blackwell.
    • Contains specialist papers on various aspects of Frege’s thought.

ii. General Introductions to the Philosophy of Language

  • Devitt, Michael and Kim Sterelny, 1999, Language and Reality: An Introduction to the Philosophy of Language, 2nd edition, The MIT Press.
    • Decent introduction to the philosophy of language from a naturalistic point of view; may presuppose some familiarity with ‘analytic’ terminology.
  • Lycan, William, 2000, Philosophy of Language, London/New York: Routledge.
    • Good overview over the various problems and theories in 20th century analytic philosophy of language; includes questions for discussion and further references; does not presuppose particular familiarity with analytic terminology.
  • Nye, Andrea, 1998 (ed.), Philosophy of Language: The Big Questions, London: Basil Blackwell.
    • Comprehensive anthology of text fragments from various sources with introductory essays by the editor.

iii. On (Various Aspects of) Frege’s Philosophy of Language

  • Beaney, Michael, 1996, Frege: Making Sense. London: Duckworth.
  • Bell, David, 1979, Frege’s Theory of Judgment, Oxford: Clarendon Press.
  • Burge, Tyler, 1979: “Sinning against Frege”, The Philosophical Review 88: 398-432.
  • Burge, Tyler, 1986: “Frege on Truth”, in Haaparanta/Hintikka 1986.
  • Burge, Tyler, 1990: “Frege on Sense and Linguistic Meaning”, in Bell/Cooper 1990.
  • Caplan, Ben & Mike Thau, 2001: “What’s Puzzling Gottlob Frege?”, Canadian Journal of Philosophy 31, 2: 159-200.
  • Carl, Wolfgang, 1994, Frege’s Theory of Sense and Reference, Cambridge: Cambridge University Press.
  • Dummett, Michael, 1981a, Frege: Philosophy of Language, Cambridge, MA: Harvard University Press (2nd ed.).
  • Gabriel, Gottfried, 1984: “Fregean Connection: Bedeutung, Value and Truth-Value”, in Wright 1984.
  • Greimann, Dirk, 2003, Freges Konzeption der Wahrheit, Hildesheim: Georg Olms Verlag.
  • Pelletier, Francis Jeffry, 2000: “Did Frege Believe Frege’s Principle?” Journal of Logic, Language, and Information 10: 87-114.
  • Sluga, Hans, 2002: “Frege on Truth”, in Reck 2002.
  • Tugendhat, Ernst 1970: “The Meaning of “Bedeutung” in Frege”, Analysis 30: 177-189.

iv. Other Philosophy of Language Relevant to or Referenced in this Article

  • Carnap, Rudolph, 1956, Meaning and Necessity, Chicago: University of Chicago Press (2nd ed.).
  • Grice, Paul, 1989, Studies in the Ways of Words, Cambridge, Mass: Harvard University Press.
  • Russell, Bertrand, 1905: “On Denoting”, Mind 14: 479-93; reprinted in Russell, B., 1956, Logic and Knowledge, London.
  • Searle, John, 1969, Speech Acts: An Essay in the Philosophy of Language, Cambridge: Cambridge University Press.

v. Some Specialized Literature on the Epistemological Dimensions of Frege’s Thought

  • Burge, Tyler, 1992: “Frege on Knowing the Third Realm”, Mind 101: 633-650.
  • Carl, Wolfgang, 1994, Frege’s Theory of Sense and Reference, Cambridge: Cambridge University Press.
  • Lotter, Dorothea, 2004, Logik und Vernunft: Freges Rationalismus im Kontext seiner Zeit, Freiburg: Karl Alber Verlag.
  • Weiner, Joan, 1990, Frege in Perspective, Ithaca: Cornell University Press.

vi. General Contributions and Companions to the History of Early Analytic Philosophy

  • Bell, David and Neil Cooper (eds.), 1990, The Analytic Tradition, Oxford: Blackwell.
  • Coffa, Alberto, 1991, The Semantic Tradition from Kant to Carnap to the Vienna Station, L. Wessels (ed.), Cambridge: Cambridge University Press.
  • Dummett, Michael, 1991a, Frege and Other Philosophers, Oxford: Clarendon Press.
  • Dummett, Michael, 1993, The Origins of Analytical Philosophy, Cambridge, MA: Harvard University Press.
  • Reck, Erich (ed.), 2002, From Frege to Wittgenstein: Perspectives on Early Analytic Philosophy, New York: Oxford University Press.
  • Tait, William W. (ed.), 1997, Early Analytic Philosophy: Essays in Honor of Leonard Linsky, La Salle.

vii. Literature on Other Aspects of Frege’s Philosophy

  • Dummett, Michael, 1991b, Frege: Philosophy of Mathematics, London: Duckworth; repr. 1995.
  • Linnebo, Øystein, 2003: “Frege’s Conception of Logic: From Kant to the Grundgesetze“, Manuscrito 26: 2 (2003), 235-252.
  • Van Heijenoort, Jean, 1967: “Logic as Calculus and Logic as Language”, Synthese 17, 324–330.

viii. Other Literature Referenced in this Article

  • Carnap, Rudolph, 1928a, Der Logische Aufbau der Welt, Berlin: Weltkreis Verlag; trans. by Rolf A. George as The Logical Structure of the World, in Carnap 2003.
  • Carnap, Rudolph, 1928b, Scheinprobleme in der Philosophie, Berlin: Weltkreis Verlag; trans. by Rolf A. George as Pseudoproblems in Philosophy in Carnap 2003.
  • Carnap, Rudolph, 2003, The Logical Structure of the World/Pseudoproblems in Philosophy, Open Court Publishing.
  • Goodman, Nelson, 1951, The Structure of Appearance, Dordrecht: Reidel.
  • Goodman, Nelson, 1963: “The Significance of Carnap’s Der logische Aufbau der Welt,” in Schilpp 1963.
  • Hobbes, Thomas, 1655, De Corpore, Part I: Computatio Sive Logica, tr. by A. Martinich as Logic, New York: Abaris 1981.
  • Kant, Immanuel, 1781/1786, Kritik der reinen Vernunft, Riga: Johann Friedrich Hartknoch, 1st edition (A), 1781; 2nd edition (B), 1787; ed. and transl. by: Guyer and A. Wood as Critique of Pure Reason, Cambridge: Cambridge University Press 1997.
  • Leibniz, Gottfried Wilhelm, 1704/1765, Nouveaux Essais Sur L’Entendement Humain, ed. and trans. as New Essays on the Human Understanding by: Remnant and J. Bennett, Cambridge: Cambridge University Press 1981.
  • Locke, John, 1690, An Essay Concerning Human Understanding, ed. by P.H. Nidditch, Oxford: Clarendon Press 1975.
  • Trendelenburg, Friedrich Adolf, 1867: “Über Leibnizens Entwurf einer allgemeinen Charakteristik”, Historische Beiträge zur Philosophie, vol. III, Berlin.

c. Related Articles

Author Information

Dorothea Lotter
Email: lotterdj@lotter.org
U. S. A.

Marcus Aurelius (121—180 C.E.)

aureliuThe philosophy of the Roman Emperor Marcus Aurelius can be found in a collection of personal writings known as the Meditations. These reflect the influence of Stoicism and, in particular, the philosophy of Epictetus, the Stoic. The Meditations may be read as a series of practical philosophical exercises, following Epictetus’ three topics of study, designed to digest and put into practice philosophical theory. Central to these exercises is a concern with the analysis of one’s judgements and a desire to cultivate a “cosmic perspective.”

From a modern perspective Marcus Aurelius is certainly not in the first rank of ancient philosophers. He is no Plato or Aristotle, nor even a Sextus Empiricus or Alexander of Aphrodisias. To a certain extent this judgement is perfectly fair and reasonable. However, in order to assess the philosophical qualities that Marcus does have and that are displayed in the Meditations it is necessary to emphasize that in antiquity philosophy was not conceived merely as a matter of theoretical arguments. Such arguments existed and were important, but they were framed within a broader conception of philosophy as a way of life. The aim was not merely to gain a rational understanding of the world but to allow that rational understanding to inform the way in which one lived. If one keeps this understanding of ‘philosophy’ in mind, then one becomes able to appreciate the function and the philosophical value of Marcus’ Meditations.

Table of Contents

  1. Life
  2. The Meditations
  3. Philosophy
    1. Stoicism
    2. The Influence of Epictetus
    3. The Three topoi
    4. Philosophical Exercises
    5. The Point of View of the Cosmos
  4. Concluding Remarks
  5. References and Further Reading
    1. Selected Editions and Translations of the Meditations
    2. Selected Studies

1. Life

Marcus Aurelius was born in 121 C.E.. His early education was overseen by the Emperor Hadrian, and he was later adopted by the Emperor Antoninus Pius in 138 C.E.. After an initial education in rhetoric undertaken by Fronto, Marcus later abandoned it in favor of philosophy. Marcus became Emperor himself in C.E. 161, initially alongside Lucius Verus, becoming sole Emperor in C.E. 169. Continual attacks meant that much of his reign was spent on campaign, especially in central Europe. However, he did find time to establish four Chairs of Philosophy in Athens, one for each of the principal philosophical traditions (Platonic, Aristotelian, Stoic, and Epicurean). He died in C.E. 180.

2. The Meditations

Marcus’ reputation as a philosopher rests upon one work, the Meditations. The Meditations take the form of a personal notebook and were probably written while Marcus was on campaign in central Europe, c. C.E. 171-175. The entries appear to be in no particular order and may simply be in the original order of composition. The repetition of themes and the occasional groups of quotations from other authors (see, for example, Med. 4.46, 11.33-39) add to this impression. Book One, however, is somewhat different from the rest of the text and may well have been written separately (a plan for it may be discerned in Med. 6.48).

The first recorded mention of the Meditations is by Themistius in C.E. 364. The current Greek title—ta eis heauton (‘to himself’)—derives from a manuscript now lost and may be a later addition (it is first recorded c. 900 by Arethas). The modern text derives primarily from two sources: a manuscript now in the Vatican and a lost manuscript (mentioned above), upon which the first printed edition (1558) was based.

Beyond the Meditations there also survives part of a correspondence between Marcus and his rhetoric teacher Fronto, probably dating from earlier in Marcus’ life (c. C.E. 138-166), discovered as a palimpsest in 1815. However, although this interesting discovery sheds some light on Marcus as an individual, it adds little to our understanding of his philosophy.

3. Philosophy

a. Stoicism

According to tradition, Marcus was a Stoic. His ancient biographer, Julius Capitolinus, describes him as such. Marcus also makes reference to a number of Stoics by whom he was taught and, in particular, mentions Rusticus from whom he borrowed a copy of the works of the Stoic philosopher Epictetus (Med. 1.7). However, nowhere in the Meditations does Marcus explicitly call himself a Stoic. This may simply reflect the likelihood that Marcus was writing only for himself rather than attempting to define himself to an audience. Yet it is probably fair to admit that Marcus was at least open to ideas from other philosophical traditions, being impressed by Stoic philosophy, but not merely an unthinking disciple of Stoicism.

b. The Influence of Epictetus

As has been noted, Marcus was clearly familiar with the Discourses of Epictetus, quoting them a number of times (see Med. 11.33-38). Epictetus’ fame in the second century is noted by a number of ancient sources, being hailed as the greatest of the Stoics (Aulus Gellius 1.2.6) and more popular than Plato (Origen Contra Celsus 6.2). If Marcus felt drawn towards Stoicism, then Epictetus would surely have stood out as the most important Stoic of the time. It is perhaps reasonable, then, to turn to Epictetus in order to explore the philosophical background to the Meditations.

c. The Three topoi

Central to Epictetus’ philosophy is his account of three topoi, or areas of study. He suggests that the apprentice philosopher should be trained in three distinct areas or topoi (see Epictetus Discourses 3.2.1-2):

  1. Desires (orexeis) and aversions (ekkliseis);
  2. Impulse to act (hormas) and not to act (aphormas);
  3. Freedom from deception, hasty judgement, and anything else related to assents (sunkatatheseis).

These three areas of training correspond to the three types of philosophical discourse referred to by earlier Stoics; the physical, the ethical, and the logical (see Diogenes Laertius 7.39). For Epictetus, it is not enough merely to discourse about philosophy. The student of philosophy should also engage in practical training designed to digest philosophical principals, transforming them into actions. Only this will enable the apprentice philosopher to transform himself into the Stoic ideal of a wise person or sage (sophos). It is to this end that the three topoi are directed.

The first topos, concerning desire (orexis), is devoted to physics. It is not enough for the philosopher to know how Nature works; he must train his desires in the light of that knowledge so that he only desires what is in harmony with Nature. For the Stoic, Nature is a complex inter-connected physical system, identified with God, of which the individual is but one part. What might be called the practical implication of this conception of Nature is that an individual will inevitably become frustrated and unhappy if they desire things without taking into account the operations of this larger physical system. Thus, in order to become a Stoic sage—happy and in harmony with Nature—one must train one’s desires in the light of a study of Stoic physical theory.

The second topos, concerning impulse (hormê), is devoted to ethics. The study of ethical theory is of course valuable in its own right, but, for the Stoic who is training to be a sage, these theories must be translated into ethical actions. In order to transform the way in which one behaves, it is necessary to train the impulses that shape one’s behavior. By so doing the apprentice philosopher will be able not merely to say how a sage should act but also to act as a sage should act.

The third topos, concerning assent (sunkatathesis), is devoted to logic. It is important to remember here that for the Stoics the term ‘logic’ included not only dialectic but also much of what one would today call epistemology. According to Epictetus every impression (phantasia) that an individual receives often includes a value-judgement (hupolêpsis) made by the individual. When an individual accepts or gives assent (sunkatathesis) to an impression, assent is often given to the value-judgement as well. For instance, when one sees someone drink a lot of wine, one often judges that they are drinking too much wine (see, for example. Epictetus Handbook 45). Epictetus suggests that, in the light of Stoic epistemological theory, the apprentice philosopher should train himself to analyze his impressions carefully and be on guard not to give assent to unwarranted value-judgements.

For Epictetus, then, the student of philosophy must not only study the three types of philosophical discourse but also engage in these three types of philosophical training or exercise in order to translate that theory into actions. Marcus may himself be seen as a student of Epictetus, and so some scholars have suggested that the three topoi form a key to understanding the Meditations. Indeed, the Meditations may be approached as an example of a form of personal writing in which the very act of writing constituted a philosophical exercise designed to digest the three types of philosophical theory. In other words, the Meditations are a text produced by someone engaged in the three topoi outlined by Epictetus. This is hinted at in Med. 9.7 where Marcus exhorts himself to ‘wipe out impression (phantasia), check impulse (hormê), and quench desire (orexis)’.

d. Philosophical Exercises

The Meditations certainly do not present philosophical theories similar to those that one can find in, say, the surviving works of Aristotle. Nor are they comparable to a theoretical treatise like the Elements of Ethics by the Stoic Hierocles, possibly a contemporary of Marcus. Nevertheless, the Meditations remain essentially a philosophical text. As has already been noted, the Meditations are a personal notebook, written by Marcus to himself and for his own use. They do not form a theoretical treatise designed to argue for a particular doctrine or conclusion; their function is different. In order to understand this function it is necessary to introduce the idea of a philosophical exercise (askêsis).

In the Meditations Marcus engages in a series of philosophical exercises designed to digest philosophical theories, to transform his character or ‘dye his soul’ in the light of those theories (see, for example, Med. 5.16), and so to transform his behavior and his entire way of life. By reflecting upon philosophical ideas and, perhaps more importantly, writing them down, Marcus engages in a repetitive process designed to habituate his mind into a new way of thinking. This procedure is quite distinct from the construction of philosophical arguments and has a quite different function. Whereas the former is concerned with creating a particular philosophical doctrine, the latter is a practical exercise or training designed to assimilate that doctrine into one’s habitual modes of behavior. Following the account of three types of philosophical training outlined by Epictetus, Marcus reflects in the Meditations upon a medley of physical, ethical, and logical ideas. These written reflections constitute a second stage of philosophical education necessary after one has studied the philosophical theories (see, for example, Epictetus Discourses 1.26.3). By engaging in such written philosophical exercises Marcus attempts to transform his soul or inner disposition that will, in turn, alter his behavior. Thus, this second stage of philosophical education is the process by which a philosophical apprentice trains himself to put theories into practice, and so make progress towards wisdom.

e. The Point of View of the Cosmos

Of all the philosophical exercises in the Meditations the most prominent centers around what might be called ‘the point of view of the cosmos’. In a number of passages Marcus exhorts himself to overcome the limited perspective of the individual and experience the world from a cosmic perspective. For example:

You have the power to strip away many superfluous troubles located wholly in your judgement, and to possess a large room for yourself embracing in thought the whole cosmos, to consider everlasting time, to think of the rapid change in the parts of each thing, of how short it is from birth until dissolution, and how the void before birth and that after dissolution are equally infinite. (Med. 9.32; see also 2.17, 5.23, 7.47, 12.32)

In passages such as this Marcus makes implicit reference to a number of Stoic theories. Here, for instance, the Stoic physics of flux inherited from Heraclitus is evoked. Perhaps more important though is the reference to one’s judgement and the claim that this is the source of human unhappiness. Following Epictetus, Marcus claims that all attributions of good or evil are the product of human judgements. As Epictetus put it, what upsets people are not things themselves but rather their judgements about things (see Handbook 5). According to Epictetus’ epistemological theory (to the extent that it can be reconstructed) the impressions that an individual receives and that appear to reflect the nature of things are in fact already composite. They involve not only a perception of some external object but also an almost involuntary and unconscious judgement about that perception. This judgement will be a product of one’s preconceptions and mental habits. It is this composite impression to which an individual grants or denies assent, creating a belief. The task for the philosopher is to subject one’s impressions to rigorous examination, making sure that one does not give assent to (that is, accept as true) impressions that include any unwarranted value judgements.

Marcus’ personal reflections in the Meditations may be read as a series of written exercises aimed at analyzing his own impressions and rejecting his own unwarranted value judgements. For instance, he reminds himself:

Do not say more to yourself than the first impressions report. […] Abide always by the first impressions and add nothing of your own from within. (Med. 8.49)

These ‘first impressions’ are impressions before a value judgement has been made. For Marcus, human well-being or happiness (eudaimonia) is entirely dependent upon correctly examining one’s impressions and judgements. For once one has overcome false value-judgements—for instance that wealth and social standing are valuable and that one should compete for them against others—one will experience the cosmos as a single living being (identified with God) rather than a site of conflict and destruction. As Cicero put it in his summary of Stoic physics:

The various limited modes of being may encounter many external obstacles to hinder their perfect realization, but there can be nothing that can frustrate Nature as a whole, since she embraces and contains within herself all modes of being. (On the Nature of the Gods 2.35)

It is to this end—cultivating an experience of the cosmos as a unified living being identified with God—that the philosophical exercises in the Meditations are directed.

4. Concluding Remarks

From a modern perspective Marcus Aurelius is certainly not in the first rank of ancient philosophers. He is no Plato or Aristotle, nor even a Sextus Empiricus or Alexander of Aphrodisias. To a certain extent this judgement is perfectly fair and reasonable. However, in order to assess the philosophical qualities that Marcus does have and that are displayed in the Meditations it is necessary to emphasize that in antiquity philosophy was not conceived merely as a matter of theoretical arguments. Such arguments existed and were important, but they were framed within a broader conception of philosophy as a way of life. The aim was not merely to gain a rational understanding of the world but to allow that rational understanding to inform the way in which one lived. If one keeps this understanding of ‘philosophy’ in mind, then one becomes able to appreciate the function and the philosophical value of Marcus’ Meditations.

5. References and Further Reading

a. Selected Editions and Translations of the Meditations

  • CROSSLEY, H., The Fourth Book of the Meditations of Marcus Aurelius Antoninus, A Revised Text with Translation and Commentary (London: Macmillan, 1882) – an excellent commentary, sadly of only one book.
  • DALFEN, J., Marci Aurelii Antonini Ad Se Ipsum Libri XII, Bibliotheca Scriptorum Graecorum et Romanorum Teubneriana (Leipzig: Teubner, 1979; 2nd edn 1987) – includes an invaluable word index.
  • FARQUHARSON, A. S. L., The Meditations of the Emperor Marcus Antoninus, Edited with Translation and Commentary, 2 vols (Oxford: Clarendon Press, 1944) – arguably the definitive edition and essential for any serious study of the Meditations.
  • FARQUHARSON, A. S. L.,The Meditations of Marcus Aurelius Antoninus, With Introduction and Notes by R. B. Rutherford (Oxford: Oxford University Press, 1989) – an edition reprinting only the translation from Farquharson’s 1944 edition, but supplemented with a helpful introduction and a selection from the correspondence with Fronto.
  • GATAKER, T., Marci Antonini Imperatoris de rebus suis, sive de eis qae ad se pertinere censebat, Libri XII (Cambridge: Thomas Buck, 1652) – a justly famous early edition of the Meditations containing a substantial commentary.
  • HAINES, C. R., The Communings with Himself of Marcus Aurelius Antoninus, A Revised Text and a Translation into English, The Loeb Classical Library (London: Heinemann, 1916; later reprints by Harvard University Press) – probably the most readily available edition of the Greek text, with a facing English translation. Haines also prepared a two-volume edition of the correspondence with Fronto for the Loeb Classical Library.
  • LEOPOLD, I. H., M. Antoninus Imperator Ad Se Ipsum, Scriptorum Classicorum Bibliotheca Oxoniensis (Oxford: Clarendon Press, 1908) – the OCT edition, now out of print.
  • THEILER, W., Kaiser Marc Aurel, Wege Zu Sich Selbst (Zürich: Artemis, 1951) – a widely praised edition of the Greek text, with a facing German translation.

b. Selected Studies

  • AFRICA, T. W., ‘The Opium Addiction of Marcus Aurelius’, Journal of the History of Ideas 22 (1961), 97-102.
  • ARNOLD, E. V., Roman Stoicism: Being Lectures on the History of the Stoic Philosophy with Special Reference to its Development within the Roman Empire (Cambridge, 1911; repr. London: Routledge & Kegan Paul, 1958)
  • ASMIS, E., ‘The Stoicism of Marcus Aurelius’, ANRW II 36.3 (1989), pp. 2228-2252.
  • BIRLEY, A. R., Marcus Aurelius: A Biography (London: Batsford, 1966; new edn Routledge 2000)
  • BRUNT, P. A., ‘Marcus Aurelius in his Meditations‘, Journal of Roman Studies 64 (1974), 1-20.
  • CLARKE, M. L., The Roman Mind: Studies in the History of Thought from Cicero to Marcus Aurelius (London: Cohen & West, 1956)
  • HADOT, P., ‘Une clé des Pensées de Marc Aurèle: les trois topoi philosophiques selon Épictète’, Les Études philosophiques 1 (1978), 65-83.
  • HADOT, P., The Inner Citadel: The Meditations of Marcus Aurelius, trans. M. Chase (Cambridge, MA: Harvard University Press, 1998); a translation of La Citadelle Intérieure (Paris, 1992)
  • KRAYE, J., ‘Ethnicorum omnium sanctissimus: Marcus Aurelius and his Meditations from Xylander to Diderot’, in J. Kraye & M. W. F. Stones, eds, Humanism and Early Modern Philosophy (London: Routledge, 2000), pp. 107-134.
  • LONG, A. A., ‘Epictetus, Marcus Aurelius’, in T. J. Luce, ed., Ancient Writers: Greece and Rome (New York: Scribner’s, 1982), pp. 985-1002.
  • MORFORD, M., The Roman Philosophers: From the Time of Cato the Censor to the Death of Marcus Aurelius (London: Routledge, 2002)
  • NEWMAN, R. J., ‘Cotidie meditare: Theory and Practice of the meditatio in Imperial Stoicism’, ANRW II 36.3 (1989), pp. 1473-1517.
  • RIST, J. M., ‘Are You a Stoic? The Case of Marcus Aurelius’, in B. F. Meyers & E. P. Sanders, eds, Jewish and Christian Self-Definition 3 (London: SCM, 1982), pp. 23-45.
  • RUTHERFORD, R. B., The Meditations of Marcus Aurelius: A Study (Oxford: Clarendon Press, 1989)
  • STANTON, G. R., ‘The Cosmopolitan Ideas of Epictetus and Marcus Aurelius’, Phronesis 13 (1968), 183-195.
  • WICKHAM LEGG, J., ‘A Bibliography of the Thoughts of Marcus Aurelius Antoninus’, Transactions of the Bibliographical Society 10 (1908-09, but publ. 1910), 15-81.

This article was written in 2002. Since then a number of new translations of the Meditations have been published, including ones by Robin Hard (Oxford: Oxford University Press, 2011), Martin Hammond (London: Penguin, 2006), and Gregory Hays (London: Weidenfeld & Nicolson, 2003). Also, a number of new studies have also been published. The most important are Angelo Giavatto’s Interlocutore di se stesso: La dialettica di Marco Aurelio (Hildesheim: Georg Olms, 2008), Marcel van Ackeren’s Die Philosophie Marc Aurels, 2 vols (berlin: De Gruyter, 2011), and the chapters by many authors in Marcel van Ackeren, ed., A Companion to Marcus Aurelius (Chichester: Wiley-Blackwell, 2012). For an annotated and up-to-date guide to the literature on Marcus Aurelius see John Sellars, ‘Marcus Aurelius’, in D. Pritchard, ed., Oxford Bibliographies in Philosophy (New York: Oxford University Press, 2015), DOI 10.1093/obo/9780195396577-0278 (subscription required).

Author Information

John Sellars
Email: john.sellars (at) kcl.ac.uk
King’s College London
United Kingdom

Madhva (1238—1317)

MadhvacharyaThe Dvaita or “dualist” school of Hindu Vedanta philosophy originated in 13th-century South India with Sri Madhvacarya (Madhva). Madhva, who considered himself an avatara of the wind-god Vayu, argued that a body of canonical texts called the “Vedanta” or “end of the Veda” taught the fundamental difference between the individual self or atman and the ultimate reality, brahman. According to Madhva there are two orders of reality: 1. svatantra, independent reality, which consists of Brahman alone and 2. paratantra, dependent reality, which consists of jivas (souls) and jada (lifeless objects). Although dependent reality would not exist apart from brahman’s will, this very dependence creates a fundamental distinction between brahman and all else, implying a dualist view. By interpreting the Vedanta materials (especially the Upanisads, the Bhagavadgita and the Brahmasutras) along these lines, Madhva deliberately challenged the non-dualist reading in which the atman was identified with brahman. Madhva argued that the scriptures could not teach the identity of all beings because this would contradict ordinary perception, which tells us that we are different both from one another and from God. Madhva and his followers call their system tattvavada, “the realist viewpoint”.

Table of Contents

  1. Madhva and Sankara
  2. Madhva and Ramanuja
  3. Dvaita Vedanta
  4. Canonical Sources
  5. References and Further Reading

1. Madhva and Sankara

The main tenet of Madhva’s Dvaita Vedanta is that the Vedic tradition teaches a fundamental difference between the human soul or atman and the ultimate reality, brahman. This is markedly different from the earlier Advaita Vedanta, which Madhva often vociferously attacked. Sankara’s A-dvaita or “non-dualist” Vedanta (9th century) argued that the atman is completely identical with brahman. According to Sankara, the atman experiences a false sense of plurality and individuality when under the influence of the delusive power of maya. While maya has the ambiguous ontological status of being neither real nor unreal, the only true reality is brahman. A soul becomes liberated from the cycle of rebirth (punar-janma) by realizing that its very experience of samsara is an illusion; its true identity is the singular objectless consciousness that constitutes pure being or brahman.

2. Madhva and Ramanuja

While Ramanuja’s system of Visistadvaita Vedanta or “qualified non-dualism” modifies Sankara’s position on the soul’s identity with brahman, Madhva also rejected it. Ramanuja assumes a plurality of individual souls whose identity remains intact even after liberation but maintains that the souls share the essential nature of brahma. The souls are eternal particles issuing from brahman, who as their source retains its transcendence. Ramanuja maintains Visnu’s distinct difference from the human soul and his supremacy as creator and redeemer. Ramanuja identifies brahman with Visnu, holding that brahman is saguna, i.e. possesses attributes, in contrast to Sankara’s attributeless or “nirguna” brahman.

3. Dvaita Vedanta

Like Ramanuja, Madhva identifies brahman with Visnu. However, he argues that any system that allows for any identification of the atman with brahman undermines Visnu’s supremacy, compromises His status, and strips devotional acts of their meaning. Madhva’s insistence on the modal distinction between the atman and brahman, wherein the former is inalterably dependent upon–and therefore, fundamentally different from–the latter, insures Visnu-as-brahman‘s complete and utter transcendence of the human soul. For Madhva, this view alone makes devotion [bhakti] an essential component of religious belief and practice. Attaining Visnu’s grace is the soul’s only hope of achieving liberation [moksa] from the cycle of rebirth (samsara).

Like Ramanuja, Madhva opposes Sankara’s conception of Brahman as nirguna or without qualities and as a pure self- consciousness. Madhva views Visnu as preeminent above all other deities on the basis of His unique characteristics. This emphasis on Visnu’s particular collocation of attributes that renders Him distinct from all other gods, human souls, and the material world reveals another critical component of Madhva’s philosophy which is his acceptance of an ontological plurality as a fundamental facet of being. Indeed, Madhva rejects the notion that brahman is the only truly existent entity (tattva) and he maintains that, even though living beings and inert matter are dependent upon Brahman, such dependence differentiates them from Him and makes them discrete entities (tattvas). Thus, reality in Madhva’s system consists of three basic elements: God, the souls (jivasi), and insentient matter (jada).

Madhva’s pluralistic ontology is founded on his realist epistemology, which in turn affects his Vedic hermeneutics. He argues that God and the human soul are separate because our daily experience of separateness from God and of plurality in general is presented to us as an undeniable fact, fundamental to our knowledge of all things. Madhva’s emphasis on the validity of experience as a means of knowledge is intended to refute the nondualist position that the differences we experience in daily life are ultimately a shared illusion with the ambiguous ontological status of being neither real nor unreal. In Madhva’s view, Advaita’s denial of the innate validity of knowledge acquired through sense perception completely undermines our ability to know anything since we must always question the content of our knowledge. This questioning would encompass our knowledge of the sacred canon, which is accessible to us only through our ability to perceive it and to draw inferences from it. Madhva argues that perception and inference must be innately valid and the reality they present us with must be actually and ultimately real since such a position is the only one that allows us to know the content of the Vedas. The Vedas alone are responsible for teaching us about the nature of the self and brahman.

This aspect of Madhva’s realist epistemology is important not only because it bolsters Madhva’s claim that the atman and brahman are permanently distinct as revealed to us by experience, but because it means that the sacred texts must be read in consonance with the data we receive from our everyday experience, even though the Vedas present us with knowledge of a supra-sensible realm. Madhva argues that the Vedas cannot teach non-difference between the atman and brahman or a lack of true plurality since this would directly contradict our experience. In Madhva’s view the sacred texts teach pancabheda, the five-fold difference between 1. Visnu and jivas 2. Visnu and jada 3. jiva and jada 4. one jiva and another and 5. one form of jada and another.

Madhva’s belief in the innate difference of one soul from another led to some interesting doctrines in his system. He believed in a hierarchy of jivas, based upon their innate configurations of virtues (gunas) and faults (dosas). For example, Visnu is supreme because He possesses all qualities in their most fulfilled and perfect form. Furthermore, because Madhva believed that souls possess innate characteristics and capacities, he also maintained that they were predestined to achieve certain ends. This perspective put Madhva at odds with traditional Hindu views of the karma theory wherein differences in social and religious status are explained via past moral or immoral acts. For Madhva, each individual being possesses an innate moral propensity and karma is merely the mechanism by which a given soul is propelled towards his or her destiny.

4. Canonical Sources

Madhva’s attempts to locate his controversial views in the canonical Vedanta texts often proved difficult. He is perhaps most famous for his idiosyncratic rendering of the Chandogya Upanisad’s statement tat tvam asi or “you (the atman) are that (brahman).” By carrying over the ‘a’ from the preceding word, Madhva rendered the phrase atat tvam asi or “you are not that.” Some scholars have speculated on “foreign,” particularly Christian, influences on Madhva’s thought but current scholarly consensus maintains that political and social changes in Madhva’s region prompted a new approach to old religious convictions.

Madhva’s Dvaita Vedanta is recognized as one of the three major schools of Vedanta (besides Sankara’s Advaita and Ramanuja’s Visistadvaita Vedanta). It has been further developed by such major figures as Jayatirtha (1356-1388) and Vyasaraya (1478-1589) and is kept alive by a still flourishing community [Madhva sampradaya] in India with its main center at Udipi (Karnataka).

5. References and Further Reading

  • Sharma, B. N. K. Philosophy of Sri Madhvacarya. Rev. ed. Delhi: Motilal Banarsidass, 1986.
  • Sharma, B. N. K. Madhva’s Teachings in His Own Words. Bombay: Bharatiya Vidya Bhavan, 1961.
  • Siauve, Suzanne. La Doctrine de Madhva. Pondicherry: Institut Francais d’Indologie, 1968.

Author Information

Valerie Stoker
Email: valerie.stoker@wright.edu
Wright State University
U. S. A.

Robert Nozick (1938—2002)

NozickA thinker with wide-ranging interests, Robert Nozick was one of the most important and influential political philosophers, along with John Rawls, in the Anglo-American analytic tradition. His first and most celebrated book, Anarchy, State, and Utopia (1974), produced, along with his Harvard colleague John Rawls’ A Theory of Justice (1971), the revival of the discipline of social and political philosophy within the analytic school. Rawls’ influential book is a systematic defense of egalitarian liberalism, but Nozick’s Anarchy, State, and Utopia is a compelling defense of free-market libertarianism.

Unlike Rawls, Nozick neglected political philosophy for the rest of his philosophical career. He moved on to address other philosophical questions and made significant contributions to other areas of philosophical inquiry. In epistemology, Nozick developed an externalist analysis of knowledge in terms of counterfactual conditions that provides a response to radical skepticism. In metaphysics, he proposed a “closest continuer” theory of personal identity.

His final work, Invariances (2001), offers a theory of objective reality. His other significant contributions to analytic philosophy notwithstanding, Nozick’s defense of libertarianism remains his most notable intellectual mark on philosophical inquiry.

Table of Contents

  1. Life
  2. Anarchy, State, and Utopia and Libertarianism
    1. Self-Ownership, Individual Rights, and the Minimal State
    2. Refuting the Anarchist
    3. Distributive Justice
    4. Utopia
  3. Epistemology
  4. Personal Identity
  5. Conclusion
  6. References and Further Reading

1. Life

Robert Nozick was born in Brooklyn, New York in 1938, and he taught at Harvard University until his death in January 2002. He was a thinker of the prodigious sort who gains a reputation for brilliance within his chosen field while still in graduate school, in his case at the Princeton of the early 1960’s, where he wrote his dissertation on decision theory under the supervision of Carl Hempel. He was also, like so many young intellectuals of that period, drawn initially to the politics of the New Left and to the socialism that was its philosophical inspiration. But encountering the works of such defenders of capitalism as F.A. Hayek, Ludwig von Mises, Murray Rothbard, and Ayn Rand eventually led him to renounce those views, and to shift his philosophical focus away from the technical issues then dominating analytic philosophy and toward political theory. The result was his first and most famous book, Anarchy, State, and Utopia (1974), an ingenious defense of libertarianism that immediately took on canonical status as the major right-wing philosophical counterpoint to his Harvard colleague John Rawls’s influential defense of social-democratic liberalism, A Theory of Justice (1971).

Like Rawls’s book, Nozick’s generated lively debate and an enormous secondary literature. But where Rawls made the development of his theory of justice and its defense against critics his life’s work, Nozick took little interest either in responding to critics of Anarchy, State, and Utopia in particular or in continuing to do systematic work in political philosophy in general. Instead, he moved on to produce groundbreaking work in several other areas of philosophical inquiry, particularly in epistemology and metaphysics. His development of an externalist theory of knowledge and his “closest continuer” account of personal identity have been particularly influential. It remains to be seen what impact on philosophy will be made by the general theory of objective truth developed in his last book, Invariances (2001), published shortly before his untimely death from stomach cancer. In any case, it seems clear, judging from the disproportionate amount of attention that it has received relative to the rest of his writings, that it is his early work in political theory that will stand as his most significant and lasting contribution.

2. Anarchy, State, and Utopia and Libertarianism

Anarchy, State, and Utopia is, together with Rawls’s A Theory of Justice, generally regarded as one of the two great classics of twentieth-century analytic political philosophy. Indeed, these two works essentially revived the discipline of political philosophy within the analytic school, whose practitioners had, until Rawls and Nozick came along, largely neglected it. Nozick’s book also revived interest in the notion of rights as being central to political theory, and it did so in the service of another idea that had been long neglected within academic political thought, namely libertarianism.

Libertarianism is a political philosophy holding that the role of the state in society ought to be severely limited, confined essentially to police protection, national defense, and the administration of courts of law, with all other tasks commonly performed by modern governments – education, social insurance, welfare, and so forth – taken over by religious bodies, charities, and other private institutions operating in a free market. Many libertarians appeal, in defending their position, to economic and sociological considerations – the benefits of market competition, the inherent mechanisms inclining state bureaucracies toward incompetence and inefficiency, the poor record of governmental attempts to deal with specific problems like poverty and pollution, and so forth. Nozick endorses such arguments, but his main defense of libertarianism is a moral one, his view being that whatever its practical benefits, the strongest reason to advocate a libertarian society is simply that such advocacy follows from a serious respect for individual rights.

a. Self-Ownership, Individual Rights, and the Minimal State

Nozick takes his position to follow from a basic moral principle associated with Immanuel Kant and enshrined in Kant’s second formulation of his famous Categorical Imperative: “Act so that you treat humanity, whether in your own person or in that of another, always as an end and never as a means only.” The idea here is that a human being, as a rational agent endowed with self-awareness, free will, and the possibility of formulating a plan of life, has an inherent dignity and cannot properly be treated as a mere thing, or used against his will as an instrument or resource in the way an inanimate object might be.

In line with this, Nozick also describes individual human beings as self-owners (though it isn’t clear whether he regards this as a restatement of Kant’s principle, a consequence of it, or an entirely independent idea). The thesis of self-ownership, a notion that goes back in political philosophy at least to John Locke, is just the claim that individuals own themselves – their bodies, talents and abilities, labor, and by extension the fruits or products of their exercise of their talents, abilities and labor. They have all the prerogatives with respect to themselves that a slaveholder claims with respect to his slaves. But the thesis of self-ownership would in fact rule out slavery as illegitimate, since each individual, as a self-owner, cannot properly be owned by anyone else. (Indeed, many libertarians would argue that unless one accepts the thesis of self-ownership, one has no way of explaining why slavery is evil. After all, it cannot be merely because slaveholders often treat their slaves badly, since a kind-hearted slaveholder would still be a slaveholder, and thus morally blameworthy, for that. The reason slavery is immoral must be because it involves a kind of stealing – the stealing of a person from himself.)

But if individuals are inviolable ends-in-themselves (as Kant describes them) and self-owners, it follows, Nozick says, that they have certain rights, in particular (and here again following Locke) rights to their lives, liberty, and the fruits of their labor. To own something, after all, just is to have a right to it, or, more accurately, to possess the bundle of rights – rights to possess something, to dispose of it, to determine what may be done with it, etc. – that constitute ownership; and thus to own oneself is to have such rights to the various elements that make up one’s self. These rights function, Nozick says, as side-constraints on the actions of others; they set limits on how others may, morally speaking, treat a person. So, for example, since you own yourself, and thus have a right to yourself, others are constrained morally not to kill or maim you (since this would involve destroying or damaging your property), or to kidnap you or forcibly remove one of your bodily organs for transplantation in someone else (since this would involve stealing your property). They are also constrained not to force you against your will to work for another’s purposes, even if those purposes are good ones. For if you own yourself, it follows that you have a right to determine whether and how you will use your self-owned body and its powers, e.g. either to work or to refrain from working.

So far this all might seem fairly uncontroversial. But what follows from it, in Nozick’s view, is the surprising and radical conclusion that taxation, of the redistributive sort in which modern states engage in order to fund the various programs of the bureaucratic welfare state, is morally illegitimate. It amounts to a kind of forced labor, for the state so structures the tax system that any time you labor at all, a certain amount of your labor time – the amount that produces the wealth taken away from you forcibly via taxation – is time you involuntarily work, in effect, for the state. Indeed, such taxation amounts to partial slavery, for in giving every citizen an entitlement to certain benefits (welfare, social security, or whatever), the state in effect gives them an entitlement, a right, to a part of the proceeds of your labor, which produces the taxes that fund the benefits; every citizen, that is, becomes in such a system a partial owner of you (since they have a partial property right in part of you, i.e. in your labor). But this is flatly inconsistent with the principle of self-ownership.

The various programs of the modern liberal welfare state are thus immoral, not only because they are inefficient and incompetently administered, but because they make slaves of the citizens of such a state. Indeed, the only sort of state that can be morally justified is what Nozick calls a minimal state or “night-watchman” state, a government which protects individuals, via police and military forces, from force, fraud, and theft, and administers courts of law, but does nothing else. In particular, such a state cannot regulate what citizens eat, drink, or smoke (since this would interfere with their right to use their self-owned bodies as they see fit), cannot control what they publish or read (since this would interfere with their right to use the property they’ve acquired with their self-owned labor – e.g. printing presses and paper – as they wish), cannot administer mandatory social insurance schemes or public education (since this would interfere with citizens’ rights to use the fruits of their labor as they desire, in that some citizens might decide that they would rather put their money into private education and private retirement plans), and cannot regulate economic life in general via minimum wage and rent control laws and the like (since such actions are not only economically suspect – tending to produce bad unintended consequences like unemployment and housing shortages – but violate citizens’ rights to charge whatever they want to for the use of their own property).

b. Refuting the Anarchist

It might be thought that given Nozick’s premises, no state at all, minimal or otherwise, could be justified, that full-blown anarchism is what really follows from the notion of self-ownership. For the activities of even a minimal state would need to be funded via taxation. Wouldn’t this taxation also amount to forced labor and partial slavery? Nozick thinks not. Indeed, in his view it turns out that even if an anarchistic society existed, not only could a minimal state nevertheless arise out of it in a way that violates no one’s self-ownership rights, in fact such a state would, morally speaking, have to come into existence.

Suppose there is a certain geographical area in which no state exists, and everyone must protect his own rights to life, liberty, and property, without relying on a government and its police and military to do so. Given that doing so would be costly, difficult, and time-consuming, people would, Nozick says, inevitably band together to form voluntary protection associations, agreeing to take turns standing watch over each others’ property, to decide collectively how to punish rights-violators, and so forth. Eventually some members of this anarchistic community would decide to go into the protection business full-time, instituting a private firm that would offer protection services to members of the community in exchange for a fee. Other members of the community might start competing firms, and a free market would develop in protection services.

Inevitably, Nozick argues, this process will (via a kind of “invisible hand” mechanism of the sort discussed by economists) give rise to either a single dominant firm or a dominant confederation of firms. For most people will surely judge that where protection of their lives and property is concerned, nothing short of the biggest and most powerful provider of such protection will do, so that they will flock to whatever firm is perceived as such; and the “snowball” effect this will create will ensure that that firm ends up with an overwhelming share of the market. Even if multiple large firms come into being, however, they are likely to form a kind of single dominant association of firms. For there will be occasions when the clients of different firms come into conflict with one another, one client accusing the other of violating his rights, the other insisting on his innocence. Firms could go to war over the claims of their respective clients, but this would be costly, especially if (as is likely) such conflicts between clients became frequent. More feasible would be an agreement between firms to abide by certain common rules for adjudicating disputes between clients and to go along with the decisions of arbitrators retained by the firms to interpret these rules – to institute, that is, a common quasi-legal system of sorts. With the advent of such a dominant protection agency (or confederation of agencies) – an organization comprised essentially of analogues of police and military forces and courts of law – our anarchistic society will obviously have gone a long way toward evolving a state, though strictly speaking, this agency is still a private firm rather than a government.

How will the dominant protection agency deal with independents – those (relatively few) individuals who retain no protection firm and insist on defending their rights themselves – who attempt to mete out justice to those of its clients they accuse of rights violations? Will it allow them to try and punish its clients as they see fit? Nozick argues that the dominant agency will not allow this and, morally speaking, must not. For the agency was hired to protect its clients’ rights, and that includes a right not to be arrested, tried, or punished unjustly or, where one really is guilty of a rights violation, to be punished more harshly than one deserves. Of course, its clients might really be guilty; but the point is, so long as the dominant agency doesn’t itself know that they are, it cannot allow them to be punished. The dominant agency must, accordingly, generally prohibit independents from defending their own rights against its clients; it must take upon itself the exclusive right to decide which of its clients is worthy of punishment, and what sort of punishment that ought to be.

In doing so, however, it has taken on one of the defining features of a state, namely, a monopoly on the legitimate use of force. It has become what Nozick calls an “ultra-minimal state.” In doing so, however, the dominant agency seems to have jeopardized the rights of independents – for though it has (rightly) prohibited those independents from exacting justice on its own clients, lest they inflict unjust punishments, it has thereby also left them unable to defend their own rights. To avoid committing an injustice against independents, then, the dominant agency or ultra-minimal state must compensate them for this – it must, that is, defend their rights for them by providing them the very protection services it affords its own clients. It can, Nozick says, legitimately charge them for this protection, but only the amount that they would have spent anyway in defending themselves. The end result of this process, though, is that the ultra-minimal state has taken on another feature of a state, namely the provision of protection to everyone within its borders. Moreover, in charging everyone for this protection it engages, in effect, in a kind of taxation (though this taxation – and only this taxation – does not violate self-ownership rights, because the original clients of the agency pay voluntarily, while the later, formerly independent, clients are charged only an amount they would have spent anyway for protection). The ultra-minimal state has thus become a full-fledged minimal state.

A minimal state would thus inevitably arise out of an originally anarchic society, given both practical circumstances and the moral requirements – concerning the prohibition of potentially rights-violating self-defense and compensation for this prohibition – binding on any agency acting to enforce the rights of others. And it would do so in a way that violates no one’s rights of self-ownership. So the anarchist can have no principled objection to it.

Nozick’s conception of the origins of the state is reminiscent of the social contract tradition in political thought represented by Hobbes, Locke, Rousseau, and, in contemporary thought, Rawls. For insofar as the state arises out of a process that begins with the voluntary retention by individuals of the services of an agency that will inevitably take on the features of a state, it can be seen to be the result of a kind of contract. The details of the state-originating process in Nozick’s account are very different from those of other social contract accounts, however; and, most importantly, for Nozick, unlike other social contract theorists, individual rights do not result from, but exist prior to, any social contract, and put severe constraints on the shape such a contract can take. Furthermore, the parties to the contract in Nozick’s conception are to be imagined very much on the model of human beings as we know them in “real life,” rather than along the lines of the highly abstractly conceived rational agents deliberating behind a “veil of ignorance” in Rawls’s “original position” thought experiment.

c. Distributive Justice

Most critics of the libertarian minimal state don’t complain that it allows for too much government; they say that it allows for far too little. In particular, they claim that a more-than-minimal state is necessary in order to fulfill the requirements of distributive justice. The state, it is held (by, for instance, Rawls and his followers), simply must engage in redistributive taxation in order to ensure that a fair distribution of wealth and income obtains in the society it governs. Nozick’s answer to this objection constitutes his “entitlement theory” of justice.

Talk about “distributive justice” is inherently misleading, Nozick argues, in that it seems to imply that there is some central authority who “distributes” to individuals shares of wealth and income that pre-exist the distribution, as if they had appeared like “manna from heaven.” Of course this is not really the way such shares come into existence, or come to be “distributed,” at all; in fact they come to be, and come to be held by the individuals who hold them, only through the scattered efforts and transactions of these innumerable individuals themselves, and these individuals’ efforts and transactions give them a moral claim over these shares. Talk about the “distribution of wealth” covers this up, and unjustifiably biases most discussions of distributive justice in a socialist or egalitarian liberal direction.

A more adequate theory of justice would in Nozick’s view enumerate three principles of justice in holdings. The first would be a principle of justice in acquisition, that is, the appropriation of natural resources that no one has ever owned before. The best-known such principle, some version of which Nozick seems to endorse, is the one enshrined in Locke’s theory of property, according to which a person (being a self-owner) owns his labor, and by “mixing his labor” with a previously unowned part of the natural world (e.g. by whittling a stick found in a forest into a spear) thereby comes to own it. The second principle would be a principle of justice in transfer, governing the manner in which one might justly come to own something previously owned by another. Here Nozick endorses the principle that a transfer of holdings is just if and only if it is voluntary, a principle that would seem to follow from respect for a person’s right to use the fruits of the exercise of his self-owned talents, abilities, and labor as he sees fit. The final principle would be a principle of justice in rectification, governing the proper means of setting right past injustices in acquisition and transfer.

Anyone who got what he has in a manner consistent with these three principles would, Nozick says, accordingly be entitled to it – for, his having abided by these principles, no one has any grounds for complaint against him. This gives us Nozick’s entitlement theory of distributive justice: a distribution of wealth obtaining in a society as a whole is a just distribution if everyone in that society is entitled to what he has, i.e. has gotten his holdings in accordance with the principles of acquisition, transfer, and rectification. And it is therefore just however equal or unequal it happens to be, and indeed however “fair” or “unfair” it might seem intuitively to be. Standard theories of distributive justice, Nozick says, are either ahistorical “end-state” or “end-result” theories, requiring that the distribution of wealth in a society have a certain structure, e.g. an egalitarian structure (regardless of how the distribution came about or how people got what they have); or they are historical theories requiring that the distribution fit a certain pattern reflecting such historical circumstances as who worked the hardest or who deserves the most. The entitlement theory of justice is historical yet unpatterned: The justice of a distribution is indeed determined by certain historical circumstances (contrary to end-state theories), but it has nothing to do with fitting any pattern guaranteeing that those who worked the hardest or are most deserving have the most shares. What matters is only that people get what they have in a manner consistent with the three principles of justice in holdings, and this is fully compatible with some people having much more than others, unlucky hard workers having less than lazier but luckier ones, morally repulsive individuals having higher incomes than saints, and so forth.

Nozick illustrates and defends the entitlement theory in a famous thought-experiment involving the basketball player Wilt Chamberlain. Imagine a society in which the distribution of wealth fits a particular structure or pattern favored by a non-entitlement conception of justice – suppose, to keep things simple, that it is an equal distribution, and call it D1. Nozick’s opponent must of course grant that this distribution is just, since Nozick has allowed the opponent himself to determine it. Now suppose that among the members of this society is Wilt Chamberlain, and that he has as a condition of his contract with his team that he will play only if each person coming to see the game puts twenty-five cents into a special box at the gate of the sports arena, the contents of which will go to him. Suppose further that over the course of the season, one million fans decide to pay the twenty-five cents to watch him play. The result will be a new distribution, D2, in which Chamberlain now has $250,000, much more than anyone else – a distribution which thereby breaks the original pattern established in D1. Now, is D2 just? Is Chamberlain entitled to his money? The answer to these questions, Nozick says, is clearly “Yes.” For everyone in D1 was, by hypothesis, entitled to what he had; there is no injustice in the starting point that led up to D2. Moreover, everyone who gave up twenty-five cents in the transition from D1 to D2 did so voluntarily, and thus has no grounds for complaint; and those who did not want to pay to see Chamberlain play still have their twenty-five cents, so they have no grounds for complaint either. But then no one has any grounds for a complaint of injustice; and thus there is no injustice.

What this shows, in Nozick’s view, is that all non-entitlement theories of justice are false. For all such theories claim that it is a necessary condition for a distribution’s being just that it have a certain structure or fit a certain pattern; but the Wilt Chamberlain example (which can be reformulated so that D1 is, instead of an egalitarian distribution, a distribution according to hard work, desert, or whatever) shows that a distribution (such as D2) can be just even if it doesn’t have a particular structure or pattern.

Moreover, the example shows that “liberty upsets patterns,” that allowing individuals freely to use their holdings as they choose will inevitably destroy any distribution advocated by non-entitlement theories, whether they be socialist, egalitarian liberal, or some other theory of distribution. And the corollary of this is that patterns destroy liberty, that attempts to enforce a particular distributional pattern or structure over time will necessarily involve intolerable levels of coercion, forbidding individuals from using the fruits of their talents, abilities, and labor as they see fit. As Nozick puts it, “the socialist society would have to forbid capitalist acts between consenting adults.” This is not merely a regrettable side-effect of the quest to attain a just distribution of wealth; it is a positive injustice, for it violates the principle of self-ownership.

Distributive justice, properly understood, thus does not require a redistribution of wealth; indeed, it forbids such a redistribution. Accordingly, the minimal state, far from being inconsistent with the demands of distributive justice, is in fact the only sure means of securing those demands.

d. Utopia

The minimal state might seem, even to those sympathetic to the arguments for it, to make for a rather austere vision of political life. But Nozick insists that we ought to see it as “inspiring, as well as right.” Indeed, the minimal state constitutes in his view a kind of utopia. For, among all models of political order, it alone makes possible the attempt to realize every person’s and group’s vision of the good society. It is often thought that libertarianism entails that everyone must live according to a laissez faire capitalist ethos, but this is not so; it requires only that, whatever ethos one is committed to, one not impose it by force on anyone else without his consent. If some individuals or groups want to live according to socialist or egalitarian principles, they are free to do so as far as Nozick is concerned; indeed, they may even establish a community, of whatever size, within the boundaries of the minimal state, and require that everyone who comes to live within it must agree to have a portion of his wealth redistributed. All they are forbidden from doing is forcing people to join or contribute to the establishment of such a community who do not want to do so.

The minimal state thus constitutes a “framework for utopia” – an overarching system within the boundaries of which any number of social, moral, and religious utopian visions may be realized. It thereby provides a way for people even of radically opposed points of view – socialists and capitalists, liberals and conservatives, atheists and religious believers, whether Jews, Christians, Muslims, Buddhists, Hindus – to make a go of implementing their conceptions of how life ought to be lived, within their own communities, while living side by side in peace. This gives us, in Nozick’s view, a further reason to endorse it.

3. Epistemology

Nozick’s most influential contributions to philosophy outside of political theory have been in epistemology and the metaphysics of personal identity. In the case of the former, he is best known for his version of an “externalist” theory of knowledge, developed in his second book, Philosophical Explanations (1981).

Traditional theories of knowledge hold that a knower S knows a proposition p if and only if S believes p, p is true, and S is justified in believing p.

The third condition has always been the most problematic: the logical possibility of skeptical scenarios in which the would-be knower is the hapless victim of an omnipotent, omniscient, and deceiving Cartesian demon, or a brain in a vat hooked up by mad scientists to a virtual reality supercomputer feeding it non-stop hallucinations, threaten to make the justification of almost any belief impossible. Examples of the sort made famous by Edmund Gettier – wherein S has a justified true belief (say, a belief that it is now 5:00, based on S’s glance at a nearby clock) that nevertheless does not plausibly amount to knowledge (say, because the clock is broken, and just by chance happens to be displaying the correct time) – also cast doubt on the adequacy of the traditional analysis of knowledge, whatever one says about the threat of skepticism.

These supposed inadequacies in the traditional view of knowledge are often said by its critics to stem from its “internalism” – the assumption that the factors that warrant S’s claim to knowledge must be factors of which S is aware: factors internal to the set of his consciously held beliefs. But these inadequacies can, it is argued, be remedied by adopting an externalist perspective instead, on which the factors that warrant S’s belief, and make it genuine knowledge rather than mere belief, may well be factors of which S is entirely unaware, and which are external to his conscious cognitive processes. One such factor (emphasized by “reliabilist” versions of externalism) might be a belief’s having been produced by a reliable belief-producing mechanism: a mechanism of the existence and operations of which S might be utterly ignorant.

Nozick’s unique contribution to the externalist approach is to suggest that the conditions that make S’s true belief that p count as knowledge are the counterfactuals: (a) that were p not true S would not believe it (the “variation” condition), and (b) that were p still true in somewhat different circumstances, S would still believe it and would not believe that not-p (the “adherence” condition). A belief that fulfills these conditions is one that, in Nozick’s expression, “tracks the truth.” (S’s belief that it is 5:00 in the example above would fail to meet these conditions, and thus fails to track the truth: had it in fact been 4:55 when S looked at the broken clock, he would still have believed that it is 5:00; and had the clock been stopped at 4:55 instead, S would not believe that it is 5:00, and indeed would believe that it is not 5:00.)

Nozick applies this analysis to answering skepticism as follows. We ought to concede to the skeptic that S cannot know that he is not in fact a brain in a vat, for his belief that he isn’t is not one that tracks the truth (since the variation condition can’t be met – if it were not true that S is not a brain in a vat, S would still believe he isn’t). But though this might appear to give away the store to skepticism, in fact it does not. For what the skeptic claims to threaten are everyday beliefs such as, e.g., S’s belief that he is driving in his car – for obviously, if S is actually a brain in a vat, he isn’t really driving in his car. Nozick argues that S can indeed know that he is driving and know that if he is driving then he isn’t a brain in a vat, even though he cannot know that he isn’t a brain in a vat. For it may well be that S’s belief that he is driving tracks the truth (it might, for instance, be produced by a reliable belief-forming process) even if his belief that he isn’t a brain in a vat doesn’t; and if so, then it is at least possible, contra the skeptic, to know, for example, that one is driving in one’s car. In taking this position, Nozick famously, and controversially, denies what is known among epistemologists as the “closure principle,” the principle that if S knows that p and that p entails q, then S knows that q.

4. Personal Identity

Nozick’s contribution to the debate over personal identity is his “closest continuer” theory, also presented in Philosophical Explanations. Philosophical puzzles over personal identity arise from various bizarre thought experiments that seem to present genuine logical possibilities. For instance, there is Locke’s famous example of the prince and the cobbler, wherein the man who wakes up in the cobbler’s body one morning appears to have all the memories of the prince, and none of the memories of the cobbler. So who is the man actually in the cobbler’s body, the prince or the cobbler himself? Or we can imagine a person A stepping into a teleportation machine of the sort described in science-fiction stories, and, due to some glitch in the machine’s operation, not one but two persons similar to A, call them B and C, appearing in the spot where the machine was supposed to send A. Which, if either, is the “real” A?

Nozick’s answer to such questions is that it is the later person who “most closely continues” the earlier one who is the one who is truly identical to the latter. What counts as closeness in this context is not susceptible of a simple, cut and dried answer. If we take psychological properties to be of greater importance to personhood than bodily ones, the closest continuer of the prince in Locke’s example would be the man who wakes up in the cobbler’s body, even though he has none of the prince’s bodily traits (and indeed, even though the prince’s body may still exist, and especially if someone else – the cobbler, say -seems to be in the prince’s body now). If instead we take bodily properties to be of greatest importance, then the closest continuer of the prince would be the person in the prince’s body, whatever memories, if any, that person has. In any case, part of what counts as contributing to closeness is, in Nozick’s view, going to be determined by a person’s own self-conception, by what a person himself takes to be most important to his identity.

What about the case where two or more individuals seem equally close continuers of an earlier person, as in the transporter example? Here Nozick’s view is that, in the latter case, neither B nor C is identical to A – since there is no single closest continuer – and thus A no longer exists; though had only one person arrived in the spot to which the machine was supposed to send A, A would have continued to exist. Personal identity thus depends in part on factors extrinsic to the person himself.

5. Conclusion

Nozick made contributions to other areas of philosophy as well, developing a complex theory of rationality in The Nature of Rationality (1993) and meditating on the meaning of life in The Examined Life (1989), though these works received nothing like the attention garnered by Anarchy, State, and Utopia. But his work in epistemology and metaphysics has been nearly as controversial as his work in political philosophy, and has generated as large a literature. Time will tell whether similar controversy will be generated by his final work, Invariances, wherein he developed a theory of objective reality on which the mark of the objectively real or true, whether in science, metaphysics, or ethics, is “invariance under transformations,” a property of the sort exhibited by the relationships between the numbers we use to measure the temperature, relationships which remain constant or “invariant” whether we use the Fahrenheit or centigrade scales, despite the various differences these scales exhibit in other respects.

In any event, it is almost certain that it is Nozick’s defense of libertarianism that will stand as his most significant contribution to philosophy.

See also Robert Nozick’s Political Philosophy.

6. References and Further Reading

  • G.A. Cohen, Self-Ownership, Freedom, and Equality (New York: Cambridge, University Press, 1995)
  • Edward Feser, On Nozick (Belmont, CA: Wadsworth, 2003)
  • Simon Hailwood, Exploring Nozick: Beyond Anarchy, State, and Utopia (Sydney: Avebury, 1996)
  • A.R. Lacey, Robert Nozick (Acumen Publishing Ltd., 2001)
  • Robert Nozick, Anarchy, State, and Utopia (New York: Basic Books, 1974)
  • Robert Nozick, Philosophical Explanations (Cambridge, MA: Belknap Press, 1981)
  • Robert Nozick, The Examined Life: Philosophical Meditations (New York: Simon and Schuster, 1989)
  • Robert Nozick, The Nature of Rationality (Princeton, NJ: Princeton University Press, 1993)
  • Robert Nozick, Socratic Puzzles (Cambridge, MA: Harvard University Press, 1997)
  • Robert Nozick, Invariances: The Structure of the Objective World (Cambridge, MA: Belknap Press, 2001)
  • Jeffrey Paul, ed., Reading Nozick: Essays on Anarchy, State, and Utopia (Totowa, NJ: Rowman and Littlefield, 1991)
  • David Schmidtz, ed., Robert Nozick (New York: Cambridge University Press, 2002)
  • Jonathan Wolff, Robert Nozick: Property, Justice, and the Minimal State (Stanford, CA: Stanford University Press, 1991)

Author Information

Edward Feser
Email: edwardfeser@hotmail.com
Pasadena City College
U. S. A.

Naturalistic Epistemology

Naturalistic epistemology is an approach to the theory of knowledge that emphasizes the application of methods, results, and theories from the empirical sciences. It contrasts with approaches that emphasize a priori conceptual analysis or insist on a theory of knowledge that is independent of the particular scientific details of how mind-brains work.

Varieties of naturalistic epistemology differ in terms of how they conceive the relationship between empirical science and epistemology, how much they rely on empirical science in theorizing about knowledge, and which sciences they take to be particularly relevant to epistemological questions. Naturalistic epistemologists such as W.V. Quine regard epistemology as part of psychology while others such as Alvin Goldman think it merely needs aid from the empirical sciences. On the other hand, Thomas Kuhn thinks that the social sciences should be applied to epistemology. Regardless, the importance of the sciences to epistemology is undisputed among naturalistic epistemologists.

Among the topics within this discipline, the debate on the internal and external theories for the justification of beliefs is one of the main issues. Donald Davidson and John Pollock are major naturalistic epistemologists who support internalism. Alvin Goldman, on the other hand, supports externalism. The issue of a priori knowledge and the problem of induction are also topics for debate within naturalistic epistemology.

Lastly, naturalistic epistemology is not without criticism. Among the problems for naturalistic epistemology are the circularity problem and the problem of normativity. With regard to the aims of unifying science and philosophy, solutions to these problems are of crucial importance for naturalistic epistemologists.

Table of Contents

  1. Key Figures in Naturalistic Epistemology
    1. W. V. Quine
    2. Alvin Goldman
    3. Thomas Kuhn
  2. Naturalistic Epistemology and Current Controversies
    1. Internalism and Externalism
    2. A priori Knowledge
    3. The Problem of Induction
  3. Problems for Naturalistic Epistemology
    1. The Circularity Problem
    2. The Problem of Normativity
  4. Conclusion
  5. References and Further Reading

1. Key Figures in Naturalistic Epistemology

a. W. V. Quine

W. V. Quine usually gets credit for initiating the contemporary wave of naturalistic epistemology with his essay, “Epistemology Naturalized.” In that essay, he argues for conceiving epistemology as a “chapter of psychology,” and for seeing epistemology and empirical science as containing and constraining one another.

Quine’s argument depends on three potentially controversial assumptions. First is confirmation holism – the view that only substantial bodies of theory, rather than individual claims, are empirically testable. Second, Quine assumes epistemology’s main problem is to explain the relationship between theories and their observational evidence. Third, he assumes there are only two ways to approach that problem. One is the psychological study of how people produce theoretical “output” from sensory “input,” and the other is the logical reconstruction of our theoretical vocabulary in sensory terms. In Quine’s view, the second approach cannot succeed, and so we are left with psychology.

The idea behind reconstructing theoretical vocabulary in sensory terms is to model epistemology on studies in the foundations of mathematics. Such studies show how to translate mathematical statements into the language of logic and set theory, and they show how to deduce suitably translated mathematical theorems from logical truths and set theoretic axioms. This allows us to judge the strength of our justification in believing mathematical claims: we are as justified in believing them as we are in believing the logical truths and set-theoretic axioms.

Logical Empiricists such as Rudolf Carnap sought a similar account of our justification for believing scientific theories. Given a translation of theoretical claims into observational vocabulary, we might be able to show how our theories could be derived logically from observation sentences, logical truths, and set theory.

Such a project could not be a complete success. For one thing (as Carnap was well aware), our theories cannot be derived logically from observations – the theories include generalizations covering unobserved cases. Nevertheless, such philosophers as Carnap thought the translation of theory into observational terms would be useful. It would allow us to see just how far our theories outstrip their observational evidence.

Quine emphasizes a second reason why the reconstructive approach must fail: Theoretical statements cannot, in general, be translated into purely observational vocabulary. To effect such translations, we would need to identify the observational conditions of verification (or disconfirmation) for individual theoretical statements. But, as Quine argues in his other most famous essay, “Two Dogmas of Empiricism,” individual theoretical statements do not have unique conditions of verification (or disconfirmation). Rather, we must test theoretical statements in groups large enough to have observational consequences, and the results confirm or disconfirm the groups as wholes. When the observations a theory predicts do not pan out, there is typically a wide range of adjustments we could make in response. We might, for example, give up the claim that this liquid is an acid, or the claim that this is a piece of litmus paper, or the claim we are not hallucinating, and so forth.

So, Quine’s assumption of confirmation holism undermines the possibility of reconstructing theoretical vocabulary in observational terms. Consequently, the reconstructionist approach cannot succeed. Given Quine’s other assumptions, then, the only method left for epistemology is the psychological method: to study empirically how people transform sensory input into theoretical output.

Knowledge thus approached is a natural phenomenon, the outcome of a natural process whereby sensory stimulation leads to theories about the world. To understand the connection between the stimulation and the theories – and to understand how far beyond the stimulation our theories go – we study the process scientifically. The point is not to “reconstruct” the transition, but to understand it as it actually occurs.

Quinian naturalistic epistemology is thus “contained” in psychology as a subdiscipline. Quine also notes, however, that there is a sense in which naturalistic epistemology “contains” the rest of science. Our theories and beliefs about the world, which constitute our science, are part of epistemology’s subject matter. Because they “contain” one another, epistemology and the rest of science can be mutually constraining. Not only should our scientific theories pass epistemic muster, but our epistemological theories must fit appropriately with the rest of our scientific worldview. This conception of the relationship between science and epistemology contrasts vividly with the traditional view of epistemology as “queen of the sciences.” It is probably the most influential aspect of Quine’s naturalism.

b. Alvin Goldman

Unlike Quine, Alvin Goldman is concerned with such traditional epistemological problems as developing an adequate theoretical understanding of knowledge and justified believing. Also in contrast to Quine, he does not see epistemology as part of science. Instead, Goldman thinks that answering traditional epistemological questions requires both a priori philosophy and the application of scientific results. As he often puts it, Goldman’s naturalism is the view that epistemology “needs help” from science.

Goldman’s theory of knowledge is a form of causal reliabilism. On such a view, a justified true belief counts as knowledge only if it is caused in a suitably reliable way. To be “suitably reliable,” a belief-forming process must have a propensity to produce more true beliefs than false ones, and the process’s own causal ancestry must have a greater propensity to produce reliable processes than unreliable ones. Though Goldman argues for this view of knowledge on primarily a priori grounds – for example, by considering how well it captures our intuitive classifications of beliefs as cases of knowledge or not – the theory itself gives empirical science an important place in our understanding of knowledge.

The most obvious place where psychology matters in this theory of knowledge is in the identification and evaluation of belief-forming processes. It is psychology that tells us what processes cause our beliefs, and it is psychology that enables us to judge their reliability. Consequently, the determination whether a particular belief is a case of knowledge will turn on both philosophical and psychological considerations. Philosophically, we can say that the belief (if justified and true) is knowledge if it was caused in a suitably reliable way. The question whether it was caused in such a way, however, is a question for empirical science.

A related role for psychology is in addressing skeptical problems. If true, causal reliabilism shows only that knowledge is logically possible. (It is logically possible for a person to have justified, true beliefs caused by suitably reliable processes.) The question whether knowledge is humanly possible, and the question whether anyone actually knows anything, are both questions whose answers depend on which cognitive processes are available to humans, and on how reliable those processes are.

Goldman’s approach to epistemic justification is also reliabilist and grounded in science. The core of his view is that justification is at least partly a matter of beliefs’ being produced by reliable cognitive processes. Goldman has made numerous modifications to this view, and he has worked out its details in various ways at different times.

The account of justification Goldman now favors has two components. First, he thinks it is an important task of epistemology to clarify and describe our “epistemic folkways,” the set of our commonsense epistemological concepts and principles, including the concept of justified belief. The second component is a theory of what justified believing is, based on the principles underlying our commonsense judgments but perhaps departing from those judgments in certain cases.

To study our epistemic folkways, Goldman thinks it is necessary to examine empirically the ways in which we apply and acquire our epistemic concepts, in hopes of determining those concepts’ structures. He hypothesizes that we apply epistemic concepts to individual cases in much the same way we apply most of our concepts: by judging how similar or different a particular case is to stereotypical instances of the concept. In the case of epistemic justification, he thinks we compare the process whereby a person has come to believe something with what we take to be typical justification-conferring processes, such as perception or deduction. He contends that we take such processes to confer justification because we take them to be reliable.

Our commonsense understanding of what processes people use to arrive at their beliefs, and our commonsense assessments of their reliability, are apt to be quite different from the psychological truth of the matter. So, in Goldman’s view, it is necessary also to construct a theory of what epistemic justification really is, as opposed to how common sense takes it to be. That theory will be grounded in our psychological understanding of how beliefs are formed, and it will include assessments of those processes in terms of reliability (as well as problem-solving power and speed, though Goldman thinks those assessments are only loosely connected to justification, if at all).

c. Thomas Kuhn

Much naturalistic epistemology looks to psychology and, in certain cases, the natural sciences to develop an understanding of knowledge. Especially in the philosophy of science, however, Thomas Kuhn’s work has inspired a naturalistic approach that applies the social sciences to epistemological questions. Kuhn-inspired naturalism is not incompatible with the naturalism that draws on psychology and the natural sciences. Such naturalistic epistemologists as Alvin Goldman and Philip Kitcher have fruitfully applied insights from both the natural and the social sciences in the attempt to understand knowledge as a simultaneously cognitive and social phenomenon.

In his highly influential book, The Structure of Scientific Revolutions, Kuhn carefully examines the process of theory change in science. Unlike earlier approaches, which might, in Carnapian style, have tried to reconstruct theory changes as driven entirely by evidence, Kuhn emphasizes how rare it is that scientists reject old theories in favor of new ones on the basis of data alone. Especially in the case of “revolutionary” changes – such as the transition from Ptolemaic to Copernican astronomy – the data available to scientists can be highly ambiguous, and the data often fail to establish determinately what theoretical framework should win out.

On Kuhn’s view, scientific practice is guided by paradigms – theories, methodologies, and conceptual frameworks that give scientists examples of “good science” and shape their understanding not only of the world, but of what science itself is supposed to be like. As paradigms age, however, they build up not only a record of explanatory and predictive success, but also a record of failures and unsolved problems. Revolutions occur when scientists come to see some of the unsolved problems as both very important and unsolvable from within the reigning paradigms. New paradigms emerge, and debates rage about whether to adopt them or to stick to the old way of doing things, in hopes of eventually solving the threatening problems.

Debates about whether to give up on an old paradigm, Kuhn emphasizes, cannot be settled by the available data. One reason for this is that paradigms help scientists to decide what will and what will not count as data, and they help to determine scientists’ judgments about the import or interpretation of data. Furthermore, it is at most only rarely that a newly proposed paradigm is incremental in the sense that it provides solutions to all or most of the problems solved by the old paradigm, as well as the new problems that have raised questions about the old paradigm. For example, Kuhn attacks the common view that Newtonian mechanics is a limiting case of Relativistic mechanics. Relativity, on his view, does not solve all the Newtonian problems and others besides. Rather, it replaces the old problems with new ones it can solve. Adopting a new paradigm, in such cases, is more like changing the subject than being compelled by the rational force of evidence.

Kuhn attempts to trace the social and political factors behind theory changes in science. The available data do not unequivocally favor one paradigm over others, and scientists do not choose paradigms on the basis of data. Instead, Kuhn believes social and political forces guide paradigm changes. Thus, an adequate explanation of scientific revolutions will be an application of social, political, and historical analysis, not the logical analysis of the relationship between theories and evidence. To understand science in Kuhnian fashion, it is at least as important to understand scientists and what they do as it is to understand the theories they offer and the experiments they conduct.

Kuhn’s dual emphases on socio-political factors in theory choice and understanding science by studying the practices of scientists have led to several different strands of Kuhn-inspired naturalistic philosophy of science.

The most radical strand is the so-called “sociology of scientific knowledge,” often identified with the “strong programme” of David Bloor. At the heart of this program is a “symmetry principle,” to the effect that true and false, rational and irrational scientific beliefs are to be explained in the same way. The explanation of scientific beliefs is thus to be indifferent to the actual truth of those beliefs. This agnosticism about the truth of scientific theories leads strong programme advocates to attempt to explain almost everything scientists do and say in sociological terms, specifically avoiding any appeals to how the extra-social world is in explaining scientists’ behavior. The official agnosticism also sometimes appears to transform itself into a form of constructivism, the view that scientists and others make the world be as it is by adopting theories, instead of the world determining (at least partly) what theories scientists will or should adopt.

A much less radical strand of Kuhn-inspired philosophy of science (which also owes a debt to Quine) is to be found in the work of Larry Laudan. He offers a “reticulated model” of science, in which issues concerning scientific theories, scientific methods, and scientific aims interact with one another. On this model, theories are not adopted independently of methodological and axiological commitments, but neither are those commitments undertaken independently of theoretical commitments. As one would expect from a naturalist, much of Laudan’s case turns on details concerning the actual unfolding of the history of science.

In a somewhat similar spirit, such philosophers as Philip Kitcher and Alvin Goldman have advocated a “social epistemology” partly inspired by Kuhn. A psychological fact about the conduct of science is that it is not the mere construction of theories in the face of evidence. Rather, it is the construction of theories both in the face of evidence and from within a social context. Scientists’ theory choices thus depend on what evidence they gather and also on social and political factors, including the organization of the social structures in which they pursue knowledge. To understand how science happens, then, one must understand those social structures. As Kitcher and Goldman emphasize, however, those structures themselves can be evaluated in reliabilist terms; we can ask (and try to find out) how well a given social structure promotes the aim of producing true theories rather than false ones. Kitcher and Goldman have attempted to answer such questions, and to describe what kinds of social structures would be most conducive to the promotion of our epistemic and scientific goals.

2. Naturalistic Epistemology and Current Controversies

Because naturalistic epistemologies can differ from one another so much, there is rarely a single or standard “naturalistic” approach to an issue in epistemology. Instead, different naturalists will take different approaches, depending on their precise views of the relationship between science and epistemology. This section describes some naturalistic approaches to three current issues in epistemology: the internalism/externalism debate, the problem of a priori knowledge, and the problem of induction.

a. Internalism and Externalism

The debate between internalists and externalists concerns whether anything besides mental states helps to constitute the justification of beliefs. Internalists hold that a belief is justified only if it is appropriately related to other mental states, and externalists hold that justification comes at least partly from elsewhere, for example from the reliability of the process that generated a belief.

Naturalistic epistemology is not committed to either internalism or externalism. Many, perhaps most, naturalistic epistemologists endorse reliabilist theories of justification or knowledge, and so they are externalists. Goldman in particular has been a standard-bearer for externalism.

Among naturalistic epistemologists who endorse internalism are Donald Davidson and John Pollock. Davidson’s naturalism is fairly weak, in the sense that Davidson does not directly apply much hard science to epistemological problems. Nevertheless, he does take seriously Quine’s admonition that epistemology is just one part of our going theory of the world, and he feels free to take for granted such things as the existence of the external world when it comes to explaining how we could have knowledge concerning the external world. He also holds that only another belief can justify a belief, and he thus sees justification as arising from the relationships among one’s beliefs.

Pollock endorses a view he calls “norm internalism.” He holds that beliefs are justified when formed in accord with certain internalized rules concerning the correct ways to form beliefs. Those internalized rules are, in his term, “psychologically real,” contingent features of our cognitive architecture. Nevertheless, he also thinks that experimental studies of reasoning will not be very helpful in determining the contents of the internalized rules. Rather, he thinks the best way to learn their contents is by examining our intuitions about what counts as knowledge or justified belief and what does not.

b. A priori Knowledge

A priori knowledge, if there is any, is knowledge obtained independently of experience. Quine denies there is a priori knowledge. To know something a priori, he thinks, it would have to be analytic (that is, true in virtue of the meanings of the concepts involved), but there is no analyticity. This rejection of the a priori and analyticity is part of the package that includes Quine’s confirmation holism. In fact, Quine claims in “Two Dogmas of Empiricism” that his anti-reductionism (that is, his confirmation holism) is really the same thing as his rejection of analytic truth and a priori knowledge. It is unsurprising, then, that one might take naturalistic epistemology to be radically empiricistic and committed to the non-existence of a priori knowledge.

Recent work in naturalistic epistemology has been far more sympathetic to the a priori than Quine’s. Philip Kitcher has defended a naturalistic account of a priori knowledge that turns on the characteristics of the process that produces a belief. Roughly, he claims that one’s knowledge that p is a priori if and only if it comes from the operation of a process that would have produced knowledge that p no matter what particular experiences one might have had. It is important to note here that we cannot simply reflect on the content of a proposition to determine whether it is knowable a priori in this sense. Rather, we have to take into account the actual facts about how our minds work and see whether there is any process that would produce knowledge of that proposition regardless of one’s particular experiences. It is also doubtful that this sort of a priori knowledge could play the foundational role rationalists have typically assigned to the a priori.

Alvin Goldman has outlined a similar account of a priori knowledge. His account is based on two assumptions. First is his reliabilist account of epistemic justification. Second is the general idea that a priori knowledge is knowledge based on processes of “pure thought,” which operate independently of experience or perception. If we are able to discover that human beings have reliable innate mechanisms of ratiocination and calculation – and there is some evidence that we do – then those mechanisms are reasonably counted as conferring a priori justification on beliefs. In particular, beliefs derived from the operations of those mechanisms, without any reliance on perception, are strong candidates for a priori knowledge.

c. The Problem of Induction

There is no standard naturalistic solution to the problem of induction, but naturalism does provide a general strategy for dealing with the problem. In broad strokes, the approach is to look at the ways in which people actually do perform inductive inferences and to evaluate those inductive methods along such dimensions as reliability.

One kind of inductive inference involves the projection of properties. For example, one might believe that robins and sparrows have Factor X in their blood, and one might then infer that cardinals also have Factor X in their blood. Hilary Kornblith advocates a naturalistic but metaphysical explanation for why such patterns of reasoning tend to be reliable. The causal structure of the world, in his view, leads to a “clustering” of properties in natural kinds. So, if bird is a natural kind, then there will be a number of properties birds have in common, and it is the causal structure of the world that “binds” those properties together. Furthermore, claims Kornblith, our best understanding of human inference points to the view that our minds are natively equipped with mechanisms tuned to the world’s causal structure and to the clustering of properties in natural kinds. In short, we are hard wired to project properties typically in cases where the projections will work, owing to the world’s causal structure.

Another kind of inductive inference, however, is probabilistic inference. For example, we might infer that the next card dealt from the deck probably will not be a heart, since only one card in four is a heart. A great deal of work has been done to study how people make probabilistic inferences, much of it initiated by Daniel Kahneman and Amos Tversky. The news here has not all been good. Our probabilistic inferences are often guided by heuristics and biases that lead us to wrong answers. This could be a case in which investigation of commonly used cognitive processes shows that they are not reliable or do not produce justified beliefs. However, some recent work on so-called “fast and frugal heuristics” aims to show that processes implementing inference patterns that are formally fallacious – that is, that violate the probability calculus – can be effective, fast, and reasonably reliable in the sorts of environments where those processes evolved.

3. Problems for Naturalistic Epistemology

Naturalistic epistemologies have it in common that they apply scientific methods, results, and theories to epistemological problems, though they differ in just which sciences they draw on and how central a place they give to those sciences. Despite this variation among naturalistic views, there are also some important objections to doing epistemology naturalistically at all. Two of those objections center on the Circularity Problem and the Problem of Normativity.

a. The Circularity Problem

Many philosophers suppose one of epistemology’s most important tasks is to answer the Cartesian skeptic. Such a skeptic denies we could know most of the things we take ourselves to know, because we cannot rule out the logical possibility that we are massively deceived about the world. We might be victims of an evil demon, who is ultimately responsible for the nature of our experiences, or we might be brains in vats whose apparent experiences of an apparent external world come from a scientist armed with electrodes and chemicals.

Naturalistic epistemology seeks to explain knowledge by applying our best scientific understanding of the mind-brain. When the issue is skepticism, however, it might appear that using science would be viciously circular. Our scientific theories depend on our sensory experience, and so (says the skeptic or the anti-naturalist) we cannot legitimately appeal to those theories in explaining the possibility or actuality of perceptual knowledge (for example).

This line of objection to naturalistic epistemology is old, and Quine discusses it in “Epistemology Naturalized.” In general, advocates of naturalism have had two things to say about it.

First, they point out (as did Hume) that we simply cannot step outside our going view of the world and evaluate it with no empirical presuppositions. So, the skeptic’s demand for an external validation of science is misplaced. To understand what knowledge is and how it is possible, it is necessary to show how the phenomenon of knowledge fits into the rest of our understanding of things. The result will not be certainty that our scientific theories are correct, but we do not need that sort of certainty in order to get by.

Second, and perhaps more importantly, naturalistic epistemologists sometimes contend the circularity involved is not vicious because it does not beg the question. There is no guarantee our worldview will be self-supporting in the sense that our best scientific understanding of what knowledge is also shows that we do indeed have knowledge of the external world. It could turn out that, by their own lights, our scientific theories and our perceptual beliefs are not justified. Such a result would be disastrous, but naturalistic epistemology does not exclude it as a possibility. Even though we might not be able to validate our knowledge of the external world a priori, the fact that we can validate it at all is significant and non-trivial.

b. The Problem of Normativity

Another problem for naturalistic epistemology is explaining epistemic normativity. The ideas of knowledge and justified belief are normative in the sense that they include notions about what is right or wrong for a person to believe. Though science might be able to tell us about how people do come to believe as they do, critics of naturalistic epistemology often claim it cannot tell us about how people should come by their beliefs. This objection has been pressed by Jaegwon Kim, and it dates back at least to Wilfrid Sellars’ Empiricism and the Philosophy of Mind.

Advocates of naturalistic epistemology have typically countered by emphasizing the role of our cognitive goals in normative epistemic evaluations. For example, Goldman points to true belief as one of our most important cognitive goals, and Quine discusses the “anticipation of sensory stimulation” as providing a normative checkpoint for science. Naturalistic epistemology can be normative, on this view, because it can explain and detect the causal connections between our belief-forming processes and our cognitive goals. So, one might claim, epistemic justification is a “good” property of beliefs because justified beliefs come from reliable processes, and reliable processes are those whose use tends to promote the valuable goal of believing what is true and not what is false.

Epistemic value, on this approach, is a form of instrumental value; it derives from the causal ties between cognitive means and valuable cognitive ends. Some critics of naturalistic epistemology, notably Harvey Siegel, have argued that there must be some form of non-instrumental epistemic value. In light of their criticisms, advocates of naturalistic epistemology need either to show how a scientific approach can accommodate non-instrumental value or to explain why there is no need to do so.

4. Conclusion

Naturalistic epistemologists seek an understanding of knowledge that is scientifically informed and integrated with the rest of our understanding of the world. Their methods and commitments differ, because they have varying views about the precise relationship between science and epistemology and even about which sciences are most important to understanding knowledge.

In addressing particular issues, naturalists often make one of two general sorts of moves. The first is to try to show the issue is empirical and then to apply scientific data, results, methods, and theories to it directly. This is what happens when naturalists offer accounts of a priori knowledge based on cognitive psychology, and even when they offer naturalized conceptual analyses that they take to be based on empirical information concerning how concepts are applied.

A second common naturalistic move is to undermine a problem’s motivation by showing it arises only on certain false, non-naturalistic assumptions. This is what happens when naturalists reject Cartesian skeptical problems, on the grounds those problems presuppose that our beliefs about the external world require external validation before they can be fully justified.

Despite its promise, naturalistic epistemology does face serious challenges from the problems of circularity and normativity. It is far from clear they are more serious than the challenges traditional, a priori epistemology faces, but naturalists certainly need solutions to the problems. Finding those solutions is one of the most important philosophical projects in this field that aims to unify science and philosophy.

5. References and Further Reading

  • Bloor, D. 1981. The strengths of the strong programme. Philosophy of the social sciences, v. 11, pp. 199-213.
  • Davidson, D. 1984. A coherence theory of truth and knowledge. In his: Inquiries into truth and interpretation. Oxford, UK: Clarendon.
  • Gigerenzer, G., Todd, P., and the ABC Research Group. 1999. Simple heuristics that make us smart. New York: Oxford U P.
  • Goldman, A. 1967. A causal theory of knowing. Journal of philosophy, v. 64, pp. 357-372.
  • Goldman, A. 1976. Discrimination and perceptual knowledge. Journal of philosophy, v. 73, pp. 771-791.
  • Goldman, A. 1986. Epistemology and cognition. Cambridge, MA: Harvard U P.
  • Goldman, A. 1992. Liasons: Philosophy meets the cognitive and social sciences. Cambridge, MA: MIT Press.
  • Goldman, A. 1999. a priori warrant and naturalistic epistemology. In: Tomberlin, J. E., ed., Philosophical Perspectives, v. 13. Cambridge, UK: Blackwell.
  • Goldman, A. 1999. Knowledge in a social world. Oxford, UK: Clarendon.
  • Kahneman, D., Slovic, P., and Tversky, A. Judgment under uncertainty: Heuristics and biases. Cambridge, UK: Cambridge U P.
  • Kim, J. 1988. What is “naturalized epistemology”? In: Tomberlin, J. E., ed. Philosophical Perspectives, v. 2. Atascadero, CA: Ridgeview. pp. 381-405.
  • Kitcher, P. 1980. a priori knowledge. The philosophical review, v. 86. pp. 3-23.
  • Kitcher, P. 1992. The naturalists return. Philosophical Review, v. 101, n. 1. pp. 53-114.
  • Kitcher, P. 1993. The advancement of science. New York: Oxford U P.
  • Kornblith, H. 1993. Inductive inference and its natural ground. Cambridge, MA: MIT Press.
  • Kornblith, H. ed. 1994. Naturalizing epistemology, 2d ed. Cambridge, MA: MIT Press.
  • Kuhn, T. S. 1996. The structure of scientific revolutions, 3d ed. Chicago: U of Chicago Press.
  • Lakatos, I. 1971. Philosophical papers. Cambridge, UK: Cambridge U P.
  • Laudan, L. 1977. Progress and its problems. Berkeley: U of California Press.
  • Laudan, L. 1990. Normative naturalism. Philosophy of science, v. 57, n. 1, pp. 44-59.
  • Pollock, J. and Cruz, J. 1999. Contemporary theories of knowledge, 2d ed. Oxford: Rowman and Littlefield.
  • Quine, W. V. 1960. Word and object. Cambridge, MA: MIT Press.
  • Quine, W. V. 1969. Ontological relativity and other essays. New York: Columbia U P.
  • Quine, W. V. 1980. From a logical point of view. 2d ed. Cambridge, MA: Harvard U P.
  • Quine, W. V. 1992. Pursuit of truth. Rev. ed. Cambridge, MA: Harvard U P.
  • Sellars, W. 1963. Science, perception, and reality. London: Routledge and Kegan Paul.
  • Siegel, H.1990. Laudan’s normative naturalism. Studies in history and philosophy of science, v. 21, n. 2, pp. 295-313.

Author Information

Chase B. Wrenn
Email: cwrenn@bama.ua.edu
University of Alabama
U. S. A.

Jean-Luc Nancy (1940—)

nancyThe French philosopher Jean-Luc Nancy  has written more than twenty books and hundreds of texts or contributions to volumes, catalogues and journals. His philosophical scope is very broad: from On Kawara to Heidegger, from the sense of the world and the deconstruction of Christianity to the Jena romantics of the Schlegel brothers.

Nancy is influenced by philosophers like Jacques Derrida, Georges Bataille and Martin Heidegger. He became famous with La communauté désoeuvrée (translated as The Inoperative Community in 1991), at the same time a work on the question of community and a comment on Bataille. He has also published books on Heidegger, Kant, Hegel and Descartes. One of the main themes in his work is the question of our being together in contemporary society. In Être singulier pluriel (translated as Being Singular Plural in 2000) Nancy deals with the question how we can still speak of a ‘we’ or of a plurality, without transforming this ‘we’ into a substantial and exclusive identity. What are the conditions to speak of a ‘we’ today?

Table of Contents

  1. Biography
  2. Lacan
  3. Deconstruction
  4. Community
    1. Immanentism
    2. Heidegger and being-with
  5. Ontology
    1. Globalization
    2. Deconstructing Christianity
  6. Sovereignty
  7. Art and Culture
  8. References and Further Reading

1. Biography

Jean-Luc Nancy was born on the 26th of July 1940 in Caudéran, near Bordeaux in France. When exactly the philosopher Nancy emerged is difficult to ascertain, but it is clear that his first philosophical interests began to arise during his youth in the catholic environment of Bergerac. Shortly after he obtained his graduate in philosophy in 1962 in Paris, Nancy began to write explicitly philosophical texts. He published on authors like Karl Marx, Immanuel Kant, Friedrich Nietzsche and André Breton. This engagement with various different types of thinkers also came to be characteristic of his later work, which is renowned for its versatility.

After his aggregate in philosophy in Paris and a short period as a teacher in Colmar, in 1968 Nancy became an a assistant at the Institut de Philosophie in Strasbourg—he lives and works in Strasbourg. In 1973, he obtained his Phd under the supervision of Paul Ricoeur, via a dissertation on Kant. Soon after, he became the ‘maître de conférences’ at the Université des Sciences Humaines in Strasbourg, the institute to which he is still attached. In 1987, Nancy was elected docteur d’état (doctor of state) in Toulouse with the congratulations of the jury. His dissertation handled the topic of freedom in the work of Kant, Schelling and Heidegger, and was published as L’expérience de la liberté (translated as The Experience of Freedom) in 1988. His supervisor was Gérard Granel and members of the jury included Jacques Derrida and Jean-François Lyotard.

However, Nancy didn’t wait until 1987 to extend his academic career. In the seventies and eighties he was a guest professor at the most diverse universities, from the Freie Universität in Berlin to the University of California. As a professor in philosophy, he was also involved in many cultural delegations of the French ministry of external affairs, particularly in relation to Eastern Europe, Great Britain and the United States of America. Together with his ever-growing publication list, this began to procure Nancy an international reputation. The quick translation of his work into several languages enhanced his fame (Nancy mastered, besides his mother tongue, also German, Italian and English).

This hyperactivity suddenly came to an end when he became gravely ill at the end of the eighties. He was forced to undergo a heart transplant (which Derrida talks about in his recently released book on Nancy, Le Toucher) and his recovery from this was inhibited by a long-term fight with cancer. These diseases marked his career fundamentally. Out of sheer necessity, he put an end to all of his courses at the beginning of the nineties and quit his membership of almost all of the committees that he participated in. He has recently restarted most of his activities, but it is surprising that during these troubles Nancy never stopped writing and publishing. A lot of his main works, most of which are related to social and political philosophical topics, were published in the nineties and he even wrote a text on his disease. It was published as a book in 2000 with the title L’intrus: the intruder. For the moment, now over sixty, he is a very active philosopher. He travels around the world as a popular speaker and thinker on many philosophical congresses and writes one text after another. Nancy is more alive than ever, both as a man and as a philosopher.

2. Lacan

Nancy’s first book appears in 1973: Le titre de la lettre (The Title of the Letter). He wrote it with his philosophical partner Philippe Lacoue-Labarthe. Up until now, it has frequently been described as a critical study on the work of the French psychoanalyst Jacques Lacan. Without working this through here, it is worth mentioning that Nancy quite consistently refers to Lacan, or to psychoanalysis in general, and most of the time in quite a critical way. In The Sense of the World he describes the Lacanian notion of the ‘Other’ as a ‘theological excrement’. That, in a nutshell, is what he had already said in The Title of the Letter: Nancy argues that Lacan questions the metaphysical subject, but does this in a metaphysical way. Since then, Nancy has continued to formulate his reservations against psychoanalytic concepts like Law, Father, Other, Subject, etc. While he contends that psychoanalytic jargon still bears some theological remnants, Nancy also thinks that a lot of its concepts are worth thinking through.

3. Deconstruction

Nevertheless, Lacan is not the author that Nancy and Lacoue-Labarthe explicitly study or look up to. It is the other Jacques, Jacques Derrida, who makes an enormous impression on both of them. With Derrida, Nancy affirms in several interviews, he had the impression that, after Sartre, something new and very contemporary was born in philosophy. Derrida’s work inspired both Nancy and Lacoue-Labarthe to such a degree that they organise the famous conference in 1980, Les fins de l’homme, in Cerisy-la-Salle on Derrida and politics. This conference helped to consolidate Derrida’s solid place at the pinnacle of contemporary philosophy.

For Nancy and Lacoue-Labarthe, this conference on Derrida and politics served as the starting point to deal with more politics. In the same year, they set up a philosophical platform to investigate the political. The ‘Centre de recherches philosophiques sur le politique’ (The Centre of Philosophical Research of the Political) started from the demand to rethink the political and not to rest on the blinding rhetoric of our current democracy. Over several years, philosophers such as Claude Lefort and Jean-François Lyotard give lectures on this topic, and out of this two books sprang up: Rejouer le politique (1981) and Le retrait du politique (translated as Retreating the Political in 1997).

In 1984, Nancy and Lacoue-Labarthe put an end to the activities of the Centre, because, according to them, its role as a place of encounter ‘had become almost completely dissociated from that as a place of research and questioning’. The Centre had too often been the mere successive reception of speakers, rather than a common space with common concerns. Despite the closing down of the Centre in 1984, Nancy’s concern with the question of the political, and that of community, has never disappeared.

Nancy is, of course, much more than a pupil of Derrida. His work is from the beginning marked by lots of diverse influences, from Georges Bataille and Maurice Blanchot to Descartes, Hegel, Kant, Nietzsche and Heidegger. These authors are already evident in the very first books that Nancy published: Le discours de la syncope (1976) and L’impératif catégorique (1983) on Kant, La remarque spéculative (translated as The Speculative Remark, 2001) on Hegel, Ego sum (1979) on Descartes and Le partage des voix (1982) on Heidegger.

The book that Nancy became famous with is La communauté désoeuvrée (1982), a comment on the work of Bataille. This text led Maurice Blanchot to discuss the question of community, and also to consider Nancy’s comments on Bataille, in his La communauté inavouable (translated as The Unavowable Community in 1988). Later on, a compilation of essays centring around the theme of community, La communauté désoeuvrée, is also published as a book. Besides offering an excellent analysis of the problem of community, this volume is an interesting introduction to the author Nancy. One can learn to read Nancy in it, and this is not always an easy job because he starts mostly from a commentary on the work of other authors and develops his own thesis out of this commentary. This strategy of reading and thinking is named deconstruction and Nancy continues Derrida’s work with it. This is one reason why one can call La communauté désoeuvrée a key text in Nancy’s work.

Besides revealing his strategy of thinking, in this text one can also discover the main philosophical themes that Nancy is concerned with in his later work. These often circle around social and political philosophical problems, like the question how to develop our modern society with the twentieth century knowledge that political projects that start by trying to build society according to a well-defined shape or plan have frequently led to political terror and social violence. In this respect, Nancy is obviously thinking of the former socialist states, as well as the nazi and fascist states of the twentieth century.

When Nancy, in the footsteps of Derrida, deconstructs texts of an author, he researches in the most meticulous way what the author writes, but also and especially, what he or she doesn’t write, where his or her thinking halts or recoils to think a problem through. He looks for the place where thinking stumbles. Out of this slip, Nancy tries to make clear the next step the author wanted to take/should have taken in order to think his or her problem but nevertheless didn’t.

4. Community

In La communauté désoeuvrée, Nancy applies this deconstruction to the cry for the restoration of a transparent, small-scale community, a ‘Gemeinschaft’ that might liberate us from the ‘alienation’ in modern society, the ‘Gesellschaft’. Nancy’s thesis is that at the core of western political thinking, there is a longing for an ‘original community’. It is the longing for an immediate being together, out of the idea that we once lived in a harmonious and intimate community, but that this harmony has declined throughout history. The modern society, the Gesellschaft, stands for the opposite of the warm and cosy pre-modern community, the Gemeinschaft. According to this line of thinking, we live now in an anonymous society full of selfish individuals and the close communal ties are no more than memories. This leads not only to the disintegration of society, but also to violence, the decline of norms and values, and so forth. The only solution to fight disintegration is to turn back to the period where the communal ties were present, or to strive for a future community where the former ties are restored.

This historic-philosophical scheme is not only used by a large number of philosophers or social and political thinkers, it is also a central theme within western society and culture in general. According to Nancy:

The lost or broken community can be exemplified in all kinds of ways and by all kinds of paradigms: the natural family, the Athenian city, the Roman Republic, the first Christian community, corporations, communes, or brotherhoods—always it is a matter of a lost age in which community was tight and bound to harmonious bonds in which above all it played back to itself, through its institutions, its rituals, and its symbols, the representation, indeed the living offering, of its own immanent unity, intimacy and autonomy’ (The Inoperative Community, p. 9).

Nancy is thinking largely of the period of the German romantics, of Jean-Jacques Rousseau who left us a mythical natural community as a counterpoint to modern society, but the target of his analysis is also of contemporary communitarianisms, like Alasdair MacIntyre, who speak of the need for a return to pre-modern communities. The nostalgic thought that the past or the old days were better, that we have lost something that was present in the past, is a recognizable paradigm within our everyday life. This nostalgia is not only present in the programs of conservative political parties. A quick look at the commercials from various mediums (especially television) shows us that a lot of products are pretending to give us back a ‘natural’ biological condition of hair colour, for example. Also, in everyday life, people consistently voice their frustrations with the ‘lawless and wild youths’ who have alienated themselves from the community that they were born in.

It is, of course, remarkable that every generation seems to go back to the same criticism again and again. Therefore, Nancy says, the longing for an original community is not a reference to a real period in our history. It is rather a mythical thought, an imaginary picture of our past. As such, this nostalgic imagination is innocent, but when it becomes the starting point for a politics of community, the innocence disappears. We should become suspicious, Nancy says, of the retrospective consciousness of the lost community and its identity:

‘whether this consciousness conceives of itself as effectively retrospective or whether, disregarding the realities of the past, it constructs images of this past for the sake of an ideal or prospective vision. We should be suspicious of this consciousness first of all because it seems to have accompanied the Western world from its very beginnings: at every moment in history, the Occident has rendered itself to the nostalgia for a more archaic community that has disappeared, and to deploring a loss of familiarity, fraternity and conviviality. Our history begins with the departure of Ulysses and with the onset of rivalry, dissension, and conspiracy in his palace. Around Penelope, who reweaves the fabric of intimacy without ever managing to complete it, pretenders set up the warring and political scene of society—pure exteriority’ (The Inoperative Community, p. 10).

Let us take a contemporary example. The harmonic community of which MacIntyre speaks, is a community of common norms and values, shared by people with the same identity and background, otherwise the community wouldn’t be harmonic anymore. If we take this moral inclination for a community of people with the same identity as a political longing, one is not that far removed from the logic of many nationalisms that are still present in Western Europe today. Of course, the intentions are manifestly different but the international political scene shows that the longing for a pure social identity can still lead to violent conflicts. The Balkan wars of the nineties, which erupted one by one, are a sad example of that. Whatever the motives of these wars, the belonging to an ethnic group has been the criterion in making the difference between good and evil, between us and them, between authentic Serbs or real Croats and others. What was sought after was a pure and undivided social identity, no longer soiled by the stains of other blood.

In other and fortunately less violent contexts, it is a certain culture of shared values and norms which delivers the foundations for social identity. Flemish people are defined as different from Dutch people, although they are neighbours, speak the same language and have almost everything in common. Another example is the current ‘migration problem’: there is often a suspicion on behalf of citizens around the world that the values of groups of immigrants might threaten the identity of a region and thereby affect the social solidarity. The fear in Western Europe, and elsewhere, seems to be that any influx of foreigners might change public life so dramatically that our ‘own’ former identity would be in danger. Symbols like the headscarf of Muslim females, for example, play an important role in that debate and are at the basis of hot political discussions on the identity and the values of many European nations.

a. Immanentism

Nancy summarises the communal desire for a closed and undivided social identity with his concept of immanentism. The French word ‘immanence’ means to be fully present with oneself, to be closed upon oneself. In La communauté désoeuvrée, immanentism is the concept by which Nancy describes the horizon of our attitudes towards identity and community. He points at two examples. On the one hand, he is thinking of the way that communities, nations or ethnics try to protect their identity from the influences of others, so that they are united around their undivided selfhood, culture or values. On the other hand, immanentism is also present in the way that the former socialist regimes in Eastern Europe understood the communist form of constitution as the final destination of humanity. There too, you can discover a desire for the annihilation of social alienation and for an immediate and transparent being together. The ultimate goal of human acting is to reach the transparent communist way of life. Once that goal has been realised, the idea is that all alienation of the capitalist way of life would disappear and society would finally be harmoniously present with itself.

With its detailed articulation of this political and philosophical paradigm of thinking, intertwined with a commentary on Bataille, Nancy’s La communauté désoeuvrée obtained international fame. Nevertheless, he never elaborated a theory of community, just like he has not done so with the other main themes from his work. Far more often, he launches a few theses, offers fragments and traces of thinking, which he then develops further in later texts. This fragmentary character of his work sometimes makes it difficult to come to grips with, but on the other hand, you get in every book or text a lot of new perspectives and stimulating insights on contemporary political, philosophical and ontological problems.

b. Heidegger and being-with

Besides his enduring preoccupation with the work of classic philosophers like Kant, Hegel and Nietzsche, Nancy’s thought concentrates primarily on a reorientation of the work of Martin Heidegger, especially since his ‘doctorat d’état’ in 1987. Not that Nancy’s work is just a comment on Heidegger. In The Experience of Freedom for example, Nancy’s study of the notion of freedom within Heidegger’s work, is not only a discussion of Heidegger, but also of Kant, Schelling and Sartre. Nancy is looking for a sort of ‘non-subjective’ freedom, a concept of freedom that tries to think the existential ground from which every freedom (thought as a property of the individual or a collectivity) starts from. Freedom, instead of being seen as the classical ‘liberum arbitrium’ or the subjectivistic free will, lies in the being thrown into the world, and into existence. As Heidegger does, Nancy accentuates the fact that freedom in Kant’s work is a sort of unconditional causality. In ‘the second analogy of the experience’ of the Kritik der reinen Vernunft (The Critique of Pure Reason), Kant argues that the specific form of causality that human freedom is—the subject acts ‘spontaneously’—means that the subject must withdraw itself out of time, to not be determined by empirical causality. Therefore, as in Heidegger’s Vom Wesen der menschlichen Freiheit, Nancy determines Kantian freedom as a autopositional freedom, the freedom of a subject who ‘forgets’ that it is always already thrown into existence, even before it can decide to be free. So, one has to think freedom from its existential ground, its finite being. As long as one thinks freedom as the property of an ‘infinite’ subject, every form of finite being will appear a kind of heteronomy, as a restraint of my freedom’. My freedom, says Nancy, does not end where that of the other starts, but the existence of the other is the necessary condition to be free. There is no freedom without the presupposition of our being-in-the-world, and of our being thrown into the existence. That is why Heidegger’s work is interesting, because he was the first to think the existential condition, the being of the freedom through.

Nancy’s interest in Heidegger’s work also has something to do with the question of community, the question of being-with (Mitsein) in Heidegger’s words. Especially in his book Être singulier pluriel (Being Singular Plural), written in 1996, Nancy focuses upon that. This book, together with Une pensée finie from 1990 and Le sens du monde from 1993, is one of the most important texts in Nancy’s work during the nineties and of his work in general.

In Être singulier pluriel, Nancy deals with the question how we can still speak of a ‘we’ or of a plurality, without transforming this ‘we’ into a substantial and exclusive identity. What are the conditions to speak of a ‘we’ today? From Heidegger, Nancy learnt that our being in the world with others determines us, before we can speak of a division between and individual and a community. We are always already thrown into the world, but this contingent positioning can never be the basis to speak of a natural or original community. Contrary to Aristotle or Plato, we can no longer fall back on a fixed metaphysical or natural (phusis) ground. Neither is the world an entity created by God, wherein we occupy a well-defined place. The modern philosophical order, especially since Nietzsche, has finished with there ‘truths’. Once community or being-together is no longer a ‘natural’ fact wherein I’m originally dwelling, community becomes a capital question for modern political philosophy. Also, in our time the problem of community is confronted with the further question: how to understand community when it is no longer given to us as a gift of God, or as a harmonic being-together and identification with our ‘own’ people?

To Nancy, Heidegger is the philosopher who handles this question in a quite ambiguous way and that makes him controversial, still today. Everyone who drops the name Heidegger in philosophical circles, knows of the controversy he still evokes. More than is the case with, for example, Maurice Blanchot, Heidegger’s extreme right sympathies are still the cause of hot polemics, certainly when one, as Nancy does explicitly, touches the ethical and political terrains. Nancy does not deny this ambiguity. On the contrary, he takes it as the starting point of his reorientation of Heidegger. On the one hand, Nancy argues that Heidegger makes it clear, in the most radical way, that every human being (Dasein as he calls it) is always being opened unto a world. Being in the world is being with others, and this being-with is an essential trait—if one can still speak of essence; rather it is the unsubstantial essence, the being of every being-there. So, being-there is being-with, to exist is to coexist.

According to Nancy, there is no more radicalised point of view to think community in a modern, contingent way. We are always being-with, but this being-with is no longer a substantial being-together out of a shared trait, identity of race. On the other hand, he realises very well that Heidegger is the author who at a certain moment speaks of a true German community and leaves behind the openness and radical point of view he himself had postulated. Only this community, so Heidegger says in his famous rectoral speech, can lead to a proper existence. Heidegger was convinced the national-socialist movement would guarantee a collective escape from an improper existence. How this had to happen in a concrete way, Heidegger seemingly didn’t know when he wrote Being and Time. He left his readers in a state of uncertainty, but this uncertainty didn’t stop him from partaking in a horrible political regime, from connecting his thought to the national-socialist movement and from identifying himself with one of the most murderous political regimes ever.

It seems quite preposterous that an author like Nancy who announces the end of every immanent community, appeals to a philosopher who puts forward a true German community. How can Nancy, who explicitly writes against all nostalgia for provincialism, refer to Heidegger who withdrew into his hut in Todtnauberg?

As already said, Nancy’s attitude towards Heidegger is twofold, and he also makes this clear in his text ‘La decision d’existence’ (published in Une pensée finie). On the one hand, he is inspired by Heidegger’s articulation of being-with. On the other hand, he wants to question fundamentally every claim that Heidegger makes regarding a proper or original community. Out of Nancy’s analysis in Être singulier pluriel it becomes clear that this is exactly the obstacle in Heidegger’s philosophical reflection on being-with, and in the contemporary philosophical and ethical complaint of a lost community (although one cannot compare the two in many points). In this respect, think again of the important role that the communitarians are playing nowadays, with very influential authors like Charles Taylor, Michael Sandel and Alasdair MacIntyre.

In his interest in Heidegger, Nancy is touching the problem of community at its deepest core. Heidegger’s ambiguity is a signal for him to develop the ‘with’, the constitutive relationality of being-there, and to radicalise it in what he calls an analysis of the coexistential. This is a fundamental analysis of the way that we stand to each other and to the world and how this can be the basis for a thinking of community. This, and the attempt to think community in a radical way as being-with, gets its start in Heidegger’s Being and Time but is, according to Nancy, largely insufficient.

5. Ontology

a. Globalization

The theme of community is one of the main and most interesting threads throughout Nancy’s work, but there are numerous other themes and questions in his work. Nancy is not only very familiar with a large part of the history of philosophy (see his books on Kant, Descartes, Hegel, and so forth), but he also discusses in his work political themes like justice, sovereignty and freedom, and how they may apply in our increasingly global world. He always maintains a very singular voice and perspective. Take for example the contemporary debate on globalization. In 1993, Nancy wrote his book Le sens du monde in which he searched for what we mean when we say that we are living in a world, or in one world; about what we mean when we say that the sense of the world is no longer situated above but within the world. The world, the existence, that is our radical responsibility he says, but by this doesn’t mean that we are always responsible for everything and everyone. He wants to make clear that the political, juridical or moral responsibility in concrete situations is based on a preceding ontological responsibility. From the moment that the measure for our responsibility is no longer given by a metaphysical or divine order, we are living in a world where we are exposed to a naked existence, without the possibility to fall back upon a preceding fundamental cause of the world. For Nancy, the contingency of our naked existence is not in the first place a moral problem. It is an ontological question. Whereas in a feudal world the meaning and destination of life was clear and fixed, contemporary existence can no longer refer to a general metaphysical framework. Nothing other than this contingency is the challenge for our global existence today, says Nancy. It is indeed the case that today we are confronted with a lot of uncertainties and that we are thrown into many complex situations, but it is not certain at all whether that is something we should complain about.

For Nancy, becoming-worldly means, in the first place, responding to the demands of our time. He asks what it means when we think today that we are living in a world. Becoming-worldwide is in a radical way being exposed to sense, to the world as such. The ‘sense of the world’ is in no way still given by a creator. What is left as a horizon is that the world, and only the world, is there. Sense is not so much something that we, as secularised successors to God, ascribe to the world. This would only confirm the idea that the world stands for a lack of sense, or for an ‘object’ to which sense is given from outside by a ‘subject’. Thus Nancy says we have to think ‘world’ as beings who are always already in the world. There is nothing new about that and yet, he does not stop telling us. It seems so evident, almost banal, and this banality is what counts today. There’s nothing hidden anymore behind the question of the world. We have to confront ourselves with this nothing, with this ex nihilo of the world. This ontology, this logic of the ontos, is what Nancy wants us to deal with, as he makes clear in one of his most recent books La création du monde ou la mondialisation.

b. Deconstructing Christianity

Thinking through the problem of globalisation means for Nancy at the same time deconstructing Christianity. Of course, a deconstruction of Christianity is different from a mere criticism of Christianity. It is the question of whether atheism is the antipode of religion, or if religion has a sort of auto-critical gesture towards itself. We ‘moderns’ love to say that we are no longer Christians, but maybe the Christian aspects of our existence are so evident that we are no longer conscious of them. Take for example the question whether our existence has a meaning. The thought that existence has indeed a meaning and that this meaning is attached to existence by some self constituting thing—whether it is a God or a subject—is present in atheism as much as in Christianity. Also the nihilistic claim that existence is meaningless starts from this idea.

Nancy therefore tries to think ‘the sense of the world’ out of the transcendental conditions of our existence. An atheist’s world is a world in which sense is no longer attached to the world, but where it is the condition of our being-in-the-world as such. The world does not have sense, it is sense, and this naked existence means that we have to exist in the sense that we are, and can no longer hide behind some or another presupposed meaning of life. We are exposed to the world and to ourselves, and that is the sense of existence.

At first sight, Nancy seems to limit himself to a sort of affirmation of the status quo of the world as it is, and it seems that he affirms the common idea that since the collapse of the former socialist states we would live in an accomplished humanity. It seems, especially, that we cannot disagree on the ‘good’ of some matters: there are human rights, individual liberties and humanitarian missions of the UN to keep guard over this moral world order, and so forth. Nancy’s thesis is nothing but the questioning of that very idea, and it seems to me that the work of Nancy in general becomes interesting when it is used as a hyperbolic questioning of that sort of philosophical or political correctness.

6. Sovereignty

As much as in his earlier work like L’oubli de la philosophie in 1986 as in many other texts like Changement de monde in 1998, Nancy questions in a very singular way the evidences and rhetorics of our time. That certainly does not mean that he is only a social or political philosopher. If philosophy has to be engaged today, he says, it has in the first place the task to philosophize. Let’s take one example to make that clear.

One sees that with an ever growing number of missions the UN continually tries, with or without success, to quench potential hotspots here and there, and thus to maintain the order in and of the world. By means of humanitarian interventions one wants to apply international law in places where it is violated. These interventions seem to indicate that there is no longer any sovereignty. There is no longer a declaration of war from one sovereign to another, but an application of international law in the name of humanity in general. There are nevertheless, Nancy analyses, a number of signs or symptoms that seem to show that sovereignty is still playing a part in contemporary politics, albeit in a subdued, private manner. This reluctance to talk about sovereignty on the one hand, and the full use of its symbolic values on the other, were the motivations for Nancy to write a text about the Gulf War. In it, he examined what part sovereignty can still play in contemporary political and social thinking. The waning role of sovereignty in the West, and its subdued return in the Gulf War, is a given which he consciously wants to confront rather than forget. For his analysis, Nancy was inspired by what Carl Schmitt made clear with the slogan: one who says humanity, wants to cheat. Even if a state pretends to make war in the name of humanity, it takes over a universal concept to use it polemically against its opponent, its enemy. A world which is becoming worldwide tends to, explains Schmitt, criminalize its enemies. It no longer suffices to put the enemy back behind his borders. One goes looking for him in his own national territory and disqualifies him in a moral way. He becomes literally inhuman: he falls out of the moral human order, he is an illegal combatant, as the U.S. government called the Taliban prisoners.

7. Art and Culture

Finally I want to point to the fact that Nancy is also a very influential philosopher of art and culture. Already in 1978 he published with Lacoue-Labarthe a book on the Jena-romantics of the Schlegel brothers. The book is called L’absolu littéraire (translated as The Literary Absolute in 1987) and sets up a large discussion of the Jena romantiek, the German ‘Frühromantik’: the place and the group of the brothers August Wilhelm and Friedrich Schlegel (and partially also Novalis and Schelling). This study focuses on the review Athenaeum published by the brothers Schlegel at Jena, who thereafter founded a literary circle. Lacoue-Labarthe and Nancy focus on the question of literature realising and fulfilling itself as a work, an œuvre as it is called in the French language: the writer produces himself in the literary work he writes so that he, as the subject, the support of this work, becomes himself an œuvre, a self-productive individual. L’absolu littéraire points at the fact that a lot of these romantic themes still play a substantial role in our modern society.

Besides his interest for literature, film, theatre and poetry, Nancy also writes many contributions in art catalogues, especially in relation to contemporary art. At various different times, Nancy also exhibited some of his own work together with the French artist François Martin, and he has also written a few poems and theatre texts. One can read his philosophical reflections on the statute of art in general, in the book Les Muses, published in 1994 (translated as The Muses in 1996). In it, Hegel’s thesis of the death of art takes a central place. There is also a text from a lecture from 1992 at the Louvre museum in Paris on the painting ‘The death of the virgin’ by the Italian painter Caravaggio. This text was already published in 1993, in a number of Paragraph, fully dedicated to Nancy’s work. From Caravaggio’s painting, Nancy is looking for another conception of painting. The painting is not a representation of the empirical world—understood in the platonic, metaphysical way—but a presentation of world, of sense, of existence:

‘From the inside of (the)painting to the outside of (the) painting, there is nothing, no passage. There is painting, there is us, indistinctly, distinctly. Here, (the) painting is our access to the fact that we do not accede—either to the inside or to the outside of ourselves. Thus we exist. This [Caravaggio’s] painting paints the threshold of existence. In these conditions, to paint does not mean to represent, but simply to pose the ground, the texture, and the pigment of the threshold’ (in Kamuf P. (ed.), Paragraph, 1993, p. 115)

In 2001, Nancy published The Evidence of Film, a book on the Iranian filmmaker Abbas Kiarostami. In it, he writes that:

‘Cinema presents—that is to say shares (communicates)—the intensity of a look upon a world of which it is itself part and parcel (a film properly speaking and as video, as television, but also as photography and as music: these motives will come up again). It is part of it precisely in the sense that it has contributed to its structure as it is now: as a world where looking at what is real is resolutely substituting for every kind of visionary seeing, foreseeing and clairvoyant gazing. […] Clearly, films turn out (with photography, of course, and starting with it: Kiarostami never forgets this, and this will have to be discussed) to be something very different from a relatively new support for received ways of experience (stories or feelings, myth or dream, etc.). Well beyond the medium that it also is, cinema adds up an element: the element of looking and of what is real insofar as it is looked at. All in one, film is ubiquitous, it can take in everything, from one far end of the earth to the other …’ (The Evidence of Film, p. 20).

Nancy also wrote numerous texts on art in several international journals. Texts on Baudelaire, the relation between image and violence, the problem of representation in art, the statute of literature, on Hölderlin, on contemporary artists On Kawara and Soun-gui and even on techno-music. It seems that nothing is unfamiliar with the philosopher Nancy.

8. References and Further Reading

Major works of Nancy:

  • La Remarque spéculative (Un bon mot de Hegel), Paris, Galilée, 1973.
  • La titre de la lettre, Paris, Galilée, 1973 (with Philippe Lacoue-Labarthe)
  • Le Discours de la syncope. I. Logodaedalus, Paris, Flammarion, 1975.
  • L’absolu littéraire. Théorie de la littérature du romantisme allemand, Paris, Seuil, 1978 (with Philippe Lacoue-Labarthe).
  • Ego sum, Paris, Flammarion, 1979.
  • Le partage des voix, Paris, Galilée, 1982.
  • La communauté désoeuvrée, Paris, Christian Bourgois, 1983.
  • L’Impératif catégorique, Paris, Flammarion, 1983.
  • L’oubli de la philosophie, Paris, Galilée, 1986.
  • Des lieux divins, Mauvezin, T.E.R, 1987.
  • L’expérience de la liberté, Paris, Galilée, 1988.
  • Une Pensée Finie, Paris, Galilée, 1990.
  • Le poids d’une pensée, Québec, Le griffon d’argile, 1991.
  • Le mythe nazi, La tour d’Aigues, L’Aube, 1991 (with Philippe Lacoue-Labarthe)
  • La comparution (politique à venir), Paris, Bourgois, 1991 (with Jean-Chrisophe Bailly).
  • Corpus, Paris, Métailié, 1992.
  • The birth to presence, Stanford, Stanford University Press, 1993.
  • Les Muses, Paris, Galilée, 1994.
  • Être singulier pluriel, Paris, Galilée, 1996.
  • Hegel. L’inquiétude du négatif, Paris, Hachette, 1997.
  • L’Intrus, Paris, Galilée, 2000.
  • Le regard du portrait, Paris, Galilée, 2000.
  • La pensée dérobée. Paris, Galilée, 2001.
  • The evidence of film. Bruxelles, Yves Gevaert, 2001.
  • La création du monde ou la mondialisation. Paris, Galilée, 2002.

English translations: almost all of Nancy’s major works are translated into English:

  • The Inoperative Community (1991). Minneapolis: University of Minnesota Press.
  • The Birth to Presence (1993): Stanford University Press.
  • The Experience of Freedom (1993). Stanford University Press.
  • The Gravity of Thought (1997). New Jersey: Humanities Press.
  • Retreating the Political (1997). With Lacoue-Labarthe (edited by Simon Sparks). London: Routledge.
  • The Sense of the World (1998). Minneapolis: University of Minnesota Press.
  • Being Singular Plural (2000). Stanford University Press

Secondary bibliography

  • Bernasconi R., On deconstructing nostalgia for community within the West: the debate between Nancy and Blanchot, Research in Phenomenology, 23, 3-21, 1993.
  • Derrida J., Le Toucher, Jean-Luc Nancy, Paris, Galilée, 2000.
  • Devisch I., A trembling voice in the desert. Jean-Luc Nancy’s re-thinking of the space of the political, Cultural Values, 4(2), 239-255, 2000.
  • Devisch I, La «Négativité Sans Emploi». SymposiumIV(2):167-87, 2000.
  • Devisch I, ‘Wij. Jean-Luc Nancy en het vraagstuk van de gemeenschap’ (Uitgeverij Peeters, Leuven, 2003, forthcoming)
  • Dow K., Ex-posing identity: Derrida and Nancy on the (im) possibility. Philosophy and Social Criticism, 19 (3-4), 261-271, 1993.
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Author Information

Ignaas Devisch
Email: ignaasdevisch@tiscalinet.be
Free University Brussels
Belgium

Nagarjuna (c. 150—c. 250)

NagarjunaOften referred to as “the second Buddha” by Tibetan and East Asian Mahayana (Great Vehicle) traditions of Buddhism, Nagarjuna offered sharp criticisms of Brahminical and Buddhist substantialist philosophy, theory of knowledge, and approaches to practice. Nagarjuna’s philosophy represents something of a watershed not only in the history of Indian philosophy but in the history of philosophy as a whole, as it calls into questions certain philosophical assumptions so easily resorted to in our attempt to understand the world.  Among these assumptions are the existence of stable substances, the linear and one-directional movement of causation, the atomic individuality of persons, the belief in a fixed identity or selfhood, and the strict separations between good and bad conduct and the blessed and fettered life.  All such assumptions are called into fundamental question by Nagarjuna’s unique perspective which is grounded in the insight of emptiness (sunyata), a concept which does not mean “non-existence” or “nihility” (abhava), but rather the lack of autonomous existence (nihsvabhava).  Denial of autonomy according to Nagarjuna does not leave us with a sense of metaphysical or existential privation, a loss of some hoped-for independence and freedom, but instead offers us a sense of liberation through demonstrating the interconnectedness of all things, including human beings and the manner in which human life unfolds in the natural and social worlds.  Nagarjuna’s central concept of the “emptiness (sunyata) of all things (dharmas),” which pointed to the incessantly changing and so never fixed nature of all phenomena, served as much as the terminological prop of subsequent Buddhist philosophical thinking as the vexation of opposed Vedic systems. The concept had fundamental implications for Indian philosophical models of causation, substance ontology, epistemology, conceptualizations of language, ethics and theories of world-liberating salvation, and the concept proved seminal even for Buddhist philosophies in India, Tibet, China and Japan very different from Nagarjuna’s own. Indeed it would not be an overstatement to say that Nagarjuna’s innovative concept of emptiness, though it was hermeneutically appropriated in many different ways by subsequent philosophers in both South and East Asia, was to profoundly influence the character of Buddhist thought.

Table of Contents

  1. Nagarjuna’s Life, Legend and Works
  2. Nagarjuna’s Skeptical Method and its Targets
  3. Against Worldly and Ultimate Substantialism
  4. Against Proof
  5. The New Buddhist Space and Mission
  6. References and Further Reading

1. Nagarjuna’s Life, Legend and Works

Precious little is known about the actual life of the historical Nagarjuna. The two most extensive biographies of Nagarjuna, one in Chinese and the other in Tibetan, were written many centuries after his life and incorporate much lively but historically unreliable material which sometimes reaches mythic proportions. However, from the sketches of historical detail and the legend meant to be pedagogical in nature, combined with the texts reasonably attributed to him, some sense may be gained of his place in the Indian Buddhist and philosophical traditions.

Nagarjuna was born a “Hindu,” which in his time connoted religious allegiance to the Vedas, probably into an upper-caste Brahmin family and probably in the southern Andhra region of India. The dates of his life are just as amorphous, but two texts which may well have been authored by him offer some help. These are in the form of epistles and were addressed to the historical king of the northern Satvahana dynasty Gautamiputra Satakarni (ruled c. 166-196 CE), whose steadfast Brahminical patronage, constant battles against powerful northern Shaka Satrap rulers and whose ambitious but ultimately unsuccessful attempts at expansion seem to indicate that he could not manage to follow Nagarjuna’s advice to adopt Buddhist pacifism and maintain a peaceful realm. At any rate, the imperial correspondence would place the significant years of Nagarjuna’s life sometime between 150 and 200 CE. Tibetan sources then may well be basically accurate in portraying Nagarjuna’s emigration from Andhra to study Buddhism at Nalanda in present-day Bihar, the future site of the greatest Buddhist monastery of scholastic learning in that tradition’s proud history in India. This emigration to the north perhaps followed the path of the Shaka kings themselves. In the vibrant intellectual life of a not very tranquil north India then, Nagarjuna came into his own as a philosopher.

The occasion for Nagarjuna’s “conversion” to Buddhism is uncertain. According to the Tibetan account, it had been predicted that Nagarjuna would die at an early age, so his parents decided to head off this terrible fate by entering him in the Buddhist order, after which his health promptly improved. He then moved to the north and began his tutelage. The other, more colorful Chinese legend, portrays a devilish young adolescent using magical yogic powers to sneak, with a few friends, into the king’s harem and seduce his mistresses. Nagarjuna was able to escape when they were detected, but his friends were all apprehended and executed, and, realizing what a precarious business the pursuit of desires was, Nagarjuna renounced the world and sought enlightenment. After having been converted, Nagarjuna’s adroitness at magic and meditation earned him an invitation to the bottom of the ocean, the home of the serpent kingdom. While there, the prodigy initiate “discovered” the “wisdom literature” of the Buddhist tradition, known as the Prajnaparamita Sutras, and on the credit of his great merit, returned them to the world, and thereafter was known by the name Nagarjuna, the “noble serpent.”

Despite the tradition’s insistence that immersion into the scriptural texts of the competing movements of classical Theravada and emerging “Great Vehicle” (Mahayana) Buddhism was what spurred Nagarjuna’s writings, there is rare extended reference to the early and voluminous classical Buddhist sutras and to the Mahayana texts which were then being composed in Nagarjuna’s own language of choice, Sanskrit. It is much more likely that Nagarjuna thrived on the exciting new scholastic philosophical debates that were spreading throughout north India among and between Brahminical and Buddhist thinkers. Buddhism by this time had perhaps the oldest competing systematic worldview on the scene, but by then Vedic schools such as Samkhya, which divided the cosmos into spiritual and material entities, Yoga, the discipline of meditation, and Vaisesika, or atomism were probably well-established. But new and exciting things were happening in the debate halls. A new Vedic school of Logic (Nyaya) was making its literary debut, positing an elaborate realism which categorized the types of basic knowable things in the world, formulated a theory of knowledge which was to serve as the basis for all claims to truth, and drew out a full-blown theory of correct and fallacious logical argumentation. Alongside it, within the Buddhist camp, sects of metaphysicians emerged with their own doctrines of atomism and fundamental categories of substance. Nagarjuna was to undertake a forceful engagement of both these new Brahminical and Buddhist movements, an intellectual endeavor till then unheard of.

Nagarjuna saw in the concept sunya, a concept which connoted in the early Pali Buddhist literature the lack of a stable, inherent existence in persons, but which since the third century BCE had also denoted the newly formulated number “zero,” the interpretive key to the heart of Buddhist teaching, and the undoing of all the metaphysical schools of philosophy which were at the time flourishing around him. Indeed, Nagarjuna’s philosophy can be seen as an attempt to deconstruct all systems of thought which analyzed the world in terms of fixed substances and essences. Things in fact lack essence, according to Nagarjuna, they have no fixed nature, and indeed it is only because of this lack of essential, immutable being that change is possible, that one thing can transform into another. Each thing can only have its existence through its lack (sunyata) of inherent, eternal essence. With this new concept of “emptiness,” “voidness,” “lack” of essence, “zeroness,” this somewhat unlikely prodigy was to help mold the vocabulary and character of Buddhist thought forever.

Armed with the notion of the “emptiness” of all things, Nagarjuna built his literary corpus. While argument still persists over which of the texts bearing his name can be reliably attributed to Nagarjuna, a general agreement seems to have been reached in the scholarly literature. Since it is not known in what chronological order his writings were produced, the best that can be done is to arrange them thematically according to works on Buddhist topics, Brahminical topics and finally ethics Addressing the schools of what he considered metaphysically wayward Buddhism, Nagarjuna wrote Fundamental Verses on the Middle Way (Mulamadhyamakakarika), and then, in order to further refine his newly coined and revolutionary concept, the Seventy Verses on Emptiness (Sunyatasaptati), followed by a treatise on Buddhist philosophical method, the Sixty Verses on Reasoning (Yuktisastika).. Included in the works addressed to Buddhists may have been a further treatise on the shared empirical world and its establishment through social custom, called Proof of Convention (Vyavaharasiddhi), though save for a few cited verses, this is lost to us, as well as an instructional book on practice, cited by one Indian and a number of Chinese commentators, the Preparation for Enlightenment (Bodhisambaraka). Finally is a didactic work on the causal theory of Buddhism, the Constituents of Dependent Arising (Pratityasumutpadahrdaya). Next came a series of works on philosophical method, which for the most part were reactionary critiques of Brahminical substantialist and epistemological categories, The End of Disputes (Vigrahavyavartani) and the not-too-subtly titled Pulverizing the Categories (Vaidalyaprakarana). Finally are a pair of religious and ethical treatises addressed to the king Gautamiputra, entitled To a Good Friend (Suhrlekha) and Precious Garland (Ratnavali). Nagarjuna then was a fairly active author, addressing the most pressing philosophical issues in the Buddhism and Brahmanism of his time, and more than that, carrying his Buddhist ideas into the fields of social, ethical and political philosophy.

It is again not known precisely how long Nagarjuna lived. But the legendary story of his death once again is a tribute to his status in the Buddhist tradition. Tibetan biographies tell us that, when Gautamiputra’s successor was about to ascend to the throne, he was anxious to find a replacement as a spiritual advisor to better suit his Brahmanical preferences, and unsure of how to delicately or diplomatically deal with Nagarjuna, he forthrightly requested the sage to accommodate and show compassion for his predicament by committing suicide. Nagarjuna assented, and was decapitated with a blade of holy grass which he himself had some time previously accidentally uprooted while looking for materials for his meditation cushion. The indomitable logician could only be brought down by his own will and his own weapon. Whether true or not, this master of skeptical method would well have appreciated the irony.

2. Nagarjuna’s Skeptical Method and its Targets

At the heart of what is called skepticism is doubt, a suspension of judgment about some states of affairs or the correctness of some assertion. There are of course many things, both in the world and in the claims people make about the world, which can be doubted, questioned, rejected, or left in skeptical abeyance. But in addition to the many different things which can be doubted, there are also different ways of doubting. Doubt can be haphazard, as when a person sees another person at night and is unsure of whether that other person is his friend; it can be principled, as when a scientist refuses to take into account non-material or divine causes in a physical process she is investigating; it can be systematic, as when a philosopher doubts conventional explanations of the world, only in search of a more fundamental, all-inclusive explanation of experience, a la Socrates, Descartes or Husserl (Nagarjuna was for the most part a skeptic of this sort). It can also be all-inclusive and self-reflective, an attitude demonstrated by the Greek philosopher Pyrrho, who doubted all claims including his own claim to doubt all claims. Consequently, there are as many different kinds of skeptics as there can be found different kinds or ways of doubting. Nagarjuna was considered a skeptic in his own philosophical tradition, both by Brahmanical opponents and Buddhist readers, and this because he called into question the basic categorical presuppositions and criteria of proof assumed by almost everyone in the Indian tradition to be axiomatic. HiBut despite this skepticism, Nagarjuna did believe that doubt should not be haphazard, it requires a method. This idea that doubt should be methodical, an idea born in early Buddhism, was a revolutionary innovation for philosophy in India. Nagarjuna carries the novelty of this idea even further by suggesting that the method of doubt of choice should not even be one’s own, but rather ought to be temporarily borrowed from the very person with whom one is arguing! But in the end, Nagarjuna was convinced that such disciplined, methodical skepticism led somewhere, led namely to the ultimate wisdom which was at the core of the teachings of the Buddha.

The standard philosophical interpretation of doubt in Indian thought was explained in the Vedic school of logic (Nyaya). Gautama Aksapada, the author of the fundamental text of the Brahminical Logicians, was probably a contemporary of Nagarjuna. He formulated what by then must have been a traditional distinction between two kinds of doubt. The first kind is the haphazard doubt about an object all people experience in their everyday lives, when something is encountered in one’s environment and for various reasons mistaken for something else because of uncertainty of what precisely the object is. The stock examples used in Indian texts are seeing a rope and mistaking it as a snake, or seeing conch in the sand and mistaking it as silver. The doubt that can arise as a result of realizing one is mistaken or unsure about a particular object can be corrected by a subsequent cognition, getting a closer look at the rope for instance, or having a companion tell you the object in the sand is conch and not silver. The correcting cognition removes doubt by offering some sort of conclusive evidence about what the object in question happens to be. The other kind of doubt is roughly categorical doubt, exemplified specifically by a philosopher who may wonder about or doubt various categories of being, such as God’s existence, the types of existing physical substance or the nature of time. In order to resolve this latter kind of philosophical doubt, the preferred method of the Logicians was a formal debate. Debates provided a space wherein judges presided, established rules for argument and counter-argument, recognized logical fallacies and correct forms of inference and two interlocutors seeking truth all played their roles in the establishment of the correct position. The point is that, according to traditional Brahminical thinking, certain and correct objective knowledge of the world was possible; one could in principle know whatever one sought to know, from what that object lying in darkness is to the types of causation that operated in the world to God’s existence and will for human beings. Skepticism, though a natural attitude and a fundamental aid to human beings in both their everyday and reflective lives, can be overcome provided one arms oneself with the methods of proof supplied by common-sense logic. For Nyaya, while anything and everything can be doubted, any and every doubt can be resolved. The Brahminical Logician, the Naiyayika, is a cagey and realistic but staunch philosophical optimist.

The early Buddhists were not nearly so sure about the possibility of ultimate knowledge of the world. Indeed, the founder of the tradition, Siddhartha Gautama Sakyamuni (the “Buddha” or “awakened one”), famously refused to answer questions about such airy metaphysical ponderings like “Does the world have a beginning or not?”, “Does God exist?” and “Does the soul perish after death or not?” Convinced that human knowledge was best suited and most usefully devoted to the diagnosis and cure of human beings’ own self-destructive psychological obsessions and attachments, the Buddha compared a person convinced he could find the answers to such ultimate questions to a mortally wounded soldier on a battlefield who, dying from arrow-delivered poison, demanded to know everything about his shooter before being taken to a doctor. Ultimate knowledge cannot be attained, at least cannot be attained before the follies and frailties of human life bring one to despair. Unless human beings attain self-reflective, meditative enlightenment, ignorance will always have the upper hand over knowledge in their lives, and this is the predicament they must solve in order to alleviate their poorly understood suffering. The early traditional texts show how the Buddha developed a method for refusing to answer such questions in pursuit of ultimate, metaphysical knowledge, a method which came to be dubbed the “four error” denial (catuskoti). When asked, for example, whether the world has a beginning or not, a Buddhist should respond by denying all the logically alternative answers to the query; “No, the world does not have a beginning, it does not fail to have a beginning, it does not have and not have a beginning, nor does it neither have nor not have a beginning.” This denial is not seen to be logically defective in the sense that it violates the law of excluded middle (A cannot have both B and not-B), because this denial is more a principled refusal to answer than a counter-thesis, it is more a decision than a proposition. That is to say that one cannot object to this “four error” denial by simply saying “the world either has a beginning or it does not” because the Buddha is recommending to his followers that they should take no position on the matter (this is in modern propositional logic known as illocution). This denial was recommended because wondering about such questions was seen by the Buddha as a waste of valuable time, time that should be spent on the much more important and doable task of psychological self-mastery. The early Buddhists, unlike their Brahminical philosophical counterparts, were skeptics. But in their own view, their skepticism did not make the Buddhists pessimists, but on the contrary, optimists, for even though the human mind could not answer ultimate questions, it could diagnose and cure its own must basic maladies, and that surely was enough.

But in the intervening four to six centuries between the lives of Siddartha Gautama and Nagarjuna, Buddhists, feeling a need to explain their worldview in an ever burgeoning north Indian philosophical environment, traded in their skepticism for theory. Basic Buddhist doctrinal commitments, such as the teaching of the impermanence of all things, the Buddhist rejection of a persistent personal identity and the refusal to admit natural universals such as “treeness,” “redness” and the like, were challenged by Brahminical philosophers. How, Vedic opponents would ask, does one defend the idea that causation governs the phenomenal world while simultaneously holding that there is no measurable temporal transition from cause to effect, as the Buddhists appeared to hold? How, if the Buddhists are right in supposing that no enduring ego persists through our experienced lives, do all of my experiences and cognitions seem to be owned by me as a unitary subject? Why, if all things can be reduced to the Buddhist universe of an ever-changing flux of atoms, do stable, whole objects seem to surround me in my lived environment? Faced with these challenges, the monk-scholars enthusiastically entered into the debates in order to make the Buddhist worldview explicable. A number of prominent schools of Buddhist thought developed as a result of these exchanges, the two most notable of which were the Sarvastivada (“Universal Existence”) and Sautrantika (“True Doctrine”). In various fashions, they posited theories which depicted causal efficacy as either present in all dimensions of time or instantaneous, of personal identity being the psychological product of complex and interrelated mental states, and perhaps most importantly, of the apparently stable objects of our lived experience as being mere compounds of elementary, irreducible substances with their “own nature” (svabhava). Through the needs these schools sought to fulfill, Buddhism entered the world of philosophy, debate, thesis and verification, world-representation. The Buddhist monks became not only theoreticians, but some of the most sophisticated theoreticians in the Indian intellectual world.

Debate has raged for centuries about how to place Nagarjuna in this philosophical context. Ought he to be seen as a conservative, traditional Buddhist, defending the Buddha’s own council to avoid theory? Should he be understood as a “Great Vehicle” Buddhist, settling disputes which did not exist in traditional Buddhism at all but only comprehensible to a Mahayanist? Might he even be a radical skeptic, as his first Brahminical readers appeared to take him, who despite his own flaunting of philosophy espoused positions only a philosopher could appreciate? Nagarjuna appears to have understood himself to be a reformer, primarily a Buddhist reformer to be sure, but one suspicious that his own beloved religious tradition had been enticed, against its founder’s own advice, into the games of metaphysics and epistemology by old yet still seductive Brahminical intellectual habits. Theory was not, as the Brahmins thought, the condition of practice, and neither was it, as the Buddhists were beginning to believe, the justification of practice. Theory, in Nagarjuna’s view, was the enemy of all forms of legitimate practice, social, ethical and religious. Theory must be undone through the demonstration that its Buddhist metaphysical conclusions and the Brahminical reasoning processes which lead to them are counterfeit, of no real value to genuinely human pursuits. But in order to demonstrate such a commitment, doubt had to be methodical, just as the philosophy it was meant to undermine was methodical.

The method Nagarjuna suggested for carrying out the undoing of theory was, curiously, not a method of his own invention. He held it more pragmatic to borrow philosophical methods of reasoning, particularly those designed to expose faulty argument, to refute the claims and assumptions of his philosophical adversaries. This was the strategy of choice because, if one provisionally accepts the concepts and verification rules of the opponent, the refutation of the opponent’s position will be all the more convincing to the opponent than if one simply rejects the opponent’s system out of hand. This provisional, temporary acceptance of the opponent’s categories and methods of proof is demonstrated in how Nagarjuna employs different argumentative styles and approaches depending on whether he is writing against the Brahmins or Buddhists. However, he slightly and subtly adapts each of their respective systems to suit his own argumentative purposes.

For the Brahminical metaphysicians and epistemologists, Nagarjuna accepts the forms of logical fallacies outlined by the Logicians and assents to enter into their own debate format. But he picks a variation on a debate format which, while acknowledged as a viable form of discourse, was not most to the Nyaya liking. The standard Nyaya debate, styled vada or “truth” debate, pits two interlocutors against one another who bring to the debate opposing theses (pratijna or paksa) on a given topic, for instance a Nyaya propoenet defending the thesis that authoritative verbal testimony is an acceptable form of proof and a Buddhist proponent arguing that such testimony is not a self-standing verification but can be reduced to a kind of inference. Each of these opposed positions will then serve as the hypothesis of a logical argument to be proven or disproven, and the person who refutes the adversary’s argument and establishes his own will win the debate. However, there was a variety of this kind of standard format called by the Logicians the vitanda or “destructive” debate. In vitanda, the proponent of a thesis attempts to establish it against an opponent who merely strives to refute the proponent’s view, without establishing or even implying his own. If the opponent of the proffered thesis cannot refute it, he will lose; but he will also lose if in refuting the opponent’s thesis, he is found to be asserting or implying a counter-thesis. Now, while the Brahminical Naiyayikas considered this format good logical practice as it were for the student, they did not consider vitanda to be the ideal form of philosophical discourse, for while it could possibly expose false theses as false, it could not, indeed was not designed to, establish truth, and what good is reason or philosophical analysis if they do not or cannot pursue and attain truth?

For his own part, Nagarjuna would only assent to enter a philosophical debate as a vaitandika, committed to destroying the Brahminical proponents’ metaphysical and epistemological positions without thereby necessitating a contrapositive. In order to accomplish this, Nagarjuna armed himself with the full battery of accepted rejoinders to fallacious arguments the Logicians had long since authorized, such as infinite regress (anavastha), circularity (karanasya asiddhi) and vacuous principle (vihiyate vadah) to assail the metaphysical and epistemological positions he found problematic. It should be noted that later, very popular and influential schools of Indian Buddhist thought, namely the schools of Cognition (Vijnanavada) and Buddhist Logic (Yogacara-Sautranta) rejected this purely skeptical stance of Nagarjuna and went on to establish their own positive doctrines of consciousness and knowledge, and it was only with later, more synthetic schools of Buddhism in Tibet and East Asia where Nagarjuna’s anti-metaphysical and anti-cognitivist approaches gained sympathy. There was no doubt however that among his Vedic opponents and later Madhyamika commentators, Nagarjuna’s “refutation-only” strategy was highly provocative and sparked continued controversy. But, in his own estimation, only by employing Brahminical method against Brahminical practice could one show up Vedic society and religion for what he believed they were, authoritarian legitimations of caste society which used the myths of God, divine revelation and the soul as rationalizations, and not the justified reasons which they were purported to be.

Against Buddhist substantialism, Nagarjuna revived the Buddha’s own “four error” (catuskoti) denial, but gave to it a more definitively logical edge than the earlier practical employment of Suddhartha Gautama. Up to this point in the Indian Buddhist tradition, there had been two skeptics of note, one of them the Buddha himself and the other a third century sage named Moggaliputta-tissa, who had won several pivotal debates against a number of traditional sectarian groups at the request of the Mauryan emperor Asoka and had as a result written the first great debate manual of the tradition. While the Buddha had provided the “four error” method to discourage the advocacy of traditional metaphysical and religious positions, Moggaliputta-tissa constructed a discussion format which examined various doctrinal disputes in early Buddhism, which, in his finding, represented positions which were equally logically invalid, and therefore should not be asserted (no ca vattabhe). Perhaps inspired by this logically sharpened skeptical approach, Nagarjuna refined the “four errors” method from the strictly illocutionary and pragmatic tool it had been in early Buddhism into a logic machine that dissolved Buddhist metaphysical positions which had been growing in influence. The major schools of Buddhism had accepted by Nagarjuna’s time that things in the world must be constituted by metaphysically fundamental elements which had their own fixed essence (svabhava), for otherwise there would be no way to account for persons, natural phenomena, or the causal and karmic process which determined both. Without assuming, for instance, that people had fundamentally fixed natures, one could not say that any particular individual was undergoing suffering, and neither could one say that any particular monk who had perfected his discipline and wisdom underwent enlightenment and release from rebirth in nirvana. Without some notion of essence that is, thought Nagarjuna’s contemporaries, Buddhist claims could not make sense, and Buddhist practice could do no good, could effect no real change of the human character.

Nagarjuna’s response was to “catch” this metaphysical position of Buddhist practice in the coils of the “four errors,” demonstrating that the change Buddhism was after was only really possible if people did not have fixed essences. For if one really examines change, one finds that, according to the catuskoti, change cannot produce itself, nor can it be introduced by an extrinsic influence, nor can it result from both itself and an extrinsic influence, nor from no influence at all. All the logical alternatives of a given position are tested and flunked by the “four error” method. There are basic logical reasons why all these positions fail. It would first of all be incoherent (no papadyate) to assume that anything with a fixed nature or essence (svabhava) could change, for that change would violate its fixed nature and so destroy the original premise. In addition, we do not experience anything empirically which does not change, and so never know of (na vidyate) fixed essences in the world about us. Once again, the proponent’s method has been taken up in an ingenious way to undermine his conclusions. The rules of the philosophical game have been observed, but not in this case for earning victory, but for the purpose of showing all the players that the game had all along had been just that, merely a game which had no tenable real-life consequences.

And so, Nagarjuna has rightly merited the label of skeptic, for he undertakes the dismantling of theoretical positions wherever he finds them, and does so in a methodically logical manner. Like the skeptics of the classical Greek tradition, who thought that resolved doubt about dogmatic assertions in both philosophy and social life could lead the individual to peace of mind, however, it is not the case that for Nagarjuna skepticism leads nowhere. On the contrary, it is the very key to insight. For in the process of dismantling all metaphysical and epistemological positions, one is led to the only viable conclusion for Nagarjuna, namely that all things, concepts and persons lack a fixed essence, and this lack of a fixed essence is precisely why and how they can be amenable to change, transformation and evolution. Change is precisely why people live, die, are reborn, suffer and can be enlightened and liberated. And change is only possible if entities and the way in which we conceptualize them are void or empty (sunya) of any eternal, fixed and immutable essence. Indeed, Nagarjuna even on occasion refers to his special use of the “four error” approach as the “refuting and explaining with the method of emptying” (vigraheca vyakhyane krte sunyataya vadet) concepts and things of essence. And like all properly Buddhist methods, once this logical foil has served its purpose, it can be discarded, traded in as it were for the wisdom it has conferred. Pretense of knowledge leads to ruin, while genuine skepsis can lead human being to ultimate knowledge. Only the method of skepticism has to conform to the rules of conventional knowing, for as Nagarjuna famously asserts: “Without depending on convention, the ultimate truth cannot be taught, and if the ultimate truth is not attained, nirvana will not be attained.”

3. Against Worldly and Ultimate Substantialism

By Nagarjuna’s lifetime, scholastic Buddhism had become much more than merely an institution which charged itself with the handing on of received scripture, tradition and council-established orthodoxy; it had grown into a highly variegated, inwardly and outwardly engaged set of philosophical positions. These schools took it upon themselves not merely to represent Buddhist teaching or make the benefits of its practice available, but also to explain Buddhism, to make it not only a reasonable philosophical discourse, but the most supremely reasonable of them all. The ultimate goal of life, liberation from rebirth, though in general shared by all soteriologies in Brahmanism, Jainism and Buddhism, was represented uniquely by Buddhists as the pacification of all psychological attachments through the extinguishing (nirvana) of desires, which would lead to a consequent extinguishing of karma and the prevention of rebirth. One particularly unique doctrine of Buddhism in its attempt to thematize these issues was the theory of no-self or no-soul (anatman) and what implications it carried. In the empirical sense, the idea of no-self meant that not only persons, but also what are normally considered the stable substances of nature are not in fact fixed and continuous, that everything from one’s sense of personal identity to the forms of objects could be analyzed away, as it were, into the atomic parts which were their bases. In the ultimate metaphysical sense, it meant that no one, upon release from rebirth, will live eternally as a spiritual, self-conscious entity (atman), but that the series of births caused by inherited karma will simply terminate, reducing, as its cash-value, the total amount of suffering in the world. These theories prompted sharp and deep questions and criticisms, such as, “if the things and persons of the world are nothing more than atoms in constant flux, how can a person have an orderly experience of a world of apparent substances?”, “if there is no enduring identity or self, who is it that practices Buddhism and is liberated?”, and “how should we account for the differences between enlightened beings like the Buddha and unenlightened ones, like ourselves?” Answering such questions intelligibly for the inquiring minds of the philosophical community were a number of distinct schools which came collectively to be known as schools involved with the “analysis of elements” (abhidharma). Nagarjuna received his philosophical training in the texts, vocabulary and debates of the Abhidharmikas.

The two most prevalent schools of Abhidharma were the school of “Universal Existence” (Sarvastivada) and the “True Doctrine” school (Sautrantika). These schools held in common a theory of substantialism which served as an explanation to both worldly and ultimate metaphysical questions. This theory of substantialism, formulated in slightly different ways by each school, had two fundamental linchpins. The first was a theory of causality, or the strict necessity of one event following from another event. The theory of causal necessity was essential for all Buddhist thought, for Gautama Siddhartha himself had firmly asserted that all suffering or psychological pain had a distinct cause, namely attachment or desire (tanha), and the key to removing suffering from one’s life and attaining the “tranquility of mind” or contentment (upeksa) of nirvana was to cut out its causal condition. Suffering was brought about by a definite cause, but that cause is contingent upon the human behaviors and practices of any given individual, and if attachment could be exorcized from these behaviors and practices, then the individual could live a life which would no longer experience impermanence and loss as painful, but accept the world for what it in fact is. Buddhist theory and practice had always been based on the notion that, not just psychological attachment, but all phenomena are causally interdependent, that all things and events which come to pass in the world arise out of a causal chain (pratityasamutpada). Buddhism is inconceivable without this causal theory, for it opens the door to the diagnosis and removal of suffering. For the Universal Existence and True Doctrine schools however, the second linchpin was a theory of fundamental elements, a theory which had to follow from any coherent causal theory. Causes, their philosophical exponents figured, are not merely arbitrary, but are regular and predictable, and their regularity must be due to the fact the things or phenomena have fixed natures of their own (svabhava), which determine and limit the kinds of causal powers they can and cannot exert on other things. Water, for example, can quench thirst and fire can burn other things, but water cannot cause a fire, just as fire cannot quench thirst. The pattern and limits of particular causal powers and their effects are therefore rooted in what kind of a thing a thing happens to be; its nature defines what it can and can’t do to other things. Now in their theoretical models, causal efficacy was contained not in any whole, unified object, but rather in the parts, qualities and atomic elements of which any object happened to be constituted, so in their formulation, it was not fire which burnt but the heat produced by its fire molecules, and it was not water which quenched thirst but the correspondence of its molecules to the receptivity of molecules in the body. Indeed, fire in these systems was only fire because of its molecular qualities, and the same with water. But these qualities, molecules and elements had fixed natures, and thus could emit or receive certain causal powers and not others.

The basic difference between the Universal Existence and True Doctrine schools in their advocacy of both Buddhist causal and fundamental elements theories were their respective descriptions of how such causes operated. For the Universal Existence school, the effect of a cause was already inherent in the nature of the cause (satkaryavada). My thirst is quenched not by any fundamental change in my condition, but because the water that I drank had the power to quench my thirst, and this power does not rest in me, but in what I am trying to drink; this is why fire cannot quench thirst. Change here is only an apparent transformation already potential in the actors who are interrelating. For the True Doctrine school, on the other hand, any effect by definition must be a change in the condition of the receptor of the causal power, and as such, causal potential only becomes actual where it can effect a real change in something else (asatkaryavada). Again, using water as an illustration, the properties of water effect a change in the properties of my body, transforming my condition from a condition of thirst to one of having my thirst quenched. Change is change of what is effected, otherwise it would be silly to speak of change.

This seemingly abstract or inconsequential difference turns out in these two opposed systems however to be quite relevant, for the substantialist ideas of fixed nature and essence provide the basis not only for conceptualizing the material, empirical world, but also for conceiving the knowledge and attainment of ultimate reality. For just as only metaphysical analysis could distinguish between phenomena and their ultimate causal constituents, such analysis was also the only reliable guide for purifying experience of attachments. Those causes which lead to enmeshment in the worldly cycle of rebirth (samsara) cannot be the same as those which lead to peace (nirvana). These states of existence are just as different as fire and water, samsara will quench thirst just as little as nirvana will lead to the fires of passion. And so, it is the Buddha’s words, for those who advocated the theory of the effect as pre-existent in the cause, which had the potential to purify consciousness, as opposed to the words of any unorthodox teacher; it was the practices of Buddhists, for those who championed the notion of external causal efficacy, which could liberate one from rebirth, and not the practices of those who perpetuated the ambitions of the everyday, workaday world. These schools were, each in their uniquely Buddhist turns, true exemplars of the age-old assumptions of the karma worldview in which a person is what he or she does, and what one does proceeds from what type of fundamental makeup one has inherited from previous lives of deeds, a worldview that is which intimately marries essence, existence and ethics. To be a Buddhist means precisely to distinguish between Buddhist and non-Buddhist acts, between ignorance and enlightenment, between the suffering world of samsara and the purified attainment of nirvana.

In his revolutionary tract of The Fundamental Verses on the Middle Way, Nagarjuna abjectly throws this elementary distinction between samsara and nirvana out the door, and does so in the very name of the Buddha. “There is not the slightest distinction,” he declares in the work, “between samsara and nirvana. The limit of the one is the limit of the other.” Now how can such a thing be posited, that is, the identity of samsara and nirvana, without totally undermining the theoretical basis and practical goals of Buddhism as such? For if there is no difference between the world of suffering and the attainment of peace, then what sort of work is a Buddhist to do as one who seeks to end suffering? Nagarjuna counters by reminding the Buddhist philosophers that, just as Gautama Sakyamuni had rejected both metaphysical and empirical substantialism through the teaching of “no-soul” (anatman) and causal interdependence (pratityasamputpada), so Scholastic Buddhism had to remain faithful to this non-substantialist stance through a rejection of the causal theories which necessitated notions of fixed nature (svabhava), theories which metaphysically reified the difference between samsara and nirvana. This later rejection could be based on Nagarjuna’s newly coined notion of the “emptiness,” “zeroness” or “voidness” (sunyata) of all things.

Recapitulating a logical analysis of the causal theories of the Universal Existence and True Doctrine schools, Nagarjuna rejects the premises of their theories. The basic claim these schools shared was that causal efficacy could only be accounted for through the fundamental nature of an object; fire caused the burning of objects because fire was made of fire elements and not water elements, the regularity and predictability of its causal powers consistent with its essential material basis. Reviving and logically sharpening the early Buddhist “four errors” (catuskoti) method, Nagarjuna attempts to dismantle this trenchant philosophical assumption. Contrary to the Scholastic Buddhist views, Nagarjuna finds that, were objects to have a stable, fixed essence, the changes brought about by causes would not be logically intelligible or materially possible. Let us say, along with the school of Universal Existence, that the effect pre-exists in the cause, or for example, that the burning of fire and the thirst-quenching of water are inherent in the kinds of substances fire and water are. But if the effects already exist in the cause, then it would be nonsensical to speak of effects in the first place, because in their interaction with other phenomena the pre-existent causes would not produce anything new, they would merely be manifesting the potential powers already exhibited. That is, if the potential to burn is conceived to exist within fire and the potential to quench thirst already inhered in water, then, Nagarjuna thinks, burning and thirst-quenching would be but appearances of the causal powers of fire and water substances, and this would make the notion of an effect, the production of a novel change, meaningless. If, on the other hand, we side with the True Doctrine school in supposing that the effect does not pre-exist in the cause, but is a novel change in the world, then the category of substance breaks down. Why? Because if fire and water are stable substances which possess fixed natures or essences, then what sort of relation could they bear to other objects which have entirely different fixed natures? How could fire be thought to effect a human being when the latter possesses a nature and thus takes on a form that is entirely dissimilar to fire? For the person to be effected by fire, his nature would have to change, would have to be destructible, and this vitiates the supposition that the person’s nature is fixed. Stable, fixed essences (svabhava) which are conceived to be entirely heterogeneous could have no way of relating without their initially supposed fixed essences being compromised. The conclusion is that neither of these two proffered substantialist Buddhist explanations of causal efficacy can survive logical examination.

We may be tempted, faced with these failures, to adopt alternative theories of causality advocated outside the Buddhist tradition in order to save the intelligibility of substance. We may suppose, along with Jaina philosophers, the effects somehow proceed both from inherent powers of substances as well as the vulnerabilities of objects with which these substances interact. This obviously will not do for Nagarjuna the logician, for it would be tantamount to suggesting that things and events arise or come about due both to their own causal powers and as effected by other things, that event A, such as burning or thirst-quenching is caused both by itself and by other things. This violates the law of excluded middle outright, since a thing cannot be characterized by both A and not-A, and so will not serve as an explanation. Exhausted by the search for a viable substantialist principle of causality, we may wish to opt for the completely anti-metaphysical stance of the Indian Materialist school, which denies both that events are brought about through the inherent causal powers of their relata and are caused by extraneous powers. This thorough denial would have us believe that no cause-and-effect relationship exists between phenomena, and Buddhists may not resort to this conclusion because it militates against the basic teachings of the Buddha that all empirical phenomena arise out of interdependence. This was the teaching of the Buddha himself, and so no Buddhist can allow that events are not caused.

What are we to draw from all this abstract logical critique? Are we to infer that Nagarjuna’s philosophy boils down to some strange paradoxical mysticism in which there is some ambiguous sense in which things should be considered causally interdependent but interdependent in some utterly unexplainable and inscrutable way? Not at all! Nagarjuna has not refuted all available theories of cause and effect, he has only rejected all substantialist theories of cause and effect. He thinks he has shown that, if we maintain the philosophical assumption that things in the world derive from some unique material and essential basis, then we shall come away empty-handed in a search to explain how things could possibly relate to one another, and so would have no way of describing how changes happen. But since both our eminently common sense and the words of the Buddha affirm unremittingly that changes do indeed happen, and happen constantly, we must assume that they happen somehow, through some other fact or circumstance of existence. For his own part, Nagarjuna concludes that, since things do not arise because phenomena relate through fixed essences, then they must arise because phenomena lack fixed essences. Phenomena are malleable, they are susceptible to alteration, addition and destruction. This lack of fixed nature (nihsvabhava), this alterability of things then means that their physical and empirical forms are built not upon essence, as both the Universal Existence and True Doctrine schools posit, but upon the fact that nothing (sunya) ever defines and characterizes them eternally and unconditionally. It is not that things are in themselves nothing, nor that things possess a positive absence (abhava) of essence. Change is possible because a radical indeterminancy (sunyata) permeates all forms. Burning happens because conditions can arise where temperatures become incindiary and singe flesh, just as thirst can be quenched when the process of ingestion transforms water into body. Beings relate to one another not because of their heterogeneous forms, but because their interaction makes them susceptible to ongoing transformation.

The Fundamental Verses on the Middle Way is a tour de force through the entire categorical system of the Buddhist metaphysical analysis (abhidharma) which had given birth to its scholastic movements. Nagarjuna attacks all the concepts of these traditions which were thematized according to substantialist, essentialist metaphysics, using at every turn the logically revised “four errors” method. But perhaps most revolutionary was Nagarjuna’s extension of this doctrine of the “emptiness” of all phenomena to the discussion of the relationship between the Buddha and the world, between the cycle of pain-inflicted rebirth (samsara) and contented, desire-less freedom (nirvana). The Buddha, colloquially known as “the one who came and went” (Tathagata), cannot properly be thought of for Nagarjuna in the way the Buddhist scholastics have, that is, as the eternally pure seed of the true teachings of peace which puts to rest the delusions of the otherwise defiled world. The name and person of “Buddha” should not serve as the theoretical basis and justification of distinguishing between the ordinary, ignorant world and perfected enlightenment. After all, Nagarjuna reminds his readers, all change in the world, including the transformations which lead to enlightenment, are only possible because of interdependent causality (pratityasamutpada), and interdependent causality in turn is only possible because things, phenomena, lack any fixed nature and so are open (sunya) to being transformed. The Buddha himself was only transformed because of interdependence and emptiness, and so, Nagarjuna infers, “the nature of Tathagata is the very nature of the world/” It stands to reason then that no essential delimitations can be made between the world of suffering and the practices which can lead to peace, for both are merely alternative outcomes in the nexus of worldly interdependence. The words and labels which attach to both the world and the experience of nirvana are not the means of separating the wheat of life from its chaff, nor true cultivators of the soil of experience from the over-ambitious “everyday” rabble. Rather, samsara and nirvana signify nothing but the lack of guarantees in a life of desire and the possibility of change and hope. “We assert,” Nagarjuna proffers to say on behalf of the Buddhists, “that whatever arises dependently is as such empty. This manner of designating things is exactly the middle path.” A Buddhist oath to avoid suffering cannot be taken as a denunciation of the world, but only as a commitment to harness the possibilities which already are entailed within it for peace. Talk about the Buddha and practices inspired by the Buddha are not tantamount to the raising of a religious or ideological flag which marks off one country from another; rather, the world of suffering and the world of peace have the same extension and boundary, and talk about suffering and the Buddha is only there to make us aware of the possibilities of the world, and how our realization of these possibilities depends precisely on what we do and how we interact.

4. Against Proof

The apparently anti-theoretical stance occupied by Nagarjuna did not win him many philosophical friends either among his contemporary Buddhist readers or the circles of Brahminical thought. While it was certainly the case that, over the next seven centuries of Buddhist scholastic thought, the concept of emptiness was more forcefully articulated, it was also hermeneutically appropriated into other systems in ways of which Nagarjuna would not necessarily have approved. Sunyata was soon made to carry theoretical meanings unrelated to causal theory in various Buddhists sects, serving as the support of a philosophy of consciousness for the later illustrious Vijnanavada or Cognition School and as the explication of the nature of both epistemology and ontology in the precise school of Buddhist Logic (Yogacara-Sautrantika). These schools, deriding Nagarjuna’s skepticism, retained their commitment to a style of philosophizing in India which allowed intellectual stands to be taken only on the basis of commitments to thesis, counter-thesis, rules of argument and standards of proof, that is, schools which equated philosophical reflection with competing doctrines of knowledge and metaphysics. This is all the more ironic given the overt attempt Nagarjuna made to head off the possibility that the idea of emptiness would be refuted or co-opted by this style of philosophizing, an attempt still preserved in the pages of his work The End of Disputes (Vigrahavyavartani).

The End of Disputes was in large measure a reactionary work, written only when philosophical objections were brought against Nagarjuna’s non-essentialist, anti-metaphysical approach to philosophy. The work was addressed to a relatively new school of Brahminical thought, the school of Logic (Nyaya) Philosophical debate, conducted in formalized fashions in generally court settings, had persisted in India for perhaps as much as eight hundred years before the time of the first literary systematizer of the school of logic, Gautama Aksapada. Several attempts had been made by Buddhist and Jaina schools before Nyaya to compose handbooks for formal debate. But Nyaya brought to the Indian philosophical scene a full-blown doctrine not only of the rules and etiquette of the debate process, but also an entire system of inference which distinguished between logically acceptable and unacceptable forms of argument. Finally, undergirding all forms of valid argument was a system of epistemology, a theory of proof (pramanasastra), which distinguished between various kinds of mental events which could be considered truth-revealing, or corresponding to real states of affairs and those which could not be relied upon as mediators of objective reality. Direct sensory perception, valid logical argument, tenable analogy and authoritative testimony were held by the Logicians to be the only kinds of cognitions which could correspond to real things or events in the world. They could serve as proofs to the claims we make to know. With some modifications, the approach of Nyaya came to be accepted as philosophical “first principles” by almost all the other schools of thought in India for centuries, both Vedic and non-Vedic. Indeed, in many philosophical quarters, before entering into the subtleties and agonism of advanced philosophical debate, a student was expected to pass through the prerequisites of studying Sanskrit grammar and logic. All thought, and so all positive sciences, from agriculture to Vedic study to statecraft, were at times even said to be fundamentally based on and entirely specious without basic training in “critical analysis” (anviksiki), which, according to Gautama Aksapada, was precisely what Nyaya was.

The Logicians, upon becoming aware very early of Nagarjuna’s thought, brought against his position of emptiness (sunyata) a sharp criticism. Certainly no claim, they insisted, should compel us to give it assent unless it can be known to be true. Now Nagarjuna has told us that emptiness is the lack of a fixed, essential nature which all things exhibit. But if all things are empty of a fixed nature, then that would include, would it not, Nagarjuna’s own claim that all things are empty? For one to say that all things lack a fixed nature would be also to say that no assertion, no thesis like Nagarjuna’s that all things are empty, could claim hold on a fixed reference. And if such a basic and all-encompassing thesis must admit of having itself neither a fixed meaning nor reference, then why should we believe it? Does not rather the thesis “all things lack a fixed essence, and are thus empty,” since it is a universal quantifier and so covers all things including theses, refute itself? The Logicians are not so much making the claim here that skepticism necessarily opts out of its own position, as when a person in saying “I know nothing” witnesses unwittingly to at least a knowledge of two things, namely how to use language and his own ignorance, as in the cases of the Socratic Irony and the Liar’s Paradox. It is more the direct charge that a philosophy which refuses to admit universal essences must be flatly self-contradictory, since a universal denial must itself be essentially true of all things. Should we not consider Nagarjuna as a person who, setting out on what would otherwise be an ingenious and promising philosophical journey, in a bit too much of a rush, tripped over his own feet on his way out the front door?

Nagarjuna, in The End of Disputes, responds in two ways. The first is an attempt to show the haughty Logicians that, if they really critically examine this fundamental concept of proof which grounds their theory of knowledge, they will find themselves in no better position than they claim Nagarjuna is in. How, Nagarjuna asks in an extended argument, can anything be proven to a fixed certainty in the way the Naiyayikas posit? When you get right down to it, a putative fact can be proven in only two ways; it is either self-evident or it is shown to be true by something else, by some other fact or piece of knowledge already assumed to be true. But if we assent to the very rules of logic and valid argument the Vedic Logicians espouse, we shall find, Nagarjuna thinks, that both of these suppositions are flawed. Let us take the claim that something can be proven to be true on the basis of other facts known to be true. Suppose, to use a favorite example from the Logician Gautama, I want to know how much an object weighs. I put it on a scale to measure its weight. The scale gives me a result, and for a moment that satisfies me; I can rely on the measurement because scales can measure weight. But hold on, Nagarjuna flags, your reliance on the trustworthiness of the scale is itself an assumption, not a piece of knowledge. Shouldn’t the scale be tested too? I measure the object on a second scale to test the accuracy of the first scale, and the measurement agrees with the first scale. But how can I just assume, once again, that the second scale is accurate? Both scales might be wrong. And the exercise goes on, there is nothing in principle which would justify me in assuming that any one test I use to verify a piece of knowledge is itself reliable beyond doubt. So, Nagarjuna concludes, the supposition that something can be proven through reference to some other putative fact runs into the problem that the series of proofs will never reach an end, and leaves us with an infinite regress. Should we commit ourselves to the opposite justification and propound that we know things to be true which are self-evident, then Nagarjuna would counter that we would be making a vacuous claim. The whole point of epistemology is to discover reliable methods of knowing, which implies that on the side of the world there are facts and on the side of the knower there are proofs which make those facts transparent to human consciousness. Were things just self-evident, proof would be superfluous, we should just know straightaway whether something is such and such or not. The claim of self-evidence destroys, in an ironic fashion which always pleased Nagarjuna, the very need for a theory of knowledge!

Having tested both criteria of evidence and come up short, the Logician might, and in fact historically did, try an alternative theory of mutual corroboration. We may not know for certain that a block of stone weighs too much to fit into a temple I am building, and we may not be certain that the scale being used to measure the stones is one hundred percent accurate, but if as a result of testing the stones with the scale I put the stones in the building and find that they work well, I have reason to rely on the knowledge I gain through the mutual corroborations of measurement and practical success. This process, for Nagarjuna, however, should not pass for an epistemologist who claims to be as strict as the Brahminical Logicians. In fact, this process should not even be considered mutual corroboration; it is actually circular. I assume stones have a certain measurable mass, so I design an instrument to confirm my assumption, and I assume scales measure weight so I assess objects by them, but in terms of strict logic, I am only assuming that this corroborative process proves my suppositions, but it in fact does nothing more than feed my preconceived assumptions rather than give me information about the nature of objects. We may say that a certain person is a son because he has a father, Nagarjuna quips, and we may say another person is a father because he has a son, but apart from this mutual definition, how do we know which particular person is which? By extension, Nagarjuna claims, this is the problem with the project of building a theory of knowledge as such. Epistemology and ontology are parasitic on one another. Epistemologies are conveniently formulated to justify preferred views of the world, and ontologies are presumed to be justified through systematic theories of proof, but apart from these projects being mutually theoretically necessary, we really have no honest way of knowing whether they in fact lend credence to our beliefs. Again, Nagarjuna has used tools from the bag of the logician, in this case, standard argumentational fallacies, to show that it is Brahminical Logic, and not his philosophy of emptiness, which has tripped itself up before having a chance to make a run in the world.

This, as said above, was Nagarjuna’s first response to the Logicians’ accusation that a philosophy of emptiness is fundamentally incoherent. There is however, Nagarjuna famously asserts, another pettito principii in the Nyaya charge that the thesis “all things are empty and lack a fixed nature” is incoherent. The statement “all things are empty” is actually, Nagarjuna says, not a formal philosophical thesis in the first place! According to the Nyaya rules of viable logical argument, the first step in proving an assertion true is the declared statement of the putative fact as a thesis in the argument (pratijna). Now in order for something to qualify as a formal philosophical thesis, a statement must be a fact about a particular object or state of knowable affairs in the world, and it is a matter of doctrine for Nyaya that all particular objects or states of affairs are classifiable into their categories of substances, qualities, and activities. Nagarjuna however does not buy into this set of ontological categories in the first place, and so the Logician is being disingenuous in trying to covertly pull him into the ontological game with this charge that the idea of emptiness is metaphysically unintelligible. The Brahminical Logician is insisting that no person can engage in a philosophical discussion without buying, at least minimally, into a theory of essences and issues surrounding how to categorize essences. It is exactly this very point, Nagarjuna demurs, that is eminently debatable! But since the Logician will not pay Nagarjuna the courtesy of discussion on Nagarjuna’s terms, the Buddhist replies to them on their terms: “If my statement (about emptiness) were a philosophical thesis, then it would indeed be flawed; but I assert no thesis, and so the flaw is not mine.”

With the exception of his two major commentators four centuries later, this stance of Nagarjuna satisfied no one in the Indian philosophical tradition, neither Brahmanas nor fellow Buddhists. It was the stance of the kind of debater who styled himself a vaitandika, a person who refutes rival philosophical positions while advocating no thesis themselves. Despite all their other disagreements, Brahmanas and Buddhists in following centuries did not consider such a stance to be truly philosophical, for while a person who occupied it may be able to expose dubious theories, one could never hope to learn the truth about the world and life from them. Such a person, it was suspected is more likely a charlatan than a sage. Despite the title of his work then, Nagarjuna’s attempt to call into “first question” theories of proof fell far short of ending all disputes. However, Nagarjuna closes this controversial and much-discussed work by reminding his readers of who he is. Paying reverence to the Buddha, the teacher, he says, of interdependent causality and emptiness, Nagarjuna tells his audience that “nothing will prevail for those in whom emptiness will not prevail, while everything will prevail for whom emptiness prevails.” This is a reiteration of Nagarjuna’s commitment that theory and praxis are not a partnership in which only through the former’s justification is the latter redeemed. The goal of practice is after all transformation, not fixity, and so if one insists on marrying philosophy to practice, philosophical reflection cannot be beholden to the unchanging, eternal essences of customary epistemology and metaphysics

5. The New Buddhist Space and Mission

There may be some extent to which the age-old debate as to whether Nagarjuna was a devotee of the traditional Theravada or Classical Buddhism or the Mahayana (Great Vehicle) sect turns on the authorship of the two letters attributed to him. Very little can be gleaned from the other works in Nagarjuna’s philosophical corpus that would lend much support to the supposition that the second-century scholar was even much aware of Great Vehicle doctrines or personages, even though the ground-breaking notion of emptiness was the one which Mahayana fixed on as its central idea. The two “ethical epistles” addressed to the historical Satvahana liege Gautamiputra Satkarni (r. ca. 166-196) would certainly give Nagarjuna a plausible historical locus. With their abundant references to the supremacy of the Great Vehicle teachings, they would also depict Nagarjuna as unequivocally within this movement. However, the non-existence of original Sanskrit versions of the Suhrllekha (To a Good Friend) and Ratnavali (Precious Garland), as well as their obviously heavy redactions in the Tibetan and Chinese editions, make any definitely reliable attribution of them to Nagarjuna practically impossible.

The familiar distinctions between the Classical and Great Vehicles are well-worn; the conservative scriptural and historical literalism of the former pitted against the mythological revisionism of the latter, the idealization of the reclusive ascetic pursuing his own perfection in the former as opposed to the angelic and socially engaged bodhisattva of the latter. Nagarjuna’s other works are filled with honorific passages dedicated only to the Buddha himself, while the two epistles abound in praise of the virtues of angelic bodhisattva-hood, though even these are found amidst passages extolling the perfections of the eightfold path and the nobility of the four truths. Whatever Nagarjuna’s precise sectarian identification, he never loses sight of the understanding that the practice of Buddhism is a new sort of human vehicle, a vehicle meant not to carry people from one realm to another realm, but a vehicle which could make people anew in the only realm where they have always lived.

Nagarjuna’s letters to the war-mongering Gautamiputra are somewhat conspicuous for the relative paucity of advice on the actual art of statecraft. Long sermons in To a Good Friend on the correct interpretation of subtle Mahayana teachings are intermingled with catechism-like presentations of the excellence of monastic virtues, and these are so numerous that even the author concedes toward the end of the correspondence that the king should keep as many of the enumerated precepts as he can, since keeping all of them would tax the fortitude of the most seasoned monk. But with all of these somewhat disconnected sections of the letter which even internally are wont to jump from one topic to another, a motif emerges which does seem to cohere with the more thematic approaches to the idea of emptiness in the other works, and that motif is the primacy of virtuous conduct and practice, which takes on even a higher and more relevant role than the achievements of wisdom.

This motif is surely significant, given the fact that the Classical and Great Vehicles, while both submitting that ultimate wisdom (prajna) and compassion (karuna) were the two paramount virtues, argued over which one was highest, the Theravada opting for wisdom and Mahayana for compassion. In these epistles, while Nagarjuna warns that the intentions behind moral acts must be informed by wisdom lest the benefits of the deed be spoiled, he stresses repeatedly the importance of steadfastly ethical conduct. Dharma or behavior upright in the eyes of the Buddha’s law of existence has two aspects, one which is characterized by meditative non-action and the other through positive action, and the road to Buddhahood, he says, passes through the positive action of the bodhisattva. For even though dharma is subtle and hard to comprehend, particularly where the notion of emptiness is involved and so easily misunderstood, its practice through the cultivation of moral intentions and attitudes will lead unerringly through the tangle of doctrinal debates. Beyond this general advice, which would apply to any monk or nun, counsel is given to the king that dharma as positive ethical conduct is also “the best policy,” for when one socially promotes adherence to ethical conduct, justice will prevail in the kingdom and benefits will accrue to all, benefits which rivals will envy beyond any transient material wealth and false senses of power.

In the worlds of the present and the future, it is after all only actions which matter. It is indeed the very physicality of deeds which leads to the accumulation of either meritorious or detrimental karma, and so one’s fate lies squarely in ones own hands. But through acts performed in the field of samsara, all conceivable changes are possible. A prince can become a pauper, either willingly, like the Buddha, or unwillingly. Young men become old, beauty morphs into decrepitude, friendship descends into enmity. It is this piercing contingency of samsara which is so often experienced with such anguish. But, Nagarjuna quickly reminds his readers, all these transformations can just as easily go in the opposite direction, with material poverty blossoming into spiritual riches, fathers reborn as sons and mothers as young wives, and the wounds of conflict sutured with the threads of reconciliation. Interdependent causality and the emptiness which change depends on mean that things can always go either way, and so which way they in fact go depends intimately on one’s own deeds. And this leads one to grasp that the proper site of practice for the Buddhist cannot be just the monastery, removed as it tries to be from the machinations of state, economy, social class and the other tumultuous and sundry affairs of suffering beings. As there is no difference between samsara and nirvana owing to the emptiness and constantly changing nature of both, so the change which a Buddhist effects upon herself and those around her is a change in the world, and this constant and purposeful change is the rightful mission of Buddhism. With his own peculiar and visionary interpretation of the concept of the emptiness of all things then, Nagarjuna has woven an anti-metaphysical and epistemological stance together with an ethics of action which was, true to its own implications, to transform the self-understanding of the Buddhist tradition for millennia to come.

6. References and Further Reading

Nagarjuna’s Works Addressed to Buddhists

  • Mulamadhyamakakarika, (Fundamental Verses on the Middle Way) translated as The Philosophy of the Middle Way by David J. Kalapuhana, SUNY Press, Albany, 1986.
  • Sunyatasaptati, (Seventy Verses on Emptiness) translated by Cristian Lindtner, Nagarjuniana: Studies in the Writings and Philosophy of Nagarjuna, Akademisk Forlag, Copenhagen, 1987, 35-69.
  • Yuktisastika, (Sixty Verses on Reasoning) translated by Christian Lindtner, Nagarjuniana: Studies in the Writings and Philosophy of Nagarjuna, Akademisk Forlag, Copenhagen, 1987, 103-19.
  • Pratityasamutpadahrdaya, (The Constituents of Dependent Arising) translated by L. Jamspal and Peter Della Santina in Journal of the Department of Buddhist Studies, University of Delhi, 2:1, 1974, 29-32.
  • Bodhisambharaka, (Preparation for Enlightenment) translated by Christian Lindtner, Nagarjuniana: Studies in the Writings and Philosophy of Nagarjuna, Akademisk Forlag, Copenhagen, 1987, 228-48.

Nagarjuna’s Works Addressed to Brahminical Systems

  • Vigrahavyavartani, (The End of Disputes) translated as The Dialectical Method of Nagarjuna by Kamaleswar Bhattacharya, Motilal Banarsidass, Delhi, 1978.
  • Vaidalyaprakarana, (Pulverizing the Categories) translated as Madhyamika Dialectics by Ole Holten Pind, Akademisk Forlag, Copenhagen, 1987.

Nagarjuna’s Ethical Epistles

  • Suhrllekha, (To a Good Friend) translated as Nagarjuna’s Letter to King Gautamiputra by L. Jamspal, N.S. Chophel and Peter Della Santina, Motilal Banarsidass, Delhi, 1978.
  • Ratnavali, (Precious Garland) translated as The Precious Garland and the Song of the Four Mindfulnesses by Jeffrey Hopkins, Lati Rimpoche and Anne Klein, Vikas Publishing, Delhi, 1975.

Author Information

Douglas Berger
Email: dberger@siu.edu
Southern Illinois University
U. S. A.

Nihilism

Nihilism is the belief that all values are baseless and that nothing can be known or communicated. It is often associated with extreme pessimism and a radical skepticism that condemns existence. A true nihilist would believe in nothing, have no loyalties, and no purpose other than, perhaps, an impulse to destroy. While few philosophers would claim to be nihilists, nihilism is most often associated with Friedrich Nietzsche who argued that its corrosive effects would eventually destroy all moral, religious, and metaphysical convictions and precipitate the greatest crisis in human history. In the 20th century, nihilistic themes–epistemological failure, value destruction, and cosmic purposelessness–have preoccupied artists, social critics, and philosophers. Mid-century, for example, the existentialists helped popularize tenets of nihilism in their attempts to blunt its destructive potential. By the end of the century, existential despair as a response to nihilism gave way to an attitude of indifference, often associated with antifoundationalism.

It has been over a century now since Nietzsche explored nihilism and its implications for civilization. As he predicted, nihilism’s impact on the culture and values of the 20th century has been pervasive, its apocalyptic tenor spawning a mood of gloom and a good deal of anxiety, anger, and terror. Interestingly, Nietzsche himself, a radical skeptic preoccupied with language, knowledge, and truth, anticipated many of the themes of postmodernity. It’s helpful to note, then, that he believed we could–at a terrible price–eventually work through nihilism. If we survived the process of destroying all interpretations of the world, we could then perhaps discover the correct course for humankind.

Table of Contents

  1. Origins
  2. Friedrich Nietzsche and Nihilism
  3. Existential Nihilism
  4. Antifoundationalism and Nihilism
  5. Conclusion

1. Origins

“Nihilism” comes from the Latin nihil, or nothing, which means not anything, that which does not exist. It appears in the verb “annihilate,” meaning to bring to nothing, to destroy completely. Early in the nineteenth century, Friedrich Jacobi used the word to negatively characterize transcendental idealism. It only became popularized, however, after its appearance in Ivan Turgenev’s novel Fathers and Sons (1862) where he used “nihilism” to describe the crude scientism espoused by his character Bazarov who preaches a creed of total negation.

In Russia, nihilism became identified with a loosely organized revolutionary movement (C.1860-1917) that rejected the authority of the state, church, and family. In his early writing, anarchist leader Mikhael Bakunin (1814-1876) composed the notorious entreaty still identified with nihilism: “Let us put our trust in the eternal spirit which destroys and annihilates only because it is the unsearchable and eternally creative source of all life–the passion for destruction is also a creative passion!” (Reaction in Germany, 1842). The movement advocated a social arrangement based on rationalism and materialism as the sole source of knowledge and individual freedom as the highest goal. By rejecting man’s spiritual essence in favor of a solely materialistic one, nihilists denounced God and religious authority as antithetical to freedom. The movement eventually deteriorated into an ethos of subversion, destruction, and anarchy, and by the late 1870s, a nihilist was anyone associated with clandestine political groups advocating terrorism and assassination.

The earliest philosophical positions associated with what could be characterized as a nihilistic outlook are those of the Skeptics. Because they denied the possibility of certainty, Skeptics could denounce traditional truths as unjustifiable opinions. When Demosthenes (c.371-322 BC), for example, observes that “What he wished to believe, that is what each man believes” (Olynthiac), he posits the relational nature of knowledge. Extreme skepticism, then, is linked to epistemological nihilism which denies the possibility of knowledge and truth; this form of nihilism is currently identified with postmodern antifoundationalism. Nihilism, in fact, can be understood in several different ways. Political Nihilism, as noted, is associated with the belief that the destruction of all existing political, social, and religious order is a prerequisite for any future improvement. Ethical nihilism or moral nihilism rejects the possibility of absolute moral or ethical values. Instead, good and evil are nebulous, and values addressing such are the product of nothing more than social and emotive pressures. Existential nihilism is the notion that life has no intrinsic meaning or value, and it is, no doubt, the most commonly used and understood sense of the word today.

Max Stirner’s (1806-1856) attacks on systematic philosophy, his denial of absolutes, and his rejection of abstract concepts of any kind often places him among the first philosophical nihilists. For Stirner, achieving individual freedom is the only law; and the state, which necessarily imperils freedom, must be destroyed. Even beyond the oppression of the state, though, are the constraints imposed by others because their very existence is an obstacle compromising individual freedom. Thus Stirner argues that existence is an endless “war of each against all” (The Ego and its Own, trans. 1907).

2. Friedrich Nietzsche and Nihilism

Among philosophers, Friedrich Nietzsche is most often associated with nihilism. For Nietzsche, there is no objective order or structure in the world except what we give it. Penetrating the façades buttressing convictions, the nihilist discovers that all values are baseless and that reason is impotent. “Every belief, every considering something-true,” Nietzsche writes, “is necessarily false because there is simply no true world” (Will to Power [notes from 1883-1888]). For him, nihilism requires a radical repudiation of all imposed values and meaning: “Nihilism is . . . not only the belief that everything deserves to perish; but one actually puts one’s shoulder to the plough; one destroys” (Will to Power).

The caustic strength of nihilism is absolute, Nietzsche argues, and under its withering scrutiny “the highest values devalue themselves. The aim is lacking, and ‘Why’ finds no answer” (Will to Power). Inevitably, nihilism will expose all cherished beliefs and sacrosanct truths as symptoms of a defective Western mythos. This collapse of meaning, relevance, and purpose will be the most destructive force in history, constituting a total assault on reality and nothing less than the greatest crisis of humanity:

What I relate is the history of the next two centuries. I describe what is coming, what can no longer come differently: the advent of nihilism. . . . For some time now our whole European culture has been moving as toward a catastrophe, with a tortured tension that is growing from decade to decade: restlessly, violently, headlong, like a river that wants to reach the end. . . . (Will to Power)

Since Nietzsche’s compelling critique, nihilistic themes–epistemological failure, value destruction, and cosmic purposelessness–have preoccupied artists, social critics, and philosophers. Convinced that Nietzsche’s analysis was accurate, for example, Oswald Spengler in The Decline of the West (1926) studied several cultures to confirm that patterns of nihilism were indeed a conspicuous feature of collapsing civilizations. In each of the failed cultures he examines, Spengler noticed that centuries-old religious, artistic, and political traditions were weakened and finally toppled by the insidious workings of several distinct nihilistic postures: the Faustian nihilist “shatters the ideals”; the Apollinian nihilist “watches them crumble before his eyes”; and the Indian nihilist “withdraws from their presence into himself.” Withdrawal, for instance, often identified with the negation of reality and resignation advocated by Eastern religions, is in the West associated with various versions of epicureanism and stoicism. In his study, Spengler concludes that Western civilization is already in the advanced stages of decay with all three forms of nihilism working to undermine epistemological authority and ontological grounding.

In 1927, Martin Heidegger, to cite another example, observed that nihilism in various and hidden forms was already “the normal state of man” (The Question of Being). Other philosophers’ predictions about nihilism’s impact have been dire. Outlining the symptoms of nihilism in the 20th century, Helmut Thielicke wrote that “Nihilism literally has only one truth to declare, namely, that ultimately Nothingness prevails and the world is meaningless” (Nihilism: Its Origin and Nature, with a Christian Answer, 1969). From the nihilist’s perspective, one can conclude that life is completely amoral, a conclusion, Thielicke believes, that motivates such monstrosities as the Nazi reign of terror. Gloomy predictions of nihilism’s impact are also charted in Eugene Rose’s Nihilism: The Root of the Revolution of the Modern Age (1994). If nihilism proves victorious–and it’s well on its way, he argues–our world will become “a cold, inhuman world” where “nothingness, incoherence, and absurdity” will triumph.

3. Existential Nihilism

While nihilism is often discussed in terms of extreme skepticism and relativism, for most of the 20th century it has been associated with the belief that life is meaningless. Existential nihilism begins with the notion that the world is without meaning or purpose. Given this circumstance, existence itself–all action, suffering, and feeling–is ultimately senseless and empty.

In The Dark Side: Thoughts on the Futility of Life (1994), Alan Pratt demonstrates that existential nihilism, in one form or another, has been a part of the Western intellectual tradition from the beginning. The Skeptic Empedocles’ observation that “the life of mortals is so mean a thing as to be virtually un-life,” for instance, embodies the same kind of extreme pessimism associated with existential nihilism. In antiquity, such profound pessimism may have reached its apex with Hegesias of Cyrene. Because miseries vastly outnumber pleasures, happiness is impossible, the philosopher argues, and subsequently advocates suicide. Centuries later during the Renaissance, William Shakespeare eloquently summarized the existential nihilist’s perspective when, in this famous passage near the end of Macbeth, he has Macbeth pour out his disgust for life:

Out, out, brief candle!
Life’s but a walking shadow, a poor player
That struts and frets his hour upon the stage
And then is heard no more; it is a tale
Told by an idiot, full of sound and fury,
Signifying nothing.

In the twentieth century, it’s the atheistic existentialist movement, popularized in France in the 1940s and 50s, that is responsible for the currency of existential nihilism in the popular consciousness. Jean-Paul Sartre’s (1905-1980) defining preposition for the movement, “existence precedes essence,” rules out any ground or foundation for establishing an essential self or a human nature. When we abandon illusions, life is revealed as nothing; and for the existentialists, nothingness is the source of not only absolute freedom but also existential horror and emotional anguish. Nothingness reveals each individual as an isolated being “thrown” into an alien and unresponsive universe, barred forever from knowing why yet required to invent meaning. It’s a situation that’s nothing short of absurd. Writing from the enlightened perspective of the absurd, Albert Camus (1913-1960) observed that Sisyphus’ plight, condemned to eternal, useless struggle, was a superb metaphor for human existence (The Myth of Sisyphus, 1942).

The common thread in the literature of the existentialists is coping with the emotional anguish arising from our confrontation with nothingness, and they expended great energy responding to the question of whether surviving it was possible. Their answer was a qualified “Yes,” advocating a formula of passionate commitment and impassive stoicism. In retrospect, it was an anecdote tinged with desperation because in an absurd world there are absolutely no guidelines, and any course of action is problematic. Passionate commitment, be it to conquest, creation, or whatever, is itself meaningless. Enter nihilism.

Camus, like the other existentialists, was convinced that nihilism was the most vexing problem of the twentieth century. Although he argues passionately that individuals could endure its corrosive effects, his most famous works betray the extraordinary difficulty he faced building a convincing case. In The Stranger (1942), for example, Meursault has rejected the existential suppositions on which the uninitiated and weak rely. Just moments before his execution for a gratuitous murder, he discovers that life alone is reason enough for living, a raison d’être, however, that in context seems scarcely convincing. In Caligula (1944), the mad emperor tries to escape the human predicament by dehumanizing himself with acts of senseless violence, fails, and surreptitiously arranges his own assassination. The Plague (1947) shows the futility of doing one’s best in an absurd world. And in his last novel, the short and sardonic, The Fall (1956), Camus posits that everyone has bloody hands because we are all responsible for making a sorry state worse by our inane action and inaction alike. In these works and other works by the existentialists, one is often left with the impression that living authentically with the meaninglessness of life is impossible.

Camus was fully aware of the pitfalls of defining existence without meaning, and in his philosophical essay The Rebel (1951) he faces the problem of nihilism head-on. In it, he describes at length how metaphysical collapse often ends in total negation and the victory of nihilism, characterized by profound hatred, pathological destruction, and incalculable violence and death.

4. Antifoundationalism and Nihilism

By the late 20th century, “nihilism” had assumed two different castes. In one form, “nihilist” is used to characterize the postmodern person, a dehumanized conformist, alienated, indifferent, and baffled, directing psychological energy into hedonistic narcissism or into a deep ressentiment that often explodes in violence. This perspective is derived from the existentialists’ reflections on nihilism stripped of any hopeful expectations, leaving only the experience of sickness, decay, and disintegration.

In his study of meaninglessness, Donald Crosby writes that the source of modern nihilism paradoxically stems from a commitment to honest intellectual openness. “Once set in motion, the process of questioning could come to but one end, the erosion of conviction and certitude and collapse into despair” (The Specter of the Absurd, 1988). When sincere inquiry is extended to moral convictions and social consensus, it can prove deadly, Crosby continues, promoting forces that ultimately destroy civilizations. Michael Novak’s recently revised The Experience of Nothingness (1968, 1998) tells a similar story. Both studies are responses to the existentialists’ gloomy findings from earlier in the century. And both optimistically discuss ways out of the abyss by focusing of the positive implications nothingness reveals, such as liberty, freedom, and creative possibilities. Novak, for example, describes how since WWII we have been working to “climb out of nihilism” on the way to building a new civilization.

In contrast to the efforts to overcome nihilism noted above is the uniquely postmodern response associated with the current antifoundationalists. The philosophical, ethical, and intellectual crisis of nihilism that has tormented modern philosophers for over a century has given way to mild annoyance or, more interestingly, an upbeat acceptance of meaninglessness.

French philosopher Jean-Francois Lyotard characterizes postmodernism as an “incredulity toward metanarratives,” those all-embracing foundations that we have relied on to make sense of the world. This extreme skepticism has undermined intellectual and moral hierarchies and made “truth” claims, transcendental or transcultural, problematic. Postmodern antifoundationalists, paradoxically grounded in relativism, dismiss knowledge as relational and “truth” as transitory, genuine only until something more palatable replaces it (reminiscent of William James’ notion of “cash value”). The critic Jacques Derrida, for example, asserts that one can never be sure that what one knows corresponds with what is. Since human beings participate in only an infinitesimal part of the whole, they are unable to grasp anything with certainty, and absolutes are merely “fictional forms.”

American antifoundationalist Richard Rorty makes a similar point: “Nothing grounds our practices, nothing legitimizes them, nothing shows them to be in touch with the way things are” (“From Logic to Language to Play,” 1986). This epistemological cul-de-sac, Rorty concludes, leads inevitably to nihilism. “Faced with the nonhuman, the nonlinguistic, we no longer have the ability to overcome contingency and pain by appropriation and transformation, but only the ability to recognize contingency and pain” (Contingency, Irony, and Solidarity, 1989). In contrast to Nietzsche’s fears and the angst of the existentialists, nihilism becomes for the antifoundationalists just another aspect of our contemporary milieu, one best endured with sang-froid.

In The Banalization of Nihilism (1992) Karen Carr discusses the antifoundationalist response to nihilism. Although it still inflames a paralyzing relativism and subverts critical tools, “cheerful nihilism” carries the day, she notes, distinguished by an easy-going acceptance of meaninglessness. Such a development, Carr concludes, is alarming. If we accept that all perspectives are equally non-binding, then intellectual or moral arrogance will determine which perspective has precedence. Worse still, the banalization of nihilism creates an environment where ideas can be imposed forcibly with little resistance, raw power alone determining intellectual and moral hierarchies. It’s a conclusion that dovetails nicely with Nietzsche’s, who pointed out that all interpretations of the world are simply manifestations of will-to-power.

5. Conclusion

It has been over a century now since Nietzsche explored nihilism and its implications for civilization. As he predicted, nihilism’s impact on the culture and values of the 20th century has been pervasive, its apocalyptic tenor spawning a mood of gloom and a good deal of anxiety, anger, and terror. Interestingly, Nietzsche himself, a radical skeptic preoccupied with language, knowledge, and truth, anticipated many of the themes of postmodernity. It’s helpful to note, then, that he believed we could–at a terrible price–eventually work through nihilism. If we survived the process of destroying all interpretations of the world, we could then perhaps discover the correct course for humankind:

I praise, I do not reproach, [nihilism’s] arrival. I believe it is one of the greatest crises, a moment of the deepest self-reflection of humanity. Whether man recovers from it, whether he becomes master of this crisis, is a question of his strength. It is possible. . . . (Complete Works Vol. 13)

Author Information

Alan Pratt
Email: pratta@db.erau.edu
Embry-Riddle University
U. S. A.

Natural Law

The term “natural law” is ambiguous. It refers to a type of moral theory, as well as to a type of legal theory, but the core claims of the two kinds of theory are logically independent. It does not refer to the laws of nature, the laws that science aims to describe. According to natural law moral theory, the moral standards that govern human behavior are, in some sense, objectively derived from the nature of human beings and the nature of the world. While being logically independent of natural law legal theory, the two theories intersect. However, the majority of the article will focus on natural law legal theory.

According to natural law legal theory, the authority of legal standards necessarily derives, at least in part, from considerations having to do with the moral merit of those standards. There are a number of different kinds of natural law legal theories, differing from each other with respect to the role that morality plays in determining the authority of legal norms. The conceptual jurisprudence of John Austin provides a set of necessary and sufficient conditions for the existence of law that distinguishes law from non-law in every possible world. Classical natural law theory such as the theory of Thomas Aquinas focuses on the overlap between natural law moral and legal theories.  Similarly, the neo-naturalism of John Finnis is a development of classical natural law theory. In contrast, the procedural naturalism of Lon L. Fuller is a rejection of the conceptual naturalist idea that there are necessary substantive moral constraints on the content of law. Lastly, Ronald Dworkin’s theory is a response and critique of legal positivism. All of these theories subscribe to one or more basic tenets of natural law legal theory and are important to its development and influence.

Table of Contents

  1. Two Kinds of Natural Law Theory
  2. Conceptual Naturalism
    1. The Project of Conceptual Jurisprudence
    2. Classical Natural Law Theory
  3. The Substantive Neo-Naturalism of John Finnis
  4. The Procedural Naturalism of Lon L. Fuller
  5. Ronald Dworkin’s “Third Theory”
  6. References and Further Reading

1. Two Kinds of Natural Law Theory

At the outset, it is important to distinguish two kinds of theory that go by the name of natural law. The first is a theory of morality that is roughly characterized by the following theses. First, moral propositions have what is sometimes called objective standing in the sense that such propositions are the bearers of objective truth-value; that is, moral propositions can be objectively true or false. Though moral objectivism is sometimes equated with moral realism (see, e.g., Moore 1992, 190: “the truth of any moral proposition lies in its correspondence with a mind- and convention-independent moral reality”), the relationship between the two theories is controversial. Geoffrey Sayre-McCord (1988), for example, views moral objectivism as one species of moral realism, but not the only form; on Sayre-McCord’s view, moral subjectivism and moral intersubjectivism are also forms of moral realism. Strictly speaking, then, natural law moral theory is committed only to the objectivity of moral norms.

The second thesis constituting the core of natural law moral theory is the claim that standards of morality are in some sense derived from, or entailed by, the nature of the world and the nature of human beings. St. Thomas Aquinas, for example, identifies the rational nature of human beings as that which defines moral law: “the rule and measure of human acts is the reason, which is the first principle of human acts” (Aquinas, ST I-II, Q.90, A.I). On this common view, since human beings are by nature rational beings, it is morally appropriate that they should behave in a way that conforms to their rational nature. Thus, Aquinas derives the moral law from the nature of human beings (thus, “natural law”).

But there is another kind of natural law theory having to do with the relationship of morality to law. According to natural law theory of law, there is no clean division between the notion of law and the notion of morality. Though there are different versions of natural law theory, all subscribe to the thesis that there are at least some laws that depend for their “authority” not on some pre-existing human convention, but on the logical relationship in which they stand to moral standards. Otherwise put, some norms are authoritative in virtue of their moral content, even when there is no convention that makes moral merit a criterion of legal validity. The idea that the concepts of law and morality intersect in some way is called the Overlap Thesis.

As an empirical matter, many natural law moral theorists are also natural law legal theorists, but the two theories, strictly speaking, are logically independent. One can deny natural law theory of law but hold a natural law theory of morality. John Austin, the most influential of the early legal positivists, for example, denied the Overlap Thesis but held something that resembles a natural law ethical theory.

Indeed, Austin explicitly endorsed the view that it is not necessarily true that the legal validity of a norm depends on whether its content conforms to morality. But while Austin thus denied the Overlap Thesis, he accepted an objectivist moral theory; indeed, Austin inherited his utilitarianism almost wholesale from J.S. Mill and Jeremy Bentham. Here it is worth noting that utilitarians sometimes seem to suggest that they derive their utilitarianism from certain facts about human nature; as Bentham once wrote, “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” (Bentham 1948, 1). Thus, a commitment to natural law theory of morality is consistent with the denial of natural law theory of law.

Conversely, one could, though this would be unusual, accept a natural law theory of law without holding a natural law theory of morality. One could, for example, hold that the conceptual point of law is, in part, to reproduce the demands of morality, but also hold a form of ethical subjectivism (or relativism). On this peculiar view, the conceptual point of law would be to enforce those standards that are morally valid in virtue of cultural consensus. For this reason, natural law theory of law is logically independent of natural law theory of morality. The remainder of this essay will be exclusively concerned with natural law theories of law.

2. Conceptual Naturalism

a. The Project of Conceptual Jurisprudence

The principal objective of conceptual (or analytic) jurisprudence has traditionally been to provide an account of what distinguishes law as a system of norms from other systems of norms, such as ethical norms. As John Austin describes the project, conceptual jurisprudence seeks “the essence or nature which is common to all laws that are properly so called” (Austin 1995, 11). Accordingly, the task of conceptual jurisprudence is to provide a set of necessary and sufficient conditions for the existence of law that distinguishes law from non-law in every possible world.

While this task is usually interpreted as an attempt to analyze the concepts of law and legal system, there is some confusion as to both the value and character of conceptual analysis in philosophy of law. As Brian Leiter (1998) points out, philosophy of law is one of the few philosophical disciplines that takes conceptual analysis as its principal concern; most other areas in philosophy have taken a naturalistic turn, incorporating the tools and methods of the sciences. To clarify the role of conceptual analysis in law, Brian Bix (1995) distinguishes a number of different purposes that can be served by conceptual claims: (1) to track linguistic usage; (2) to stipulate meanings; (3) to explain what is important or essential about a class of objects; and (4) to establish an evaluative test for the concept-word. Bix takes conceptual analysis in law to be primarily concerned with (3) and (4).

In any event, conceptual analysis of law remains an important, if controversial, project in contemporary legal theory. Conceptual theories of law have traditionally been characterized in terms of their posture towards the Overlap Thesis. Thus, conceptual theories of law have traditionally been divided into two main categories: those like natural law legal theory that affirm there is a conceptual relation between law and morality and those like legal positivism that deny such a relation.

b. Classical Natural Law Theory

All forms of natural law theory subscribe to the Overlap Thesis, which asserts that there is some kind of non-conventional relation between law and morality. According to this view, then, the notion of law cannot be fully articulated without some reference to moral notions. Though the Overlap Thesis may seem unambiguous, there are a number of different ways in which it can be interpreted.

The strongest construction of the Overlap Thesis forms the foundation for the classical naturalism of Aquinas and Blackstone. Aquinas distinguishes four kinds of law: (1) eternal law; (2) natural law; (3) human law; and (4) divine law. Eternal law is comprised of those laws that govern the nature of an eternal universe; as Susan Dimock (1999, 22) puts it, one can “think of eternal law as comprising all those scientific (physical, chemical, biological, psychological, etc.) ‘laws’ by which the universe is ordered.” Divine law is concerned with those standards that must be satisfied by a human being to achieve eternal salvation. One cannot discover divine law by natural reason alone; the precepts of divine law are disclosed only through divine revelation.

The natural law is comprised of those precepts of the eternal law that govern the behavior of beings possessing reason and free will. The first precept of the natural law, according to Aquinas, is the somewhat vacuous imperative to do good and avoid evil. Here it is worth noting that Aquinas holds a natural law theory of morality: what is good and evil, according to Aquinas, is derived from the rational nature of human beings. Good and evil are thus both objective and universal.

But Aquinas is also a natural law legal theorist. On his view, a human law (that is, that which is promulgated by human beings) is valid only insofar as its content conforms to the content of the natural law; as Aquinas puts the point: “[E]very human law has just so much of the nature of law as is derived from the law of nature. But if in any point it deflects from the law of nature, it is no longer a law but a perversion of law” (ST I-II, Q.95, A.II). To paraphrase Augustine’s famous remark, an unjust law is really no law at all.

The idea that a norm that does not conform to the natural law cannot be legally valid is the defining thesis of conceptual naturalism. As William Blackstone describes the thesis, “This law of nature, being co-eval with mankind and dictated by God himself, is of course superior in obligation to any other. It is binding over all the globe, in all countries, and at all times: no human laws are of any validity, if contrary to this; and such of them as are valid derive all their force, and all their authority, mediately or immediately, from this original” (1979, 41). In this passage, Blackstone articulates the two claims that constitute the theoretical core of conceptual naturalism: 1) there can be no legally valid standards that conflict with the natural law; and 2) all valid laws derive what force and authority they have from the natural law.

It should be noted that classical naturalism is consistent with allowing a substantial role to human beings in the manufacture of law. While the classical naturalist seems committed to the claim that the law necessarily incorporates all moral principles, this claim does not imply that the law is exhausted by the set of moral principles. There will still be coordination problems (e.g., which side of the road to drive on) that can be resolved in any number of ways consistent with the set of moral principles. Thus, the classical naturalist does not deny that human beings have considerable discretion in creating natural law. Rather she claims only that such discretion is necessarily limited by moral norms: legal norms that are promulgated by human beings are valid only if they are consistent with morality.

Critics of conceptual naturalism have raised a number of objections to this view. First, it has often been pointed out that, contra Augustine, unjust laws are all-too- frequently enforced against persons. As Austin petulantly put the point:

Now, to say that human laws which conflict with the Divine law are not binding, that is to say, are not laws, is to talk stark nonsense. The most pernicious laws, and therefore those which are most opposed to the will of God, have been and are continually enforced as laws by judicial tribunals. Suppose an act innocuous, or positively beneficial, be prohibited by the sovereign under the penalty of death; if I commit this act, I shall be tried and condemned, and if I object to the sentence, that it is contrary to the law of God, who has commanded that human lawgivers shall not prohibit acts which have no evil consequences, the Court of Justice will demonstrate the inconclusiveness of my reasoning by hanging me up, in pursuance of the law of which I have impugned the validity (Austin 1995, 158).

Of course, as Brian Bix (1999) points out, the argument does little work for Austin because it is always possible for a court to enforce a law against a person that does not satisfy Austin’s own theory of legal validity.

Another frequently expressed worry is that conceptual naturalism undermines the possibility of moral criticism of the law; inasmuch as conformity with natural law is a necessary condition for legal validity, all valid law is, by definition, morally just. Thus, on this line of reasoning, the legal validity of a norm necessarily entails its moral justice. As Jules Coleman and Jeffrey Murphy (1990, 18) put the point:

The important things [conceptual naturalism] supposedly allows us to do (e.g., morally evaluate the law and determine our moral obligations with respect to the law) are actually rendered more difficult by its collapse of the distinction between morality and law. If we really want to think about the law from the moral point of view, it may obscure the task if we see law and morality as essentially linked in some way. Moral criticism and reform of law may be aided by an initial moral skepticism about the law.

There are a couple of problems with this line of objection. First, conceptual naturalism does not foreclose criticism of those norms that are being enforced by a society as law. Insofar as it can plausibly be claimed that the content of a norm being enforced by society as law does not conform to the natural law, this is a legitimate ground of moral criticism: given that the norm being enforced by law is unjust, it follows, according to conceptual naturalism, that it is not legally valid. Thus, the state commits wrong by enforcing that norm against private citizens.

Second, and more importantly, this line of objection seeks to criticize a conceptual theory of law by pointing to its practical implications ñ a strategy that seems to commit a category mistake. Conceptual jurisprudence assumes the existence of a core of social practices (constituting law) that requires a conceptual explanation. The project motivating conceptual jurisprudence, then, is to articulate the concept of law in a way that accounts for these pre-existing social practices. A conceptual theory of law can legitimately be criticized for its failure to adequately account for the pre-existing data, as it were; but it cannot legitimately be criticized for either its normative quality or its practical implications.

A more interesting line of argument has recently been taken up by Brian Bix (1996). Following John Finnis (1980), Bix rejects the interpretation of Aquinas and Blackstone as conceptual naturalists, arguing instead that the claim that an unjust law is not a law should not be taken literally:

A more reasonable interpretation of statements like “an unjust law is no law at all” is that unjust laws are not laws “in the fullest sense.” As we might say of some professional, who had the necessary degrees and credentials, but seemed nonetheless to lack the necessary ability or judgment: “she’s no lawyer” or “he’s no doctor.” This only indicates that we do not think that the title in this case carries with it all the implications it usually does. Similarly, to say that an unjust law is “not really law” may only be to point out that it does not carry the same moral force or offer the same reasons for action as laws consistent with “higher law” (Bix 1996, 226).

Thus, Bix construes Aquinas and Blackstone as having views more similar to the neo- naturalism of John Finnis discussed below in Section III. Nevertheless, while a plausible case can be made in favor of Bix’s view, the long history of construing Aquinas and Blackstone as conceptual naturalists, along with its pedagogical value in developing other theories of law, ensures that this practice is likely, for better or worse, to continue indefinitely.

3. The Substantive Neo-Naturalism of John Finnis

John Finnis takes himself to be explicating and developing the views of Aquinas and Blackstone. Like Bix, Finnis believes that the naturalism of Aquinas and Blackstone should not be construed as a conceptual account of the existence conditions for law. According to Finnis, the classical naturalists were not concerned with giving a conceptual account of legal validity; rather they were concerned with explaining the moral force of law: “the principles of natural law explain the obligatory force (in the fullest sense of ‘obligation’) of positive laws, even when those laws cannot be deduced from those principles” (Finnis 1980, 23-24). On Finnis’s view of the Overlap Thesis, the essential function of law is to provide a justification for state coercion (a view he shares with Ronald Dworkin). Accordingly, an unjust law can be legally valid, but it cannot provide an adequate justification for use of the state coercive power and is hence not obligatory in the fullest sense; thus, an unjust law fails to realize the moral ideals implicit in the concept of law. An unjust law, on this view, is legally binding, but is not fully law.

Like classical naturalism, Finnis’s naturalism is both an ethical theory and a theory of law. Finnis distinguishes a number of equally valuable basic goods: life, health, knowledge, play, friendship, religion, and aesthetic experience. Each of these goods, according to Finnis, has intrinsic value in the sense that it should, given human nature, be valued for its own sake and not merely for the sake of some other good it can assist in bringing about. Moreover, each of these goods is universal in the sense that it governs all human cultures at all times. The point of moral principles, on this view, is to give ethical structure to the pursuit of these basic goods; moral principles enable us to select among competing goods and to define what a human being can permissibly do in pursuit of a basic good.

On Finnis’s view, the conceptual point of law is to facilitate the common good by providing authoritative rules that solve coordination problems that arise in connection with the common pursuit of these basic goods. Thus, Finnis sums up his theory of law as follows:

[T]he term ‘law’ … refer[s] primarily to rules made, in accordance with regulative legal rules, by a determinate and effective authority (itself identified and, standardly, constituted as an institution by legal rules) for a ‘complete’ community, and buttressed by sanctions in accordance with the rule-guided stipulations of adjudicative institutions, this ensemble of rules and institutions being directed to reasonably resolving any of the community’s co-ordination problems (and to ratifying, tolerating, regulating, or overriding co-ordination solutions from any other institutions or sources of norms) for the common good of that community (Finnis 1980, 276).

Again, it bears emphasizing that Finnis takes care to deny that there is any necessary moral test for legal validity: “one would simply be misunderstanding my conception of the nature and purpose of explanatory definitions of theoretical concepts if one supposed that my definition ‘ruled out as non-laws’ laws which failed to meet, or meet fully, one or other of the elements of the definition” (Finnis 1980, 278).

Nevertheless, Finnis believes that to the extent that a norm fails to satisfy these conditions, it likewise fails to fully manifest the nature of law and thereby fails to fully obligate the citizen-subject of the law. Unjust laws may obligate in a technical legal sense, on Finnis’s view, but they may fail to provide moral reasons for action of the sort that it is the point of legal authority to provide. Thus, Finnis argues that “a ruler’s use of authority is radically defective if he exploits his opportunities by making stipulations intended by him not for the common good but for his own or his friends’ or party’s or faction’s advantage, or out of malice against some person or group” (Finnis 1980, 352). For the ultimate basis of a ruler’s moral authority, on this view, “is the fact that he has the opportunity, and thus the responsibility, of furthering the common good by stipulating solutions to a community’s co- ordination problems” (Finnis 1980, 351).

Finnis’s theory is certainly more plausible as a theory of law than the traditional interpretation of classical naturalism, but such plausibility comes, for better or worse, at the expense of naturalism’s identity as a distinct theory of law. Indeed, it appears that Finnis’s natural law theory is compatible with naturalism’s historical adversary, legal positivism, inasmuch as Finnis’s view is compatible with a source-based theory of legal validity; laws that are technically valid in virtue of source but unjust do not, according to Finnis, fully obligate the citizen. Indeed, Finnis (1996) believes that Aquinas’s classical naturalism fully affirms the notion that human laws are “posited.”

4. The Procedural Naturalism of Lon L. Fuller

Like Finnis, Lon Fuller (1964) rejects the conceptual naturalist idea that there are necessary substantive moral constraints on the content of law. But Fuller, unlike Finnis, believes that law is necessarily subject to a procedural morality. On Fuller’s view, human activity is necessarily goal-oriented or purposive in the sense that people engage in a particular activity because it helps them to achieve some end. Insofar as human activity is essentially purposive, according to Fuller, particular human activities can be understood only in terms that make reference to their purposes and ends. Thus, since lawmaking is essentially purposive activity, it can be understood only in terms that explicitly acknowledge its essential values and purposes:

The only formula that might be called a definition of law offered in these writings is by now thoroughly familiar: law is the enterprise of subjecting human conduct to the governance of rules. Unlike most modern theories of law, this view treats law as an activity and regards a legal system as the product of a sustained purposive effort (Fuller 1964, 106).

To the extent that a definition of law can be given, then, it must include the idea that law’s essential function is to “achiev[e] [social] order through subjecting people’s conduct to the guidance of general rules by which they may themselves orient their behavior” (Fuller 1965, 657).

Fuller’s functionalist conception of law implies that nothing can count as law unless it is capable of performing law’s essential function of guiding behavior. And to be capable of performing this function, a system of rules must satisfy the following principles:

  • (P1) the rules must be expressed in general terms;
  • (P2) the rules must be publicly promulgated;
  • (P3) the rules must be prospective in effect;
  • (P4) the rules must be expressed in understandable terms;
  • (P5) the rules must be consistent with one another;
  • (P6) the rules must not require conduct beyond the powers of the affected parties;
  • (P7) the rules must not be changed so frequently that the subject cannot rely on them; and
  • (P8) the rules must be administered in a manner consistent with their wording.

On Fuller’s view, no system of rules that fails minimally to satisfy these principles of legality can achieve law’s essential purpose of achieving social order through the use of rules that guide behavior. A system of rules that fails to satisfy (P2) or (P4), for example, cannot guide behavior because people will not be able to determine what the rules require. Accordingly, Fuller concludes that his eight principles are “internal” to law in the sense that they are built into the existence conditions for law.

These internal principles constitute a morality, according to Fuller, because law necessarily has positive moral value in two respects: (1) law conduces to a state of social order and (2) does so by respecting human autonomy because rules guide behavior. Since no system of rules can achieve these morally valuable objectives without minimally complying with the principles of legality, it follows, on Fuller’s view, that they constitute a morality. Since these moral principles are built into the existence conditions for law, they are internal and hence represent a conceptual connection between law and morality. Thus, like the classical naturalists and unlike Finnis, Fuller subscribes to the strongest form of the Overlap Thesis, which makes him a conceptual naturalist.

Nevertheless, Fuller’s conceptual naturalism is fundamentally different from that of classical naturalism. First, Fuller rejects the classical naturalist view that there are necessary moral constraints on the content of law, holding instead that there are necessary moral constraints on the procedural mechanisms by which law is made and administered: “What I have called the internal morality of law is … a procedural version of natural law … [in the sense that it is] concerned, not with the substantive aims of legal rules, but with the ways in which a system of rules for governing human conduct must be constructed and administered if it is to be efficacious and at the same time remain what it purports to be” (Fuller 1964, 96- 97).

Second, Fuller identifies the conceptual connection between law and morality at a higher level of abstraction than the classical naturalists. The classical naturalists view morality as providing substantive constraints on the content of individual laws; an unjust norm, on this view, is conceptually disqualified from being legally valid. In contrast, Fuller views morality as providing a constraint on the existence of a legal system: “A total failure in any one of these eight directions does not simply result in a bad system of law; it results in something that is not properly called a legal system at all” (Fuller 1964, 39).

Fuller’s procedural naturalism is vulnerable to a number of objections. H.L.A. Hart, for example, denies Fuller’s claim that the principles of legality constitute an internal morality; according to Hart, Fuller confuses the notions of morality and efficacy:

[T]he author’s insistence on classifying these principles of legality as a “morality” is a source of confusion both for him and his readers…. [T]he crucial objection to the designation of these principles of good legal craftsmanship as morality, in spite of the qualification “inner,” is that it perpetrates a confusion between two notions that it is vital to hold apart: the notions of purposive activity and morality. Poisoning is no doubt a purposive activity, and reflections on its purpose may show that it has its internal principles. (“Avoid poisons however lethal if they cause the victim to vomit”….) But to call these principles of the poisoner’s art “the morality of poisoning” would simply blur the distinction between the notion of efficiency for a purpose and those final judgments about activities and purposes with which morality in its various forms is concerned (Hart 1965, 1285-86).

On Hart’s view, all actions, including virtuous acts like lawmaking and impermissible acts like poisoning, have their own internal standards of efficacy. But insofar as such standards of efficacy conflict with morality, as they do in the case of poisoning, it follows that they are distinct from moral standards. Thus, while Hart concedes that something like Fuller’s eight principles are built into the existence conditions for law, he concludes they do not constitute a conceptual connection between law and morality.

Unfortunately, Hart overlooks the fact that most of Fuller’s eight principles double as moral ideals of fairness. For example, public promulgation in understandable terms may be a necessary condition for efficacy, but it is also a moral ideal; it is morally objectionable for a state to enforce rules that have not been publicly promulgated in terms reasonably calculated to give notice of what is required. Similarly, we take it for granted that it is wrong for a state to enact retroactive rules, inconsistent rules, and rules that require what is impossible. Poisoning may have its internal standards of efficacy, but such standards are distinguishable from the principles of legality in that they conflict with moral ideals.

Nevertheless, Fuller’s principles operate internally, not as moral ideals, but merely as principles of efficacy. As Fuller would likely acknowledge, the existence of a legal system is consistent with considerable divergence from the principles of legality. Legal standards, for example, are necessarily promulgated in general terms that inevitably give rise to problems of vagueness. And officials all too often fail to administer the laws in a fair and even-handed manner even in the best of legal systems. These divergences may always be prima facie objectionable, but they are inconsistent with a legal system only when they render a legal system incapable of performing its essential function of guiding behavior. Insofar as these principles are built into the existence conditions for law, it is because they operate as efficacy conditions and not because they function as moral ideals.

5. Ronald Dworkin’s “Third Theory”

Ronald Dworkin’s so-called third theory of law is best understood as a response to legal positivism, which is essentially constituted by three theoretical commitments: the Social Fact Thesis, the Conventionality Thesis, and the Separability Thesis. The Social Fact Thesis asserts it is a necessary truth that legal validity is ultimately a function of certain kinds of social facts; the idea here is that what ultimately explains the validity of a law is the presence of certain social facts, especially formal promulgation by a legislature.

The Conventionality Thesis emphasizes law’s conventional nature, claiming that the social facts giving rise to legal validity are authoritative in virtue of a social convention. On this view, the criteria that determine whether or not any given norm counts as a legal norm are binding because of an implicit or explicit agreement among officials. Thus, for example, the U.S. Constitution is authoritative in virtue of the conventional fact that it was formally ratified by all fifty states.

The Separability Thesis, at the most general level, simply denies naturalism’s Overlap Thesis; according to the Separability Thesis, there is no conceptual overlap between the notions of law and morality. As Hart more narrowly construes it, the Separability Thesis is “just the simple contention that it is in no sense a necessary truth that laws reproduce or satisfy certain demands of morality, though in fact they have often done so” (Hart 1994, 185-186).

Dworkin rejects positivism’s Social Fact Thesis on the ground that there are some legal standards the authority of which cannot be explained in terms of social facts. In deciding hard cases, for example, judges often invoke moral principles that Dworkin believes do not derive their legal authority from the social criteria of legality contained in a rule of recognition (Dworkin 1977, p. 40).

In Riggs v. Palmer, for example, the court considered the question of whether a murderer could take under the will of his victim. At the time the case was decided, neither the statutes nor the case law governing wills expressly prohibited a murderer from taking under his victim’s will. Despite this, the court declined to award the defendant his gift under the will on the ground that it would be wrong to allow him to profit from such a grievous wrong. On Dworkin’s view, the court decided the case by citing “the principle that no man may profit from his own wrong as a background standard against which to read the statute of wills and in this way justified a new interpretation of that statute” (Dworkin 1977, 29).

On Dworkin’s view, the Riggs court was not just reaching beyond the law to extralegal standards when it considered this principle. For the Riggs judges would “rightfully” have been criticized had they failed to consider this principle; if it were merely an extralegal standard, there would be no rightful grounds to criticize a failure to consider it (Dworkin 1977, 35). Accordingly, Dworkin concludes that the best explanation for the propriety of such criticism is that principles are part of the law.

Further, Dworkin maintains that the legal authority of standards like the Riggs principle cannot derive from promulgation in accordance with purely formal requirements: “[e]ven though principles draw support from the official acts of legal institutions, they do not have a simple or direct enough connection with these acts to frame that connection in terms of criteria specified by some ultimate master rule of recognition” (Dworkin 1977, 41).

On Dworkin’s view, the legal authority of the Riggs principle can be explained wholly in terms of its content. The Riggs principle was binding, in part, because it is a requirement of fundamental fairness that figures into the best moral justification for a society’s legal practices considered as a whole. A moral principle is legally authoritative, according to Dworkin, insofar as it maximally conduces to the best moral justification for a society’s legal practices considered as a whole.

Dworkin believes that a legal principle maximally contributes to such a justification if and only if it satisfies two conditions: (1) the principle coheres with existing legal materials; and (2) the principle is the most morally attractive standard that satisfies (1). The correct legal principle is the one that makes the law the moral best it can be. Accordingly, on Dworkin’s view, adjudication is and should be interpretive:

[J]udges should decide hard cases by interpreting the political structure of their community in the following, perhaps special way: by trying to find the best justification they can find, in principles of political morality, for the structure as a whole, from the most profound constitutional rules and arrangements to the details of, for example, the private law of tort or contract (Dworkin 1982, 165).

There are, thus, two elements of a successful interpretation. First, since an interpretation is successful insofar as it justifies the particular practices of a particular society, the interpretation must fit with those practices in the sense that it coheres with existing legal materials defining the practices. Second, since an interpretation provides a moral justification for those practices, it must present them in the best possible moral light.

For this reason, Dworkin argues that a judge should strive to interpret a case in roughly the following way:

A thoughtful judge might establish for himself, for example, a rough “threshold” of fit which any interpretation of data must meet in order to be “acceptable” on the dimension of fit, and then suppose that if more than one interpretation of some part of the law meets this threshold, the choice among these should be made, not through further and more precise comparisons between the two along that dimension, but by choosing the interpretation which is “substantively” better, that is, which better promotes the political ideals he thinks correct (Dworkin 1982, 171).

As Dworkin conceives it, then, the judge must approach judicial decision-making as something that resembles an exercise in moral philosophy. Thus, for example, the judge must decide cases on the basis of those moral principles that “figure[] in the soundest theory of law that can be provided as a justification for the explicit substantive and institutional rules of the jurisdiction in question” (Dworkin 1977, 66).

And this is a process, according to Dworkin, that “must carry the lawyer very deep into political and moral theory.” Indeed, in later writings, Dworkin goes so far as to claim, somewhat implausibly, that “any judge’s opinion is itself a piece of legal philosophy, even when the philosophy is hidden and the visible argument is dominated by citation and lists of facts” (Dworkin 1986, 90).

Dworkin believes his theory of judicial obligation is a consequence of what he calls the Rights Thesis, according to which judicial decisions always enforce pre-existing rights: “even when no settled rule disposes of the case, one party may nevertheless have a right to win. It remains the judge’s duty, even in hard cases, to discover what the rights of the parties are, not to invent new rights retrospectively” (Dworkin 1977, 81).

In “Hard Cases,” Dworkin distinguishes between two kinds of legal argument. Arguments of policy “justify a political decision by showing that the decision advances or protects some collective goal of the community as a whole” (Dworkin 1977, 82). In contrast, arguments of principle “justify a political decision by showing that the decision respects or secures some individual or group right” (Dworkin 1977, 82).

On Dworkin’s view, while the legislature may legitimately enact laws that are justified by arguments of policy, courts may not pursue such arguments in deciding cases. For a consequentialist argument of policy can never provide an adequate justification for deciding in favor of one party’s claim of right and against another party’s claim of right. An appeal to a pre-existing right, according to Dworkin, can ultimately be justified only by an argument of principle. Thus, insofar as judicial decisions necessarily adjudicate claims of right, they must ultimately be based on the moral principles that figure into the best justification of the legal practices considered as a whole.

Notice that Dworkin’s views on legal principles and judicial obligation are inconsistent with all three of legal positivism’s core commitments. Each contradicts the Conventionality Thesis insofar as judges are bound to interpret posited law in light of unposited moral principles. Each contradicts the Social Fact Thesis because these moral principles count as part of a community’s law regardless of whether they have been formally promulgated. Most importantly, Dworkin’s view contradicts the Separability Thesis in that it seems to imply that some norms are necessarily valid in virtue of their moral content. It is his denial of the Separability Thesis that places Dworkin in the naturalist camp.

6. References and Further Reading

  • Thomas Aquinas, On Law, Morality and Politics (Indianapolis: Hackett Publishing Co., 1988)
  • John Austin, Lectures on Jurisprudence and the Philosophy of Positive Law (St. Clair Shores, MI: Scholarly Press, 1977)
  • John Austin, The Province of Jurisprudence Determined (Cambridge: Cambridge University Press, 1995)
  • Jeremy Bentham, A Fragment of Government (Cambridge: Cambridge University Press, 1988)
  • Jeremy Bentham, Of Laws In General (London: Athlone Press, 1970) Jeremy Bentham, The Principles of Morals and Legislation (New York: Hafner Press, 1948)
  • Brian Bix, “On Description and Legal Reasoning,” in Linda Meyer (ed.), Rules and Reasoning (Oxford: Hart Publishing, 1999)
  • Brian Bix, Jurisprudence: Theory and Context (Boulder, CO: Westview Press, 1996) Brian Bix, “Natural Law Theory,” in Dennis M. Patterson (ed.), A Companion to Philosophy of Law and Legal Theory (Cambridge: Blackwell Publishing Co., 1996)
  • William Blackstone, Commentaries on the Law of England (Chicago: The University of Chicago Press, 1979)
  • Jules L. Coleman, “On the Relationship Between Law and Morality,” Ratio Juris, vol. 2, no. 1 (1989), 66-78
  • Jules L. Coleman, “Negative and Positive Positivism,” 11 Journal of Legal Studies 139 (1982)
  • Jules L. Coleman and Jeffrie Murphy, Philosophy of Law (Boulder, CO: Westview Press, 1990)
  • Ronald M. Dworkin, Law’s Empire (Cambridge: Harvard University Press, 1986)
  • Ronald M. Dworkin, Taking Rights Seriously (Cambridge: Harvard University Press, 1977)
  • John Finnis, Natural Law and Natural Rights (Oxford: Clarendon Press, 1980)
  • John Finnis, “The Truth in Legal Positivism,” in Robert P. George, The Autonomy of Law (Oxford: Clarendon Press, 1996), 195-214
  • Lon L. Fuller, The Morality of Law, Revised Edition (New Haven: Yale University Press, 1964)
  • Lon L. Fuller, “A Reply to Professors Cohen and Dworkin”, 10 Villanova Law Review 655 (1965), 657. Lon L. Fuller, “Positivism and Fidelity to Law–A Reply to Professor Hart,” 71 Harvard Law Review 630 (1958)
  • Klaus F¸þer, “Farewell to ‘Legal Positivism’: The Separation Thesis Unravelling,” in George, The Autonomy of Law, 119-162
  • Robert P. George, “Natural Law and Positive Law,” in George, The Autonomy of Law, 321-334
  • Robert P. George, Natural Law Theory: Contemporary Essays (Oxford: Clarendon Press, 1992)
  • H.L.A. Hart, The Concept of Law, Second Edition (Oxford: Clarendon Press, 1994)
  • H.L.A. Hart, “Book Review of The Morality of Law” 78 Harvard Law Review 1281 (1965) H.L.A. Hart, Essays on Bentham (Oxford: Clarendon Press, 1982) H.L.A. Hart, “Positivism and the Separation of Law and Morals,” 71 Harvard Law Review 593 (1958)
  • Kenneth Einar Himma, “Positivism, Naturalism, and the Obligation to Obey Law,” Southern Journal of Philosophy, vol. 36, no. 2 (Summer 1999)
  • Kenneth Einar Himma, “Functionalism and Legal Theory: The Hart/Fuller Debate Revisited,” De Philosophia, vol. 14, no. 2 (Fall/Winter 1998)
  • J.L. Mackie, “The Third Theory of Law,” Philosophy & Public Affairs, Vol. 7, No. 1 (Fall 1977)
  • Michael Moore, “Law as a Functional Kind,” in George, Natural Law Theory, 188- 242
  • Joseph Raz, The Authority of Law: Essays on Law and Morality (Oxford: Clarendon Press, 1979)
  • Joseph Raz, “Authority, Law and Morality,” The Monist, vol. 68, 295-324 Joseph Raz, “Legal Principles and the Limits of Law,” 81 Yale Law Review 823 (1972)
  • Geoffrey Sayre-McCord, “The Many Moral Realisms,” in Sayre-McCord (ed.), Essays on Moral Realism (Ithica: Cornell University Press, 1988)

Author Information

Kenneth Einar Himma
Email: himma@spu.edu
Seattle Pacific University
U. S. A.

Neo-Platonism

Neo-platonism (or Neoplatonism) is a modern term used to designate the period of Platonic philosophy beginning with the work of Plotinus and ending with the closing of the Platonic Academy by the Emperor Justinian in 529 C.E. This brand of Platonism, which is often described as ‘mystical’ or religious in nature, developed outside the mainstream of Academic Platonism. The origins of Neoplatonism can be traced back to the era of Hellenistic syncretism which spawned such movements and schools of thought as Gnosticism and the Hermetic tradition. A major factor in this syncretism, and one which had an immense influence on the development of Platonic thought, was the introduction of the Jewish Scriptures into Greek intellectual circles via the translation known as the Septuagint. The encounter between the creation narrative of Genesis and the cosmology of Plato’s Timaeus set in motion a long tradition of cosmological theorizing that finally culminated in the grand schema of Plotinus’ Enneads. Plotinus’ two major successors, Porphyry and Iamblichus, each developed, in their own way, certain isolated aspects of Plotinus’ thought, but neither of them developed a rigorous philosophy to match that of their master. It was Proclus who, shortly before the closing of the Academy, bequeathed a systematic Platonic philosophy upon the world that in certain ways approached the sophistication of Plotinus. Finally, in the work of the so-called Pseudo-Dionysius, we find a grand synthesis of Platonic philosophy and Christian theology that was to exercise an immense influence on mediaeval mysticism and Renaissance Humanism.

Table of Contents

  1. What is Neoplatonism?
  2. Plotinian Neoplatonism
    1. Contemplation and Creation
    2. Nature and Personality
    3. Salvation and the Cosmic Process
      1. Plotinus’ Last Words
    4. The Achievement of Plotinus
      1. The Plotinian Synthesis
  3. Porphyry and Iamblichus
    1. The Nature of the Soul
      1. The (re)turn to Astrology
    2. The Quest for Transcendence
      1. Theurgy and the Distrust of Dialectic
  4. Proclus and Pseudo-Dionysius
    1. Being — Becoming — Being
    2. The God Beyond Being
  5. Appendix: The Renaissance Platonists
  6. References and Further Reading

1. What is Neoplatonism?

The term ‘Neoplatonism’ is a modern construction. Plotinus, who is often considered the ‘founder’ of Neoplatonism, would not have considered himself a “new” Platonist in any sense, but simply an expositor of the doctrines of Plato. That this required him to formulate an entirely new philosophical system would not have been viewed by him as a problem, for it was, in his eyes, precisely what the Platonic doctrine required. In a sense, this is true, for as early as the Old Academy we find Plato’s successors struggling with the proper interpretation of his thought, and arriving at strikingly different conclusions. Also, in the Hellenistic era, certain Platonic ideas were taken up by thinkers of various loyalties — Jewish, Gnostic, Christian — and worked up into new forms of expression that varied quite considerably from what Plato actually wrote in his Dialogues. Should this lead us to the conclusion that these thinkers were any less ‘loyal’ to Plato than were the members of the Academy (in its various forms throughout the centuries preceding Plotinus)? No; for the multiple and often contradictory uses made of Platonic ideas is a testament to the universality of Plato’s thought — that is, its ability to admit of a wide variety of interpretations and applications. In this sense, Neo-Platonism may be said to have begun immediately after Plato’s death, when new approaches to his philosophy were being broached. Indeed, we already see a hint, in the doctrines of Xenocrates (the second head of the Old Academy) of a type of salvation theory involving the unification of the two parts of the human soul — the “Olympian” or heavenly, and the “Titanic” or earthly (Dillon 1977, p. 27). If we accept Frederick Copleston’s description of Neoplatonism as “the intellectualist reply to the … yearning for personal salvation” (Copleston 1962, p. 216) we can already locate the beginning of this reply as far back as the Old Academy, and Neoplatonism would then not have begun with Plotinus. However, it is not clear that Xenocrates’ idea of salvation involved the individual; it is quite possible that he was referring to a unified human nature in an abstract sense. In any case, the early Hermetic-Gnostic tradition is certainly to an extent Platonic, and later Gnosticism and Christian Logos theology markedly so. If an intellectual reply to a general yearning for personal salvation is what characterizes Neoplatonism, then the highly intellectual Gnostics and Christians of the Late Hellenistic era must be given the title of Neoplatonists. However, if we are to be rigorous and define Neoplatonism as the synthesis of various more or less ‘Platonistic’ ideas into a grand expression of Platonic philosophy, then Plotinus must be considered the founder of Neoplatonism. Yet we must not forget that these Platonizing Christian, Gnostic, Jewish, and other ‘pagan’ thinkers provided the necessary speculative material to make this synthesis possible.

2. Plotinian Neoplatonism

The great third century thinker and ‘founder’ of Neoplatonism, Plotinus, is responsible for the grand synthesis of progressive Christian and Gnostic ideas with the traditional Platonic philosophy. He answered the challenge of accounting for the emergence of a seemingly inferior and flawed cosmos from the perfect mind of the divinity by declaring outright that all objective existence is but the external self-expression of an inherently contemplative deity known as the One (to hen), or the Good (ta kalon). Plotinus compares the expression of the superior godhead with the self-expression of the individual soul, which proceeds from the perfect conception of a Form (eidos), to the always flawed expression of this Form in the manner of a materially derived ‘personality’ that risks succumbing to the demands of divisive discursivity, and so becomes something less than divine. This diminution of the divine essence in temporality is but a necessary moment of the complete expression of the One. By elevating the experience of the individual soul to the status of an actualization of a divine Form, Plotinus succeeded, also, in preserving, if not the autonomy, at least the dignity and ontological necessity of personality. The Cosmos, according to Plotinus, is not a created order, planned by a deity on whom we can pass the charge of begetting evil; for the Cosmos is the self-expression of the Soul, which corresponds, roughly, to Philo’s logos prophorikos, the logos endiathetos of which is the Intelligence (nous). Rather, the Cosmos, in Plotinian terms, is to be understood as the concrete result or ‘product’ of the Soul’s experience of its own Mind (nous). Ideally, this concrete expression should serve the Soul as a reference-point for its own self-conscious existence; however, the Soul all too easily falls into the error of valuing the expression over the principle (arkhê), which is the contemplation of the divine Forms. This error gives rise to evil, which is the purely subjective relation of the Soul (now divided) to the manifold and concrete forms of its expressive act. When the Soul, in the form of individual existents, becomes thus preoccupied with its experience, Nature comes into being, and the Cosmos takes on concrete form as the locus of personality.

a. Contemplation and Creation

Hearkening back, whether consciously or not, to the doctrine of Speusippus (Plato’s successor in the Academy) that the One is utterly transcendent and “beyond being,” and that the Dyad is the true first principle (Dillon 1977, p. 12), Plotinus declares that the One is “alone with itself” and ineffable (cf. Enneads VI.9.6 and V.2.1). The One does not act to produce a cosmos or a spiritual order, but simply generates from itself, effortlessly, a power (dunamis) which is at once the Intellect (nous) and the object of contemplation (theôria) of this Intellect. While Plotinus suggests that the One subsists by thinking itself as itself, the Intellect subsists through thinking itself as other, and therefore becomes divided within itself: this act of division within the Intellect is the production of Being, which is the very principle of expression or discursivity (Ennead V.1.7). For this reason, the Intellect stands as Plotinus’ sole First Principle. At this point, the thinking or contemplation of the Intellect is divided up and ordered into thoughts, each of them subsisting in and for themselves, as autonomous reflections of the dunamis of the One. These are the Forms (eidê), and out of their inert unity there arises the Soul, whose task it is to think these Forms discursively and creatively, and to thereby produce or create a concrete, living expression of the divine Intellect. This activity of the Soul results in the production of numerous individual souls: living actualizations of the possibilities inherent in the Forms. Whereas the Intellect became divided within itself through contemplation, the Soul becomes divided outside of itself, through action (which is still contemplation, according to Plotinus, albeit the lowest type; cf. Ennead III.8.4), and this division constitutes the Cosmos, which is the expressive or creative act of the Soul, also referred to as Nature. When the individual soul reflects upon Nature as its own act, this soul is capable of attaining insight (gnôsis) into the essence of Intellect; however, when the soul views nature as something objective and external — that is, as something to be experienced or undergone, while forgetting that the soul itself is the creator of this Nature — evil and suffering ensue. Let us now examine the manner in which Plotinus explains Nature as the locus of personality.

b. Nature and Personality

Contemplation, at the level of the Soul, is for Plotinus a two-way street. The Soul both contemplates, passively, the Intellect, and reflects upon its own contemplative act by producing Nature and the Cosmos. The individual souls that become immersed in Nature, as moments of the Soul’s eternal act, will, ideally, gain a complete knowledge of the Soul in its unity, and even of the Intellect, by reflecting upon the concrete results of the Soul’s act — that is, upon the externalized, sensible entities that comprise the physical Cosmos. This reflection, if carried by the individual soul with a memory of its provenance always in the foreground, will lead to a just governing of the physical Cosmos, which will make of it a perfect material image of the Intellectual Cosmos, i.e., the realm of the Forms (cf. Enneads IV.3.7 and IV.8.6). However, things don’t always turn out so well, for individual souls often “go lower than is needful … in order to light the lower regions, but it is not good for them to go so far” (Ennead IV.3.17, tr. O’Brien 1964). For when the soul extends itself ever farther into the indeterminacy of materiality, it gradually loses memory of its divine origin, and comes to identify itself more and more with its surroundings — that is to say: the soul identifies itself with the results of the Soul’s act, and forgets that it is, as part of this Soul, itself an agent of the act. This is tantamount to a relinquishing, by the soul, of its divine nature. When the soul has thus abandoned itself, it begins to accrue many alien encrustations, if you will, that make of it something less than divine. These encrustations are the ‘accidents’ (in the Aristotelian sense) of personality. And yet the soul is never completely lost, for, as Plotinus insists, the soul need simply “think upon essential being” in order to return to itself, and continue to exist authentically as a governor of the Cosmos (Ennead IV.8.4-6). The memory of the personality that this wandering soul possessed must be forgotten in order for it to return completely to its divine nature; for if it were remembered, we would have to say, contradictorily, that the soul holds a memory of what occurred during its state of forgetfulness! So in a sense, Plotinus holds that individual personalities are not maintained at the level of Soul. However, if we understand personality as more than just a particular attitude attached to a concrete mode of existence, and rather view it as the sum total of experiences reflected upon in intellect, then souls most certainly retain their personalities, even at the highest level, for they persist as thoughts within the divine Mind (cp. Ennead IV.8.5). The personality that one acquires in action (the lowest type of contemplation) is indeed forgotten and dissolved, but the ‘personality’ or persistence in intellect that one achieves through virtuous acts most definitely endures (Ennead IV.3.32).

c. Salvation and the Cosmic Process

Plotinus, like his older contemporary, the Christian philosopher Origen of Alexandria, views the descent of the soul into the material realm as a necessary moment in the unfolding of the divine Intellect, or God. For this reason, the descent itself is not an evil, for it is a reflection of God’s essence. Both Origen and Plotinus place the blame for experiencing this descent as an evil squarely upon the individual soul. Of course, these thinkers held, respectively, quite different views as to why and how the soul experiences the descent as an evil; but they held one thing in common: that the rational soul will naturally choose the Good, and that any failure to do so is the result of forgetfulness or acquired ignorance. But whence this failure? Origen gave what, to Plotinus’ mind, must have been a quite unsatisfactory answer: that souls pre-existed as spiritual beings, and when they desired to create or ‘beget’ independently of God, they all fell into error, and languished there until the coming of Logos Incarnate. This view has more than a little Gnostic flavor to it, which would have sat ill with Plotinus, who was a great opponent of Gnosticism. The fall of the soul Plotinus refers, quite simply, to the tension between pure contemplation and divisive action — a tension that constitutes the natural mode of existence of the soul (cf. Ennead IV.8.6-7). Plotinus tells us that a thought is only completed or fully comprehended after it has been expressed, for only then can the thought be said to have passed from potentiality to actuality (Ennead IV.3.30). The question of whether Plotinus places more value on the potential or the actual is really of no consequence, for in the Plotinian plêrôma every potentiality generates an activity, and every activity becomes itself a potential for new activity (cf. Ennead III.8.8); and since the One, which is the goal or object of desire of all existents, is neither potentiality nor actuality, but “beyond being” (epekeina ousias), it is impossible to say whether the striving of existents, in Plotinus’ schema, will result in full and complete actualization, or in a repose of potentiality that will make them like their source. “Likeness to God as far as possible,” for Plotinus, is really likeness to oneself — authentic existence. Plotinus leaves it up to the individual to determine what this means.

i. Plotinus’ Last Words

In his biography of Plotinus, Porphyry records the last words of his teacher to his students as follows: “Strive to bring back the god in yourselves to the God in the All” (Porphyry, Life of Plotinus 2, my translation). After uttering these words, Plotinus, one of the greatest philosophers the world has ever known, passed away. The simplicity of this final statement seems to be at odds with the intellectual rigors of Plotinus’ treatises, which challenge — and more often than not vanquish — just about every prominent philosophical view of the era. But this is only if we take this remark in a mystical or ecstatic religious sense. Plotinus demanded the utmost level of intellectual clarity in dealing with the problem of humankind’s relation to the highest principle of existence. Striving for or desiring salvation was not, for Plotinus, an excuse for simply abandoning oneself to faith or prayer or unreflective religious rituals; rather, salvation was to be achieved through the practice of philosophical investigation, of dialectic. The fact that Plotinus, at the end of his life, had arrived at this very simple formulation, serves to show that his dialectical quest was successful. In his last treatise, “On the Primal Good” (Ennead I.7), Plotinus is able to assert, in the same breath, that both life and death are good. He says this because life is the moment in which the soul expresses itself and revels in the autonomy of the creative act. However, this life, since it is characterized by action, eventually leads to exhaustion, and the desire, not for autonomous action, but for reposeful contemplation — of a fulfillment that is purely intellectual and eternal. Death is the relief of this exhaustion, and the return to a state of contemplative repose. Is this return to the Intellect a return to potentiality? It is hard to say. Perhaps it is a synthesis of potentiality and actuality: the moment at which the soul is both one and many, both human and divine. This would constitute Plotinian salvation — the fulfillment of the exhortation of the dying sage.

d. The Achievement of Plotinus

In the last analysis, what stands as the most important and impressive accomplishment of Plotinus is the manner in which he synthesized the pure, ‘semi-mythical’ expression of Plato with the logical rigors of the Peripatetic and Stoic schools, yet without losing sight of philosophy’s most important task: of rendering the human experience in intelligible and analyzable terms. That Plotinus’ thought had to take the ‘detour’ through such wildly mystical and speculative paths as Gnosticism and Christian salvation theology is only proof of his clear-sightedness, thoroughness, and admirable humanism. For all of his dialectical difficulties and perambulations, Plotinus’ sole concern is with the well-being (eudaimonia) of the human soul. This is, of course, to be understood as an intellectual, as opposed to a merely physical or even emotional well-being, for Plotinus was not concerned with the temporary or the temporal. The striving of the human mind for a mode of existence more suited to its intuited potential than the ephemeral possibilities of this material realm, while admittedly a striving born of temporality, is nonetheless directed toward atemporal and divine perfection. This is a striving or desire rendered all the more poignant and worthy of philosophy precisely because it is born in the depths of existential angst, and not in the primitive ecstasies of unreflective ritual. As the last true representative of the Greek philosophical spirit, Plotinus is Apollonian, not Dionysian. His concern is with the intellectual beautification of the human soul, and for this reason his notion of salvation does not, like Origen’s, imply an eternal state of objective contemplation of the divinity — for Plotinus, the separation between human and god breaks down, so that when the perfected soul contemplates itself, it is also contemplating the Supreme.

i. The Plotinian Synthesis

Plotinus was faced with the task of defending the true Platonic philosophy, as he understood it, against the inroads being made, in his time, most of all by Gnostics, but also by orthodox Christianity. Instead of launching an all-out attack on these new ideas, Plotinus took what was best from them, in his eyes, and brought these ideas into concert with his own brand of Platonism. For this reason, we are sometimes surprised to see Plotinus, in one treatise, speaking of the cosmos as a realm of forgetfulness and error, while in another, speaking of the cosmos as the most perfect expression of the godhead. Once we realize the extent to which certain Gnostic sects went in order to brand this world as a product of an evil and malignant Demiurge, to whom we owe absolutely no allegiance, it becomes clear that Plotinus was simply trying to temper the extreme form of an idea which he himself shared, though in a less radical sense. The feeling of being thrown into a hostile and alien world is a philosophically valid position from which to begin a critique and investigation of human existence; indeed, modern existentialist philosophers have often started from this same premise. However, Plotinus realized that it is not the nature of the human soul to simply escape from a realm of active engagement with external reality (the cosmos) to a passive receptance of divine form (within the plêrôma). The Soul, as Plotinus understands it, is an essentially creative being, and one which understands existence on its own terms. One of the beauties of Plotinus’ system is that everything he says concerning the nature of the Cosmos (spiritual and physical) can equally be held of the Soul. Now while it would be false to charge Plotinus with solipsism (or even narcissism, as one prominent commentator has done; cf. Julia Kristeva in Hadot 1993, p. 11), it would be correct to say that the entire Cosmos is an analogue of the experience of the Soul, which results in the attainment of full self-consciousness. The form of Plotinus’ system is the very form by which the Soul naturally comes to know itself in relation to its acts; and the expression of the Soul will always, therefore, be a philosophical expression. When we speak of the Plotinian synthesis, then, what we are speaking of is a natural dialectic of the Soul, which takes its own expressions into account, no matter how faulty or incomplete they may appear in retrospect, and weaves them into a cosmic tapestry of noetic images.

3. Porphyry and Iamblichus

Porphyry of Tyre (ca. 233-305 CE) is the most famous pupil of Plotinus. In addition to writing an introductory summary of his master’s theories (the treatise entitled Launching-Points to the Realm of Mind), Porphyry also composed the famous Isagoge, an introduction to the Categories of Aristotle, which came to exercise an immense influence on Mediaeval Scholasticism. The extent of Porphyry’s investigative interests exceeded that of his teacher, and his so-called “scientific” works, which survive to this day, include a treatise on music (On Prosody), and two studies of the astronomical and astrological theories of Claudius Ptolemy (ca. 70-140 CE), On the Harmonics, and an Introduction to The Astronomy of Ptolemy. He wrote biographies of Pythagoras and Plotinus, and edited and compiled the latter’s essays into six books, each containing nine treatises, giving them the title Enneads. Unlike Plotinus, Porphyry was interested primarily in the practical aspect of salvific striving, and the manner in which the soul could most effectively bring about its transference to ever higher realms of existence. This led Porphyry to develop a doctrine of ascent to the Intellect by way of the exercise of virtue (aretê) in the form of ‘good works’. This doctrine may owe its genesis to Porphyry’s supposed early adherence to Christianity, as attested by the historian Socrates, and suggested by St. Augustine (cf. Copleston 1962, p. 218). If Porphyry had, at some point, been a Christian, this would account for his belief in the soul’s objective relation to the divine Mind — an idea shared by Origen, whom Porphyry knew as a youth (cf. Eusebius, The History of the Church, p. 195) — and would explain his quite un-Plotinian belief in a gradual progress toward perfection, as opposed to the ‘instant salvation’ proposed by Plotinus (cf. Ennead IV.8.4).

Iamblichus of Apamea (d. ca. 330 CE) was a student of Porphyry. He departed from his teacher on more than a few points, most notably in his insistence on demoting Plotinus’ One (which Porphyry left unscathed, as it were) to the level of kosmos noêtos, which according to Iamblichus generates the intellectual realm (kosmos noêros). In this regard, Iamblichus can be said to have either severely misunderstood, or neglected to even attempt to understand, Plotinus on the important doctrine of contemplation (see above). This view led Iamblichus to posit a Supreme One even higher than the One of Plotinus, which generates the Intellectual Cosmos, and yet remains beyond all predication and determinacy. Iamblichus also made a tripartite division of Soul, positing a cosmic or All-Soul, and two lesser souls, corresponding to the rational and irrational faculties, respectively. This somewhat gratuitous skewing of the Plotinian noetic realm also led Iamblichus to posit an array of intermediate spiritual beings between the lower souls and the intelligible realm — daemons, the souls of heroes, and angels of all sorts. By placing so much distance between the earthly soul and the intelligible realm, Iamblichus made it difficult for the would-be philosopher to gain an intuitive knowledge of the higher Soul, although he insisted that everyone possesses such knowledge, coupled with an innate desire for the Good. In place of the vivid dialectic of Plotinus, Iamblichus established the practice of theurgy (theourgia), which he insists does not draw the gods down to man, but rather renders humankind, “who through generation are born subject to passion, pure and unchangeable” (On the Mysteries I.12.42; in Fowden 1986, p. 133). Whereas “likeness to God” had meant, for Plotinus, a recollection and perfection of one’s own divine nature (which is, in the last analysis, identical to nous; cf. Ennead III.4), for Iamblichus the relation of humankind to the divine is one of subordinate to superior, and so the pagan religious piety that Plotinus had scorned — “Let the gods come to me, and not I to them,” he had once said (cf. Porphyry, Life of Plotinus 10) — returns to philosophy with a vengeance. Iamblichus is best known for his lengthy treatise On the Mysteries. Like Porphyry, he also wrote a biography of Pythagoras.

a. The Nature of the Soul

In his introduction to the philosophy of Plotinus, entitled Launching-Points to the Realm of Mind, Porphyry remarks that the inclination of the incorporeal Soul toward corporeality “constitutes a second nature [the irrational soul], which unites with the body” (Launching-Points 18 [1]). This remark is supposedly a commentary on Ennead IV.2, where Plotinus discusses the relation of the individual soul to the All-Soul. While it is true that Plotinus often speaks of the individual soul as being independent of the highest Soul, he does this for illustrative purposes, in order to show how far into forgetfulness the soul that has become enamored of its act may fall. Yet Plotinus insists time and again that the individual soul and the All-Soul are one (cf. esp. Ennead IV.1), and that Nature is the Soul’s expressive act (see above). Irrationality does not constitute, for Plotinus, a “second nature,” but is merely a flawed exercise of rationality — that is, doxa untempered by epistêmê — on the part of the individual soul. Furthermore, the individual soul, which comes to unite with corporeality, governs and controls the body, making possible discursive knowledge as well as sense-perception. Uncontrolled pathos is what Plotinus calls irrationality; the soul brings aisthêsis (perceptive judgment) to corporeality, and so prevents it from sinking into irrational passivity. So what led Porphyry to make such an interpretative error, if error it was? It is quite possible that Porphyry had arrived at his own conclusions about the Soul, and tried to square his own theory with what Plotinus actually taught. One clue to the reason for the ‘misunderstanding’ may possibly lie in Porphyry’s early involvement with Christianity. While Porphyry himself never tells us that he had been a Christian, Augustine speaks of him as if he were an apostate, and the historian Socrates states outright that Porphyry had once been of the Christian faith, telling us that he left the fold in disgust after being assaulted by a rowdy band of Christians in Caesarea (Copleston 1962, p. 218). In any case, it is certain that he was acquainted with Plotinus’ older contemporary, the Christian Origen, and that he had been exposed to Christian doctrine. Indeed, his own spirited attack on Christianity (“Fifteen Arguments Against the Christians,” now preserved only in fragments) shows him to have possessed a wide knowledge of Holy Scripture, remarkable for a ‘pagan’ philosopher of that era. Porphyry’s exposure to Christian doctrine, then, would have left him with a view of salvation quite different from that of Plotinus, who seems never to have paid Christianity much mind. The best evidence we have for this explanation is Porphyry’s own theory of salvation — and it is remarkably similar to what we find in Origen! Porphyry’s salvation theory is dependent, like Origen’s, on a notion of the soul’s objective relation to God, and its consequent striving, not to actualize its own divine potentiality, but to attain a level of virtue that makes it capable of partaking fully of the divine essence. This is accomplished through the exercise of virtue, which sets the soul on a gradual course of progress toward the highest Good. Beginning with simple ‘practical virtues’ (politikai arêtai) the soul gradually rises to higher levels, eventually attaining what Porphyry calls the paradeigmatikai arêtai or ‘exemplary virtues’ which make of the soul a living expression of the divine Mind (cf. Porphyry, Letter to Marcella 29). Note that Porphyry stops the soul’s ascent at nous, and presumably holds that the ‘saved’ soul will eternally contemplate the infinite power of the One. If Porphyry’s concern had been with the preservation of personality, then this explanation makes some sense. However, it is more likely that the true reason for Porphyry’s rejection of the radically ‘hubristic’ theory (at least to pietistic pagans) of the nature of the individual soul held by Plotinus was a result of his intention to restore dignity to the traditional religion of the Greeks (which had come under attack not only by Plotinus, but by Christians as well). Evidence of such a program resides in Porphyry’s allegorical interpretations of Homer and traditional cultic practice, as well as his possibly apologetic work on Philosophy from Oracles (now lost). Compared to Plotinus, then, Porphyry was quite the conservative, concerned as he was with maintaining the ancient view of humankind’s relatively humble position in the cosmic hierarchy, over against Plotinus’ view that the soul is a god, owing little more than a passing nod to its ‘noble brethren’ in the heavens.

i. The (re)turn to Astrology

One of the results of Porphyry’s conservative position toward traditional religious practice and belief was the ‘return’ to the doctrine that the stars and planets are capable of affecting and ordering human life. Plotinus argued that since the individual soul is one with the All-Soul, it is in essence a co-creator of the Cosmos, and therefore not really subject to the laws governing the Cosmos — for the soul is the source and agent of those laws! Therefore, a belief in astrology was, for Plotinus, absurd, since if the soul turned to beings dependent upon its own law — i.e., the stars and planets — in order to know itself, then it would only end up knowing aspects of its own act, and would never return to itself in full self-consciousness. Furthermore, as we have seen, Plotinian salvation was instantly available to the soul, if only it would turn its mind to “essential being” (see above); because of this, Plotinus saw no reason to bring the stars and planets into the picture. For Porphyry, however, who believed that the soul must gradually work toward salvation, a knowledge of the operations of the heavenly bodies and their relation to humankind would have been an important tool in gaining ever higher levels of virtue. In fact, Porphyry seems to have held the view that the soul receives certain “powers” from each of the planets — right judgment from Saturn, proper exercise of the will from Jupiter, impulse from Mars, opinion and imagination from the Sun, and (what else?) sensuous desire from Venus; from the Moon the soul receives the power of physical production (cf. Hegel, p. 430) — and that these powers enable to the soul to know things both earthly and heavenly. This theoretical knowledge of the powers of the planets, then, would have made the more practical knowledge of astrology quite useful and meaningful for an individual soul seeking to know itself as such. The usefulness of astrology for Porphyry, in this regard, probably resided in its ability to permit an individual, through an analysis of his birth chart, to know which planet — and therefore which “power” — exercised the dominant influence on his life. In keeping with the ancient Greek doctrine of the “golden mean,” the task of the individual would then be to work to bring to the fore those other “powers” — each present to a lesser degree in the soul, but still active — and thereby achieve a balance or sôphrosunê that would render the soul more capable of sharing in the divine Mind. The art of astrology, it must be remembered, was in wide practice in the Hellenistic world, and Plotinus’ rejection of it was an exception that was by no means the rule. Plotinus’ views on astrology apparently found few adherents, even among Platonists, for we see not only Porphyry, but also (to an extent) Iamblichus and even Proclus declaring its value — the latter being responsible for a paraphrase of Claudius Ptolemy’s astrological compendium known as the Tetrabiblos or sometimes simply as The Astronomy. In addition to penning a commentary on Ptolemy’s tome, Porphyry also wrote his own Introduction to Astronomy (by which is apparently meant “Astrology,” the modern distinction not holding in Hellenistic times). Unfortunately, this work no longer survives intact.

(For more on this topic, see Hellenistic Astrology.)

b. The Quest for Transcendence

The philosophy of Plotinus was highly discursive, meaning that it operated on the assumption that the highest meaning, the most profound truth (even a so-called mystical truth) is translatable, necessarily, into language; and furthermore, that any and every experience only attains its full value as meaning when it has reached expression in the form of language. This idea, of course, placed the One always beyond the discursive understanding of the human soul, since the One was proclaimed, by Plotinus, to be not only beyond discursive knowledge, but also the very source and possibility of such knowledge. According to Plotinus, then, any time the individual soul expresses a certain truth in language, this very act is representative of the power of the One. This notion of the simultaneous intimate proximity of the One to the soul, and, paradoxically, its extreme transcendence and ineffability, is possible only within the confines of a purely subjective and introspective philosophy like that of Plotinus; and since such a philosophy, by its very nature, cannot appeal to common, external perceptions, it is destined to remain the sole provenance of the sensitive and enlightened few. Porphyry did not want to admit this, and so he found himself seeking, as St. Augustine tells us, “a universal way (universalem viam) for the liberation of the soul” (City of God 10.32, in Fowden, p. 132), believing, as he did, that no such way had yet been discovered by or within philosophy. This did not imply, for Porphyry, a wholesale rejection of the Plotinian dialectic in favor of a more esoteric process of salvation; but it did lead Porphyry (see above) to look to astrology as a means of orienting the soul toward its place in the cosmos, and thereby allowing it to achieve the desired salvation in the most efficacious manner possible. Iamblichus, on the other hand, rejected even Porphyry’s approach, in favor of a path toward the divinity that is more worthy of priests (hieratikoi) than philosophers; for Iamblichus believed that not only the One, but all the gods and demi-gods, exceed and transcend the individual soul, making it necessary for the soul seeking salvation to call upon the superior beings to aid it in its progress. This is accomplished, Iamblichus tells us, by “the perfective operation of unspeakable acts (erga) correctly performed … acts which are beyond all understanding (huper pasan noêsin)” and which are “intelligible only to the gods” (On the Mysteries II.11.96-7, in Fowden, p. 132). These ritualistic acts, and the ‘logic’ underlying them, Iamblichus terms “theurgy” (theourgia). These theurgic acts are necessary, for Iamblichus, because he is convinced that philosophy, which is based solely upon thought (ennoia) — and thought, we must remember, is always an accomplishment of the individual mind, and hence discursive — is unable to reach that which is beyond thought. The practice of theurgy, then, becomes a way for the soul to experience the presence of the divinity, instead of merely thinking or conceptualizing the godhead. Porphyry took issue with this view, in his Letter to Anebo, which is really a criticism of the ideas of his pupil, Iamblichus, where he stated that, since theurgy is a physical process, it cannot possibly translate into a spiritual effect. Iamblichus’ On the Mysteries was written as a reply to Porphyry’s criticisms, but the defense of the pupil did not succeed in vanquishing the persistent attacks of the master. While both Porphyry and Iamblichus recognized, to a lesser and greater extent, respectively, the limitations of the Plotinian dialectic, Porphyry held firm to the idea that since the divinity is immaterial it can only be grasped in a noetic fashion — i.e., discursively (and even astrology, in spite of its mediative capacity, is still an intellectual exercise, open to dialectic and narratization); Iamblichus, adhering roughly to the same view, nevertheless argued that the human soul must not think god on its own terms, but must allow itself to be transformed by the penetrating essence of god, of which the soul partakes through rituals intended to transform the particularized, fragmented soul into a being that is “pure and unchangeable” (cf. On the Mysteries I.12.42; Fowden, p. 133).

i. Theurgy and the Distrust of Dialectic

According to the schema of Plotinian dialectic, the ‘stance’ of the individual soul is the sole source of truth certainty, being a judging faculty dependent always upon the higher Soul. From the perspective of one who believes that the soul is immersed in Nature, instead of recognizing, as Plotinus did, the soul’s status as an intimate governor of Nature (which is the Soul’s own act), dialectic may very well appear as a solipsistic (and therefore faulty) attempt on the part of an individual mind to know its reality by imposing conceptual structures and strictures upon the phenomena that constitute this reality. Iamblichus believed that since every individual soul is immersed in the ‘bodily element,’ no soul is capable of understanding the divine nature through the pure exercise of human reason — for reason itself, at the level of the human soul-body composite, is tainted by the changeable nature of matter, and therefore incapable of rising to that perfect knowledge that is beyond all change (cp. Plato, Phaedrus 247e). Dialectic, then, as the soul’s attempt to know reality, is seen by Iamblichus as an attempt by an already fallen being to lead itself up out of the very locus of its own forgetfulness. Now Iamblichus does not completely reject dialectical reason; he simply requests that it be tempered by an appeal to intermediate divinities, who will aid the fallen soul in its ascent back towards the Supreme Good. The practice of ritualistic theurgy is the medium by which the fallen soul ascends to a point at which it becomes capable of engaging in a meaningful dialectic with the divinity. This dependence upon higher powers nevertheless negates the soul’s own innate ability to think itself as god, and so we may say that Iamblichus’ ideas represent a decisive break with the philosophy of Plotinus.

4. Proclus and Pseudo-Dionysius

Proclus (410-485 CE) is, next to Plotinus, the most accomplished and rigorous of the Neoplatonists. Born in Constantinople, he studied philosophy in Athens, and through diligent effort rose to the rank of head teacher or ‘scholarch’ of that great school. In addition to his accomplishments in philosophy, Proclus was also a religious universalist, who had himself initiated into all the mystery religions being practiced during his time. This was doubtless due to the influence of Iamblichus, whom Proclus held in high esteem (cf. Proclus, Theology of Plato III; in Hegel, p. 432). The philosophical expression of Proclus is more precise and logically ordered than that of Plotinus. Indeed, Proclus posits the Intellect (nous) as the culmination of the productive act (paragein) of the One; this is in opposition to Plotinus, who described the Intellect as proceeding directly from the One, thereby placing Mind before Thought, and so making thought the process by which the Intellect becomes alienated from itself, thus requiring the salvific act in order to attain the fulfillment of Being, which is, for Plotinus, the return of Intellect to itself. Proclus understands the movement of existence as a tripartite progression beginning with an abstract unity, passing into a multiplicity that is identified with Life, and returning again to a unity that is no longer merely abstract, but now actualized as an eternal manifestation of the godhead. What constituted, for Plotinus, the salvific drama of human existence is, for Proclus, simply the logical, natural order of things. However, by thus removing the yearning for salvation from human existence, as something to be accomplished, positively, Proclus is ignoring or overly intellectualizing, if you will, an existential aspect of human existence that is as real as it is powerful. Plotinus recognized the importance of the salvific drive for the realization of true philosophy, making philosophy a means to an end; Proclus utilizes philosophy, rather, more in the manner of a useful, descriptive language by which a thinker may describe the essential realities of a merely contingent existence. In this sense, Proclus is more faithful to the ‘letter’ of Plato’s Dialogues; but for this same reason he fails to rise to the ‘spirit’ of the Platonic philosophy. Proclus’ major works include commentaries on Plato’s Timaeus, Republic, Parmenides, Alcibiades I, and the Cratylus. He also wrote treatises on the Theology of Plato, On Providence, and On the Subsistence of Evil. His most important work is undoubtedly the Elements of Theology, which contains the clearest exposition of his ideas.

a. Being — Becoming — Being

We found, in Plotinus, an explanation and expression of a cosmos that involved a gradual development from all but static unity toward eventual alienation — a moment at which the active soul must make the profound decision to renounce autonomous existence and re-merge with the source of all Being, or else remain forever in the darkness of forgetfulness and error. Salvation, for Plotinus, was relatively easy to accomplish, but never guaranteed. For Proclus, on the other hand, the arkhê or ‘ruling beginning’ of all Life is the ‘One-in-itself’ (to auto hen), or that which is responsible for the ordering of all existents, insofar as existence is, in the last analysis, the sovereign act or expression of this primordial unity or monad. The expression of this One is perfectly balanced, being a trinity containing, as distinct expressions, each moment of self-realization of this One; and each of these moments, according to Proclus, have the structure of yet another trinity. The first trinity corresponds to the limit, which is the guide and reference-point of all further manifestations; the second to the unlimited, which is also Life or the productive power (dunamis); and the third, finally, to the ‘mixture’ (mikton, diakosmos), which is the self-reflective moment of return during which the soul realizes itself as a thinking — i.e., living — entity. Thought is, therefore, the culmination of Life and the fulfillment of Being. Thought is also the reason (logos) that binds these triadic unities together in a grand harmonious plêrôma, if you will. Being, for Proclus, is that divine self-presence, “shut up without development and maintained in strict isolation” (Hegel, p. 446) which is the object of Life’s thinking; this ‘object’ gives rise to that thinking which leads, eventually, to understanding (nous), which is the thought of being, and appears (ekphanôs), always, as ‘being’s begetter’. When the circle is completed, and reflected upon, logically, we are met with the following onto-cosmological schema: thought (noêtos, also known as ‘Being’) giving rise to its “negative” which is thinking (Hegel, p. 393) and the thought ‘it is’ (noêtos kai noêros), produces its own precise reflection — ‘pure thinking’ — and this reflection is the very manifestation (phanerôsis) of the deity within the fluctuating arena of individual souls. Being is eternal and static precisely because it always returns to itself as Being; and ‘Becoming’is the conceptual term for this process, which involves the cyclical play between that which is and is not, at any given time. “[T]he thought of every man is identical with the existence of every man, and each is both the thought and the existence” (Proclus, Platonic Theology III., in Hegel, p. 449). The autonomous drive toward dissolution, which is so germane to the soul as such, is wiped away by Proclus, for his dialectic is impeccably clean. However, he does not account for the yearning for the infinite (as does Plotinus) and the consequent existential desire for productive power falls on its face before the supreme god of autonomous creation — which draws all existents into its primeval web of dissolution.

b. The God Beyond Being

Very little is known about the life of the so-called Pseudo-Dionysius. For many centuries, the writings of this mystical philosopher were believed to have been from the pen of none other Dionysius, the disciple of St. Paul. Later scholarship has shed considerable doubt on this claim, and most modern scholars believe this author to have been active during the late fifth century CE. Indeed, the earliest reference to the Dionysian Corpus that we possess is from 533 CE. There is no mention of this author’s work before this date. Careful study of the Pseudo-Dionysian writings has uncovered many parallels between the theurgical doctrines of Iamblichus, and the triadic metaphysical schema of Proclus. Yet what we witness in these writings is the attempt by a thinker who is at once religiously sensitive and philosophically engaged to bring the highly developed Platonism of his time into line with a Christian theological tradition that was apparently persisting on the fringes of orthodoxy. To this extent, we may refer to the Pseudo-Dionysius as a ‘decadent,’ for he (or she?) was writing at a time when the heyday of Platonism had attained the status of a palaios logos (‘ancient teaching’) to be, not merely commented upon, but savored as an aesthetic monument to an era already long past. It is important to note, in this regard, that the writings of Pseudo-Dionysius do not contain any theoretical arguments or dialectical moments, but simply many subtle variations on the apophatic/kataphatic theology for which our writer is renowned. Indeed, he writes as if his readers already know, and are merely in need of clarification. His message is quite simple, and is manifestly distilled from the often cumbersome doctrines of earlier thinkers (especially Iamblichus and Proclus). Pseudo-Dionysius professes a God who is beyond all distinctions, and who even transcends the means utilized by human beings to reach Him. For Pseudo-Dionysius, the Holy Trinity (which is probably analogous to Proclus’ highest trinity, see above) serves as a “guide” to the human being who seeks not only to know but to unite with “him who is beyond all being and knowledge” (Pseudo-Dionysius, The Mystical Theology 997A-1000A, tr. C. Luibheid 1987). In the expression of the Pseudo-Dionysius the yearning for the infinite reaches a poetical form that at once fulfills and exceeds philosophy.

5. Appendix:`The Renaissance Platonists

After the closing of the Neoplatonic Academy in Athens by the Emperor Justinian in 529 CE, Platonism ceased to be a living philosophy. Due to the efforts of the Christian philosopher Boethius (480-525 CE), who translated Porphyry’s Isagoge, and composed numerous original works as well, the Middle Ages received a faint glimmer of the ancient glories of the Platonic philosophy. St. Augustine, also, was responsible for imparting a sense of Neoplatonic doctrine to the Latin West, but this was by way of commentary and critique, and not in any way a systematic exposition of the philosophy. Generally speaking, it is safe to say that the European Middle Ages remained in the grip of Aristotelianism until the early Renaissance, when certain brilliant Italian thinkers began to rediscover, translate, and expound upon the original texts of Platonism. Chief among these thinkers were Marsilio Ficino (1433-1492) and Pico della Mirandola (1463-1494). Ficino produced fine Latin translations of Plato’s Dialogues, the Enneads of Plotinus, and numerous works by Porphyry, Iamblichus, Proclus, Pseudo-Dionysius, and many others. In addition to his scholarly ability, Ficino was also a fine commentator and philosopher in his own right. His brilliant essay on Five Questions Concerning The Mind is a concise summary of general Neoplatonic doctrine, based upon Ficino’s own view that the lot of the human soul is to inquire into its own nature, and that since this inquiry causes the human soul to experience misery, the soul must do everything it can to transcend the physical body and live a life worthy of the blessed angels (cf. Cassirer, et. al. (ed) 1948, p. 211-212). Giovanni Pico, the Count of Mirandola, was a colorful figure who lived a short life, fraught with strife. He roused the ire of the papacy by composing a voluminous work defending nine-hundred theses drawn from his vast reading of the Ancients; thirteen of these theses were deemed heretical by the papacy, and yet Pico refused to change or withdraw a single one. Like his friend Ficino, Pico was a devotee of ancient wisdom, drawing not only upon the Platonic canon, but also upon the Pre-Socratic literature and the Hermetic Corpus, especially the Poimandres. Pico’s most famous work is the Oration on the Dignity of Man, in which he eloquently states his learned view that humankind was created by God “as a creature of indeterminate nature,” possessed of the unique ability to ascend or descend on the scale of Being through the autonomous exercise of free will (Oration 3, in Cassirer, et. al. (ed) 1948, p. 224). Pico’s view of free will was quite different from that expressed by Plotinus, and indeed most other Neoplatonists, and it came as no surprise when Pico composed a treatise On Being and the One which ended on Aristotelian terms, declaring the One to be coincident with or persisting amidst Being — a wholly un-Platonic doctrine. With Ficino, then, we may say that Platonism achieved a brief moment of archaic glory, while with Pico, it was plunged once again into the quagmire of self-referential empiricism.

6. References and Further Reading

  • Cassirer, Ernst; Kristeller, Paul Oskar; Randall, John Herman Jr. (editors) The Renaissance Philosophy of Man (University of Chicago Press 1948).
  • Cooper, John M. (ed.), Plato: Complete Works (Hackett Publishing 1997).
  • Copleston S.J., Frederick, A History of Philosophy (vol. I, part II): Greece and Rome (Image Books 1962).
  • Dillon, John (1977), The Middle Platonists (Cornell University Press).
  • Eusebius (tr. G.A. Williamson 1965), The History of the Church (Penguin Books).
  • Fowden, Garth, The Egyptian Hermes: A Historical Approach To The Late Pagan Mind (Cambridge University Press 1986).
  • Hadot, Pierre (tr. M. Chase), Plotinus, or The Simplicity of Vision (University of Chicago Press 1993).
  • Hegel, Georg Wilhelm Friedrich (tr. E.S. Haldane and Frances H. Simson), Lectures on the History of Philosophy (vol. II): Plato And The Platonists (Bison Books 1995).
  • Jaeger, Werner, Early Christianity and Greek Paideia (Harvard University Press 1961).
  • Layton, Bentley (1987), The Gnostic Scriptures (Doubleday: The Anchor Bible Reference Library).
  • O’Brien S.J., Elmer (1964), The Essential Plotinus: Representative Treatises From The Enneads (Hackett Publishing).
  • Origen of Alexandria, Commentary on John, tr. in The Ante-Nicene Fathers, vol. X. (Eerdmans 1979, reprint).
  • Origen of Alexandria, On First Principles [De Principiis], tr. in The Ante-Nicene Fathers, vol. IV. (Eerdmans 1979, reprint).
  • Philo of Alexandria (tr. F.H. Colson and G.H. Whitaker), On the Creation of the World [De Opificio Mundi], in vol. 1 of The Loeb Classical Library edition of Philo (Harvard University Press 1929).
  • Plotinus (tr. A.H. Armstrong), The Enneads, in seven volumes (Loeb Classical Library: Harvard University Press 1966).
  • Porphyry (tr. K. Guthrie), Launching-Points to the Realm of Mind [Pros ta noeta aphorismoi] (Phanes Press 1988).
  • Porphyry (tr. A. Zimmern), Porphyry’s Letter to His Wife Marcella Concerning the Life of Philosophy and the Ascent to the Gods (Phanes Press 1986).
  • Porphyry (tr. A.H. Armstrong), Life of Plotinus [Vita Plotini], in volume one of the Loeb Classical Library edition of Plotinus (Harvard University Press 1966).
  • Proclus (tr. T. Taylor), Lost Fragments of Proclus (Wizards Bookshelf 1988).
  • Proclus (tr. T. Taylor), Ten Doubts Concerning Providence, and On the Subsistence of Evil (Ares Publishers 1980).
  • Pseudo-Dionysius (tr. C. Luibheid 1987), Pseudo-Dionysius: The Complete Works (Paulist Press).

Author Information

Edward Moore
Email: patristics@gmail.com
St. Elias School of Orthodox Theology
U. S. A.

Origen of Alexandria (185—254 C.E.)

OrigenOrigen of Alexandria, one of the greatest Christian theologians,  is famous for composing the seminal work of Christian Neoplatonism, his treatise On First Principles. Origen lived through a turbulent period of the Christian Church, when persecution was wide-spread and little or no doctrinal consensus existed among the various regional churches. In this environment, Gnosticism flourished, and Origen was the first truly philosophical thinker to turn his hand not only to a refutation of Gnosticism, but to offer an alternative Christian system that was more rigorous and philosophically respectable than the mythological speculations of the various Gnostic sects. Origen was also an astute critic of the pagan philosophy of his era, yet he also learned much from it, and adapted its most useful and edifying teachings to a grand elucidation of the Christian faith. Porphyry (the illustrious student of Plotinus), though a tenacious adversary of Christianity, nevertheless grudgingly admitted Origen’s mastery of the Greek philosophical tradition. Although Origen did go on to compose numerous biblical commentaries and sermons, his importance for the history of philosophy rests mainly on two works, the systematic treatise On First Principles, and his response to the pagan philosopher Celsus’ attack on Christianity, the treatise Against Celsus. Since the purpose of this article is to introduce students and interested laypersons to the philosophy of Origen, it will be necessary to focus mainly on the treatise On First Principles, which is the most systematic and philosophical of Origen’s numerous writings. In this work Origen establishes his main doctrines, including that of the Holy Trinity (based upon standard Middle Platonic triadic emanation schemas); the pre-existence and fall of souls; multiple ages and transmigration of souls; and the eventual restoration of all souls to a state of dynamic perfection in proximity to the godhead. He is unique among Platonists of his era for introducing history into his cosmological and metaphysical speculations, and his insistence on the absolute freedom of each and every soul, thereby denying the fatalism that so often found its way into the more esoteric teachings of the various philosophical and mystery schools of his day.

Table of Contents

  1. Origen’s Life and Times
  2. His Intellectual Heritage: Pagan, Jewish and Christian
  3. The Philosophical System of Origen
    1. The Trinity
    2. Souls and their Fall
    3. Multiple Ages, Metempsychosis, and the Restoration of All
  4. Important Themes in Origen’s Philosophy
    1. Free Will
    2. Education and History
    3. Eternal Motion of Souls
  5. Origen’s Importance in the History of Philosophy
    1. Hellenistic Philosophy
    2. Christianity
  6. Concluding Summary
  7. References and Further Reading

1. Origen’s Life and Times

Origen was, according to Eusebius, “not quite seventeen” when Septimius Severus’ persecution of the Christians began “in the tenth year of [his] reign,” (Ecclesiastical History; tr. Williamson, p. 179) which gives the approximate date of Origen’s birth as 185/6 C.E. He died around the reign of Gallus, which places his death in 254/5 C.E. Origen lived during a turbulent period of the Roman Empire, when the barbarian invasions were sweeping across Europe, threatening the stability of the Roman Empire. His was also a time of periodic persecution against Christians, notably during the reigns of the Emperors Severus, Maximin, and Decius, so that Origen’s life began and ended with persecution.

His family was devoutly Christian, and likely highly educated; for his father, who died a martyr, made sure that Origen was schooled not only in biblical studies, but in Hellenistic education as well. Eusebius (Ecclesiastical History, tr. Williamson, p. 182) tells us that Origen was only seventeen when he took over as Headmaster (didaskalos) of the Christian Catechetical School at Alexandria. He became interested in Greek philosophy quite early in his life, studying for a while under Ammonius Saccas (the teacher of Plotinus) and amassing a large collection of philosophical texts. It is probably around this time that he began composing On First Principles. However, as he became ever more devoted to the Christian faith, he sold his library, abandoning, for a time, any contact with pagan Greek wisdom, though he would eventually return to secular studies (Greek philosophy), from which he derived no small measure of inspiration, as Porphyry (recorded in Eusebius) makes quite clear, as he continued with his ever more sophisticated elucidation of biblical texts.

2. His Intellectual Heritage: Pagan, Jewish and Christian

Origen’s debt to Holy Scripture is obvious; he quotes the bible at great length, often drawing together seemingly disparate passages to make a profound theological point. Yet his thought is all the while informed by his Greek philosophical education, specifically that of the Middle Platonic tradition, notably the works of the Jewish Platonist Philo of Alexandria and the Neopythagorean philosopher Numenius of Apamea (fl. 150-176 C.E.). Origen shares with Philo an insistence on the free will of the person, a freedom that is direct evidence of humanity’s likeness to God – for, like God’s Being, human existence is free from all necessity. From Numenius, Origen likely adopted the conception of a “second god” proceeding from a first, ineffable being called the One, “First God,” or Father. Numenius referred to this “second god” as Demiurge or craftsman, and taught that he created the cosmos by imitating the intellectual content of the “First God.” Origen applied this basic notion to his doctrine of Christ, whom he also called Demiurge (Commentary on John 1.22), and went on to describe Christ as a reflection of the Truth of the Father, stating that compared to human beings Christ is Truth, but compared to the Father He is falsehood (Jerome, Epistle 92, quoting Origen; see also On First Principles 1.2.6).

Another extremely important part of Origen’s intellectual heritage is the concept of apokatastasis or “restoration of all things.” This term first appears, as a philosophical concept, in the writings of the Stoics, whose materialistic pantheism led them to identify Zeus with the pure, “craftsmanly” fire pervading and constituting the cosmos. According to the Stoics, this fire expands and contracts according to a fixed cycle. They called the contraction a “conflagration” (ekpurôsis), destroying the cosmos, yet only temporarily. This contraction was described as Zeus returning to his own thoughts, to contemplate the eternal perfection of his mind/cosmos (the material cosmos being the expression of his mind, or Logos). The expansion would occur when Zeus once again expressed his mind in the creation of the material cosmos; this re-creation or reconstitution of the cosmos is what the Stoics called apokatastasis. Some Stoics argued that since Zeus is perfect mind, then every reconstitution of the cosmos will resemble identically the one that preceded it. This Stoic doctrine was to have an immense influence on the development of the so-called esoteric traditions in the Hellenistic era, notably the Hermetic school, Gnosticism, and astrology, with all of which Origen was, in varying degrees, familiar.

In Origen’s time, Christianity as a religion had not yet developed a system of theology as a basis of orthodoxy; therefore, in addition to a wide variety of opinions regarding the faith, there were also various sects, each claiming to possess the truth of the Christian faith. Foremost among these sects was the group of schools loosely labelled ‘gnostic.’ The Valentinian school (founded by Valentinus, an outstanding teacher and philosopher who was at one point a candidate for bishop of Rome) was the most philosophically accomplished of the Christian Gnostic sects. In his Commentary on John, Origen refutes the doctrines of a Valentinian Gnostic named Heracleon, who had earlier written a commentary on the same Gospel. While Origen’s opposition to Gnosticism precluded any doctrinal influence, he saw in Gnosticism the value of a system, for it was precisely by virtue of their elaborate and self-consistent systems that the Gnostics were successful in gaining adherents. Since there were no non-Gnostic Christian theological systems in his day, it was up to Origen to formulate one. This was the program of his treatise On First Principles.

3. The Philosophical System of Origen

Origen was the first systematic theologian and philosopher of the Christian Church. Earlier Christian intellectuals had confined themselves to apologetic and moralizing works; notable among such writers is Clement of Alexandria (d. 215 C.E.), who, like Origen, found much of value in Hellenic philosophy. Before proceeding with an examination of Origen’s system, it must be noted that scholars are divided over the question of whether or not his On First Principles contains a system. Henri Crouzel (1989), for example, has argued that the presence of contradictory statements in certain portions of the treatise, as well as in other texts, is proof against the claim that Origen was presenting a system. Hans Jonas (1974), on the other hand, recognized a clear system in On First Principles and gave a convincing elucidation of such. The reason for this scholarly divide is mostly due to the lack of a precise definition of ‘system’ and ‘systematic’. If one approaches Origen’s text expecting a carefully worked-out system of philosophy in the manner of a Kant or a Hegel, one will be disappointed. However, if one reads the text with an eye for prominent themes and inner consistency of such themes with one another, a system does emerge. As John Dillon has pointed out, Origen succeeded in luring away several students of the renowned Platonic teacher Ammonius Saccas to study with him, and, Dillon convincingly observes, this would not have been possible if Origen did not have some system to offer (Dillon, in Kannengiesser, Petersen, ed. 1988, p. 216, and footnote). It must also be pointed out that the text of On First Principles that we possess is not complete. Origen’s original Greek is preserved only in fragments, the remainder of the text is extant only in a Latin translation by Rufinus, who was a defender of Origen against posthumous charges of heresy. While Rufinus’ translation is, as far as we can tell, faithful in most respects, there is ample evidence that he softened certain potentially troublesome passages in an ill-guided attempt to redeem his beloved teacher. When reading Origen’s treatise, then, one would do well to keep this in mind should one stumble across seemingly contradictory passages, for one has no way of knowing what the original Greek might have said.

a. The Trinity

Origen begins his treatise On First Principles by establishing, in typical Platonic fashion, a divine hierarchical triad; but instead of calling these principles by typical Platonic terms like monad, dyad, and world-soul, he calls them “Father,” “Christ,” and “Holy Spirit,” though he does describe these principles using Platonic language. The first of these principles, the Father, is a perfect unity, complete unto Himself, and without body – a purely spiritual mind. Since God the Father is, for Origen, “personal and active,” it follows that there existed with Him, always, an entity upon which to exercise His intellectual activity. This entity is Christ the Son, the Logos, or Wisdom (Sophia), of God, the first emanation of the Father, corresponding to Numenius’ “second god,” as we have seen above (section 2). The third and last principle of the divine triad is the Holy Spirit, who “proceeds from the Son and is related to Him as the Son is related to the Father” (A. Tripolitis 1978, p. 94). Here is Origen explaining the status of the Holy Spirit, in a passage preserved in the original Greek:

The God and Father, who holds the universe together, is superior to every being that exists, for he imparts to each one from his own existence that which each one is; the Son, being less than the Father, is superior to rational creatures alone (for he is second to the Father); the Holy Spirit is still less, and dwells within the saints alone. So that in this way the power of the Father is greater than that of the Son and of the Holy Spirit, and that of the Son is more than that of the Holy Spirit, and in turn the power of the Holy Spirit exceeds that of every other holy being (Fragment 9 [Koetschau] tr. Butterworth 1966, pp. 33-34, and footnote).

This graded hierarchy reveals an allotment of power to the second and third members of the Trinity: the Father’s power is universal, but the Son’s corresponds only to rational creatures, while the Spirit’s power corresponds strictly to the “saints” or those who have achieved salvation. Such a structure of divine influence on the created realm is found much later in the system of the Neoplatonic philosopher Proclus (see J. Dillon, in G. Vesey, ed. 1989).

b. Souls and their Fall

According to Origen, God’s first creation was a collectivity of rational beings which he calls logika. “Although Origen speaks of the logika as being created, they were not created in time. Creation with respect to them means that they had a beginning, but not a temporal one” (Tripolitis 1978, p. 94). Further, Origen explains that the number of these rational beings is necessarily limited, since an infinite creation would be incomprehensible, and unworthy of God. These souls were originally created in close proximity to God, with the intention that they should explore the divine mysteries in a state of endless contemplation. They grew weary of this intense contemplation, however, and lapsed, falling away from God and into an existence on their own terms, apart from the divine presence and the wisdom to be found there. This fall was not, it must be understood, the result of any inherent imperfection in the creatures of God, rather, it was the result of a misuse of the greatest gift of God to His creation: freedom. The only rational creature who escaped the fall and remained with God is the “soul of Christ” (Origen, On First Principles 2.6.5; Tripolitis 1978, p. 96). This individual soul is indicative of the intended function of all souls, i.e., to reveal the divine mystery in unique ways, insofar as the meaning of this mystery is deposited within them, as theandric (God-human) potentiality, to be drawn out and revealed through co-operation with God (On First Principles 2.9.2-8). As Origen explains, the soul of Christ was no different from that of any of the souls that fell away from God, for Christ’s soul possessed the same potential for communion with God as that of all other souls. What distinguished the soul of Christ from all others – and what preserved Him from falling away – was His supreme act of free choice, to remain immersed in the divinity.

What are now souls (psukhê) began as minds, and through boredom or distraction grew “cold” (psukhesthai) as they moved away from the “divine warmth” (On First Principles 2.8.3). Thus departing from God, they came to be clothed in bodies, at first of “a fine ethereal and invisible nature,” but later, as souls fell further away from God, their bodies changed “from a fine, ethereal and invisible body to a body of a coarser and more solid state. The purity and subtleness of the body with which a soul is enveloped depends upon the moral development and perfection of the soul to which it is joined. Origen states that there are varying degrees of subtleness even among the celestial and spiritual bodies” (Tripolitis 1978, p. 106). When a soul achieves salvation, according to Origen, it ceases being a soul, and returns to a state of pure “mind” or understanding. However, due to the fall, now “no rational spirit can ever exist without a body” (Tripolitis 1978, p. 114), but the bodies of redeemed souls are “spiritual bodies,” made of the purest fire (see A. Scott 1991, Chapter 9).

c. Multiple Ages, Metempsychosis, and the Restoration of All

Origen did not believe in the eternal suffering of sinners in hell. For him, all souls, including the devil himself, will eventually achieve salvation, even if it takes innumerable ages to do so; for Origen believed that God’s love is so powerful as to soften even the hardest heart, and that the human intellect – being the image of God – will never freely choose oblivion over proximity to God, the font of Wisdom Himself. Certain critics of Origen have claimed that this teaching undermines his otherwise firm insistence on free will, for, these critics argue, the souls must maintin the freedom to ultimately reject or accept God, or else free will becomes a mere illusion. What escapes these critics is the fact that Origen’s conception of free will is not our own; he considered freedom in the Platonic sense of the ability to choose the good. Since evil is not the polar opposite of good, but rather simply the absence of good – and thus having no real existence – then to ‘choose’ evil is not to make a conscious decision, but to act in ignorance of the measure of all rational decision, i.e., the good. Origen was unable to conceive of a God who would create souls that were capable of dissolving into the oblivion of evil (non-being) for all eternity. Therefore, he reasoned that a single lifetime is not enough for a soul to achieve salvation, for certain souls require more education or ‘healing’ than others. So he developed his doctrine of multiple ages, in which souls would be re-born, to experience the educative powers of God once again, with a view to ultimate salvation. This doctrine, of course, implies some form of transmigration of souls or metempsychosis. Yet Origen’s version of metempsychosis was not the same as that of the Pythagoreans, for example, who taught that the basest of souls will eventually become incarnated as animals. For Origen, some sort of continuity between the present body, and the body in the age to come, was maintained (Jerome, Epistle to Avitus 7, quoting Origen; see also Commentary on Matthew 11.17). Origen did not, like many of his contemporaries, degrade the body to the status of an unwanted encrustation imprisoning the soul; for him, the body is a necessary principle of limitation, providing each soul with a unique identity. This is an important point for an understanding of Origen’s epistemology, which is based upon the idea that God educates each soul according to its inherent abilities, and that the abilities of each soul will determine the manner of its knowledge. We may say, then, that the uniqueness of the soul’s body is an image of its uniqueness of mind. This is the first inkling of the development of the concept of the person and personality in the history of Western thought.

The restoration of all beings (apokatastasis) is the most important concept in Origen’s philosophy, and the touchstone by which he judges all other theories. His concept of universal restoration is based on equally strong Scriptural and Hellenistic philosophical grounds and is not original, as it can be traced back to Heraclitus, who stated that “the beginning and end are common” (Fragment B 103, tr. J. Barnes 1987, p. 115). Considering that Origen’s later opponents based their charges of heresy largely on this aspect of his teaching, it is surprising to see how well-grounded in scripture this doctrine really is. Origen’s main biblical proof-text is 1 Corinthians 15:25-28, especially verse 28, which speaks of the time “when all things shall be subdued unto him [Christ], then shall the Son also himself be subject unto him that put all things under him, that God may be all in all” (KJV, my emphasis). This scriptural notion of God being “all in all” (panta en pasin) is a strong theological support for his theory of apokatastasis. There are, of course, numerous other passages in scripture that contradict this notion, but we must remember that Origen’s strength resided in his philosophical ability to use reason and dialectic in support of humane doctrines, not in the ability to use scripture in support of dogmatical and anti-humanistic arguments. Origen imagined salvation not in terms of the saved rejoicing in heaven and the damned suffering in hell, but as a reunion of all souls with God.

4. Important Themes in Origen’s Philosophy

While Origen’s lengthy treatise On First Principles contains numerous discussions of a wide variety of issues relevant to the Christianity of his day, as well as to broader philosophical concerns, certain key themes do emerge that are of universal and timeless value for philosophy. These themes are: free will; the educational value of history; and the infinity and eternal motion (becoming) of human beings.

a. Free Will

Origen’s conception of freedom, as discussed above, was not the same as modern conceptions. This is not to say that his conception was wrong, of course. For Origen recognized freedom only in reason, in rationality, which is precisely the ability to recognize and embrace the good, which is for him God. Irrationality is ignorance, the absence of a conception of the good. The ignorant person cannot be held responsible for his ignorance, except to the extent that he has been lazy, not applying himself to the cultivation of reason. The moral dimension of this conception of freedom is that ignorance is not to be punished, but remedied through education. Punishment, understood in the punative sense, is of no avail and will even lead to deeper ignorance and sin, as the punished soul grows resentful, not understanding why he is being punished. Origen firmly believed that the knowledge of the good (God) is itself enough to remove all taint of sin and ignorance from souls. A ‘freedom’ to embrace evil (the absence of good) would have made no sense to Origen who, as a Platonist, identified evil with enslavement and goodness with freedom. The soul who has seen the good, he argued, will not fall into ignorance again, for the good is inspiring and worthy of eternal contemplation (see Commentary on Romans 5.10.15).

b. Education and History

Origen may rightfully be called the first philosopher of history, for, like Hegel, he understood history as a process involving the participation of persons in grand events leading to an eventual culmination or ‘end of history’. Unlike mainstream Christian eschatology, Origen did not understand the end of history as the final stage of a grand revelation of God, but rather as the culmination of a human-divine (co-operative) process, in which the image and likeness of God (humanity) is re-united with its source and model, God Himself (see Against Celsus 4.7; On First Principles 2.11.5, 2.11.7; Tripolitis 1978, p. 111). This is accomplished through education of souls who, having fallen away from God, are now sundered from the divine presence and require a gradual re-initiation into the mysteries of God. Such a reunion must not be accomplished by force, for God will never, Origen insists, undermine the free will of His creatures; rather, God will, over the course of numerous ages if need be, educate souls little by little, leading them eventually, by virtue of their own growing responsiveness, back to Himself, where they will glory in the uncovering of the infinite mysteries of the eternal godhead (On First Principles 2.11.6-7).

c. Eternal Motion of Souls

A common motif in Platonism during, before, and after Origen’s time is salvific stasis, or the idea that the soul will achieve complete rest and staticity when it finally ascends to a contemplation of the good. We notice this idea early on in Plato, who speaks in the Republic (517c-d, 519c-e) of a state of pure contemplation from which the philosopher is only wrenched by force or persuasion. In Origen’s own time, Plotinus developed his notion of an ‘about-face’ (epistrophê) of the soul resulting in an instant union of the soul with its divine principle, understood as an idealized, changeless form of contemplation, allowing for no dynamism or personal development (see Enneads 4.3.32, 4.8.4, for example). Influenced indirectly by Plotinus, and more directly by later Neoplatonists (both Christian and pagan), the Christian theologian St. Maximus the Confessor elaborated a systematic philosophical theology culminating in an eschatology in which the unique human person was replaced by the overwhelming, transcendent presence of God (see Chapters on Knowledge 2.88). Origen managed to maintain the transcendentality of God on the one hand, and the dynamic persistence of souls in being on the other. He did this by defining souls not by virtue of their intellectual content (or, in the Plotinian sense, for example, by virtue of their ‘prior’ or higher, constitutive principle) but rather by their ability to engage in a finite manner with the infinite God. This engagement is constitutive of the soul’s existence, and guarantees its uniqueness. Each soul engages uniquely with God in contemplating divine mysteries according to its innate ability, and this engagement persists for all eternity, for the mysteries of the godhead are inexhaustible, as is the enthusiastic application of the souls’ intellectual ability.

5. Origen’s Importance in the History of Philosophy

Throughout this article, Origen’s importance has largely been linked to his melding of philosophical insights with elucidations of various aspects of the Christian fatih. Yet his importance for Hellenistic philosophy is marked, and though not quite as pervasive as his influence on Christian thought, is nevertheless worth a few brief remarks. His role in the formation of Christian doctrine is more prominent, yet, because of its problematical nature, will be treated of only briefly.

a. Hellenistic Philosophy

Origen’s debt to Hellenistic (Greek) philosophy is quite obvious; his influence on the development of later pagan philosophy is – at least from the perspective of most contemporary scholarship – rather less obvious, but it is there. His trinitarian doctrine, for example, consisted of a gradation of influence beginning with the Father, whose influence was of the most general, universal kind, binding together all things; the influence of the Son extended strictly to sentient beings; the Holy Spirit’s influence extended only to the ‘elect’ or saints who had already achieved salvation (Dillon, in D.J. O’Meara, ed., 1982, p. 20; see also On First Principles 1.3.5). This conception found later expression in Proclus’ Elements of Theology (Proposition 57), where he elucidates this formulation: “Every cause both operates prior to its consequent and gives rise to a greater number of posterior terms” (tr. Dodds). For Origen, the pre-existent souls, through their fall, gave rise to a history over which both the Father and the Son came to preside, while the Holy Spirit only enters into human reality to effect a salvific re-orientation toward God that is already the result of an achieved history. The Holy Spirit, then, may be understood as the final cause, the preparatory causes of which are the Father and Son, the mutual begetters of history. A bit later, the pagan philosopher Iamblichus reversed this Origenian notion, claiming that the influence of the divine became stronger and more concentrated the further it penetrated into created reality, extending in its pure power even to stones and plants. In this sense, the Holy Spirit, limited as it is (according to Origen) to interaction with the saints alone, gives way to the universal power of the Father, which extends to the furthest reaches of reality. Iamblichus saw no reason to divide the divinity into persons or emanative effects; rather, he saw the divinity as operative, in varying degrees, at every level of reality. At the lowest level, however, this power is most effective, imparting power to plants and stones, and providing support for the theurgical practice advocated by Iamblichus (Olympiodorus, Commentary on Alcibiades I, 115A; Psellus, Chaldaean Expositions 1153a10-11; Dillon, ed. O’Meara 1982, p. 23).

b. Christianity

Origen’s ideas, most notably those in the treatise On First Principles, gave rise to a movement in the Christian Church known as Origenism. From the third through the sixth centuries this movement was quite influential, especially among the monastics, and was given articulate – if excessively codified form – by the theologian Evagrius Ponticus (c. 345-400 C.E.). It is to be noted that the spirit of philosophical inquiry exemplified by Origen was largely absent from the movement bearing his name. A far more creative use of Origen’s concepts and themes was made by Gregory of Nyssa (d. ca. 386 C.E.), who adopted Origen’s doctrine of apokatastasis or “restoration of all things.” Gregory was also responsible for articulating more clearly than did Origen the notion that redeemed souls will remain in a state of dynamic intellectual activity (see Gregory of Nyssa, Catechetical Oration, esp. Chapters 26 and 35). After the posthumous condemnation of Origen (and Origenism) in the fifth century, it became increasingly difficult for mainstream theologians to make use of his work. Pseudo-Dionysius the Areopagite (5th or 6th Century C.E.) drew upon Neoplatonic philosophy, especially Proclus (411-485 C.E.) and Iamblichus (ca. 240-325 C.E.), and though he followed in Origen’s footsteps in this use of pagan wisdom, he never mentioned his predecessor by name. In the seventh century, Maximus the Confessor (ca. 580-662), who may be called the last great Christian Neoplatonist, set about revising Origen’s doctrines in a manner more acceptable to the theological climate of the early Byzantine Church. Maximus changed the historicism of Origen into a more introspective, personal struggle to attain the divine vision through asceticism and prayer, the result being a total subsumption of the person by the godhead. This was Maximus’ vision of salvation: the replacement of the ego by the divine presence (see L. Thunberg 1985, p. 89; also Maximus, Chapters on Knowledge 2.88). While there is much that may be called brilliant and even inspiring in Maximus’ philosophical theology, this loss of the centrality of the person – as unique, unrepeatable entity – in the cosmic process of salvation led to the loss of a sense of co-operation of humanity and God, and sapped Christianity of the intellectual vigor that it displayed in the period leading up to the establishment of a theocratical Byzantine state.

Thankfully, Origen’s legacy was not lost. He was an inspiration to the Renaissance Humanists and, more recently, to certain Existentialist Christian theologians, notably Nicolas Berdyaev (1874-1948) whose insistence on the absolute autonomy and nobility of the person in the face of all objectifying reality is an echo across the ages of the humanism of Origen. Berdyaev himself admits Origen’s influence on his thought (as well as that of Gregory of Nyssa) and insists that the doctrine of hell and the eternal suffering of sinners is not compatible with authentic Christianity. He also places a great importance on history, and even broaches a modern, de-mythologized conception of metempsychosis in terms of a universal, shared history of which all persons are a part, regardless of their temporal specificity. History, according to Berdyaev (and in this he follows Origen) binds all of humanity together. No soul will be saved in isolation; all must be saved together, or not be saved at all. Berdyaev wrote numerous works, a few of the most important are Slavery and Freedom (Eng. tr. 1944), The Beginning and the End(Eng. tr.1952), and Truth and Revelation (Eng. tr. 1962).

6. Concluding Summary

Origen was an innovator in an era when innovation, for Christians, was a luxury ill-afforded. He drew upon pagan philosophy in an effort to elucidate the Christian faith in a manner acceptable to intellectuals, and he succeeded in converting many gifted pagan students of philosophy to his faith. He was also a great humanist, who believed that all creatures will eventually achieve salvation, including the devil himself. Origen did not embrace the dualism of Gnosticism, nor that of the more primitive expressions of the Christian faith still extant in his day. Rather, he took Christianity to a higher level, finding in it a key to the perfection of the intellect or mind, which is what all souls are in their pure form. The restoration of all souls to a purely intellectual existence was Origen’s faith, and his philosophy was based upon such a faith. In this, he is an heir to Socrates and Plato, but he also brought a new conception into philosophy – that of the creative aspect of the soul, as realized in history, the culmination of which is salvation, after which follows an eternal delving into the deep mysteries of God.

7. References and Further Reading

Bibliography

Selected Works by Origen in English Translation

  • Origen, Against Celsus, tr. F. Crombie (The Ante-Nicene Fathers 4; Michigan: Eerdmans 1979, reprint).
  • Origen, On First Principles, tr. G.W. Butterworth (New York: Harper and Row 1966).
  • Origen, Commentary on John, tr. A. Menzies (The Ante-Nicene Fathers 10; Michigan: Eerdmans 1978, reprint).
  • Origen, Commentary on Matthew, tr. J. Patrick (The Ante-Nicene Fathers 10; Michigan: Eerdmans 1978, reprint).
  • Origen, Commentary on the Epistle to the Romans (Books 1-5), tr. T.P. Scheck (Washington, D.C.: The Catholic University of America Press 2001).
  • Origen, Commentary on the Epistle to the Romans (Books 6-10), tr. T.P. Scheck (Washington, D.C.: The Catholic University of America Press 2002).

Other Sources

  • Berdyaev, Nicholas, The Beginning and the End, tr. R.M. French (New York: Harper and Brothers 1952).
  • Berdyaev, Nicholas, Slavery and Freedom, tr. R.M. French (New York: Charles Scribner’s Sons 1944).
  • Berdyaev, Nicholas, Truth and Revelation, tr. R.M. French (New York: Collier Books 1962).
  • Chadwick, H., Early Christian Thought and the Classical Tradition: Studies in Justin, Clement, and Origen (New York: Oxford University Press 1966).
  • Crouzel, H., Origen: The Life and Thought of the First Great Theologian, tr. A.S. Worrall (T.&T. Clark Ltd. 1989).
  • Dillon, J.M., The Middle Platonists(Ithaca: Cornell University Press 1977).
  • Hardy, E.R., Christology of the Later Fathers (Philadelphia: The Westminster Press 1954).
  • Jonas, H., “Origen’s Metaphysics of Free Will, Fall, and Salvation: A ‘Divine Comedy’ of the Universe,” in Philosophical Essays: From Ancient Creed to Technological Man (Englewood Cliffs, NJ: PrenticeHall 1974).
  • Kannengiesser, C., Petersen, W.L., eds., Origen of Alexandria: His World and His Legacy (Indiana: University of Notre Dame Press 1988).
  • Kelly, J.N.D., Early Christian Doctrines (New York: Harper and Row 1978).
  • Louth, A., Maximus the Confessor (New York: Routledge 1996).
  • Luibheid, C., Rorem, P., tr., Pseudo-Dionysius: The Complete Works (Mahwah, NJ: Paulist Press 1987).
  • Meyendorff, J., Christ in Eastern Christian Thought (Crestwood: St. Vladimir’s Seminary Press 1975).
  • Murphy, F.X., “Evagrius Ponticus and Origenism,” in R. Hanson and H. Crouzel, ed., Origeniana Tertia (1981).
  • O’Meara, D.J., ed., Neoplatonism and Christian Thought (New York: State University of New York Press 1982).
  • Pelikan, J., Christianity and Classical Culture: The Metamorphosis of Natural Theology in the Christian Encounter with Hellenism (New Haven: Yale University Press 1993).
  • Pelikan, J., The Christian Tradition: A History of the Development of Doctrine, vol. 2: “The Spirit of Eastern Christendom (600-1700) (Chicago: University of Chicago Press 1974).
  • Scott, A., Origen and the Life of the Stars: A History of an Idea (Oxford: Clarendon Press 1991).
  • Shaw, G., Theurgy and the Soul: The Neoplatonism of Iamblichus (University Park: Pennsylvania State University Press 1995).
  • Siorvanes, L., Proclus: Neo-Platonic Philosophy and Science (New Haven: Yale University Press 1996).
  • Stevenson, J., ed. A New Eusebius: Documents Illustrative of the History of the Church to A.D. 337 (London: S.P.C.K. 1957).
  • Tatakis, B., Byzantine Philosophy, tr. N.J. Moutafakis (Indianapolis: Hackett 2003).
  • Thunberg, L., Man and the Cosmos: The Vision of St. Maximus the Confessor (Crestwood, NY: St. Vladimir’s Seminary Press 1985).
  • Trigg, J.W., Origen: The Bible and Philosophy in the Third-century Church (Atlanta: John Knox Press 1983).
  • Tripolitis, A., The Doctrine of the Soul in the Thought of Plotinus and Origen (New York: Libra 1978).
  • Werner, M., The Formation of Christian Dogma, tr. S.G.F. Brandon ( Harper and Brothers 1957).
  • Williamson, G.A., tr., Eusebius, The History of the Church (New York: Penguin Books 1965).
  • Zeller, E., Outlines of the History of Greek Philosophy, tr. L.R. Palmer (New York: Meridian Books 1955).

Author Information

Edward Moore
Email: patristics@gmail.com
St. Elias School of Orthodox Theology
U. S. A.

Relativism

Relativism is sometimes identified (usually by its critics) as the thesis that all points of view are equally valid. In ethics, this amounts to saying that all moralities are equally good; in epistemology it implies that all beliefs, or belief systems, are equally true. Critics of relativism typically dismiss such views as incoherent since they imply the validity even of the view that relativism is false. They also charge that such views are pernicious since they undermine the enterprise of trying to improve our ways of thinking.

Perhaps because relativism is associated with such views, few philosophers are willing to describe themselves as relativists. However, most of the leading thinkers who have been accused of relativism–for example, Ludwig Wittgenstein, Peter Winch, Thomas Kuhn, Richard Rorty, Michel Foucault, Jacques Derrida–do share a certain common ground which, while recognizably relativistic, provides a basis for more sophisticated, and perhaps more defensible, positions.

Although there are many different kinds of relativism, they all have two features in common.

(1) They all assert that one thing (e.g. moral values, beauty, knowledge, taste, or meaning) is relative to some particular framework or standpoint (e.g. the individual subject, a culture, an era, a language, or a conceptual scheme).

(2) They all deny that any standpoint is uniquely privileged over all others.

It is thus possible to classify the different types and sub-types of relativism in a fairly obvious way. The main genera of relativism can be distinguished according to the object they seek to relativize. Thus, forms of moral relativism assert the relativity of moral values; forms of epistemological relativism assert the relativity of knowledge. These genera can then be broken down into distinct species by identifying the framework to which the object in question is being relativized. For example, moral subjectivism is that species of moral relativism that relativizes moral value to the individual subject.

How controversial, and how coherent, these forms of relativism are will obviously vary according to what is being relativized to what, and in what manner. In contemporary philosophy, the most widely discussed forms of relativism are moral relativism, cognitive relativism, and aesthetic relativism.

Author Information

Emrys Westacott
Email: westacott@alfred.edu
Alfred University
U. S. A.

Hans Reichenbach (1891—1953)

Hans Reichenbach was a leading philosopher of science, a founder of the Berlin Circle, and a proponent of logical positivism (also called neo-positivism or logical empiricism). He is especially known for his philosophical investigations of the theory of relativity, quantum mechanics, the theory of probability, the nature of space and time, the character of physical laws, and conventionalism in physical science.

He was a critic of the Kantian theory of the synthetic a priori. Reichenbach complained that Kant and Poincaré should more carefully have distinguished mathematical geometry from physical geometry. That is, they should have more carefully distinguished pure, a priori geometry from applied, synthetic geometry. Mathematical geometry is about abstract objects in mathematical space; physical geometry is about physical objects in physical space. According to Reichenbach, Kant and Poincaré failed to appreciate that it is the complete package of physics, coordinating definitions, and mathematical geometry that is compared to observation in order to select the appropriate physical geometry. This geometry cannot be selected a priori, as Kant wanted, nor by convention, as Poincaré wanted. When the package is in fact compared to observation, the proper geometry is non-Euclidean geometry, as Einstein was the first to discover. In addition, developing an idea of Leibniz’s, Reichenbach created a detailed theory whose goal is to explain the direction of time in terms of the direction from causes to their effects.

His methods of teaching philosophy were something of a novelty; students found him easy to approach (this fact was uncommon in German universities); and his courses were open to discussion and debate. In 1930, he and Carnap became the editors of the influential philosophical journal Erkenntnis.

Table of Contents

  1. Life
  2. The Philosophy of Space and Time and the Philosophical Meaning of the Theory of Relativity
    1. Space
    2. Time
    3. The Special Theory of Relativity
    4. The General Theory of Relativity
    5. The Reality of Space and Time
  3. Quantum Mechanics
    1. Interpretation of Quantum Physics: Part I
    2. Mathematical Formulation of Quantum Mechanics
    3. Examples of Quantum Operators
    4. Classical and Quantum Physical Quantities; Schrodinger Equations
    5. Heisenberg Indeterminacy Principle
    6. The Interpretation of Quantum Physics: Part II
  4. Reichenbach’s Epistemology
    1. The Structure of Science and the Verifiability Principle
    2. Conventionalism vs. Empiricism
    3. Causality
    4. Science and Philosophy
  5. References and Further Reading

1. Life

Hans Reichenbach was born on September 26, 1891 in Hamburg, Germany. He was a leading philosopher of science, a founder of the philosophical discussion group Berlin Circle, and a proponent of logical positivism (also known as neo-positivism or logical empiricism). He studied physics, mathematics and philosophy at the universities of Berlin, Erlangen, Göttingen, and Munich in the 1910s. Among his teachers were the neo-Kantian philosopher Ernst Cassirer, the mathematician David Hilbert, and the physicists Max Planck, Max Born and Albert Einstein. Reichenbach received his degree in philosophy from the University at Erlangen in 1915. His dissertation on the theory of probability was published in 1916. He attended Einstein’s lectures on the theory of relativity at Berlin in 1917-20; at that time Reichenbach chose the theory of relativity as the first subject for his own philosophical research. He became a professor at Polytechnic at Stuttgart in 1920. In the same year, he published his first book on the philosophical implications of the theory of relativity, The Theory of Relativity and A Priori Knowledge, in which Reichenbach criticized the Kantian theory of the synthetic a priori. In the following years he published three books on the philosophical meaning of the theory of relativity: Axiomatization of the theory of Relativity (1924), From Copernicus to Einstein (1927), and The Philosophy of Space and Time (1928); the last in a sense states logical positivism’s view on the theory of relativity. In 1926, Reichenbach became a professor of philosophy of physics at the University at Berlin. His methods of teaching philosophy were something of a novelty because students found him easy to approach (this fact was uncommon in German universities) and his courses were open to discussion and debate. In 1928, he founded the Berlin circle (named Die Gesellschaft für Empirische Philosophie, “Society for Empirical Philosophy”). Among the members of the Berlin circle were Carl Gustav Hempel, Richard von Mises, David Hilbert and Kurt Grelling. In 1930, Reichenbach and Carnap undertook the editorship of the journal Erkenntnis (“Knowledge”).

In 1933, Adolf Hitler became Chancellor of Germany. In the same year Reichenbach emigrated to Turkey, where he became chief of the Department of Philosophy at the University at Istanbul. There he promoted a shift in their philosophy courses; he introduced interdisciplinary seminars and courses on scientific subjects. Then in 1935 he published The Theory of Probability.

In 1938, he moved to the United States, where he became a professor at UCLA, the University of California at Los Angeles. In the same year, he published Experience and Prediction. Reichenbach’s work on quantum mechanics was published in 1944 (Philosophic Foundations of Quantum Mechanics). Afterwards, he wrote two popular books: Elements of Symbolic Logic (1947) and The Rise of Scientific Philosophy (1951). In 1949, he contributed an essay on The Philosophical Significance of the Theory of Relativity to the book Albert Einstein: Philosopher-Scientist that was edited by Paul Arthur Schillp. Reichenbach died on April 9, 1953 in Los Angeles, California while he was working on the Philosophy of Time. His two books Nomological Statements and Admissible Operations (1954) and The Direction of Time (1956) were published posthumously.

2. The Philosophy of Space and Time and the Philosophical Meaning of the Theory of Relativity

a. Space

Euclidean geometry is based on the set of axioms compiled by the ancient Greek mathematician Euclid who developed geometry into an axiomatic system in which every theorem is derivable from the axioms. Euclid’s work revealed that the truth of geometry depends on the truth of its axioms, and therefore the question arose whether those axioms were true. Many Euclidean axioms are apparently self-evident, but the axiom of parallels is not. It states that there is one and only one parallel line that passes through a given point not on the original line. It considered not to be self-evident; therefore, many mathematicians tried to derive it from the other axioms, but they were unsuccessful. Eventually, it was proved that the derivation must be unsuccessful because the axiom of parallels is not a logical consequence of the other axioms. As a result of this research, non-Euclidean geometries were discovered, and mathematicians became aware of the existence of a plurality of geometries, namely:

  • Euclidean geometry, in which the axiom of parallels is true.
  • Hyperbolic geometry, in which there is an infinite number of parallels to the given line through the given point.
  • Elliptical geometry, in which there exist no parallels.

Source: Wikipedia
Janos Bolyai (1802-1860), a Hungarian mathematician, published in 1832 the first account of a non-Euclidean geometry. Nikolay Lobachevsky (1793-1856), a Russian mathematician, independently discovered this geometry.

Based upon this discovery of non-Euclidean geometries, Reichenbach had the key insight to distinguish mathematical geometry from physical geometry. Mathematical geometry, he said, is a branch of mathematics. It is a purely formal system, and it does not depend upon or otherwise consider the truth of its axioms, but only the proof of the theorems. That is, it only produces the consequences of axioms. Physical geometry, on the other hand, is concerned with the real geometry that is true in our physical world. Developing physical geometry is a search for the truth (or falsity) of axioms—using the methods of empirical science such as observations, experiments and measurements. It is a branch of physics, not mathematics. It is empirical, not a priori.

Consider the question: How can physicists discover the geometry of the real world? Reichenbach tried to answer this question in his book The Philosophy of Space and Time. Assume two-dimensional intelligent beings live in a two-dimensional world on the surface of a sphere, but they do not yet know about the shape of their world. In their opinion, they might live on a plane, a sphere, or some other surface. How can they discover the geometry of the world in which they live? Reichenbach’s answer is that they could use some mathematical properties that Gauss had discovered for characterizing a geometry. For example, in Euclidean geometry the ratio of the circumference of a circle to its diameter equals pi (3.14…), whereas in elliptical geometry that ratio is always less than pi; but in hyperbolic geometry the ratio is always greater than pi. The ratio may or may not be variable, depending upon whether the curvature of the world changes from place to place. Reichenbach pointed out that in order to discover their world’s real physical geometry, the two-dimensional beings could measure the circumference and the diameter of a circle; if the ratio is constant and equals pi, then their world is a plane; if the ratio is less than pi but constant, their world is a sphere. Thus they could discover where they live with the help of these measurements.

This method was invented by Karl Friedrich Gauss (1777-1855). He was a German mathematician who was the first to discover a non-Euclidean geometry although he did not published his work. The method is suitable for a two-dimensional world. Bernhard Riemann (1826-1866) was a German mathematician who developed both elliptical geometry and the generalized theory of metric space in any number of dimensions. Einstein used Reimann’s geometry in his general theory of relativity. That is, Einstein invented a geometry suitable for a three-dimensional world obeying the laws of relativity theory.

Riemann’s method is based on physical measurements. Reichenbach carefully examined the epistemological implications of measuring geometrical entities. The empirical measurement of geometrical entities depends on the existence of physical objects or physical processes corresponding to geometrical concepts. The result of establishing such a correspondence or correlation is called creating a co-ordinative definition. Usually, a definition is a statement that gives the exact meaning of a concept; this kind of definition is called an explicit definition. There is another kind of definition though, namely a co-ordinative definition; it is not a statement, but an ostensive definition. The co-ordinative definition of a concept is a correlation between a real object or a physical process and the concept itself. Some geometrical entities cannot be defined by an explicit definition and require a co-ordinative definition. For example, the unit of length, that is, the metre, is defined by a co-ordinative definition. At the time, the physical object corresponding to the metre was the conventionally-standard rod in Paris. Subsequently, the metre was re-defined in terms of time (as being how far light travels in 1/299,792,458 seconds). Another example of a co-ordinative definition is the definition of straight line as the path of a light ray.

What is the philosophical meaning of a co-ordinative definition? Reichenbach proposes the following problem in The Philosophy of Space and Time. A measuring rod is moved from one point of space (say A) to another point (say B). When the measuring rod is in B, has its length been altered? Many physical circumstances can alter the length, for example, if temperature in A differs from temperature in B. In this example, we can discover whether the temperature is the same by means of a metallic rod and a wooden rod which were of equal length when they were in A. Move the two rods to B: if their length becomes different then the temperature is also different, otherwise the temperature is the same, assuming wood is not affected by temperature. This method is suitable because temperature is a differential force, that is, a force that produces different effects on different substances. But there are universal forces, which produce the same effect on all type of matter. The best known universal force is gravity: its effect is the same on all bodies and therefore all bodies fall with the same acceleration. Now suppose a universal force alters the length of the measuring rods when they are moved from A to B; in this instance, we do not observe any difference between the measuring rods and we cannot know whether the length is altered. Consequently, if a rod stays in A and the other is moved to B where a universal force alters its length, we cannot know their length is different. So we must acknowledge that there is not any way of knowing whether the length of two measuring rods, which are equal when they are in the same point of space, is the same when the two rods are in two different points of space. We can define the two rods equal in length if all differential forces are eliminated and disregard universal forces. But we can adopt a different definition, of course. Thus we must accept – Reichenbach says – that the geometrical form of a body is not an absolute fact, but depends on a co-ordinative definition. There is an astonish consequence of this fact. If a geometry G was proved to be the real geometry by a set of measurements, we could arbitrarily choose a different geometry G’ and adopt a different set of co-ordinative definitions so that G’ would become the real geometry. This is the principle of relativity of geometry, which Reichenbach examines, from a mathematical point of view, in Axiomatization of the theory of relativity and, from a philosophical point of view, in The philosophy of space and time. This principle states that all geometrical systems are equivalent; it falsifies alleged a priori character of Euclidean geometry and thus it falsifies the Kantian philosophy of space too.

At a first glance, the principle of relativity of geometry proves it is not possible to discover the real geometry of our world. This is true if we limit ourselves to metric relationships. Metric relationships are geometric properties of bodies depending on distances, angles, areas, and so forth; examples of metric relationships are “the ratio of circumference to diameter equals pi” and “the volume of A is greater than the volume of B.” But we can study not only distances, angles, areas but also the order of space, the topology of space, i.e., the way in which the points of space are placed in relation to one another; an example of a topological relationship is “point A is between points B and C”. A consequence of the principle of relativity of geometry is, for instance, that a plane and a sphere are equivalent with respect to metric. From a topological point of view, a sphere and a plane are not equivalent (in topology, two geometrical objects are equivalent if and only if there is a continuous transformation that assign to every point of the first object a unique point of the second and vice versa; there is not any transformation of this kind between a sphere and a plane). What is the philosophical significance of topology?

Reichenbach examines the following example in The Philosophy of Space and Time. Measurements of space, performed by a two-dimensional being, suggest that he lives on a sphere, but, in spite of such measurements, he believes he lives on a plane. There is not any difficult, when he limits himself to metric relationships: he could adopt appropriate co-ordinative definitions and those measurements would become compatible with a plane. But the surface of a sphere is a finite surface and he might do a round-the-world tour, that is he could walk along a straight line from a point A and eventually he would arrive to the point A itself. Really this is impossible on a plane and he therefore should assert that this last point is not the point A, but a different point B which, in all other respects, is identical to A. Now there are two possibilities: (i) he changes his theory and acknowledges that he lives on a sphere or (ii) he maintains his position, but he needs to explain why point B is identical to A although A and B are different and distant points of space; he could accomplish his task only fabricating a fictitious theory of pre-established harmony: everything that occurs in A, immediately occurs in B.

Reichenbach says the second possibility entails an anomaly in the law of causality. If we assume normal causality, topology become an empirical theory and we can discover the geometry of the real world. This example is another falsification of Kantian theory of synthetic a priori. Kant believed both the Euclidean geometry and the law of causality were a priori. But if Euclidean geometry were an a priori truth, normal causality might be false; if normal causality were an a priori truth, Euclidean geometry might be false. We arbitrarily can choose the geometry or we arbitrarily can choose the causality; but we cannot choose both. Thus the most important implication of the philosophical analysis of topology is that the theory of space depends on normal causality.

b. Time

Normal causality is the main principle that underlies not only the theory of space but also the theory of time. The solution to the problem of an empirical theory of space was found when we acknowledged the priority of topological relationships over metric relationships. Also in the philosophy of time we must recognize the priority of topology. We must distinguish between two different concepts which are fundamental to the theory of time, namely the order of time and the direction of time. Time order is definable by means of causality (see The Philosophy of Space and Time). The definition is: event A occurs before event B (and, of course, event B occurs after event A) if event A can produce a physical effect on event B. When can event A affect event B? The theory of relativity states that a finite time is required for an effect to go from event A to event B. The required time is finite because the velocity of light is a speed limit for all material particles, messages or effects, and because this velocity is finite. Suppose A and B are two events occurring in point PA and PB. Event A can affect event B if a light pulse emitted from PA when event A occurs reaches the point PB before event B occurs. If the light pulse reaches point PB when event B already occurred, event A cannot affect event B. If event A cannot affect event B and event B cannot affect event A, the order of the two events is indefinite and we could arbitrarily choose the event that occurs first or we might define the two event simultaneous; therefore simultaneity depends on a definition.

Reichenbach examines the consistency of this definition. Suppose an event A occurs before an event B and, from another point of view (reference frame), the event A occurs after the event B. In this circumstance there is a closed causal chain so that the event A produces an effect on the event B and the event B produces an effect on the event A. The definition is consistent only if we assume that there are not closed causal chains: the order of time depends on normal causality.

Reichenbach asserts that the relativity of simultaneity is independent of the relativity of motion. The relativity of simultaneity is due to the finite velocity of causal propagation. So it is a mistake – Reichenbach asserts in The philosophy of space and time and From Copernicus to Einstein – to derive the relativity of simultaneity from the relative motion of observers. Reichenbach also cautions against a possible misunderstanding of the multiplicity of observers in some expositions of the theory of relativity: observers are used only for convenience; the relativity of simultaneity has nothing to do with the relativity of observers. We must recognize – Reichenbach asserts – that the theory of an absolute simultaneity is a consistent theory although it is a wrong one. Absolute simultaneity and absolute time does not exist, but they are clever concepts.

Reichenbach also faces the problem of the direction of time. All mechanical processes are reversible: if f(t) is a solution of the equations of classical mechanics then f(-t) is also an admissible solution; also in the theory of relativity f(-t) is an admissible solution. Thus neither theory gives a consistent definition of the direction of time. In fact the direction of time is definable only by means of irreversible processes, that is, processes that are characterized by an increase of entropy. But the definition is not straightforward. The second law of thermodynamics, which states the principle of increase of entropy, is a statistical law, not a deterministic law. Really the elementary processes of statistical thermodynamics are reversible, because they are controlled by the laws of classical mechanics. In fact all macroscopic processes are theoretically reversible because statistical thermodynamics asserts that, in an isolated system, after an extremely large amount of time, the entropy will diminish to infinitesimally close to the initial value. In an isolated system, in an infinite time, there are as many downgrades as upgrades of the entropy. Thus if we observe two states A and B, and the entropy of B is greater than the entropy of A, we cannot assert that B is later than A. But if we consider not an isolated system, but many isolated systems over relatively short durations compared to the duration required for a return to the same value of entropy, then the probability that we observe a decrease of entropy is less than the probability we observe an increase of entropy. We can therefore use “many-system probabilities” to define a direction of time. Reichenbach asserts that it is possible to define an entropy for the whole universe, and statistical theory proves that the entropy of the universe first increases and then decreases; thus we can define a direction of time, but only for sections of time, not for the whole time. Reichenbach notes that this theory of time was stated in 19th century by Boltzmann (Ludwig Boltzmann, 1844-1906, Austrian physicist who formulated the statistical theory of entropy).

c. The Special Theory of Relativity

The special theory of relativity gives an unified theory of space and time in the absence of gravitational field. One example of the necessity of an unified theory of space and time is the length contraction, an effect predicted by the theory; this effect shows that the length of a moving rod depends on simultaneity. The special theory of relativity states that the length of a rod measured using a metre that is at rest with respect to the rod is different from the length measured using a metre which is moving with respect to the rod. In the first instance we measure the length of the rod by means of the well-known method used by classical mechanics. But we use a different method when the measuring rod is not at rest with respect to the metre. We measure the length of the moving rod by means of the distance between the two points occupied at a given time by the two ends of the moving rod, that is, we mark the simultaneous positions of the two ends and we measure the distance between those positions; thus this method depend on the definition of simultaneity, which also depends on a definition. It must be acknowledged that the length of a moving rod is a matter of definition, but the length contraction is a genuine physical hypothesis confirmed by experiments. We must also recognize the priority of time over space: the ability to measure time is a requisite for the theory of space. Therefore only an unified theory of space and time is suitable. In spite of the necessity for an unified theory of space and time, Reichenbach states (in The philosophy of space and time) that space and time are different concepts which remain distinct in the theory of relativity. The real space is three-dimensional and the real time is one-dimensional: the four-dimensional space-time used in the theory of relativity is a mathematical artefact. Also the mathematical formulation of the special theory of relativity acknowledges the difference between space and time: the equation that defines the metric is dx^2 + dy^2 + dz^2 – dt^2 = ds^2 and the time coordinate is distinguishable from the space coordinates by the negative sign. How can we know the space is three-dimensional? and how can we recognize the difference between a real space and a mathematical space?

A physical effect is not immediately transmitted from one point to another distant point but it passes through every point between the source and the destination. This principle is known as the principle of local action and it denies the existence of action at a distance. In three-dimensional space the principle of local action is true while in a four-dimensional space it is false, so we can recognize that the real space is three-dimensional. We can also distinguish between a mathematical space and the real space because in a mathematical space the principle of local action is false. Reichenbach says that the truth of the principle of local action is an empirical fact, not an a priori truth: it could be false. But if this principle is true then there is only one n-dimensional space in which it is true; this n-dimensional space is the real space and n is the number of the dimensions of space. So we recognize that the real space is three-dimensional while the four-dimensional space used in the theory of relativity is a mathematical space, not a real one. We also recognize that the unified theory of space and time depends on normal causality.

Among the results of the special theory of relativity is time dilation: the period of a moving clock is greater than the period of a clock at rest and therefore the moving clock slows. Time dilation is an empirical hypothesis and Reichenbach says its physical meaning is that a clock does not measure the time coordinate but it measures the interval, ie the space-time distance between two events. In classical mechanics space is Euclidean and Pythagoras’ theorem gives the distance ds between two points: ds^2 = dx^2 + dy^2 + dz^2; x,y,z are the space coordinates. The distance ds is measured by rod. Time is an independent coordinate and is measured by clock. The mathematical formulation of the special theory of relativity uses a four-dimensional space-time known as the Minkowski space (mathematician Hermann Minkowski, b 1864 d 1909, gave a mathematical formulation of Einstein’s special theory of relativity), in which three coordinates are the space coordinates and one coordinate is the time coordinate. The distance ds between two points of Minkowski space is: ds^2 = dx^2 + dy^2 + dz^2 – dt^2; t is the time coordinate and ds (or ds^2) is the interval. A positive (negative) ds^2 is called a spacelike (timelike) interval. Suppose A and B are two events, interval ds^2 is negative and S is an inertial frame of reference moving with constant velocity v so that both events A and B occurs at the origin O of S, and suppose there is a clock in O; the time measured by the clock, called characteristic time, equals the interval ds. When the interval is positive, there is an inertial frame of reference S’ with respect to which the two events are simultaneous; in this instance, the interval ds is realized by a measuring rod with the two ends coinciding with the events A and B and at rest with respect to S’. Time dilation shows an important difference between the special theory of relativity and classical mechanics; the special theory asserts that clocks and rods measure the interval while classical mechanics asserts they measure coordinates.

I briefly mention also Reichenbach’s view on the velocity of light. He asserts that there is no way of measuring the velocity of light and proving it is constant, because the measurement of the velocity of light requires the definition of simultaneity which depends on the speed of light. Einstein – Reichenbach says – does not prove the speed of light is constant, but the special theory of relativity assumes it is constant, that is, it is constant by definition.

d. The General Theory of Relativity

Newton’s second law of motion states that the acceleration a of a body is proportional to the force F applied, so that F = m * a, where m is the inertial mass which represents the resistance to acceleration (force and acceleration are vectors and I use bold face as indicator of vector). Newton’s law of gravitation asserts that every particle attracts every other particle with a force F proportional to the product of gravitational masses: F = G (m * m’) / r^2; r is the distance between the two particles, m and m’ are the gravitational mass which represent the response to the gravitational force. In classical mechanics, gravitational mass and inertial mass are equivalent; this principle of equivalence accounts for the law of free fall which states that the acceleration of every falling body is the same. The principle of equivalence is one of the principle of the general theory of relativity and its consequences are very important.

Suppose a physicist is into a closed elevator and he observers a body attached to a spring; he find the spring is stretched. There are two different although equivalent explanations.

  • First explanation. The body is attracted by the Earth and the gravitational force accounts for the stretching of the spring.
  • Second explanation. The elevator is in empty space so there is not any gravitational force, but the elevator is accelerated and the inertia of the body causes the stretching of the spring.

The two explanation are indistinguishable because of the equivalence between gravitational and inertial mass. This thought experiment shows that an accelerated frames of reference can simulate a gravitational field. Now suppose that in another thought experiment the body does not exert any force on the spring. Also in this instance there are two explanations.

  • First explanation. The elevator is at rest in empty space so there is not any force.
  • Second explanation. The elevator is free falling in a gravitational field so its acceleration equals gravitational acceleration; the body is falling but also the spring, the elevator and the physicist are falling with the same acceleration and therefore they are relatively at rest and there is not any force.

The consequence of this second thought experiment is that a gravitational field can be eliminated by means of an accelerated frame of reference. The theory of general relativity states that free falling accelerated frames of reference are inertial systems. Reichenbach says that this hypothesis is not a consequence of the principle of equivalence; it is a genuine physical hypothesis which goes beyond experience. There is an important consequence of this hypothesis. The special theory of relativity is true in inertial frames of reference, so in every inertial system the motion of a light ray is represented by a straight line. But the general theory of relativity states that a free falling frame of reference is an inertial system, so the light moves in a straight line with respect to this frame of reference; with respect to a frame of reference which is at rest on Earth (in this system there is a gravitational field) the light rays are curved. The consequence is that light is curved by gravity. Another consequence of the hypothesis that a free falling frame of reference is an inertial system is the time dilation in the presence of a gravitational field.

The general theory of relativity gives an unified theory of space, time and gravitation; it requires a non-Euclidean four-dimensional geometry, known as Riemannian geometry. Reichenbach explains the main properties of this kind of geometry and the main differences between Euclidean geometry and Riemannian geometry. In Euclidean geometry the distance between two points is given by a simple function of coordinates; also in Minkowski four-dimensional space-time the interval is calculable by means of coordinates. In Euclidean geometry the coordinates have both a metric and topological significance; this is true also in the special theory of relativity. In Riemannian geometry the four coordinates perform a topological function, not a metric one. This means that we cannot calculate the distance between two points by means of coordinates. The metric functions is performed by the metric tensor g; it is a mathematical entity represented by 16 components. The geometry of four-dimensional space-time depends on the metric tensor g; for example, if the components of g are

1 0 0 0
0 1 0 0
0 0 1 0
0 0 0 1

then the geometry is a Minkowski geometry (that is, the geometry of the special theory). Thus the tensor g expresses the geometry. But g is determined by the gravitational field, because the metric tensor also expresses the acceleration of the frame of reference and the effects of an acceleration are equivalent to the effects of a gravitational field. The metric tensor g expresses both the physical geometry and the gravitational field. The consequence is astonishingly: the geometry of the universe is produced by gravitational fields. Therefore the general theory of relativity does not reduce gravitation to geometry; on the contrary, geometry is based on gravitation. The properties of space and time are empirical properties caused by gravitational fields.

e. The Reality of Space and Time

Reichenbach asserts (in The philosophy of space and time) that the reality of space and time is an unquestionable result of the epistemological analysis of the theory of relativity. With respect to the problem of reality, space and time are not different from the other physical concepts. But the reality of space and time does not imply the concept of an absolute space and time. Space and time are relational concepts and we can study their properties because of the existence of physical objects, for example, clocks, that realize relationships between space-time entities. Reichenbach also emphasizes the causal theory of space and time: causality is the basis of both philosophical and physical theory of space and time.

3. Quantum Mechanics

a. Interpretation of Quantum Physics: Part I

The main thesis of Reichenbach’s work on quantum mechanics (Philosophic foundations of quantum mechanics) is that there is not any exhaustive interpretation of quantum mechanics which is free from causal anomalies. A causal anomaly is a violation of the principle of local action; this principle states that the action at a distance does not exist. We have found the principle of local action and causal anomalies in Reichenbach’s philosophy of space and time.

Two main interpretations of quantum mechanics are involved with the wave-particle duality. Wave interpretation states that atomic entities are waves or things that resemble waves; it grew out of the discovery of the wave-like nature of light and it is supported by many experiments, for example the two-slit experiment. In this experiment a beam of electrons is direct towards a screen with two slits and an interference pattern is produced behind the screen, showing that electrons act as waves. The corpuscolar interpretation regards atomic entities as particles; it is supported by a long standing tradition and by the fact that atomic entities show corpuscular properties, for example, mass and momentum. Both wave and corpuscular interpretation entail causal anomalies. For example corpuscular interpretation cannot fully explain the two-slit experiment. An electron acting as a particle goes through only one slit and its behaviour is independent of the existence of another slit in a different point of space. In fact, if one slit is open and the other is close, the interference pattern is not produced: electrons behave as if they were informed whether the other slit is open. But wave interpretation cannot fully explain a slightly different experiment. An electron can be localized by a detector put near a slit and the electron is detected as particle. However for every event in quantum realm there is an interpretation by means of particles or waves but there is not a unique interpretation for all events. Both corpuscular and wave interpretation are not verifiable; they are not matter of experience but they are matter of definition.

There are two models that are free of causal anomalies; they are restricted interpretations, ie they exclude the admissibility of certain statements. One is Bohr-Heisenberg interpretation (Niels Bohr, b 1885 d 1962, Danish physicist winner of Nobel prize in 1922, gave the first account of the quantum theory of atoms; Werner Karl Heisenberg, b 1901 d 1976, German physicist winner of Nobel prize in 1932, formulated matrix mechanics and proved the principle of indeterminacy according to which there is no way of measuring both position and momentum of atomic particles). This interpretation states that speaking about values of not measured physical quantities is meaningless. In the two-slit experiment, when the two slits are open and electrons interfere with themselves, the position of electrons cannot be measured; thus a statement about the position of electrons is meaningless and the particle interpretation is forbidden. There are two main faults – Reichenbach says – in Bohr-Heisenberg’s interpretation: (i) Heisenberg indeterminacy principle becomes a meta-statement on the semantics of the language of physics and (ii) it implies the presence of meaningless statements in physics.

The other interpretation depends on three-valued logic, that is, a formal system that acknowledges three truth values: true, false and indeterminate.

b. Mathematical Formulation of Quantum Mechanics

Reichenbach carefully examines and explains the mathematical formulation of quantum mechanics. It is based on the notion of quantum operator; a quantum operator is a mathematical entity corresponding to a given classical quantity. For example, the quantum operator energy correspond to the energy in classical physics. A quantum operator can only assume discrete values while the corresponding classical quantity assumes continuous values. Note that an operator is not a function; it indicates a set of operation to be performed on a function.

Let U be a classical quantity; U depends on position Q and momentum P, that is U=F[Q,P] (position and momentum are vectors and I use bold face as indicator of vector; I use square brackets to show that a function depends on given quantities). The quantum operator corresponding to U is called Uop and is defined by the following statements.

  1. For every function F[Q], substitute ‘multiply by F[Q]’ to ‘F[Q]’.
  2. Substitute ‘multiply the first partial derivative with respect to Q by C’ to ‘P‘, where C=h/(2*pi*i), h is the Planck constant, pi equals 3.14…, i is the square root of -1.
  3. Substitute ‘multiply the second partial derivative with respect to Q by C^2′ to ‘P‘, where C=h/(2*pi*i), h is the Planck constant, pi equals 3.14…, i is the square root of -1.

c. Examples of Quantum Operators

Let T be the kinetic energy; in classical mechanics, the kinetic energy is given by the ratio of the square of momentum P to twice the mass m, that is T=P^2 / 2m. Quantum operator Top is given by Top=C^2 * (1/2m) * D” (I use symbol D’ to indicate the first partial derivative with respect to position and D” to indicate the second partial derivative with respect to position).

Let H be the mechanical energy, ie the sum of the kinetic energy T and the potential energy V: H=T+V[Q]; therefore Hop=Top+Vop=C^2 * (1/2m) * D” + V[Q]. If F is a given function, the result (indicated by Hop F) of performing the operations described by operator Hop on function F is C^2 * (1/2m) * D” F + V * F.

d. Heisenberg Indeterminacy Principle

Let Pop and Qop the quantum operator corresponding to momentum and position. It is easy to verify that for every function F

(H) Pop Qop F – Qop Pop F = C * F

and the equation H is a mathematical formulation of Heisenberg indeterminacy principle. The proof of equation H is straightforward.

Pop Qop F – Qop Pop F =
Pop (Q * F) – Qop (C * D’ F) =
C * (D’ (Q * F) – Q * (D’ F) =
C * (D’ Q * F + Q * D’ F – Q * D’ F) =
C * F

Reichenbach explains the physical meaning of equation H. Equation H proves that the eigenvalues of position and momentum are different. Now suppose a physicist measures both position and momentum of a particle; let Fp be the eigenfunction corresponding to the measured momentum and Fq be the eigenfunction corresponding to the measured position. From the measurement of position: PSI = Fp; from the measurement of momentum: PSI = Fq. Therefore Fp = Fq and the eigenvalues are the same; but the eigenvalues are different. So position and momentum of a particle cannot be simultaneously measured. Reichenbach asserts that Heisenberg indeterminacy principle is not due to the alleged interference an observer exerts on particles (the explanation of indeterminacy principle in terms of an interference is due to Heisenberg). This principle is an objective law of nature, and it can be stated without reference to observers.

e. The Interpretation of Quantum Physics: Part II

After the mathematical formulation of quantum mechanics, Reichenbach states the basic assumption of the different interpretation of quantum mechanics. Corpuscolar interpretation relies on the following definition. If a measurement of U equals Um, then Um is the values of U not only at the time of measurement but also immediately before and immediately after. If a physicist measures the position of an electron and immediately after its momentum, than he know both position and momentum of the electron. In this interpretation atomic particles have both momentum and position, so they are real particles; a physicist can also measure both momentum and position. The knowledge of both position and momentum is unusable because of the difference between the eigenfunctions: if PSI equals the eigenfunction “position” the knowledge of momentum is totally unused while if PSI equals the eigenfunction “momentum” the knowledge of position is totally unused.

Wave interpretation states that the value of a measured quantity exists after the measurement but before the measurement the quantity assumes simultaneously all possible values. The effect of the measurement is the collapse of wave function.

Bohr-Heisenberg interpretation asserts that the value of a physical quantity exists only after the measurement; a statement about this value before the measurement is therefore meaningless.

The interpretation based on three-valued logic states that a statement about a not measured physical quantity can be neither true nor false: it can be indeterminate. The following tables show the properties of logical connectives in the three-valued logic suggested by Reichenbach (symbols used in these tables differ from symbols used by Reichenbach).

negation: cyclic (-) diametrical (?) complete (^))

A -A ?A ^A
T I F I
I F I T
F T T T

or (v) and (&)
implication: standard (>) alternative (#) quasi (*)
equivalence: standard (=) alternative ()

A B (AvB) (A&B) (A>B) (A#B) (A*B) (A=B) (AB)
T T T T T T T T T
T I T I I F I I F
T F T F F F F F F
I T T I T T I I F
I I I I T T I T T
I F I F I T I I F
F T T F T T I F F
F I I F T T I I F
F F F F T T I T T

Suppose P is the statement “the momentum of the particle is p” and Q is the statement “the position of the particle is q”; then Heisenberg indeterminacy principle is expressed by the following statement: (Pv-P) # –Q. The following table is the truth-table of this sentence.

P Q -P Pv-P -Q –Q (Pv-P) # –Q
T T I T I F F
T I I T F T T
T F I T T I F
I T F I I F T
I I F I F T T
I F F I T I T
F T T T I F F
F I T T F T T
F F T T T I F

The truth of (Pv-P) # –Q implies that the situations described in 1st, 3rd, 7th and 9th row of the truth-table are forbidden. Reichenbach explains how the three-valued interpretation hides causal anomalies. Look at the two-slit experiment. Suppose the two slits are open and the interference pattern is produced. Let P(A) be the probability that an electron goes through the first slit; let P(B) be the probability that an electron goes through the second slit; let P(A,C) be the probability that an electron gone through the first slit hits the screen in point C; let P(B,C) be the probability that an electron gone through the second slit hits the screen in point C; let P(C) the probability that an electron hits the screen in point C. Corpuscular interpretation suggests that

(E2) P(C)=P(A)*P(A,C)+P(B)*P(B,C)

In fact P(C) is not given by equation E2: this is the origin of causal anomalies. Equation E2 can be expressed by the following statement: (AvB)#C, where A is “the electron goes through the first slit”, B is “the electron goes through the second slit” and C is E2. We know that (i) if an electron goes through the first slit then it does not go through the second slit and vice versa, ie A # -B and B # -A; (ii) if an electron does not go through a slit then it goes through the other slit, ie -A # B and -B # A. In classical logic, (i) and (ii) imply AvB, ie [(A # -B)&(B # -A)&(-A # B)&(-B # A)] # AvB is true (look at the following table).

A B [((A # -B) & (B # -A)) & ((-A # B) & (-B # A))] # AvB
F F F T T T F T T F T F F F T F F T F

The truth-table is restricted to one combination of truth-values because in the other combinations the consequence AvB is true and the statement Z # (AvB) is true for all Z. In corpuscular interpretation of two-slit experiment the statement (A # -B)&(B # -A)&(-A # B)&(-B # A) is true; in classical logic the statement [(A # -B)&(B# -A)&(-A # B)&(-B # A)] # AvB is true and thus also AvB is true; therefore E2 is true. But E2 does not give the correct formula for the probability and so there is a causal anomaly. In three-valued logic, (i) and (ii) do not imply AvB; this fact is proved by means of the following table.

A B [((A # -B) & (B # -A)) & ((-A # B) & (-B # A))] # AvB
I I I T F T I T F T F T I T F T I F I

Thus we cannot assert E2 and there is not any causal anomaly.

4. Reichenbach’s Epistemology

a. The Structure of Science and the Verifiability Principle

A scientific theory is a formal system which requires a physical interpretation by means of co-ordinative definitions. Reichenbach’s philosophical research on the theory of relativity and quantum mechanics implicitly depends on this view. For example, the distinction between mathematical geometry and physical geometry entails the distinction between a purely formal system and a system interpreted by means of definitions. Co-ordinative definitions are true by convention and cannot be verified, but they are not meaningless; in fact scientific theories require them to acquire an empirical significance. The acknowledgement of the existence of meaningful and not verifiable sentences is very important for a right interpretation of the epistemology of logical positivism. The verifiability principle is often regarded as the most important principle of logical positivism; it states that the meaning of a sentence is its method of verification and a sentence which cannot be verified is meaningless. According to this principle, co-ordinative definitions might be meaningless; on the contrary, in Reichenbach’s opinion, they are not only meaningful but also required by scientific theories. Note that Reichenbach explicit agrees with the verifiability principle. In ‘The philosophical significance of the theory of relativity’ (1949) he says that the meaning of a sentence is reducible to its method of verification; he also says that a physicist can fully understand the Michelson’s experiment only if he adopts the verifiability theory of meaning. In the same essay, Reichenbach says that the logic foundation of the theory of relativity is the discovery that many problems are not verifiable; these problems can be solved by means of co-ordinative definitions. Thus co-ordinative definitions are meaningful and not verifiable. So we must acknowledge that Reichenbach agrees with the verifiability principle and, at the same time, asserts that in scientific theories there are meaningful sentences, namely co-ordinative definitions, that are not verifiable. Why these sentences are not meaningless? Because they belong to scientific theories that are verifiable. For example, Reichenbach states that (i) the Euclidean geometry is not verifiable, (ii) the co-ordinative definitions of geometrical entities are not verifiable but (iii) the Euclidean geometry plus the co-ordinative definitions of geometrical entities is verifiable. The theory must be verifiable, the individual statements belonging to the theory can be not verifiable.

b. Conventionalism vs. Empiricism

In Reichenbach’s opinion, among the purposes of the philosophy of science is the search for a distinction between empirical and conventional sentences. The separation of empirical from conventional sentences is not only possible but also necessary for a full understanding of scientific theories. Philosophical research on modern science clearly shows that conventional elements are present in scientific knowledge. The description of our world is not uniquely determined by observations, but there is a plurality of equivalent descriptions; for example, we can use different geometries for describing the same space. But conventionalism is in error. For example, conventionalism states that we can always adopt the Euclidean geometry by means of appropriate definitions. But if we adopt a set of definitions so that the geometry on the Earth is Euclidean, it is possible that in another point of the universe the same set of definitions entails a non-Euclidean geometry; so we can discover an objective difference between different points of space. Note that Reichenbach does not state that scientific knowledge can be proved by means of experience. On the contrary, he asserts that scientific theories are based on physical hypotheses which are not a logical consequence of experiments, for example, the general theory of relativity is based on Einstein’s hypothesis that free falling frames of reference are inertial systems; we cannot prove this hypothesis, but we can verify its consequences. Scientific theories cannot be proved, but we can test their forecasts.

c. Causality

Causality plays a central role in Reichenbach’s philosophy of science. Reichenbach uses the theory of causality as a key to provide access to modern physics and understanding of the philosophical significance of both the theory of relativity and quantum mechanics. According to Reichenbach, the causal theory of space and time is the basis for both the theory of relativity and the philosophy of space and time. In the theory of relativity it is always possible to choose a set of co-ordinative definitions satisfying normal causality. Therefore different geometrical systems are not equivalent and they can be divided into two groups, one group satisfying normal causality while the other entails causal anomalies. Only geometrical systems belonging to the first group are admissible. It is the experience that decides whether a given geometry belongs to the first group; thus conventionalism’s view on geometry is wrong. In quantum mechanics there is not any set of co-ordinative definitions which is free from causal anomalies and satisfies classical logic. In fact, a three-valued logic is required to give an interpretation satisfying normal causality.

d. Science and Philosophy

First of all, we must acknowledge his scientific seriousness and physical-mathematical skill. His deep knowledge of modern physics is unquestionable. Reichenbach’s positive attitude towards scientific knowledge was influenced not only by his teachers but also by his own philosophical views. In his opinion, modern physics is concerned with problems that, until the late 19th century, were regarded as philosophical problems, for example, the nature of space and time, the source of gravitation, the real extent of causality. In 17th and 18th century – Reichenbach says – philosophers were usually interested in science and many of them were also mathematicians and physicists, for example, Descartes and Leibniz; Kant’s epistemology was based on scientific knowledge. But since 18th science became extraneous to philosophy. Nowadays – Reichenbach wrote in 1928 – there is an almost complete separation of philosophy from physical sciences; philosophical researches into epistemology are fruitless, because of this separation. On the other hand, scientists cannot explicitly help the progress of epistemology: they are too much involved in technical researches. There is only one way to overcome this difficulty: philosophers, who are not concerned with technical subjects but deal with genuine philosophical problems, must dedicate themselves to the philosophical analysis of modern physics, so they can clearly express the implicit philosophical content of scientific theories. In fact, modern physics is rich in philosophical consequences: there is more philosophy in Einstein’s work than in many philosophical systems.

5. References and Further Reading

Reichenbach’s Main Works, arranged in Chronological Order..

  • 1916 Der Begriff der Wahrscheinlichkeit fur die mathematische Darstellung der Wirklichkeit, dissertation, Erlangen, 1915
  • 1920 Relativitatstheorie und Erkenntnis apriori (English translation The theory of relativity and a priori knowledge, Berkeley : University of California Press, 1965)
  • 1921 ‘Bericht uber eine Axiomatik der Einsteinschen Raum-Zeit-Lehre’ in Phys. Zeitschr., 22
  • 1922 ‘Der gegenwartige Stand der Relativitatsdiskussion’ in Logos, X (English translation ‘The present state of the discussion on relativity’ in Modern philosophy of science : selected essays by Hans Reichenbach, London : Routledge & Kegan Paul ; New York : Humanities press, 1959)
  • 1924 Axiomatik der relativistischen Raum-Zeit-Lehre (English translation Axiomatization of the theory of relativity, Berkeley : University of California Press, 1969)
  • 1924 ‘Die Bewegungslehre bei Newton, Leibniz und Huyghens’ in Kantstudien, 29 (English translation ‘The theory of motion according to Newton, Leibniz, and Huyghens’ in Modern philosophy of science : selected essays by Hans Reichenbach, London : Routledge & Kegan Paul ; New York : Humanities press, 1959)
  • 1925 ‘Die Kausal-strukture der Welt und der Unterschied von Vergangenheit und Zukunft’ in Sitzungsber d. Bayer. Akad. d. Wiss., math-naturwiss.
  • 1927 Von Kopernikus bis Einstein. Der Wandel unseres Weltbildes (English translation From Copernicus to Einstein, New York : Alliance book corp., 1942)
  • 1928 Philosophie der Raum-Zeit-Lehre (English translation The philosophy of space and time, New York : Dover Publications, 1958)
  • 1929 ‘Stetige Wahrscheinlichkeits folgen’ in Zeitschr. f. Physik, 53
  • 1929 ‘Ziele und Wege der physikalische Erkenntnis’ in Handbuch der Physik ed. by Hans Geiger and Karl Scheel, Bd IV, Berlin : Julius Springer
  • 1930 Atom und kosmos. Das physikalische Weltbild der Gegenwart (English translation Atom and cosmos; the world of modern physics, London : G. Allen & Unwin, ltd., 1932)
  • 1931 Ziele und Wege der heutigen Naturphilosophie (English translation ‘Aims and methods of modern philosophy of nature’ in Modern philosophy of science : selected essays, Westport : Greenwood Press, 1959)
  • 1933 ‘Kant und die Naturwissenschaft’, Die Naturwissenschaften, 33-34
  • 1935 Wahrscheinlichkeitslehre : eine Untersuchung uber die logischen und mathematischen Grundlagen der Wahrscheinlichkeitsrechnung (English translation The theory of probability, an inquiry into the logical and mathematical foundations of the calculus of probability, Berkeley : University of California Press, 1948)
  • 1938 Experience and prediction: an analysis of the foundations and the structure of knowledge, Chicago : University of Chicago Press
  • 1944 Philosophic foundations of quantum mechanics, Berkeley and Los Angeles : University of California press
  • 1947 Elements of symbolic logic, New York, Macmillan Co.
  • 1948 Philosophy and physics, ‘Faculty research lectures, 1946’, Berkeley, Univ. of California Press
  • 1949 ‘The philosophical significance of the theory of relativity’ in Albert Einstein: philosopher-scientist, edit by P. A. Schillp, Evanston : The Library of Living Philosophers
  • 1951 The rise of scientific philosophy, Berkeley : University of California Press
  • 1953 ‘Les fondaments logiques de la mechanique des quanta’ in Annales de l’Istitut Henri Poincare’, Tome XIII Fasc II
  • 1954 Nomological statements and admissible operations, Amsterdam : Nort Holland Publishing Company
  • 1956 The direction of time, Berkeley : University of California Press

Collected works (in German).

  • Gesammelte Werke : in 9 Banden ; herausgegeben von Andreas Kamlah und Maria Reichenbach, Wiesbaden : Vieweg
  • 1977 Bd. 1: Der Aufstieg der wissenschaftlichen Philosophie
  • 1977 Bd. 2: Philosophie der Raum-Zeit-Lehre
  • 1979 Bd. 3: Die philosophische Bedeutung der Relativitatstheorie
  • 1983 Bd. 4: Erfahrung und Prognose : eine Analyse der Grundlagen und der Struktur der Erkenntnis
  • 1989 Bd. 5: Philosophische Grundlagen der Quantenmechanik und Wahrscheinlichkeit
  • 1994 Bd. 7: Wahrscheinlichkeitslehre : eine Untersuchung uber die logischen und mathematischen Grundlagen der Wahrscheinlichkeitsrechnung

Other sources.

  • 1959 Modern philosophy of science : selected essays by Hans Reichenbach, London : Routledge & Kegan Paul ; New York : Humanities press
  • 1959 Modern philosophy of science : selected essays by Hans Reichenbach, Westport, Conn. : Greenwood Press
  • 1978 Selected writings, 1909-1953 : with a selection of biographical and autobiographical sketches, ‘Vienna circle collection’, Dordrecht ; Boston : D. Reidel Pub.
  • 1979 Hans Reichenbach, logical empiricist, ‘Synthese library’, Dordrecht ; Boston : D. Reidel Pub.
  • 1991 Erkenntnis orientated : a centennial volume for Rudolf Carnap and Hans Reichenbach, Dordrecht ; Boston : Kluwer Academic Publishers
  • 1991 Logic, language, and the structure of scientific theories : proceedings of the Carnap-Reichenbach centennial, University of Konstanz, 21-24 May 1991, Pittsburgh : University of Pittsburgh Press ; [Konstanz] : Universitasverlag Konstanz
  • Erkenntnis was published between 1930 and 1940. Its name was Erkenntnis — im Auftrage der Gesellschaft fur Empirische Philosophie, Berlin und des Vereins Ernst Mach in Wien, hrsg. v. R. Carnap und H. Reichenbach (Knowledge — in agreement with Society for empirical philosophy, Berlin and Ernst Mach Association (the Vienna Circle) at Vienna, edited by R. Carnap and H. Reichenbach). In 1939-40 its name changed into The Journal of Unified Science (Erkenntnis), edited by O. Neurath, R. Carnap, Charles Morris, published by University of Chicago Press.

Author Information

Mauro Murzi
mauro@murzim.net
Italy

Reductio ad Absurdum

Reductio ad absurdum is a mode of argumentation that seeks to establish a contention by deriving an absurdity from its denial, thus arguing that a thesis must be accepted because its rejection would be untenable. It is a style of reasoning that has been employed throughout the history of mathematics and philosophy from classical antiquity onwards.

Table of Contents

  1. Basic Ideas
  2. The Logic of Strict Propositional Reductio: Indirect Proof
  3. A Classical Example of Reductio Argumentation
  4. Self-Annihilation: Processes that Engender Contradiction
  5. Doctrinal Annihilation: Sets of Statements that Are Collectively Inconsistent
  6. Absurd Definitions and Specifications
  7. Per Impossible Reasoning
  8. References and Further Reading

1. Basic Ideas

Use of this Latin terminology traces back to the Greek expression hê eis to adunaton apagôgê, reduction to the impossible, found repeatedly in Aristotle’s Prior Analytics. In its most general construal, reductio ad absurdumreductio for short – is a process of refutation on grounds that absurd – and patently untenable consequences would ensue from accepting the item at issue. This takes three principal forms according as that untenable consequence is:

  1. a self-contradiction (ad absurdum)
  2. a falsehood (ad falsum or even ad impossible)
  3. an implausibility or anomaly (ad ridiculum or ad incommodum)

The first of these is reductio ad absurdum in its strictest construction and the other two cases involve a rather wider and looser sense of the term. Some conditionals that instantiate this latter sort of situation are:

  • If that’s so, then I’m a monkey’s uncle.
  • If that is true, then pigs can fly.
  • If he did that, then I’m the Shah of Persia.

What we have here are consequences that are absurd in the sense of being obviously false and indeed even a bit ridiculous. Despite its departure from the usual form of reductio, this sort of thing is also characterized as an attenuated mode of reductio. But although all three cases fall into the range of the term as it is commonly used, logicians and mathematicians generally have the first and strongest of them in view.

The usual explanations of reductio fail to acknowledge the full extent of its range of application. For at the very minimum such a refutation is a process that can be applied to

  • individual propositions or theses
  • groups of propositions or theses (that is, doctrines or positions or teachings)
  • modes of reasoning or argumentation
  • definitions
  • instructions and rules of procedure
  • practices, policies and processes

The task of the present discussion is to explain the modes of reasoning at issue with reductio and to illustrate the work range of its applications.

2. The Logic of Strict Propositional Reductio: Indirect Proof

Whitehead and Russell in Principia Mathematica characterize the principle of “reductio ad absurdum” as tantamount to the formula (~pp) →p of propositional logic. But this view is idiosyncratic. Elsewhere the principle is almost universally viewed as a mode of argumentation rather than a specific thesis of propositional logic.

Propositional reductio is based on the following line of reasoning:

If p ⊢ ~p, then ⊢ ~p

Here ⊢ represents assertability, be it absolute or conditional (that is, derivability). Since pq yields ⊢p →q this principle can be established as follows:

Suppose (1) p ⊢ ~p

(2) ⊢p → ~p from (1)

(3) ⊢p → (p & ~p) from (2) since pp

(4) ⊢ ~(p & ~p) → ~p from (3) by contraposition

(5) ⊢ ~(p & ~p) by the Law of Contradiction

(6) ⊢ ~p from (4), (5) by modus ponens

Accordingly, the above-indicated line of reasoning does not represent a postulated principle but a theorem that issues from subscription to various axioms and proof rules, as instanced in the just-presented derivation.

The reasoning involved here provides the basis for what is called an indirect proof. This is a process of justificating argumentation that proceeds as follows when the object is to establish a certain conclusion p:

(1) Assume not-p

(2) Provide argumentation that derives p from this assumption.

(3) Maintain p on this basis.

Such argumentation is in effect simply an implementation of the above-stated principle with ~p standing in place of p.

As this line of thought indicates, reductio argumentation is a special case of demonstrative reasoning. What we deal with here is an argument of the pattern: From the situation

(to-be-refuted assumption + a conjunction of preestablished facts) ⊢ contradiction

one proceeds to conclude the denial of that to-be-refuted assumption via modus tollens argumentation.

An example my help to clarify matters. Consider division by zero. If this were possible when x is not 0 and we took x ÷ 0 to constitute some well-defined quantity Q, then we would have x ÷ 0 = Q so that x = 0 x Q so that since 0 x (anything) = 0 we would have x = 0, contrary to assumption. The supposition that x ÷ 0 qualifies as a well-defined quantity is thereby refuted.

3. A Classical Example of Reductio Argumentation

A classic instance of reductio reasoning in Greek mathematics relates to the discovery by Pythagoras – disclosed to the chagrin of his associates by Hippasus of Metapontum in the fifth century BC – of the incommensurability of the diagonal of a square with its sides. The reasoning at issue runs as follows:

Let d be the length of the diagonal of a square and s the length of its sides. Then by the Pythagorean theorem we have it that d² = 2s². Now suppose (by way of a reductio assumption) that d and s were commensurable in terms of a common unit u, so that d = n x u and s = m x u, where m and n are whole numbers (integers) that have no common divisor. (If there were a common divisor, we could simply shift it into u.) Now we know that

(n x u)² = 2(m x u

We then have it that n² = 2m². This means that n must be even, since only even integers have even squares. So n = 2k. But now n² = (2k)² = 4k² = 2m², so that 2k² = m². But this means that m must be even (by the same reasoning as before). And this means that m and n, both being even, will have common divisors (namely 2), contrary to the hypothesis that they do not. Accordingly, since that initial commensurability assumption engendered a contradiction, we have no alternative but to reject it. The incommensurability thesis is accordingly established.

As indicated above, this sort of proof of a thesis by reductio argumentation that derives a contradiction from its negation is characterized as an indirect proof in mathematics. (On the historical background see T. L. Heath, A History of Greek Mathematics [Oxford, Clarendon Press, 1921].)

The use of such reductio argumentation was common in Greek mathematics and was also used by philosophers in antiquity and beyond. Aristotle employed it in the Prior Analytics to demonstrate the so-called imperfect syllogisms when it had already been used in dialectical contexts by Plato (see Republic I, 338C-343A; Parmenides 128d). Immanuel Kant’s entire discussion of the antinomies in his Critique of Pure Reason was based on reductio argumentation.

The mathematical school of so-called intuitionism has taken a definite line regarding the limitation of reductio argumentation for the purposes of existence proofs. The only valid way to establish existence, so they maintain, is by providing a concrete instance or example: general-principle argumentation is not acceptable here. This means, in specific, that one cannot establish (∃x)Fx by deducing an absurdity from (∀x)~Fx. Accordingly, intuitionists would not let us infer the existence of invertebrate ancestors of homo sapiens from the patent absurdity of the supposition that humans are vertebrates all the way back. They would maintain that in such cases where we are totally in the dark as to the individuals involved we are not in a position to maintain their existence.

4. Self-Annihilation: Processes that Engender Contradiction

Not only can a self-inconsistent statement (and thereby a self-refuting, self-annihilating one) but also a self-inconsistent process or practice or principle of procedure can be “reduced to absurdity.” For any such modus operandi answers to some instruction (or combination thereof), and such instruction can also prove to be self-contradictory. Examples of this would be:

  • Never say never.
  • Keep the old warehouse intact until the new one is constructed. And build the new warehouse from the materials salvaged by demolishing the old.

More loosely, there are also instructions that do not automatically result in logically absurd (self-contradictory) conclusions, but which open the door to such absurdity in certain conditions and circumstances. Along these lines, a practical rule of procedure or modus operandi would be reduced to absurdity when it can be shown that its actual adoption and implementation would result in an anomaly.Consider an illustration of this sort of situation. A man dies leaving an estate consisting of his town house, his bank account of $30,000, his share in the family business, and several pieces of costume jewelry he inherited from his mother. His will specifies that his sister is to have any three of the valuables in his estate and that his daughter is to inherent the rest. The sister selects the house, a bracelet, and a necklace. The executor refuses to make this distribution and the sister takes him to court. No doubt the judge will rule something like “Finding for the plaintiff would lead ad absurdum. She could just as well have also opted not just for the house but also for the bank account and the business, thereby effectively disinheriting the daughter, which was clearly not the testator’s wish.” Here we have a juridical reductio ad absurdum of sorts. Actually implementing this rule in all eligible cases – its generalized utilization across the board – would yield an unacceptable and untoward result so that the rule could self-destruct in its actual unrestricted implementation. (This sort of reasoning is common in legal contexts. Many such cases are discussed in David Daube Roman Law [Edinburgh: Edinburgh University Press, 1969], pp. 176-94.)Immanuel Kant taught that interpersonal practices cannot represent morally appropriate modes of procedure if they do not correspond to verbally generalizable rules in this way. Such practices as stealing (that is, taking someone else’s possessions without due authorization) or lying (i.e. telling falsehoods where it suits your convenience) are rules inappropriate, so Kant maintains, exactly because the corresponding maxims, if generalized across the board, would be utterly anomalous (leading to the annihilation of property- ownership and verbal communication respectively. Since the rule-conforming practices thus reduce to absurdity upon their general implementation, such practices are adjudged morally unacceptable. For Kant, generalizability is the acid test of the acceptability of practices in the realm of interpersonal dealings.

5. Doctrinal Annihilation: Sets of Statements that Are Collectively Inconsistent

Even as individual statements can prove to be self-contradictions, so a plurality of statements (a “doctrine” let us call it) can prove to be collectively inconsistent. And so in this context reductio reasoning can also come into operation. For example, consider the following schematic theses:

  • AB
  • BC
  • CD
  • Not-D

In this context, the supposition that A can be refuted by a reductio ad absurdum. For if A were conjoined to these premisses, we will arrive at both D and not-D which is patently absurd. Hence it is untenable (false) in the context of this family of givens.When someone is “caught out in a contradiction” in this way their position self-destructs in a reduction to absurdity. An example is provided by the exchange between Socrates and his accusers who had charged him with godlessness. In elaborating this accusation, these opponents also accused Socrates of believing in inspired beings (daimonia). But here inspiration is divine inspiration such a daimonism is supposed to be a being inspired by a god. And at this point Socrates has a ready-made defense: how can someone disbelieve in gods when he is acknowledged to believe in god-inspired beings. His accusers here become enmeshed in self-contradiction. And their position accordingly runs out into absurdity. (Compare Aristotle, Rhetorica 1398a12 [II xxiii 8].)

6. Absurd Definitions and Specifications

Even as instructions can issue in absurdity, so can definitions and explanations. As for example:

  • A zor is a round square that is colored green.

Again consider the following pair:

  • A bird is a vertebrate animal that flies.
  • An ostrich is a species of flightless bird.

Definitions or specifications that are in principle unsatisfiable are for this very reason absurd.

7. Per Impossible Reasoning

Per impossible reasoning also proceeds from a patently impossible premiss. It is closely related to, albeit distinctly different from reductio ad absurdum argumentation. Here we have to deal with literally impossible suppositions that are not just dramatically but necessarily false thanks to their logical conflict with some clearly necessary truths, be the necessity at issue logical or conceptual or mathematical or physical. In particular, such an utterly impossible supposition may negate:

  • a matter of (logico-conceptual) necessity (“There are infinitely many prime numbers”).
  • a law of nature (“Water freezes at low temperatures”).

Suppositions of this sort commonly give rise to per impossible counterfactuals such as:

  • If (per impossible) water did not freeze, then ice would not exist.
  • If, per impossible, pigs could fly, then the sky would sometimes be full of porkers.
  • If you were transported through space faster than the speed of light, then you would return from a journey younger than at the outset.
  • Even if there were no primes less than 1,000,000,000, the number of primes would be infinite.
  • If (per impossible) there were only finitely many prime numbers, then there would be a largest prime number.

A somewhat more interesting mathematical example is as follows: If, per impossible, there were a counterexample to Fermat’s Last Theorem, there would be infinitely many counterexamples, because if xk + yk = zk, then (nx)k + (ny)k = (nz)k, for any k.

With such per impossible counterfactuals we envision what is acknowledged as an impossible and thus necessarily false antecedent, doing so not in order to refute it as absurd (as in reductio ad absurdum reasoning), but in order to do the best one can to indicate its “natural” consequences.

Again, consider such counterfactuals as:

  • If (per impossible) 9 were divisible by 4 without a remainder, then it would be an even number.
  • If (per impossible) Napoleon were still alive today, he would be amazed at the state of international politics in Europe.

A virtually equivalent formulation of the very point at issue with these two contentions is:

  • Any number divisible by 4 without remainders is even.
  • By the standards of Napoleonic France the present state of international politics in Europe is amazing.

However, the designation per impossible indicates that it is the conditional itself that concerns us. Our concern is with the character of that consequence relationship rather than with the antecedent or consequent per so. In this regard the situation is quite different from reductio argumentation by which we seek to establish the untenability of the antecedent. To all intents and purposes, then, counterfactuals can serve distinctly factual purpose.And so, often what looks to be a per impossible conditional actually is not. Thus consider

  • If I were you, I would accept his offer.

Clearly the antecedent/premiss “I = you” is absurd. But even the slightest heed of what is communicatively occurring here shows that what is at issue is not this just-stated impossibility but a counterfactual of the format:

  • If I were in your place (that is, if I were circumstanced in the condition in which you now find yourself), then I would consult the doctor.

Only by being perversely literalistic could the absurdity of that antecedent be of any concern to us.

One final point. The contrast between reductio and per impossible reasoning conveys an interesting lesson. In both cases alike we begin with a situation of exactly the same basic format, namely a conflict of contradiction between an assumption of supposition and various facts that we already know. The difference lies entirely in pragmatic considerations, in what we are trying to accomplish. In the one (reductio) case we seek to refute and rebut that assumptions so as to establish its negation, and in the other (per impossible) case we are trying to establish an implication – to validate a conditional. The difference at bottom thus lies not in the nature of the inference at issue, but only in what we are trying to achieve by its means. The difference accordingly is not so much theoretical as functional – it is a pragmatic difference in objectives.

8. References and Further Reading

  • David Daube, Roman Law (Edinburgh: Edinburgh University Press, 1969), pp. 176-94.
  • M. Dorolle, “La valeur des conclusion par l’absurde,” Révue philosophique, vol. 86 (1918), pp. 309-13.
  • T. L. Heath, A History of Greek Mathematics, vol. 2 (Oxford: Clarendon Press, 1921), pp. 488-96.
  • A. Heyting, Intuitionism: An Introduction (Amsterdam, North-Holland Pub. Co., 1956).
  • William and Martha Kneale, The Development of Logic (Oxford: Clarendon Press, 1962), pp. 7-10.
  • J. M. Lee, “The Form of a reductio ad absurdum,” Notre Dame Journal of Formal Logic, vol. 14 (1973), pp. 381-86.
  • Gilbert Ryle, “Philosophical Arguments,” Colloquium Papers, vol. 2 (Bristol: University of Bristol, 1992), pp. 194-211.

Author Information

Nicholas Rescher
Email: rescher+@pitt.edu
University of Pittsburgh
U. S. A.

Rāmānuja (c. 1017 – c. 1137)

Rāmānuja (ācārya), the eleventh century South Indian philosopher, is the chief proponent of Viśiṣṭādvaita, which is one of the three main forms of the Orthodox Hindu philosophical school, Vedānta. As the prime philosopher of the Viśiṣṭādvaita tradition, Rāmānuja is one of the Indian philosophical tradition’s most important and influential figures. He was the first Indian philosopher to provide a systematic theistic interpretation of the philosophy of the Vedas, and is famous for arguing for the epistemic and soteriological significance of bhakti, or devotion to a personal God. Unlike many of his contemporaries, Rāmānuja defended the reality of a plurality of individual persons, qualities, values and objects while affirming the substantial unity of all. On some accounts, Rāmānuja’s influence on popular Hindu practice is so vast that his system forms the basis for popular Hindu philosophy. His two main philosophical writings (the Śrī Bhāṣya and Vedārthasaṅgraha) are amongst the best examples of rigorous and energetic argumentation in any philosophical tradition, and they are masterpieces of Indian scholastic philosophy.

Table of Contents

  1. Rāmānuja’s Life and Works
  2. Rāmānuja’s Cosmology and Metaphysics
    1. Background
    2. Negative Philosophical Criticisms of Bhedābheda and Advaita Vedānta
      1. Logical Criticism
      2. Argument from Epistemology
    3. Substantive Theses
      1. Intentionality of Consciousness
      2. Consciousness is a Property of Something
      3. Individuals are Real
    4. Hermeneutic Criticism
      1. Vedas as Doctrinally Unified Corpus
      2. “Tat tvam asi” and Co-ordinate Predication
      3. Brahman and Ātman
  3. Rāmānuja’s Theism
  4. Rāmānuja’s Soteriology
  5. Rāmānuja’s Epistemology
    1. Perception
    2. Scripture
    3. Bhakti
    4. Error
  6. Rāmānuja’s Ethics
    1. Substantive Ethics
    2. Foundations of Ethics
  7. Interpreting Rāmānuja: the Northern and Southern Schools and the Authenticity of the Gadyas
  8. Conclusion: Rāmānuja’s Place in the History of Indian Philosophy
  9. References and Further Readings
    1. Primary Sources
    2. b. Secondary Sources on Rāmānuja

1. Rāmānuja’s Life and Works

On traditional accounts, Rāmānuja lived the unusually long life of 120 years (twice the average lifespan at the time), from 1017 to 1137 C.E., though recent scholarship places his life between 1077 to 1157 C.E., with a life of 80 years (Carman p.27). He was born in the Southern, Tamil speaking region of India, in the small township of Śrīperumbūdur on the outskirts of modern day Chennai (Madras) into a family that hailed from a subclass of Brahmins (the Hindu priestly caste) known for their scholarship and learning in the Vedas. His family was likely bilingual, fluent in both the local vernacular (Tamil) and the language of scholarship (Sanskrit). From a young age he is reputed to have displayed a prodigious intellect and liberal attitudes towards caste. At this time he became friendly with a local, saintly Sudra (member of the servile caste) by the name of Kāñcīpurna, whose occupation it was to perform services for the local temple idol of the Hindu deity Vishnu. Rāmānuja admired Kāñcīpurna’s piety and devotion to Vishnu and sought Kāñcīpurna as his guru-much to the horror of Kāñcīpurna who regarded Rāmānuja’s humility before him as an affront to caste propriety.

Shortly after being married in his teenage years, and after his father passed away, Rāmānuja and his family moved to the neighboring city of Kāñcīpuram. There Rāmānuja found his first formal teacher, Yādavaprakāśa, who was an accomplished professor of the form of the Vedānta philosophy that was in vogue at the time-a form of Vedānta that has strong affinities to Śaṅkara’s Absolute Idealistic Monism (Advaita Vedānta) but was also close to the Difference-and-non-difference view (Bhedābheda Vedānta). (“Vedānta” means the ‘end of the Vedas’ and refers to the philosophy expressed in the end portion of the Vedas, also known as the Upaniṣads, and encoded in the cryptic summary by Bādarāyaṇa called the Vedānta Sūtra or Brahma Sūtra. The perennial questions of Vedānta are: what is the nature of Brahman, or the Ultimate, and what is the relationship between the multiplicity of individuals to this Ultimate. Vedānta comprises one of the six orthodox schools of Hindu philosophy.)

At first Yādavaprakāśa was thrilled to receive a talented and intelligent student of the likes of Rāmānuja. But disagreements between the two, on the proper interpretation of the Upaniṣads, soon broke out. Yādavaprakāśa favored an amoral, impersonal, non-theistic interpretation of the Upaniṣads. Rāmānuja, in contrast, favored a theistic interpretation of the Upaniṣads that placed a premium on the aesthetic and moral excellences of Brahman. Yādavaprakāśa found Rāmānuja’s skill at offering alternative interpretations threatening both to his authority and the popularity of his philosophy. He thus hatched a plan, with some of his other students, to murder Rāmānuja while on a pilgrimage. Rāmānuja however got word of the plan from his classmate and cousin (Govinda) and escaped from the pilgrimage with his life. Rāmānuja (surprisingly) did not make public his knowledge of the failed assassination attempt and resumed classes with Yādavaprakāśa when he returned to Kāñcīpuram. Yādavaprakāśa for his part did not reveal his complicity in the plot to take Rāmānuja’s life, and feigned happiness at continuing to be his teacher. Not too long afterwards, however, Yādavaprakāśa ordered Rāmānuja to leave his school, after a final disagreement on the interpretation of scripture occurred.

Without a teacher, Rāmānuja returned dejected to his childhood mentor, Kāñcīpurna, who assured him that a teacher would come his way. For the time being, Kāñcīpurna instructed Rāmānuja to help him in his manual service to the temple idol of Vishnu.

At the same time Yamuna, the spiritual head of the fledgling Tamil Vaiṣṇava (Vishnu worshiping) community, was near the end of his life and in search of a successor. This community, known as the Śrī Vaiṣṇava Sampradāya, was formed around the memory of the Four Thousand Tamil Verses (Nālāyira Divya Prabhandam) of twelve Tamil Vaiṣṇava saints (Āḻvārs), renowned for their devotional poetry on Vishnu. While it had a modest popular base, it lacked a formal and legitimizing articulation in the Sanskrit academic community. Though a competent and accomplished philosopher in his own right who authored the impressive Siddhi Trayam, Yamuna came into the fold too late in his life to fully articulate the philosophy of Śrī Vaiṣṇavas to the pan-Indian academic community. He thus held out the hope that Rāmānuja would, amongst other things, take up the task of articulating the philosophical ethos of the tradition that had been entrusted to him, in the form of a formal, Sanskrit commentary on the Brahma Sūtra (the cryptic summary of the philosophical purport of the Upaniṣads). Upon finding out that Rāmānuja had been freed from ties to Yādavaprakāśa, and had returned to the company of Kāñcīpurna (himself a member of Yamuna’s Śrī Vaiṣṇava community) Yamuna was overjoyed and sent word to Rāmānuja to come and take up the post as his successor. Yamuna however died just before Rāmānuja could reach him, and once again Rāmānuja found himself without the teacher he had been searching for.

After Rāmānuja had gained his composure, he made his way over to the crowd centered on Yamuna’s new corpse. He noted that three fingers of Yamuna’s were curled. Yamuna’s senior disciples explained to Rāmānuja that they likely represented three wishes of Yamuna, one of which being that a commentary on the Brahma Sūtra should be written. When Rāmānuja pledged to try to fulfill those wishes, the fingers uncurled. The crowd took this as a sign that Rāmānuja was the heir apparent of Yamuna. Rāmānuja was however vexed at the local temple idol of Vishnu for not even allowing him a brief meeting with Yamuna, and would not formally join the community for nearly a year.

When Rāmānuja did decide to formally join the Śrī Vaiṣṇava fold, Yamuna’s senior disciple, Mahāpūrṇa, supervised his initiation. For a matter of six months, Rāmānuja had found himself the teacher he was looking for in the form of Mahāpūrṇa. Under Mahāpūrṇa, Rāmānuja learned the verses of the Tamil Vaiṣṇava saints. However, his learning under Mahāpūrṇa came to an abrupt end when Rāmānuja’s wife picked a fight with Mahāpūrṇa’s wife, on the premise that the latter was a member of a lower Brahmanic subcaste. Upon hearing this, the hurt Mahāpūrṇa and his wife departed from Rāmānuja’s company without notice. Rāmānuja, once again lost his teacher. But this was not the first time that Rāmānuja’s wife had interfered with his spiritual development.

At an earlier point, Rāmānuja had invited his childhood mentor, Kāñcīpurna, for a meal. Rāmānuja had hoped to partake of Kāñcīpurna’s leavings as a sacrament. However, Kāñcīpurna arrived early in absence of Rāmānuja. Rāmānuja’s wife fed Kāñcīpurna, sent him off, and ritually purified the dining area, by, amongst other things, discarding Kāñcīpurna’s leftovers.

Having lost the benefits of a teacher twice over as a result of his wife’s caste-pretensions, Rāmānuja was incensed. He thus sent his wife back to her natal home, and promptly became a renounciate (saṃnyāsin). He earned the title “king of ascetics (yatirāja) from the temple deity of Vishnu speaking through Kāñcīpurna at this point.

Rāmānuja’s separation from his wife and his initiation into the order of ascetics marks the beginning of his career as an independent and self-assured philosopher. He traveled around India and participated in public debates with exponents of rival philosophies. Many of the philosophers that Rāmānuja defeated became prominent disciples in his fold. Rāmānuja standardized and reformed temple worship in those Vaiṣṇava temples that he gained control over (often through winning debates with the custodians of the temple). To this day his instructions are the norm of Śrī Vaiṣṇava temple and home worship in India and abroad.

The Śrī Vaiṣṇava tradition is unanimous in holding that Rāmānuja authored nine, and only nine, works: all in Sanskrit. While Rāmānuja is reported by the writings of his disciples to have lectured in Tamil on the verses of the Tamil Vaiṣṇava saints, he left no writings on their work, and no explicit mention of them in his writings. At first glance, this seems remarkable, given that the Divya Prabhandam is regarded by the Śrī Vaiṣṇava tradition, as the Tamil equivalent of the Vedas. However, Rāmānuja’s silence on the Āḻvārs in his Sanskrit writings may have been a result of his aim as philosopher to not preach to the converted, but to articulate his philosophy to the pan-Indian academic community.

Rāmānuja’s first work was likely the Vedārthasaṅgraha (‘Summary of the Meaning of the Vedas’). It sets out Rāmānuja’s philosophy, which is theistic (it affirms a morally perfect, omniscient and omnipotent God) and realistic (it affirms the existence and reality of a plurality of qualities, persons and objects). This work is referred to several times in Rāmānuja’s magnum opus, his commentary on the Brahma Sūtra, the Śrī Bhāṣya (also known as his Brahma Sūtra Bhāṣya). This is the work that Rāmānuja is best known by outside of the Śrī Vaiṣṇava tradition. In addition to this large commentary on the Brahma Sūtra, Rāmānuja apparently wrote two more shorter commentaries: Vedāntapīda, and Vedāntasāra. Aside from the Vedārthasaṅgraha and Śrī Bhāṣya, Rāmānuja’s most important philosophic work is a commentary on the Bhagavad Gītā (Bhagavad Gītā Bhāṣya). In addition to these philosophic works, Rāmānuja is held by tradition to have written three prose hymns called collectively the Gadya Traya, which include the Śaraṇāgati Gadya, Śrīraṅga Gadya and the Vaikunṭḥa Gadya). The Śaraṇāgati Gadya is a dialogue between Rāmānuja and the Hindu deities Śrī (Lakṣmī) and Nārāyaṇa (Vishnu) (which jointly comprise God, or Brahman, for Rāmānuja) in which Rāmānuja surrenders himself before God and petitions Vishnu, through Lakṣmī, for his Grace. Vishnu and Lakṣmī, for their part, respond favorably to Rāmānuja’s act of surrender. The Śrīraṅga Gadya is a prayer of surrender to the feet of Ranganatha. (This is Vishnu in his repose on the many headed serpent Ādi Śeṣa -‘ancient servant,’ ‘ancient residue,’ or ‘primeval matter’- on the milk ocean.) The Vaikunṭḥa Gadya describes in great detail the eternal realm of Vishnu, called Vaikunṭḥa, on which one should meditate in order to gain liberation. Finally Rāmānuja is held to have authored a manual of daily worship called the Nityagrantha.

The authenticity of all but the three large works attributed to Rāmānuja – Śrī Bhāṣya, Vedārthasaṅgraha and the Bhagavad Gītā Bhāṣya – have come into question in recent times. The argument against the authenticity of these texts appears to be a minority position amongst scholars. With respect to the two smaller commentaries on the Brahma Sūtra, it has been argued that they must be inauthentic, because it seems unlikely that Rāmānuja would himself have bothered to take the time to abridge his larger commentary, the Śrī Bhāṣya (cf. Buitenen p.32). With respect to the short religious works attributed to Rāmānuja, it has been argued that they present doctrines that go beyond those that are found in his major commentaries (cf. Lester p.279).

2. Rāmānuja’s Cosmology and Metaphysics

a. Background

Subsequent tradition has applied the label “Viśiṣṭādvaita” to the philosophy of Rāmānuja. It is meant to contrast his philosophy from leading competing views, such as Advaita (Non-Dualist), Bhedābheda (Difference-and-non-difference) and Dvaita (Dualist) Vedānta. The term “Viśiṣṭādvaita” is often translated as ‘Qualified Non-Dualism.’ An alternative, and more informative, translation is “Non-duality of the qualified whole,” or perhaps ‘Non-duality with qualifications.” The label attempts to mark out Rāmānuja’s effort to affirm the unity of the many, without giving up on the reality of distinct persons, qualities, universals, or aesthetic and moral values.

Where all versions of Vedānta intersect is in their effort to provide a consistent and defendable interpretation of the Brahma Sūtra, on philosophical and hermeneutic grounds. Given the common textual bases, there are certain doctrinal invariances amongst the various sub-schools of Vedānta.

In accordance with the Upaniṣads, the various schools of Vedānta hold that there is an ultimate entity, called Brahman, which also is referred to by scripture as “Ātman” (“Self”). The Vedānta schools recognize, in accordance with the Upaniṣads, that Brahman plays a key role in the organization of the universe. Attainment of Brahman by an individual constitutes its highest good: soteriological liberation or moḳsa.

The chief areas of disagreement amongst the various schools of Vedānta are on the nature and ontological status of individual selves, objects of cognition and Brahman, as well as the relevance and importance of ethics or duty (dharma) to the good life.

Rāmānuja’s foils in the articulation of his philosophy are two forms of Vedānta that were not clearly distinguished during his day: these are the Bhedābheda view, and the Advaita philosophy. Both these views take a similar stance on the relationship of an individual’s subjectivity and Brahman: on both accounts, the conscious principle of the individual is of a piece with Brahman. In the case of Advaita Vedānta, the consciousness of an individual is regarded as numerically identical with the consciousness of Brahman. On this view, the psychological ego or sense of individuality is something distinct from consciousness: it is its object. The Bhedābheda view similarly asserts the numerical identity of an individual’s consciousness and Brahman, but it emphasizes that this identity is counteracted by a separating off, or differentiating effort, on the part of Brahman to compartmentalize itself and mysteriously constitute the world of plurality and difference. On this view, the individual ego is constituted by Brahman. According to the versions of Bhedābheda and Advaita that Rāmānuja was acquainted with, mere knowledge of one’s identity with Brahman is sufficient to bring about liberation; works, such as ritual and moral obligations, can at best play a preparatory role in bringing an individual to the state of being desirous for liberation, but they have no intrinsic value. Corollaries of these views are the position that consciousness, and not plurality, is metaphysically fundamental; that consciousness does not require objects for its existence; that belief in plurality consists in the uncritical acceptance of ordinary experience; and that dialectical reasoning can yield substantive knowledge with practical import. On many fronts (on the reality of universals, particulars, and moral values) both the Bhedābheda Advaita schools are classic forms of anti-realism.

Students of Rāmānuja’s thought may wish to know whom Rāmānuja is arguing against. In all likely hood, it is his former teacher, Yādavaprakāśa. However, Rāmānuja does not attribute the Advaita or Bhedābheda views to any particular philosopher. Rather, these views are voiced by the opponent, or the ubiquitous pūrvapakṣin , everywhere in Indian philosophy, expressing the views to be criticized.

Rāmānuja’s arguments that he presents against his opponent are of roughly three varieties. Some are negative, and focus on philosophical problems of the opponent’s view. Some are positive, and concern arguing for theses that Rāmānuja wishes to defend. And some arguments are hermeneutic. This last category of arguments combines criticism and positive philosophical argument, but it centers on the proper interpretation of the Vedas.

b. Negative Philosophical Criticisms of Bhedābheda and Advaita Vedānta

i. Logical Criticism

Rāmānuja criticizes many of the arguments of the Bhedābheda and Advaita views on logical grounds. These schools employed dialectical arguments that conclude on the basis of logical puzzles that arise in accounting for distinctions and difference in perception that difference (which includes the idea of a distinct quality) is an unintelligible notion. From such considerations, these philosophers would typically conclude that only undifferentiated consciousness is the real (Brahman). Rāmānuja at many points in the Śrī Bhāṣya and the Vedārthasaṅgraha attempts to argue against such views by an argument ad absurdum. Particularly, Rāmānuja argues that the arguments presented by the Bhedābheda and Advaita Vedāntins lead to intolerable contradictions and further conclusions that go against common sense. At one point he suggests that those who would make such arguments are “no better than a man who would claim that his own mother never had any children” (Śrī Bhāṣya, I.i.1. “Great Siddhānta” p.44).

ii. Argument from Epistemology

Rāmānuja argues that the epistemic considerations that his opponents adduce for their positions undercut their own views. The philosophers that Rāmānuja takes aim at argue that all means of cognition involve error. Rāmānuja argues that if this is so, it follows that we could never know that all cognition involves error, for such putative knowledge would itself involve an erroneous cognition, and hence not qualify as genuine knowledge. If Rāmānuja’s opponents view is correct, then it follows that some cognitions are not erroneous. But this is exactly what the disputed conclusion rules out (Śrī Bhāṣya, I.i.1. “Great Siddhānta” pp.74-78).

c. Substantive Theses

i. Intentionality of Consciousness

While the previous two strategies that Rāmānuja employs in his criticism of the Bhedābheda and Advaita views are largely negative, and involve criticizing these views on formal grounds, Rāmānuja also defends philosophical theses that these two schools rule out. The most important of these theses is the view that consciousness is always consciousness of some object distinguished by a characteristic (cf. Śrī Bhāṣya, I.i.1. “Great Siddhānta” p.53 and “Great Pūrvapakṣa” p.32). This is the doctrine known as “dharmabhūtajñāna” in the Viśiṣṭādvaita tradition (Śrīnivāsadāsa VII.2). It implies the view that all epistemic states, be it consciousness or perception, are intentional or object oriented. If it is the case that even consciousness requires an object for its existence, it follows that there can be no such thing as pure consciousness apart from difference (such as qualities, properties and objects of consciousness). Thus, on this account, if consciousness exists, it follows that difference and plurality does as well. With this one thesis, and against the backdrop of Vedāntic idealism, Rāmānuja is able to generate one limb of his organismic cosmology.

ii. Consciousness is a Property of Something

Another important substantive philosophical thesis that Rāmānuja defends is that consciousness is itself a property. To modern readers, this may seem to be a trivial point. However, it is central to the project of Rāmānuja’s opponents that Brahman is the only reality, and it is a reality devoid of distinctions or qualities. Rāmānuja’s opponents are happy to affirm that certain things can be said of Brahman, for instance, that it is (as affirmed in the Taittirīya Upaniṣad II.i.1.) truth (satyam) knowledge (jñānam) and infinite (anantam). However, they take the stand that these are not properties of Brahman, but the very being of Brahman (Śrī Bhāṣya, I.i.1. “Great Pūrvapakṣa” p.29). Rāmānuja, in contrast, defends the view that such attributions bring attention to the reality of Brahman‘s qualities (cf. Śrī Bhāṣya, I.i.1. “Great Pūrvapakṣa” p.28).

iii. Individuals are Real

A third and important substantive thesis that Rāmānuja defends is the reality of the individual. According to Advaita Vedānta (and the Bhedābheda view to a lesser extent), the individual person, in contradistinction to other persons, is an illusion (māyā) that comes about by nescience (avidya). Rāmānuja argues that the very idea that something can be ignorant presumes that there is an individual capable of being ignorant. For all Vedāntins affirm that Brahman is of the nature of consciousness and knowledge. Hence, to say that Brahman is ignorant is absurd. If anything is subject to ignorance, it must be an individual other than Brahman. However, if this is so, then ignorance cannot be brought into explain the existence of individuals, for it presumes the existence of an individual capable of being ignorant. Rāmānuja’s positive view is thus that there are, indeed, distinct individuals, many who are under the spell of ignorance. However, their individuality is ontologically and logically prior to their ignorance (Śrī Bhāṣya, I.i.1. “Great Siddhānta” p.103)

d. Hermeneutic Criticism

All Vedānta philosophies must turn to the Vedas, and particularly the Upaniṣads, for scriptural grounding. Hence, in criticizing his fellow Vedāntins, Rāmānuja makes use of arguments that concern the proper interpretation of scripture.

i. Vedas as Doctrinally Unified Corpus

According to Rāmānuja, his opponents have failed to arrive at an interpretation of the Vedas based on all Vedic texts. Rather, they emphasize some passages that support a monistic interpretation, and ignore those passages that either presume or emphasize plurality. Rāmānuja notes that his opponents hold to the view that those Vedic texts that come later in the corpus are to be emphasized (the fact that they come later is presumed, on this account, to show that they contain the more advanced and esoteric teachings) (Śrī Bhāṣya, I.i.1. “Great Pūrvapakṣa” p.27). These, more than other portions of the Vedas, emphasize the oneness of reality with Brahman. Rāmānuja argues that even these portions of the Vedas presume and affirm plurality. Even if it were not the case that these portions of the Vedas mentioned plurality, we would have to take all the Vedas on par for Rāmānuja. According to Rāmānuja, one cannot attempt to give interpretations of isolated portions of the Vedas. Rather, one must take the Vedas as one unified corpus, aiming at the expression of a single doctrine (cf. Śrī Bhāṣya pp.92-3, I.i.1. “Great Siddhānta“). Hence, any tenable interpretation of the philosophy of the Vedas must not only affirm the reality of plurality, but also the importance of ritual and moral obligations (dharma), for these are spoken about at length in the earlier portions of the Vedas.

ii. “Tat tvam asi” and Co-ordinate Predication

Even if the Vedic corpus as a whole is taken to present a single doctrine, Rāmānuja is still left with the task of accounting for how the seemingly monistic portions of the Upaniṣads are consistent with the reality of a plurality of distinct individuals. To overcome this hermeneutic hurdle, Rāmānuja introduces the doctrine of sāmānādhikaraṇya , sometimes translated as “co-ordinate predication” or “the principle of grammatical coordination” but literally meaning ‘several things in a common substrate.’ The etymology of the word suggests an ontological doctrine. However, Rāmānuja means to employ it as a semantic doctrine. According to Rāmānuja, “The experts on such matters define it thus: `The signification of an identical entity by several terms [śabda] which are applied to that entity on different grounds is co-ordinate predication” (Vedārthasaṅgraha §24).

In both the Śrī Bhāṣya and the Vedārthasaṅgraha, Rāmānuja draws a distinction between the object denoted by a term, and the quality that it can be identified in connection with. The possibility of using various terms with the same denotation but with different qualitative content is what Rāmānuja calls “co-ordinate predication.”

The doctrine that Rāmānuja advances under the heading of co-ordinate predication strikingly anticipates the Fregean distinction between sense and reference. In the writings of Rāmānuja, the doctrine is used to interpret monistic passages of the Vedas in a manner that affirms both the unity of the thing designated, via the coreferentiality of the various terms, while affirming that the various terms bring to the sentence an emphasis on distinct properties of the unitary thing so identified. With respect to the famous formula “that thou art” (tat tvam asi) from the Chandyoga Upaniṣad (which Advaitins quote as support for the absolute identity of the individual’s self with Brahman), Rāmānuja understands the indexicals “that” and “thou” as signifying an underlying unity, while containing distinct qualitative content. Hence, “that” in this context, brings to fore the quality of the underlying substantial unity of all individuals in Brahman, while “thou” emphasize that we, as individuals, are qualities or distinctions in this underlying unity (Śrī Bhāṣya, I.i.1. “Great Siddhānta” pp.129-39).

iii. Brahman and Ātman

Even if the doctrine of co-ordinate predication is granted, there is yet another hermeneutic hurdle for Rāmānuja to contend with: this is the Upaniṣadic equation of Brahman (the Ultimate) with Ātman (or Self). If the Ultimate and the Self are one, then it would seem that there is no room for the existence of a plurality of individual persons. The problem might be solved by denying that “Ātman” means self, but this would be to stipulate a meaning for the word “Ātman” that it does not have in Sanskrit or Vedic. Rāmānuja’s solution to this problem is the cosmological doctrine of śarīra and śarīrī (body and soul), or śeṣa and śeṣin (dependant and dependant upon). According to Rāmānuja, Brahman is the Self of all. However, this is not because our individual personhood is identical with the personhood of Brahman, but because we, along with all individuals, constitute modes or qualities of the body of Brahman. Thus, Brahman stands to all others as the soul or mind stands to its body. The metaphysical model that Rāmānuja thus argues for is at once cosmological in nature, and organic. All individuals are Brahman by virtue of constituting its body, but all individuals retain an identity in contradistinction to other parts of Brahman, particularly the soul of Brahman.

In accordance with much of the monism of Upaniṣadic passages, Rāmānuja maintains that there is a way in which the individual self (jīva, or jīvātman) is identical with the Ultimate Self (Ātman or Paramātman). This is in our natures. According to Rāmānuja, each jīva shares with Brahman an essential nature of being a knower. However, due to beginningless past actions (karma) our true nature (as being knowers and dependants upon Brahman) are obscured from us. Moreover, our sharing this nature in no way implies that we have the same relationship to other things (Śrī Bhāṣya, I.i.1. “Great Siddhānta” pp.99-102). In other words, our likeness in one respect with Brahman does not imply that we ourselves are either omnipotent, omniscient or all good.

3. Rāmānuja’s Theism

In contrast to preceding commentators on the Brahma Sūtra, Rāmānuja’s version of Vedānta is explicitly theistic. Brahman as Ātman (the Highest Self of all) is the union of two deities: Vishnu, or Nārāyaṇa, and His Consort Śrī, or Lakṣmī. (In Hinduism, Vishnu is the God who upholds and preserves all things, while Lakṣmī is the Goddess of prosperity.) The unity of both the father (Vishnu) and mother (Lakṣmī) element in Brahman is essential to Rāmānuja. It is a consequence of the view that Brahman is ubhayaliṅgam, or having both sexes: this accounts for Brahman‘s creative potency. According to Rāmānuja, Brahman (considered as the Ātman) is antagonistic to all evil lacks all faults (pāpam, heya, mala or doṣa), and is comprised of innumerable auspicious qualities (kalyāṇaguṇa ): these auspicious qualities are both moral and aesthetic (Vedārthasaṅgraha §§ 2, 6, 9, 19, 92, 112, 147, 161, 163, 198, 234, Śrī Bhāṣya, I.i.1. pp.5, 80, 89, 92, 94, 125, 132, 133, 136, 144, I.i.2. p. 157, I.i.4. p.201, Bhagavad Gītā Bhāṣya I. Intro, IX.34, to name just a few references-Rāmānuja never tires or speaking of God’s excellences.).

The highest Self (Ātman) stands to all other persons as their parent, on Rāmānuja’s account. However, Rāmānuja, like many Vedāntins, does not subscribe to the Medieval Christian doctrine of creation ex nihilo: Brahman does not create individual persons, or basic, non-relational qualities for that matter, for these are eternal features of its Body. Brahman does engage in a form of creation, which consists in granting individual persons the fruits of their desires (whatever they are). The result of this dispensation is the organization of the elements comprising Brahman‘s body into the cosmos (Śrī Bhāṣya, I.i.1. “Great Siddhānta” p.124)

4. Rāmānuja’s Soteriology

On Rāmānuja’s account, our greatest good consists of being ever aware of our true nature (as modes of Brahman) and of being aware of the nature of Brahman. When all impediments to this awareness are removed, the individual attains moḳsa (liberation). Knowledge of Brahman consists in liberation, for Rāmānuja, mainly because of the character of Brahman. He writes:

Entities other than Brahman can be objects of such cognitions of the nature of joy only to a finite extent and for limited duration. But Brahman is such that cognizing of him is an infinite and abiding joy. It is for this reason that the śruti [scripture] says, `Brahman is bliss’ (Taittirīya Upaniṣad II.6.) Since the form of cognition as joy is determined by its object, Brahman itself is joy. (Vedārthasaṅgraha §241)

Rāmānuja is explicit in holding that theoretical knowledge of Brahman‘s nature will not suffice to procure liberation (Śrī Bhāṣya, I.i.1. “Small Siddhānta” pp.13-14). Our embodied state places psychological constraints upon us that must be nullified. The remedy to be employed, for Rāmānuja, is what he calls, after the Bhagavad Gītā, bhakti yoga, or the discipline of devotion or worship. This type of yoga is comprised of two essential elements: (a) an attendance to one’s duties with a deontological sense that they are the things that ought to be done for their own sake, and not for their consequences (also known as karma yoga), and (b) the constant worship of Brahman, particularly in the form of offering all of the fruits of one’s labor to Brahman. These features of bhakti yoga serve two complimentary purposes. First, they counteract past undesirable actions (karmas) whose residual effects impede a full appreciation of reality. Secondly, they inculcate subservience before Brahman. This is valuable for Rāmānuja, for service to God, on his account, is constitutive of an unbroken appreciation of Brahman‘s nature.

5. Rāmānuja’s Epistemology

Epistemic concerns figure centrally in Rāmānuja’s arguments, and his diagnosis of the state of bondage (saṃsāra ), or non-liberation. Like many Indian philosophers, Rāmānuja holds that liberation comes about by the cessation of nescience (Śrī Bhāṣya, I.i.1. “Small Siddhānta” p.12). However, unlike many of his contemporaries, Rāmānuja does not believe that reason is an independent means of knowledge, capable of dispelling ignorance.

a. Perception

Rāmānuja holds a position that is similar to naïve empiricism. According to naïve empiricism, the only knowledge that one can have is knowledge that one has gained by one’s own experience. Rāmānuja’s view is like naïve empiricism, in so far as his intentional account of the nature of all epistemic states (dharmabhūtajñāna) leads him to the view that all genuine or first-rate knowledge (jñāna) consists in a perceptual relationship between a knower and an object of knowledge-knowledge de re-and not between a believer and a sentence or proposition-knowledge de dicto. Unlike some proponents of naïve empiricism, Rāmānuja does not think that it suffices to intermittently have an acquaintance with objects of knowledge. Knowledge (jñāna) only occurs when there is direct perception of an object. Unlike proper empiricists, Rāmānuja does not restrict knowledge to that which can be gathered from the senses. The individual self (jīva) on Rāmānuja’s account is also capable of having a direct vision of transcendent entities, like Brahman. Yet, the character of the epistemic state in which one is acquainted with Brahman is a type of perception for Rāmānuja.

b. Scripture

Because of Rāmānuja’s perceptual conception of knowledge, he does not regard acquaintance with scripture (śruti) as anything more than knowledge of the sentence meaning of scripture (cf. Śrī Bhāṣya, I.i.1. “Small Siddhānta” pp.13-14). Yet, like many of his fellow Vedāntins, Rāmānuja regards scripture (śruti) as a pramāṇa, or a means of knowledge. śruti, or the revealed literature, consists of a very specific corpus of texts: the Vedas. (If Rāmānuja believed that the Divya Prabhandam authored by the Tamil Vaiṣṇava saints is the Tamil equivalent of the Vedas, then he would have held these to also be within the purview of śruti). Scripture is an important source of knowledge, for Rāmānuja, for it is the only place that we can learn of our moral obligations (dharma) and what our liberation consists in (moḳsa). On the basis of the validity of scripture, several texts gain a derivative authority. These texts are smṛti (remembered) texts, which include the law books (dharmaśāstras) of eminent figures, and seemingly sacred texts like the Bhagavad Gītā. On the question of the justification of taking scripture seriously, Rāmānuja holds that none can be given. Scripture is self-justifying. Scripture, for its part, can lead people to have cognitions of independent entities, such as Brahman, after providing them directions to perceive Brahman: without it one would never know what to look for. However, sensuous perception cannot vouch for the veracity of its contents, nor can reason independently provide a rational proof of its veracity. Having followed scripture’s dictates, one will eventually have proof of its validity (Śrī Bhāṣya I.i.4. p.175) (direct perceptual contact with objects such as Brahman). However, prior to embarking on the journey outlined in scripture, it must be taken on faith alone. Thus, on the position of the validity of scripture, Rāmānuja is a fideist (see Śrī Bhāṣya I.i.3. for Rāmānuja’s classic criticism of natural theology pp.162-74). (Some critics are apt to think that Rāmānuja is correct on the ungroundability of the validity of scripture on either sensuous perception or reason, but that this impossibility makes Rāmānuja’s whole philosophy implausible.)

While according scripture great weight, Rāmānuja shows his preference for common sense by tempering his interpretations of scripture in light of ordinary, sensuous experience. Contrary to the dialectically minded philosophers of his day, Rāmānuja presumes in his defense of Viśiṣṭādvaita in the Śrī Bhāṣya (I.i.1.) that scriptural interpretation must accord with ordinary experience.

c. Bhakti

Rāmānuja’s unique contribution to Indian epistemology is the view that bhakti, or devotion, is itself an epistemic state. We have noted that, for Rāmānuja, knowledge of Brahman consists in directly perceiving it. When bhakti takes firm root in an individual, it turns into parabhakti, which is the highest order of bhakti. In all cases, however, bhakti is a direct awareness of Brahman‘s nature, and thus constitutes a type of knowledge (jñāna) (Vedārthasaṅgraha §238). The perceptual character of bhakti is sometimes obscured by Rāmānuja’s synonyms for this state. He sometimes calls it meditation or worship (upāsana). However, he also insists that it is a kind of seeing, which has the character of direct perception (pratyakṣatā or sākṣātkāra) (cf. Śrī Bhāṣya, I.i.1. “Small Pūrvapakṣa” pp.15-7).

d. Error

Rāmānuja’s object oriented account of knowledge has the problem of accounting for error. If knowledge corresponds to objects, what do false beliefs correspond to: mental objects? His response anticipates Bertrand Russell’s account of error in On Denoting, which does away with ersatz objects in the explanation of error. According to Rāmānuja, erroneous experiences, like dream states, are real, and they can be genuine objects of knowledge (as in the statement ‘I dreamt last night’ or ‘I am dreaming’). However, the objects that the experience claims to be about are absent in false cognitions. This absence of the proper objects of knowledge explains the erroneousness of beliefs in them (Śrī Bhāṣya I.i.1. “Great Siddhānta” p.78). Thus, on Rāmānuja’s account, mistaking mother of pearl for a piece of silver does not consist in mistakenly seeing something silver in color, but in the mistaken cognition that the object perceived is a piece of silver.

6. Rāmānuja’s Ethics

Rāmānuja’s ethics divides into his views on substantive matters, and metaethical issues.

a. Substantive Ethics

Rāmānuja’s substantive ethics in turn has two sources. Like other orthodox Hindu thinkers, Rāmānuja holds that the primary source of moral knowledge is the Vedas. This is particularly true of the earlier portion of the Vedas, which sets forth prescribed and optional works (karmas) that constitute dharma. The importance of dharma, derived from the Vedas, is stressed in all three of Rāmānuja’s major works. Like other orthodox Hindu thinkers, Rāmānuja also holds that the venerable tradition, or smṛti literature, supplements the Vedic texts’ account of dharma. The most important of the smṛti texts, for Rāmānuja, is the Bhagavad Gītā.

The Gītā emphasizes the importance of adopting a deontological attitude (concern for duty for duty’s sake and not for its consequences) in order to perfect the execution of prescribed duties, particular to one’s place in society. But the Gītā also emphasizes the importance of certain virtues. The Gītā praises being a friend (mitra) and showing compassion (karuṇā) to all creatures (Bhagavad Gītā XII.13), and enumerates ahimsa, or non-injury, as one of the virtues essential to having jñāna, or gnosis (Bhagavad Gītā XIII.7-11).

On what is to be done when the requirements of virtues conflict with prescribed duties, Rāmānuja is uncompromising. For Rāmānuja, dharma, as set forth in the Vedas, is inviolable. This puts Rāmānuja in the awkward position of having to defend the propriety of animal sacrifices, sanctioned and prescribed in the earlier portion of the Vedas. Śrī Vaiṣṇava Brahmins, as a rule, are vegetarians. Rāmānuja was, in all likelihood, himself a vegetarian. However, his general inclination to positively endorse the Bhagavad Gītā‘s disavowal of animal cruelty did not stop him from affirming the propriety of animal sacrifices. In this respect, Rāmānuja agrees with his Advaitin predecessor, Śaṅkara, who held that while violence in general is evil, ritual slaughter is not any ordinary act of violence: because it is sanctioned by the Vedas, it cannot be evil (Śaṅkara, Brahma Sūtra Bhāṣya, III.i.25). Rāmānuja however goes further and argues that ritual slaughter is not only not evil; it is also not really a form of violence. Rather, it is a healing act like a physician’s procedure, which causes temporary pain but is ultimately to the benefit of the patient. The sacrificed animal, on Rāmānuja’s account, is more than compensated in the next life for being ritually slaughtered (Śrī Bhāṣya, III.i.25. pp.599-600).

b. Foundations of Ethics

Rāmānuja’s metaethical comments concern the ground and validity of morality. Rāmānuja seems to have always presumed that morality is intrinsically valuable. The intrinsic merit of God Himself, on Rāmānuja’s account, is tied to His moral excellences. Given that God has nothing to gain by being moral, the value of morality, at least in God’s case, cannot be instrumental. However, for all other creatures, morality, or dharma, has an instrumental value: it helps counteract consequences of past karmas. Importantly, it is also the easy way to propitiate God. Rāmānuja notes that, in theory, it is possible to achieve liberation through mental efforts alone. However, this is only a theoretical possibility, and is in reality impossible for creatures like us. jñāna yoga, or mental disciplines geared towards achieving liberation by solely meditating upon the Self (and not availing oneself of ancillary aids, like attendance to one’s duties) is difficult and likely to lead to error. Karma yoga, or attendance to one’s duties, on the other hand, is easy for our duties are those obligations suited to our capacities and nature (Rāmānuja Gītā Bhāṣya, XVIII.47 p.583). Morality, on Rāmānuja’s account, has both intrinsic and instrumental value. This account of the instrumental value of our obligations also contains, within it, the seeds of an account of the validity of our obligations: our obligations are those appropriate acts that are suited to us to perform. Thus, morality is not simply a law imposed from outside, on Rāmānuja’s account, but the best mode of action, given our personal natures. However, because of our context, we are unable to determine what is best for us, independently of scripture. Hence, our reliance on scripture to tell us our duties leads to the appearance that dharma is a law imposed on us from outside.

Dharma (duty or morality) is of the utmost importance for Rāmānuja. It thus might seem ironic that the Bhagavad Gītā itself advises us to give up our dharmas. At the very end of the work, after the importance and benefits of living the virtuous life are extolled, Krishna (the incarnation of Vishnu delivering a sermon in the Bhagavad Gītā) advises us to ‘give up all dharmas’ and seek refuge in Him alone (Bhagavad Gītā XVIII.66). Rāmānuja offers two interpretations of this verse: (1) it can be taken as implying that we are to abandon the sense of agency that is incompatible with our cosmological dependence upon God, or (2), it can be taken as implying that we ought to give up recourse to expiatory rituals (sometime called “dharmas“) to nullify the effects of past actions. Neither interpretation allows for abandoning our prescribed obligations (Rāmānuja, Bhagavad Gītā Bhāṣya XVIII.66, p.599). Rāmānuja’s views contrast sharply with the views of the Advaita Vedāntin Śaṅkara, who argues that morality (dharma) for the seeker of liberation (moḳsa) is an evil, for it ensnares a person in things of the world (Śaṅkara, Bhagavad Gītā Bhāṣya, IV:21 pp.202-203).

7. Interpreting Rāmānuja: the Northern and Southern Schools and the Authenticity of the Gadyas

Within two centuries after Rāmānuja, the Śrī Vaiṣṇava tradition split into two separate sub-traditions. Both schools claim to have the authority of Rāmānuja in support of their views. These traditions are the Northern or Vaḍagalai school, and the Southern or Tengalai school. The respective founding figures of these schools are Vedānta Deśika and Manavālamāmuni, two of many eminent Śrī Vaiṣṇava scholars to follow Rāmānuja. One manner in which the Northern and Southern schools differ is with respect to the importance that the Vedas are to play in the devotees life: the Northern school holds that Vedic observances are essential to proper Śrī Vaiṣṇava practices, while the Southern school emphasises the importance of emulating the examples of the twelve Āḻvārs. Most importantly, the two schools differ on the relationship between divine grace and individual effort. Both schools agree that Grace is necessary for liberation, but they disagree as to the conditions under which Grace is dispensed. According to the Northern school, Grace is conditional on the effort of the individual. Liberation, on this view, is a cooperative effort between God and the aspirant. According to the Southern school, Grace is dispensed freely. Liberation, on this view, is the sole responsibility of God. (On some accounts, the two schools can also be defined with respect to eighteen points of difference. See Govindācārya for one of the few but regrettably unbalanced accounts of this controversy).

Both schools agree that the intercession of Grace is tied to the devotee performing the spiritual act of śaraṇāgati or prapatti-surrender before God. The act of prapatti, or the formal surrender to God, with the understanding that one has no other refuge, is central to Śrī Vaiṣṇava cultic life. However, Northern and Southern schools differ with respect to what is to follow. For the Southern school, a one-time act of prapatti is sufficient. Subsequent lapses in devotion or attitude do not alter God’s disposition to save the individual. However, for the Northern school, lapses on the part of the devotee require a fresh commitment on the part of the individual to surrender before God, in addition to constant effort on the part of the individual to attend to their moral duties in the spirit of bhakti yoga.

The controversy between the two schools could be circumvented if it could be shown that the very doctrine of śaraṇāgati or prapatti is foreign to the thought of Rāmānuja. This is what some recent scholars have attempted to show. Robert C. Lester, following the arguments of the Vaḍagalai Śrī Vaiṣṇava scholar, Agnihothram Rāmānuja Thatachariar of Kumbakonam, argues that the doctrine of śaraṇāgati or prapatti, at the heart of latter day Śrī Vaiṣṇava controversy, is only found in the Śaraṇāgati Gadya and the Śrīraṅga Gadya, and are absent from Rāmānuja’s main philosophic works. On this basis, Lester argues that the Gadyas (specifically the Śaraṇāgati Gadya and Śrīraṅga Gadya) and the doctrine of śaraṇāgati or prapatti are spurious.

According to this argument, the Gadyas present, for the first time, the view that surrendering to God constitutes a unique means of gaining liberation. And, moreover, Lester argues that this idea is foreign to the arguments that Rāmānuja presents in the Śrī Bhāṣya, the Vedārthasaṅgraha and the Gītā Bhāṣya. These works are unanimous in stressing the role of bhakti as both the beginning and end of liberation.

In defence of the authenticity of the Gadyas, one might argue that the very idea of bhakti contains within it the notion of śaraṇāgati-that to love or be devoted to God is to surrender oneself to God. However, Lester argues that the notion of bhakti promulgated in the three main works of Rāmānuja is distinct from the notion of prapatti or śaraṇāgati in the Gadyas. First, the Śaraṇāgati Gadya makes it clear that the devotee is seeking God, not out of love, but out of desperation, with the request that God grant the devotee bhakti, and the favour of being eternally in His service. Śaraṇāgati or prapatti thus constitutes an act that is logically distinct from what is involved in bhakti, which is the steady remembrance of God, and attendance to one’s duties in a spirit of sacrifice. Secondly, the Gadyas have suggested to many that the act of surrendering to God is sufficient to procure liberation. The critic persuaded by Lester’s view holds that such a view is nowhere to be found in Rāmānuja’s three main works.

In response to Lester’s arguments, one might take a holistic stance: the import of the Gadyas and Rāmānuja’s larger works must be assessed together. This is the stand that has been traditionally adopted by Śrī Vaiṣṇavas of both schools. If this approach is adopted, one is likely to read Rāmānuja’s account of bhakti as implying an implicit understanding of our dependence and helplessness before God (a view shared by both the Northern and Southern schools), and one may also regard the Gadyas as not putting forth the radical notion that the act of surrender is sufficient for liberation (this, however, is what the Southern school appears to be committed to). With respect to Rāmānuja’s main works, there is clear textual evidence that he regarded individuals as impotent, apart from God (cf. Śrī Bhāṣya, II.i.34. pp.478-9). As noted, on Rāmānuja’s account, God’s role as creator is to grant us the fruits of our desires. Without God actually acting on our behalf to simulate a world in which it seems as if we are doers, we would be nothing but isolated persons with many desires, and largely incorrect beliefs, cut off from our peers, with no way to work through our predilections. God’s creative role, on this account, serves the purpose of bridging the gap between ourselves and the rest of reality. On this picture of the human condition, it is quite clear that we as individuals are literally helpless, but for the creative dispensation of God.

Another response to Lester’s argument is to invoke Rāmānuja’s own doctrine of co-ordinate predication, while defending the view that Rāmānuja in his main works holds that prapatti is sufficient for liberation. Rāmānuja in the Vedārthasaṅgraha writes:

The heart of the whole śāstra [body of authoritative texts] is this: The individual selves are essentially of the nature of pure knowledge, devoid of restriction and limitation. They get covered up by nescience in the shape of karma. The consequence is that the scope and breadth of their knowledge is curtailed in accordance with their karma. They get embodied in the multifarious varieties of bodies from [the deity] Brahma down to, the lowest species. Their knowledge is limited in accordance with their specific embodiment. They are deluded into identification with their bodies. In accordance with them they become subject to joys and sorrows, which, in essence constitute what is termed “the river of transmigratory existence” [saṃsāra]. For these individual selves, so lost in saṃsāra, there is no way of emancipation, other than surrender to the supreme Lord [bhagavatprapattimanthrena]. For the purpose of inculcating that sole way of emancipation, the first truth to be taught by the śāstra is that the individual souls are not intrinsically divided into several kinds, like gods, men, etc., and that they are fundamentally alike and are equal in having knowledge as their essential nature. The essential nature of the individual self is such that it is wholly subservient and instrumental to God and therefore God is its inner self. The nature of the supreme Being is unique, on, account of his absolute perfection and absolute antithesis to everything that is evil. God is the ocean of countless, infinitely excellent attributes. The śāstras further assert that all sentient and non sentient entities are sustained and operated by the supreme Being. Therefore, the Supreme is the ultimate self of all. They teach meditation along with its accessory conditions as the means for attaining him. (Vedārthasaṅgraha §99, my italics)

It is noteworthy that while Rāmānuja avails himself of the notion that surrendering to God is the only way to emancipation, he is also clear to emphasise that disciplines such as “meditation” and accessory conditions are essential to attaining liberation. One might argue, thus, that Rāmānuja did hold that prapatti or śaraṇāgati are the “only” way to liberation, but this way is not substantially distinct from the way of bhakti yoga. Rather, “bhakti” and “prapatti” are distinct qualities that qualify one path. On this interpretation, Rāmānuja is assuming that the reader will appreciate the phenomenon of co-ordinate predication, which is the putative semantic phenomenon that Rāmānuja appeals to elsewhere to argue that all individuals are Brahman, while being essentially distinct modes or attributes of Brahman, and not identical to the totality of Brahman. In this way, prapatti and bhakti both denote the same path, but they emphasize different points along the path.

8. Conclusion: Rāmānuja’s Place in the History of Indian Philosophy

Rāmānuja stands in the Indian philosophical tradition as one of its most important figures. He is the first thinker in this tradition to provide a systematic theistic interpretation of the import of the Vedas. His uncompromising stand on the side of common sense and moral realism stands as a striking contrast to stereotyped accounts of Indian philosophical thought as otherworldly and amoral. And while his significance in the history of Indian philosophy may be under appreciated, his greater influence on the character and form of popular Hinduism may also be under-recognized, despite the fact that he is regarded as a saint in many parts of Southern India. According to Karl Potter, “…Rāmānuja’s tradition can be said to represent one of the main arteries through which philosophy reached down to the masses, and it may be that Viśiṣṭādvaita is today the most powerful philosophy in India in terms of numbers of adherents, whether they know themselves by that label or not” (Potter p.253). Whether Potter is correct or not, Rāmānuja is an Indian philosopher who defended the symbiosis of the spiritual, moral and practically earnest life.

9. References and Further Readings

a. Primary Sources

  • (Page number references for Rāmānuja’s Śrī Bhāṣya are to the English translation.)
  • Rāmānuja (ācārya) (11th Century). Śrī Bhāṣyam (Critical Edition). Melkote: Academy of Sanskrit Research, 1985.
  • Rāmānuja (ācārya) (11th Century). Śrī Rāmānuja Gītā Bhāṣya (Bhagavad Gītā Bhāṣya.) Trans. and Ed. Svami Adidevananda. Madras: Śrī Ramakrishna Math, 1991.
  • Rāmānuja (ācārya) (11th Century). Śrīmad Bhagavad Rāmānuja Granthamāla. (Complete works.) Ed. Prativadi Bhayankara Annangaracharya. Kancheepuram: available at Granthamala Karyalaya, 1974.
  • Rāmānuja (ācārya) (11th Century). Vedānta Sūtras with the Commentary of Rāmānuja (Śrī Bhāṣya). Trans. (English) George Thibaut. Sacred Books of the East. Vol. 48. Delhi: Motilal Banarsidass, 1996.
  • Rāmānuja (ācārya) (11th Century).Vedarthasamgraha (Vedārthasaṅgraha). Trans. and Ed. S.S. Ragavachar. Mysore: Sri Ramakrishna Ashrama, 1968.
  • Russell, Bertrand (20th Century). “On Denoting.” Mind 14.56 (1905): 479-93.
  • Śaṅkara (ācārya) (9th Century). Bhagavadgītā with the Commentary of Śaṅkarācārya (Bhagavad Gītā Bhāṣya). Trans. and Ed. Swami Gambhirananda. Calcutta: Advaita Ashrama, 1991.
  • Śaṅkara (ācārya) (9th Century). Brahma Sūtra Bhāṣya. Trans. Swami Gambhirananda. Calcutta: Advaita Ashrama, 1983.
  • Śrīnivāsadāsa (17th Century). Yatīndramatadīpikā. Trans. Svami Adidevananda. Madras: Śrī Ramakrishna Math, 1978.
  • Yāmuna (ācārya) (11th Century). Śrī Yāmunācārya’s Siddhi Trayam. Trans. K. Srinivasacharya. Ed. R. Ramanujachari: N.p., 1970.

b. Secondary Sources on Rāmānuja

  • Buitenen, J. A. B. van. “Introduction.” Trans. J. A. B. van Buitenen. Rāmānuja’s Vedārthasaṅgraha. Ed. J. A. B. van Buitenen. 1st , reprint. ed. Pune: Deccan College Postgraduate and Research Institute, 1956. viii, 316.
  • Carman, John B. The Theology of Rāmānuja; an Essay in Interreligious Understanding. Yale Publications in Religion, 18. New Haven: Yale University Press, 1974.
  • Govindācārya, A. “The Aṣṭādaśa-Bedas, or the Eighteen Points of Doctrinal Differences Between the Tengalais (Southerners) and the Vaḍagalais (Northerners) of the Viśiṣṭādvaita Vaiṣṇava School, South India.” Journal of the Royal Asiatic Society of Great Britain and Ireland (1910): 1103-12.
  • Lester, Robert C. “Rāmānuja and Śrī Vaiṣṇavism : the Concept of Prapatti or Śaraṇāgati.” History of Religion 5.2 (1966): 266-82.
  • Potter, Karl H. Presuppositions of India’s Philosophies. Prentice-Hall Philosophy Series. Englewood Cliffs, N.J.: Prentice-Hall, 1963.
  • Tapasyananda. Bhakti Schools of Vedānta. Madras: Ramakrishna Math, 1990.

Author Information

Shyam Ranganathan
Email: indian-philosophy@shyam.org
York University
Canada

Wang Bi (226—249 C.E.)

Wang Bi (Wang Pi), styled Fusi, is regarded as one of the most important interpreters of the classical Chinese texts known as the Daodejing (Tao Te Ching) and the Yijing (I Ching). He lived and worked during the period after the collapse of the Han dynasty in 220 C.E., an era in which elite interest began to shift away from Confucianism toward Daoism. As a self-identified Confucian, Wang Bi wanted to create an understanding of Daoism that was consistent with Confucianism but which did not fall into what he considered to be the errors of then-popular Daoist sectarian groups.  He understood his main task to be the restoration of order and a sense of direction to Chinese society after the turbulent final years of the Han, and offered the ideal of establishing the “true way” (zhendao) as the solution.  Although he died at the age of twenty-four, his interpretations of Daoism became influential for several reasons.  The edition of the Daodejing that he used in his commentary on that work has been the basis for almost every translation into a Western language for nearly two centuries.  Moreover, his interpretations of Daoist material did not undermine Confucianism, making them palatable to later Confucian thinkers.  Finally, Wang Bi’s work provided a way of talking about indigenous Chinese beliefs that made them seem compatible with the introduction of Indian Buddhist texts and ideas in the decades to follow.

Table of Contents

  1. The Context of Wang Bi’s Work
  2. Wang Bi’s Commentaries
    1. On the Analects
    2. On the Yijing
    3. On the Daodejing
  3. Central Ideas in Wang Bi’s Writings
    1. On Language
    2. On Non-Being
    3. On “The One”
    4. On Wuwei
    5. On Ziran
  4. Wang Bi’s Influence on Chinese Philosophy
  5. References and Further Reading

1. The Context of Wang Bi’s Work

Wang Bi lived and worked during the period after the collapse of the Han dynasty in 220 C.E., an era in which elite interest began to shift toward Daoism. A brief explanation of this transformation of intellectual interests in early medieval China is necessary in order to understand Wang Bi’s thought in its original context.

Beginning with the reign of Emperor Wu (c. 140-187 B.C.E.), the Han state embraced Confucianism as its official ideology. Training in the Confucian classics became mandatory for all officials, and there was an active program of suppression of alternative thought, including the persecution of Prince Liu An of Huainan, a prominent Daoist supporter. Nevertheless, Daoism did not disappear. By the first century C.E., Daoist texts began to reappear in political discussion, and during the following century, sectarian Daoist movements such as the tianshi (Celestial Masters) became active. Although Confucian scholars were still needed by the rulers of post-Han states such as the Wei because of their knowledge and experience in state rituals and administrative matters, by Wang Bi’s time Daoism was “in the air” and exercising a powerful influence on the thinking of commoner and aristocrat alike.

Accordingly, the interests of some members of the educated elite turned toward Daoism. They labored to create a renaissance in Daoist thought, but one that directly avoided following the religious beliefs and practices of the Celestial Masters and the various permutations of Daoism that had rapidly developed. These thinkers are generally gathered loosely under the title of xuanxue (Dark Learning, Mysterious Learning or Profound Learning), sometimes called Neo-Daoism. The term xuanxue was derived from a line in the first chapter of the Daodejing, according to which the dao (Way) is xuan zhi you xuan (darker than dark). Among the principal xuanxue figures were Zhong Hui (225-264 C.E.), Xiang Xiu (c. 223-300 C.E.), Guo Xiang (d. 312 C.E.), and Wang Bi.

A Confucian rather than a sectarian Daoist, Wang Bi wanted to create an understanding of Daoism that was consistent with Confucianism but which did not fall into what he considered to be the errors of the Celestial Masters and their popular religious practices. He understood his main task to be the restoration of order and a sense of direction to Chinese society after the turbulent final years of the Han. He offered the ideal of establishing the “true way” (zhendao) as the solution. Undoubtedly, his ultimate goal was to examine the mysterious knowledge of creation and translate it into a viable political and social program. Due to his untimely death, however, he had very little impact on the politics of his day. Nevertheless, through his commentarial work and the way in which his ideas were regarded as congenial to early Chinese Buddhism, his philosophical influence was profound.

2. Wang Bi’s Commentaries

Wang Bi’s best known commentaries are those on the Daodejing and Yijing. What is often overlooked is that he also wrote a commentary on the Confucian Analects (Lunyu Shiyi), some fragments of which still survive. His writings have been collected and annotated in two volumes entitled Wang Bi ji jiaoshi (Critical Edition of Wang Bi’s Collected Works). The bibliography below lists this work and other English translations of his major commentaries (see References and Further Reading).

a. On the Analects

What we know about the Analects commentary is that it was written as a criticism of the texts that Wang’s mentor He Yan (Ho Yen, d. 249 B.C.E.) considered to be most important. Wang’s approach, as far as we can tell from what remains of the commentary, was to focus on those passages that stress the limited capacity of language, especially with respect to the inability to define in language the nature of the sage. His selection of passages and remarks sets up a substantial rapprochement between Confucianism and his version of Daoism by basically providing him with a kind of hermeneutical license. His commentaries are in the zhangju (“chapter and verse”) format, in which a great deal of emphasis is placed on individual words and images in the “verses” and the meaning that lies behind them, carefully avoiding any sort of approach that regards philosophical concepts as referential.

b. On the Yijing

Wang’s commentary on the Yijing, a traditional Chinese divinatory text of uncertain antiquity consisting of hexagrams and their interpretations, cross-annotates it with the Daodejing. In this way, he transforms the interpretive tradition concerned with the Yijing by setting aside what he regards as an over-reliance on mathematical and symbolic readings of the text (typical of Han scholars) and exposing what he takes to be its xuanxue.For example, while Han thinkers such as Ma Rong (79-106 C.E.) tried to make textual images referential, Wang avoided this consistently. Alan Chan specifically mentions Ma’s explanation of the Yi jing comment, “the number of the great expansion is fifty, but use is made only of forty-nine.” Ma claims that “fifty” refers to the polestar, the two forms of yin and yang, the sun and moon, the four seasons, the five elements (wuxing), the twelve months, and the twenty-four calendar periods. In Ma’s interpretation, because the polestar does not move, it is not used, and thus the number is forty-nine, not fifty. In contrast to this approach, Wang looks behind the language for underlying principles or xuanxue meanings.

Wang’s commentary on the hexagrams draws heavily from passages in the Daodejing and Zhuangzi . He uses major Daoist ideas to interpret the Yijing, culminating in his theory that change and dao are unified and his position that Laozi’s ideas are already contained in the Yijing. He appropriates the notions of being (you) and nothingness (wu) from the Daodejing and uses them in his interpretation of divination.

c. On the Daodejing

Many of Wang’s most basic ideas concerning the Daodejing are discussed below. But with respect to his commentary on this work, he is probably as well known for the text that was transmitted with the commentary as he is famed for the commentary itself. This text became the basis, first for Chinese scholarship on the Daodejing, and later for translations of the text into Western languages. In his A Chinese Reading of the Daodejing: Wang Bi’s Commentary on the Laozi with Critical Text and Translation, the best-known Western scholar of Wang Bi, Rudolf Wagner, provides a careful study of Wang’s work on the text.

The recent translation of the Daodejing by Roger Ames and David Hall is based on a conflation of the two Mawangdui (MWD) versions of the text, supplemented by that of Wang Bi. Mawangdui is the name of a site near Changsha in Hunan province in which some early Han tombs containing texts were discovered in 1972. These discoveries include two incomplete editions of the Daodejing on silk scrolls, now simply called “A”and “B.” Ames and Hall believe that Wang was actually working from a textual source that was closer to their own conflated version of the MWD materials than the received text that he had put in his own commentary (Ames and Hall, 76). In contrast, another recent translator of the Daodejing, P.J. Ivanhoe, believes that although the MWD versions offer help with how one might translate certain passages, there is nothing in them that fundamentally conflicts with or alters our understanding of the core philosophical notions of the Wang Bi text.

Wang’s version of the Daodejing contains eighty-one chapters that are divided into two books, but the actual division of the text into two books predates the Wang Bi edition. Later versions of the text built upon that of Wang and added book and chapter titles. In Wang’s edition, Book One consists of chapters 1 through 37, and later it came to be called the dao half of the text. Book Two consists of chapters 38 to 81 and is known as the de half. One of the principal differences between the MWD versions and that of Wang Bi is that the order of the chapters is reversed, with 38-81 in the Wang Bi coming before chapters 1-37 in the MWD versions. Robert Henricks has published a translation of these texts with extensive notes and comparisons with the Wang Bi under the title Lao-Tzu: Te-tao Ching.

3. Central Ideas in Wang Bi’s Writings

a. On Language

A substantial part of Wang’s interpretive philosophy is rooted in his view of language. His view of language is consistent with that of the Daodejing and the Zhuangzi. Both works teach that words are inadequate for the expression of truth. As Daodejing 1 says, “The way that can be spoken of is not the constant way. The name that can be named is not the true name.” For Wang, this means that the dao lies beyond language He goes further, however, holding that words must always be distinguished from their underlying meaning. Indeed, Wang claims that taking words referentially is an obstacle to xuanxue — that words must be forgotten in order to penetrate into the world of meaning. He finds support for this view in classical Daoist texts. Specifically, he makes use of the Zhuangzi’s teaching about “forgetfulness” (chs. 4, 12, 24). This view of language gives Wang the freedom to uncover what he believes to be the profound meaning that lies behind the words of the classical texts of Daoism, which in turn makes it easier for him to tie them to the Yijing and even to the Confucius of the Analects. It also allows him to offer a construction of Daoist ideas that can be distinguished sharply from that of the sectarian Daoism of his day.

b. On Non-Being

Wang’s commentary on the Daodejing centers around his interpretation of the concept of “nothing” (wu) or “non-being” as that out of which the ten thousand things (e.g., all phenomena) arise. He believes that “nothing” is pointed to in the text by means of its fundamental analogies: valley, canyon, bowl, door, window, pitcher, and hub of a wheel. There can be no doubt that Wang regards “nothing” as the dao. When he explains the first sentence of Daodejing 6 (“The spirit of the valley never dies; it is called the obscure female”), he says, “The spirit of the valley is the Non-Being found in the center of a valley. The Non-Being has neither form, nor shadow; it conforms completely to what surrounds it….Its form is invisible: it is the Supreme Being.”

c. On “The One”

In articulating his understanding of the dao, Wang appeals directly to the Daodejing’s comments on cosmogony, according to which the dao gives birth to One, One gives birth to two, two to three, and three to the ten thousand things. Yet Wang does not believe that the One is a being. On the contrary, it is the mysterious center of things, like the hub of a wheel. The dao is Non-Being. Dao is not an agent. It does not have a will. To say that it lies at the “beginning” is not to make a temporal statement, but a metaphysical one. On Daodejing 25, Wang writes, “It is spoken of as ‘Dao’ insofar as there is thus something [for things] to come from.” Interpreting the fifty-first chapter, he writes, “The Dao—this is where things come from.” Wang makes his views clearer when he offers a commentary on the word “One.” Han thinkers took the One referentially and identified it with the North Star. But Wang takes a radically different approach. For him, the One is not used referentially in terms of some external thing, nor is it a number. It is that on which numbers depend.

The idea that the One underlies and unites all phenomena is also vigorously stressed in Wang’s commentary on the Yijing. In this work, Wang makes it clear just how it is that dao as Non-Being is related to the world of Being. The Yijing consists of hexagrams made up of six broken lines (representing the yin cosmic force) and unbroken lines (representing the yang cosmic force). Since ancient times, the text has been used as a tool for divination. In Wang’s day, the typical interpretation of a hexagram associated it with a specific external event, but Wang uses his theory of language to put forward the view that the hexagram’s meaning lies in identifying the general principle (li) behind all particular objects. Wang thinks that the principle is discoverable in one of the six lines of a hexagram, so that the other five become secondary. These principles constitute the fiber of the One.

d. On Wuwei

Wang Bi’s views on the sage reveal his understanding of wuwei (effortless action). He believes that the sage rises above all distinctions and contradictions. According to Wang, although the sage remains in the midst of human affairs, he accomplishes things by taking no unnatural action. Thus, the sage’s conduct is an example of wuwei. Wang is clear that this does not mean that the sage “folds his arms and sits in silence in the midst of some mountain forest.” It means that the sage acts naturally. To such a sage, all life transformations are the same and one must not impose value judgments on them. In making decisions, the sage should have “no deliberate mind of his own” (wuxin) but instead should respond to life events spontaneously, without any discrimination. In short, this means that the sage puts aside desires because they are corrupting and destructive. Strictly speaking, the sage’s wuwei is not a strategy to diminish desire; it is evidence of the absence of desire — emptiness, or Non-Being. In Wang’s view, Confucius was such a sage because his life had broadened the dao. (Analects 15.29) Such interpretations created fertile ground in which Buddhism could take root, thereby entering the Chinese intellectual stream through Daoism.

e. On Ziran

The Daoist concept of ziran (usually translated as “spontaneity” or “naturalness”) is interpreted by Wang Bi to mean “the real.” Likewise, in his commentary on the Daodejing, de is not a reference to virtue (as it usually is understood), or even less to specific virtues, but to that which persons obtain from dao (see ch. 51). Yet, for Wang, the text teaches that dao moves spontaneously and accomplishes its tasks. Providing for all, “nothing is done, but no thing is left undone.” Thus, Wang thinks that humans have created disorder by their thought and action. If they return to dao in wuwei, then de will become available as ziran. De will not be the result of human action, politics, or contrivance. If the ruler becomes a sage and embraces wuwei, he will transform the people and broaden the dao, just as Confucius (not Laozi) did.

4. Wang Bi’s Influence on Chinese Philosophy

Wang Bi’s metaphysics has influenced the development of Chinese philosophy in at least two important respects.

First, after Wang Bi, some Chinese literati began to distinguish “philosophical” Daoism (daojia) from “religious” Daoism (daojiao), a distinction that was reinforced by the geographical relocation of the tianshi movement and elite attempts to devalue it as a legitimate extension of classical Daoist thought. This distinction has persisted throughout the history of Chinese thought, but it is an unfortunate one, and moreover one without any basis in the historical practice of Daoist communities (Kirkland, 2). In constructing his interpretive framework, Wang avoided sectarian Daoism and did not take seriously the philosophical roots of tianshi thought. He made no serious attempt to consider how Daoism was practiced before the Han. Thus, Wang’s typology of Daoism laid the groundwork for what is arguably not only the most influential, but also the most systematically misleading, way of thinking about the development of Chinese philosophy.

Second, Wang’s commentary on the Daodejing was crucial for the process by which the Mahayana Buddhist dharma (doctrine, teaching) began to gain a foothold in China. The most obvious example of Wang’s influence can be seen in the way the Mahayana notion of emptiness was assimilated into Chinese thought. According to Wang, the Daodejing (ch. 40) asserts that being comes from nonbeing, and that nonbeing is the ultimate substance of being. As we have seen, he exploited the Daodejing’s analogies for emptiness, reading their meaning in terms of xuanxue. As Buddhist texts such as the Prajnaparamita (Transcendental Wisdom) Sutra were translated, clear connections were made between its teaching that all forms are empty and Wang’s reading of the dao. So, it became widely believed, or at least widely proclaimed, by early Chinese Buddhists that Laozi and Buddha had both taught the need for a return to non-being. Wang’s commentarial work played a strategic role in making this interpretation more convincing.

5. References and Further Reading

  • Ames, Roger and David L. Hall, trans. Daodejing — Making This Life Significant: A Philosophical Translation. New York: Ballantine Books, 2003.
  • Chan, Alan. Two Visions of the Way: A Study of the Wang Pi and Ho-shang Kung Commentaries on the Lao-tzu. Albany, NY: State University of New York Press, 1991.
  • Chang, Chung-yue. “Wang Pi on the Mind.” Journal of Chinese Philosophy 9 (1982): 77-106.
  • Henricks, Robert, trans. Lao-Tzu: Te-Tao Ching. New York: Ballantine, 1989.
  • Ivanhoe, P.J., trans. The Daodejing of Laozi. New York: Seven Bridges, 2002.
  • Kirkland, Russell. “Understanding Taoism.” In Kirkland, Taoism: The Enduring Tradition (New York and London: Routledge, 2004), 1-19.
  • Kohn, Livia. Early Chinese Mysticism: Philosophy and Soteriology in the Taoist Tradition. Princeton: Princeton University Press, 1992.
  • Lin, Paul, trans. A Translation of Lao-tzu’s Tao-te-ching and Wang Pi’s Commentary. Ann Arbor, MI: Center for Chinese Studies, University of Michigan, 1977.
  • Lou, Yu lie. Wang Bi ji jiaoshi (Critical Edition of Wang Bi’s Collected Works). 2 vols. Beijing: Zhonghua shuju, 1980.
  • Lynn, Richard, trans. The Classic of Changes: A New Translation of the I Ching as Interpreted by Wang Bi. New York: Columbia University Press, 1994.
  • Lynn, Richard, trans. The Classic of the Way and Virtue; A New Translation of the Tao-te Ching of Laozi as Interpreted by Wang Bi. New York: Columbia University Press, 1999.
  • Rump, Arian and Wing-tsit Chan, trans. Commentary on the Lao-tzu by Wang Pi. Honolulu: University of Hawai’i Press, 1979. .
  • Wagner, Rudolf. The Craft of the Chinese Commentator: Wang Bi on the Laozi. Albany, NY: State University of New York Press, 2000.
  • Wagner, Rudolf, trans. A Chinese Reading of the Daodejing: Wang Bi’s Commentary on the Laozi with Critical Text and Translation. Albany, NY: State University of New York Press, 2003.
  • Wagner, Rudolf. Language, Ontology, and Political Philosophy in China: Wang Bi’s Scholarly Exploration of the Dark (Xuanxue). Albany, NY: State University of New York Press, 2003.

Author Information

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

Russell-Myhill Paradox

russellThe Russell-Myhill Antinomy, also known as the Principles of Mathematics Appendix B Paradox, is a contradiction that arises in the logical treatment of classes and “propositions”, where “propositions” are understood as mind-independent and language-independent logical objects. If propositions are treated as objectively existing objects, then they can be members of classes. But propositions can also be about classes, including classes of propositions. Indeed, for each class of propositions, there is a proposition stating that all propositions in that class are true. Propositions of this form are said to “assert the logical product” of their associated classes. Some such propositions are themselves in the class whose logical product they assert. For example, the proposition asserting that all-propositions-in-the-class-of-all-propositions-are-true is itself a proposition, and therefore it itself is in the class whose logical product it asserts. However, the proposition stating that all-propositions-in-the-null-class-are-true is not itself in the null class. Now consider the class w, consisting of all propositions that state the logical product of some class m in which they are not included. This w is itself a class of propositions, and so there is a proposition r, stating its logical product. The contradiction arises from asking the question of whether r is in the class w. It seems that r is in w just in case it is not.

This antinomy was discovered by Bertrand Russell in 1902, a year after discovering a simpler paradox usually called “Russell’s paradox.” It was discussed informally in Appendix B of his 1903 Principles of Mathematics. In 1958, the antinomy was independently rediscovered by John Myhill, who found it to plague the “Logic of Sense and Denotation” developed by Alonzo Church.

Table of Contents

  1. History and Historical Importance
  2. Formulation and Derivation
  3. Frege’s Response
  4. Possible Solutions
  5. References and Further Reading

1. History and Historical Importance

In his early work (prior to 1907) Russell held an ontology of propositions understood as being mind independent entities corresponding to possible states of affairs. The proposition corresponding to the English sentence “Socrates is wise” would be thought to contain both Socrates the person and wisdom (understood as a Platonic universal) as constituent entities. These entities are the meanings of declarative sentences.

After discovering “Russell’s paradox” in 1901 while working on his Principles of Mathematics, Russell began searching for a solution. He soon came upon the Theory of Types, which he describes in Appendix B of the Principles. This early form of the theory of types was a version of what has later come to be known as the “simple theory of types” (as opposed to ramified type theory). The simple theory of types was successful in solving the simpler paradox. However, Russell soon asked himself whether there were other contradictions similar to Russell’s paradox that the simple theory of types could not solve. In 1902, he discovered such a contradiction. Like the simpler paradox, Russell discovered this paradox by considering Cantor’s power class theorem: the mathematical result that the number of classes of entities in a certain domain is always greater than the number in the domain itself. However, there seems to be a 1-1 correspondence between the number of classes of propositions and the number of propositions themselves. A different proposition can seemingly be generated for each class of propositions, for instance, the proposition stating that all propositions in the class are true. This would mean that the number of propositions is as great as the number of classes of propositions, in violation of Cantor’s theorem.

Unlike Russell’s paradox, this paradox cannot be blocked by the simple theory of types. The simple theory of types divides entities into individuals, properties of individuals, properties of properties of individuals, and so forth. The question of whether a certain property applies to itself does not arise, because properties never apply to entities of their own type. Thus there is no question as to whether the property that a property has just in case it does not apply to itself applies to itself. Classes can only have entities of a certain type: the type to which the property defining the class applies. There can be classes of individuals, classes of classes of individuals, and classes of classes of classes of individuals, etc., but never classes that contain members of different types. Thus, there is no such thing as the class of all classes that are not in themselves. However, on the simple theory of types, propositions are not properties of anything, and thus, they are all in the type of individuals. However, they can include classes or properties as constituents. But consider the property a proposition has just in case it states the logical product of a class it is not in. This property defines a class. This class will be a class of individuals; for any individual, the question arises whether that individual is in the class. However, the proposition stating the logical product of this class is also an individual. Thus, the problematic question is not avoided by the simple theory of types.

Some authors have speculated that this antinomy was the first hint Russell found that what was needed to solve the paradoxes was something more than the simple theory of types. If so, then this antinomy is of considerable importance, as it might represent the first motivation for the ramified theory of types adopted by Russell and Whitehead in Principia Mathematica.

2. Formulation and Derivation

In 1902, when he discovered this paradox, Russell’s logical notation was borrowed mostly from Peano. However, translating into more contemporary notation, the class w of all propositions stating the logical product of a class they are not in, and r, the proposition stating its logical product, are written as follows:

w = {p: (∃m)[(p = (∀q)(qmq)) & ~(p m)]}
r = (∀q)(q w q)

Because propositions are entities, variables for them in Russell’s logic can be bound by quantifiers and can flank the identity sign. Indeed, Russell also allows complete sentences or formulae to flank the identity sign. If α is some complex formula, then “p = α” is to be understood as asserting that p is the proposition that “α”. Thus, w is defined as the class of propositions p such that there is a class of m for which p is the proposition that all propositions q in m are true, and such that p is not in m. The proposition r is then defined as the proposition stating that all propositions in w are true.

The derivation of the contradiction requires certain principles involving the identity conditions of propositions understood as entities. These principles were never explicitly formulated by Russell, but are informally stated in his discussion of the antinomy in the Principles. However, other writers have sought to make these principles explicit, and even to develop a fully formulated intensional logic of propositions based on Russell’s views. The principles relevant for the derivation of the contradiction are the following:

Principle 1: (∀p)(∀q)(∀r)(∀s)[((p q) = (r s)) →((p = r) & (q = s))]
Principle 2: [(∀x)A(x) = (∀x)B(x)] →(∀y)[A(y) = B(y)]

The first principle states that identical conditional propositions have identical antecedent and consequent component propositions. The second states that if the universal proposition that everything satisfies open formula A(x) is the same as the universal proposition that everything satisfies open formula B(x), then for any particular entity y, the proposition that A(y) is identical to the proposition that B(y).

Then, from either the assumption that rw or the assumption ~(r w), the opposite follows.

Assume:

1. rw

From (1), by class abstraction and the definition of w:

2. (∃m)[(r = (∀q)(q m q)) & ~(r m)]

(2) allows us to consider some m such that:

3. (r = (∀q)(qm q)) & ~(r m)

From the first conjunct of (3) definition of r we arrive at:

4. (∀q)(qw q) = (∀q)(qm q)

By (4) and principle 2, then:

5. (∀q)[(qw q) = (q m q)]

Instantiating (5) to r, we conclude:

6. (rw r) = (rm r)

By (6), and principle 1, then:

7. (rw) = (r m)

This, with the second disjunct of (3), yields:

8. ~(rm)

By (7) and (8) and substitution of identicals, we get:

9. ~(rw)

This contradicts our assumption. However, assume instead:

10. ~(rw)

By (10) and class abstraction:

11. ~(∃m)[(r = (∀q)(q m q)) & ~(r m)]

By the rules of the quantifiers and propositional logic, (11) becomes:

12. (∀m)[(r = (∀q)(q m q)) → (rm)]

Instantiating (12) to w:

13. (r = (∀q)(qw q)) → (r w)

By (13), the definition of r, and modus ponens:

14. rw

Thus, from either assumption the opposite follows.

3. Frege’s Response

Soon after discovering this antinomy, in September of 1902, Russell related his discovery to Gottlob Frege. Although Frege was clearly devastated by the simpler “Russell’s paradox”, which Russell had related to Frege three months prior, Frege was not similarly impressed by the Russell-Myhill antinomy. Russell had formulated the antinomy in Peano’s logical notation, and Frege charged that the apparent paradox derived from defects of Peano’s symbolism.

In Frege’s own way of speaking, a “proposition” is understood simply as a declarative sentence, a bit of language. Frege certainly did not ascribe to propositions the sort of ontology Russell did. However, he thought propositions had both senses and references. He called the senses of propositions “thoughts” and believed that their references were truth-values, either the True or the False. An expression written in his logical language was thought to stand for its reference (though express a thought). When propositions flank the identity sign, e.g. “p = q” this is taken as expressing that the two propositions have the same truth-value, not that they express the same thought.

Thus, Frege was unsatisfied with Russell’s formulation of the antinomy. In Russell’s definition “w = {p: (∃m)[(p = (∀q)(qm q)) & ~(p m)]}”, the part “p = (∀q)(qm q)” seems to mean not an identity of truth-values, but thoughts. However, if this is the case, then “(∀q)(q m q)” must be understood as referring to, rather than simply expressing, a thought. However, on Frege’s view, this would mean that the expressions that occur in it have indirect reference, i.e. they refer to the thoughts they customarily express. However, in indirect reference, the variable “m” in that context must be understood not as standing for a class, but as standing for a sense picking out a class. However, the second occurrence of “m” later on in the definition of w must be understood as referring to a class, not a sense picking out a class. However, if the two occurrences of “m” do not refer to the same thing, it is extremely problematic that they be bound by the same quantifier. Moreover, Russell’s derivation of the contradiction requires treating the two occurrences of “m” as referring to the same thing. Thus, Frege himself concluded that the antinomy was due to unclarities in the symbolism Russell used to formulate the paradox. He suggests that the antinomy can only be derived in a system that conflates or assimilates sense and reference.

However, it is not clear that Frege’s response is adequate. Frege criticizes only the syntactic formulation of the antinomy in a logical language, not the violation of Cantor’s theorem lying behind the paradox. Frege does not have an ontology of propositions, but he does have an ontology of thoughts. Thoughts, as objectively existing entities, can be members of classes. Moreover, it seems that there will be as many thoughts as there are classes of thoughts. One can generate a different thought for every class, i.e. the thought that everything is in the class or that all thoughts in the class are true. We now consider the class of all thoughts that state the logical product of a class they are not in, and a thought stating the logical product of this class, and arrive at the same contradiction. Frege’s metaphysics seems to have similar difficulties.

It is true that the antinomy cannot be formulated in Frege’s own logical systems. However, this is only because those systems are entirely extensional. In them, it is impossible to refer to thoughts (as opposed to simply express them) and assert their identity–one can only refer to truth-values and assert their identity. However, it appears that if Frege’s logical systems were expanded to include commitment to the realm of sense, to make it possible to refer not only to truth-values and classes, but thoughts and other senses, a version of the antinomy would be provable. In 1951, Alonzo Church developed an expanded logical system based loosely on Frege’s views, which he called “the Logic of Sense and Denotation”. In 1958, John Myhill discovered that the antinomy considered here was formulable in Church’s system. Myhill seems to have rediscovered the paradox independently of Russell. Hence the term, “Russell-Myhill Antinomy.”

4. Possible Solutions

The antinomy results from the following commitments

(A) The commitment to classes, defined for every property,

(B) The commitment to propositions as intensional entities (or to similar entities, such as Frege’s thoughts),

(C) An understanding of propositions such that there must exist as many propositions as there are classes of propositions; i.e. a different proposition can be generated for every class,

(D) An understanding of propositions and classes such that for every proposition and every class of propositions, the question arises as to whether the proposition falls in the class.

One might hope to solve the antinomy by abandoning any one of these commitments. Let us examine them in turn.

Abandoning (A), the commitment to classes, is very tempting, especially given the other paradoxes of class theory. However, in this context, this option may be not be as fruitful as it might appear. Russell himself worked on a “no classes” theory from 1905 though 1907. However, he soon discovered a classless version of the same paradox. Here, rather than considering a class w consisting of propositions, we consider a property W that a proposition p has just in case there is some property F for which p states that all propositions with F are true but which p does not itself have. Thus:

(∀p)[Wp ↔ (∃F)[(p = (∀q)(Fqq)) & ~Fp]]

We then define proposition r as the proposition that all propositions with property W are true:

r = (∀q)(Wqq)

Then, via a similar deduction to that given above, from the assumption of Wr one can prove ~Wr and vice versa. Thus it does not do to simply abandon classes. One would also have to abandon a robust ontology of properties; perhaps eschewing all of higher-order logic.

One might simply want to abandon (B), the commitment to propositions or Fregean thoughts understood as logical entities. The commitment to logical entities in a Platonic realm has grown less and less popular, especially given the widespread view that logic ought to be without ontological commitment. The challenge would be to abandon such intensional entities while maintaining a plausible account of meaning and intentionality.

However, one might hope to maintain commitment to propositions or thoughts, but attempt to reduce the number posited. This would likely involve denying (C). The Cantorian construction lying at the heart of the antinomy involves the claim that one can generate a different proposition for every class. In the construction given above, this claim is justified by showing that for each class, one can generate a proposition stating its logical product, and showing that, for each class, the class so generated is different. To deny this, one could either deny that one can generate such a proposition for each class, or instead, deny that the proposition so generated is different for every class. The first strategy is difficult to justify if one understands propositions and classes as objectively existing entities, independent of mind and language. If a proposition exists for every possible state of affairs, then one such proposition will exist for every class.

However, if one adopts looser identity conditions for propositions or thoughts, one might attempt to take the second approach to denying (C). That is, one would allow that the proposition stating the logical product of one class might be the same proposition as the proposition stating the logical product of a different class. This is perhaps not an easy approach to justify. In the Russellian deduction given above, principles 1 and 2 guarantee that the proposition stating the logical product of one class is always different from the proposition stating the logical product of another class. These principles seem justified by the understanding of propositions as composite entities with a certain fixed structure. Consider principle 1. It states that identical conditional propositions have identical propositions in their antecedent and consequent positions. However, this might be denied if one were adopt looser identity conditions for propositions. One might, for example, adopt logical equivalence as being a sufficient condition for propositions to be identical. If so, then principle 1 would be unjustified. For example pq and ~q → ~p are logically equivalent, however, they obviously need not have the same antecedent propositions. However, this approach may lead to other difficulties. Often, part of the motivation for intensional entities such as propositions or Fregean thoughts is in order to view them as relata in belief and other intentional states. If one adopts logical equivalence as sufficient for propositions to be identical, this is extremely problematic. The simple proposition p is logically equivalent to the proposition ~(p & ~q) → ~(q → ~p). If we take these two be the same proposition, then if propositions are relata in belief states, we seemingly must conclude that anyone who believes p also believes ~(p & ~q) → ~(q → ~p). This does not seem to be true.

W. V. Quine is famous for suggesting that intensional entities are “creatures of darkness”, having obscure identity conditions. Here it appears that if the identity conditions of intensions are taken to be too loose, then intensions cannot do many of the things we want of them. If the identity conditions of intensions are too stringent, however, it is difficult to avoid positing so many of them that inconsistency with Cantor’s theorem is a genuine threat.

Lastly, one could maintain commitment to a great number of propositions or thoughts as entities, but block the paradox by suggesting that these entities fall into different logical types. That is, one could deny (D), and suggest instead that the question does not always arise for every proposition and class of propositions whether that proposition is in that class. This is in effect the approach taken with ramified type-theory. In ramified type theory, the type of a formula α depends not only on whether α stands for an individual, a property of an individual, or a property of a property of an individual, etc., but also on what sort of quantification α involves. The core notion is that α cannot involve quantification over, or classes including, entities within a domain that includes the thing that α itself stands for. Consider the proposition r from the antinomy. Recall that r was defined as (∀q)(q m q). Thus, r involves quantification over propositions. In ramified type theory, we would disallow r to fall within the range of the quantifier involved in the definition of r. If a certain proposition involves quantification over a range of propositions, it cannot be included in that range. Thus, we divide the type of propositions into orders. Propositions of the lowest order include mundane propositions such as the proposition that Socrates is bald or the proposition that Hypatia is wise. Propositions of the next highest order involve quantification over, or classes of, propositions of this order, such as the proposition that all such propositions are true, or the proposition that if such a proposition is true, then God believes it, etc. Here, the challenge is to justify the ramified hierarchy as something more than a simple ad hoc dodge of the antinomies, to provide it with solid philosophical foundations. Poincaré’s Vicious Circle Principle is perhaps one way of providing such justification.

Antinomies such as the Russell-Myhill antinomy must be a concern for anyone with a robust ontology of intensional entities. Nevertheless, there may be solutions to the antinomy short of eschewing intensions altogether.

5. References and Further Reading

  • Anderson, C. A. “Semantic Antinomies in the Logic of Sense and Denotation.” Notre Dame Journal of Formal Logic 28 (1987): 99-114.
  • Anderson, C. A.. “Some New Axioms for the Logic of Sense and Denotation: Alternative (0).” Noûs 14 (1980): 217-34.
  • Church, Alonzo. “A Formulation of the Logic of Sense and Denotation.” In Structure, Method and Meaning: Essays in Honor of Henry M. Sheffer, edited by P. Henle, H. Kallen and S. Langer. New York: Liberal Arts Press, 1951.
  • Church, Alonzo. “Russell’s Theory of Identity of Propositions.” Philosophia Naturalis 21 (1984): 513-22.
  • Frege, Gottlob. Correspondence with Russell. In Philosophical and Mathematical Correspondence. Translated by Hans Kaal. Chicago: University of Chicago Press, 1980.
  • Klement, Kevin C. Frege and the Logic of Sense and Reference, New York: Routledge, 2002.
  • Myhill, John. “Problems Arising in the Formalization of Intensional Logic.” Logique et Analyse 1 (1958): 78-83.
  • Russell, Bertrand. Correspondence with Frege. In Philosophical and Mathematical Correspondence, by Gottlob Frege. Translated by Hans Kaal. Chicago: University of Chicago Press, 1980.
  • Russell, Bertrand. The Principles of Mathematics. 1902. 2d. ed. Reprint, New York: W. W. Norton & Company, 1996, especially §500.

Author Information

Kevin C. Klement
Email: klement@philos.umass.edu
University of Massachusetts, Amherst
U. S. A.

Anselm: Ontological Argument for God’s
Existence

pic of AnselmOne of the most fascinating arguments for the existence of an all-perfect God is the ontological argument. While there are several different versions of the argument, all purport to show that it is self-contradictory to deny that there exists a greatest possible being. Thus, on this general line of argument, it is a necessary truth that such a being exists; and this being is the God of traditional Western theism. This article explains and evaluates classic and contemporary versions of the ontological argument.

Most of the arguments for God’s existence rely on at least one empirical premise. For example, the “fine-tuning” version of the design argument depends on empirical evidence of intelligent design; in particular, it turns on the empirical claim that, as a nomological matter, that is, as a matter of law, life could not have developed if certain fundamental properties of the universe were to have differed even slightly from what they are. Likewise, cosmological arguments depend on certain empirical claims about the explanation for the occurrence of empirical events.

In contrast, the ontological arguments are conceptual in roughly the following sense: just as the propositions constituting the concept of a bachelor imply that every bachelor is male, the propositions constituting the concept of God, according to the ontological argument, imply that God exists. There is, of course, this difference: whereas the concept of a bachelor explicitly contains the proposition that bachelors are unmarried, the concept of God does not explicitly contain any proposition asserting the existence of such a being. Even so, the basic idea is the same: ontological arguments attempt to show that we can deduce God’s existence from, so to speak, the very definition of God.

Table of Contents

  1. Introduction: The Non-Empirical Nature of the Ontological Arguments
  2. The Classic Version of the Ontological Argument
    1. The Argument Described
    2. Gaunilo’s Criticism
    3. Aquinas’s Criticisms
    4. Kant’s Criticism: Is Existence a Perfection?
  3. Anselm’s Second Version of the Ontological Argument
  4. Modal Versions of the Argument
  5. References and Further Reading

1. Introduction: The Non-Empirical Nature of the Ontological Arguments

It is worth reflecting for a moment on what a remarkable (and beautiful!) undertaking it is to deduce God’s existence from the very definition of God. Normally, existential claims don’t follow from conceptual claims. If I want to prove that bachelors, unicorns, or viruses exist, it is not enough just to reflect on the concepts. I need to go out into the world and conduct some sort of empirical investigation using my senses. Likewise, if I want to prove that bachelors, unicorns, or viruses don’t exist, I must do the same. In general, positive and negative existential claims can be established only by empirical methods.

There is, however, one class of exceptions. We can prove certain negative existential claims merely by reflecting on the content of the concept. Thus, for example, we can determine that there are no square circles in the world without going out and looking under every rock to see whether there is a square circle there. We can do so merely by consulting the definition and seeing that it is self-contradictory. Thus, the very concepts imply that there exist no entities that are both square and circular.

The ontological argument, then, is unique among such arguments in that it purports to establish the real (as opposed to abstract) existence of some entity. Indeed, if the ontological arguments succeed, it is as much a contradiction to suppose that God doesn’t exist as it is to suppose that there are square circles or female bachelors. In the following sections, we will evaluate a number of different attempts to develop this astonishing strategy.

2. The Classic Version of the Ontological Argument

a. The Argument Described

St. Anselm, Archbishop of Canterbury (1033-1109), is the originator of the ontological argument, which he describes in the Proslogium as follows:

[Even a] fool, when he hears of … a being than which nothing greater can be conceived … understands what he hears, and what he understands is in his understanding.… And assuredly that, than which nothing greater can be conceived, cannot exist in the understanding alone. For suppose it exists in the understanding alone: then it can be conceived to exist in reality; which is greater.… Therefore, if that, than which nothing greater can be conceived, exists in the understanding alone, the very being, than which nothing greater can be conceived, is one, than which a greater can be conceived. But obviously this is impossible. Hence, there is no doubt that there exists a being, than which nothing greater can be conceived, and it exists both in the understanding and in reality.

The argument in this difficult passage can accurately be summarized in standard form:

  1. It is a conceptual truth (or, so to speak, true by definition) that God is a being than which none greater can be imagined (that is, the greatest possible being that can be imagined).
  2. God exists as an idea in the mind.
  3. A being that exists as an idea in the mind and in reality is, other things being equal, greater than a being that exists only as an idea in the mind.
  4. Thus, if God exists only as an idea in the mind, then we can imagine something that is greater than God (that is, a greatest possible being that does exist).
  5. But we cannot imagine something that is greater than God (for it is a contradiction to suppose that we can imagine a being greater than the greatest possible being that can be imagined.)
  6. Therefore, God exists.

Intuitively, one can think of the argument as being powered by two ideas. The first, expressed by Premise 2, is that we have a coherent idea of a being that instantiates all of the perfections. Otherwise put, Premise 2 asserts that we have a coherent idea of a being that instantiates every property that makes a being greater, other things being equal, than it would have been without that property (such properties are also known as “great-making” properties). Premise 3 asserts that existence is a perfection or great-making property.

Accordingly, the very concept of a being that instantiates all the perfections implies that it exists. Suppose B is a being that instantiates all the perfections and suppose B doesn’t exist (in reality). Since Premise 3 asserts that existence is a perfection, it follows that B lacks a perfection. But this contradicts the assumption that B is a being that instantiates all the perfections. Thus, according to this reasoning, it follows that B exists.

b. Gaunilo’s Criticism

Gaunilo of Marmoutier, a monk and contemporary of Anselm’s, is responsible for one of the most important criticisms of Anselm’s argument. It is quite reasonable to worry that Anselm’s argument illegitimately moves from the existence of an idea to the existence of a thing that corresponds to the idea. As the objection is sometimes put, Anselm simply defines things into existence-and this cannot be done.

Gaunilo shared this worry, believing that one could use Anselm’s argument to show the existence of all kinds of non-existent things:

Now if some one should tell me that there is … an island [than which none greater can be conceived], I should easily understand his words, in which there is no difficulty. But suppose that he went on to say, as if by a logical inference: “You can no longer doubt that this island which is more excellent than all lands exists somewhere, since you have no doubt that it is in your understanding. And since it is more excellent not to be in the understanding alone, but to exist both in the understanding and in reality, for this reason it must exist. For if it does not exist, any land which really exists will be more excellent than it; and so the island understood by you to be more excellent will not be more excellent.”

Gaunilo’s argument, thus, proceeds by attempting to use Anselm’s strategy to deduce the existence of a perfect island, which Gaunilo rightly views as a counterexample to the argument form. The counterexample can be expressed as follows:

  1. It is a conceptual truth that a piland is an island than which none greater can be imagined (that is, the greatest possible island that can be imagined).
  2. A piland exists as an idea in the mind.
  3. A piland that exists as an idea in the mind and in reality is greater than a piland that exists only as an idea in the mind.
  4. Thus, if a piland exists only as an idea in the mind, then we can imagine an island that is greater than a piland (that is, a greatest possible island that does exist).
  5. But we cannot imagine an island that is greater than a piland.
  6. Therefore, a piland exists.

Notice, however, that premise 1 of Gaunilo’s argument is incoherent. The problem here is that the qualities that make an island great are not the sort of qualities that admit of conceptually maximal qualities. No matter how great any island is in some respect, it is always possible to imagine an island greater than that island in that very respect. For example, if one thinks that abundant fruit is a great-making property for an island, then, no matter how great a particular island might be, it will always be possible to imagine a greater island because there is no intrinsic maximum for fruit-abundance. For this reason, the very concept of a piland is incoherent.

But this is not true of the concept of God as Anselm conceives it. Properties like knowledge, power, and moral goodness, which comprise the concept of a maximally great being, do have intrinsic maximums. For example, perfect knowledge requires knowing all and only true propositions; it is conceptually impossible to know more than this. Likewise, perfect power means being able to do everything that it is possible to do; it is conceptually impossible for a being to be able to do more than this.

The general point here, then, is this: Anselm’s argument works, if at all, only for concepts that are entirely defined in terms of properties that admit of some sort of intrinsic maximum. As C.D. Broad puts this important point:

[The notion of a greatest possible being imaginable assumes that] each positive property is to be present in the highest possible degree. Now this will be meaningless verbiage unless there is some intrinsic maximum or upper limit to the possible intensity of every positive property which is capable of degrees. With some magnitudes this condition is fulfilled. It is, e.g., logically impossible that any proper fraction should exceed the ratio 1/1; and again, on a certain definition of “angle,” it is logically impossible for any angle to exceed four right angles. But it seems quite clear that there are other properties, such as length or temperature or pain, to which there is no intrinsic maximum or upper limit of degree.

If any of the properties that are conceptually essential to the notion of God do not admit of an intrinsic maximum, then Anselm’s argument strategy will not work because, like Guanilo’s concept of a piland, the relevant concept of God is incoherent. But insofar as the relevant great-making properties are limited to omnipotence, omniscience, and moral perfection (which do admit of intrinsic maximums), Anselm’s notion of a greatest possible being seems to avoid the worry expressed by Broad and Guanilo.

c. Aquinas’s Criticisms

While St. Thomas Aquinas (1224-1274) believed that God’s existence is self-evident, he rejected the idea that it can be deduced from claims about the concept of God. Aquinas argued, plausibly enough, that “not everyone who hears this word ‘God’ understands it to signify something than which nothing greater can be thought, seeing that some have believed God to be a body.” The idea here is that, since different people have different concepts of God, this argument works, if at all, only to convince those who define the notion of God in the same way.

The problem with this criticism is that the ontological argument can be restated without defining God. To see this, simply delete premise 1 and replace each instance of “God” with “A being than which none greater can be conceived.” The conclusion, then, will be that a being than which none greater can be conceived exists – and it is, of course, quite natural to name this being God.

Nevertheless, Aquinas had a second problem with the ontological argument. On Aquinas’s view, even if we assume that everyone shares the same concept of God as a being than which none greater can be imagined, “it does not therefore follow that he understands what the word signifies exists actually, but only that it exists mentally.”

One natural interpretation of this somewhat ambiguous passage is that Aquinas is rejecting premise 2 of Anselm’s argument on the ground that, while we can rehearse the words “a being than which none greater can be imagined” in our minds, we have no idea of what this sequence of words really means. On this view, God is unlike any other reality known to us; while we can easily understand concepts of finite things, the concept of an infinitely great being dwarfs finite human understanding. We can, of course, try to associate the phrase “a being than which none greater can be imagined” with more familiar finite concepts, but these finite concepts are so far from being an adequate description of God, that it is fair to say they don’t help us to get a detailed idea of God.

Nevertheless, the success of the argument doesn’t depend on our having a complete understanding of the concept of a being than which none greater can be conceived. Consider, for example, that, while we don’t have a complete understanding (whatever this means) of the concept of a natural number than which none larger can be imagined, we understand it well enough to see that there does not exist such a number. No more complete understanding of the concept of a maximally great being than this is required, on Anselm’s view, to successfully make the argument. If the concept is coherent, then even a minimal understanding of the concept is sufficient to make the argument.

d. Kant’s Criticism: Is Existence a Perfection?

Immanuel Kant (1724-1804) directs his famous objection at premise 3’s claim that a being that exists as an idea in the mind and in reality is greater than a being that exists only as an idea in the mind. According to premise 3, existence is what’s known as a great-making property or, as the matter is sometimes put, a perfection. Premise 3 thus entails that (1) existence is a property; and (2) instantiating existence makes a thing better, other things being equal, than it would have been otherwise.

Kant rejects premise 3 on the ground that, as a purely formal matter, existence does not function as a predicate. As Kant puts the point:

Being is evidently not a real predicate, that is, a conception of something which is added to the conception of some other thing. It is merely the positing of a thing, or of certain determinations in it. Logically, it is merely the copula of a judgement. The proposition, God is omnipotent, contains two conceptions, which have a certain object or content; the word is, is no additional predicate-it merely indicates the relation of the predicate to the subject. Now if I take the subject (God) with all its predicates (omnipotence being one), and say, God is, or There is a God, I add no new predicate to the conception of God, I merely posit or affirm the existence of the subject with all its predicates – I posit the object in relation to my conception.

Accordingly, what goes wrong with the first version of the ontological argument is that the notion of existence is being treated as the wrong logical type. Concepts, as a logical matter, are defined entirely in terms of logical predicates. Since existence isn’t a logical predicate, it doesn’t belong to the concept of God; it rather affirms that the existence of something that satisfies the predicates defining the concept of God.

While Kant’s criticism is phrased (somewhat obscurely) in terms of the logic of predicates and copulas, it also makes a plausible metaphysical point. Existence is not a property (in, say, the way that being red is a property of an apple). Rather it is a precondition for the instantiation of properties in the following sense: it is not possible for a non-existent thing to instantiate any properties because there is nothing to which, so to speak, a property can stick. Nothing has no qualities whatsoever. To say that x instantiates a property P is hence to presuppose that x exists. Thus, on this line of reasoning, existence isn’t a great-making property because it is not a property at all; it is rather a metaphysically necessary condition for the instantiation of any properties.

But even if we concede that existence is a property, it does not seem to be the sort of property that makes something better for having it. Norman Malcolm expresses the argument as follows:

The doctrine that existence is a perfection is remarkably queer. It makes sense and is true to say that my future house will be a better one if it is insulated than if it is not insulated; but what could it mean to say that it will be a better house if it exists than if it does not? My future child will be a better man if he is honest than if he is not; but who would understand the saying that he will be a better man if he exists than if he does not? Or who understands the saying that if God exists He is more perfect than if he does not exist? One might say, with some intelligibility, that it would be better (for oneself or for mankind) if God exists than if He does not-but that is a different matter.

The idea here is that existence is very different from, say, the property of lovingness. A being that is loving is, other things being equal, better or greater than a being that is not. But it seems very strange to think that a loving being that exists is, other things being equal, better or greater than a loving being that doesn’t exist. But to the extent that existence doesn’t add to the greatness of a thing, the classic version of the ontological argument fails.

3. Anselm’s Second Version of the Ontological Argument

As it turns out, there are two different versions of the ontological argument in the Prosologium. The second version does not rely on the highly problematic claim that existence is a property and hence avoids many of the objections to the classic version. Here is the second version of the ontological argument as Anselm states it:

God is that, than which nothing greater can be conceived.… And [God] assuredly exists so truly, that it cannot be conceived not to exist. For, it is possible to conceive of a being which cannot be conceived not to exist; and this is greater than one which can be conceived not to exist. Hence, if that, than which nothing greater can be conceived, can be conceived not to exist, it is not that, than which nothing greater can be conceived. But this is an irreconcilable contradiction. There is, then, so truly a being than which nothing greater can be conceived to exist, that it cannot even be conceived not to exist; and this being thou art, O Lord, our God.

This version of the argument relies on two important claims. As before, the argument includes a premise asserting that God is a being than which a greater cannot be conceived. But this version of the argument, unlike the first, does not rely on the claim that existence is a perfection; instead it relies on the claim that necessary existence is a perfection. This latter claim asserts that a being whose existence is necessary is greater than a being whose existence is not necessary. Otherwise put, then, the second key claim is that a being whose non-existence is logically impossible is greater than a being whose non-existence is logically possible.

More formally, the argument is this:

  1. By definition, God is a being than which none greater can be imagined.
  2. A being that necessarily exists in reality is greater than a being that does not necessarily exist.
  3. Thus, by definition, if God exists as an idea in the mind but does not necessarily exist in reality, then we can imagine something that is greater than God.
  4. But we cannot imagine something that is greater than God.
  5. Thus, if God exists in the mind as an idea, then God necessarily exists in reality.
  6. God exists in the mind as an idea.
  7. Therefore, God necessarily exists in reality.

This second version appears to be less vulnerable to Kantian criticisms than the first. To begin with, necessary existence, unlike mere existence, seems clearly to be a property. Notice, for example, that the claim that x necessarily exists entails a number of claims that attribute particular properties to x. For example, if x necessarily exists, then its existence does not depend on the existence of any being (unlike contingent human beings whose existence depends, at the very least, on the existence of their parents). And this seems to entail that x has the reason for its existence in its own nature. But these latter claims clearly attribute particular properties to x.

And only a claim that attributes a particular property can entail claims that attribute particular properties. While the claim that x exists clearly entails that x has at least one property, this does not help. We cannot soundly infer any claims that attribute particular properties to x from either the claim that x exists or the claim that x has at least one property; indeed, the claim that x has at least one property no more expresses a particular property than the claim that x exists. This distinguishes the claim that x exists from the claim that x necessarily exists and hence seems to imply that the latter, and only the latter, expresses a property.

Moreover, one can plausibly argue that necessary existence is a great-making property. To say that a being necessarily exists is to say that it exists eternally in every logically possible world; such a being is not just, so to speak, indestructible in this world, but indestructible in every logically possible world – and this does seem, at first blush, to be a great-making property. As Malcolm puts the point:

If a housewife has a set of extremely fragile dishes, then as dishes, they are inferior to those of another set like them in all respects except that they are not fragile. Those of the first set are dependent for their continued existence on gentle handling; those of the second set are not. There is a definite connection between the notions of dependency and inferiority, and independence and superiority. To say that something which was dependent on nothing whatever was superior to anything that was dependent on any way upon anything is quite in keeping with the everyday use of the terms superior and greater.

Nevertheless, the matter is not so clear as Malcolm believes. It might be the case that, other things being equal, a set of dishes that is indestructible in this world is greater than a set of dishes that is not indestructible in this world. But it is very hard to see how transworld indestructibility adds anything to the greatness of a set of dishes that is indestructible in this world. From our perspective, there is simply nothing to be gained by adding transworld indestructibility to a set of dishes that is actually indestructible. There is simply nothing that a set of dishes that is indestructible in every possible world can do in this world that can’t be done by a set of dishes that is indestructible in this world but not in every other world.

And the same seems to be true of God. Suppose that an omniscient, omnipotent, omnibenevolent, eternal (and hence, so to speak, indestructible), personal God exists in this world but not in some other worlds. It is very hard to make sense of the claim that such a God is deficient in some relevant respect. God’s indestructibility in this world means that God exists eternally in all logically possible worlds that resemble this one in certain salient respects. It is simply unclear how existence in these other worlds that bear no resemblance to this one would make God greater and hence more worthy of worship. From our perspective, necessary existence adds nothing in value to eternal existence. If this is correct, then Anselm’s second version of the argument also fails.

4. Modal Versions of the Argument

Even if, however, we assume that Anselm’s second version of the argument can be defended against such objections, there is a further problem: it isn’t very convincing because it is so difficult to tell whether the argument is sound. Thus, the most important contemporary defender of the argument, Alvin Plantinga, complains “[a]t first sight, Anselm’s argument is remarkably unconvincing if not downright irritating; it looks too much like a parlor puzzle or word magic.” As a result, despite its enduring importance, the ontological argument has brought few people to theism.

There have been several attempts to render the persuasive force of the ontological argument more transparent by recasting it using the logical structures of contemporary modal logic. One influential attempts to ground the ontological argument in the notion of God as an unlimited being. As Malcolm describes this idea:

God is usually conceived of as an unlimited being. He is conceived of as a being who could not be limited, that is, as an absolutely unlimited being.… If God is conceived to be an absolutely unlimited being He must be conceived to be unlimited in regard to His existence as well as His operation. In this conception it will not make sense to say that He depends on anything for coming into or continuing in existence. Nor, as Spinoza observed, will it make sense to say that something could prevent Him from existing. Lack of moisture can prevent trees from existing in a certain region of the earth. But it would be contrary to the concept of God as an unlimited being to suppose that anything … could prevent Him from existing.

The unlimited character of God, then, entails that his existence is different from ours in this respect: while our existence depends causally on the existence of other beings (e.g., our parents), God’s existence does not depend causally on the existence of any other being.

Further, on Malcolm’s view, the existence of an unlimited being is either logically necessary or logically impossible. Here is his argument for this important claim. Either an unlimited being exists at world W or it doesn’t exist at world W; there are no other possibilities. If an unlimited being does not exist in W, then its nonexistence cannot be explained by reference to any causally contingent feature of W; accordingly, there is no contingent feature of W that explains why that being doesn’t exist. Now suppose, per reductio, an unlimited being exists in some other world W’. If so, then it must be some contingent feature f of W’ that explains why that being exists in that world. But this entails that the nonexistence of an unlimited being in W can be explained by the absence of f in W; and this contradicts the claim that its nonexistence in W can’t be explained by reference to any causally contingent feature. Thus, if God doesn’t exist at W, then God doesn’t exist in any logically possible world.

A very similar argument can be given for the claim that an unlimited being exists in every logically possible world if it exists in some possible world W; the details are left for the interested reader. Since there are only two possibilities with respect to W and one entails the impossibility of an unlimited being and the other entails the necessity of an unlimited being, it follows that the existence of an unlimited being is either logically necessary or logically impossible.

All that is left, then, to complete Malcolm’s elegant version of the proof is the premise that the existence of an unlimited being is not logically impossible – and this seems plausible enough. The existence of an unlimited being is logically impossible only if the concept of an unlimited being is self-contradictory. Since we have no reason, on Malcolm’s view to think the existence of an unlimited being is self-contradictory, it follows that an unlimited being, i.e., God, exists. Here’s the argument reduced to its basic elements:

  1. God is, as a conceptual matter (that is, as a matter of definition) an unlimited being.
  2. The existence of an unlimited being is either logically necessary or logically impossible.
  3. The existence of an unlimited being is not logically impossible.
  4. Therefore, the existence of God is logically necessary.

Notice that Malcolm’s version of the argument does not turn on the claim that necessary existence is a great-making property. Rather, as we saw above, Malcolm attempts to argue that there are only two possibilities with respect to the existence of an unlimited being: either it is necessary or it is impossible. And notice that his argument does not turn in any way on characterizing the property necessary existence as making something that instantiates that property better than it would be without it. Thus, Malcolm’s version of the argument is not vulnerable to the criticisms of Anselm’s claim that necessary existence is a perfection.

But while Malcolm’s version of the argument is, moreover, considerably easier to understand than Anselm’s versions, it is also vulnerable to objection. In particular, Premise 2 is not obviously correct. The claim that an unlimited being B exists at some world W clearly entails that B always exists at W (that is, that B‘s existence is eternal or everlasting in W), but this doesn’t clearly entail that B necessarily exists (that is, that B exists at every logically possible world). To defend this further claim, one needs to give an argument that the notion of a contingent eternal being is self-contradictory.

Similarly, the claim that an unlimited being B does not exist at W clearly entails that B never exists at W (that is, that it is always true in W that B doesn’t exist), but it doesn’t clearly entail that B necessarily doesn’t exist (that is, B exists at no logically possible world or B‘s existence is logically impossible. Indeed, there are plenty of beings that will probably never exist in this world that exist in other logically possible worlds, like unicorns. For this reason, Premise 2 of Malcolm’s version is questionable.

Perhaps the most influential of contemporary modal arguments is Plantinga’s version. Plantinga begins by defining two properties, the property of maximal greatness and the property of maximal excellence, as follows:

  1. A being is maximally excellent in a world W if and only if it is omnipotent, omniscient, and morally perfect in W; and
  2. A being is maximally great in a world W if and only if it is maximally excellent in every possible world.

Thus, maximal greatness entails existence in every possible world: since a being that is maximally great at W is omnipotent at every possible world and non-existent beings can’t be omnipotent, it follows that a maximally great being exists in every logically possible world.

Accordingly, the trick is to show that a maximally great being exists in some world W because it immediately follows from this claim that such a being exists in every world, including our own. But notice that the claim that a maximally great being exists in some world is logically equivalent to the claim that the concept of a maximally great being is not self-contradictory; for the only things that don’t exist in any possible world are things that are conceptually defined in terms of contradictory properties. There is no logically possible world in which a square circle exists (given the relevant concepts) because the property of being square is inconsistent with the property of being circular.

Since, on Plantinga’s view, the concept of a maximally great being is consistent and hence possibly instantiated, it follows that such a being, i.e., God, exists in every possible world. Here is a schematic representation of the argument:

  1. The concept of a maximally great being is self-consistent.
  2. If 1, then there is at least one logically possible world in which a maximally great being exists.
  3. Therefore, there is at least one logically possible world in which a maximally great being exists.
  4. If a maximally great being exists in one logically possible world, it exists in every logically possible world.
  5. Therefore, a maximally great being (that is, God) exists in every logically possible world.

It is sometimes objected that Plantinga’s Premise 4 is an instance of a controversial general modal principle. The S5 system of modal logic includes an axiom that looks suspiciously similar to Premise 4:

AxS5: If A is possible, then it is necessarily true that A is possible.

The intuition underlying AxS5 is, as James Sennett puts it, that “all propositions bear their modal status necessarily.” But, according to this line of criticism, Plantinga’s version is unconvincing insofar as it rests on a controversial principle of modal logic.

To see that this criticism is unfounded, it suffices to make two observations. First, notice that the following propositions are not logically equivalent:

PL4 If “A maximally great being exists” is possible, then “A maximally great being exists” is necessarily true.

PL4* If “A maximally great being exists” is possible, then it is necessarily true that “A maximally great being exists” is possible.

PL4 is, of course, Plantinga’s Premise 4 slightly reworded, while PL4* is simply a straightforward instance of AxS5. While PL4 implies PL4* (since if A is true at every world, it is possible at every world), PL4* doesn’t imply PL4; for PL4 clearly makes a much stronger claim than PL4*.

Second, notice that the argument for Premise 4 does not make any reference to the claim that all propositions bear their modal status necessarily. Plantinga simply builds necessary existence into the very notion of maximal greatness. Since, by definition, a being that is maximally great at W is omnipotent at every possible world and a being that does not exist at some world W’ cannot be omnipotent at W’, it straightforwardly follows, without the help of anything like the controversial S5 axiom, that a maximally great being exists in every logically possible world.

Indeed, it is for this very reason that Plantinga avoids the objection to Malcolm’s argument that was considered above. Since the notion of maximal greatness, in contrast to the notion of an unlimited being as Malcolm defines it, is conceived in terms that straightforwardly entail existence in every logically possible world (and hence eternal existence in every logically possible world), there are no worries about whether maximal greatness, in contrast to unlimitedness, entails something stronger than eternal existence.

IV. Is the Concept of a Maximally Great Being Coherent?

As is readily evident, each version of the ontological argument rests on the assumption that the concept of God, as it is described in the argument, is self-consistent. Both versions of Anselm’s argument rely on the claim that the idea of God (that is, a being than which none greater can be conceived) “exists as an idea in the understanding.” Similarly, Plantinga’s version relies on the more transparent claim that the concept of maximal greatness is self-consistent.

But many philosophers are skeptical about the underlying assumption, as Leibniz describes it, “that this idea of the all-great or all-perfect being is possible and implies no contradiction.” Here is the problem as C.D. Broad expresses it:

Let us suppose, e.g., that there were just three positive properties X, Y, and Z; that any two of them are compatible with each other; but that the presence of any two excludes the remaining one. Then there would be three possible beings, namely, one which combines X and Y, one which combines Y and Z, and one which combines Z and X, each of which would be such that nothing … superior to it is logically possible. For the only kind of being which would be … superior to any of these would be one which had all three properties, X, Y, and Z; and, by hypothesis, this combination is logically impossible.… It is now plain that, unless all positive properties be compatible with each other, this phrase [i.e., “a being than which none greater can be imagined”] is just meaningless verbiage like the phrase “the greatest possible integer.”

Thus, if there are two great-making characteristics essential to the classically theistic notion of an all-perfect God that are logically incompatible, it follows that this notion is incoherent.

Here it is important to note that all versions of the ontological argument assume that God is simultaneously omnipotent, omniscient, and morally perfect. As we have seen, Plantinga expressly defines maximal excellence in such terms. Though Anselm doesn’t expressly address the issue, it is clear (1) that he is attempting to show the existence of the God of classical theism; and (2) that the great-making properties include those of omnipotence, omniscience, and moral perfection.

There are a number of plausible arguments for thinking that even this restricted set of properties is logically inconsistent. For example, moral perfection is thought to entail being both perfectly merciful and perfectly just. But these two properties seem to contradict each other. To be perfectly just is always to give every person exactly what she deserves. But to be perfectly merciful is to give at least some persons less punishment than they deserve. If so, then a being cannot be perfectly just and perfectly merciful. Thus, if moral perfection entails, as seems reasonable, being perfectly just and merciful, then the concept of moral perfection is inconsistent.

The problem of divine foreknowledge can also be seen as denying that omniscience, omnipotence, and moral perfection constitute a coherent set. Roughly put, the problem of divine foreknowledge is as follows. If God is omniscient, then God knows what every person will do at every moment t. To say that a person p has free will is to say that there is at least one moment t at which p does A but could have done other than A. But if a person p who does A at t has the ability to do other than A at t, then it follows that p has the ability to bring it about that an omniscient God has a false belief – and this is clearly impossible.

On this line of analysis, then, it follows that it is logically impossible for a being to simultaneously instantiate omniscience and omnipotence. Omnipotence entails the power to create free beings, but omniscience rules out the possibility that such beings exist. Thus, a being that is omniscient lacks the ability to create free beings and is hence not omnipotent. Conversely, a being that is omnipotent has the power to create free beings and hence does not know what such beings would do if they existed. Thus, the argument concludes that omniscience and omnipotence are logically incompatible. If this is correct, then all versions of the ontological argument fail.

5. References and Further Reading

  • Anselm, St., Anselm’s Basic Writings, translated by S.W. Deane, 2nd Ed. (La Salle, IL: Open Court Publishing Co., 1962)
  • Aquinas, Thomas, St., Summa Theologica (1a Q2), “Whether the Existence of God is Self-Evident (Thomas More Publishing, 1981)
  • Barnes, Jonathan, The Ontological Argument (London: MacMillan Publishing Co., 1972)
  • Broad, C.D., Religion, Philosophy and Psychical Research (New York: Routledge & Kegan Paul, 1953)
  • Findlay, J.N., “God’s Existence is Necessarily Impossible,” from Flew, Antony and MacIntyre, Alasdair, New Essays in Philosophical Theology (New York: MacMillan Publishing Co., 1955)
  • Gale, Richard, On the Nature and Existence of God (Cambridge: Cambridge University Press, 1991)
  • Hartshore, Charles, The Logic of Perfection (LaSalle, IL: Open Court, 1962)
  • Hegel, Georg Wilhelm Friedrich, Lectures on the History of Philosophy, translated by E.S. Haldane and F.H. Simson (London, Kegan Paul, 1896)
  • Kant, Immanuel, Critique of Pure Reason, translated by J.M.D. Meiklejohn (New York: Colonial Press, 1900)
  • Leibniz, Gottfried Wilhelm, New Essays Concerning Human Understanding, translated by A.G. Langley (Chicago, IL: Open Court Publishing, 1896).
  • Malcolm, Norman, “Anselm’s Ontological Argument,” Philosophical Review, vol. 69, no. 1 (1960), 41-62
  • Miller, Ed L., God and Reason, 2nd Ed. (Upper Saddle River, NJ: Prentice-Hall, Inc., 1995)
  • Pike, Nelson, “Divine Omniscience and Voluntary Action,” Philosophical Review, vol. 74 (1965)
  • Plantinga, Alvin, God, Freedom, and Evil (New York: Harper and Row, 1974)
  • Plantinga, Alvin, The Ontological Argument from St. Anselm to Contemporary Philosophers (Garden City, NY: Doubleday, 1965)
  • Pojman, Louis, Philosophy of Religion (London: Mayfield Publishing Co., 2001)
  • Rowe, William, “Modal Versions of the Ontological Argument,” in Pojman, Louis (ed.), Philosophy of Religion, 3rd Ed. (Belmont, CA: Wadsworth Publishing Co., 1998)
  • Sennett, James F., “Universe Indexed Properties and the Fate of the Ontological Argument,” Religious Studies, vol. 27 (1991), 65-79

Author Information

Kenneth Einar Himma
Email: himma@spu.edu
Seattle Pacific University
U. S. A.

Pseudo-Dionysius the Areopagite (fl. 500 C.E.)

Dionysius is the author of three long treatises (The Divine Names, The Celestial Hierarchy, and The Ecclesiastical Hierarchy) one short treatise (The Mystical Theology) and ten letters expounding various aspects of Christian Philosophy from a mystical and Neoplatonic perspective. Presenting himself as Dionysius the Areopagite, the disciple of Paul mentioned in Acts 17:34, his writings had the status of apostolic authority until the 19th century when studies had shown the writings denoted a marked influence from the Athenian Neoplatonic school of Proclus and thus were probably written ca. 500.  Although the attribution of authorship has proven to be a falsification, the unknown author (hereafter referred to as Ps-Dionysius) has not lost his credibility as an articulate Athenian Neoplatonist expressing an authentic Christian mystical tradition. Indeed with eloquent poetic language and strong exposition of ideas, the Dionysian corpus ranks among the classics of western spirituality.

Table of Contents

  1. History and Development of Christian Platonism up to Pseudo-Dionysius
  2. Mystery Schools, Gnosticism, Hermeticism, and the “Platonic Underground”
  3. The Works of Dionysius the Areopagite
    1. The Divine Names (13 Chapters)
    2. The Mystical Theology (5 Chapters)
    3. The Celestial Hierarchy (15 Chapters)
    4. The Ecclesiastical Hierarchy (7 Chapters)
    5. The Epistles (10 Letters)
  4. The Dionysian Influence
    1. Philosophy
    2. Mysticism
    3. Occultism (Esoteric traditions of Alchemy, Hermetism, Kabbalah)
  5. References and Further Reading

1. History and Development of Christian Platonism up to Pseudo-Dionysius

Born within a 500-year old Graeco-Roman culture, Christianity received a pervasive influence from the then 400-year old Platonist tradition very early on. Despite the official outlawing of so-called pagan philosophy in the 6th century, Platonism or Neoplatonism, continued to maintain a dynamically evolving influence for the ensuing thousand years within the sphere of Christianity and beyond that, interest in Platonism is waxing strong today. In general, the prominent early Christian Platonists were men already possessing a classical Graeco-Roman culture and schooled in the Middle Platonic tradition and who would subsequently convert to Christianity thus bringing their background and knowledge to the service of their new faith. Already, Philo of Alexandria (20 BC – 40 AD) had developed an extensive Middle Platonic interpretation of the Jewish scriptures (scriptural symbology, logos theology, moral philosophy, etc.). With the solid framework provided by Philo, Alexandria became the home of the first Christian Platonists: Clement (160 – 220) and Origen (185 -253) who both in their own way crafted a considerable system of correspondences between Platonism and Christianity. The influence of Neoplatonism can be seen with the Cappadocian fathers Basil (330-379), Gregory Nazianzus (329 – 389), and Gregory of Nyssa (331/40 – ca. 395); as well as Synesius of Cyrene (373? – 414). Origen’s influence continued with the fathers of the Egyptian desert, Macarius (295 – 386), Evagrius Pontus (345 – 399), and John Cassian (+350). The Neoplatonic influence appears in the Latin Church with Marius Victorinus (281/291- ?), Ambrose (354 – 450), Augustine (354 – 430),  and Boethius (460? – 524). Philiponus (fl. 500?) is a Christian Neoplatonist who studied with the last teachers of the pagan Athenian school.

2. Mystery Schools, Gnosticism, Hermeticism, and the “Platonic Underground”

In accordance with his Neoplatonic background, Ps-Dionysius adopts the initiation language of the Mystery religions. Basically, the Mystery religions can be considered as the esoteric counterpart to the exoteric popular religions. The symbols and mythology of popular cults of worship are thought to contain an esoteric meaning which reveal a deeper mystical knowledge. The pledge of secrecy being integral to the Mystery religions, comparatively little information about them has come down to us. There seems to be a stock of similar myths, symbols, and ritual common to all of them and their influence was pervasive in both the Pagan and Christian world:

The Soul was the one subject, and the knowledge of the Soul the one object of all the ancient Mysteries. In the ‘Fall’ of PISTIS-SOPHIA, and her rescue by her Syzygy, JESUS, we see the ever-enacted drama of the suffering and ignorant Personality, which can only be saved by the immortal Individuality or rather by its own yearning towards IT (H. P. Blavatsky, “Commentary on the Pistis-Sophia,” in Collected Writings, Vol. XIII, The Theosophical Publishing House, Wheaton: 1982, p. 40).

The Neoplatonic schools at this period can be considered to represent a middle ground between the pagan esoteric cults  [Hellenic Mysteries, Oriental Mystery cults (Mithraism, Attis), Hermetism, Greek alchemists (Zosimos)] and the popular state forms of religious worship. Whether a Christian Neoplatonist such as Ps-Dionysius played a similar mediating role between the exoteric forms of Judeo-Christianity (popular Roman Catholic state religion) and esoteric Christianity (Gnosticism, Arianism, Docetism) would be a matter of conjecture, but what is interesting is how the Dionysian corpus formulates a creative philosophical synthesis that reflects a more open Christian position in a period when all the above-mentioned religious movements where in a very dynamic state of ferment and conflict which saw the rise of Christianity and the waning of Paganism.

3. The Works of Dionysius the Areopagite

There are five works ascribed to Dionysius:  The Divine Names, The Mystical Theology, The Celestial Hierarchy, The Ecclesiastical Hierarchy and his Epistles.  All of these works are interrelated and, taken together, form a complex whole.  Paul Rorem gives a very good overview of how these works unfold:

The point here is that not all affirmations concerning God are equally inappropriate; they are arranged in a descending order of decreasing congruity.  Affirmative theology begins with the loftier, more congruous comparisons and then proceeds “down” to the less appropriate ones.  Thus, as the author reminds us, The Theological Representations [not extant] began with God’s oneness and proceeded down into the multiplicity of affirming the Trinity and the incarnation.  The Divine Names then affirmed the more numerous designations for God which come from mental concepts, while The Symbolic Theology [not extant] “descended” into the still more pluralized realm of sense perception and its plethora of symbols for the deity.  This pattern of descending affirmations and ascending negations can be interpreted in terms of late Neoplatonism’s “procession” from the One down into plurality and the “return” of all back to the One. In the “return,” not all negations concerning God are equally appropriate; the attributes to be negated are arranged in an ascending order of decreasing incongruity, first considering and negating the lowest or most obviously false statements about God and then moving up to deny these that may seem more congruous.  Thus the first to be denied are the perceptible attributes, starting with The Mystical Theology, Chapter 4, which therefore previews the two subsequent treatises on perceptible symbols, The Celestial Hierarchy and The Ecclesiastical Hierarchy.  Chapter 2 of the former work will continue the theme of negating and transcending symbols, namely, interpreting first the most incongruous of the perceptible symbols attributed to the celestial, whether to the angels or to God.  The anagogical or uplifting method of interpretation in these two treatises incorporates into itself the principles of negative theology.  Both the spatial, material depiction of the angels in the scriptures and also the temporal, sequential images of God in the liturgy must be transcended in the ascent from the perceptible to the intelligible.  Thus, “as we climb higher,” Chapter 5 of The Mystical Theology denies and moves beyond all our concepts or “conceptual” attributes of God and concludes by abandoning all speech and thought, even negations. (Pseudo-Dionysius, The Complete Works,  New York: Paulist Press 1987, p.140 note).

a. The Divine Names (13 Chapters)

Chapter 1 Dionysius the Elder to Timothy the Fellow Elder:  What the goal of this discourse is, and the tradition regarding the divine names. A general introduction in which God is considered omniscient, beyond all human understanding and description and therefore can only be expressed through symbols, names which are found in the scriptures.  One can approach the truth of God through contemplation of the Divine Symbols. The conception of God is a philosophical one, akin to  the One, or the Good of  Neoplatonism, and not  anthropomorphic Old Testament God of popular theology.

Chapter 2 Concerning the unified and differentiated Word of God, and what the divine unity and differentiation is.
The Neoplatonic concept of emanation finds its counterpart in the “divine procession.”  Jesus Christ is considered to be a mystery that is beyond human contemplation.

Chapter 3 The power of praying, concerning the blessed Hierotheus, piety and our theology. Here the author speaks of his teacher Hierotheus and refers to a work of his entitled “Elements of Theology” which is not extant.

Chapter 4 Concerning “God,” “Light,” “Beautiful,” “Love,” “Ecstasy,” and “Zeal” and that evil is neither a being, nor from a being, nor in beings. Here begins the metaphysical explanations of the Divine Names taken from the scriptures.  Also explained is the mystical concept of “yearning” for union with the Good and the Beautiful.  The philosophical explanation of evil is evidently much more Platonic than the anthropomorphic concept of evil as expressed by the conventional church dogma. (The parallels on the discussion of evil to the De Malorum Subsistentia of Proclus provided the initial clues in proving the pseudonymous authorship.)

Chapter 5 Concerning “Being” and also concerning paradigms. The metaphysical causes of Being are discussed.

Chapter 6 Concerning “Life.” The transcendent, absolute, eternal nature of life is dealt with.

Chapter 7 Concerning “Wisdom,” “Mind,” “Truth,” “Faith.” The basis of a divine, transcendent wisdom where humans derive their intelligence and understanding through participation with the Divine Mind is discussed.

Chapter 8 Concerning “Power,” “Righteousness,” “Salvation,” “Redemption,” and also inequality. This chapter deals with the ordering of the universe according to divine laws by which a transcendent order maintains the dynamic harmony of all things.

Chapter 9 Concerning greatness and smallness, sameness and difference, similarity and dissimilarity, rest, motion, equality. It is shown how the fundamental unity of God can be seen in the multiplicity of the universe at the macrocosmic and microcosmic levels.

Chapter 10 Concerning “Omnipotent,”  “Ancient of Days,” and also concerning “Eternity” and “Time.” This chapter deals with the philosophical aspects of time and eternity.

Chapter 11 Concerning “Peace,” and what is intended by “being itself,” “power itself” and things said in this vein. The intelligent harmony which brings things together in a communion of concord is discussed.

Chapter 12 Concerning “Holy of Holies,” “King of Kings,” “Lord of Lords,” “God of Gods.” Holy of Holies deals with Purity; Kingship, with law and order; Lordship, stability through possession of the Good and the Beautiful, God, Providence which sees everything.

Chapter 13 Concerning “Perfect”  and “One.” Here is a synthesis of the whole work, returning to the idea of the One as discussed in Neoplatonic terms.

b. The Mystical Theology (5 Chapters)

Chapter 1 An explanation of Ps-Dionysius’ negative theology in which one rises to high levels of divine contemplation by defining God by what it is not because it is beyond assertion and denial.

Chapter 2 How one should be united to, and attribute praises to the cause of all things which is beyond all things.

Chapter 3 What are the affirmative theologies and what are the negative.  The higher we rise towards the transcendent, the more language fails to describe it.

Chapter 4 That the supreme cause of every perceptible thing is not itself perceptible.  The negative theology begins by denying it all formal existence perceptible by the senses.

Chapter 5 It is stated that the supreme Cause of every conceptual thing is not itself conceptual.  We are to apprehend it by rising to the highest concepts and then going beyond where neither assertion nor denial can be attributed to it.

c. The Celestial Hierarchy (15 Chapters)

Chapter 1 That every divine illumination, descending with goodness and according to different modes to the object of its providence, remains nonetheless simple, and indeed unifies what it illumines. The treatise begins with an explanation of the value of the symbol as a representation of spiritual essences.

Chapter 2 It is appropriate to reveal the mysteries of God and of heaven with symbols without resemblance. Here it is explained that the many images and symbols in the Bible are not meant to be taken at dead letter face value.  As man is incapable of contemplating Divine Truth directly, our divinely inspired ancestors have left us symbols adapted to our capacity of understanding which help us to raise our consciousness to the understanding and contemplation of the divine truths;  the second function of the symbol is that it also serves as a veil to these sacred truths for those who it would be imprudent to reveal these things to.  The value of the symbol therefore depends on the person’s capacity to penetrate its secrets.

Chapter 3 In what does the Hierarchy consist of and what is its use. The notion of hierarchy is that seeing that not everyone can equally directly contemplate and participate in the supreme cause, there is therefore a great chain of hierarchies emanating from the most spiritual origins down to the most material planes.  To undertake the divine ascension, there are intermediaries for every level of reality like the steps on a ladder.  The higher hierarchies, receiving a more direct illumination, can transmit that light to the lower hierarchies at the level they are able to perceive it and the higher hierarchies also serve as an accessible image of the transcendent, an example for the hierarchy immediately below, whose members can contemplate in order to rise to a higher level.  The closer a hierarchy is to the source of divine light, the greater the degree of purity and simplicity and resemblance to the source.

Chapter 4 What the names given to the angels signify. An interesting point concerning the hierarchies is that no human being can directly contemplate the ultimate Source.  Even Moses did not have a direct vision of God but rather a vision adapted to his level of perception.  It is shown how the incarnation of Christ was done in accord with the hierarchical order of angels.

Chapter 5 Why are all the celestial essences distinctly called angels. On the hierarchical scales the angels are at the lowest degree of the hierarchy.  This is because the higher levels contain all the illumination and power of the lower levels; but the lower do not have the same level of participation with the higher.  Therefore the term angel is used because, in a sense, it is the lowest common denominator.

Chapter 6 What is the first order of the celestial essences, what is the middle order and what is the inferior order.
All the names of the hierarchies appear in the scriptures.  They are divided into three groups of three hierarchies each:

First – Seraphim, Cherubim and Thrones
Second – Dominions, Virtues and Powers
Third – Principalities, Archangels and Angels

Chapter 7 Of the Seraphim, the Cherubim and the Thrones and of the first hierarchy that they constitute. The meaning of the first three angelic hierarchies are as follows:

Seraphim – Fire, “Those who burn”
Cherubim – Messengers of knowledge, Wisdom
Thrones – Seat of God

Chapter 8 Of the Dominions, the Virtues and the Powers and the middle hierarchy that they constitute. The meaning of the second order of the hierarchies are as follows:

Dominions – Justice
Virtues – Courage, Virility
Powers – Order, Harmony

Chapter 9 Of the Principalities, the Archangels and the Angels and of the last hierarchy that they constitute. The meaning of the third order are as follows:

Principalities – Authority
Archangels – Unity
Angels – Revelation, messengers

Chapter 10 Recapitulation and conclusion concerning the proper ordering of the angelic hierarchy. Each order, therefore has in itself three orders – first, middle and last.  It is said that none of the orders are totally perfect; all the hierarchies thus mutually participate in a constant  march, striving towards perfection.

Chapter 11 Why all the celestial essences receive in common the name of the celestial powers. The celestial powers have three qualities – essence, power and act.

Chapter 12 Why do the highest of high priests receive the name of angels. Why are priests called angels?  Because although the lower orders do not participate of the higher orders per se, the illuminations of the higher orders do radiate all the way through to the lowest orders in a gradually decreasing brightness, therefore it can be said that the lower can receive the light of the higher in an indirect manner.

Chapter 13 Why is it said that it is the Seraphim that purified the prophet Isaiah. In the Bible, when Isaiah was purified by a Seraphim, it is not to be understood that he was in direct contact with such an immeasurably high order; what is meant is that the illuminating properties and powers of the order of the Seraphim had descended through the several intermediary orders to purify Isaiah.  It is a question of opacity and translucency in regards to the light.  Light shines and its rays can pass through substances depending on its degree of translucency, will reflect more or less of the light.  This analogy applies to human consciousness in relation to divine light.

Chapter 14 What does the number attributed to the angels signify. It is stated that there are an immeasurable number of angels in every order, and therefore a truly infinite number of angels are acting in the various planes of the universe.  There is an angel overlooking the welfare of every nation as well.

Chapter 15 What are the figurative images of the angelic powers. This chapter discusses the various symbols in reference to the angelic functions such as fire; man; infant; sacred clothes and instruments; air, wind and clouds; metals and stones; animals.

d. The Ecclesiastical Hierarchy (7 Chapters)

Chapter 1 What is the tradition of the ecclesiastical hierarchy and what is its purpose. It is explained how the tradition began initially with a divine transmission of sacred symbols and forms which were thereafter transmitted to succeeding generations.

Chapter 2. 1 The rite of illumination.
The goal of the hierarchy is “greatest likeness and union with god through obedience of the commandments and doing the sacred acts.”  And the first initiation is the divine birth, meaning birth to a spiritual life.

2.2 A postulant who wishes to enter the spiritual life has a sponsor who presents him to the hierarch.  The postulant goes through various ritual gestures including being anointed with oil and immersed in water three times.  It is a baptism.

2.3 This is a practical applications of the symbols.  The rituals are not merely functional gestures but are meant to convey actual transformation processes in the candidates consciousness.  For example, the immersion in water symbolizes a dissolution of the old material way of life to reemerge into the spiritual which is further symbolized by putting on bright new clothes and fragrant ointments. Firm opposition to whatever hinders our communion, brave resolution in striving to uplift oneself and a will for victory over the forces of death and destruction is stressed.

Chapter 3.1 The rite of the synaxis.
Or the Eucharist.  What these initiation operations do is by granting communion, it gives the participants an inner unity by gathering together the divided  and scattered  fragments of our consciousness.

3.2 Mystery of the synaxis or communion. The Eucharist is the ritual re-enactment of the last supper.

3.3 A symbolic explanation of the Eucharist is explained as well as the value of Christ’s example that we should strive to imitate.  There is also different levels of participation in the ceremonies according to one’s level of purification, clarity of vision, and freedom from fantasies.

Chapter 4.1 The ritual of ointment and what is perfected by it. The ointment is the third of the three holy sacraments explained.

4.2 Mystery of the sacred ointment. This consists in consecrating the sacred ointment used for almost all the sacraments of sanctification and rites of consecration.

4.3 Perfecting and consecrating with ointment – symbolizes a visitation of the Divine Spirit.

Chapter 5.1 Concerning the clerical orders, powers, activities, and consecrations. Here are three orders which are a reflection of the triple order of the celestial hierarchy.  And these orders have a further triple division.  Furthermore they have a triple power of purification, illumination  and perfection.

1-  Hierarchs – Sanctification of clerical orders, consecration of ointment  and rite of purification and consecration of the Holy butter.
2-  Priests – Illumination
3-  Deacons –  Purification

5.2 The mystery of the clerical consecrations of the three orders. The various rites of consecration of the three orders are explained.

5.3 The hierarch does not work the consecration through his own personal authority but is rather an intermediary for the Divine Powers.

Chapter 6.1 Concerning the orders of those being initiated. Various categories of candidates who will approach the mysteries are detailed:

1-  The three orders of candidates receiving direct instruction (incubation, instruction).
2-  Those who fell away and are returning to the church.
3-  Those who are weak, fearful and require strengthening.
4-  Those who have lived a life of  sin and need  sanctification.
5-  Those who are attentive to the spiritual life but lack firmness in practice.

There is then an intermediate level – those ready to enter upon the path of contemplation; candidate priests for illumination.
There is also the order of monks – they are considered purified and have complete power and holiness in its own activities within the hierarchies.

6.2 Mystery of the consecration of a monk. The monastic profession and tonsure is explained.

6.3 Renunciation of all activities in act and thought that distract from the sacred life is  stressed.  The correspondence of purification, illumination and perfection with the celestial hierarchies is explained.

Chapter 7.1 The rite for the dead. Dying is called a sacred rebirth.

7.2 Mystery regarding those who died sacredly. The rites are explained for those who belong to the orders.

7.3 The rewards are not equal for all. One will live in a state of blessedness in the afterlife corresponding to the degree of saintliness one has achieved in material life. This  treatise closes on a point concerning baptism of children.  The idea of baptism at a young age is that it is considered good to develop sacred habits at a young age and the baptism is effected only if it is agreed that the child be entrusted to a spiritual parent who will afterwards provide them with a religious education.

e. The Epistles (10 Letters)

Letter 1To the monk, Gaius– Deals with negative theology.

Letter 2To the monk, Gaius– Is a discussion on the Good.

Letter 3To the monk, Gaius– Deals with the mystery of Jesus.

Letter 4To the monk, Gaius– Of the transcendent character of Jesus; the humanity of Jesus is emphasized.

Letter 5To Dorotheus, deacon– Deals with negative theology.

Letter 6To Sosipater, Priest– Denis is against the denunciation of cults who express a different point of view than Christianity.

Letter 7 To Polycarp, a hierarch–  Regarding a discussion with Apollophanes, a sophist, Ps-Dionysius counsels not to refute his opinions but simply establish the truth as clearly as he can and let the validity of his explanations stand for themselves.  There is a reference to the Mithraic cult as well as to various Christian miracles.

Letter 8 To Demophilus, a monk–  This is the longest of the letters and concerns a monk who turned away a repenting sinner who wished to return to the church.  Ps-Dionysius disapproves  of the monk’s actions and extols the virtue of meekness, kindness and tolerance in which reason governs anger.  There are also many details concerning the practical functioning of the ecclesiastical hierarchy and the authority and respect that the respective ranks should command.  The letter ends with a personal relating of a miraculous vision of a certain Carpos illustrating the  mercifulness of Jesus.

Letter 9 To Titus, Hierarch–  A question concerning the symbolism of the mixing bowl and food and drink as spiritual nourishment is dealt with.

Letter 10 To John the theologian– In this letter, words of comfort and support to an exiled apostle are conveyed.

4. The Dionysian Influence

The Dionysian corpus has had an wide influence on various aspects of Christian thought. The following list is divided into three general currents of influence:  philosophy, mysticism and occultism. By no means comprehensive, this list aims to simply give a general overview of some prominent thinkers in the Christian Platonist tradition. The three categories are very general and the categorization loose, as many people on this list could easily overlap into several categories.

a. Philosophy

Maximus Confessor (580 – 662), Alcuin (730 – 806), John Scotus Eriugena (fl. 850), Michael Psellus (1018 – 1096), Hugh of St-Victor (+1141), Richard of St-Victor (+1173), Thomas Aquinas (1125 – 1274), Thiery of Chartres (fl. 1142 -1150), Robert Grosseteste (1175 – ca. 1225?) Bonaventure (1221 – 1274), Gemisthos Plethon (ca. 1370? – 1450), Nicholas of Cusa (1401 – 1464), Denis the Carthusian (1402 – 1471), Marsilio Ficino (1433 – 1499), Lefebvre d’Etaples (1436 -1520), Thomas Vaughan (1622 – 1666).

b. Mysticism

Bernard of Clairvaux (1091 -1153), Hildegarde of Bingen (1098 – 1179), Jacopone da Todi (1128 –  1306), Meister Eckhart (1260 – 1327), John Tauler (1300 -1361), Henry Suso (ca. 1295 – 1365), John Ruysbroeck (1293 – 1381), Henry de Mayle (ca. 1360 – 1415), Catherine of Sienna (1347 -1380), Jean Gerson (1363 – 1409), Francisco de Orsuna (+1540), Teresa of Avila (1515 – 1582), John of the Cross (1515 – 1582), Augustine Baker (1575 -1641), unknown author of the Cloud of Unknowing (ca. 1350 – 1395)

c. Occultism (Esoteric traditions of Alchemy, Hermetism, Kabbalah)

Albert the Great (1206 – 1240), Roger Bacon (1210/14 – ca. 1292), Dante (1265 – 1321), Ramon Lully (1232 – 1316?), Johannes Reuchlin (1455 -1522), Johannes Trithemius (1462 -1516), Pico de la Mirandola (1463 – 1494), Francesco Giorgi (1466 -1540),  Cornelius Agrippa (1486 – 1534), John Dee (1537 -1608), Giordano Bruno (1548 – 1600), Robert Fludd (1574-1637) Jacob Boehme (1575 – 1624), William Law (1686 -1761), Eckhartausen (1752 -1803), Louis-Claude de St-Martin (1743 -1803), William Blake (1757 -1827).

5. References and Further Reading

  • Dillon, John, The Middle Platonists, Duckworth, Great Britain, 1977.
  • Ferguson, Everett  (ed.), Encyclopedia of Early Christianity, Garland Publishing, New York, 1990.
  • Finan, Thomas; Twaney, Vincent (eds.), The Relationship between Neoplatonism and Christianity, Four Courts Press, Dublin, 1992.
  • Luibheid, Colm (transl.), Pseudo-Dionysius: The Complete Works, Paulist Press (Classics of Western Spirituality), New York, 1987.
  • Livraga, Jorge Angel, Manuel d’Introduction aux philosophies d’orient et d’occident, Nouvelle Acropole, France.
  • O’Leary, Dominic J., Neoplatonism and Christian Thought, State University Press, New York, 1982.
  • Underhill, Evelyn, Mysticism, Meridian, Noonday Press, New-York, 1955.
  • Yates, Frances A., Giordano Bruno and the Hermetic Tradition, Routledge and Kegan Paul, London. 1964.

Author Information

Mark Lamarre
Email: marklamarre@hotmail.com
U. S. A.

Protagoras (fl. 5th c. B.C.E.)

ProtagorasProtagoras of Abdera was one of several fifth century Greek thinkers (including also Gorgias, Hippias, and Prodicus) collectively known as the Older Sophists, a group of traveling teachers or intellectuals who were experts in rhetoric (the science of oratory) and related subjects. Protagoras is known primarily for three claims (1) that man is the measure of all things (which is often interpreted as a sort of radical relativism) (2) that he could make the “worse (or weaker) argument appear the better (or stronger)” and (3) that one could not tell if the gods existed or not. While some ancient sources claim that these positions led to his having been tried for impiety in Athens and his books burned, these stories may well have been later legends. Protagoras’ notion that judgments and knowledge are in some way relative to the person judging or knowing has been very influential, and is still widely discussed in contemporary philosophy. Protagoras’ influence on the history of philosophy has been significant. Historically, it was in response to Protagoras and his fellow sophists that Plato began the search for transcendent forms or knowledge which could somehow anchor moral judgment. Along with the other Older Sophists and Socrates, Protagoras was part of a shift in philosophical focus from the earlier Presocratic tradition of natural philosophy to an interest in human philosophy. He emphasized how human subjectivity determines the way we understand, or even construct, our world, a position which is still an essential part of the modern philosophic tradition.

Table of Contents

  1. Life
  2. Career
  3. Doctrines
    1. Orthoepeia
    2. Man-Measure Statement
    3. Agnosticism
  4. Social Consequences and Immediate Followers
  5. Influence
  6. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Life

Surprising little is known of Protagoras’ life with any certainty. Our main sources of information concerning Protagoras are:

  1. Plato (427-347 B.C.E.): Protagoras is a leading character in Plato’s dialogue Protagoras and Protagoras’ doctrines are discussed extensively in Plato’s Theaetetus. Plato’s dialogues, however, are a mixture of historical account and artistic license, much in the manner of the comic plays of the period. Moreover, Protagoras died when Plato was quite young and Plato may have depended on not entirely reliable second-hand evidence for his understanding of Protagoras.
  2. Diogenes Laertius (third century C.E.): Diogenes’ Lives of the Philosophers is probably our single most extensive source for many early Greek philosophers’ works and biographies. Unfortunately, his work was compiled over six hundred years after Protagoras’ death and is an uncritical compilation of materials from a wide variety of sources, some reliable, some not, and many hopelessly garbled.
  3. Sextus Empiricus (fl. late 2nd century C.E.): Sextus Empiricus was a skeptic of the Pyrrhonian school. Sextus wrote several books criticizing the dogmatists (non-skeptics). His treatment of Protagoras is somewhat favorable, but since his purpose is to prove the superiority of Pyrrhonism to all other philosophies,we cannot trust him to be “objective” in a modern sense; moreover, like Diogenes, he wrote several hundred years after Protagoras’ death and may not have had completely reliable sources.

The first step in understanding Protagoras is to define the general category of “sophist,” a term often applied to Protagoras in antiquity. In the fifth century, the term referred mainly to people who were known for their knowledge (for example, Socrates, the seven sages) and those who earned money by teaching advanced pupils (for example, Protagoras, Prodicus) and seemed to be a somewhat neutral term, although sometimes used with pejorative overtones by those who disapproved of the new ideas of the so-called “Sophistic Enlightenment”. By the fourth century the term becomes more specialized, limited to those who taught rhetoric, specifically the ability to speak in assemblies or law courts. Because sophistic skills could promote injustice (demagoguery in assemblies, winning unjust lawsuits) as well as justice (persuading the polis to act correctly, allowing the underprivileged to win justice for themselves), the term “sophist” gradually acquired the negative connotation of cleverness not restrained by ethics. Conventionally, the term “Older Sophist” is restricted to a small number of figures known from the Platonic dialogues (Protagoras, Gorgias, Prodicus, Hippias, Euthydemus, Thrasymachus and sometimes others). Whether these figures actually had some common body of doctrines is uncertain. At times scholars have tended to lump them together in a group, and attribute to them all a combination of religious skepticism, skill in argument, epistemological and moral relativism, and a certain degree of intellectual unscrupulousness. These characteristics, though, were probably more typical of their fourth century followers than of the Older Sophists themselves, who tended to agree with and follow generally accepted moral codes, even while their more abstract speculations undermined the epistemological foundations of traditional morality.

When we separate Protagoras from general portraits of “sophistic”, as most scholars (for example, the ones listed below in the bibliography) recommend, our information about him is relatively sparse. He was born in approximately 490 B. C. E. in the town of Abdera in Thrace and died c. 420 B. C. E. (place unknown). He traveled around Greece earning his living primarily as a teacher and perhaps advisor and lived in Athens for several years, where he associated with Pericles and other rich and influential Athenians. Pericles invited him to write the constitution for the newly founded Athenian colony of Thurii in 444 B. C. E. Many later legends developed around the life of Protagoras which are probably false, including stories concerning his having studied with Democritus, his trial for impiety, the burning of his books, and his flight from Athens.

2. Career

If our knowledge of Protagoras’ life is sparse, our knowledge of his career is vague. Protagoras was probably the first Greek to earn money in higher education and he was notorious for the extremely high fees he charged. His teaching included such general areas as public speaking, criticism of poetry, citizenship, and grammar. His teaching methods seemed to consist primarily of lectures, including model orations, analyses of poems, discussions of the meanings and correct uses of words, and general rules of oratory. His audience consisted mainly of wealthy men, from Athens’ social and commercial elites. The reason for his popularity among this class had to do with specific characteristics of the Athenian legal system.

Athens was an extremely litigious society. Not only were various political and personal rivalries normally carried forward by lawsuits, but one special sort of taxation, know as “liturgies” could result in a procedure known as an “antidosis” (exchange). A liturgy was a public expense (such as providinga ship for the navy or supporting a religious festival) assigned to one of the richest men of the community. If a man thought he had been assigned the liturgy unfairly, because there was a richer man able to undertake it, he could bring a lawsuit either to exchange his property with the other man’s or to shift the burden of the liturgy to the richer man. Since Athenians had to represent themselves in court rather than hiring lawyers, it was essential that rich men learn to speak well in order to defend their property; if they could not do so, they would be at the mercy of anyone who wanted to extort money from them. While this made the teachings of Protagoras extremely valuable, it also led a certain conservative faction (for example, the comic playwright Aristophanes) to distrust him, in the same way that people now might distrust a slick lawyer.

3. Doctrines

Protagoras’ doctrines can be divided into three groups:

  1. Orthoepeia: the study of the correct use of words
  2. Man-measure statement: the notion that knowledge is relative to the knower
  3. Agnosticism: the claim that we cannot know anything about the gods

a. Orthoepeia

Perhaps because the practical side of his teaching was concerned with helping students learn to speak well in the courtroom, Protagoras was interested in “orthoepeia” (the correct use of words). Later sources describe him as one of the first to write on grammar (in the modern sense of syntax) and he seems interested in the correct meaning of words, a specialty often associated with another sophist, Prodicus, as well. In the Protagoras, the Platonic dialogue named after the famous sophist which has both Protagoras and Prodicus as participants, Protagoras is shown interpreting a poem of Simonides, with special concern for the issue of the relationship between the writer’s intent and the literal meanings of the words. This method of interpretation was one which would be especially useful in interpreting laws and other written witnesses (contracts, wills, and so forth) in the courtroom. Unfortunately, we don’t have any actual writings by Protagoras on the topic.

b. Man-Measure Statement

Of the book titles we have attributed to Protagoras, only two, “Truth” (or “Refutations”) and “On the Gods” are probably accurate. Of Protagoras’ works, only a few brief quotations embedded in the works of later authors have survived. (The quotations of and reports about Protagoras below are referred to by their ‘Diels-Kranz,’ or ‘DK’ number, the usual way of referring to such fragments and testimonia. The Diels-Kranz numbering system is explained here.) Of Protagoras’ ipsissima verba (actual words, as opposed to paraphrases), the most famous is the homo-mensura (man-measure) statement (DK80b1): “Of all things the measure is man, of the things that are, that [or “how”] they are, and of things that are not, that [or “how”] they are not.” This precise meaning of this statement, like that of any short extract taken out of context, is far from obvious, although the long discussion of it in Plato’s Theaetetus gives us some sense of how ancient Greek audiences interpreted it. The test case normally used is temperature. If Ms. X. says “it is hot,” then the statement (unless she is lying) is true for her. Another person, Ms. Y, may simultaneously claim “it is cold.” This statement could also be true for her. If Ms. X normally lives in Alaska and Ms. Y in Florida, the same temperature (e. g. 25 Celsius) may seem hot to one and cool to the other. The measure of hotness or coldness is fairly obviously the individual person. One cannot legitimately tell Ms. X she does not feel hot — she is the only person who can accurately report her own perceptions or sensations. In this case, it is indeed impossible to contradict as Protagoras is held to have said (DK80a19). But what if Ms. Y, in claiming it feels cold, suggests that unless the heat is turned on the pipes will freeze? One might suspect that she has a fever and her judgment is unreliable; the measure may still be the individual person, but it is an unreliable one, like a broken ruler or unbalanced scale. In a modern scientific culture, with a predilection for scientific solutions, we would think of consulting a thermometer to determine the objective truth. The Greek response was to look at the more profound philosophical implications.

Even if the case of whether the pipes will freeze can be solved trivially, the problem of it being simultaneously hot and cold to two women remains interesting. If this cannot be resolved by determining that one has a fever, we are presented with evidence that judgments about qualities are subjective. If this is the case though, it has alarming consequences. Abstractions like truth, beauty, justice, and virtue are also qualities and it would seem that Protagoras’ dictum would lead us to conclude that they too are relative to the individual observer, a conclusion which many conservative Athenians found alarming because of its potential social consequences. If good and bad are merely what seem good and bad to the individual observer, then how can one claim that stealing or adultery or impiety or murder are somehow wrong? Moreover, if something can seem both hot and cold (or good and bad) then both claims, that the thing is hot and that the thing is cold, can be argued for equally well. If adultery is both good and bad (good for one person and bad for another), then one can construct equally valid arguments for and against adultery in general or an individual adulterer. What will make a case triumph in court is not some inherent worth of one side, but the persuasive artistry of the orator. And so, Protagoras claims he is able to “make the worse case the better” (DK80b6). The oratorical skills Protagoras taught thus had potential for promoting what most Athenians considered injustice or immorality.

c. Agnosticism

While the pious might wish to look to the gods to provide absolute moral guidance in the relativistic universe of the Sophistic Enlightenment, that certainty also was cast into doubt by philosophic and sophistic thinkers, who pointed out the absurdity and immorality of the conventional epic accounts of the gods. Protagoras’ prose treatise about the gods began “Concerning the gods, I have no means of knowing whether they exist or not or of what sort they may be. Many things prevent knowledge including the obscurity of the subject and the brevity of human life.” (DK80b4)

4. Social Consequences and Immediate Followers

As a consequence of Protagoras’ agnosticism and relativism, he may have considered that laws (legislative and judicial) were things which evolved gradually by agreement (brought about by debate in democratic assemblies) and thus could be changed by further debate. This position would imply that there was a difference between the laws of nature and the customs of humans. Although Protagoras himself seemed to respect, and even revere the customs of human justice (as a great achievement), some of the younger followers of Protagoras and the other Older Sophists concluded that the arbitrary nature of human laws and customs implies that they can be ignored at will, a position that was held to be one of the causes of the notorious amorality of such figures as Alcibiades.

Protagoras himself was a fairly traditional and upright moralist. He may have viewed his form of relativism as essentially democratic — allowing people to revise unjust or obsolete laws, defend themselves in court, free themselves from false certainties — but he may equally well have considered rhetoric a way in which the elite could counter the tendencies towards mass rule in the assemblies. Our evidence on this matter is unfortunately minimal.

The consequences of the radical skepticism of the sophistic enlightenment appeared, at least to Plato and Aristophanes, among others, as far from benign. In Aristophanes’ play, the Clouds, a teacher of rhetoric (called Socrates, but with doctrines based to a great degree on those of the Sophists, and possibly directed specifically at Protagoras or his followers) teaches that the gods don’t exist, moral values are not fixed, and how to make the weaker argument appear the stronger. The result is moral chaos — the main characters (Strepsiades and his son Pheidippides) in Clouds are portrayed as learning clever tricks to enable them to cheat their creditors and eventually abandoning all sense of conventional morality (illustrated by Pheidippides beating his father on stage and threatening to beat his mother). Although no one accused Protagoras himself of being anything other than honest — even Plato, who disapproved of his philosophical positions, portrays him as generous, courteous, and upright — his techniques were adopted by various unscrupulous characters in the following generation, giving sophistry the bad name it still has for clever (but fallacious) verbal trickery.

5. Influence

Protagoras’ influence on the history of philosophy has been significant. Historically, it was in response to Protagoras and his fellow sophists that Plato began the search for transcendent forms or knowledge which could somehow anchor moral judgment. Along with the other Older Sophists and Socrates, Protagoras was part of a shift in philosophical focus from the earlier Presocratic tradition of natural philosophy to an interest in human philosophy. He emphasized how human subjectivity determines the way we understand, or even construct, our world, a position which is still an essential part of the modern philosophic tradition.

6. References and Further Reading

a. Primary sources

  • Aristophanes. Clouds. Intro. and trans. by Carol Poster. In Aristophanes 3, ed. David Slavitt and Palmer Bovie. Philadelphia PA: University of Pennsylvania Press, 1999: 85-192.
  • Diels, Hermann. Die Fragmente der Vorsokratiker. Rev. Walther Kranz. Berlin: Weidmann, 1972-1973.
  • Diogenes Laertius. Lives Of Eminent Philosophers. Trans. R. D. Hicks. 2 vols. Cambridge MA: Harvard University Press, 1959.
  • Plato. Plato II: Laches, Protagoras, Meno, Euthydemus. Trans. W. R. M. Lamb. Cambridge MA: Harvard University Press, 1967.
  • Plato. Plato VII: Theaetetus, Sophist. Trans. H. N. Fowler. Cambridge MA: Harvard University Press, 1925.
  • Sextus Empiricus. Sextus Empiricus. Trans. R. G. Bury. 4 vols. Cambridge MA: Harvard University Press, 1953-59.
  • Sprague, Rosamund Kent, ed. The Older Sophists: A Complete Translation by Several Hands. Columbia SC: University of South Carolina Press, 1972.

b. Secondary sources

  • Guthrie, W. K. C. The Sophists. Cambridge: Cambridge University Press, 1971
  • de Romilly, Jaqueline. The Great Sophists In Periclean Athens. Trans. Janet Lloyd. Oxford: The Clarendon Press, 1992.
  • Kennedy, George. The Art Of Persuasion In Greece. Princeton: Princeton University Press, 1963.
  • Kerferd, G. B. The Sophistic Movement. Cambridge: Cambridge University Press, 1981.
  • Rankin, H. D. Sophists, Socratics & Cynics. London: Croom Helm, 1983.
  • Schiappa, Edward. Protagoras and Logos. Columbia S.C.: University of South Carolina Press 1991.

Author Information

Carol Poster
Email: cposter@english.fsu.edu
Florida State University
U. S. A.

Political Realism

Political realism is a theory of political philosophy that attempts to explain, model, and prescribe political relations. It takes as its assumption that power is (or ought to be) the primary end of political action, whether in the domestic or international arena. In the domestic arena, the theory asserts that politicians do, or should, strive to maximize their power, whilst on the international stage, nation states are seen as the primary agents that maximize, or ought to maximize, their power. The theory is therefore to be examined as either a prescription of what ought to be the case, that is, nations and politicians ought to pursue power or their own interests, or as a description of the ruling state of affairs-that nations and politicians only pursue (and perhaps only can pursue) power or self-interest.

Political realism in essence reduces to the political-ethical principle that might is right. The theory has a long history, being evident in Thucydides’ Pelopennesian War. It was expanded on by Machiavelli in The Prince, and others such as Thomas Hobbes, Spinoza, and Jean-Jacques Rousseau followed (the theory was given great dramatical portrayed in Shakespeare’s Richard III). In the late nineteenth century it underwent a new incarnation in the form of social darwinism, whose adherents explained social and hence political growth in terms of a struggle in which only the fittest (strongest) cultures or polities would survive. Political realism assumes that interests are to be maintained through the exercise of power, and that the world is characterised by competing power bases. In international politics, most political theorists emphasise the nation state as the relevant agent, whereas Marxists focus on classes. Prior to the French Revolution in which nationalism as a political doctrine truly entered the world’s stage, political realism involved the political jurisdictions of ruling dynasties, whilst in the nineteenth century, nationalist sentiments focused realists’ attentions on the development of the nation-state, a policy that was later extended to include imperialist ambitions on the part of the major Western powers-Britain and France, and even Belgium, Germany and the United States were influenced by imperialism. Nationalist political realism later extended into geo-political theories, which perceive the world to be divided into supra-national cultures, such as East and West, North and South, Old World and New World, or focusing on the pan-national continental aspirations of Africa, Asia, etc. Whilst the social darwinist branch of political realism may claim that some nations are born to rule over others (being ‘fitter’ for the purpose, and echoing Aristotle’s ruminations on slavery in Book 1 of the The Politics), generally political realists focus on the need or ethic of ensuring that the relevant agent (politician, nation, culture) must ensure its own survival by securing its own needs and interests before it looks to the needs of others.

To explore the various shades and implications of the theory, its application to international affairs is examined.

Descriptive political realism commonly holds that the international community is characterized by anarchy, since there is no overriding world government that enforces a common code of rules. Whilst this anarchy need not be chaotic, for various member states of the international community may engage in treaties or in trading patterns that generate an order of sorts, most theorists conclude that law or morality does not apply beyond the nation’s boundaries. Arguably political realism supports Hobbes’s view of the state of nature, namely that the relations between self-seeking political entities are necessarily a-moral. Hobbes asserts that without a presiding government to legislate codes of conduct, no morality or justice can exist: “Where there is no common Power, there is no Law: where no Law, no Injustice¼ if there be no Power erected, or not great enough for our security; every man will and may lawfully rely on his own strength and art, for caution against all other men.” (Hobbes, Leviathan, Part I, Ch.13 ‘Of Man’, and Part II, Ch.17, ‘Of Commonwealth’) Accordingly, without a supreme international power or tribunal, states view each other with fear and hostility, and conflict, or the threat thereof, is endemic to the system.

Another proposition is that a nation can only advance its interests against the interests of other nations; this implies that the international environment is inherently unstable. Whatever order may exists breaks down when nations compete for the same resources, for example, and war may follow. In such an environment, the realists argue, a nation has only itself to depend on.

Either descriptive political realism is true or it is false. If it is true, it does not follow, however, that morality ought not to be applied to international affairs: what ought to be does not always follow from what is. A strong form of descriptive political realism maintains that nations are necessarily self-seeking, that they can only form foreign policy in terms of what the nation can gain, and cannot, by their very nature, cast aside their own interests. However, if descriptive realism is held, it is as a closed theory, which means that it can refute all counter-factual evidence on its own terms (for example, evidence of a nation offering support to a neighbour as an ostensible act of altruism, is refuted by pointing to some self-serving motive the giving nation presumably has–it would increase trade, it would gain an important ally, it would feel guilty if it didn’t, and so on), then any attempt to introduce morality into international affairs would prove futile. Examining the soundness of descriptive political realism depends on the possibility of knowing political motives, which in turn means knowing the motives of the various officers of the state and diplomats. The complexity of the relationship between officers’ actions, their motives, subterfuge, and actual foreign policy makes this a difficult if not impossible task, one for historians rather than philosophers. Logically, the closed nature of descriptive realism implies that a contrary proposition that nations serve no interests at all, or can only serve the interests of others, could be just as valid. The logical validity of the three resulting theories suggests that preferring one position to another is an arbitrary decision-i.e., an assumption to be held, or not. This negates the soundness of descriptive realism; it is not a true or false description of international relations but is reduced to an arbitrary assumption. Assumptions can be tested against the evidence, but in themselves cannot be proved true or false. Finally, what is the case need not be, nor need it ought to be.

That the present international arena of states is characterized by the lack of an overarching power is an acceptable description. Evidentially, war has been common enough to give support to political realism-there have been over 200 wars and conflicts since the signing of the Treaty of Westphalia in 1648. The seemingly anarchic state of affairs has led some thinkers to make comparisons with domestic anarchy, when a government does not exist to rule or control a nation. Without a world power, they may reason, war, conflict, tension, and insecurity have been the regular state of affairs; they may then conclude that just as a domestic government removes internal strife and punishes local crime, so too ought a world government control the activities of individual states-overseeing the legality of their affairs and punishing those nations that break the laws, and thereby calming the insecure atmosphere nations find themselves in. However, the ‘domestic analogy’ makes the presumption that relations between individuals and relations between states are the same. Christian Wolff, for example, holds that “since states are regarded as individual free persons living in a state of nature, nations must also be regarded in relation to each other as individual free persons living in a state of nature.” (Jus Gentium Methodo Scientifica Pertractatum Trans. Joseph Drake. Clarendon Press: Oxford, 1934, §2, p.9). Such an argument involves the collectivization of individuals and/or the personification of states: realism may describe nations as individuals acting upon the world stage to further their own interests, but behind the concept of ‘France’ or ‘South Africa’ exist millions of unique individuals, who may or may not agree with the claims for improving the national interest. Some (e.g., Gordon Graham, Ethics and International Relations, 1997) claim that the relationships between states and their civilians are much more different than those between nation states, since individuals can hold beliefs and can suffer whereas states cannot. If the domestic analogy does not hold, arguably a different theory must be proposed to explain the state of international affairs, which either means revising political realism to take into account the more complex relationship between a collective and individual entities, or moving to a alternative theory of international relations.

Beyond the descriptive propositions of political realism, prescriptive political realism argues that whatever the actual state of international affairs, nations should pursue their own interests. This theory resolves into various shades depending on what the standard of the national interest is claimed to be and the moral permissibility of employing various means to desired ends. Several definitions may be offered as to what ought to comprise the national interest: more often than not the claims invoke the need to be economically and politically self-sufficient, thereby reducing dependency on untrustworthy nations.

The argument in supporting the primacy of self-sufficiency as forming the national interest has a long history: Plato and Aristotle both argued in favour of economic self-sufficiency on grounds of securing a nation’s power-nations, they both reasoned, should only import non-necessary commodities. The power of this economic doctrine has been often been used to support political realism: in the eighteenth century especially, political theorists and mercantilists maintained that political power could only be sustained and increased through reducing a nation’s imports and increasing its exports. The common denominator between the two positions is the proposition that a nation can only grow rich at the expense of others. If England’s wealth increases, France’s must concomitantly decrease. This influential tier supporting political realism is, however, unsound. Trade is not necessarily exclusively beneficial to one party: it is often mutually beneficial. The economists Adam Smith and David Ricardo explained the advantages to be gained by both parties from free, unfettered trade. Nonetheless, the realist may admit this and retort that despite the gains from trade, nations should not rely on others for their sustenance, or that free trade ought not to be supported since it often implies undesired cultural changes. In that respect, the nation’s interests are defined as lying over and above any material benefits to be gained from international collaboration and co-operation. The right to a separate cultural identity is a separate

Political realists are often characterised as a-moralists, that any means should be used to uphold the national interest, but a poignant criticism is that the definition of morality is being twisted to assume that acting in one’s own or one’s nation’s interests is immoral or amoral at best. This is an unfair claim against serving one’s national interest, just as claiming that any self-serving action is necessarily immoral on the personal level. The discussion invokes the ethics of impartiality; those who believe in a universal code of ethics argue that a self-serving action that cannot be universalized is immoral. However, universalism is not the only standard of ethical actions. Partiality, it can be claimed, should play a role in ethical decisions; partialists deem it absurd that state officials should not give their own nation greater moral weight over other nations, just as it would be absurd for parents to give equal consideration to their children and others’ children. But if morality is employed in the sense of being altruistic, or at least universalistic, then political realists would rightly admit that attempting to be moral will be detrimental to the national interest or for the world as a whole, and therefore morality ought to be ignored. But, if morality accepts the validity of at least some self-serving actions, then ipso facto political realism may be a moral political doctrine.

Author Information

Alexander Moseley
Email: alexandermoseley@icloud.com
United Kingdom

Political Philosophy: Methodology

political_philosophyPolitical philosophy begins with the question: what ought to be a person’s relationship to society? The subject seeks the application of ethical concepts to the social sphere and thus deals with the variety of forms of government and social existence that people could live in – and in so doing, it also provides a standard by which to analyze and judge existing institutions and relationships.

Although the two are intimately linked by a range of philosophical issues and methods, political philosophy can be distinguished from political science. Political science predominantly deals with existing states of affairs, and insofar as it is possible to be amoral in its descriptions, it seeks a positive analysis of social affairs – for example, constitutional issues, voting behavior, the balance of power, the effect of judicial review, and so forth. Political philosophy generates visions of the good social life: of what ought to be the ruling set of values and institutions that combine men and women together. The subject matter is broad and connects readily with various branches and sub-disciplines of philosophy including philosophy of law and of economics. This introduction skims the most relevant theories that the student of political philosophy is likely to encounter. The article covers Liberalism, Conservativism, Socialism, Anarchism, and Environmentalism.

Table of Contents

  1. Ethical Foundations
  2. Methodological Issues
  3. Political Schools of Thought
    1. Liberalism
    2. Conservatism
    3. Socialism
      1. Central Ownership
      2. The Moral Critique of Capitalism
    4. Anarchism
    5. Environmentalism
  4. Conclusion

1. Ethical Foundations

Political philosophy has its beginnings in ethics: in questions such as what kind of life is the good life for human beings. Since people are by nature sociable – there being few proper anchorites who turn from society to live alone – the question follows as to what kind of life is proper for a person amongst people. The philosophical discourses concerning politics thus develop, broaden and flow from their ethical underpinnings.

To take a few examples: the ethical utilitarian claims that the good is characterized by seeking (that is, attempting to bring about) the greatest amount of happiness for the greatest number of people (see consequentialism). Accordingly, in the political realm, the utilitarian will support the erection of those institutions whose purpose is to secure the greatest happiness for the greatest number. In contrast, an ethical deontologist, who claims that the highest good is served by our application of duties (to the right or to others), will acknowledge the justification of those institutions that best serve the employment of duties. This is a recognizable stance that merges with human rights theorists’ emphasis on the role of rights (to or from actions and/or things). In turn an ethical relativist will advocate a plurality of institutions (within a nation or around the world), whereas an ethical objectivist will condemn those that are seen to be lacking a universally morally proper purpose (for example, those that support certain inalienable rights).

As ethics is also underpinned by metaphysical and epistemological theories, so too can political philosophy be related to such underlying theories: theorizing on the nature of reality and of how we know things logically relates to how we do things and how we interact with others. The greatest and most persistent ethical-political issue that divides philosophers into a host of schools of thought is that concerning the status of the individual: the ethical ‘person’. Although the variety and subtleties of this area of thought cannot be examined here, suffice it to say that philosophers divide between those who deem the individual person as sacrosanct (that is, ethically and thus politically so) and those who consider the individual to be a member of a group (and accordingly for whom the group takes on a sacred status). Others consider political institutions to be sacred in their own right but this is hardly a tenable position: if humanity did not exist such institutions would be meaningless and hence can only gain their meaning from our existence. The key question that divides political philosophers returns to whether it is the group or the individual that should be the political unit of analysis.

The language used by the opposing thinkers to describe the political primacy of their entity (that is, individual or group) alters throughout history depending on other competing or complementing concepts; but today the division is best characterized by the “rights of the individual” versus the “rights of the group.” Other appropriate terms include: the dignity of the individual; the duties and obligations owing to the group; the autonomy or self-determination of the group or individual – and these in turn resolve into particular and applied issues concerning the role of cultural, racial, religious, and sexual orientations. In political theory courses, the debate proceeds today between communitarians and liberals who debate the middle ground of rights and obligations as they stretch between groups and individuals.

This caricature of extremes enables us to consider the differences and the points of agreement between the several schools of political philosophy in a better light. But as with generalizations made of historical events, the details are much more complicated and subtle. This is because the application of philosophy in the political realm necessarily deals with social institutions, and since people are sociable – indeed could hardly be said to be human if we possessed no society or culture – both extremes must examine and evaluate the social-ethical realms of selfhood, friendship, family, property, exchange, money (that is, indirect exchange), community, tribe, race, association, and the state (and its various branches) – and accordingly the individual’s relationship with each.

2. Methodological Issues

In pursuing a philosophical examination of political activity, philosophers also divide between those who are methodological individualists and those who are methodological holists. Methodological individualists seek to explain social actions and behavior in terms of individual action – and politically are known as individualists, whereas holists seek to explain behavior by considering the nature of the group. The bifurcation results from a metaphysical division on the appropriate unit of study. In contrast to methodological individualists, who claim that a society (or culture, people, nation) is no more than the sum of its living members, holists argue that the whole is greater than the sum of the parts, which in the political realm is translated into the state being greater than the citizenry, or the race, folk, or people being greater than the individual; politically, holism translates into the general theory known as “collectivism,” and all collectivist theories deny or lessen the value and authority of the individual in relation to the higher status accorded a collective entity. Methodological individualism translates into political individualism, in which the individual’s cultural or group membership is either rejected completely as not worthy of study or its causal or scientific relationship is deemed too amorphous or pluralistic and changing to provide anything by qualitative assessments of social affairs.

Simmering in the background, it must also be noted, are theological-political philosophies that deny any primacy to the individual or to the group in favor of the supreme status of the divine realm. Yet these too must also split between individualist and holist conceptions of the individual (or of the soul) and for our purposes here can be said to follow the same dialogue as secular oriented political philosophers. Once theologians admit to having to have some kind of government or rule for the living on earth, the general debate of political philosophy can be admitted and expounded upon to define the good life for people amongst people.

A second important methodological issue that relates both to epistemology as well as to ethics is the role that reason plays in social affairs. The extreme positions may be characterized as rationalism and irrationalism, but the descriptions are not necessarily logical opposites. A rationalist may declare his belief in rationalism to be ultimately irrational (for example, Karl Popper), and an irrationalist may act rationally.

Political rationalism emphasizes the employment of reason in social affairs: that is, individuals ought to submit to the logic and universality of reason rather than their own subjective or cultural preconceptions. Rationalists argue that reason unifies humanity politically and hence is a conducive vehicle to peace. Irrationalists, on the other hand, downplay the efficacy of reason in our human affairs or more particularly in our social affairs. In turn, a broad range of alternatives are put forward in reason’s stead: emotions; cultural, religious, or class expectations; atavistic symbols; or mystical forms of intuition or knowledge. Irrationalists of all hues can also criticize rationalists for ignoring the subtle wisdom of intellectual and social heritage that often lies beneath contemporary society or which is deemed necessary for the reasoning mind; politically, they consider the demands of reason to be rationalizations of a particular culture (usually the criticism is leveled against the West) rather than demands that are universal or universalizable claiming that political solutions that appear rational to one group cannot necessarily be translated as solutions for another group.

Some irrationalists uphold polylogism – the theory that there are (or ought to be) more than one form of logic, which ultimately collapses into an epistemological subjectivism. That is, tribal logic is predicated on the separateness or distinctiveness of particular groups’ logic or methods of discourse and thinking. However, other irrationalists deny that the human mind develops alternative logics around the world, but that human action does develop alternative methods of living in different places and from different historical circumstances. Politically this stance translates into conservativism, a philosophical stance that is skeptical of rationalist designs (say to overthrow all political institutions so as to begin ‘afresh’ according to some utopian blueprint) and which emphasizes the continuity of wisdom – as contained in institutions and the language of politics – over the generations and in specific localities.

To return to the epistemological problems facing holism, the existence of overlapping loyalties that often characterize groups presents a strong criticism against collectivist doctrines: which group ought to be the subject of analysis when an individual belongs to more than one sociological entity? (Marx, for instance, based his philosophy on class analysis but did not give any precision to the term ‘class’.) If an epistemological relativism is permitted, say in the field of logic (“European logic is different from American”), further analysis must permit more particular gradations (“German logic is different from French logic” and “Bavarian logic is different from Schleswig-Holstein logic”) until one reaches the final thinking agent – the individual (“Franz’s logic is different from Katja’s”). The rationalist aspires to avoid such fractional implications of polylogism by maintaining the unity of human logic. Yet, if the rationalist is also an individualist, the paradox arises that individuals are united into the collective whole of rational beings (all individuals share reason), whereas irrationalism collapses into a plurality of individualistic epistemologies (all groups are ultimately composed of subjectivists).

Nonetheless, between individualists (who emphasize the sacred status of the individual) and collectivists (who emphasize the sacred status of the group) exist a panoply of schools of thought that derive their impetus from the philosophical shades – the gray overlapping areas, which are today found in the perpetual disputes between individualists and communitarians.

3. Political Schools of Thought

Having illuminated some of the extremes that characterize political philosophy with regards to method and terminology, the major schools of thought can be introduced. What will be noted is not just to which end of the methodological spectrum the school leans, but also its implied connections to ethics. Similarly, other aspects need to be elucidated: does the school emphasize the primacy of reason in social affairs, or does it underplay the role of reason in political affairs in favor of the forces of history, heritage, emotional or tribal predispositions?

a. Liberalism

The term “liberalism” conveys two distinct positions in political philosophy, the one a pro-individualist theory of people and government, the second a pro-statist or what is better termed a “social democratic” conception. Students of political philosophy ought to be aware of the two schools of thought that reside under the same banner to avoid philosophical confusions that can be resolved by a clarification of terms. The “Great Switch,” as cultural historian Jacques Barzun notes, took place in the late Nineteenth Century, a switch which was the product of shifting the political ground towards socialist or social democratic policies under the banner of liberal parties and politics.

Etymologically, the former is the sounder description since liberalism is derived from the word “liberty,” that is, freedom and toleration rather than notions of justice and intervention that took on board in the Twentieth Century. Yet, the pro-statist connotation pervades modern thinking so much so that it is difficult to separate its notions from the previous meanings without re-classifying one or the other. The former is often referred to as ‘classical liberalism’ leaving the latter unchanged or adapted to “social democratic liberalism,” which is a rather confusing mouthful; “modern liberalism” is an easier term to wield and shall be used unless the emphasis is laid upon the socialist leanings of such modern liberals.

In the broadest, presently popularly accepted term the modern liberal accepts rights against the person and rights to entitlements such as health care and education. The two positions do not sit well philosophically however, for they produce a host of potential and recurrent inconsistencies and contradictions that can only be resolved by stretching the definition of freedom to include the freedom to succeed (or freedom to resources) rather than the freedom to try. This sometimes generates difficult and perhaps insurmountable problems for those who seek to merge the classical and modern doctrines; nonetheless, the (modern) liberal project is actively pursued by modern thinkers such as J.S. Mill, John Rawls, Will Kymlicka, Ronald Dworkin and others. For these writers, the historical emphasis on toleration, plurality and justice underscore their work; they differ on their interpretation of toleration, public and private roles, and the perceived need for opportunities to be created or not. Some modern liberals, however, do try to remove themselves from classical liberalism (for example, Kymlicka) and therefore become more like ‘social democrats’, that is, humanitarians of a socialist bent who assert the primacy of minorities and even individuals to partake freely in the democratic processes and political dialogues, or whose emphasis on equality demands an active and interventionist state that classical liberals would reject.

Dworkin, for example, claims justice is the essential motif of liberalism and that the state’s duty is to ensure a just and fair opportunity for all to compete and flourish in a civil society. That may require active state intervention in some areas – areas that classical liberals would reject as being inadmissible in a free economy. Dworkin’s position emanates from Aristotle’s ethical argument that for a person to pursue the good life he requires a certain standard of living. Poverty is not conducive to pursuing the contemplative life, hence many modern liberals are attracted to redistributive or welfare policies. Such fairness in opportunity to create equal opportunities underpins John Stuart Mill’s liberalism for example. However, the modern liberal’s emphasis on equality is criticized by classical liberals who argue that people are neither born equal nor can be made equal: talents (and motivation) are distributed unequally across a population, which means that attempts to reduce men and women to the same status will imply a reduction in the ability (or freedom) of the more talented to act and to strive for their own progression. Similarly, the modern liberal’s criticism of inherited wealth is chastised as being misplaced: although the policy connects well to the desire to ensure an equal start for all, not all parents’ gifts to their children are monetary in nature. Indeed, some, following Andrew Carnegie’s self-help philosophy, may contend that monetary inheritances can be counter-productive, fostering habits of dependency.

Both modern and classical liberals may refer to the theory of a social contract to justify either their emphasis on the free realm of the individual or the fostering of those conditions liberals in general deem necessary for human flourishing. Classical liberals derive their theory of the social contract initially from Thomas Hobbes’s model (in Leviathan) in which individuals in a state of nature would come together to form a society. Liberals of both variations have never believed such a contract ever took place, but use the model to assess the present status of society according to criteria they believe the contract should include. Hobbes leaned towards a more authoritarian version of the contract in which individuals give up all political rights (except that of self-preservation which he sees as a natural, inalienable right) to the sovereign political body whose primary duty is to ensure the peace; John Locke leaned towards a more limited government (but one that could justly take the alienable life of an aggressor); Rousseau sought a thoroughly democratic vision of the social contract; and more recently Rawls has entertained what rights and entitlements a social contract committee would allot themselves if they had no knowledge and hence prejudices of each other.

Both classical and modern liberals agree that the government has a strict duty towards impartiality and hence to treating people equally, and that it should also be neutral in its evaluation of what the good life is. This neutrality is criticized by non-liberals who claim that the assumed neutrality is in fact a reflection of a specific vision of human nature or progress, and although critics disagree what that vision may entail, their claim prompts liberals to justify the underlying assumption that promotes them to accept such issues as: equal treatment by the law and by the state; liberty to pursue one’s life as one sees fit; the right to private property, and so on.

Nonetheless, broad liberalism accepts and emphasizes that people ought to be tolerant towards their fellow men and women. The modern importance of toleration stems from the Renaissance and post-Reformation reactions to the division in the Church and the ensuing persecutions against heterodoxy. Freedom in religious belief extends to other realms of human activity that do not negatively affect neighbors, for example in sexual or romantic activities, the consumption of narcotics, and the perusal of pornography. But what is philosophically more important is that the liberal doctrine of toleration permits the acceptance of errors – that in pursuing the ethical good life and hence the appropriate political life, people may make mistakes and should be permitted to learn and adapt as they see fit; or, alternatively, that people have a right to live in ignorance or to pursue knowledge as they think best. This is held in common with political conservatives who are somewhat more pessimistic and skeptical of our abilities than most liberals. Classical and modern liberals do unite in expressing a skepticism towards experts knowing what is in the best interest of others, and thus liberals tend to reject any interference in people’s lives as unjustifiable and, from utilitarian point of view, counter-productive. Life, for the liberal, should be led from the inside (self-oriented) rather than outside (other- imposed); but modern liberals add that individuals ought to be provided with the resources to ensure that they can live the good life as they see fit. The classical liberal retort is who will provide those resources and to what age should people be deemed incapable of learning or striving by themselves?

Despite such differences over policy, liberals – of both the social democratic and classical strain – predominantly hold an optimistic view of human nature. In modern philosophy the position is derived from Locke’s psychological theory from An Essay on Human Understanding that people are born without innate ideas and hence his environment, upbringing, and experiences fashion him: for classical liberals this implies a thorough rejection of inherited elitism and hence of supposed natural political hierarchies in which power resided with dynasties; for modern liberals this implies the potential for forging appropriate conditions for any individual to gain a proper education and opportunities.

Liberals applaud those institutions that reason sustains as being conducive to human freedoms: classical liberals emphasizing those institutions that protect the negative freedoms (rights against aggression and theft) and social democratic liberals the positive freedoms (rights to a certain standard of living). If an institution is lacking according to a critical and rational analysis – failing in its duty to uphold a certain liberal value – then it is to be reorganized for the empowerment of humanity. At this juncture, liberals also divide between deontological (Rawls) and utilitarian theorists (Mill). Most classical liberals ascribe to a general form of utilitarianism in which social institutions are to be reorganized along lines of benefiting the greatest number. This attracts criticism from conservatives and deontologists – according to what ends? – according to whose analysis? – comprising which people? and so on. Deontologists are not precluded from supporting liberalism (Immanuel Kant is the most influential thinker in that regard), for they hold that the proper society and hence political institutions should generate those rules and institutions that are right in themselves, regardless of the particular presumed ends we are seeking (for example, happiness).

Modern liberals lean towards a more interventionist government, and as such they place more emphasis on the ability of the state to produce the right political sphere for humanity and thusly emphasize reform projects more than classical liberals or conservatives. Peace, to choose one example, could be brought to warring peoples or natives if only they admit to the clearly defined and rational proposals of the liberal creed – that is, they should release themselves from parochial prejudices and superstitions and submit to the cosmopolitanism of liberal toleration and peace. The variants here – as in the host of applied subjects – are broad ranging: some liberals espouse the need to secure peace through the provision of a healthy standard of living (effected by appropriate redistribution policies from rich countries to poor); others promote the free market as a necessary condition for the growth of the so-called “soft morals” of commerce; while others emphasize the need for dialogue and mutual understanding through multi-cultural educational programs. These kind of programs, the modern liberals argue, ideally should be implemented by the world community through international bodies such as the UN rather than unilaterally which could arouse complaints against imperialist motives; however, once the beneficial classical or modern liberal framework is created, the state and political institutions ought to remain ethically neutral and impartial: the state is to be separated from imposing itself on or subsidizing any belief system, cultural rites, forms of behavior or consumption (so long as they do not interfere in the lives of others).

The liberal seeks the best form of government which will permit the individual to pursue life as he or she sees fit within a neutral framework, and it is the possibility of a neutral framework that critics challenge the liberal ideal.

b. Conservatism

This approach plays down the unifying or omniscient implications of liberalism and its unifying rationalism and thus accords institutions or modes of behavior that have weathered the centuries a greater respect than liberals. Politically, philosophical conservatives are cautious in tampering with forms of political behavior and institutions and they are especially skeptical of whole scale reforms; they err on the side of tradition, but not for tradition’s sake, but from a skeptical view of our human ability to redesign whole ranges of social values that have evolved over and adapted to many generations; detrimental values will, conservatives reason, fall into disuses of their own accord.

The first issue facing the conservative is: what ought to be secured (against, say, a popular but misguided temporary rebellion)? How long does an institution have to exist before it gains the respect of the philosophical conservative? Here, the philosopher must refer to a deeper level of analysis and proceed to question the nature and purpose of the institution in light of some standard. Liberalism turns to reason, which is broadly accepted as the unifying element to human societies, but conservatives believe that reason can be highly overestimated for it belongs to single individuals and hence to their own political motives, errors, prejudices and so on.

Conservatives typically possess a pessimistic vision of human nature, drawing on the modern tradition, on Hobbes’s belief, that were it not for strong institutions, men would be at each others’ throats and would constantly view one another with deep suspicion. (Their emphasis is thus not on the ensuing hypothetical pacifying social contract but on the prevalence of fear in human society). Conservatives are highly skeptical of power and man’s desire to use it, for they believe that in time it corrupts even the most freedom loving wielders: hence, the potential accession to any position of supreme power over others, whether in the guise of a national or international chamber, is to be rejected as being just as dangerous a state as Hobbes’s vision of the anarchic state of nature. Conservatives thus applaud those institutions that check the propensity for the stronger or the megalomaniacal to command power: conservatives magnify the suspicion one may hold of one’s neighbor. Critics – for example, of an anarchist or socialist strain – claim that such fears are a product of the presiding social environment and its concomitant values and are not the product of human nature or social intercourse per se. Such opponents emphasize the need to reform society to release people from a life of fear, which conservatives in turn consider a utopian pipe dream unbefitting a realistic political philosophy.

For conservatives, the value of institutions cannot always be examined according to the rational analysis of the present generation. This imposes a demand on conservatism to explain or justify the rationale of supporting historical institutions. Previously, conservatives implicitly or explicitly reverted to the myths of our human or of a particular culture’s origins to give present institutions a sacred status – or at least a status worthy of respect; however, evolutionary thinkers from the Scottish Enlightenment (for example, Adam Ferguson), whose insights noted the trial and error nature of cultural (and hence moral and institutional) developments generated a more precise and historically ratifiable examination of institutions and morals – see the work of Friedrich Hayek especially.

Accordingly, in contrast to many liberals, conservatives decry the notion of a social contract – or even its possibility in a modern context. Since societies evolve and develop through time, present generations possess duties and responsibilities whose origins and original reasons may now be lost to us, but which, for some thinkers, still require our acceptance. Justifying this is problematic for the conservative: present cultural xenophobia may emanate from past aggressions against the nation’s territory and may not serve any present purpose in a more commercial atmosphere; or present racism may emerge from centuries of fearful mythologies or again violent incursions that no longer are appropriate. But conservatives reply that since institutions and morals evolve, their weaknesses and defects will become apparent and thereby will gradually be reformed (or merely dropped) as public pressure against them changes. What the conservative opposes is the potential absolutist position of either the liberal or the socialist who considers a form of behavior or an institution to be valid and hence politically binding for all time.

Conservatives thus do not reject reform but are thoroughly skeptical of any present generation’s or present person’s ability to understand and hence to reshape the vast edifices of behavior and institutions that have evolved with the wisdom of thousands of generations. They are thus skeptical of large scale planning, whether it be constitutional or economical or cultural. Against socialists who become impatient with present defects, the conservatives counsel patience: not for its own sake, but because the vast panoply of institutions that are rallied against – including human nature – cannot be reformed without the most detrimental effects. Conservatives – following Edmund Burke – thus typically condemn revolutions and coups as leading to more bloodshed and violence than that which the old regime produced.

Some conservatives argue that a modicum of redistribution is required to ensure a peaceful non-revolutionary society. Whereas modern liberals justify redistribution on the grounds of providing an initial basis for human development, conservatives possess a pragmatic fear of impoverished masses rising up to overthrow the status quo and its hierarchy stems from the conservative reaction to the French Revolution. The conservative critique by Edmund Burke was particularly accurate and prescient, yet the Revolution also served to remind the political hierarchy of its obligations (noblesse oblige) to the potentially violent masses that the revolt had stirred up. The lesson has not been lost on modern conservative thinkers who claim that the state has certain obligations to the poor – including perhaps the provision of education and health facilities, or at least the means to secure them. In contrast to socialists though (with whom some conservatives may agree with a socialized system of poor relief), conservatives generally prefer to emphasize local and delegated redistribution schemes (perhaps even of a wholly voluntary nature) rather than central, state directed schemes.

In affinity with classical liberals, conservatives often emphasize the vital importance of property rights in social relations. Liberals tend to lean towards the utilitarian benefits that accrue from property rights (for example, a better distribution of resources than common ownership or a method of providing incentives for further innovation and production), whereas conservatives stress the role private property in terms of its ability to check the power of the state or any other individual who seeks power. Conservatives see private property as a sacred, intrinsically valuable cornerstone to a free and prosperous society.

The broad distribution of private property rights complements the conservative principle that individuals and local communities are better assessors of their own needs and problems than distant bureaucrats. Since conservatives are inherently skeptical of the state, they prefer alternative social associations to support, direct, and assist the maturation of civilized human beings, for example, the family, private property, religion, as well as the individual’s freedom to make his own mistakes.

Conservatives of the English Whig tradition (Locke, Shaftesbury) have much in common with classical liberals, whereas conservatives of the English Tory tradition have more in common with modern liberals, agreeing to some extent with the need for state intervention but on pragmatic rather than necessary grounds. Those of the Whig tradition accordingly ally themselves more with individualism and rationalism than Tory conservatives, who emphasize community and ‘one-nation’ politics and its corresponding duties and responsibilities for the individual. The two, initially opposing doctrines, merged politically in the late Nineteenth Century as liberalism shifted its ground to incorporate socialist policies: the two sides of conservativism enjoyed a particularly visible and vocal clash in the late Twentieth Century in the political reign of Margaret Thatcher in the United Kingdom.

c. Socialism

The term “socialist” describes a broad range of ideas and proposals that are held together by a central overarching tenet: the central ownership and control of the means of production – either because central ownership is deemed more efficient and/or more moral. Secondly, socialists agree that capitalism (free-market conservativism or liberalism) is morally and hence politically flawed. Thirdly, some socialists of the Marxist persuasion argue that socialism is the final historical era that supplants capitalism before proper communism emerges (that is, a “historicist” conception). This section will focus on the first two claims.

i. Central Ownership

Politically, socialists claim that the free market system (capitalism) should be replaced or reformed, with most arguing for a radical redistribution of resources (usually to “workers” – that is, those socialists deem who do not presently own anything) and for the state or some form of democratic institution to take over the running of the economy. In the aftermath of Communism’s collapse – which is a point of conjecture amongst the historicist Marxist wing as to whether the Soviet system was truly communist or socialist – many socialists abandoned state ownership and control of economic resources in favor of alternative projects that proposed to be more flexible, democratic and decentralized. Economists of the Austrian school (notably Ludwig Mises and Friedrich Hayek) had long predicted the inexorable collapse of socialism because of its inability in the absence of market generated price mechanisms to plan resource distribution and consumption efficiently or effectively. Socialist economists such as Oskar Lange accepted the important critique and challenge but pushed on with state controlled policies in the belief that theoretically the markets’ prioritization of values through prices could by replaced by complex economic modeling: for example, Leontieff input-output models in which priorities are given values by either the central authorities, or in more modern turns with the socialist movement, by more decentralized institutions such as worker co-operatives.

Despite the empirical challenge of the collapse of the Soviet system – and more importantly the failure of centrally controlled economies throughout the West and the Third World, socialists have rallied to parade alternative conceptions of the communal ownership and control of resources. Market socialism, for instance, tolerates a predominantly market system but demands that certain ‘essential’ resources be controlled by the state. These may then act to direct the general economy along politically desirable roads: for example, expanding technology companies, educational and health services, or the economic and physical infrastructure of the nation. Others argue that while markets should predominate, the state should control only the investment industry. However, the economists’ critique that state intervention produces not only an inefficient outcome but also an outcome that the planners themselves do not desire is extendable to all instances of intervention – and especially any interventions in investment, where the complexity of the price mechanism deals not just with consumers’ and producers’ present preferences but also their more subtle intertemporal preferences for present and future consumption.

In the face of a growing indictment (and unpopularity) of central planning, many socialists have preferred instead to concentrate on altering the presiding property relationships demanding that companies be given over to the workers rather the assumed exploitative capitalist classes. Resources, most socialists claim, need to be radically redistributed.

Worker control socialism (worker control capitalism) sees the way forward through worker owned and operated businesses, usually small-scale and run on a democratic basis. Legislative proposals that demand more discussion and agreement between management and staff are a reflection of such beliefs. However, the policy to give control to the workers presumes (a) the workers are a definable class deserving of a greater moral and hence political status than presently they are assumed to enjoy (which ethically would have to be established) and (b) that the workers are permanently in a condition of being either employed or exploited (perhaps by the same commercial concerns) and that they themselves do not wish to or actually do set up their own businesses or move between employees. An individual can at the same time be an employer, an employee, a worker and a capitalist and since individuals can move between the economic classes scientific precision is reduced and even abandoned.

The strongest critique of socialist plans for the redistribution of income – coming from within and without the camp’s discussions – is on what moral or political criteria resources ought to be distributed. The pervading clarion call of Marx that resources ought to be distributed from each according to his ability to each according to his need does not offer any guide as to what should constitute a need. Social democrats may point to the disabled as deserving resources they are not in a position – through no fault of their own – to attain; but psychological disorders can be just as debilitating. Others generate more complex arguments. For example, the deserving are those who have historically been persecuted. But this raises the problem of how far back in history one ought to proceed as well as a host of ethical ramifications of being born either guilty (and somehow deserving moral and economic reprobation) or needy (and somehow deserving unearned resources – which certainly presents a paradox for most socialists, who in Nineteenth Century Europe castigated the aristocratic classes for their unearned incomes).

The gravest criticism leveled against all arguments for a redistribution of resources, even assuming that the criteria could be agreed upon, is that, in the absence of perpetual and strict controls resources will eventually become unevenly distributed; Robert Nozick presents a strong challenge to socialists in his Anarchy, State, and Utopia, asking what would be wrong with a voluntary redistribution in favor of say, supporting an excellent basketball player, which would result in an uneven distribution. Socialists may thus either have to accept the persistence of continual redistribution of incomes and resources within a given band of tolerance, or to accept a permanent inequality of income and resource ownership once voluntary exchanges are allowed. Faced with such criticisms, socialists can resort to arguments against the morality of capitalism or the free market.

ii. The Moral Critique of Capitalism

The initial unequal distribution of talent, energy, skills, and resources is not something that socialists usually focus their moral critique upon. Rather they comment on the historical developments that led to an unequal distribution of wealth in favor of some individuals or nations. War and exploitation by the powerful, they argue, unfurled an immoral distribution, which reformers would prefer to correct so as to build society on a more moral basis: not all would claim that socialism then becomes necessary (or that socialism provides the only evaluation of historical injustices); but socialists often refer to the historical injustices that have kept the down trodden and meek poor and oppressed as a justification for present reforms or critique of the status quo. Proposals are wide-ranging on how a society should redistribute resources as are the proposals to ensure present and future generations are permitted at least equal access to a specified standard of living or opportunities – here moderates overlap with left wing or social democratic liberals and pragmatic conservatives, who believe in the primacy of freedom but with a modicum of redistribution to ensure that all children get a fair start in life.

Defining fairness, however, is problematic for all socialists: it brings to the fore the issues outlined above – of what standards and policies and justifications are appropriate. If socialists depart from such intricacies they can assert that capitalism is morally flawed at its core – say, from its motivational or ethical underpinnings. The most popular criticism leveled against capitalism (or classical liberalism) is the unethical or selfish material pursuit of wealth and riches. Socialists often decry the ethical paucity of material values or those values that are assumed to characterize the capitalist world: competition and profit seeking and excessive individualism. Socialists prefer collective action over individual action, or at least individual action that is supportive of group rather than personal or selfish values. Nonetheless, most socialists shy away from espousing an anti-materialist philosophy; unlike environmentalists (see below): most support the pursuit of wealth but only when created by and for the working class (or in less Marxist terminology, the underrepresented, the underdog, the oppressed, or the general “poor”). They are often driven by a vision of a new golden age of riches that pure socialism will generate (how that will be so without the price mechanism is the subject of socialist economics). Some, however, do desire a lower standard of living for all – for the return to a simpler, collective life of earlier days; these socialists perceive a better life to be held in a medieval socialism of local trade patterns and guilds. Such ascetically leaning socialists have much in common with environmentalism.

Regardless of the moral problem of perpetual unequal distributions, socialists have an optimistic vision of what we can be – perhaps not what he now is (exploitative or oppressed), but of what he is capable of once society is reformed along socialist lines. Marxists, for example, assume that inconsistent or hypocritical bourgeois values will disappear; in their stead, any class-based morality will disappear (for class distinctions will disappear) but the particularities of what will guide ethical behavior is not readily explored – Marx avoided the topic, except to say that men will consider each other as men and not as working class or bourgeois. Most assume that socialism will end the need for family, religion, private property and selfishness – all opiates of the unawakened masses that keep them in a state of false consciousness: accordingly, free love, resources, food for all, unhindered talent and personal development, and enlightened collectivism will rule. The rejection of all authority that some in the socialist camp foresee is something they have in common with anarchists.

d. Anarchism

Anarchy stems from the Greek word, anarkos, meaning “without a chief.” Its political meaning is a social and political system without a state or more broadly a society that is characterized by a lack of any hierarchical or authoritarian structures. The general approach of the anarchist is to emphasize that the good life can only be lived without constraining or limiting structures. Any institution or morality that is inconsistent with the life freely chosen is to be attacked, criticized, and rejected. What is therefore the crucial issue for anarchists is defining what constitutes genuinely artificial impediments and structures from those that are the product of nature or of voluntary activities.

Major anarchist thinkers include William Godwin, Max Stirner, Leo Tolstoy, Proudhon, Bakunin, Kropotkin, and recent libertarian and conservative thinkers who lean to anarchism such as Hans Hermann Hoppe and Murray Rothbard.

Various branches of anarchism emphasize different aspects of the protracted leaderless society: utopian versions look forward to a universal egalitarianism in which each is to count for one and no more than one, and accordingly each person’s values are of equal moral and political weighting. (Utopian anarchists in the Nineteenth Century experimented with a variety of small communities that on the whole had short lives.) But the notion of egalitarianism is rejected by those anarchists who are more sympathetic to the rugged individualism of the American frontier and of the individual who seeks the quiet, private life of seclusion living close to nature.

Max Stirner, for example, rejects any kind of limitation on the action of the individual, including social structures that may evolve spontaneously – for example, parental authority, money, legal institutions (for example, common law), and property rights; Proudhon, on the other hand, argues for a society of small enterprising co-operatives. The co-operative movement often attracts those with collectivist leanings but who seek to move away from the potentially authoritarian model of typical socialism. In contrast, libertarian thinkers who support the free market have proposed anarchic solutions to economic and political problems: they stress the voluntaristic nature of the market system as a moral as well as an efficient means of distributing resources and accordingly condemn state failure to provide adequate resources (health care and education but also police and defense services); the so-called public goods and services, they assert, ought to be provided privately through the free market.

Regardless of the political direction that the anarchist leans towards (collectivism or individualism), how the anarchic community is to be secured presents philosophical problems that demand a close regard to possible inconsistencies. Historicist anarchists believe that anarchy is the ultimate state that humanity is (inevitably) ascending towards – they agree with Marx’s general theory of history that history (and the future) divides into convenient eras which are characterized by a movement towards less authority in life (that is, the gradual displacement of authoritarian or socially divisive structures), and that this movement is inexorable. Radical anarchists claim that the future can only be fought for, and any imposition of authority on an individual’s actions is to be defended against – their calls extend to anarchists actively undermining, disrupting and dismantling the apparatus of the coercive state; those on the libertarian wing stress that only government coerces whereas those more sympathetic to socialism’s moral critique of capitalism emphasize the oppressive nature of multinational companies and of global capitalism. While some anarchists are pacifistic in their rejection of authority (drawing on Gandhi’s conduct against British rule in India), others condone the use of violence to secure their freedom from external coercion. In common with modern liberal and with some socialists and conservatives, some branches of anarchism reject the material world and economic progress as being innately valuable. Anarchists who rail against economic progress (or “global capitalism”) as somehow limiting their choices seek alternative ends to their political utopia, one which has much in common with the final political theory examined: environmentalism.

e. Environmentalism

Beyond the traditional ethical disputes concerning the good life for human beings and what political situation would best suit our development, others take up an alternative conception of humanity and its relationship with the living world. Broadly termed “environmentalist,” this political philosophy does not concern itself with the rights of people or of society, but of the rights of the planet and other species.

The political philosophies of liberalism, socialism, conservativism and anarchism – and all of their variants – agree that the good life sought by political philosophy ought to be the good life for human beings. Their respective criticism of political practice and mores stem from a competing standard of what ought to constitute the good life for us. Feminists, for example, within the four man pro-human political theories argue for more (or different) rights and duties towards women; resident interventionists in the liberal and conservative clubs claim that political control over some means of production may enhance the opportunities for some hitherto underrepresented or disempowered folk; similarly, welfarists propose universal standards of living for all, to be secured by the their respective beliefs in collective or voluntaristic associations. However, environmentalism starts on a different premise: human beings are not the center of our politics – nature is.

At the beginning, it was noted that for argument’s sake that theologically based political philosophies must come to terms or propose standards by which to judge a person’s life on earth. Hence they enter the traditional debates of how people (Christian, Muslim, Jew, Sikh, Hindu, and so forth) ought to relate to his fellow human being and through what kind of institutions. Environmentalism, however, considers our place on earth to be of secondary importance to that of the natural world. In its weaker forms, environmentalism claims that human beings are custodians of nature, to whom we must show respect and perhaps even certain ethical and political obligations (obligations akin to those some theological positions hold of people to their God) to the natural world. This implies that people are accorded an equal ethical status as that of other living species – he is seen as a primus inter pares. In its stronger form, however, environmentalism condemns the very existence of humanity as a blot on the landscape – as the perennial destroyer of all that is good, for all that is good cannot, according to this position, be a product of human beings; people are the source of unending evils committed against the world. In terms of the grand vista of intellectual history, environmentalism stems from several anti-human or anti-secular traditions that reach back three millennia. Eastern religions developed theories of innate human wickedness (or nature’s innate goodness) that filtered through to the West via Pythagorean mysticism and later Christian asceticism and Franciscan variations on a pro-nature theme. Applied issues that provoke its ire include pollution, vivisection, hunting, the domestication of animals, the eating of meat, and the desecration of the landscape.

Generally, environmentalists distinguish themselves from conservationists who, from various positions along the spectrum of political theory, argue that landscapes or animals ought to be protected from extinction only if they are beneficial or pleasing to humanity in some form or other. Environmentalists reject such human-centered utilitarianism in favor of a broad ethical intrinsicism – the theory that all species possess an innate value independent of any other entity’s relationship to them. Criticisms leveled against this argument begin with asking what the moral relationship between a predator and its victim is or ought to be – does the mouse have a right not to be caught by the cat and is the cat a murderer for killing the mouse? And if this cannot be justified or even ethically explained does it not follow that when people stand in an analogous relationship to the animals we hunt and domesticate then we too should not be judged as a murderer for eating meat and wearing fur? The central issue for environmentalists and their animal rights supporting brethren is to explain the moral relationship between human and beast and the resulting asymmetrical justifications and judgments leveled against humanity: that is, according to the environmentalists’ general ethical position, it is morally appropriate, so to speak, for the lion to hunt the gazelle or the ant to milk the caterpillar, but not for people to hunt the fox or milk the cow – and likewise, it can be asked whether it is morally appropriate for the wild-cat or bear to attack people but not for people to defend themselves?

The political philosophy of environmentalism then turns on creating the proper structures for human social life in this context. The weaker form demands, for example, that he stops pillaging the earth’s resources by either prohibiting further exploitation or at least slowing the rate at which he is presently doing so: sustainable resource management is at the center of such environmentalism, although it is a political-economic theory that is also picked up by the other pro-human philosophies. Environmentalists theoretically can differ on what political-economic system can best fit their demands, but one advocate (Stewart Brand writing in The Whole Earth Catalogue) argues that people should return to a “Stone Age, where we might live like Indians in our valley, with our localism, our appropriate technology, our gardens, our homemade religion.” However, the demographic and economic implications are apparently missed by such advocates: to return to a Neolithic state, humanity would have to divest itself of the complex division of labor it has produced with the expansion of its population and education. Effectively, this would imply a reduction in the human population to Neolithic numbers of a million or so for the entire planet. The fact that this would require the demise of five billion people should be addressed: what would justify the return to the supposed Eden and what methods would be appropriate? Brand begins his argument thus: “We have wished…for a disaster or for a social change to come and bomb us into the Stone Age…” Genocidal campaigns are justifiable according to those who assert that their population (culture, nation, race, religion) ought to be the sole residing group on the planet – an assertion hotly contended by other groups of course and those who expound the rights of individuals to pursue a life free of coercion, which leaves environmentalism to explain why people must suffer and even die for its ends. The proffered justifications often stem from a rejection of any rights for human beings.

Environmentalism extends rights to – or duties towards – other species which range extended beyond those animals closest to natural and cultural human sympathies. Rats, insects, and snails have been championed by various lobbies seeking to protect animals from human incursions. Utilitarians of the traditional political schools may agree with such proposals as being useful for humanity (say for future generations), but environmentalists prefer to remove ‘human beings’ from the equation and deposit inalienable rights on such non-human entities regardless of their relationship to humanity. Since animals are not ethical beings, environmentalists have a difficult task explaining why a snail darter possesses a greater right to live on the planet over a human. A solution is that our ethical and political capacities in fact negate our moral status: the fact that we can reason and hence comprehend the import of our actions implies that we are not to be trusted for we can willingly commit evil. An animal is a-moral in that regard: it kills, eats other entities, adapts to and changes its environment, breeds and pollutes, but it possesses no conception of what it does. For the environmentalist this accords non-human species a higher moral status. Animals act and react and there is no evil in this, but people think and therein lies the source of our immorality. From this premise, all human creations can be universally condemned as unethical.

4. Conclusion

The main political theories assume the ethical and hence political primacy of humanity – at least on this planet – and accordingly proceed to define what they consider the most appropriate institutions for human survival, development, morality and happiness. Environmentalism differs from this approach but all the political theories sketched out in this article are governed by and are dependent on ethical theories of human nature as it relates to the world and to others. Because political theory predominantly deals with human social nature, it must also deal with human individuality as well as our relationships to groups – with one’s sense of self as a political and ethical entity as well as one’s need and sense to belong to overarching identities. The major theories provoke in turn a vast range of discussion and debate on the subtleties of such issues as the law, economy, freedom, gender, nationality, violence, war, rebellion and sacrifice, as well as on the grander visions of our proper political realm (utopianism) and the criticism of present institutions from the local to the international level. The present mainstream debate between communitarianism and liberalism certainly offers the student a fertile ground for examining the nuances generated in the clash between collectivism and individualism, but alternative as well as historical political theories ought not to be ignored: they too still provoke and attract debate.

Author Information

Alexander Moseley
Email: alex@classical-foundations.com
United Kingdom

Jules Henri Poincaré (1854—1912)

poincare_henriPoincaré was an influential French philosopher of science and mathematics, as well as a distinguished scientist and mathematician. In the foundations of mathematics he argued for conventionalism, against formalism, against logicism, and against Cantor’s treating his new infinite sets as being independent of human thinking. Poincaré stressed the essential role of intuition in a proper constructive foundation for mathematics. He believed that logic was a system of analytic truths, whereas arithmetic was synthetic and a priori, in Kant‘s sense of these terms. Mathematicians can use the methods of logic to check a proof, but they must use intuition to create a proof, he believed.

He maintained that non-Euclidean geometries are just as legitimate as Euclidean geometry, because all geometries are conventions or “disguised” definitions. Although all geometries are about physical space, a choice of one geometry over others is a matter of economy and simplicity, not a matter of finding the true one among the false ones.

For Poincaré, the aim of science is prediction rather than, say, explanation. Although every scientific theory has its own language or syntax, which is chosen by convention, it is not a matter of convention whether scientific predictions agree with the facts. For example, it is a matter of convention whether to define gravitation as following Newton’s theory of gravitation, but it is not a matter of convention as to whether gravitation is a force that acts on celestial bodies, or is the only force that does so. So, Poincaré believed that scientific laws are conventions but not arbitrary conventions.

Poincaré had an especially interesting view of scientific induction. Laws, he said, are not direct generalizations of experience; they aren’t mere summaries of the points on the graph. Rather, the scientist declares the law to be some interpolated curve that is more or less smooth and so will miss some of those points. Thus a scientific theory is not directly falsifiable by the data of experience; instead, the falsification process is more indirect.

Table of Contents

  1. Life
  2. Chaos and the Solar System
  3. Arithmetic, Intuition and Logic
  4. Conventionalism and the Philosophy of Geometry
  5. Science and Hypothesis
  6. Bibliography

1. Life

Poincaré was born on April 29,1854 in Nancy and died on July 17, 1912 in Paris. Poincaré’s family was influential. His cousin Raymond was the President and the Prime Minister of France, and his father Leon was a professor of medicine at the University of Nancy. His sister Aline married the spiritualist philosopher Emile Boutroux.

Poincaré studied mining engineering, mathematics and physics in Paris. Beginning in 1881, he taught at the University of Paris. There he held the chairs of Physical and Experimental Mechanics, Mathematical Physics and Theory of Probability, and Celestial Mechanics and Astronomy.

At the beginning of his scientific career, in his doctoral dissertation of1879, Poincaré devised a new way of studying the properties of functions defined by differential equations. He not only faced the question of determining the integral of such equations, but also was the first person to study the general geometric properties of these functions. He clearly saw that this method was useful in the solution of problems such as the stability of the solar system, in which the question is about the qualitative properties of planetary orbits (for example, are orbits regular or chaotic?) and not about the numerical solution of gravitational equations. During his studies on differential equations, Poincaré made use of Lobachevsky’s non-Euclidean geometry. Later, Poincaré applied to celestial mechanics the methods he had introduced in his doctoral dissertation. His research on the stability of the solar system opened the door to the study of chaotic deterministic systems; and the methods he used gave rise to algebraic topology.

Poincaré sketched a preliminary version of the special theory of relativity and stated that the velocity of light is a limit velocity and that mass depends on speed. He formulated the principle of relativity, according to which no mechanical or electromagnetic experiment can discriminate between a state of uniform motion and a state of rest, and he derived the Lorentz transformation. His fundamental theorem that every isolated mechanical system returns after a finite time [the Poincaré Recurrence Time] to its initial state is the source of many philosophical and scientific analyses on entropy. Finally, he clearly understood how radical is quantum theory’s departure from classical physics.

Poincaré was deeply interested in the philosophy of science and the foundations of mathematics. He argued for conventionalism and against both formalism and logicism. Cantor’s set theory was also an object of his criticism. He wrote several articles on the philosophical interpretation of mathematical logic. During his life, he published three books on the philosophy of science and mathematics. A fourth book was published posthumously in 1913.

2. Chaos and the Solar System

In his research on the three-body problem, Poincaré became the first person to discover a chaotic deterministic system. Given the law of gravity and the initial positions and velocities of the only three bodies in all of space, the subsequent positions and velocities are fixed–so the three-body system is deterministic. However, Poincaré found that the evolution of such a system is often chaotic in the sense that a small perturbation in the initial state such as a slight change in one body’s initial position might lead to a radically different later state than would be produced by the unperturbed system. If the slight change isn’t detectable by our measuring instruments, then we won’t be able to predict which final state will occur. So, Poincaré’s research proved that the problem of determinism and the problem of predictability are distinct problems.

From a philosophical point of view, Poincaré’s results did not receive the attention that they deserved. Also the scientific line of research that Poincaré opened was neglected until meteorologist Edward Lorenz, in 1963, rediscovered a chaotic deterministic system while he was studying the evolution of a simple model of the atmosphere. Earlier, Poincaré had suggested that the difficulties of reliable weather predicting are due to the intrinsic chaotic behavior of the atmosphere. Another interesting aspect of Poincaré’s study is the real nature of the distribution in phase space of stable and unstable points, which are so mixed that he did not try to make a picture of their arrangement. Now we know that the shape of such distribution is fractal-like. However, the scientific study of fractals did not begin until Benoit Mandelbrot’s work in 1975, a century after Poincaré’s first insight.

Why was Poincaré’s research neglected and underestimated? The problem is interesting because Poincaré was awarded an important scientific prize for his research; and his research in celestial mechanics was recognized to be of fundamental importance. Probably there were two causes. Scientists and philosophers were primarily interested in the revolutionary new physics of relativity and quantum mechanics, but Poincaré worked with classical mechanics. Also, the behavior of a chaotic deterministic system can be described only by means of a numerical solution whose complexity is staggering. Without the help of a computer the task is almost hopeless.

3. Arithmetic, Intuition and Logic

Logicists such as Bertrand Russell and Gottlob Frege believed that mathematics is basically a branch of symbolic logic, because they supposed that mathematical terminology can be defined using only the terminology of logic and because, after this translation of terms, any mathematical theorem can be shown to be a restatement of a theorem of logic. Poincaré objected to this logicist program. He was an intuitionist who stressed the essential role of human intuition in the foundations of mathematics. According to Poincaré, a definition of a mathematical entity is not the exposition of the essential properties of the entity, but it is the construction of the entity itself; in other words, a legitimate mathematical definition creates and justifies its object. For Poincaré, arithmetic is a synthetic science whose objects are not independent from human thought.

Poincaré made this point in his investigation of Peano’s axiomatization of arithmetic. Italian mathematician Giuseppe Peano (1858-1932) axiomatized the mathematical theory of natural numbers. This is the arithmetic of the nonnegative integers. Apart from some purely logical principles, Peano employed five mathematical axioms. Informally, these axioms are:

  1. Zero is a natural number.
  2. Zero is not the successor of any natural number.
  3. Every natural number has a successor, which is a natural number.
  4. If the successor of natural number a is equal to the successor of natural number b, then a and b are equal.
  5. Suppose:
    (i) zero has a property P;
    (ii) if every natural number less than a has the property P then a also has the property P.
    Then every natural number has the property P. (This is the principle of complete induction.)

Bertrand Russell said Peano’s axioms constitute an implicit definition of natural numbers, but Poincaré said they do only if they can be demonstrated to be consistent. They can be shown consistent only by showing there is some object satisfying these axioms. From a general point of view, an axiom system can be conceived of as an implicit definition only if it is possible to prove the existence of at least one object that satisfies all the axioms. Proving this is not an easy task, for the number of consequences of Peano axioms is infinite and so a direct inspection of each consequence is not possible. Only one way seems adequate: we must verify that if the premises of an inference in the system are consistent with the axioms of logic, then so is the conclusion. Therefore, if after n inferences no contradiction is produced, then after n+1 inferences no contradiction will be either. Poincaré argues that this reasoning is a vicious circle, for it relies upon the principle of complete induction, whose consistency we have to prove. (In 1936, Gerhard Gentzen proved the consistency of Peano axioms, but his proof required the use of a limited form of transfinite induction whose own consistency is in doubt.) As a consequence, Poincaré asserts that if we can’t noncircularly establish the consistency of Peano’s axioms, then the principle of complete induction is surely not provable by means of general logical laws; thus it is not analytic, but it is a synthetic judgment, and logicism is refuted. It is evident that Poincaré supports Kant’s epistemological viewpoint on arithmetic. For Poincaré, the principle of complete induction, which is not provable via analytical inferences, is a genuine synthetic a priori judgment. Hence arithmetic cannot be reduced to logic; the latter is analytic, while arithmetic is synthetic.

The synthetic character of arithmetic is also evident if we consider the nature of mathematical reasoning. Poincaré suggests a distinction between two different kinds of mathematical inference: verification and proof. Verification or proof-check is a sort of mechanical reasoning, while proof-creation is a fecund inference. For example, the statement “2+2 = 4” is verifiable because it is possible to demonstrate its truth with the help of logical laws and the definition of sum; it is an analytical statement that admits a straightforward verification. On the contrary, the general statement (the commutative law of addition)

For any natural numbers x and y, x + y = y + x

is not directly verifiable. We can choose an arbitrary pair of natural numbers a and b, and we can verify that a+b = b+a; but there is an infinite number of admissible choices of pairs, so the verification is always incomplete. In other words, the verification of the commutative law is an analytical method by means of which we can verify every particular instance of a general theorem, but the proof of the theorem itself is synthetic reasoning which really extends our knowledge, Poincaré believed.

Another aspect of mathematical thinking that Poincaré analyzes is the different roles played by intuition and logic. Methods of formal logic are elementary and certain, and we can surely rely on them. However, logic does not teach us how to build a proof. It is intuition that helps mathematicians find the correct way to assemble basic inferences into a useful proof. Poincaré offers the following example. An unskilled chess player who watches a game can verify whether a move is legal, but he does not understand why players move certain pieces, for he does not see the plan which guides players’ choices. In a similar way, a mathematician who uses only logical methods can verify every inference in a given proof, but he cannot find an original proof. In other words, every elementary inference in a proof is easily verifiable through formal logic, but the invention of a proof requires the understanding — grasped by intuition — of the general scheme, which directs mathematician’s efforts towards the final goal.

Logic is — according to Poincaré — the study of properties which are common to all classifications. There are two different kinds of classifications: predicative classifications, which are not modified by the introduction of new elements; and impredicative classifications, which are modified by new elements. Definitions as well as classifications are divided into predicative and impredicative. A set is defined by a law according to which every element is generated. In the case of an infinite set, the process of generating elements is unfinished; thus there are always new elements. If their introduction changes the classification of already generated objects, then the definition is impredicative. For example, look at phrases containing a finite number of words and defining a point of space. These phrases are arranged in alphabetical order and each of them is associated with a natural number: the first is associated with number 1, the second with 2, etc. Hence every point defined by such phrases is associated with a natural number. Now suppose that a new point is defined by a new phrase. To determine the corresponding number it is necessary to insert this phrase in alphabetical order; but such an operation modifies the number associated with the already classified points whose defining phrase follows, in alphabetical order, the new phrase. Thus this new definition is impredicative.

For Poincaré, impredicative definitions are the source of antinomies in set theory, and the prohibition of impredicative definitions will remove such antinomies. To this end, Poincaré enunciates the vicious circle principle: a thing cannot be defined with respect to a collection that presupposes the thing itself. In other words, in a definition of an object, one cannot use a set to which the object belongs, because doing so produces an impredicative definition. Poincaré attributes the vicious circle principle to a French mathematician J. Richard. In 1905, Richard discovered a new paradox in set theory, and he offered a tentative solution based on the vicious circle principle.

Poincaré’s prohibition of impredicative definitions is also connected with his point of view on infinity. According to Poincaré, there are two different schools of thought about infinite sets; he called these schools Cantorian and Pragmatist. Cantorians are realists with respect to mathematical entities; these entities have a reality that is independent of human conceptions. The mathematician discovers them but does not create them. Pragmatists believe that a thing exists only when it is the object of an act of thinking, and infinity is nothing but the possibility of the mind’s generating an endless series of finite objects. Practicing mathematicians tend to be realists, not pragmatists or intuitionists. This dispute is not about the role of impredicative definitions in producing antinomies, but about the independence of mathematical entities from human thinking.

4. Conventionalism and the Philosophy of Geometry

The discovery of non-Euclidean geometries upset the commonly accepted Kantian viewpoint that the true structure of space can be known a priori. To understand Poincaré’s point of view on the foundation of geometry, it helps to remember that, during his research on functions defined by differential equations, he actually used non-Euclidean geometry. He found that several geometric properties are easily provable by means of Lobachevsky geometry, while their proof is not straightforward in Euclidean geometry. Also, Poincaré knew Beltrami’s research on Lobachevsky’s geometry. Beltrami (Italian mathematician, 1835-1899) proved the consistency of Lobachevsky geometry with respect to Euclidean geometry, by means of a translation of every term of Lobachevsky geometry into a term of Euclidean geometry. The translation is carefully chosen so that every axiom of non-Euclidean geometry is translated into a theorem of Euclidean geometry. Beltrami’s translation and Poincaré’s study of functions led Poincaré to assert that:

  • Non-Euclidean geometries have the same logical and mathematical legitimacy as Euclidean geometry.
  • All geometric systems are equivalent and thus no system of axioms may claim that it is the true geometry.
  • Axioms of geometry are neither synthetic a priori judgments nor analytic ones; they are conventions or ‘disguised’ definitions.

According to Poincaré, all geometric systems deal with the same properties of space, although each of them employs its own language, whose syntax is defined by the set of axioms. In other words, geometries differ in their language, but they are concerned with the same reality, for a geometry can be translated into another geometry. There is only one criterion according to which we can select a geometry, namely a criterion of economy and simplicity. This is the very reason why we commonly use Euclidean geometry: it is the simplest. However, with respect to a specific problem, non-Euclidean geometry may give us the result with less effort. In 1915, Albert Einstein found it more convenient, the conventionalist would say, to develop his theory of general relativity using non-Euclidean rather than Euclidean geometry. Poincaré’s realist opponent would disagree and say that Einstein discovered space to be non-Euclidean.

Poincaré’s treatment of geometry is applicable also to the general analysis of scientific theories. Every scientific theory has its own language, which is chosen by convention. However, in spite of this freedom, the agreement or disagreement between predictions and facts is not conventional but is substantial and objective. Science has an objective validity. It is not due to chance or to freedom of choice that scientific predictions are often accurate.

These considerations clarify Poincaré’s conventionalism. There is an objective criterion, independent of the scientist’s will, according to which it is possible to judge the soundness of the scientific theory, namely the accuracy of its predictions. Thus the principles of science are not set by an arbitrary convention. In so far as scientific predictions are true, science gives us objective, although incomplete, knowledge. The freedom of a scientist takes place in the choice of language, axioms, and the facts that deserve attention.

However, according to Poincaré, every scientific law can be analyzed into two parts, namely a principle, that is a conventional truth, and an empirical law. The following example is due to Poincaré. The law:

Celestial bodies obey Newton’s law of gravitation

The law consists of two elements:

  1. Gravitation follows Newton law.
  2. Gravitation is the only force that acts on celestial bodies.

We can regard the first statement as a principle, as a convention; thus it becomes the definition of gravitation. But then the second statement is an empirical law.

Poincaré’s attitude towards conventionalism is illustrated by the following statement, which concluded his analysis on classical mechanics in Science and Hypothesis:

Are the laws of acceleration and composition of forces nothing but arbitrary conventions? Conventions, yes; arbitrary, no; they would seem arbitrary if we forgot the experiences which guided the founders of science to their adoption and which are, although imperfect, sufficient to justify them. Sometimes it is useful to turn our attention to the experimental origin of these conventions.

5. Science and Hypothesis

According to Poincaré, although scientific theories originate from experience, they are neither verifiable nor falsifiable by means of the experience alone. For example, look at the problem of finding a mathematical law that describes a given series of observations. In this case, representative points are plotted in a graph, and then a simple curve is interpolated. The curve chosen will depend both on the experience which determines the representative points and on the desired smoothness of the curve even though the smoother the curve the more that some points will miss the curve. Therefore, the interpolated curve — and thus the tentative law — is not a direct generalization of the experience, for it ‘corrects’ the experience. The discrepancy between observed and calculated values is thus not regarded as a falsification of the law, but as a correction that the law imposes on our observations. In this sense, there is always a necessary difference between facts and theories, and therefore a scientific theory is not directly falsifiable by the experience.

For Poincaré, the aim of the science is to prediction. To accomplish this task, science makes use of generalizations that go beyond the experience. In fact, scientific theories are hypotheses. But every hypothesis has to be continually tested. And when it fails in an empirical test, it must be given up. According to Poincaré, a scientific hypothesis which was proved untenable can still be very useful. If a hypothesis does not pass an empirical test, then this fact means that we have neglected some important and meaningful element; thus the hypothesis gives us the opportunity to discover the existence of an unforeseen aspect of reality. As a consequence of this point of view about the nature of scientific theories, Poincaré suggests that a scientist must utilize few hypotheses, for it is very difficult to find the wrong hypothesis in a theory which makes use of many hypotheses.

For Poincaré, there are many kinds of hypotheses:

  • Hypotheses which have the maximum scope, and which are common to all scientific theories (for example, the hypothesis according to which the influence of remote bodies is negligible). Such hypotheses are the last to be changed.
  • Indifferent hypotheses that, in spite of their auxiliary role in scientific theories, have no objective content (for example, the hypothesis that unseen atoms exist).
  • Generalizations, which are subjected to empirical control; they are the true scientific hypotheses.

Regarding Poincaré’s point of view about scientific theories, the following have the most lasting value:

  • Every scientific theory is a hypothesis that had to be tested.
  • Experience suggests scientific theories; but experience does not justify them.
  • Experience alone is unable to falsify a theory, for the theory often corrects the experience.
  • A central aim of science is prediction.
  • The role of a falsified hypothesis is very important, for it throws light on unforeseen conditions.
  • Experience is judged according to a theory.

6. Bibliography

COLLECTED SCIENTIFIC WORKS (in French).

  • Oeuvres, 11 volumes, Paris : Gauthier-Villars, 1916-1956

PHILOSOPHICAL WORKS.

  • 1902 La science et l’hypothèse, Paris : Flammarion (Science and hypothesis, 1905)
  • 1905 La valeur de la science, Paris : Flammarion (The value of science, 1907)
  • 1908 Science and méthode, Paris : Flammarion (Science and method, 1914)
  • 1913 Dernières pensées, Paris : Flammarion (Mathematics and science: last essays, 1963)
  • The first three works are translated in The foundations of science, Washington, D.C. : University Press of America, 1982 (first edition 1946).

MAIN SCIENTIFIC WORKS.

  • Les méthods nouvelles de la mécanique céleste, Paris : Gauthier-Villars, 1892 vol. I , 1893 vol. II, 1899 vol. III (New methods of celestial mechanics, American Institute of Physics, 1993)
  • Lecons de mécanique céleste, Paris : Gauthier-Villars, 1905 vol. I, 1907 vol. II part I, 1909 vol. II part II, 1911 vol. III

WORKS ABOUT POINCARE’.

  • Le livre du centenaire de la naissance de Henri Poincaré, Paris : Gauthier-Villars, 1955
  • The mathematical heritage of Henri Poincaré, (edited by Felix E. Browder) Providence, R.I. : American Mathematical Society, 1983 [Symposium on the Mathematical Heritage of Henri Poincaré (1980 : Indiana University, Bloomington)]
  • Henri Poincaré: Science et philosophie. Congrès international : Nancy, France, 1994, edited by Jean-Louis Greffe, Gerhard Heinzmann, Kuno Lorenz, Berlin : Akademie Verlag, 1996 ; Paris : A. Blanchard, 1996
  • Appel, Paul, Henri Poincaré, Paris : Plon, 1925
  • Bartocci, Claudio, “Equazioni e orbite celesti: gli albori della dinamica topologica” in Henri Poincaré. Geometria e caso, Torino : Bollati Boringhieri, 1995
  • Barrow-Green, June, Poincaré and the three body problem, Providence, RI : American Mathematical Society ; London : London Mathematical Society, 1997
  • Dantzig, Tobias, Henri Poincaré. Critic of crisis: reflections on his universe of discourse, New York : Scriber, 1954
  • Folina, Janet, Poincaré and the philosophy of mathematics, London : Macmillan, 1992 ; New York : St. Martin’s Press, 1992
  • Giedymin, Jerzy, Science and convention. Essay on Henri Poincaré’s philosophy of science and the conventionalist tradition, Oxford : Pergamon Press, 1982
  • Heinzmann, Gerhard, Entre intuition et analyse : Poincaré et le concept de prédicativité, Paris : A. Blanchard, 1985
  • Heinzmann, Gerhard, Zwischen Objektkonstruktion und Strukturanalyse. Zur Philosophie der Mathematik bei Poincaré, Vandenhoek & Ruprecht, 1995
  • de Lorenzo, Javier, La filosofia de la matematica de Jules Henri Poincaré, Madrid : Editorial Tecnos, 1974
  • Mette, Corinna, Invariantentheorie als Grundlage des Konventionalismus : Uberlegungen zur Wissenschaftstheorie von Poincaré , Essen : Die Blaue Eule, 1986, Essen, 1986
  • Mooij, Jan, La philosophie des mathématiques de Henri Poincaré, Paris : Gauthier-Villars, 1966
  • Parrini, Paolo, Empirismo logico e convenzionalismo, Milano : Franco Angeli, 1983
  • Rougier, Luis, La philosophie géométrique de Henri Poincaré, Paris : Alcan, 1920
  • Schmid, Anne-Francoise, Une philosophie de savant : Henri Poincaré et la logique mathématique, Paris : F. Maspero, 1978.
  • Torretti, Roberto, Philosophy of geometry from Riemann to Poincaré, Dordrecth : D. Reidel Pub. Co., 1978

Author Information

Mauro Murzi
Email: murzim@yahoo.com
Italy

Plato: Political Philosophy

platoPlato (c. 427-347 B.C.E.) developed such distinct areas of philosophy as epistemology, metaphysics, ethics, and aesthetics. His deep influence on Western philosophy is asserted in the famous remark of Alfred North Whitehead: “the safest characterization of the European philosophical tradition is that it consists of a series of footnotes to Plato.” He was also the prototypical political philosopher whose ideas had a profound impact on subsequent political theory. His greatest impact was Aristotle, but he influenced Western political thought in many ways. The Academy, the school he founded in 385 B.C.E., became the model for other schools of higher learning and later for European universities.The philosophy of Plato is marked by the usage of dialectic, a method of discussion involving ever more profound insights into the nature of reality, and by cognitive optimism, a belief in the capacity of the human mind to attain the truth and to use this truth for the rational and virtuous ordering of human affairs. Plato believes that conflicting interests of different parts of society can be harmonized. The best, rational and righteous, political order, which he proposes, leads to a harmonious unity of society and allows each of its parts to flourish, but not at the expense of others. The theoretical design and practical implementation of such order, he argues, are impossible without virtue.

Table of Contents

  1. Life – from Politics to Philosophy
  2. The Threefold Task of Political Philosophy
  3. The Quest for Justice in The Republic
  4. The Best Political Order
  5. The Government of Philosopher Rulers
  6. Politics and the Soul
  7. Plato’s Achievement

1. Life – from Politics to Philosophy

Plato was born in Athens in c. 427 B.C.E. Until his mid-twenties, Athens was involved in a long and disastrous military conflict with Sparta, known as the Peloponnesian War. Coming from a distinguished family – on his father’s side descending from Codrus, one of the early kings of Athens, and on his mother’s side from Solon, the prominent reformer of the Athenian constitution – he was naturally destined to take an active role in political life. But this never happened. Although cherishing the hope of assuming a significant place in his political community, he found himself continually thwarted. As he relates in his autobiographical Seventh Letter, he could not identify himself with any of the contending political parties or the succession of corrupt regimes, each of which brought Athens to further decline (324b-326a). He was a pupil of Socrates, whom he considered the most just man of his time, and who, although did not leave any writings behind, exerted a large influence on philosophy. It was Socrates who, in Cicero’s words, “called down philosophy from the skies.” The pre-Socratic philosophers were mostly interested in cosmology and ontology; Socrates’ concerns, in contrast, were almost exclusively moral and political issues. In 399 when a democratic court voted by a large majority of its five hundred and one jurors for Socrates’ execution on an unjust charge of impiety, Plato came to the conclusion that all existing governments were bad and almost beyond redemption. “The human race will have no respite from evils until those who are really philosophers acquire political power or until, through some divine dispensation, those who rule and have political authority in the cities become real philosophers” (326a-326b).

It was perhaps because of this opinion that he retreated to his Academy and to Sicily for implementing his ideas. He visited Syracuse first in 387, then in 367, and again in 362-361, with the general purpose to moderate the Sicilian tyrants with philosophical education and to establish a model political rule. But this adventure with practical politics ended in failure, and Plato went back to Athens. His Academy, which provided a base for succeeding generations of Platonic philosophers until its final closure in C.E. 529, became the most famous teaching institution of the Hellenistic world. Mathematics, rhetoric, astronomy, dialectics, and other subjects, all seen as necessary for the education of philosophers and statesmen, were studied there. Some of Plato’s pupils later became leaders, mentors, and constitutional advisers in Greek city-states. His most renowned pupil was Aristotle. Plato died in c. 347 B.C.E. During his lifetime, Athens turned away from her military and imperial ambitions and became the intellectual center of Greece. She gave host to all the four major Greek philosophical schools founded in the course of the fourth century: Plato’s Academy, Aristotle’s Lyceum, and the Epicurean and Stoic schools.

2. The Threefold Task of Political Philosophy

Although the Republic, the Statesman, the Laws and a few shorter dialogues are considered to be the only strictly political dialogues of Plato, it can be argued that political philosophy was the area of his greatest concern. In the English-speaking world, under the influence of twentieth century analytic philosophy, the main task of political philosophy today is still often seen as conceptual analysis: the clarification of political concepts. To understand what this means, it may be useful to think of concepts as the uses of words. When we use general words, such as “table,” “chair,” “pen,” or political terms, such as “state,” “power,” “democracy,” or “freedom,” by applying them to different things, we understand them in a certain way, and hence assign to them certain meanings. Conceptual analysis then is a mental clearance, the clarification of a concept in its meaning. As such it has a long tradition and is first introduced in Platonic dialogues. Although the results are mostly inconclusive, in “early” dialogues especially, Socrates tries to define and clarify various concepts. However, in contrast to what it is for some analytic philosophers, for Plato conceptual analysis is not an end to itself, but a preliminary step. The next step is critical evaluation of beliefs, deciding which one of the incompatible ideas is correct and which one is wrong. For Plato, making decisions about the right political order are, along with the choice between peace and war, the most important choices one can make in politics. Such decisions cannot be left solely to public opinion, he believes, which in many cases does not have enough foresight and gets its lessons only post factum from disasters recorded in history. In his political philosophy, the clarification of concepts is thus a preliminary step in evaluating beliefs, and right beliefs in turn lead to an answer to the question of the best political order. The movement from conceptual analysis, through evaluation of beliefs, to the best political order can clearly be seen in the structure of Plato’s Republic.

3. The Quest for Justice in The Republic

One of the most fundamental ethical and political concepts is justice. It is a complex and ambiguous concept. It may refer to individual virtue, the order of society, as well as individual rights in contrast to the claims of the general social order. In Book I of the Republic, Socrates and his interlocutors discuss the meaning of justice. Four definitions that report how the word “justice” (dikaiosune) is actually used, are offered. The old man of means Cephalus suggests the first definition. Justice is “speaking the truth and repaying what one has borrowed” (331d). Yet this definition, which is based on traditional moral custom and relates justice to honesty and goodness; i.e. paying one’s debts, speaking the truth, loving one’s country, having good manners, showing proper respect for the gods, and so on, is found to be inadequate. It cannot withstand the challenge of new times and the power of critical thinking. Socrates refutes it by presenting a counterexample. If we tacitly agree that justice is related to goodness, to return a weapon that was borrowed from someone who, although once sane, has turned into a madman does not seem to be just but involves a danger of harm to both sides. Cephalus’ son Polemarchus, who continues the discussion after his father leaves to offer a sacrifice, gives his opinion that the poet Simonides was correct in saying that it was just “to render to each his due” (331e). He explains this statement by defining justice as “treating friends well and enemies badly” (332d). Under the pressure of Socrates’ objections that one may be mistaken in judging others and thus harm good people, Polemarchus modifies his definition to say that justice is “to treat well a friend who is good and to harm an enemy who is bad” (335a). However, when Socrates finally objects that it cannot be just to harm anyone, because justice cannot produce injustice, Polemarchus is completely confused. He agrees with Socrates that justice, which both sides tacitly agree relates to goodness, cannot produce any harm, which can only be caused by injustice. Like his father, he withdraws from the dialogue. The careful reader will note that Socrates does not reject the definition of justice implied in the saying of Simonides, who is called a wise man, namely, that “justice is rendering to each what befits him” (332b), but only its explication given by Polemarchus. This definition is, nevertheless, found unclear.

The first part of Book I of the Republic ends in a negative way, with parties agreeing that none of the definitions provided stands up to examination and that the original question “What is justice?” is more difficult to answer than it seemed to be at the outset. This negative outcome can be seen as a linguistic and philosophical therapy. Firstly, although Socrates’ objections to given definitions can be challenged, it is shown, as it stands, that popular opinions about justice involve inconsistencies. They are inconsistent with other opinions held to be true. The reportive definitions based on everyday usage of the word “justice” help us perhaps to understand partially what justice means, but fail to provide a complete account of what is justice. These definitions have to be supplied by a definition that will assist clarity and establish the meaning of justice. However, to propose such an adequate definition one has to know what justice really is. The way people define a given word is largely determined by the beliefs which they hold about the thing referred to by this word. A definition that is merely arbitrary or either too narrow or too broad, based on a false belief about justice, does not give the possibility of communication. Platonic dialogues are expressions of the ultimate communication that can take place between humans; and true communication is likely to take place only if individuals can share meanings of the words they use. Communication based on false beliefs, such as statements of ideology, is still possible, but seems limited, dividing people into factions, and, as history teaches us, can finally lead only to confusion. The definition of justice as “treating friends well and enemies badly” is for Plato not only inadequate because it is too narrow, but also wrong because it is based on a mistaken belief of what justice is, namely, on the belief grounded in factionalism, which Socrates does not associate with the wise ones but with tyrants (336a). Therefore, in the Republic, as well as in other Platonic dialogues, there is a relationship between conceptual analysis and critical evaluation of beliefs. The goals of these conversations are not merely linguistic, to arrive at an adequate verbal definition, but also substantial, to arrive at a right belief. The question “what is justice” is not only about linguistic usage of the word “justice,” but primarily about the thing to which the word refers. The focus of the second part of Book I is no longer clarification of concepts, but evaluation of beliefs.

In Platonic dialogues, rather than telling them what they have to think, Socrates is often getting his interlocutors to tell him what they think. The next stage of the discussion of the meaning of justice is taken over by Thrasymachus, a sophist, who violently and impatiently bursts into the dialogue. In the fifth and fourth century B.C.E., the sophists were paid teachers of rhetoric and other practical skills, mostly non-Athenians, offering courses of instruction and claiming to be best qualified to prepare young men for success in public life. Plato describes the sophists as itinerant individuals, known for their rhetorical abilities, who reject religious beliefs and traditional morality, and he contrasts them with Socrates, who as a teacher would refuse to accept payment and instead of teaching skills would commit himself to a disinterested inquiry into what is true and just. In a contemptuous manner, Thrasymachus asks Socrates to stop talking nonsense and look into the facts. As a clever man of affairs, he gives an answer to the question of “what is justice” by deriving justice from the city’s configuration of power and making it relative to the interests of the dominant social or political group. “Justice is nothing else than the interest of the stronger” (338c). Now, by contrast to what some commentators say, the statement that Thrasymachus offers as an answer to Socrates’ question about justice is not a definition. The careful reader will notice that Thrasymachus identifies justice with either maintenance or observance of law. His statement is an expression of his belief that, in the world imperfect as it is, the ruling element in the city, or as we would say today the dominant political or social group, institutes laws and governs for its own benefit (338d). The democrats make laws in support of democracy; the aristocrats make laws that support the government of the well-born; the propertied make laws that protect their status and keep their businesses going; and so on. This belief implies, firstly, that justice is not a universal moral value but a notion relative to expediency of the dominant status quo group; secondly, that justice is in the exclusive interest of the dominant group; thirdly, that justice is used as a means of oppression and thus is harmful to the powerless; fourthly, that there is neither any common good nor harmony of interests between those who are in a position of power and those who are not. All there is, is a domination by the powerful and privileged over the powerless. The moral language of justice is used merely instrumentally to conceal the interests of the dominant group and to make these interests appear universal. The powerful “declare what they have made – what is to their own advantage – to be just” (338e). The arrogance with which Thrasymachus makes his statements suggests that he strongly believes that to hold a different view from his own would be to mislead oneself about the world as it is.

After presenting his statement, Thrasymachus intends to leave as if he believed that what he said was so compelling that no further debate about justice was ever possible (344d). In the Republic he exemplifies the power of a dogma. Indeed he presents Socrates with a powerful challenge. Yet, whether or not what he said sounds attractive to anyone, Socrates is not convinced by the statement of his beliefs. Beliefs shape our lives as individuals, nations, ages, and civilizations. Should we really believe that “justice [obeying laws] is really the good of another, the advantage of the stronger and the ruler, harmful to the one who obeys, while injustice [disobeying laws] is in one’s own advantage” (343c)? The discussion between Socrates and his interlocutors is no longer about the meaning of “justice.” It is about fundamental beliefs and “concerns no ordinary topic but the way we ought to live” (352d). Although in Book I Socrates finally succeeds in showing Thrasymachus that his position is self-contradictory and Thrasymachus withdraws from the dialogue, perhaps not fully convinced, yet red-faced, in Book II Thrasymachus’ argument is taken over by two young intellectuals, Plato’s brothers, Glaucon and Adeimantus, who for the sake of curiosity and a playful intellectual exercise push it to the limit (358c-366d). Thrasymachus withdraws, but his statement: moral skepticism and relativism, predominance of power in human relations, and non-existence of the harmony of interests, hovers over the Western mind. It takes whole generations of thinkers to struggle with Thrasymachus’ beliefs, and the debate still continues. It takes the whole remainder of the Republic to present an argument in defense of justice as a universal value and the foundation of the best political order.

4. The Best Political Order

Although large parts of the Republic are devoted to the description of an ideal state ruled by philosophers and its subsequent decline, the chief theme of the dialogue is justice. It is fairly clear that Plato does not introduce his fantastical political innovation, which Socrates describes as a city in speech, a model in heaven, for the purpose of practical implementation (592a-b). The vision of the ideal state is used rather to illustrate the main thesis of the dialogue that justice, understood traditionally as virtue and related to goodness, is the foundation of a good political order, and as such is in everyone’s interest. Justice, if rightly understood, Plato argues, is not to the exclusive advantage of any of the city’s factions, but is concerned with the common good of the whole political community, and is to the advantage of everyone. It provides the city with a sense of unity, and thus, is a basic condition for its health. “Injustice causes civil war, hatred, and fighting, while justice brings friendship and a sense of common purpose” (351d). In order to understand further what justice and political order are for Plato, it is useful to compare his political philosophy with the pre-philosophical insights of Solon, who is referred to in a few dialogues. Biographical information about Plato is fairly scarce. The fact that he was related through his mother to this famous Athenian legislator, statesman and poet, regarded as one of the “Seven Sages,” may be treated as merely incidental. On the other hand, taking into consideration that in Plato’s times education would have been passed on to children informally at home, it seems highly probable that Plato was not only well acquainted with the deeds and ideas of Solon, but that these deeply influenced him.

The essence of the constitutional reform which Solon made in 593 B.C.E., over one hundred and fifty years before Plato’s birth, when he became the Athenian leader, was the restoration of righteous order, eunomia. In the early part of the sixth century Athens was disturbed by a great tension between two parties: the poor and the rich, and stood at the brink of a fierce civil war. On the one hand, because of an economic crisis, many poorer Athenians were hopelessly falling into debt, and since their loans were often secured by their own persons, thousands of them were put into serfdom. On the other hand, lured by easy profits from loans, the rich stood firmly in defense of private property and their ancient privileges. The partisan strife, which seemed inevitable, would make Athens even more weak economically and defenseless before external enemies. Appointed as a mediator in this conflict, Solon enacted laws prohibiting loans on the security of the person. He lowered the rate of interest, ordered the cancellation of all debts, and gave freedom to serfs. He acted so moderately and impartially that he became unpopular with both parties. The rich felt hurt by the reform. The poor, unable to hold excess in check, demanded a complete redistribution of landed property and the dividing of it into equal shares. Nevertheless, despite these criticisms from both sides, Solon succeeded in gaining social peace. Further, by implementing new constitutional laws, he set up a “mighty shield against both parties and did not allow either to win an unjust victory” (Aristotle, The Athenian Constitution). He introduced a system of checks and balances which would not favor any side, but took into consideration legitimate interests of all social groups. In his position, he could easily have become the tyrant over the city, but he did not seek power for himself. After he completed his reform, he left Athens in order to see whether it would stand the test of time, and returned to his country only ten years later. Even though in 561 Pisistratus seized power and became the first in a succession of Athenian tyrants, and in 461 the democratic leader Ephialtes abolished the checks upon popular sovereignty, Solon’s reform provided the ancient Greeks with a model of both political leadership and order based on impartiality and fairness. Justice for Solon is not an arithmetical equality: giving equal shares to all alike irrespective of merit, which represents the democratic concept of distributive justice, but it is equity or fairness based on difference: giving shares proportionate to the merit of those who receive them. The same ideas of political order, leadership, and justice can be found in Plato’s dialogues.

For Plato, like for Solon, the starting point for the inquiry about the best political order is the fact of social diversity and conflicting interests, which involve the danger of civil strife. The political community consists of different parts or social classes, such as the noble, the rich, and the poor, each representing different values, interests, and claims to rule. This gives rise to the controversy of who should rule the community, and what is the best political system. In both the Republic and the Laws, Plato asserts not only that factionalism and civil war are the greatest dangers to the city, more dangerous even than war against external enemies, but also that peace obtained by the victory of one part and the destruction of its rivals is not to be preferred to social peace obtained through the friendship and cooperation of all the city’s parts (Republic 462a-b, Laws 628a-b). Peace for Plato is, unlike for Marxists and other radical thinkers, not a status quo notion, related to the interest of the privileged group, but a value that most people usually desire. He does not stand for war and the victory of one class, but for peace in social diversity. “The best is neither war nor faction – they are things we should pray to be spared from – but peace and mutual good will” (628c). Building on the pre-philosophical insights of Solon and his concept of balancing conflicting interests, in both the Republic and the Laws, Plato offers two different solutions to the same problem of social peace based on the equilibrium and harmonious union of different social classes. If in the Republic it is the main function of the political leadership of philosopher-rulers to make the civil strife cease, in the Laws this mediating function is taken over by laws. The best political order for Plato is that which promotes social peace in the environment of cooperation and friendship among different social groups, each benefiting from and each adding to the common good. The best form of government, which he advances in the Republic, is a philosophical aristocracy or monarchy, but that which he proposes in his last dialogue the Laws is a traditional polity: the mixed or composite constitution that reconciles different partisan interests and includes aristocratic, oligarchic, and democratic elements.

5. The Government of Philosopher Rulers

It is generally believed today that democracy, “government of the people by the people and for the people,” is the best and only fully justifiable political system. The distinct features of democracy are freedom and equality. Democracy can be described as the rule of the free people who govern themselves, either directly or though their representatives, in their own interest. Why does Plato not consider democracy the best form of government? In the Republic he criticizes the direct and unchecked democracy of his time precisely because of its leading features (557a-564a). Firstly, although freedom is for Plato a true value, democracy involves the danger of excessive freedom, of doing as one likes, which leads to anarchy. Secondly, equality, related to the belief that everyone has the right and equal capacity to rule, brings to politics all kinds of power-seeking individuals, motivated by personal gain rather than public good. Democracy is thus highly corruptible. It opens gates to demagogues, potential dictators, and can thus lead to tyranny. Hence, although it may not be applicable to modern liberal democracies, Plato’s main charge against the democracy he knows from the ancient Greek political practice is that it is unstable, leading from anarchy to tyranny, and that it lacks leaders with proper skill and morals. Democracy depends on chance and must be mixed with competent leadership (501b). Without able and virtuous leaders, such as Solon or Pericles, who come and go by chance, it is not a good form of government. But even Pericles, who as Socrates says made people “wilder” rather than more virtuous, is considered not to be the best leader (Gorgias, 516c). If ruling a state is a craft, indeed statecraft, Plato argues, then politics needs expert rulers, and they cannot come to it merely by accident, but must be carefully selected and prepared in the course of extensive training. Making political decisions requires good judgment. Politics needs competence, at least in the form of today’s civil servants. Who then should the experts be and why? Why does Plato in the Republic decide to hand the steering wheel of the state to philosophers?

In spite of the idealism with which he is usually associated, Plato is not politically naive. He does not idealize, but is deeply pessimistic about human beings. Most people, corrupted as they are, are for him fundamentally irrational, driven by their appetites, egoistic passions, and informed by false beliefs. If they choose to be just and obey laws, it is only because they lack the power to act criminally and are afraid of punishment (Republic, 359a). Nevertheless, human beings are not vicious by nature. They are social animals, incapable of living alone (369a-b). Living in communities and exchanging products of their labor is natural for them, so that they have capacities for rationality and goodness. Plato, as later Rousseau, believes that once political society is properly ordered, it can contribute to the restoration of morals. A good political order, good education and upbringing can produce “good natures; and [these] useful natures, who are in turn well educated, grow up even better than their predecessors” (424a). Hence, there are in Plato such elements of the idealistic or liberal world view as the belief in education and progress, and a hope for a better future. The quality of human life can be improved if people learn to be rational and understand that their real interests lie in harmonious cooperation with one another, and not in war or partisan strife. However, unlike Rousseau, Plato does not see the best social and political order in a democratic republic. Opinions overcome truth in everyday life. Peoples’ lives and the lives of communities are shaped by the prevailing beliefs. If philosophers are those who can distinguish between true and false beliefs, who love knowledge and are motivated by the common good, and finally if they are not only master-theoreticians, but also the master-practitioners who can heal the ills of their society, then they, and not democratically elected representatives, must be chosen as leaders and educators of the political community and guide it to proper ends. They are required to counteract the destabilizing effects of false beliefs on society. Are philosophers incorruptible? In the ideal city there are provisions to minimize possible corruption, even among the good-loving philosophers. They can neither enjoy private property nor family life. Although they are the rulers, they receive only a modest remuneration from the state, dine in common dining halls, and have wives and children in common. These provisions are necessary, Plato believes, because if the philosopher-rulers were to acquire private land, luxurious homes, and money themselves, they would soon become hostile masters of other citizens rather than their leaders and allies (417a-b). The ideal city becomes a bad one, described as timocracy, precisely when the philosophers neglect music and physical exercise, and begin to gather wealth (547b).

To be sure, Plato’s philosophers, among whom he includes both men and women, are not those who can usually be found today in departments of philosophy and who are described as the “prisoners who take refuge in a temple” (495a). Initially chosen from among the brightest, most stable, and most courageous children, they go through a sophisticated and prolonged educational training which begins with gymnastics, music and mathematics, and ends with dialectic, military service and practical city management. They have superior theoretical knowledge, including the knowledge of the just, noble, good and advantageous, but are not inferior to others in practical matters as well (484d, 539e). Being in the final stage of their education illuminated by the idea of the good, they are those who can see beyond changing empirical phenomena and reflect on such timeless values as justice, beauty, truth, and moderation (501b, 517b). Goodness is not merely a theoretical idea for them, but the ultimate state of their mind. If the life of the philosopher-rulers is not of private property, family or wealth, nor even of honor, and if the intellectual life itself seems so attractive, why should they then agree to rule? Plato’s answer is in a sense a negative one. Philosophical life, based on contemplative leisure and the pleasure of learning, is indeed better and happier than that of ruling the state (519d). However, the underlying idea is not to make any social class in the city the victorious one and make it thus happy, but “to spread happiness throughout the city by bringing the citizens into harmony with each other … and by making them share with each other the benefits that each class can confer on the community” (519e). Plato assumes that a city in which the rulers do not govern out of desire for private gain, but are least motivated by personal ambition, is governed in the way which is the finest and freest from civil strife (520d). Philosophers will rule not only because they will be best prepared for this, but also because if they do not, the city will no longer be well governed and may fall prey to economic decline, factionalism, and civil war. They will approach ruling not as something really enjoyable, but as something necessary (347c-d).

Objections against the government of philosopher-rulers can be made. Firstly, because of the restrictions concerning family and private property, Plato is often accused of totalitarianism. However, Plato’s political vision differs from a totalitarian state in a number of important aspects. Especially in the Laws he makes clear that freedom is one of the main values of society (701d). Other values for which Plato stands include justice, friendship, wisdom, courage, and moderation, and not factionalism or terror that can be associated with a totalitarian state. The restrictions which he proposes are placed on the governors, rather than on the governed. Secondly, one can argue that there may obviously be a danger in the self-professed claim to rule of the philosophers. Individuals may imagine themselves to be best qualified to govern a country, but in fact they may lose contact with political realities and not be good leaders at all. If philosopher-rulers did not have real knowledge of their city, they would be deprived of the essential credential that is required to make their rule legitimate, namely, that they alone know how best to govern. Indeed, at the end of Book VII of the Republic where philosophers’ education is discussed, Socrates says: “I forgot that we were only playing, and so I spoke too vehemently” (536b), as if to imply that objections can be made to philosophical rule. As in a few other places in the dialogue, Plato throws his political innovation open to doubt. However, in Plato’s view, philosopher-rulers do not derive their authority solely from their expert knowledge, but also from their love of the city as a whole and their impartiality and fairness. Their political authority is not only rational but also substantially moral, based on the consent of the governed. They regard justice as the most important and most essential thing (540e). Even if particular political solutions presented in the Republic may be open to questioning, what seems to stand firm is the basic idea that underlies philosophers’ governance and that can be traced back to Solon: the idea of fairness based on difference as the basis of the righteous political order. A political order based on fairness leads to friendship and cooperation among different parts of the city.

For Plato, as for Solon, government exists for the benefit of all citizens and all social classes, and must mediate between potentially conflicting interests. Such a mediating force is exercised in the ideal city of the Republic by the philosopher-rulers. They are the guarantors of the political order that is encapsulated in the norm that regulates just relations of persons and classes within the city and is expressed by the phrase: “doing one’s own work and not meddling with what isn’t one’s own” (433a-b). If justice is related to equality, the notion of equality is indeed preserved in Plato’s view of justice expressed by this norm as the impartial, equal treatment of all citizens and social groups. It is not the case that Plato knew that his justice meant equality but really made inequality, as Karl Popper (one of his major critics) believed. In the ideal city all persons and social groups are given equal opportunities to be happy, that is, to pursue happiness, but not at the expense of others. Their particular individual, group or class happiness is limited by the need of the happiness for all. The happiness of the whole city is not for Plato the happiness of an abstract unity called the polis, or the happiness of the greatest number, but rather the happiness of all citizens derived from a peaceful, harmonious, and cooperative union of different social classes. According to the traditional definition of justice by Simonides from Book I, which is reinterpreted in Book IV, as “doing one’s own work,” each social class receives its proper due in the distribution of benefits and burdens. The philosopher-rulers enjoy respect and contemplative leisure, but not wealth or honors; the guardian class, the second class in the city, military honors, but not leisure or wealth; and the producer class, family life, wealth, and freedom of enterprise, but not honors or rule. Then, the producers supply the city with goods; the guardians, defend it; and the philosophers, attuned to virtue and illuminated by goodness, rule it impartially for the common benefit of all citizens. The three different social classes engage in mutually beneficial enterprise, by which the interests of all are best served. Social and economic differences, i.e. departures from equality, bring about benefits to people in all social positions, and therefore, are justified. In the Platonic vision of the Republic, all social classes get to perform what they are best fit to do and are unified into a single community by mutual interests. In this sense, although each are different, they are all friends.

6. Politics and the Soul

It can be contended that the whole argument of the Republic is made in response to the denial of justice as a universal moral value expressed in Thrasymachus’ statement: “Justice is nothing else than the interest of the stronger.” Moral relativism, the denial of the harmony of interests, and other problems posed by this statement are a real challenge for Plato for whom justice is not merely a notion relative to the existing laws instituted by the victorious factions in power. In the Laws a similar statement is made again (714c), and it is interpreted as the right of the strong, the winner in a political battle (715a). By such interpretation, morality is denied and the right to govern, like in the “Melian Dialogue” of Thucydides, is equated simply with might. The decisions about morals and justice which we make are for Plato “no trifle, but the foremost thing” (714b). The answer to the question of what is right and what is wrong can entirely determine our way of life, as individuals and communities. If Plato’s argument about justice presented in both the Republic and the Laws can be summarized in just one sentence, the sentence will say: “Justice is neither the right of the strong nor the advantage of the stronger, but the right of the best and the advantage of the whole community.” The best, as explained in the Republic, are the expert philosophical rulers. They, the wise and virtuous, free from faction and guided by the idea of the common good, should rule for the common benefit of the whole community, so that the city will not be internally divided by strife, but one in friendship (Republic, 462a-b). Then, in the Laws, the reign of the best individuals is replaced by the reign of the finest laws instituted by a judicious legislator (715c-d). Throughout this dialogue Plato’s guiding principle is that the good society is a harmonious union of different social elements that represent two key values: wisdom and freedom (701d). The best laws assure that all the city’s parts: the democratic, the oligarchic, and the aristocratic, are represented in political institutions: the popular Assembly, the elected Council, and the Higher Council, and thus each social class receives its due expression. Still, a democratic skeptic can feel dissatisfied with Plato’s proposal to grant the right to rule to the best, either individuals or laws, even on the basis of tacit consent of the governed. The skeptic may believe that every adult is capable of exercising the power of self-direction, and should be given the opportunity to do so. He will be prepared to pay the costs of eventual mistakes and to endure an occasional civil unrest or even a limited war rather than be directed by anyone who may claim superior wisdom. Why then should Plato’s best constitution be preferable to democracy? In order to fully explain the Platonic political vision, the meaning of “the best” should be further clarified.

In the short dialogue Alcibiades I, little studied today and thought by some scholars as not genuine, though held in great esteem by the Platonists of antiquity, Socrates speaks with Alcibiades. The subject of their conversation is politics. Frequently referred to by Thucydides in the History of the Peloponnesian War, Alcibiades, the future leader of Athens, highly intelligent and ambitious, largely responsible for the Athenian invasion of Sicily, is at the time of conversation barely twenty years old. The young, handsome, and well-born Alcibiades of the dialogue is about to begin his political career and to address the Assembly for the first time (105a-b). He plans to advise the Athenians on the subject of peace and war, or some other important affair (107d). His ambitions are indeed extraordinary. He does not want just to display his worth before the people of Athens and become their leader, but to rule over Europe and Asia as well (105c). His dreams resemble that of the future Alexander the Great. His claim to rule is that he is the best. However, upon Socrates’ scrutiny, it becomes apparent that young Alcibiades knows neither what is just, nor what is advantageous, nor what is good, nor what is noble, beyond what he has learned from the crowd (110d-e, 117a). His world-view is based on unexamined opinions. He appears to be the worst type of ignorant person who pretends that he knows something but does not. Such ignorance in politics is the cause of mistakes and evils (118a). What is implied in the dialogue is that noble birth, beautiful looks, and even intelligence and power, without knowledge, do not give the title to rule. Ignorance, the condition of Alcibiades, is also the condition of the great majority of the people (118b-c). Nevertheless, Socrates promises to guide Alcibiades, so that he becomes excellent and renowned among the Greeks (124b-c). In the course of further conversation, it turns out that one who is truly the best does not only have knowledge of political things, rather than an opinion about them, but also knows one’s own self and is a beautiful soul. He or she is perfect in virtue. The riches of the world can be entrusted only to those who “take trouble over” themselves (128d), who look “toward what is divine and bright” (134d), and who following the supreme soul, God, the finest mirror of their own image (133c), strive to be as beautiful and wealthy in their souls as possible (123e, 131d). The best government can be founded only on beautiful and well-ordered souls.

In a few dialogues, such as Phaedo, the Republic, Phaedrus, Timaeus, and the Laws, Plato introduces his doctrine of the immortality of the soul. His ultimate answer to the question “Who am I?” is not an “egoistic animal” or an “independent variable,” as the twentieth century behavioral researcher blatantly might say, but an “immortal soul, corrupted by vice and purified by virtue, of whom the body is only an instrument” (129a-130c). Expert political knowledge for him should include not only knowledge of things out there, but also knowledge of oneself. This is because whoever is ignorant of himself will also be ignorant of others and of political things, and, therefore, will never be an expert politician (133e). Those who are ignorant will go wrong, moving from one misery to another (134a). For them history will be a tough teacher, but as long they do not recognize themselves and practice virtue, they will learn nothing. Plato’s good society is impossible without transcendence, without a link to the perfect being who is God, the true measure of all things. It is also impossible without an ongoing philosophical reflection on whom we truly are. Therefore, democracy would not be a good form of government for him unless, as it is proposed in the Laws, the element of freedom is mixed with the element of wisdom, which includes ultimate knowledge of the self. Unmixed and unchecked democracy, marked by the general permissiveness that spurs vices, makes people impious, and lets them forget about their true self, is only be the second worst in the rank of flawed regimes after tyranny headed by a vicious individual. This does not mean that Plato would support a theocratic government based on shallow religiosity and religious hypocrisy. There is no evidence for this. Freedom of speech, forming opinions and expressing them, which may be denied in theocracy, is a true value for Plato, along with wisdom. It is the basic requirement for philosophy. In shallow religiosity, like in atheism, there is ignorance and no knowledge of the self either. In Book II of the Republic, Plato criticizes the popular religious beliefs of the Athenians, who under the influence of Homer and Hesiod attribute vices to the gods and heroes (377d-383c). He tries to show that God is the perfect being, the purest and brightest, always the same, immortal and true, to whom we should look in order to know ourselves and become pure and virtuous (585b-e). God, and not human beings, is the measure of political order (Laws, 716c).

7. Plato’s Achievement

Plato’s greatest achievement may be seen firstly in that he, in opposing the sophists, offered to decadent Athens, which had lost faith in her old religion, traditions, and customs, a means by which civilization and the city’s health could be restored: the recovery of order in both the polis and the soul.

The best, rational and righteous political order leads to the harmonious unity of a society and allows all the city’s parts to pursue happiness but not at the expense of others. The characteristics of a good political society, of which most people can say “it is mine” (462c), are described in the Republic by four virtues: justice, wisdom, moderation, and courage. Justice is the equity or fairness that grants each social group its due and ensures that each “does one’s own work” (433a). The three other virtues describe qualities of different social groups. Wisdom, which can be understood as the knowledge of the whole, including both knowledge of the self and political prudence, is the quality of the leadership (428e-429a). Courage is not merely military courage but primarily civic courage: the ability to preserve the right, law-inspired belief, and stand in defense of such values as friendship and freedom on which a good society is founded. It is the primary quality of the guardians (430b). Finally, moderation, a sense of the limits that bring peace and happiness to all, is the quality of all social classes. It expresses the mutual consent of both the governed and the rulers as to who should rule (431d-432a). The four virtues of the good society describe also the soul of a well-ordered individual. Its rational part, whose quality is wisdom, nurtured by fine words and learning, should together with the emotional or spirited part, cultivated by music and rhythm, rule over the volitional or appetitive part (442a). Under the leadership of the intellect, the soul must free itself from greed, lust, and other degrading vices, and direct itself to the divine. The liberation of the soul from vice is for Plato the ultimate task of humans on earth. Nobody can be wicked and happy (580a-c). Only a spiritually liberated individual, whose soul is beautiful and well ordered, can experience true happiness. Only a country ordered according to the principles of virtue can claim to have the best system of government.

Plato’s critique of democracy may be considered by modern readers as not applicable to liberal democracy today. Liberal democracies are not only founded on considerations of freedom and equality, but also include other elements, such as the rule of law, multiparty systems, periodic elections, and a professional civil service. Organized along the principle of separation of powers, today’s Western democracy resembles more a revised version of mixed government, with a degree of moderation and competence, rather than the highly unstable and unchecked Athenian democracy of the fourth and fifth century B.C.E., in which all governmental policies were directly determined by the often changing moods of the people. However, what still seems to be relevant in Plato’s political philosophy is that he reminds us of the moral and spiritual dimension of political life. He believes that virtue is the lifeblood of any good society.

Moved by extreme ambitions, the Athenians, like the mythological Atlantians described in the dialogue Critias, became infected by “wicked coveting and the pride of power” (121b). Like the drunken Alcibiades from the Symposium, who would swap “bronze for gold” and thus prove that he did not understand the Socratic teaching, they chose the “semblance of beauty,” the shining appearance of power and material wealth, rather than the “thing itself,” the being of perfection (Symposium, 218e). “To the seen eye they now began to seem foul, for they were losing the fairest bloom from their precious treasure, but to such who could not see the truly happy life, they would appear fair and blessed” (Critias, 121b). They were losing their virtuous souls, their virtue by which they could prove themselves to be worthy of preservation as a great nation. Racked by the selfish passions of greed and envy, they forfeited their conception of the right order. Their benevolence, the desire to do good, ceased. “Man and city are alike,” Plato claims (Republic, 577d). Humans without souls are hollow. Cities without virtue are rotten. To those who cannot see clearly they may look glorious but what appears bright is only exterior. To see clearly what is visible, the political world out there, Plato argues, one has first to perceive what is invisible but intelligible, the soul. One has to know oneself. Humans are immortal souls, he claims, and not just independent variables. They are often egoistic, but the divine element in them makes them more than mere animals. Friendship, freedom, justice, wisdom, courage, and moderation are the key values that define a good society based on virtue, which must be guarded against vice, war, and factionalism. To enjoy true happiness, humans must remain virtuous and remember God, the perfect being.

Plato’s achievement as a political philosopher may be seen in that he believed that there could be a body of knowledge whose attainment would make it possible to heal political problems, such as factionalism and the corruption of morals, which can bring a city to a decline. The doctrine of the harmony of interests, fairness as the basis of the best political order, the mixed constitution, the rule of law, the distinction between good and deviated forms of government, practical wisdom as the quality of good leadership, and the importance of virtue and transcendence for politics are the political ideas that can rightly be associated with Plato. They have profoundly influenced subsequent political thinkers.

Author Information

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

Philo of Alexandria (c. 20 B.C.E.—40 C.E.)

Philo_of_AlexandriaPhilo of Alexandria, a Hellenized Jew also called Judaeus Philo, is a figure that spans two cultures, the Greek and the Hebrew. When Hebrew mythical thought met Greek philosophical thought in the first century B.C.E. it was only natural that someone would try to develop speculative and philosophical justification for Judaism in terms of Greek philosophy. Thus Philo produced a synthesis of both traditions developing concepts for future Hellenistic interpretation of messianic Hebrew thought, especially by Clement of Alexandria, Christian Apologists like Athenagoras, Theophilus, Justin Martyr, Tertullian, and by Origen. He may have influenced Paul, his contemporary, and perhaps the authors of the Gospel of John (C. H. Dodd) and the Epistle to the Hebrews (R. Williamson and H. W. Attridge). In the process, he laid the foundations for the development of Christianity in the West and in the East, as we know it today. Philo’s primary importance is in the development of the philosophical and theological foundations of Christianity. The church preserved the Philonic writings because Eusebius of Caesarea labeled the monastic ascetic group of Therapeutae and Therapeutrides, described in Philo’s The Contemplative Life, as Christians, which is highly unlikely. Eusebius also promoted the legend that Philo met Peter in Rome. Jerome (345-420 C.E.) even lists him as a church Father. Jewish tradition was uninterested in philosophical speculation and did not preserve Philo’s thought. According to H. A. Wolfson, Philo was a founder of religious philosophy, a new habit of practicing philosophy. Philo was thoroughly educated in Greek philosophy and culture as can be seen from his superb knowledge of classical Greek literature. He had a deep reverence for Plato and referred to him as “the most holy Plato” (Prob. 13). Philo’s philosophy represented contemporary Platonism which was its revised version incorporating Stoic doctrine and terminology via Antiochus of Ascalon (ca 90 B.C.E.) and Eudorus of Alexandria, as well as elements of Aristotelian logic and ethics and Pythagorean ideas. Clement of Alexandria even called Philo “the Pythagorean.”  But it seems that Philo also picked up his ancestral tradition, though as an adult, and once having discovered it, he put forward the teachings of the Jewish prophet, Moses, as “the summit of philosophy” (Op. 8), and considered Moses the teacher of Pythagoras (b. ca 570 B.C.E.) and of all Greek philosophers and lawgivers (Hesiod, Heraclitus, Lycurgus, to mention a few). For Philo, Greek philosophy was a natural development of the revelatory teachings of Moses. He was no innovator in this matter because already before him Jewish scholars attempted the same. Artapanus in the second century B.C.E identified Moses with Musaeus and with Orpheus. According to Aristobulus of Paneas (first half of the second century B.C.E.), Homer and Hesiod drew from the books of Moses which were translated into Greek long before the Septuagint.

Table of Contents

  1. Life
  2. Philo’s Works and Their Classification
  3. Technique of Exposition
  4. Emphasis on Contemplative Life and Philosophy
  5. Philosophy and Wisdom: a Path to Ethical Life
  6. Philo’s Ethical Doctrine
  7. Philo’s Mysticism and Transcendence of God
  8. Source of Intuition of the Infinite Reality
  9. Philo’s Doctrine of Creation
    1. Philo’s Model of Creation
    2. Eternal Creation
  10. Doctrine of Miracles: Naturalism and Comprehension
  11. Doctrine of the Logos in Philo’s Writings
    1. The Utterance of God
    2. The Divine Mind
    3. God’s Transcendent Power
    4. First-born Son of God
    5. Universal Bond: in the Physical World and in the Human Soul
    6. Immanent Reason
    7. Immanent Mediator of the Physical Universe
    8. The Angel of the Lord, Revealer of God
    9. Multi-Named Archetype
    10. Soul-Nourishing Manna and Wisdom
    11. Intermediary Power
    12. “God”
    13. Summary of Philo’s Concept of the Logos
  12. List of abbreviations to Philo’s works
  13. Editions of Philo’s works and their translations
  14. Major Works on Philo

1. Life

Very little is known about the life of Philo. He lived in Alexandria, which at that time counted, according to some estimates, about one million people and included largest Jewish community outside of Palestine. He came from a wealthy and the prominent family and appears to be a leader in his community. Once he visited Jerusalem and the temple, as he himself stated in Prov. 2.64. Philo’s brother, Alexander, was a wealthy, prominent Roman government official, a custom agent responsible for collecting dues on all goods imported into Egypt from the East. He donated money to plate the gates of the temple in Jerusalem with gold and silver. He also made a loan to Herod Agrippa I, grandson of Herod the Great.  Alexander’s two sons, Marcus and Tiberius Julius Alexander were involved in Roman affairs. Marcus married Bernice,  the daughter of Herod Agrippa I, who is mentioned in Acts (25:13, 23; 26:30). The other son, Tiberius Julius Alexander, described by Josephus as “not remaining true to his ancestral practices” became procurator of the province of Judea (46-48 C.E.) and prefect of Egypt (66-70 C.E.). Philo was involved in the affairs of his community which interrupted his contemplative life (Spec. leg. 3.1-6), especially during the crisis relating to the pogrom which was initiated in 38 C.E. by the prefect Flaccus, during the reign of emperor Gaius Caligula. He was elected to head the Jewish delegation, which apparently included his brother Alexander and nephew Tiberius Julius Alexander, and was sent to Rome in 39-40 B.C.E. to see the emperor. He reported the events in his writings Against Flaccus and The Embassy to Gaius.

2. Philo’s Works and Their Classification

The major part of Philo’s writings consists of philosophical essays dealing with the main themes of biblical thought that present a systematic and precise exposition of his views. One has the impression that he attempted to show that the philosophical Platonic or Stoic ideas were nothing but the deductions made from the biblical verses of Moses. Philo was not an original thinker, but he was well acquainted with the entire range of Greek philosophical traditions through the original texts. If there are gaps in his knowledge, they are rather in his Jewish tradition as evidenced by his relying on the Greek translation of the Hebrew Bible. In his attempt to reconcile the Greek way of thinking with his Hebrew tradition he had antecedents such as Pseudo-Aristeas and Aristobulus.

Philo’s works are divided into three categories:

1. The first group comprises writings that paraphrase the biblical texts of Moses: On Abraham, On the Decalogue, On Joseph, The Life of Moses, On the Creation of the World, On Rewards and Punishments, On the Special Laws, On the Virtues. A series of works include allegorical explanations of Genesis 2-41: On Husbandry, On the Cherubim, On the Confusion of Tongues, On the Preliminary Studies, The Worse Attacks the Better, On Drunkenness, On Flight and Finding, On the Giants, Allegorical Interpretation (Allegory of the Law), On the Migration of Abraham, On the Change of Names, On Noah’s Work as a Planter, On the Posterity and Exile of Cain, Who is the Heir, On the Unchangeableness of God, On the Sacrifices of Abel and Cain, On Sobriety, On Dreams. Here belong also: Questions and Answers on Genesis and Questions and Answers on Exodus (aside from fragments preserved only in Armenian).

2. A series of works classified as philosophical treatises: Every Good Man is Free (a sequel of which had the theme that every bad man is a slave, which did not survive); On the Eternity of the World; On Providence (except for lengthy fragments preserved in Armenian); Alexander or On Whether Brute Animals Possess Reason (preserved only in Armenian) and called in Latin De Animalibus (On the Animals); a brief fragment De Deo (On God), preserved only in Armenian is an exegesis of Genesis 18, and belongs to the Allegory of the Law.

3. The third group includes historical-apologetic writings: Hypothetica or Apologia Pro Judaeos which survives only in two Greek extracts quoted by Eusebius. The first extract is a rationalistic version of Exodus giving a eulogic account of Moses and a summary of Mosaic constitution contrasting its severity with the laxity of the gentile laws; the second extract describes the Essenes. The other apologetic essays include Against Flaccus, The Embassy to Gaius, and On the Contemplative Life. But all these works are related to Philo’s explanations of the texts of Moses.

3. Technique of Exposition

Philo uses an allegorical technique for interpretation of the Hebrew myth and in this he follows the Greek tradition of Theagenes of Rhegium (second half of the sixth century B.C.E.). Theagenes used this approach in defense of Homer’s theology against the detractors. He said that the myths of gods struggling with each other referred to the opposition between the elements; the names of gods were made to refer to various dispositions of the soul, e.g., Athena was reflection, Aphrodite, desire, Hermes, elocution. Anaxagoras, too, explained the Homeric poems as discussions of virtue and justice. The Sophist Prodicus of Ceos (b. 470 B.C.E.), contemporary of Socrates, interpreted the gods of Homeric stories as personifications of those natural substances that are useful to human life [e.g., bread and Demeter, wine and Dionysus, water and Poseidon, fire and Hephaestus].  He also employed ethical allegory. His treatise, The Seasons, contains a Parable of Heracles, paraphrased in Xenophon’s Memorabilia (2.1.21-34), which tells the story of Heracles who, at crossroad, was attracted by Virtue and Vice in the form of two women of great stature (Sacr. 20-44). The allegory was used by the cynic Antisthenes (contemporary of Plato) and Diogenes the Cynic.  Stoics expanded the Cynics’ use of Homeric allegory in the interest of their philosophical system. Using this allegorical method, Philo seeks out the hidden message beneath the surface of any particular text and tries to read back a new doctrine into the work of the past. In a similar way Plutarch allegorized the ancient Egyptian mythology giving it a new meaning. But in some aspects of Jewish life Philo defends the literal interpretation of his tradition as in the debate on circumcision or the Sabbath (Mig. 89-93; Spec. leg. 1.1-11). Though he acknowledges the symbolic meaning of these rituals, he insists on their literal interpretation.

4. Emphasis on Contemplative Life and Philosophy

The key emphasis in Philo’s philosophy is contrasting the spiritual life, understood as intellectual contemplation, with the mundane preoccupation with earthly concerns, either as an active life or as a search for pleasure. Philo disdained the material world and physical body (Spec. leg. 3.1-6). The body was for Philo as for Plato,  “an evil and a dead thing” (LA 3.72-74; Gig. 15), wicked by nature and a plotter against the soul (LA 3.69). But it was a necessary evil, hence Philo does not advocate a complete abnegation from life. On the contrary he advocates fulfilling first the practical obligations toward men and the use of mundane possessions for the accomplishment of praiseworthy works (Fug. 23-28; Plant. 167-168). Similarly he considers pleasure indispensable and wealth useful, but for a virtuous man they are not a perfect good (LA 3.69-72). He believed that men should steer themselves away from the physical aspect of things gradually. Some people, like philosophers, may succeed in focusing their minds on the eternal realities. Philo believed that man’s final goal and ultimate bliss is in the “knowledge of the true and living God” (Decal. 81; Abr. 58; Praem. 14); “such knowledge is the boundary of happiness and blessedness” (Det. 86). To him, mystic vision allows our soul to see the Divine Logos (Ebr. 152) and achieve a union with God (Deut. 30:19-20; Post. 12). In a desire to validate the scripture as an inspired writing, he often compares it to prophetic ecstasy (Her. 69-70). His praise of the contemplative life of the monastic Therapeutae in Alexandria attests to his preference of bios theoreticos over bios practicos. He adheres to the Platonic picture of the souls descending into the material realm and that only the souls of philosophers are able to come to the surface and return to their realm in heaven (Gig. 12-15). Philo adopted the Platonic concept of the soul with its tripartite division. The rational part of the soul, however, is breathed into man as a part of God’s substance. Philo speaks figuratively  “Now, when we are alive, we are so though our soul is dead and buried in our body, as if in a tomb. But if it were to die, then our soul would live according to its proper life being released from the evil and dead body to which it is bound” (Op. 67-69; LA 1.108).

5. Philosophy and Wisdom: a Path to Ethical Life

Philo differentiated between philosophy and wisdom.  To him philosophy is “the greatest good thing to men” (Op. 53-54), which they acquired because of a gift of reason from God (Op. 77). It is a devotion to wisdom, and a way to acquire the highest knowledge, “an attentive study of wisdom.” Wisdom in turn is “the knowledge of all divine and human things, and of the respective causes of them” that is, according to Philo, contained in the Torah (Congr. 79). Hence it follows that Moses, as the author of the Torah, “had reached the very summit of philosophy” and “had learnt from the oracles of God the most numerous and important of the principles of nature” (Op. 8). Moses was also the interpreter of nature (Her. 213). By saying this Philo wanted to indicate that human wisdom has two origins: one is divine, the other is natural (Her. 182). Moreover, that Mosaic Law is not inconsistent with nature. A single law, the Logos of nature governs the entire world (Jos. 28-31) and its law is imprinted on the human mind (Prob. 46-47). Because of this we have a conscience that affects even wicked persons (QG 4.62). Wisdom is a consummated philosophy and as such has to be in agreement with the principles of nature (Mos. 2.48; Abr. 16; Op. 143; Spec. leg. 2.13; 3.46-47, 112, 137; Virt. 18). The study of philosophy has as its end “life in accordance with nature” and following the “path of right reason” (Mig. 128). Philosophy prepares us to a moral life, i.e., “to live in conformity with nature” (Prob. 160). From this follows that life in accordance with nature hastens us towards virtues (Mos. 2. 181; Abr. 60, Spec. leg. 1.155), and an unjust man is the one “who transgresses the ordinances of nature” (Spec. leg. 4.204; Cf. Decal. 132; Virt. 131-132; Plant. 49; Ebr. 142; Agr. 66). Thus Philo does not discount human reason, but contrasts only the true doctrine which is trust in God with uncertain, plausible, and unreliable reasoning (LA 3.228-229).

6. Philo’s Ethical Doctrine

Philo’s ethical doctrine is Stoic in its essence and includes the active effort to achieve virtue, the model of a sage to be followed, and practical advice concerning the achievement of the proper right reason and a proper emotional state of rational emotions (eupatheia). To Philo man is basically passive and it is God who sows noble qualities in the soul, thus we are instruments of God (LA 2.31-32; Cher. 127-128). Still man is the only creature endowed with freedom to act though his freedom is limited by the constitution of his mind. As such he is responsible for his action and “very properly receives blame for the offences which he designedly commits.” This is so because he received a faculty of voluntary motion and is free from the dominion of necessity (Deus 47-48). Philo advocates the practice of virtue in both the divine and the human spheres. Lovers only of God and lovers only of men are both incomplete in virtue. Philo advocates a middle harmonious way (Decal. 106-110; Spec. leg. 4. 102). He differentiates four virtues: wisdom, self-control, courage, and justice (LA 1.63-64). Human dispositions Philo divides into three groups – the best is given the vision of God, the next has a vision on the right i.e., the Beneficent or Creative Power whose name is God, and the third has a vision on the left, i.e., the Ruling Power called Lord (Abr. 119-130). Felicity is achieved in the culmination of three values: the spiritual, the corporeal, and the external (QG 3.16). Philo adopts the Stoic wise man as a model for human behavior. Such a wise man should imitate God who was impassible (apathes) hence the sage should achieve a state of apatheia, i.e., he should be free of irrational emotions (passions), pleasure, desire, sorrow, and fear, and should replace them by rational or well-reasoned emotions (eupatheia), joy, will, compunction, and caution. In such a state of eupatheia, the sage achieves a serene, stable, and joyful disposition in which he is directed by reason in his decisions (QG 2.57; Abr. 201-204; Fug. 166-167; Mig. 67). But at the same time Philo claims that the needs of the body should not be neglected and rejects the other extreme, i.e., the practice of austerities. Everything should be governed by reason, self-control, and moderation. Joy and pleasure do not have intrinsic values, but are by-products of virtue and characterize the sage (Fug. 25-34; Det. 124-125; LA 80).

7. Philo’s Mysticism and Transcendence of God

Mysticism is a doctrine that maintains that one can gain knowledge of reality that is not accessible to sense perception or to reason. It is usually associated with some mental and physical training and in the theistic version it involves a sensation of closeness to or unity with God experienced as temporal and spatial transcendence. According to Philo, man’s highest union with God is limited to God’s manifestation as the Logos. It is similar to a later doctrine of intellectual contact of our human intellect with the transcendent intellect developed by Alexander of Aphrodisias and Ibn Rushd and different from the Plotinian doctrine of the absorption into the ineffable one. The notion of the utter transcendence of the First Principle probably goes back as far as Anaximander who postulated the Indefinite (apeiron) as this Principle (arche) and could be found in Plato’s concept of the Good,  but the formulation is accredited to Speusippus, the successor of Plato in the Academy.  Philo’s biblical tradition in which one could not name or describe God was the major factor in accepting the Greek Platonic concepts and emphasis on God’s transcendence. But this position is rather alien to biblical and rabbinical understanding. In the Bible, God is represented in a “material” and “physical” way. Philosophically, however, Philo differentiated between the existence of God, which could be demonstrated, and the nature of God which humans are not able to cognize. God’s essence is beyond any human experience or cognition, therefore it can be described only by stating what God is not (via negativa) or by depriving him of any attribute of sensible objects and putting God beyond any attribute applicable to a sensible world (via eminentiae) because God alone is a being whose existence is his essence (Det. 160). Philo states in many places that God’s essence is one and single, that he does not belong to any class or that there is in God any distinction of genus and species. Therefore, we cannot say anything about his qualities “For God is not only devoid of peculiar qualities, but he is likewise not of the form of man” (LA 1.36); he “is free from distinctive qualities” (LA 1.51; 3.36; Deus 55). Strictly speaking, we cannot make any positive or negative statements about God: “Who can venture to affirm that … he is a body, or that he is incorporeal, or that he has such and such distinctive qualities, or that he has no such qualities? … But he alone can utter a positive assertion respecting himself, since he alone has an accurate knowledge of his own nature” (LA 3.206). Moreover, since the essence of God is single, therefore its property must be one which Philo denotes as acting “Now it is an especial attribute of God to create, and this faculty it is impious to ascribe to any created being” (Cher. 77). The expression of this act of God, which is at the same time his thinking, is his Logos (Prov. 1.7; Sacr. 65; Mos. 1.283). Though God is hidden, his reality is made manifest by the Logos that is God’s image (Somn. 1.239; Conf. 147-148) and by the sensible universe, which in turn is the image of the Logos, that is “the archetypal model, the idea of ideas” (Op. 25). Because of this we can perceive God’s existence, though we cannot fathom his essence. But there are degrees and levels to our cognizance of God. Those at the summit and the highest level may grasp the unity of the powers of God, at the lower level people recognize the Logos as the Regent Power, and those still at the lowest level, immersed in the sensible world are unable to perceive the intelligible reality (Fug. 94; Abr. 124-125). Steps in mystic experience involve a realization of human nothingness, a realization that the one who acts is God alone, and abandonment of our sense of perception (Her. 69-71; Plant. 64; Conf. 95; Ebr. 152). A mystic state will produce a sensation of tranquility, and stability; it appears suddenly and is described as a sober intoxication (Gig. 49; Sacr. 78; Somn. 1.71; Op. 70-71).

8. Source of Intuition of the Infinite Reality

According to Philo the highest knowledge man may have is the knowledge of infinite reality which is not accessible by the normal senses, but by unmediated intuition of divinity. Humans were endowed with the mind, i.e., ability to reason and the outward senses. We received the first in order that we might consider the things that are discernable only by the intellect, the end of which is truth, and the second for the perception of visible things the end of which is opinion. Opinions are unstable, based on probability, and untrustworthy. Thus by this divine gift men are able to come to a conclusion about the existence of the divinity. They can do it in two ways: one is the apprehension of God through contemplation of his creation and forming a “conjectural conception of the Creator by a probable train of reasoning”(Praem. 43). And in the process the soul may climb the ladder to perfection by using natural means i.e., natural dispositions, instruction, i.e., being educated to virtue, or by meditation. The other is a direct apprehension by being instructed by God himself when the mind elevates itself above the physical world and perceives the uncreated One through a clear vision (Praem. 28-30, 40-66; LA 97-103). This vision is accessible to the “purified mind” to which God appears as One. To the mind uninitiated in the mysteries, unable to apprehend God alone by himself, but only through his actions, God appears as a triad constituted by him and his two powers, Creative and Royal (Abr. 97-103). Such a direct vision of God is not dependent on revelation but is possible because we have an impression of God in our mind, which is nothing but a tiny fragment of the Logos pervading the whole universe, not separated from its source, but only extended (Det. 90; Gig. 27; LA 1.37; Mut. 223; Spec. leg. 4.123). And we receive this portion of the Divine Mind at birth being endowed with a mind which makes us resemble God (Op. 65-69). At birth two powers enter every soul, the salutary (Beneficent) and the destructive (Unbounded). The world is created through these same powers. The creation is accomplished when ” the salutary and beneficent (power) brings to an end the unbounded and destructive nature.” Similarly, one or the other power may prevail in humans, but when the salutary power “brings to an end the unbounded and destructive nature” humans achieve immortality. Thus both the world and humans are a mixture of these powers and the prevailing one has the moral determination: “For the souls of foolish men have the unbounded and destructive rather than the powerful and salutary [power], and it is full of misery when it dwells with earthly creatures. But the prudent and noble [soul] receives the powerful and salutary [power] and, on the contrary, possesses in itself good fortune and happiness” (QE 1.23). Philo evidently analyzes these two powers on two levels. One is the divine level in which the Unlimited or the Unbounded is a representation of God’s infinite and immeasurable goodness and creativity. The Logos keeps it in balance through the Limit. The other level is the human one where the Unlimited or the Unbounded represents destruction and everything morally abhorrent. Human reason is able, however, to maintain in it some kind of balance. This mind, divine and immortal, is an additional and differentiating part of the human soul which animates man just like the souls of animals which are devoid of mind. The notion of God’s existence is thus imprinted in our mind that needs only some illumination to have a direct vision of God (Abr. 79-80; Det. 86-87; LA 1.38). Thus we can arrive at it through the dialectical reasoning as apprehension of the First Principle. Philo differentiates two modes for perceiving God, an inferential mode and a direct mode without mediation: “As long, therefore, as our mind still shines around and hovers around, pouring as it were a noontide light into the whole soul, we, being masters of ourselves, are not possessed by any extraneous influence” (Her. 264). Thus this direct mode is not in any way a type of inspiration or inspired prophecy; it is unlike “inspiration” when a “trance” or a “heaven-inflicted madness” seizes us and divine light sets as it happens “to the race of prophets” (Her. 265).

9. Philo’s Doctrine of Creation

Philo attempts to bridge the Greek “scientific” or rational philosophy with the strictly mythical ideology of the Hebrew scriptures. As a basis for the “scientific” approach he uses the worldview presented by Plato in Timaeus which remained influential in Hellenistic times. The characteristic feature of the Greek scientific approach is the biological interpretation of the physical world in anthropocentric terms, in terms of purpose and function that may apply to biological and psychological realities but may not be applied to the physical world. Moreover, Philo operates often on two levels: the level of mythical Hebraic religious tradition and the level of philosophical speculation in the Greek tradition. Nevertheless, Philo attempts to harmonize the Mosaic and Platonic accounts of the generation of the world by interpreting the biblical story using Greek scientific categories and concepts. He elaborates a religious-philosophical worldview that became the foundation for the future Christian doctrine. Philo’s doctrine of creation is intertwined with his doctrine of God and it answers two crucial questions: 1. Was the world created ex nihilo or from primordial matter? 2. Was creation a temporal act or is it an eternal process?

a. Philo’s Model of Creation

Though Philo’s model of creation comes from Plato’s Timaeus, the direct agent of creation is not God himself (described in Plato as Demiurge, Maker, Artificer), but the Logos. Philo believes that the Logos is “the man of God” (Conf. 41) or the shadow of God that was used as an instrument and a pattern of all creation (LA 3.96). The Logos converted unqualified, unshaped preexistent matter, which Philo describes as “destitute of arrangement, of quality, of animation, of distinctive character and full of disorder and confusion,” (Op. 22) into four primordial elements:

For it is out of that essence that God created everything, without indeed touching it himself, for it was not lawful for the all-wise and all-blessed God to touch materials which were all misshapen and confused, but he created them by the agency of his incorporeal powers, of which the proper name is Ideas, which he so exerted that every genus received its proper form (LA 1.329).

According to Philo, Moses anticipated Plato by teaching that water, darkness, and chaos existed before the world came into being (Op. 22).  Moses, having reached the philosophy summit, recognized that there are two fundamental principles of being, one, “an active cause, the intellect of the universe.” The other is passive, “inanimate and incapable of motion by any intrinsic power of its own” (Op. 8-9), matter, lifeless and motionless. But Philo is ambiguous in such statements as these: “God, who created all things, not only brought them all to light, but he has even created what before had no existence, not only being their maker, but also their founder” (Somn. 1.76; Op. 81); “God who created the whole universe out of things that had no previous existence…” (LA 3.10). It seems that Philo does not refer here to God’s creation of the visible world ex nihilo but to his creation of the intelligible Forms prior to the formation of the sensible world (Spec. leg. 1.328). Philo reasons that by analogy to the biblical version of the creation of man in the image of God, so the visible world as such must have been created in the image of its archetype present in the mind of God. “It is manifest also, that that archetypal seal, which we call that world which is perceptible only to the intellect, must itself be the archetypal model, the Idea of Ideas, the Logos of God” (Op. 25). In his doctrine of God Philo interprets the Logos, which is the Divine Mind as the Form of Forms (Platonic), the Idea of Ideas or the sum total of Forms or Ideas (Det. 75-76). The Logos is an indestructible Form of wisdom. Interpreting the garment of the high priest (Exod. 28:34; 36) Philo states: “But the seal is an Idea of Ideas, according to which God fashioned the world, being an incorporeal Idea, comprehensible only by the intellect” (Mig. 103). The invisible intelligible world which was used by the Logos as a model for creation or rather formation of the visible world from the (preexisting) unformed matter was created in the mind of God: “The incorporeal world then was already completed, having its seat in the Divine Logos and the world, perceptible by the external senses, was made on the model of it” (Op. 36). Describing Moses’ account of the creation of man, Philo states also that Moses calls the invisible Divine Logos the Image of God (Op. 24; 31; LA 1.9). Forms, though inapprehensible in essence, leave an impress and a copy and procure qualities and shapes to shapeless things and unorganized matter. Mind can grasp the Forms by longing for wisdom. “The desire for wisdom alone is continual and incessant, and it fills all its pupils and disciples with famous and most beautiful doctrines” (Spec. leg. 1-45-50). Creation thus took place from preexistent shapeless matter (Plato’s Receptacle) which is “the nurse of all becoming and change”  and for this creation God used the Forms which are his powers (Spec. leg. 1.327-329). This may seem a controversial point whether the primordial matter was preexistent or was created ex nihilo. Philo’s view is not clearly stated and there are seemingly contradictory statements. In some places Philo states, “for as nothing is generated out of nothing, so neither can anything which exists be destroyed as to become non-existence” (Aet. 5-6). The same is repeated in his De Specialibus legibus: “Being made of us [i.e. elements] when you were born, you will again be dissolved into us when you come to die; for it is not the nature of any thing to be destroyed so as to become nonexistent, but the end brings it back to those elements from which its beginnings come” (Spec. 1.266). The resolution of this seeming controversy is to be found in Philo’s theory of eternal creation, which is described next in connection with the Logos as the agent of creation. Philo, being a strict monist, could not accept the existence of independent and eternal preexistent matter (however disorganized and chaotic) as Plato did.

b. Eternal Creation

Philo denies the Aristotelian conclusion coming, according to him, from the superficial observation that the world existed from eternity, independent of any creative act. “For some men, admiring the world itself rather than the Creator of the world, have represented it as existing without any maker, and eternal, and as impiously and falsely have represented God as existing in a state of complete inactivity” (Op. 7). He elaborates instead his theory of the eternal creation (Prov. 1.6-9), as did Proclus (410-485 C.E.) much later in interpreting Plato.  Proclus brilliantly demonstrated that even in the theistic system the world though generated must be eternal, because the “world is always fabricated … is always becoming to be.”  Proclus believed, as did Philo, that the corporeal world is always coming into existence but never possesses real being. Thus God, according to Philo, did not begin to create the world at a certain moment, but he is “eternally applying himself to its creation” (Prov. 1.7; Op. 7; Aet. 83-84).

But God is the creator of time also, for he is the father of his father, and the father of time is the world, which made its own mother the creation of time, so that time stands towards God in the relation of a grandson; for this world is a younger son of God, inasmuch as it is perceptible by the outward sense, for the only son he speaks of as older than the world, is Idea, and this is not perceptible by the intellect, but having thought the other worthy of the rights of primogeniture, he has decided that it should remain with him; therefore, this younger son, perceptible by the external senses being set in motion, has caused the nature of time to shine forth, and to become conspicuous, so that there is nothing future to God, who has the very boundaries of time subject to him; for their life is not time, but the beautiful model of eternity; and in eternity nothing is past and nothing is future, but everything is present only (Deus. 31-32).

Philo contends that God thinks simultaneously with his acting or creating. “For God while he spake the word, did at the same moment create; nor did he allow anything to come between the Logos and the deed; and if one may advance a doctrine which is pretty nearly true, His Logos is his deed” (Sacr. 65; Mos.1.283). Thus any description of creation in temporal terms, e.g., by Moses, is not to be taken literally, but rather is an accommodation to the biblical language (Op. 19; Mut. 27; LA 2.9-13):

God is continuously ordering matter by his thought. His thinking was not anterior to his creating and there never was a time when he did not create, the Ideas themselves having been with him from the beginning. For God’s will is not posterior to him, but is always with him, for natural motions never give out. Thus ever thinking he creates, and furnishes to sensible things the principle of their existence, so that both should exist together: the ever-creating Divine Mind and the sense-perceptible things to which beginning of being is given (Prov. 1.7).

Thus Philo postulates a crucial modification to the Platonic doctrine of the Forms, namely that God himself eternally creates the intelligible world of Ideas as his thoughts. The intelligible Forms are thus the principle of existence to the sensible things which are given through them their existence. This simply means in mystical terms that nothing exists or acts except God. On this ideal model God then orders and shapes the formless matter through the agency of his Logos (Her. 134, 140) into the objects of the sensible world:

Now we must form a somewhat similar opinion of God [Philo makes an analogy to a plan of the city in the mind of its builder], who, having determined to found a mighty state, first of all conceived its form in his mind, according to which form he made a world perceptible only by the intellect, and then completed one visible to the external senses, using the first one as a model (Op. 19).

Philo claims a scriptural support for these metaphysics saying that the creation of the world was after the pattern of an intelligible world (Gen. 1:17) which served as its model. During the first day God created Ideas or Forms of heaven, earth, air (= darkness), empty space  (= abyss), water, pneuma (= mind), light, the intelligible pattern of the sun and the stars (Op. 29). There are, however, differences between Philo and Plato: according to Plato, there is no Form of space (chora). In Plato space is not apprehended by reason; rather it had its own special status in the world. Also pneuma as a Form of soul does not exist in the system of Plato. Plato designates this primordial unorganized state of matter a self-existing Receptacle; it is most stable and a permanent constituent: “It must be called always the same, for it never departs at all from its own character” (Plato, Timaeus 50b-c). Philo, being a strict monist could not allow even for a self-existing void so he makes its pattern an eternal idea in the divine mind. Before Philo there was no explicit theory of creation ex nihilo ever postulated in Jewish or Greek traditions. Both Philo and Plato do not explain how the reflections (eidola) of Forms are made in the world of senses. They do not attribute them to God or the Demiurge because it would be contrary to their conception of God as “good” and “desiring that all things should come as near as possible to being like himself.”  God could not create the copies of the Forms which should be “disordered.” It seems then that the primordial unorganized matter was spontaneously produced on the pattern of the Ideas. The Logos would shape the elements from this preexistent matter, first into heavy (or dense) and light (or rare) elements which were differentiated properly into water and earth, and air and fire (Her. 134-140; 143). As in Plato certain geometrical descriptions characterize Philo’s elements. Fire was characterized by a pyramid, air by an octahedron, water by an icosahedron, and earth by a cube (QG 3.49). In Plato’s theory too, one can envision a sort of automatic reflection of the Forms in the Receptacle due to the properties of Forms. God could not, according to Philo’s philosophy, create the preexistent matter. “And what God praised was not the materials which he had worked up in creation, destitute of life and melody, and easily dissolved, and moreover in their own intrinsic nature perishable, and out of proportion and full of iniquity, but rather his own skillful work, completed according to one equal and well-proportioned power and knowledge always alike and identical.” (Her. 160). Logically, God is for Philo indirectly the source of preexistent matter but Philo does not ascribe to God even the shaping of matter directly. In fact this unorganized matter never existed because it was simultaneously ordered into organized matter – the four elements from which the world is made.

10. Doctrine of Miracles: Naturalism and Comprehension

Closely connected with Philo’s doctrine of creation is his doctrine of miracles. His favorite statement is that “everything is possible with God.” This, however, does not mean that God can act outside the natural order of things or his own nature. Thus Philo emphasizes that God’s miraculous works are within the realm of the natural order. Doing this he extends the natural order to encompass the biblical miracles and tries to explain them by their coincidence with natural events. For example, the miracle at the Red Sea which he characterizes as a “mighty work of nature” (Mos. 1.165), or the plague of darkness as a total eclipse (Mos. 1.123), or the story of Balaam as an allegorical one (Cher. 32-35). This was the tendency inherited from some Stoics who attempted to explain miracles of divination as events preordered in nature by the divine power pervading it. Similarly Philo considers the biblical miracles as a part of the eternal pattern of the Logos acting in nature. Augustine considers miracles as implanted in the destiny of the cosmos since the time of its creation.  Philo and rabbinic literature emphasize the miraculous and marvelous character of nature itself. All natural things are wonderful, but are “despised by us by reason of our familiarity with them” and all things with which we are unaccustomed, make an impression on us “for the love of novelty”(Mos. 1.2-213). Even in modern Jewish teaching there is a tendency to explain the miraculous by the natural. Thus the one can find a certain discrepancy in Philo’s writing: on one hand Philo is rationalist and naturalist in the spirit of Greek philosophical tradition, on the other, he follows popular religion to preserve the biblical tradition. Philo emphasizes, however, that we are limited in our human capabilities to “comprehend everything” about the physical world, and it is better to “suspend our judgment” than to err:

But since we are found to be influenced in different manners by the same things at different times, we should have nothing positive to assert about anything, inasmuch as what appears has no settled or stationary existence, but is subject to various, and multiform, and ever-recurring changes. For it follows of necessity, since the imagination is unstable, that judgment formed by it must be unstable; and there are many reasons for this (Ebr. 170).

But we are able to comprehend things by comparing them with their opposites and thus arriving at their true nature. The same applies to what is virtue and to what is vice, and to what is just and good and to what is unjust and bad.

And, indeed, if any one considers everything that is in the world, he will be able to arrive at a proper estimate of its character, by taking it in the same manner; for each separate thing is by itself incomprehensible, but by a comparison with another thing, is easy to understand (Ebr. 187).

The same reasoning he extends to differences between national customs and ancient laws which vary according to countries, nations, cities, different villages, even private houses and instruction received by people from childhood.

And since this is the case, who is foolish enough and ridiculous as to affirm positively that such and such a thing is just, or wise, or honorable, or expedient? For whatever this man defines as such, some one else, who from his childhood has learnt a contrary lesson, will be sure to deny (Ebr. 197).

11. Doctrine of the Logos in Philo’s Writings

The pivotal and the most developed doctrine in Philo’s writings on which hinges his entire philosophical system, is his doctrine of the Logos. By developing this doctrine he fused Greek philosophical concepts with Hebrew religious thought and provided the foundation for Christianity, first in the development of the Christian Pauline myth and speculations of John, later in the Hellenistic Christian Logos and Gnostic doctrines of the second century. All other doctrines of Philo hinge on his interpretation of divine existence and action. The term Logos was widely used in the Greco-Roman culture and in Judaism. Through most schools of Greek philosophy, this term was used to designate a rational, intelligent and thus vivifying principle of the universe. This principle was deduced from an understanding of the universe as a living reality and by comparing it to a living creature. Ancient people did not have the dynamic concept of “function,” therefore, every phenomenon had to have an underlying factor, agent, or principle responsible for its occurrence. In the Septuagint version of the Old Testament the term logos (Hebrew davar) was used frequently to describe God’s utterances (Gen. 1:3, 6,9; 3:9,11; Ps. 32:9), God’s action (Zech. 5:1-4; Ps. 106:20; Ps. 147:15), and messages of prophets by means of which God communicated his will to his people (Jer. 1:4-19, 2:1-7; Ezek. 1:3; Amos 3:1). Logos is used here only as a figure of speech designating God’s activity or action. In the so-called Jewish wisdom literature we find the concept of Wisdom (hokhmah and sophia) which could be to some degree interpreted as a separate personification or individualization (hypostatization), but it is contrasted often with human stupidity. In the Hebrew culture it was a part of the metaphorical and poetic language describing divine wisdom as God’s attribute and it clearly refers to a human characteristic in the context of human earthly existence. The Greek, metaphysical concept of the Logos is in sharp contrast to the concept of a personal God described in anthropomorphic terms typical of Hebrew thought. Philo made a synthesis of the two systems and attempted to explain Hebrew thought in terms of Greek philosophy by introducing the Stoic concept of the Logos into Judaism. In the process the Logos became transformed from a metaphysical entity into an extension of a divine and transcendental anthropomorphic being and mediator between God and men. Philo offered various descriptions of the Logos.

a. The Utterance of God

Following the Jewish mythical tradition, Philo represents the Logos as the utterance of God found in the Jewish scripture of the Old Testament since God’s words do not differ from his actions (Sacr. 8; Somn. 1.182; Op. 13).

b. The Divine Mind

Philo accepts the Platonic intelligible Forms. Forms exist forever though the impressions they make may perish with the substance on which they were made (Det. 75-77; Mut. 80, 122. 146; Cher. 51). They are not, however, beings existing separately, only exist in the mind of God as his thoughts and powers. Philo explicitly identifies Forms with God’s powers. Those powers are his glory, though invisible and sensed only by the purest intellect. “And though they are by nature inapprehensible in their essence, still they show a kind of impression or copy of their energy and operation”(Spec. leg. 1.45-50). In his doctrine of God Philo interprets the Logos, which is the Divine Mind, as the Form of Forms (Platonic), the Idea of Ideas or the sum total of Forms or Ideas. Logos is the indestructible Form of wisdom comprehensible only by the intellect (Det. 75-76; Mig. 103).

c. God’s Transcendent Power

The Logos which God begat eternally because it is a manifestation of God’s thinking-acting (Prov. 1.7; Sacr. 65; Mos. 1.283), is an agent that unites two powers of the transcendent God. Philo relates that in an inspiration his own soul told him:

…that in the one living and true God there were two supreme and primary powers, Goodness [or Creative Power] and Authority [or Regent Power]; and that by his Goodness he had created every thing; and that by his Authority he governed all that he had created; and that the third thing which was between the two, and had the effect of bringing them together was the Logos, for it was owing to the Logos that God was both a ruler and good (Cher. 1.27-28).

And further, Philo finds in the Bible indications of the operation of the Logos, e.g., the biblical cherubim are the symbols of the two powers of God but the flaming sword (Gen. 3.24) is the symbol of the Logos conceived before all things and before all manifest (Cher. 1.27-28; Sacr. 59; Abr. 124-125; Her. 166; QE 2.68). Philo’s description of the Logos (the Mind of God) corresponds to the Greek concept of mind as hot and fiery. Philo obviously refers in these powers to the Unlimited (apeiron) and the Limited (peras) of Plato’s Philebus and earlier Pythagorean tradition, and they will later reappear in Plotinus as Nous. In Plato these two principles or powers operate at the metaphysical, cosmic (cosmic soul) and human (human soul) levels. Philo considers these powers to be inherent in transcendental God, and that God himself may be thought of as multiplicity in unity. The Beneficent (Creative) and Regent (Authoritative) Powers are called God and Lord, respectively. Goodness is Boundless Power, Creative, and God. The Regent Power is also Punitive Power and Lord (Her. 166). Creative Power, moreover, permeates the world, the power by which God made and ordered all things. Philo follows the ideas of the Stoics that nous pervades every part of the universe as it does the soul in us. Therefore, Philo asserts that the aspect of God which transcends his powers (which we have to understand to be the Logos) cannot be conceived of in terms of place but as pure being, “but that power of his by which he made and ordered all things called God, in accordance with the etymology of that name, enfolds the whole and passes through the parts of the universe” (Conf. 136-137). According to Philo, the two powers of God are separated by God himself who is standing above in the midst of them (Her. 166). Referring to Genesis 18: 2 Philo claims that God and his two Powers are in reality one. To the human mind they appear as a Triad, with God above the powers that belong to him: “For this cannot be so keen of spirit that, it can see Him who is above the powers that belong to Him, (namely) God, distinct from everything else. For so soon as one sets eyes on God, there also appear together with His being, the ministering powers, so that in place of one he makes the appearance of a triad (QG 4.2).” In addition to these two main powers, there are other powers of the Father and his Logos, including merciful and legislative (Fug. 94-95).

d. First-born Son of God

The Logos has an origin, but as God’s thought it also has eternal generation. It exists as such before everything else all of which are secondary products of God’s thought and therefore it is called the “first-born.” The Logos is thus more than a quality, power, or characteristic of God; it is an entity eternally generated as an extension, to which Philo ascribes many names and functions. The Logos is the first-begotten Son of the Uncreated Father: “For the Father of the universe has caused him to spring up as the eldest son, whom, in another passage, he [Moses] calls the first-born; and he who is thus born, imitating the ways of his father, has formed such and such species, looking to his archetypal patterns” (Conf. 63). This picture is somewhat confusing because we learn that in the final analysis the Creative Power is also identified with the Logos. The Creative Power is logically prior to the Regent Power since it is conceptually older. Though the powers are of equal age, the creative is prior because one is king not of the nonexistent but of what has already come into being (QE 2.62).  These two powers thus delimit the bounds of heaven and the world. The Creative Power is concerned that things that come into being through it should not be dissolved, and the Regent Power that nothing either exceeds or is robbed of its due, all being arbitrated by the laws of equality through which things continue eternally (QE 2.64). The positive properties of God may be subdivided into these two polar forces; therefore, the expression of the One is the Logos that constitutes the manifestation of God’s thinking, acting (Prov. 1.7; Sacr. 65; Mos. 1.283). According to Philo these powers of the Logos can be grasped at various levels. Those who are at the summit level grasp them as constituting an indivisible unity. At the two lower levels, respectively, are those who know the Logos as the Creative Power and beneath them those who know it as the Regent Power (Fug. 94-95; Abr. 124-125). The next level down represents those limited to the sensible world, unable to perceive the intelligible realities (Gig. 20). At each successively lower level of divine knowledge the image of God’s essence is increasingly more obscured. These two powers will appear again in Plotinus. Here Undefined or Unlimited Intelligible Matter proceeds from the One and then turns back to its source (Enneads 2.4.5; 5.4.2; 6.7.17)

e. Universal Bond: in the Physical World and in the Human Soul

The Logos is the bond holding together all the parts of the world. And as a part of the human soul it holds the body together and permits its operation. In the mind of a wise man thoroughly purified, it allows preservation of virtues in an unimpaired condition (Fug. 112). “And the Logos, which connects together and fastens every thing, is peculiarly full itself of itself, having no need whatever of any thing beyond” (Her. 188).

f. Immanent Reason

The reasoning capacity of a human mind is but a portion of the all-pervading Divine Logos. Mind is a special gift to humans from God and it has divine essence, therefore, as such, it is imperishable. By receiving this humans received freedom and the power of spontaneous will free from necessity (Deus. 47). Philo emphasizes that man “has received this one extraordinary gift, intellect, which is accustomed to comprehend the nature of all bodies and of all things at the same time.” Thus humanity resembles God in the sense of having free volition for unlike plants and other animals, the soul of man received from God the power of voluntary motion and in this respect resembles God (Deus. 48). This concept, that it is chiefly in the intellect and free volition that makes humans differ from other life forms, has a long history which can be traced to Anaxagoras and Aristotle.  Philo calls “men of God” those people who made God-inspired intellectual life their dominant issue. Such men “have entirely transcended the sensible sphere, and migrated to the intelligible world, and dwell there enrolled as citizens of the Commonwealth of Ideas, which are imperishable, and incorporeal … those who are born of God are priests and prophets who have not thought fit to mix themselves up in the constitutions of this world….”(Gig. 61). Philo writes in reference to the Old Testament expression that God “breathed into” (equivalent of “inspired” or “gave life to”) inanimate things that through this act God extended his spirit into humans (LA 1.37). Though his spirit is distributed among men it is not diminished (Gig. 27). The nature of the reasoning power in men is indivisible from the Divine Logos, but “though they are indivisible themselves, they divide an innumerable multitude of other things.” Just as the Divine Logos divided and distributed everything in nature (that is, it gave qualities to undifferentiated, primordial matter), so the human mind by exertion of its intellect is able to divide everything and everybody into an infinite number of parts. And this is possible because it resembles the Logos of the Creator and Father of the universe: “So that, very naturally, the two things which thus resemble each other, both the mind which is in us and that which is above us, being without parts and invisible, will still be able in a powerful manner to divide and distribute [comprehend] all existing things” (Her. 234-236; Det. 90). Uninitiated minds are unable to apprehend the Existent by itself; they only perceive it through its actions. To them God appears as a Triad — himself and his two Powers: Creative and Ruling. To the “purified soul,” however, God appears as One.

When, therefore, the soul is shone upon by God as if at noonday, and when it is wholly and entirely filled with that light which is appreciable only by the intellect, and by being wholly surrounded with its brilliancy is free from all shackle or darkness, it then perceives a threefold image of one subject, one image of the living God, and others of the other two, as if they were shadows irradiated by it …. but he claims that the term shadow is just a more vivid representation of the matter intended to be intimated. Since this is not the actual truth, but in order that one may when speaking keep as close to the truth as possible, the one in the middle is the Father of the universe, who in the sacred scripture is called by his proper name, I am that I am; and the beings on each side are those most ancient powers which are always close to the living God, one of which is called his Creative Power, and the other his Royal Power. And the Creative Power is God, for it is by this that he made and arranged the universe; and the Royal Power is the Lord, for it is fitting that the Creator should lord it over and govern the creature. Therefore, the middle person of the three, being attended by each of his powers as by body-guard, presents to the mind, which is endowed with the faculty of sight, a vision at one time of one being, and at another time of three; of one when the soul being completely purified, and having surmounted not only the multitude of numbers, but also the number two, which is the neighbour of the unit, hastens onward to that idea which is devoid of mixture, free from all combination, and by itself in need of nothing else whatever; and of three, when, not being as yet made perfect as to the important virtues, it is still seeking for initiation in those of less consequence, and is not able to attain to a comprehension of the living God by its own unassisted faculties without the aid of something else, but can only do so by judging of his deeds, whether as creator or as governor. This then, as they say, is the second best thing; and it no less partakes in the opinion which is dear to and devoted to God. But the first-mentioned disposition has no such share, but is itself the very God-loving and God-beloved opinion itself, or rather it is truth which is older than opinion, and more valuable than any seeming (Abr. 119-123).

The one category of enlightened people is able to comprehend God through a vision beyond the physical universe. It is as though they advanced on a heavenly ladder and conjectured the existence of God through an inference (Praem. 40). The other category apprehends him through himself, as light is seen by light. For God gave man such a perception “as should prove to him that God exists, and not to show him what God is.” Philo believes that even the existence of God “cannot possibly be contemplated by any other being; because, in fact, it is not possible for God to be comprehended by any being but himself ” (Praem. 39-40). Philo adds, “Only men who have raised themselves upward from below, so as, through the contemplation of his works, to form a conjectural conception of the Creator by a probable train of reasoning” (Praem. 43) are holy, and are his servants. Next Philo explains how such men have an impression of God’s existence as revealed by God himself, by the similitude of the sun (Mut. 4-6) a concept which he borrowed from Plato.  As light is seen in consequence of its own presence so, “In the same manner God, being his own light, is perceived by himself alone, nothing and no other being co-operating with or assisting him, a being at all able to contribute to pure comprehension of his existence; But these men have arrived at the real truth, who form their ideas of God from God, of light from light” (Praem. 45-46). As Plato and Philo had done, Plotinus later used this image of the sun. Thus the Logos, eternally created (begotten), is an expression of the immanent powers of God, and at the same time, it emanates into everything in the world.

g. Immanent Mediator of the Physical Universe

In certain places in his writings Philo accepts the Stoic theory of the immanent Logos as the power or Law binding the opposites in the universe and mediating between them, and directing the world. For example, Philo envisions that the world is suspended in a vacuum and asks, how is it that the world does not fall down since it is not held by any solid thing. Philo then gives the answer that the Logos extending himself from the center to its bounds and from its extremities to the center again, runs nature’s course joining and binding fast all its parts. Likewise the Logos prevents the earth from being dissolved by all the water contained within. The Logos produces a harmony (a favorite expression of the Stoics) between various parts of the universe (Plant. 8-10). Thus Philo sees God as only indirectly the Creator of the world: God is the author of the invisible, intelligible world which served as a model for the Logos. Philo says Moses called this archetypal heavenly power by various names: “the beginning, the image, and the sight of God”(LA 1.43). Following the views of Plato and the Stoics, Philo believed that in all existing things there must be an active cause, and a passive subject; and that the active cause Philo designates as the Logos. He gives the impression that he believed that the Logos functions like the Platonic “Soul of the World” (Aet. 84).

h. The Angel of the Lord, Revealer of God

Philo describes the Logos as the revealer of God symbolized in the Scripture (Gen. 31:13; 16:8; etc) by an angel of the Lord (Somn. 1.228-239; Cher. 1-3). The Logos is the first-born and the eldest and chief of the angels.

i. Multi-Named Archetype

Philo’s Logos has many names (Conf. 146).  Philo identifies his Logos with Wisdom of Proverbs 8:22 (Ebr. 31). Moreover, Moses, according to Philo called this Wisdom “Beginning,” “Image,” “Sight of God.” And his personal wisdom is an imitation of the archetypal Divine Wisdom. All terrestrial wisdom and virtue are but copies and representations of the heavenly Logos (LA 1.43, 45-46).

j. Soul-Nourishing Manna and Wisdom

God sends “the stream” from his Wisdom which irrigates God-loving souls; consequently they become filled with “manna.” Manna is described by Philo as a “generic thing” coming from God. It does not come from God directly, however: “the most generic is God, and next is the Logos of God, the other things subsist in word (Logos) only” (LA 2.86). According to Philo, Moses called manna “the most ancient Logos of God (Det. 118).” Next Philo explains that men are “nourished by the whole word (Logos) of God, and by every portion of it … Accordingly, the soul of the more perfect man is nourished by the whole word (Logos); but we must be contented if we are nourished by a portion of it” (LA 3.175-176). And “the Wisdom of God, which is the nurse and foster-mother and educator of those who desire incorruptible food … immediately supplies food to those which are brought forth by her … but the fountain of divine wisdom is borne along, at one time in a more gentle and moderate stream, and at another with greater rapidity and a more exceeding violence and impetuosity….(Det. 115-117). This Wisdom as the Daughter of God “has obtained a nature intact and undefiled both because of her own propriety and the dignity of him who begot her.” Having identified the Logos with Wisdom, Philo runs into a grammatical problem: in the Greek language “wisdom” (sophia) is feminine and “word” (logos) is masculine; moreover, Philo saw Wisdom’s function as masculine. So he explains that Wisdom’s name is feminine, but her nature is masculine:

Indeed all the virtues have women’s designations, but powers and activities of truly perfect men. For that which comes after God, even if it were the most venerable of all other things, holds second place, and was called feminine in contrast to the Creator of the universe, who is masculine, and in accordance with its resemblance to everything else. For the feminine always falls short and is inferior to the masculine, which has priority. Let us then pay no attention to the discrepancy in the terms, and say that the daughter of God, Wisdom, is both masculine and the father, inseminating and engendering in souls a desire to learn discipline, knowledge, practical insight, notable and laudable actions (Fug. 50-52).

k. Intermediary Power

The fundamental doctrine propounded by Philo is that of Logos as an intermediary power, a messenger and mediator between God and the world.

And the father who created the universe has given to his archangel and most ancient Logos a pre-eminent gift, to stand on the confines of both, and separate that which had been created from the Creator. And this same Logos is continually a suppliant to the immortal God on behalf of the mortal race, which is exposed to affliction and misery; and is also the ambassador, sent by the Ruler of all, to the subject race. And the Logos rejoices…. saying “And I stood in the midst, between the Lord and you” (Num. 16:48); neither being uncreated as God, nor yet created as you, but being in the midst between these two extremities, like a hostage, as it were, to both parties (Her. 205-206).

When speaking of the high priest, Philo describes the Logos as God’s son, a perfect being procuring forgiveness of sins and blessings: “For it was indispensable that the man who was consecrated to the Father of the world [the high priest] should have as a paraclete, his son, the being most perfect in all virtue, to procure forgiveness of sins, and a supply of unlimited blessings” (Mos. 2.134). Philo transforms the Stoic impersonal and immanent Logos into a being who was neither eternal like God nor created like creatures, but begotten from eternity. This being is a mediator giving hope to men and who “was sent down to earth.” God, according to Philo, sends “the stream of his own wisdom” to men “and causes the changed soul to drink of unchangeable health; for the abrupt rock is the wisdom of God, which being both sublime and the first of things he quarried out of his own powers.” After the souls are watered they are filled with the manna which “is called something which is the primary genus of everything. But the most universal of all things is God; and in the second place is the Logos of God”(LA 2.86). Through the Logos of God men learn all kinds of instruction and everlasting wisdom (Fug. 127-120). The Logos is the “cupbearer of God … being itself in an unmixed state, the pure delight and sweetness, and pouring forth and joy, and ambrosial medicine of pleasure and happiness” (Somn. 2.249). This wisdom was represented by the tabernacle of the Old Testament which was “a thing made after the model and in imitation of Wisdom” and sent down to earth “in the midst of our impurity in order that we may have something whereby we may be purified, washing off and cleansing all those things which dirty and defile our miserable life, full of all evil reputation as it is” (Her. 112-113). “God therefore sows and implants terrestrial virtue in the human race, being an imitation and representation of the heavenly virtue” (LA 1.45).

l. “God”

In three passages Philo describes the Logos even as God:

a.) Commenting on Genesis 22:16 Philo explains that God could only swear by himself (LA 3.207).
b.) When the scripture uses the Greek term for God ho theos, it refers to the true God, but when it uses the term theos, without the article ho, it refers not to the God, but to his most ancient Logos (Somn. 1.229-230).
c.) Commenting on Genesis 9:6 Philo states the reference to creation of man after the image of God is to the second deity, the Divine Logos of the Supreme being and to the father himself, because it is only fitting that the rational soul of man cannot be in relation to the preeminent and transcendent Divinity (QG 2.62).

Philo himself, however, explains that to call the Logos “God” is not a correct appellation (Somn.1.230). Also, through this Logos, which men share with God, men know God and are able to perceive Him (LA 1.37-38).

m. Summary of Philo’s Concept of the Logos

Philo’s doctrine of the Logos is blurred by his mystical and religious vision, but his Logos is clearly the second individual in one God as a hypostatization of God’s Creative Power – Wisdom. The supreme being is God and the next is Wisdom or the Logos of God (Op. 24). Logos has many names as did Zeus (LA 1.43,45,46), and multiple functions. Earthly wisdom is but a copy of this celestial Wisdom. It was represented in historical times by the tabernacle through which God sent an image of divine excellence as a representation and copy of Wisdom (Lev. 16:16; Her. 112-113). The Divine Logos never mixes with the things which are created and thus destined to perish, but attends the One alone. This Logos is apportioned into an infinite number of parts in humans, thus we impart the Divine Logos. As a result we acquire some likeness to the Father and the Creator of all (Her. 234-236). The Logos is the Bond of the universe and mediator extended in nature. The Father eternally begat the Logos and constituted it as an unbreakable bond of the universe that produces harmony (Plant. 9-10). The Logos, mediating between God and the world, is neither uncreated as God nor created as men. So in Philo’s view the Father is the Supreme Being and the Logos, as his chief messenger, stands between Creator and creature. The Logos is an ambassador and suppliant, neither unbegotten nor begotten as are sensible things (Her. 205). Wisdom, the Daughter of God, is in reality masculine because powers have truly masculine descriptions, whereas virtues are feminine. That which is in the second place after the masculine Creator was called feminine, according to Philo, but her priority is masculine; so the Wisdom of God is both masculine and feminine (Fug. 50-52). Wisdom flows from the Divine Logos (Fug. 137-138). The Logos is the Cupbearer of God. He pours himself into happy souls (Somn. 2.249). The immortal part of the soul comes from the divine breath of the Father/Ruler as a part of his Logos.

12. List of abbreviations to Philo’s works

Abr. De Abrahamo;
Aet. De Aeternitate Mundi;
Agr. De Agricultura;
Anim. De Animalibus;
Cher. De Cherubim;
Conf. De Confusione Linguarum;
Congr. De Congressu Eruditionis Gratia;
Cont. De Vita Contemplativa;
Decal. De Decalogo;
Det. Quod Deterius Potiori Insidiari Soleat;
Deus. Quod Deus Sit Immutabilis;
Ebr. De Ebrietate;
Flac. In Flaccum;
Fug. De Fuga et Inventione;
Gig. De Gigantibus;
Her. Quis Rerum Divinarum Heres Sit;
Hypoth. Hypothetica;
Jos. De Josepho;
LA  Legum Allegoriarum;
Legat. Legatio ad Gaium;
Mig. De Migratione Abrahami;
Mut. De Mutatione Nominum;
Op. De Opificio Mundi;
Plant. De Plantatione;
Post. De Posteritate Caini;
Praem. De Praemiis et Poenis;
Prob. Quod Omnis Probus Liber Sit;
Prov. De Providentia;
QE  Quaestiones et Solutiones in Exodum;
QG  Quaestiones et Solutiones in Genesim;
Sacr. De Sacrificiis Abelis et Caini;
Sobr. De Sobrietate;
Somn. De Somniis;
Spec. leg. De Specialibus Legibus;
Virt. De Virtutibus.

13. Editions of Philo’s works and their translations

The Greek texts of Philo’s works:

  • Philonis Judaei Opera Omnia. Textus editus ad fidem optimarum editionum. (Lipsiae: Sumptibus E.B.  Schwickerti, 1828-1829), Vol. 1-6.
  • Philonis Alexandrini Opera Quae Supersunt. Ediderunt Leopoldus Cohn et Paulus Wendland (Berolini: Typis et impensis Georgii Reimeri/ Walther de Gruyter & Co., MDCCCLXXXXVI – MCMXXX, reprinted in 1962). Vols. 1-7.

The Armenian text and its English translation:

  • A. Terian, Philonis Alexandrini De Animalibus: The Armenian Text with an Introduction, Translation, and Commentary. Studies in Hellenistic Judaism, Supplements to Studia Philonica 1. (Chico: Scholars Press, 1981).

Translations of complete works:

  • The Works of Philo. Complete and Unabridged. Translated by Charles Duke Yonge, New Updated Edition. (Hedrickson Publishers, 1995).
  • F. H. Colson and G. H. Whitaker, eds., The Works of Philo (Cambridge, Mass: Loeb Classical Library, Harvard University Press; London: William Heinemann, 1929-1953), Vols. 1-10. Ralph Marcus, ed, Vols 10-12, containing works of Philo available only in Armenian.

Selections of works of Philo in translation:

  • Philo, Selections ed., Hans Lewy in Three Jewish Philosophers (Cleveland, New York, Philadelphia, 1961).
  • Philo of Alexandria, The Contemplative Life, The Giants, and Selections. Translation and Introduction by David Winston. Preface by John Dillon. (New York/ Ramsey/Toronto: Paulist Press, 1981).
  • Ronald  Williamson, Jews in the Hellenistic World: Philo (Cambridge: Cambridge
    University Press, 1989).

14. Major Works on Philo

  • T. H. Billings, The Platonism of Philo Judaeus (Chicago, 1919).
  • H. A. Wolfson, Philo (Cambridge, Mass: Harvard University Press, 1947), Vols 1-2.
  • C. H. Dodd, The Interpretation of the Fourth Gospel (Cambridge: Cambridge University Press, 1963).
  • Ronald Williamson, Philo and the Epistle to the Hebrews (Leiden: E. J. Brill, 1970).
  • R. C. Baer, Philo’s Use of the Categories Male and Female (Leiden: E. J. Brill, 1970).
  • S. Sandmel, Philo of Alexandria: An Introduction (New York/Oxford: Oxford University Press, 1979).
  • Harold W. Attridge, The Epistle to the Hebrews (Hermeneia; Philadelphia: Fortress Press, 1989).
  • Dorothy Sly, Philo’s Perception of Women (Atlanta: Scholars Press, 1990).
  • Ross Shepard Kraemer, Her Share of the Blessings: Women’s religions among Pagans, Jews, and Christians in the Greco-Roman World (NewYork /Oxford: Oxford University Press, 1992).
  • John M. Dillon, The Middle Platonists (Ithaca, NY: Cornell University Press, 1977, 1996).

Author Information

Marian Hillar
Email: hillar@sbcglobal.net
Center for Philosophy and Socinian Studies

U. S. A.

Charles Sanders Peirce: Pragmatism

peircePragmatism is a principle of inquiry and an account of meaning first proposed by C. S. Peirce in the 1870s. The crux of Peirce’s pragmatism is that for any statement to be meaningful, it must have practical bearings. Peirce saw the pragmatic account of meaning as a method for clearing up metaphysics and aiding scientific inquiry. This has led many to take Peirce’s early statement of pragmatism as a forerunner of the verificationist account of meaning championed by logical positivists. The early pragmatism of C.S. Peirce developed through the work of James and Dewey in the U. S. A, and F. C. S. Schiller in Great Britain. Peirce, however, remained unhappy with both his early formulations and the developments made by fellow pragmatists. This lead him, in later life, to refine his own earlier account and rename it “pragmaticism” in order to distinguish it from other more “nominalistic” versions.

The most widely known feature of Peirce’s philosophy is his account of pragmatism. Peirce made his first published attempts at formulating pragmatism in the 1870s, and the maxim he developed there is often regarded as a prototype of the verification principle proposed by logical positivists in the early twentieth century. This early body of work on pragmatism influenced William James who, some twenty years later, publicly declared for the doctrine, named Peirce as its originator, and made the theory common philosophical knowledge. Both Peirce and James took pragmatism to have its roots in older work than Peirce’s late nineteenth century theory. Peirce in particular saw traces of the theory in the work of Kant.

Table of Contents

  1. Introduction
  2. Peirce’s Early Pragmatism
    1. The Purpose of the Maxim
    2. The Maxim and “Hardness”
  3. Peirce’s Later Pragmatism
  4. The Pragmatic Maxim and the Verification Principle
  5. General Problems with The Maxim
  6. Peirce and James: Pragmatism and Pragmaticism
  7. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Introduction

The most widely known feature of Peirce’s philosophy is his account of pragmatism. Peirce made his first published attempts at formulating pragmatism in the 1870s, and the maxim he developed there is often regarded as a prototype of the verification principle proposed by logical positivists in the early twentieth century. This early body of work on pragmatism influenced William James who, some twenty years later, publicly declared for the doctrine, named Peirce as its originator, and made the theory common philosophical knowledge. Both Peirce and James took pragmatism to have its roots in older work than Peirce’s late nineteenth century theory. Peirce in particular saw traces of the theory in the work of Kant. However, what Peirce did in the 1870s was to create the first clear formulation of pragmatism as a principle of inquiry and account of meaning.

Peirce returned repeatedly to his early formulations and especially in his later life and worked and re-worked his pragmatic theories, particularly in reaction to the work of William James. Clearly, then, there are two strands to Peirce’s pragmatism: his early statements of the 1870’s and his later work from around the turn of the twentieth century.

2. Peirce’s Early Pragmatism

The earliest clear statement of Peirce’s pragmatism comes from his 1878 paper “How To Make Our Ideas Clear.” In this paper, Peirce introduces a maxim, or principle, which allows us to achieve the highest grade of clarity about the concepts we use. Peirce introduces this principle, which we shall discuss in detail below as the third grade of clarity, as a development of the rationalist notion of “clear and distinct ideas.” Combining his pragmatic maxim with notions of clarity from Descartes and Leibniz, Peirce identifies three grades of clarity or understanding.

The first grade of clarity about a concept is to have an unreflective grasp of it in everyday experience. For instance, my inclination to keep some part of my body in stable contact with a supported horizontal surface at all times suggests that I have an underlying grasp of gravity. The second grade of clarity is to have, or be capable of providing, a definition of the concept. This definition should also be abstracted from any particular experience, i.e., it should be general. So, my ability to provide a definition of gravity (as, say, a force which attracts objects to a point, like the center of the earth) represents a grade of clarity or understanding over and above my unreflective use of that concept in walking, remaining upright, etc.

For Peirce, these two grades of clarity are only part way to a full understanding of a concept; there is a richer level of clarity. It is at this point that he introduces his own third grade of clarity. Peirce says:

Consider what effects, which might conceivably have practical bearings, we conceive the object of our conception to have. Then the whole of our conception of those effects is the whole of our conception of the object. (Peirce 1878/1992, p. 132)

On this account, then, to have a full understanding of some concept we must not only be familiar with it in day to day encounters, and be able to offer a definition of it, we must also know what effects to expect from holding that concept to be true.

For instance, a full understanding of the concept of “vinegar” comes from possessing all three grades of clarity about it. If I am able to identify vinegar and use the concept appropriately in my everyday experiences, I display the first grade of clarity about this concept. My ability to define “vinegar” as a diluted form of acetic acid, which is sharp to the taste, displays the second grade of clarity. Finally, from the use of “vinegar” in definitional propositions like “vinegar is diluted acetic acid” and “vinegar is sharp to taste,” I can derive a list of conditional propositions which indicate what to expect from actions upon, and interactions with, this concept. So, for instance, “vinegar is acetic acid” would lead me to form the expectation that “If vinegar is acetic acid, then if I dip litmus paper into it, it will turn red.” Having a list of conditional propositions like this, which express the differences this concept can make to expected experiences, allows me to achieve the highest grade of clarity about that concept. This third and final grade of clarity is the earliest statement of what we now know as the pragmatic maxim; it is the crux of Peirce’s early theory of pragmatism.

It should be clear that Peirce’s pragmatic maxim accords with his scientific inclinations. For Peirce, understanding the practical upshot of our concepts means exploring and experimenting upon the conditional hypotheses that we formulate with them. This not only reflects his broader notion of philosophy as a practical laboratory science, but also informs our conception of Peirce’s pragmatic maxim, as it is expressed in “How to Make Our Ideas Clear,” as an account of meaning. The meaning of a concept is expressed by the list of conditional hypotheses that it generates. Interestingly, this seems to generate an account of meaning with two main elements: use and understanding.

The use element of the pragmatic maxim as an account of meaning is apparent from the meanings of the conditionals generated with the maxim. For instance, the meaning expressed by conditional statements about “vinegar” are not strictly about that concept considered in isolation. Rather, they provide the meaning for propositions containing the concept, such as “vinegar is diluted acetic acid,” or “vinegar is sharp to taste.” These conditional statements concern the practical experimental upshot of these propositions, rather than of the concept abstracted from them. This seems to generate meaning for concepts as they are used in sentences and propositions. It also makes the account of meaning an account of meaning for whole sentences, etc.

The second element of the pragmatic maxim as an account of meaning is understanding. We can see that it is the possibility of our understanding the outcome of taking a hypothesis to be true (in the form of conditional statements) that expresses the meaning of a concept. Since a meaningful statement is one for which we can derive practical and experiential consequences, our understanding, or grasp of those consequences, is our understanding or grasp of the meaning.

a. The Purpose of the Maxim

The pragmatic maxim, then, is the means for achieving the third grade of clarity in our understanding of a concept. The list of conditional statements that we generate for a concept lists the effects and practical outcome that we can expect from this concept if the statements containing it turn out to be true. However, Peirce develops the pragmatic maxim and the clarifying method that it represents with some very particular purpose in mind.

As we have already suggested, Peirce’s main use for the pragmatic maxim is as an account of meaning. Quite simply, this enables Peirce to clearly identify useful and meaningful sentences. For instance, if we do not conceive the object of our conceptions to have any practical bearings, then it clearly does not have meaning. This ability to identify meaningful and meaningless statements allows Peirce to make use of the maxim in two ways.

The first use for the pragmatic maxim is the role it plays in Peirce’s account of Inquiry and the accompanying notions of truth and reality. For Peirce, the attainment of truth comes from taking investigation and inquiry as far as it can go. The beliefs we find ourselves accepting at the limit of inquiry represent the truth. What is more, for Peirce, the only way to take inquiry to its limit is through the adoption of a scientific method. However, some criterion of choice is required in order to find which statements/hypotheses etc. are worth investigating. For Peirce, the pragmatic maxim is just such a criterion. Put in its simplest terms, the pragmatic maxim allows us to see what difference the truth of certain concepts would make to our lives. This knowledge further allows us to decide where the best focus for our scientific investigations and belief-settling inquiry lies. If, of two concepts, our investigating the truth of one over the other is likely to have a greater impact upon our reaching a settled state of opinion, then that is the one we should investigate. The only way we are able to see which of the two concepts is likely to have a greater impact is to use the pragmatic maxim and the final grade of clarity or understanding that it affords us.

Peirce’s second use for the pragmatic maxim is to identify those propositions of metaphysics that turn out to be meaningless. For Peirce, the pragmatic maxim enables us to steer clear of metaphysical distractions. The bulk of “ontological metaphysics,” by which Peirce means metaphysics conducted by a priori reasoning alone, has no practical bearing and so will make no contribution to the final fixed state of beliefs. This renders them meaningless. It is this use of the pragmatic maxim as a filter against empty metaphysical statements that ultimately leads to a comparison between Peirce’s maxim and the verification principles of the logical positivists. We will look at the similarities between Peirce’s pragmatic maxim and verificationist accounts of meaning in due course, but for the time being, it is worth noting that both Peirce and the logical positivists see the possibility of ruling out much of metaphysics on the grounds that it has no experiential consequences.

b. The Maxim and “Hardness”

Very quickly, Peirce began to feel that there were difficulties with this early account of the pragmatic maxim. In “How to Make Our Ideas Clear,” Peirce used the concept of “hardness” to illustrate the usefulness of his pragmatic maxim. This lead him to the conditional statement that “If something is hard, it will not be scratched by many other things” as an example, amongst many, of the practical upshot of taking our concept of “hardness” to be true. However, Peirce goes on to raise the question: what do we say about the hardness of a diamond, destroyed before we are able to test it for that quality?

In response, Peirce says that it would not be false to say that the diamond in question was soft. He states that, “there is absolutely no difference between a hard and a soft thing so long as they are not brought to the test” (Peirce 1992-94, vol. II, p. 131). Peirce’s unwillingness to say that the diamond is hard is, in part, a consequence of the way he ties his pragmatic maxim to his account of inquiry. Since any belief that we form about this particular diamond will fail to meet with recalcitrant evidence (there is no longer a diamond to conduct tests upon and so no possibility of confirming or dis-confirming the statement about the hardness of the diamond) we can form any belief we like about its hardness; it is largely a matter of “verbal disagreement.”

Peirce was to return to this issue in his second major period of work on pragmatism with some regret about this counterintuitive feature of his early pragmatic maxim.

3. Peirce’s Later Pragmatism

After his statement of pragmatism in the 1870’s, Peirce did not fully return to it for around twenty years. Peirce had toyed, throughout the 1890’s, with his ideas on the pragmatic maxim but it was not until James’ California Union Address in 1898 that he felt spurred on to a second major effort at formulating his pragmatism. James publicly named the doctrine of pragmatism and identified Peirce as its founder. Famously, James misremembered seeing the term “pragmatism” in Peirce’s “How to Make Our Ideas Clear”. James was, however, correct in identifying this paper as the first source of pragmatism in Peirce’s work. It was from here that James and other pragmatists, like Schiller, took Peirce’s pragmatic maxim and moved it in new directions.

By the turn of the twentieth century, then, Peirce’s need to re-engage with pragmatism was paramount. First of all, it would provide him an opportunity to use James’ acknowledgment of his work to gain a toehold in the philosophical and academic arena. Also, on a less personal level, Peirce did not wholly approve of the directions in which James and Schiller were taking pragmatism. This led him to rename his own brand of pragmatism “pragmaticism,” claiming that this title was “ugly enough to be safe from kidnappers.” Throughout the first decade of the 1900’s, then, Peirce attempted, in Harvard lectures and a series of articles for The Monist, to develop the theory he had first detailed in the 1870’s.

The most notable difference between Peirce’s later accounts of pragmatism and his earlier approach is his attitude to the question of whether the destroyed diamond was hard. This had a profound effect on the way he formulated the conditional propositions that constitute the pragmatic meaning of a concept, as we shall see. Recall that in his account of the 1870’s, Peirce maintained that since the diamond was not tested, it made no difference if we said that it was hard or soft. In his later formulations of pragmatism, Peirce states that we can definitely know that the destroyed diamond was hard.

The underlying cause of this change of heart is Peirce’s adoption of a more sophisticated approach to the reality of modal notions like necessity and possibility. In the 1870’s, Peirce’s account of possibility and necessity are based on the epistemological facts about believers in relation to some statement containing modal terms. For instance, to say that something is necessary is just to say that we know it must be the case. And to say that something is possible is just to say that we do not know it not to be the case. This reduces the reality of modal notions to facts about speakers and the words they use. In his later work, Peirce took this account and his early attitude to the diamond example to be crass “nominalism” on his part: he had failed to be a realist about possibilities, or “would-bes,” as he called them.

Peirce’s use of “nominalism” requires some explanation. Nominalism is more normally associated with the medieval discussion on the existence of universals. The nominalist position in this debate sought to explain universals in terms of properties of the words or names used (hence “nominalism” from nominalis or belonging to the name) rather than as separately existing forms. Peirce, however, uses “nominalism” to refer to any theory that does not take the real separate existence of laws, generalities, possibilities etc. seriously. His earlier explanation of possibilities or “would-bes” in terms of properties of knowers, then, counts, for him, as “nominalism.” As such, Peirce’s adoption of a realist position on possibility, that is a commitment to possibilities or “would-bes” as independently real, around 1896/97 provided the foundation for a significant change in his pragmatism.

In his later account of pragmatism, Peirce takes subjunctive conditionals, rather than indicative conditionals, to form the list of conditional propositions that constitute the meaning of our concepts. For instance, on the 1878 account, conditional statements generated for propositions like “vinegar is diluted acetic acid” would include, “If litmus paper is dipped into it then it will turn that paper red.” This is an indicative conditional, expressing what will happen. On this account, it does not make sense to say that a diamond will resist abrasive substances if the diamond is destroyed before testing can take place. Peirce’s later formulation, though, offers us conditionals like, “If we were to dip litmus paper into it then that paper would turn red,” for propositions like “vinegar is diluted acetic acid.” This subjunctive formulation, with regards the diamond example, sees statements like “this diamond is hard” generating a list of subjunctive conditionals like “If we were to rub this diamond with most materials then it would not be scratched.” Conditionals like this hold whether we test the diamond for hardness or not. Consequently, Peirce’s later pragmatism formulates the pragmatic meaning of concepts (or statements) in terms of subjunctive conditionals; his earlier account uses indicative conditionals.

A further development in Peirce’s later expression of pragmatism is the extent to which he places the pragmatic maxim within his wider philosophical account. In the 1870’s, Peirce’s pragmatic maxim is a part of his account of inquiry, suggesting and clarifying concepts worthy of exploration. By the turn of the twentieth century, Peirce’s architectonic vision of philosophy was in full construction and the concept of inquiry was part of a much broader structure. Consequently, Peirce sought to find an alternative expression of his pragmatic maxim more sensitive to the position of inquiry within his architectonic schema. Inquiry was now firmly realized as a part of logic (broadly conceived as semiotic), and more importantly, as one of the normative sciences in Peirce’s architectonic classification. Further, logic was to form the basis of a scientific metaphysics. Peirce’s later pragmatism, then, needed to move away from the more “nominalistic” emphasis of his earlier account, which made meaning a matter of actual descriptive accounts of practical experiences and effects. The strongly descriptive formulation of pragmatic meaning from the 1870’s ran counter to Peirce’s later prescriptivist view of inquiry as the self-controlled, scientific pursuit of concrete reasonableness. This further explains Peirce’s adoption of subjunctive conditionals: they are more sensitive to the prescriptivism of inquiry as a part of the architectonic.

Peirce also needed an account of pragmatism more sympathetic to his metaphysics. By the turn of the century, Peirce had come to realize fully the role of metaphysics in his system, and rather than dispose of it as empty theorizing, Peirce felt the need to reconstruct it as a meaningful science. His early account of the pragmatic maxim was strongly empirical and in “How To Make Our Ideas Clear,” Peirce defines “practical effects” as “sensible effects” (Peirce 1992-94, vol. I, p. 132), or “effects […] upon our senses” (ibid., p. 131). This tying of the meaningful to the observable needs careful statement if it is not to rule out all but the immediate experiences of our senses. Peirce’s earliest characterization runs close to this. However, his later accounts attempt to broaden the notion of experience beyond the directly observable in an attempt to avoid rendering all metaphysics empty.

Peirce draws a distinction between “real” and “ideal” experience. The former is what we would normally think of as experience through the senses. The later involves diagrammatic reasoning, employed by mathematicians for instance. For Peirce, “ideal” experience involves performing transformations and operations upon diagrams, and “experiencing,” or observing, the result. Algebraic equations and the transformations we perform upon them, for instance, count as diagrammatic or “ideal” experiences. Since “ideal” reasoning is, in many ways, just mathematical and deductive experience, we might take Peirce to be doing little more than pre-empting the logical positivist’s allowance of analytic statements as valid sentences; he simply draws the distinction between the empirically observable and the analytic in a different way. However, Peirce is doing more than this.

Peirce’s mature philosophy is infused with his realism about possibility and generality. Both are important for his scientific metaphysics. What he needs is some way of explaining our experience of these things. The ability to reason, deduce, and infer allows us to use laws and habits and identify possible outcomes and, at the same time, take them seriously as real generalities and possibilities. This has an interesting effect on Peirce’s later notion of the pragmatic maxim. By 1903 and the Harvard Lectures on Pragmatism, the notion of practical effects from the earlier formulation had developed. Peirce, now sensitive to his own modal realism and more sophisticated metaphysical requirements, took the pragmatic maxim to “allow any flight of imagination provided this imagination ultimately alights upon a possible practical effect” (Peirce 1992-94, vol. II, p. 235).

4. The Pragmatic Maxim and the Verification Principle

Peirce’s pragmatic maxim is often compared with the logical positivist’s verification principle of meaning. With a clearer grasp of the pragmatic maxim, particularly in its later, more mature incarnation, it is worth commenting upon this comparison.

There are, indeed, certain similarities between the pragmatic maxim and the verification principle. For instance, the verification principle takes a sentence to be meaningful if there exists an experience that confirms or disconfirms it. As such, it shares with the pragmatic maxim an experiential or practical criterion of meaning; for both, a proposition must have some observable effect in the world to be meaningful. Also of interest, is that both purposefully use their criterion of meaning (through experiential effects) to identify “meaningless” statements. For both, a hypothesis with no observable or practical effects is without meaning. What is more, both use this ability to identify meaningless statements to reassess the content of metaphysics and demarcate worthwhile philosophy from areas where no real contribution can be made. For instance, Peirce thinks that his pragmatic philosophy can make no real contribution to areas of practical ethics: Logical positivists either class ethics with metaphysics as disposable, or make it a matter of opinion.

However, once we are aware of how Peirce’s account of pragmatism began to develop, the similarities between the maxim and the verification principle begin to get a little strained. Furthermore, some of the marked differences between the verification principle and all of Peirce’s formulations of the maxim become more prominent. First, although both share a desire to reassess metaphysics, the verificationists wish to render it obsolete; this was never an objective for Peirce. For Peirce, the reassessment of metaphysics involves bestowing upon it a scientific respectability and, although this objective is clearer in his later work, he always intended to retain some form of metaphysical philosophy.

The other crucial difference between the pragmatic maxim and the verification principle is the notion of experience. For verificationists, a verifiable experience is a directly observable one, i.e. observable in terms of simple sensory experience. Peirce, on the other hand, particularly with his later formulations of the maxim, has a broader concept of experience. As we have seen, Peirce’s modal realism, or commitment to the reality of “would-bes” characterizes his later accounts. This marks a crucial difference between the two and logical positivist like Carnap would no doubt feel uncomfortable with Peirce’s claims here. Peirce would no doubt think that the logical positivists were too “nominalistic.” Clearly then, Peirce’s pragmatic maxim is not simply a forerunner to the verification principle.

5. General Problems with The Maxim

Although there are clear differences between the pragmatic maxim and the verification principle, they are similar enough for Peirce to face some of the same difficulties encountered by Logical Positivists. A general difficulty for the verification principle is how to formulate it in a way that ensures the right kind of sentences count as meaningful. Traditional criticisms of the verification principle include the thought that in some of its formulations, it is too austere. Sentences about the past, unobservable entities like quarks, etc. are meaningless since there are no directly observable experiences that can confirm them. Peirce felt that this austerity towards meaning was an upshot of his early formulations of the pragmatic maxim, ruling out all metaphysics, including the kind that he felt might be respectable enough to count as meaningful. This led to the more generous construal of experience in his later formulations.

However, whether or not Peirce’s later formulations in terms of “possible practical effects” allow too much to count as meaningful is open to debate. For instance, because the formulation of the maxim in terms of possible practical effects, rather than actual or realized effects, seems to shift the focus of the maxim to expectations rather than actions, the body of meaningful sentences arguably becomes too inclusive. If we can show that some hypothesis or statement has some possible practical effect, then the Christian expectation of the second coming of Christ, say, and the avoidance of sin that it results in, seems to count towards the pragmatic meaning of “God is real.” Although Peirce does actually attempt to argue for the existence of God along similar lines, suggesting that “God is real” has the possible practical effect of seeing man’s “self-controlled conduct” increase (Peirce 1992-94, vol. II, p. 446), it is not clear that this development of the maxim is entirely healthy. The use of the pragmatic maxim in Peirce’s later work appears to take on metaphysical baggage that had previously been disposed of, allowing what counts as meaningful to run out of control. It seems, then, that the pragmatic maxim, in all of its formulations, struggles to steer a course between the austerity of the early pragmatism, and the laxity of the later more metaphysically tolerant formulations.

One final peculiarity of the pragmatic maxim, in both its early and late formulations, is that all propositions ultimately become future referring. This is fine with most hypotheses like “diamonds are hard” or “vinegar is diluted acetic acid,” since it is their contribution, possible or otherwise, to future experience that matters. However, statements or hypotheses about the past, rather oddly, become focused on their future effects. So, the pragmatic meaning of “John F. Kennedy was assassinated” generates conditionals about our future investigations, checking history books, reading the Warren report, watching TV footage, and asking those who knew him, etc. This feels counterintuitive, since the statement in question, “John F. Kennedy was assassinated,” seems to be about what happened to J.F.K., rather than about our experiences in unearthing support for its truth.

Despite this rather counterintuitive generation of future referring conditionals for hypotheses about the past, it is not clear that it does a great deal of damage to Peirce’s pragmatism. Rather, it is just a quirk of the maxim’s expression of meaning in terms of action or expectations.

6. Peirce and James: Pragmatism and Pragmaticism

One truly interesting issue for Peirce’s pragmatism is the relationship it bears to the work of the pragmatic philosophers that followed him. Peirce’s pragmatism influenced William James, John Dewey, Josiah Royce and F.C.S Schiller to name but a few of his American and British contemporaries. However, the influence upon and contrast with the work of William James is perhaps the most interesting. This is because although Peirce’s maxim and his work in the 1870’s provide the foundation for many early pragmatists, it is James that popularized the pragmatist approach to philosophy and James’ pragmatism that looms large in our common philosophical understanding of the doctrine. Also, because of the role of James as popularizer, it is his development that prompted much of Peirce’s later reevaluation of his own theory. In order to see what is unique and interesting in Peirce’s pragmaticism, then, it is worth emphasizing some of the crucial differences between Peirce and James’ take on pragmatism.

The primary difference between Peirce and James is that the pragmatic maxim in Peirce’s work is a theory of meaning, but in the hands of James, it becomes a theory of truth. This, however, is due to more crucial differences between the two that mean James’ notion of pragmatism far outstretches a simple meaning criterion, and reflects his more fundamental thoughts about philosophy in general. This comes most prominently to the fore in their basic ideas about the place of pragmatism in philosophy as a whole.

Firstly, Peirce and James have different ideas about the philosophical uses to which a pragmatic method should be put. James is famously anti-intellectualist in his philosophy, distrusting the extent to which we can answer all the important human questions with a materialistic and scientific approach to understanding the universe and our place in it. Peirce, on the other hand, particularly in his later work, sees the whole of philosophy embedded within a scientific system and the pragmatic maxim centrally embedded in philosophy. The consequence is that James tends to see pragmatism, and his philosophy, as the stepping off point where materialist and purely intellectualist sciences fail to answer our questions about which beliefs are justifiable. Religious and moral questions require a separate criterion of justification, and this is where a pragmatic method determines what difference I take some such belief to have, and why it is reasonable to hold that belief.

For Peirce, philosophy in general, and the pragmatic maxim in particular, should never stray this far from scientific inquiry. The important philosophical questions, and those with which the pragmatic maxim are concerned, remain firmly within the realm of scientific and intellectualist inquiry. As far as Peirce is concerned, the questions to which James is inclined to apply a pragmatic method are largely beyond the realm of fruitful philosophical inquiry. For Peirce pragmatism is strictly within the realms of scientific sensibilities: for James, it begins at the point where our scientific explanations fall short.

These two different outlooks on philosophy and pragmatism underwrite two very different attitudes to the usefulness of pragmatism entirely. Peirce sees pragmatism as a logical principle. The maxim is a tool of analysis designed to make our concepts clear and logically precise. For James, pragmatism is a philosophical outlook. For him, pragmatism is an approach to philosophy that looks towards the consequences of belief, which looks at human action, and moves the whole enterprise of understanding them, away from scientifically founded philosophy. These two different attitudes result in some further interesting features of the two philosophies.

Firstly, James’ pragmatism, in many ways, looks like a total break with traditionalist concerns. For James, pragmatism makes a move away from the philosophies of Kant and Hegel, with their emphasis upon first principles, categories etc. Indeed, the neo-pragmatism of Richard Rorty takes James’ work to be the decisive shift from traditional philosophy to modern concerns. Of course, Peirce’s philosophy retains the architectonic approach with first principles and categories and looks traditionalist as a result. In many ways, it is these features of Peirce’s work that leaves Rorty unconvinced by Peirce’s status as a pragmatist philosopher.

In another respect though, it is James that looks to have remained within the traditionalist mold and Peirce’s pragmatism that looks progressive. James’ particular take on pragmatism looks towards the individual and the effects of belief upon some person or another. Peirce’s pragmatism on the other hand, looks towards experience in general and effects across persons. For Peirce, the establishment of habit across persons and communities is what is interesting about “practical upshots,” not individual action and reaction. The contrast between James’ individualist approach and Peirce’s communalism is interesting. Individualism is characteristic of much of traditional philosophy, particularly since Descartes, and in this respect, James retains much of the baggage of traditional philosophy. Peirce’s communalism, though, has a particular resonance with contemporary attitudes, particularly since the later Wittgenstein.

One final difference in the pragmatisms of Peirce and James, then, are their different attitudes to the reality of modal notions like possibility and necessity. James saw pragmatism as fundamentally “nominalistic.” As such, the reality of possibilities and so on is explained in James’ philosophy in a way similar to that of the early Peirce, i.e. subjective and epistemological. Peirce’s own mature take on modal notions, as we know, is to be a realist about “would-bes.” This makes his pragmatism focus less on actual occurrences and more on potential effects. It also has the further effect of making his pragmatism take the idea of laws and long run habit more seriously; the idea of natural law concerning the “hardness” of diamonds is, after all, part of his explanation of why the destroyed diamond can count as hard.

7. 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 by Nathan Houser.
  • Peirce, C.S. 1878/1992. “How To Make Our Ideas Clear.” In The Essential Peirce, Vol.1, eds. N. Houser and C. Kloesel. (Bloomington IN: Indiana University Press), pp. 124-141.
    • Peirce’s first statement of pragmatism and the source to which James refers as the seminary of his own pragmatism.
  • Peirce, C.S. 1903/1998. “Harvard Lectures on Pragmatism.” In The Essential Peirce, Vol.2., ed. The Peirce Edition Project. (Bloomington IN: Indiana University Press), chs. 10-16.
    • Often difficult later statement of Peirce’s pragmatism. It is here that Peirce tries to expound his own mature views on pragmatism as part of an architectonically embedded logic, dependent upon ethics and aesthetics.
  • Peirce, C.S. 1905/1998. “What Pragmatism Is.” In The Essential Peirce, Vol.2., ed. The Peirce Edition Project. (Bloomington IN: Indiana University Press), pp. 331-345.
    • One of Peirce’s late Monist articles on pragmatism where he publicly distinguishes his “pragmaticism” from the pragmatism of James. The rest of the Monist series, and other work on his “pragmaticism” are reproduced in The Essential Peirce, Vol.2 and are worth looking at.

b. Secondary Sources

  • Gruender, D. 1983. “Pragmatism, Science and Metaphysics.” In The Relevance of Charles Peirce, ed. Eugene Freeman. (La Salle, IL: Monist Library of Philosophy), pp. 271-291.
    • Expands the often-made comparison between Peirce’s pragmatic maxim and the verification principle by comparing Peirce’s and Carnap’s accounts of meaning and science.
  • Hookway, C.J. 1997. “Logical Principles and Philosophical Attitudes: Peirce’s Response to James’ Pragmatism.” In The Cambridge Companion to William James, ed. Ruth Anna Putnam. (New York: Cambridge University Press), pp. 145-165.
    • Interesting, useful and detailed comparison of the work of James and Peirce, emphasizing their different motivations in using pragmatism, with particular emphasis on Peirce’s own understanding of James’ work.
  • Hookway, C.J. 2000. “Avoiding Circularity and Proving Pragmatism.” In Truth, Rationality, and Pragmatism. (Oxford: Clarendon Press), pp. 285-303.
    • A discussion that takes Peirce’s later concerns with the logical status of pragmatism further than we have done here. Hookway details Peirce’s late concern with attempting to “prove” his own pragmatic maxim by discussing the structure that such a proof should take.
  • Houser, N. 1998. “Introduction to The Essential Peirce Vol. 2.” In The Essential Peirce, Vol.2, ed. The Peirce Edition Project. (Bloomington IN: Indiana University Press), pp. xvii-xxxviii.
    • Houser’s introduction and discussion of the papers included in The Essential Peirce Vol. 2, offers a detailed look at the development of Peirce later thoughts on pragmatism. Further, a discussion of Peirce’s efforts to a find a “proof” for his maxim provides useful insight into Peirce’s pragmatism.
  • Misak, C., 1991. Truth and the End of Inquiry. (Oxford: Oxford University Press)
    • In chapter one of this book, Misak discusses the pragmatic maxim at length and investigates its different formulations from early to late, assessing their shortcomings. Of particular interest, is her insistence on the importance of pragmatism to Peirce’s account of truth.

Author Information

Albert Atkin
Email: pip99aka@sheffield.ac.uk
University of Sheffield
United Kingdom

Pascal’s Wager about God

Pascal-imgBlaise Pascal (1623-1662) offers a pragmatic reason for believing in God: even under the assumption that God’s existence is unlikely, the potential benefits of believing are so vast as to make betting on theism rational. The super-dominance form of the argument conveys the basic Pascalian idea, the expectations argument refines it, and the dominating expectations argument gives a more sophisticated version still.

Critics in turn have raised a number of now-classic challenges. (i) According to intellectualism, deliberately choosing which beliefs to hold is practically impossible. Intellectualism, however, appears to be not only questionable but irrelevant. (ii) According to the many-gods objection, Pascal’s wager begs the question and hence is irrational. It assumes that if God exists then God must take a rather specific form, which few open-minded agnostics would accept. Pascalians reply by invoking the notion of a genuine option (which is not defined), by devising run-off decision theory (which is not justified), by claiming that Pascal was understandably unaware of other cultures (which is not true), and by appealing to generic theism (which does not solve the problem).

(iii) According to evidentialism, Pascalian reasoning is epistemically irresponsible and hence immoral. One development of this argument, suggesting that God is an evidentialist, amounts to a variant of the many-gods objection. Another development, suggesting that we should be evidentialists, hinges on the outcome of larger moral theory. (iv) According to various paradoxes, reference to infinite values is decision-theoretic non-sense.

Table of Contents

  1. A Reason for Believing in God
    1. The Super-Dominance Argument
    2. The Expectations Argument
    3. The Dominating Expectations Argument
  2. The Intellectualist Objection: Is Belief a Matter of Choice?
  3. The Many-Gods Objection: Do Rival Religious Options Undermine Each Other?
    1. Genuine Options
    2. Run-off Decision Theory
    3. Relativism
    4. Generic Theism
  4. The Evidentialist Objection: Is Prudential Reasoning Ethical?
  5. The Paradox Objection: Is Decision Theory Coherent?
    1. The Equi-utility Paradox
    2. The St. Petersburg Paradox
  6. References and Further Reading

1. A Reason for Believing in God

There are two kinds of argument for theism. Traditional, epistemic arguments hold that God exists; examples include arguments from cosmology, design, ontology, and experience. Modern, pragmatic arguments hold that, regardless of whether God exists, believing in God is good for us, or is the right thing to do; examples include William James’s will to believe and Blaise Pascal’s wager.

Pascal — French philosopher, scientist, mathematician and probability theorist (1623-1662) — argues that if we do not know whether God exists then we should play it safe rather than risk being sorry. The argument comes in three versions (Hacking 1972), all of them employing decision theory.

For those who are unfamiliar with decision theory, the idea can be illustrated by considering a lottery. Suppose there are 100 tickets at $1 each and a jackpot of $1000. Is it rational to play? If you total the earnings and the expenses for all the tickets ($1000 – $100), then divide by the number of tickets, you find that on average each ticket nets $9. In comparison, not playing involves zero expense and zero payoff. Since $9 is preferable to $0, it is rational to play. Alternately, suppose there are 1000 tickets costing $2 each, a grand prize of $1000, and a consolation prize of $500. Then the total earnings and expenses ($1500 – $2000), divided by the number of tickets, yields a net loss of fifty cents for the average ticket. In this case, unless you have some reason to believe that a given ticket is not average, playing the game is irrational.

To put the matter more generally: a given action (say, buying a ticket) is associated with a set of possible outcomes (say, winning the grand prize, winning the consolation prize, or losing); each outcome has a certain value or “utility” (the utility of winning might be the value of the prize minus the cost of the ticket); the “expectation” for each outcome is equal to its utility multiplied by the probability of its happening; the expectation for a given action is the sum of the expectations for each possible associated outcome. The course of action having the maximum expectation is the rational one to follow.

a. The Super-Dominance Argument

Pascal begins with a two-by-two matrix: either God exists or does not, and either you believe or do not.

–Table I– God exists God does not exist
You believe in God (a) infinite reward (c) 250 utiles
You do not believe in God (b) infinite punishment (d) 200 utiles

If God exists then theists will enjoy eternal bliss (cell a), while atheists will suffer eternal damnation (cell b). If God does not exist then theists will enjoy finite happiness before they die (say 250 units worth), and atheists will enjoy finite happiness too, though not so much because they will experience angst rather than the comforts of religion. Regardless of whether God exists, then, theists have it better than atheists; hence belief in God is the most rational belief to have.

b. The Expectations Argument

What if the atheist is a happy hedonist, or if the theist is a miserable puritan? In that case the value of cell (d) is greater than that of (c), and the dominance argument no longer works. However, if there is a 50-50 chance that God exists then we can calculate the expectations as follows:

–Table II– God exists God does not exist
You believe in God +infinity something finite
You do not believe in God -infinity something finite

Using the table, the expectation for believing in God = (positive infinity x ½) + (a finite value x ½) = positive infinity; and the expectation for not believing = (negative infinity x ½) + (a finite value x ½) = negative infinity. Hence it is rational to believe in God.

c. The Dominating Expectations Argument

It’s unlikely that the probability of God’s existing is exactly one-half, but this does not matter. Due to the infinite value in cell (a), if God’s existence has any finite probability then the expectation for believing in God will be infinite. Furthermore, this infinity will swamp the values in cells (b), (c), and (d), so long as (c) is not infinitely negative and neither (b) nor (d) is infinitely positive.

2. The Intellectualist Objection: Is Belief a Matter of Choice?

According to doxastic voluntarism, believing and disbelieving are choices that are up to us to make. Intellectualists deny this; they say it is impossible to adopt a belief simply because we decide to. If I offered to pay you $1000 for believing the sky is green, for instance, could you sincerely adopt this belief simply by wishing to? Evidently not. Therefore, some say, Pascal’s wager does not give legitimate grounds for believing in God.

But although we cannot adopt a belief simply by deciding to, the same is true for other actions. For instance, we cannot go to school simply by deciding to; rather, we have to wake up by a certain time (which may mean first developing a certain kind of habit), we must get dressed, we must put one foot in front of another, and so forth. Then if we are lucky we will end up at our destination, though this is far from guaranteed. So it goes for any other endeavor in life: one chooses to become a doctor, or to marry by age 30, or to live in the tropics — the attainment of such goals can be facilitated, though not purely willed, by appropriate micro-steps that are more nearly under voluntary control. Indeed, even twitching your little finger is not entirely a matter of volition, as its success depends on a functioning neural system running from your brain, through your spine, and down your arm. Your minutest action is a joint product of internal volition and external contingencies. The same applies to theistic belief: although you cannot simply decide to be a theist, you can choose to read one-sided literature, you can choose to join a highly religious community, you can try to induce mystical experiences by ingesting psychedelic drugs like LSD, and you can choose to chant and pray. No mere exercise of will can guarantee that you will end up believing in God, but neither can any exercise of will guarantee that you succeed in doing anything else you decide to do. If there is a difference between our ability to voluntarily believe something and our ability to voluntarily wiggle our toe, it is a difference in degree of likely success, and not a difference in logical kind.

Yet a difference in degree may be significant, and it is worth noting that theists and atheists may disagree on the power of prayer to change one’s beliefs. Theists generally think that prayer tends to bring one into contact with God, in which case one is likely to notice, recognize, and believe in God’s existence. Atheists, on the other hand, have no particular reason to think that mere praying should notably effect conversion. An agnostic would do well then to try; for it would be precisely in the case where success matters that trying is likely to be most efficacious.

Indeed, it might not matter whether we can choose to have the beliefs we have. If Tables I or II be right then the fact would remain that it is pragmatically better to believe in God than not, insofar as theists, taken across all possible worlds, are on average better off than atheists. It does not matter whether theism results from personal will-power, God’s grace, or cosmic luck — regardless, being better off is being better off. Thus, Pascal’s wager need not succeed as a tool of persuasion for it to serve as a tool of assessment (Mougin & Sober 1994).

3. The Many-Gods Objection: Do Rival Religious Options Undermine Each Other?

Pascal’s compatriot Denis Diderot replied to the wager that an ayatollah or “imam could just as well reason the same way.” His point is that decision theory cannot decide among the various religions practiced in the world; it gives no warrant for believing in Pascal’s Catholicism, or even in a generic Judeo-Christianity. The reason is that Tables I and II beg the question in favor of a certain kind of theism; a more complete matrix must consider at least the following possibilities.

–Table III– Yahweh exists Allah exists
You worship Yahweh infinite reward infinite punishment
You worship Allah infinite punishment infinite reward

In reply, Pascalians offer a number of defenses.

a. Genuine Options

Some Pascalians insist that only certain theological possibilities count as “genuine options” (James 1897, Jordan 1994b), although this notion is never clearly defined. Perhaps a proposition P is a genuine option for some subject S only if S is likely to succeed in believing P, should S choose to. However, the relevance of volition is questionable, as discussed in the previous section. Alternatively, perhaps P is a genuine option for S unless P strikes S as “bizarre” or untraditional (Jordan 1994b). The difficulty here lies in distinguishing this position from emotional prejudice (Saka 2001). Finally, it may be that a genuine option is one that possesses sufficient evidential support, in which case it can then participate in a run-off decision procedure.

b. Run-off Decision Theory

Some Pascalians propose combining pragmatic and epistemic factors in a two-stage process. First, one uses epistemic considerations in selecting a limited set of belief options, then one uses prudential considerations in choosing among them (Jordan 1994b). Alternatively, one first uses prudential considerations to choose religion over non-religion, and then uses epistemic considerations to choose a particular religion (Schlesinger 1994, Jordan 1993).

In order to be at all plausible, this approach must answer two questions. First, what is the justification for deliberately excluding some possibilities, no matter how improbable, from prudential reasoning? It seems irrational to dismiss some options that are acknowledged to be possible, even be they unlikely, so long as the stakes are sufficiently high (Sorensen 1994). Second, can epistemic considerations work without begging the question? Schlesinger argues that the Principle of Sufficient Reason gives some support for believing in God, but in a Pascalian context this is questionable. If you subscribe to a suitable form of the Principle of Sufficient Reason (one that leads to a given kind of theism), you are likely to be a theist already and hence Pascal’s wager does not apply to you; on the other hand, if you do not believe in the right kind of Principle of Sufficient Reason, then you will not think that it makes theism more probable than atheistic Buddhism, or anthropomorphic theism more probable than deism. Other epistemic considerations, such as Schlesinger’s appeal to testimony, simplicity, and sublimity, meet with analogous challenges (Amico 1994, Saka 2001).

c. Relativism

Some Pascalians, while acknowledging that the Wager might be unsound for today’s multi-culturally sophisticated audience, maintain that the Wager is sound relative to Pascal and his peers in the 1600s, when Catholicism and agnosticism were the only possibilities (Rescher 1985, Franklin 1998). But the Crusades in the 1100s taught the French of Islam, the Renaissance in the 1400s taught the French of Greco-Roman paganism, the discoveries of the 1500s taught the French of new-world paganism, and several wars of religion taught the French of Protestantism. To claim that the educated French of the 1600s rightfully rejected alien beliefs without consideration appears to endorse rank prejudice.

d. Generic Theism

Some acknowledge that Pascal’s wager cannot decide among religions, yet maintain that “it at least gets us to theism” (Jordan 1994b, Armour-Garb 1999). The idea is that Catholics, Protestants, Jews, Moslems, and devil-worshippers can all legitimately use decision theory to conclude that it is best to believe in some supreme being. Against this there are two objections. First, it disregards theological possibilities such as the Professor’s God. The Professor’s God rewards those who humbly remain skeptical in the absence of evidence, and punishes those who adopt theism on the basis of self-interest (Martin 1975, 1990; Mackie 1982). Second, the claim that Pascal’s wager yields generic theism assumes that all religions are theistic. But consider the following sort of atheistic Buddhism: if you clear your mind then you will attain nirvana and otherwise you will not — that is, if you fill your mind with thoughts and desires, such as believing that God exists or living God, then you will not attain salvation (Saka 2001).

4. The Evidentialist Objection: Is Prudential Reasoning Ethical

There are two versions of this objection that need to be kept distinct. The first one suggests that Pascalian reasoners are manipulative egoists whom God might take exception to, and they won’t be rewarded after all (Nicholl 1978). Schlesinger 1994 responds by saying that any reasoning that gets us to believe in God, if God exists, cannot be bad. But this argument seems to depend on the nature of God. If God holds that results are all that matter, that the ends justify the means, then Schlesinger is right. But maybe God holds that true beliefs count as meritorious only if they are based on good evidence; maybe God rewards only evidentialists. In short, this form of the objection is just another version of the many-gods objection.

Another form of evidentialism refers not to God’s character but to our own. Regardless of how God might or might not reward our decisions, it may be categorically, epistemically or otherwise wrong — “absolutely wicked”, in the words of G.E. Moore — for us to base any belief on decision-theoretic self-interest (Clifford 1879, Nicholls 1978).

Since utilitarians would tend to favor Pascalian reasoning while Kantians and virtue ethicists would not, the issue at stake belongs to a much larger debate in moral philosophy.

5. The Paradox Objection: Is Decision Theory Coherent?

a. The Equi-utility Paradox

If you regularly brush your teeth, there is some chance you will go to heaven and enjoy infinite bliss. On the other hand, there is some chance you will enjoy infinite heavenly bliss even if you do not brush your teeth. Therefore the expectation of brushing your teeth (infinity plus a little extra due to oral health = infinity) is the same as that of not brushing your teeth (infinity minus a bit due to cavities and gingivitis = infinity), from which it follows that dental hygiene is not a particularly prudent course of action. In fact, as soon as we allow infinite utilities, decision theory tells us that any course of action is as good as any other (Duff 1986). Hence we have a reductio ad absurdum against decision theory, at least when it’s extended to infinite cases. In reply to such difficulties, Jordan 1993 proposes a run-off decision theory as described above.

b. The St. Petersburg Paradox

Imagine tossing a coin until it lands heads-up, and suppose that the payoff grows exponentially according to the number of tosses you make. If the coin lands heads-up on the first toss then the payoff is $2; if it takes two tosses then the payoff is $4; if it takes three tosses then the payoff is $8; and so forth, ad infinitum. Now the odds of the game ending on the first toss is 1/2; of ending on the second toss, 1/4; on the third, 1/8; and so forth. Since there is a one-half chance of winning $2, plus a quarter chance of winning $4, plus a one-eighth chance of winning $8, and so forth, your expectation for playing the game is (1/2 x $2) + (1/4 x $4) + (1/8 x $8) +…, that is, $1 + $1 + $1… = infinity! It follows you should be willing to pay any finite amount for the privilege of playing this game. Yet it clearly seems irrational to pay very much at all. The conclusion is that decision theory is a bad guide when infinite values are involved (for discussion of this very old paradox, see Sorensen 1994). Byl (1994) points out that instead of referring to infinite payoffs we can speak of arbitrarily high ones. No matter how improbable be the existence of God, it is still decision-theoretically rational to believe in God if the reward for doing so is sufficiently, yet only finitely, high. However, this does not address the heart of the problem, for the St. Petersburg paradox too may be cast in terms of an arbitrarily high limit. Intuitively, one would not be willing to pay a million dollars, say, for the privilege of playing a game capped at one-million-and-one coin tosses, and it is not just because of the diminishing value of money. There is something unsettling about decision theory, at least as applied to extreme cases, and so we might be skeptical about using it as a basis for religious commitment.

6. References and Further Reading

The best known defense of Pascal is Lycan & Schlesinger 1989; for responses see Amico 1994 and Saka 2001. A good sourcebook is Jordan 1994a.

  • Amico, Robert (1994) “Pascal’s wager revisited”, International Studies in Philosophy 26:1-11.
  • Armour-Garb, Bradley (1999) “Betting on God”, Religious Studies 35:119-38.
  • Byl, John (1994) “On Pascal’s wager and infinite utilities”, Faith & Philosophy 11:467-73.
  • Clifford, William (1879) “The ethics of belief”, Lectures & Essays, Macmillan.
  • Duff, Anthony (1986) “Pascal’s wager and infinite utilities”, Analysis 46:107-09.
  • Franklin, James (1998) “Two caricatures, I: Pascal’s wager”, International Journal for Philosophy of Religion 44:115-19.
  • Hacking, Ian (1972) “The logic of Pascal’s wager”, reprinted in Jordan 1994a.
  • James, William (1897) “The will to believe”, reprinted in The Will to Believe and Other Essays, Dover.
  • Jordan, Jeff (1991) “The many-gods objection and Pascal’s wager”, International Philosophical Quarterly 31:309-17.
  • Jordan, Jeff (1993) “Pascal’s wager and the problem of infinite utilities”, Faith & Philosophy 10:49-59.
  • Jordan, Jeff, editor (1994a) Gambling on God, Lanham MD: Rowman & Littlefield.
  • Jordan, Jeff (1994b) “The many-gods objection”, in Jordan 1994a; a restatement of Jordan 1991.
  • Lycan, William & George Schlesinger (1989) “You bet your life”, in Reason & Responsibility, 7th edition (ed. Joel Feinberg, Belmont CA: Wadsworth). Also in the 8th, 9th, 10th editions; in Philosophy and the Human Condition, 2d edition (ed. Tom Beauchamp et al., Englewood Cliffs NJ: Prentice Hall, 1989); and in Contemporary Perspectives on Religious Epistemology (ed. Douglas Geivet & Brendan Sweetmar, Oxford, 1993). See also Schlesinger 1994.
  • Mackie, J.L. (1982) The Miracle of Theism, Oxford, pp. 200-03.
  • Martin, Michael (1975) “On four critiques of Pascal’s wager”, Sophia 14:1-11.
  • Martin, Michael (1990) Atheism, Philadelphia: Temple University Press, pp. 229-38.
  • Mougin, Gregory & Elliott Sober (1994) “Betting on Pascal’s wager”, Nous 28:382-95.
  • Nicholl, Larimore (1978) “Pascal’s Wager: The bet is off”, Philosophy & Phenomenological Research 39:274-80.
  • Pascal, Blaise (composed in 1600s, first published in 1800s) Pensees, section 343; translated & reprinted by Penguin and many others.
  • Rescher, Nicholas (1985) Pascal’s Wager, University of Notre Dame Press.
  • Saka, Paul (2001) “Pascal’s wager and the many gods objection”, Religious Studies 37:321-41.
  • Schlesinger, George (1994) “A central theistic argument”, in Jordan 1994a; a restatement of Lycan & Schlesinger 1989.
  • Sorensen, Roy (1994) “Infinite decision theory”, in Jordan 1994a.

See also: Faith and Reason

Author Information

Paul Saka
Email: paul-saka@live.com
University of Texas, Rio Grande
U. S. A.

Logical Paradoxes

paradox_logicalA paradox is generally a puzzling conclusion we seem to be driven towards by our reasoning, but which is highly counterintuitive, nevertheless. There are, among these, a large variety of paradoxes of a logical nature which have teased even professional logicians, in some cases for several millennia. But what are now sometimes isolated as “the logical paradoxes” are a much less heterogeneous collection: they are a group of antinomies centered on the notion of self-reference, some of which were known in Classical times, but most of which became particularly prominent in the early decades of last century. Quine distinguished amongst paradoxes such antinomies. He did so by first isolating the “veridical” and “falsidical” paradoxes, which, although puzzling riddles, turned out to be plainly true, or plainly false, after some inspection. In addition, however, there were paradoxes which “produce a self-contradiction by accepted ways of reasoning,” and which, Quine thought, established “that some tacit and trusted pattern of reasoning must be made explicit, and henceforward be avoided or revised.” We will first look, more broadly, and historically, at several of the main conundrums of a logical nature which have proved difficult, some since antiquity, before concentrating later on the more recent troubles with paradoxes of self-reference. They will all be called “logical paradoxes.”

Table of Contents

  1. Classical Logical Paradoxes
  2. Moving to Modern Times
  3. Some Recent Logical Paradoxes
  4. Paradoxes of Self-Reference
  5. A Contemporary Twist
  6. References and Further Reading

1. Classical Logical Paradoxes

The four main paradoxes attributed to Eubulides, who lived in the fourth century BC, were “The Liar,” “The Hooded Man,” “The Heap,” and “The Horned Man” (compare Kneale and Kneale 1962, p114).

The Horned Man is a version of the “When did you stop beating your wife?” puzzle. This is not a simple question, and needs a carefully phrased reply, to avoid the inevitable come-back to “I have not.” How is one to understand this denial, as saying you continue to beat your wife, or that you once did but do so no longer, or that you never have, and never will? It is a question of what the “not,” or negation means, in this case. If “stopped beating” means “beat before, but no longer,” then “not stopped beating” covers both “did not beat before” and “continues to beat.” And in that case “I haven’t” is an entirely correct answer to the question, if you in fact did not beat your wife. However, your audience might still need to be taken slowly through the alternatives before they clearly see this. Likewise with the Horned Man, which arises if someone wants to say, for instance, “what you have not lost you still have.” In that case they will maybe have to accept the unwelcome conclusion “I still have horns,” if they admit “I have not lost any horns.” Here, if “lost” means “had, but do not still have” then “not lost” would cover the alternative “did not have in the first place” as well as “do still have” — in which case what you have not lost you do not necessarily still have.

The Heap is nowadays commonly referred to as the Sorites Paradox, and concerns the possibility that the borderline between a predicate and its negation need not be finely drawn. We would all say that a man with no hairs on his head was bald, and that a man with, say, 10,000 hairs on his head was hirsute, that is not bald, but what about a man with only 1,000 hairs on his head, which are, say, evenly spread? It is not too clear what we should say, although maybe some would still want to say positively “bald,” while others would want to say “not bald.” The learned treatment of this issue, in recent years, has been very extensive, with “the lazy solution” not being the only one favoured, by any means. The lazy solution says that any lack of certainty about what to say is merely a matter of us not having yet decided upon, or even having the need to make up our mind about, a “precisification” of the concept of baldness. There are objectors to this “epistemic” way of seeing the matter, some of whom would prefer to think, for instance (see, e.g. Sainsbury 1995), that there was something essentially “fuzzy” about baldness, so it is a “vague predicate” by the nature of things, instead of just through lack of effort, or need. (For recent work in this area, see, for instance, Williamson 1994, and Keefe 2001).

The Hooded Man is about the concept of knowledge, and in other versions has again been much studied in recent years, as we shall see. In its original version the problem is this: maybe you would be prepared to say that you know your brother, yet surely someone might come in, who was in fact your brother, but with his head covered, so you did not know who it was. One aspect of this paradox is that the verb “know” is ambiguous, and in fact is translated by two separate terms in several other languages than English — French, for instance, has “connâitre” and “savoir.” There is the sense of “being acquainted with,” in other words, and the sense of “knowing a fact about something.” Perhaps these two senses are inter-related, but distinguishing them provides one way out of the Hooded Man. For we can distinguish being acquainted with your brother from knowing that someone is your brother. Although you do not know it, you are certainly acquainted with the hooded man, since he is your brother, and you are acquainted with your brother. But that does not entail that you know that the hooded man is your brother, indeed, evidently you do not. We could also say, in that case, that you did not recognize your brother, for the notion of recognition is close to that of knowledge. And that points to another aspect of the problem, and another way of resolving the paradox — showing, in addition, that there needn’t just be one solution, or way out. Thus you might well be able to recognise your brother, but that does not require you can always do so, it merely means you can do better at this than those people who cannot do so. If we re-phrase the case: “you can recognise your brother, but you did not recognise him when he had his head covered,” then there is not really a paradox.

The last of Eubulides’ paradoxes mentioned above was The Liar, which is perhaps the most famous paradox in the “self-reference” family. The basic idea had several variations, even in antiquity. There was, for instance, The Cretan, where Epimenides, a Cretan, says that all Cretans are liars, and The Crocodile, where a crocodile has stolen someone’s child, and says to him “I will return her to you if you guess correctly whether I will do so or not” — to which the father says “You will not return my child”! Indeed a whole host of complications of The Liar have been constructed, especially in the last century, as we shall see. Now in The Cretan there is no real antinomy — it may simply be false that all Cretans are liars; but if someone says just “I am lying,” the situation is different. For if it is true that he is lying then seemingly what he says is false; but if it is false that he is lying then what he is saying may seem to be true. A pedant might say that “lying” was strictly not telling an untruth, but telling merely what one believes to be an untruth. In that case there is not the same difficulty with the person’s remark being true: maybe he is indeed lying, although he does not believe it. The pedant, however, misses the point that his verbal nicety can be circumvented, and the paradox re-constructed in another, indeed many other forms. We shall look in more detail later at the paradox here, in some of its more complicated versions.

Before leaving the ancients, however, we can look at Zeno’s Paradoxes, which not only have a logical interest in their own right, but also have a very close bearing on some paradoxes which appeared later, to do with infinity, and infinitesimals. Zeno’s Paradoxes are primarily about the possibility of motion, but more generally they are about the possibility of specifying the units, or atomic parts, of which either space or time, or indeed any continuum may be thought to be composed.

For, Zeno argued (see, for instance, Owen 1957, and Salmon 1970), if there were such units then they would either have a size, or not have a size. But if they had a size we would have the paradox of The Stadium, while if they had no size we would have the paradox of The Arrow. Thus if runners A and B are approaching one another both at unit speed, then, supposing the units have a finite size, after one time unit they will have each moved one space unit relative to the stadium. But they will have moved two space units relative to each other, which implies that there was a time unit in between when they were just one space unit apart. So the time unit must be divisible after all. On the other hand, if the units of division have no size, then, at any given time, an arrow in flight must occupy a space just equal to itself — for it cannot move within that time. But if so then it is at rest, and the arrow never moves.

That would seem to mean that space and time are divided without limit. But Zeno argued that if space and time were in themselves divided without limit then we would have the paradox of Achilles and the Tortoise. A runner, before he gets to the end of his race would have to get to the half-way point, but then also to the half-way point beyond that, that is the three-quarter-way point, and so on. There would be no limit to the sequence of points he would have to get to, and so there would always be a bit more to be run, and he could never get to the end. Likewise in a competitive race, even, say, between the super-speedy Achilles and a tortoise: Achilles would not be able to catch the tortoise up — so long as the tortoise was given a start. For Achilles has first to get to the tortoise’s original position, but by then the tortoise will be, however fractionally, further on. Now Achilles must always reach the tortoise’s previous position before catching him up. Hence he never catches it up.

Aristotle had a way of resolving Zeno’s Paradoxes which convinced most people until more recent times. Aristotle’s resolution of Zeno’s Paradoxes involved distinguishing between space and time being in themselves divided into parts without limit, and simply being divisible (by ourselves, for instance) without limit. No continuous magnitude, Aristotle thought, is actually composed of parts, since, although it may be divisible into parts without limit, the continuum is given before any such resulting division into parts. In particular, Aristotle denied that there could be any non-finite parts, and so is often called a “Finitist”: non-finite “parts” cannot be parts of space or time, he thought, since no magnitude can be composed of what has no extension. This view came to be challenged later, since it means that an arrow can only be “at rest” if it is at the same place at two separate times — for Aristotle both rest and motion can only be defined over a finite increment of time. But later the notion of an instantaneous velocity came to be accepted, and that includes the case where the velocity is zero.

The puzzle about non-finite parts may remind one of the question which occupied many scholastic theologians in the Middle Ages: how many angels can sit upon a pin? And it is perhaps no accident that the theorist who gave the currently received answer to the general question of how many things without any extension make up a whole which has such an extension was a fervent believer in God. Certainly Aristotle’s Finitism only stayed generally persuasive until the latter end of the nineteenth century, when the theorist in question, Cantor, specified the number of non-finite points in a continuum to most learned people’s satisfaction.

2. Moving to Modern Times

Between the classical times of Aristotle and the late nineteenth century when Cantor worked, there was a period in the middle ages when paradoxes of a logical kind were considered intensively. That was during the fourteenth century. Notable individuals were Paul of Venice, living towards the end of that century, and John Buridan, born just before it. As models of the care, and clarity which is required to extricate oneself from the above kind of difficulties with problem propositions each of these writers will surely stand forever. As an illustration, Buridan discusses “No change is instantaneous” in the following way (Scott 1966, p178):

I prove it, because every change is either in an indivisible instant or it is in a divisible time. But none is in an indivisible instant, since an indivisible instant cannot be given in time, as is always supposed. Hence every change is in divisible time, and every such must be called temporal and not instantaneous.

The opposite is argued, because at least the creation of our intellective soul is instantaneous. For since it is indivisible, it must be made altogether at once, not one part after another. And such creation we call instantaneous. Therefore.

Buridan also discusses “You know the one approaching,” which resembles Eubulides’ Hooded Man (Scott 1966, p178):

I posit the case that you see your father coming from a distance, in such a way that you do not discern whether it is your father or another.Then it is proved, because you do indeed know your father, and he is the one approaching; hence, you know the one approaching. Likewise, you know him who is known by you, but the one approaching is known by you; hence, you know the one approaching. I prove the minor, because your father is known by you and your father is the one approaching; hence, the one approaching is known by you.

The opposite is argued, because you do not know him of whom, if you are asked who he is, you will answer truly “I do not know.” But concerning the one approaching you say this; hence etc.

These two cases are “sophisms” in Buridan’s book on such, Sophismata, and amongst these, in chapter 8, are the “insolubles,” which are the ones involving some form of self-reference. Broadly speaking, that is to say, Buridan made a distinction similar to that mentioned before, between general paradoxes of a logical nature, and “the logical paradoxes.” Thus in his chapter 8 Buridan discusses Eubulides’ Liar Paradox in several forms, for instance as it arises with “Every proposition is false” in the following circumstances (Scott 1966, p191): “I posit the case that all true propositions should be destroyed and false ones remain. And then Socrates utters only this proposition: ‘Every proposition is false’.”

Extended discussion of such cases may seem somewhat academic, but between Buridan’s period, and more recent times, one notable figure started to bring out something of the larger importance of these issues. Indeed, quite generally, sophisms about the nature of change and continuity, about knowledge and its objects, and the ones about the notion of self-reference, amongst many others, have attracted a great deal of very professional attention, once their significance was realised, with techniques of analysis drawn from developments in formal logic and linguistic studies being added to the careful and clear expression, and modes of argument found in the best writers before. The pace of change started to quicken in the later nineteenth century, but the one earlier thinker who will also be mentioned here is Bishop Berkeley, who was active in the early eighteenth. For a history of this period, in connection with the issues which concerned Berkeley, see, for instance, Grattan-Guinness 1980. Berkeley’s argument was with Newton about the foundations of the calculus; he took, amongst other things, a sceptical line about the possibility of instantaneous velocities.

It will be remembered that in the calculation of a derivative the following fraction is considered:

f(x + δx) – f(x) / δx,

where δx is a very small quantity.In the elementary case where f(x) = x2, for instance, we get

(x + δx)2 – x2 / δx,

and the calculation goes first to

2xδx+ δx2/ δx,

and then to 2x + δx, with δx being subsequently set to zero to get the exact derivative 2x.Berkeley objected that only if δx was not zero could one first divide through by it, and so one was in no position, with the result of that operation, to then take δx to be zero.If it took δx to be zero Newton’s calculus, it seemed, required the impossible notion of an instantaneous velocity, which, of course, Aristotle had denied in connection with his analysis of Zeno’s Paradoxes.The point was appreciated to some extent elsewhere.For the association between the derivative and motion, initiated by Newton’s use of the term “fluxion,” was largely confined to England, and on the Continent, Leibniz’ cotemporaneous development of the calculus had more hold.And that involved the idea that the increment δx was never zero, but merely remained a still finite “infinitesimal.”

One way of putting Aristotle’s Finitism is to say that he believed that infinities, such as the possible successive divisions of a line, were only “potential,” not “actual” — an actual infinite division would end up with non-extensional, and so non-finite points. Leibniz, however, had no problem with the notion of an actual infinite division of a line — or with the idea that the result could be a finite quantity. However, while Leibniz introduced finite infinitesimals instead of fluxions, this idea was also questioned as not sufficiently rigorous, and both ideas lost ground to definitions of derivatives in terms of limits, by Cauchy and Weierstrass in the nineteenth century. Leibniz’ notion of finite infinitesimals in fact has been given a more rigorous definition since that time, by Abraham Robinson, and other proponents of “non-standard analysis,” but it was on the previous, nineteenth century theory of real numbers that Cantor worked, before he came to formulate his theory of infinite numbers. Leibniz would not have thought it too sensible to ask how many of his infinitesimals made up the line, but Cantor made much more precise the answer “infinitely many.”

It is necessary to get some idea about the theory of real numbers before we can understand the next logical paradoxes which emerged in this tradition: Russell’s Paradox, Burali-Forti’s Paradox, Cantor’s Paradox, and Skolem’s Paradox. We will look at those in the next section, which will then lead us into twentieth century developments in the area of self-reference. But before all that it should be mentioned how recent discussions of knowledge and its objects, for instance, has become very professionalised, since developed discussion of issues to do with Eubulides’ Hooded Man has been just as dominant in this period.

These issues, it will be remembered, centred on the problem of non-recognition, and in various ways two central cases of this have been given close attention since the end of the nineteenth century. A great deal of other relevant discussion has also gone on, but these two cases are perhaps the most important, historically (see, for example, Linsky 1967). First must be mentioned Frege’s interest in the difficulty of inferring someone believes something about the Evening Star so long as they believe that thing about the Morning Star. In fact the Morning Star is the same as the Evening Star, we now realise, but this was not always recognised, and indeed it is now realised that even the term “star” is a misnomer, both objects being the planet Venus. Still someone ignorant of the astronomical identity, it may be thought, might accept “The Evening Star is in the sky,” but reject “The Morning Star is in the sky.” Quine produced another much discussed case of a similar sort, concerning Bernard J. Ortcutt, a respectable man with grey hair, once seen at the beach. In one location he was taken to be not a spy, in another place he was taken to be a spy, as one might say; but is that quite the best way the situation should be described? Maybe one who does not recognise him can have beliefs about the man at the beach without thereby having those beliefs about the respectable man with grey hair — or even Bernard J. Ortcutt. Certainly Quine thought so, which has not only caused a large scale controversy in itself; it has also led to, or been part of much broader discussions about identity in similar, but non-personal, intensional notions, like modality. Thus, as Quine pointed out, it would not seem to be necessary that the number of the planets is greater than 4, although it is necessary that 9 is greater than 4, and 9 is the number of the planets. A branch of formal logic, Intensional Logic, has been developed to enable a more precise analysis of these kinds of issue.

3. Some Recent Logical Paradoxes

It was developments in other parts of mathematics which were integral to the discovery of the next logical paradoxes to be considered. These were developments in the theory of real numbers, as was mentioned before, but also in Set Theory, and Arithmetic. Arithmetic is now taken to be concerned with a “denumerable” number of objects — the natural numbers — while real numbers are “non-denumerable.” Sets of both infinite sizes can be formed, it is now thought, which is the basis on which Cantor was to give his precise answer “two to the aleph zero” to the question of how many points there are on a line.

The tradition up to the middle of the nineteenth century did not look at these matters in this kind of way. For the natural numbers arise in connection with counting, for instance counting the cows in a field. If there are a number of cows in the field then there is a set of them: sets are collections of such individuals. But with the beef in the field we do not normally talk in these terms: “beef” is a mass noun not a count noun, and so it does not individuate things, merely name some stuff, and, as a result, a number can be associated with the beef in the field only given some arbitrary unit, like a pound, or a kilogram. When there is just some F then there isn’t a number of F’s, although there might be a number of, say, pieces of F. It is the same with continua like space and time, which we can divide into yards, or seconds, or indeed any finite quantity, and that is perhaps the main fact which supports Aristotle’s view that any division of such a continuum is merely potential rather than actual, and inevitably finite both in the unit used and in the number of them in a whole.

But continua from Cantor onwards have been seen as composed of non-finite individuals. And not only that is the change. For also the number of individuals in some set of individuals — whether cows, or the non-finite elements in beef — has been taken to be possibly non-finite, with a whole containing those individuals being then still available: the infinite set of them. We now commonly have the idea that there may be infinite sets first of finite entities, which will then be “countable” or “denumerable,” but also there will be sets of non-finite, infinitesimal entities, which will be “uncountable,” or “non-denumerable.”

It is important to appreciate the grip that these new ideas had on the late nineteenth century generation of mathematicians and logicians, since it came to seem, as a result of these sorts of changes, that everything in mathematics was going to be explainable in terms of sets: Set Theory looked like it would become the entire foundation for mathematics. Only once one has appreciated this expectation, which the vanguard of theorists uniformly had, can one realise the very severe jolt to that society which came with the discovery of Russell’s Paradox, and several others at much the same time, around the turn of the century. For Russell’s Paradox showed that not everything could be a set.

If we write “x is F” as “Fx”—as came to be common in this same period—then the set of F’s is written

{x|Fx},

and to say a is F, that is Fa, would then seem to be to say that a belonged to this set, that is

a ∈ {x|Fx},

where the symbol “∈” represents “is a member of.”

It therefore seems plausible to enunciate this as a general principle,

for all y: y ∈ {x|Fx} if and only if Fy,

which is symbolised in contemporary logic,

(y)(y ∈ {x|Fx} iff Fy).

But if the result held for all predicates “F” then we could say, for any “F”

there is a z such that: (y)(y ∈ z iff Fy),

which is now formalised

(∃>z)(y)(y ∈ z iff Fy).

In the foundations of Arithmetic which Frege described in his major logical works Begriffsschrift, and Grundgesetze, this principle is a major axiom (Kneale and Kneale 1962, Ch 8), but Russell found it was logically impossible, since if one takes for “Fy” the specific predicate “y does not belong to y,” that is “¬ y ∈ y” then it requires

(∃>z)(y)(y ∈ z iff ¬ y ∈ y),

wherefrom, given the above meanings of “(∃>z)” and “(y)”, we get the contradiction

z ∈ z iff ¬ z ∈ z,

that is z is a member of itself if and only if it is not a member of itself. As a result of this paradox which Russell discovered, the theory of sets was considerably altered, and limits were put on Frege’s axiom, so that, for instance, either it defined merely subsets of known sets (Zermelo’s theory), or allowed one to discriminate sets from other entities — usually called “proper classes” (von Neumann’s theory). In the latter case those things which are not members of themselves form a proper class but not a set, and proper classes cannot be members of anything.

But there were other reasons why it came to be realised that sets could not always be formed, following the discovery of Burali-Forti’s and Cantor’s Paradoxes. Burali-Forti’s Paradox is about certain sets called “ordinals,” because of their connection with the ordinals of ordinary language, that is “first,” “second,” “third,” etc. The sets which are ordinals are so ordered that each one is a member of all the following ones, and so, with no limit envisaged to the sets which could be formed, it seemed possible to prove that any succession of such ordinals would themselves be members of a further ordinal – which would have to be distinct from each of them. The trouble came in considering the totality of all ordinals, since that would mean that there would have to be a further distinct ordinal not in this totality, and yet it was supposed to be the totality of all ordinals. A very similar contradiction is reached in Cantor’s Paradox.

For, for finite sets of finite entities it is easy to prove Cantor’s Theorem, namely that the number of members of a set is strictly less than the number of its subsets. If one forms a set of the subsets of a given set then one produces the “power set” of the original set, so another way of stating Cantor’s Theorem is to say that the number of members of a set is strictly less than the number of members of its power set. Cantor extended this theorem to his infinite sets as well – although there was at least one such set he realised it obviously could not apply to, namely the set of everything, sometimes called the universal set. For the set of its subsets clearly could not have a greater number than the number of things in the universal set itself, since that contained everything. This was Cantor’s Paradox, and his resolution of it was to say that such an infinity was “inconsistent,” since it could not be consistently numbered. He thought, however, that only the size of infinite sets had to be limited, assuming that lesser infinities could be consistently numbered, and nominating, for a start, “aleph zero” as the number, or more properly the “power” of the natural numbers (Hallett 1984, p175). In fact an earlier paradox about the natural numbers had suggested that even they could not be consistently numbered: for they could be put into 1 to 1 correlation with the even numbers, for one thing, and yet there were surely more of them, since they included the odd numbers as well. This paradox Cantor took to be avoided by his definition of the power of a set (N.B. not the power set of a set): his definition merely required two sets to be put into 1 to 1 correlation in order for them to have the same power. Thus all infinite sequences of natural numbers have the same power, aleph zero.

But the number of points in a line was not aleph zero, it was two to the aleph zero, and Cantor produced several proofs that these were not the same. The most famous was his diagonal argument which seems to show that there must be orders of infinity, and specifically that the non-denumerably infinite is distinct from the denumerably infinite. For belief in real numbers is equivalent to belief in certain infinite sets: real numbers are commonly understood simply in terms of possibly-non-terminating decimals, but this definition can be derived from the more theoretical ones (Suppes 1972, p189). But can the decimals between, say, 0 and 1 be listed? Listing them would make them countable in the special sense of this which has been adopted, which amongst other things does not require there to be a last item counted. The natural numbers are countable in this sense, as before, and any list, it seems, can be indexed by the ordinal numbers. Suppose, however, that we had a list in which the n-th member was of this form:

an = 0.an1an2an3an4…,

where ani is a digit between 0 and 9 inclusive.Then that list would not contain the “diagonal” decimal am defined by

amn = 9 – ann,

since for n = m this equation is false, if only whole digits are involved. This seems to show that the totality of decimals in any continuous interval cannot be listed, which implies that there are at least two separate orders of infinity.

Of course, if there were no infinite sets then there would be no infinite numbers, countable or uncountable, and so an Aristotelian would not accept the result of this proof as a fact. Discrete things might, at the most, be potentially denumerable, for him. But the difficulty with the result extends even to those who accept that there are infinite sets, because of another paradox, Skolem’s Paradox, which shows that all theories of a certain sort must have a countable model, that is must be true in some countable domain of objects. But Set Theory is one such theory, and in it, supposedly, there must be non-countable sets. In fact a denumerable model for Set Theory has recently been specified, by Lavine (Lavine 1994), so how can Cantor’s diagonal proof be accommodated? Commonly it is accommodated by saying that, within the denumerable model of Set Theory, non-denumerability is represented merely by the absence of a function which can do the indexing of a set, that is produce a correlation between the set and the ordinal numbers. But if that is the case, then maybe the difficulty of listing the real numbers in an interval is comparable. Certainly given a list of real numbers with a functional way of indexing them, then diagonalisation enables us to construct another real number. But maybe there still might be a denumerable number of all the real numbers in an interval without any possibility of finding a function which lists them, in which case we would have no diagonal means of producing another. We seem to need a further proof that being denumerable in size means being listable by means of a function.

4. Paradoxes of Self-Reference

The possibility that Cantor’s diagonal procedure is a paradox in its own right is not usually entertained, although a direct application of it does yield an acknowledged paradox: Richard’s Paradox. Consider for a start all finite sequences of the twenty six letters of the English alphabet, the ten digits, a comma, a full stop, a dash and a blank space. Order these expressions according, first, to the number of symbols, and then lexicographically within each such set. We then have a way of identifying the n-th member of this collection. Now some of these expressions are English phrases, and some of those phrases will define real numbers. Let E be the sub-collection which does this, and suppose we can again identify the n-th place in this, for each natural number n. Then the following phrase, as Richard pointed out, would seem to define a real number which is not defined in the collection: “The real number whose whole part is zero, and whose n-th decimal place is p plus 1 if the n-th decimal of the real number defined by the n-th member of E is p, and p is neither 8 or 9, and is simply one if this n-th decimal is eight or nine.” But this expression is a finite sequence of the previously described kind.

One significant fact about this paradox is that it is a semantical paradox, since it is concerned not just with the ordered collection of expressions (which is a syntactic matter), but also their meaning, that is whether they refer to real numbers. It is this which possibly makes it unclear whether there is a specifiable list of expressions of the required kind, since while the total list of expressions can certainly be straightforwardly ordered, whether some expression defines a real number is maybe not such a clear cut matter. Indeed, it might be concluded, just from the very fact that a paradox ensues, as above, that whether some English phrase defines a real number is not always entirely settleable. In Borel’s terms, it cannot be decided effectively (Martin-Löf 1970, p44). Another very similar semantical paradox with this same aspect is Berry’s Paradox, about “the least integer not nameable in fewer than nineteen syllables.” The problem here is that that very phrase has less than nineteen syllables in it, and yet, if it names an integer, that integer would have to be not nameable in less than nineteen syllables. So is there a definite set of English expressions which name integers not nameable in less than nineteen syllables?

If some sort of fuzziness was the case then there would be a considerable difference between such paradoxes and the previous paradoxes in logical theory like Russell’s, Burali-Forti’s and Cantor’s, for instance. Indeed it has been common since Ramsey’s discussion of these matters, in the 1920s, to divide the major logical paradoxes into two: the semantic or linguistic on the one hand, and the syntactic or mathematical on the other. Mackie disagreed with Ramsey to a certain extent, although he was prepared to say (Mackie 1973, p262):

The semantical paradoxes…can thus be solved in a philosophical sense by demonstrating the lack of content of the key items, the fact that various questions and sentences, construed in the intended way, raise no substantial issue. But these are comments appropriate only to linguistic items; one would expect that this method would apply only to the semantic paradoxes, and not to “syntactic” ones like Russell’s class paradox, which are believed to involve only (formal) logical and mathematical elements.

Russell himself opposed the distinction, formulating his famous “Vicious Circle Principle” which, he held, all the paradoxes of self-reference violated. Specifically he held that statements about all the members of certain collections were nonsense (compare Haack 1978, p141):

Whatever involves all of a collection must not be one of a collection, or, conversely, if, provided a certain collection had a total it would have members only definable in terms of that total, then the said collection has no total.

But this, seemingly, would rule out specifying, for instance, a man as the one with the highest batting average in his team, since he is then defined in terms of a total of which he is a member. It effectively imposes a ban on all forms of self-reference, and so Russell’s uniform solution to the paradoxes is usually thought to be too drastic. Some might say “this may be using a cannon against a fly, but at least it stops the fly!”; but it also devastates too much else in the vicinity.

A more recent theorist to oppose Ramsey’s distinction has been Priest. In fact he has tried to prove that all the main paradoxes of self-reference have a common structure using a further insight of Russell’s, which he calls “Russell’s Schema” (Priest 1994, p27). This pre-dates Russell’s attachment to the Vicious Circle Principle, but Priest has shown that, when adapted and applied to all the main paradoxes, it matches the reasoning which leads to the contradiction in each one of them. This approach, however, presumes that semantical notions, like definability, designation, truth, and knowledge can be construed in terms of mathematical sets, which seems to be really the very supposition which Ramsey disputed.

Grelling’s Paradox also makes this supposition questionable. It is a self-referential, semantical paradox resembling, to some extent, Russell’s Paradox, and concerns the property which an adjective has if it does not apply to itself. Thus

“large” is not large,
“multi-syllabled” is multi-syllabled,
“English” is English,
“French” is not French.

Let us use the term “heterological” for the property of being non-self-applicable, so we can say that “large” and “French” are heterological, for instance, and we can write as a general definition

“x” is heterological if and only if “x” is not x.

But clearly, substituting “heterological” for “x” produces a contradiction. Does this contradiction mean there is no such concept as heterologicality, just as there is no such set as the Russell set? Goldstein has recently argued that this is so (Goldstein 2000, p67), following a tradition Mackie calls “the logical proof approach” (Mackie 1973, p254f), to which Ryle was a notable contributor (Ryle 1950-1). The point is made even more plausible given the very detailed logical analysis which Copi provided (Copi 1973, p301).

Copi first introduces the definition

Hs =df (∃>F)(sDesF&(P)(sDesP iff P=F) & ¬Fs),

in which “¬” abbreviates “not”, and “Des” refers to the relation between a verbal expression and the property it designates. Thus “sDesF” reads: s designates F. Copi’s proof of the contradiction then goes in the following way. First, H”H” entails in turn

(∃>F)(“H”DesF&(P)(“H”DesP iff P=F)&¬F”H”) – by substitution in the definition,

“H”DesF&(P)(“H”DesP iff P=F)&¬F”H” – by taking the case thus said to exist,

(“H”DesH iff H=F)&¬F”H” – by substitution in the “for all P”,

H=F&¬F”H” – by assuming “H” designates H,

Then ¬H”H” entails in turn

(F)¬(“H”DesF&(P)(“H”DesP iff P=F)&¬F”H”) – since “¬(∃>F)” is equivalent to “(F)¬”,¬(H”DesH&(P)(“H”DesP iff P=H)&¬H”H”) – substituting “H” for “F”,

¬((P)(“H”DesP iff P=H)&¬H”H”) – assuming “H” designates H,

H”H” – assuming (P)(“H”DesP iff P=H).

To get the contradiction

H”H” iff ¬H”H”,

therefore, one has to be assured that there is one and only one property which “H” designates. And Copi gives no proof of this.

The Liar Paradox is a further self-referential, semantical paradox, perhaps the major one to come down from antiquity. And one may very well ask, with respect to

What I am now saying is false,

for instance, whether this has any sense, or involves a substantive issue, as Mackie would have it (see also Parsons 1984). But there is a well known further paradox which seems to block this dismissal. For if we allow, as well as “true” and “false” also “meaningless,” then it might well seem that The Strengthened Liar arises, which, in this case, could be expressed

What I am now saying is false, or meaningless.

If I am saying nothing meaningful here, then seemingly what I say is true, which seems to imply that it does have meaning, after all.

Let us, therefore, look at some other notable ways of trying to escape even the Unstrengthened Liar. The Unstrengthened Liar comes in a whole host of variations, for instance:

This very sentence is false,

or

Some sentence in this book is false,

if that sentence is the only sentence in a book, say in its preface. It also arises with the following pair of sentences taken together:

The following sentence is false,The previous sentence is true;

and in a case of Buridan’s,

What Plato is saying is false,What Socrates is saying is true,

if Socrates says the first, while Plato says the second. There are many other variations, some of which we shall look at later.

The semantical concepts in these paradoxes are truth and falsity, and the first major contribution to our understanding of these, in the twentieth century, was by Tarski. Tarski took truth and falsity to be predicates of sentences, and discussed at length the following example of his famous “T-scheme”:

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

He believed that

Ts iff p,

holds, quite generally, if “s” is some phrase naming, or referring, to the sentence “p” — for instance, as above, that same sentence in quotation marks, or a number in some system of numbering, which was the way Gödel handled such matters. Tarski’s analysis of truth involved denying that there could be “semantic closure” that is the presence in a language of the semantic concepts relating to expressions in that language (Tarski 1956, p402):

The main source of the difficulties met with seems to lie in the following: it has not always been kept in mind that the semantical concepts have a relative character, that they must always be related to a particular language. People have not been aware that the language about which we speak need by no means coincide with the language in which we speak. They have carried out the semantics of a language in that language itself and, generally speaking, they have proceeded as though there was only one language in the world. The analysis of the antinomies mentioned shows, on the contrary, that the semantical concepts simply have no place in the language to which they relate, that the language which contains its own semantics, and within which the usual laws of logic hold, must inevitably be inconsistent.

This conclusion, which requires that any consistent language be incomplete, Tarski derived directly by considering The Liar, since “This is false” seems to provide a self-referential “s” for which

s = “¬Ts”,

hence, substituting in the following example of the T-scheme

T”¬Ts” iff ¬Ts,

we get

Ts iff ¬Ts.

To block this conclusion Tarski held that the self-reference seemingly available in the identity

s = “¬Ts”

was just not consistently available, and specifically that, if one used the sentence “this is false” then the referent of “this” should not be that very sentence itself – on pain of the evident contradiction. Using “this is false” coherently meant speaking about an object language, but in another, higher, language – the meta-language. Of course the semantical concepts applicable in this meta-language likewise could not be sensibly defined within it, so generally there was supposed to be a whole hierarchy of languages.

It seems difficult to apply this kind of stratification of languages to the way we ordinarily speak, however. Indeed, to assert that truth can attach to indexical sentences, like “What I am now saying is false,” would seem to be flying in the face of a very clear truth (Kneale 1972, p234f). Consider, further, this variation of the Plato-Socrates case above (compare Haack 1978, p144), where Jones says

All of Nixon’s utterances about Watergate are false,

and Nixon says

All of Jones’ utterances about Watergate are true.

If, following Tarski, we were to try to assign levels of language to this pair of utterances, then how could we do it? It would seem that Jones’ utterance would have to be in a language higher, in Tarski’s hierarchy, than any of Nixon’s; yet, contrariwise, Nixon’s would have to be higher than any of Jones’.

Martin has produced a typology of solutions to the Liar which locates Tarski’s way out as one amongst four possible, general diagnoses (Martin 1984, p4). The two principles which Martin takes to categorise the Liar we have just seen, namely

(S) There is a sentence which says of itself only that it is not true,

and

(T) Any sentence is true if and only if what it says is the case.

Tarski, in these terms, took claim (S) to be incorrect. But one also might claim that (T) is incorrect, maybe because there are sentences without a truth value, being meaningless, or lacking in content in some other way, as is held by the theorists mentioned before. A third general diagnosis claims that both (S) and (T) are correct, and indeed incompatible, but proceeds to some “rational reconstruction” of them so that the incompatibility is removed. Fourthly it is possible to argue that (S) and (T) are correct, but really compatible. Martin sees this happening as a result of some possible ambiguity in the terms used in the two principles.

We can isolate a further, fifth option, although Martin does not consider it. That option is to hold that both (S) and (T) are incorrect, as is done by the tradition which holds that it is not sentences which are true or false. One cannot say, for instance, that the sentence “that is white” is true, in itself, since what is spoken of might vary from one utterance of the sentence to another. Following the second world war, because of this sort of thing, it became more common to think of semantical notions as attached not to sentences and words, but to what such sentences and words mean (Kneale and Kneale 1962, p601f). On this understanding it is not specifically the sentence “that is white” but what is expressed by this sentence, that is the statement or proposition made by it, which may be true. But it was shown by Thomason, following work by Montague, that the same sorts of problems can be generated even in this case. We can create self-referential paradoxes to do with statements and propositions which again cannot be obviously escaped (Thomason 1977, 1980, 1986). And the problems are not just confined to the semantics of truth and falsity, but also arise in just the same way with more general semantical notions like knowledge, belief, and provability. In recent years, the much larger extent of the problems to do with self-reference has, in this way, become increasingly apparent.

Asher and Kamp sum up (Asher and Kamp 1989, p87):

Thomason argues that the results of Montague (1963) apply not only to theories in which attitudinal concepts, such as knowledge and belief, are treated as predicates of sentences, but also to “representational” theories of the attitudes, which analyse these concepts as relations to, or operations on (mental) representations. Such representational treatments of the attitudes have found many advocates; and it is probably true that some of their proponents have not been sufficiently alert to the pitfalls of self-reference even after those had been so clearly exposed in Montague (1963)… To such happy-go-lucky representationalists, Thomason (1980) is a stern warning of the obstacles that a precise elaboration of their proposals would encounter.

Thomason mentions specifically Fodor’s “Language of Thought” in his work; Asher and Kamp themselves show that modes of argument similar to Thomason’s can be used even to show that Montague’s Intensional Semantics has the same problems. Asher and Kamp go on to explain the general method which achieves these results (Asher and Kamp 1989, p87):

Thomason’s argument is, at least on the face of it, straightforward. He reasons as follows: Suppose that a certain attitude, say belief, is treated as a property of “proposition-like” objects – let us call them “representations” – which are built up from atomic constituents in much the way that sentences are. Then, with enough arithmetic at our disposal, we can associate a Gödel number with each such object and we can mimic the relevant structural properties of and relations between such objects by explicitly defined arithmetical predicates of their Gödel numbers. This Gödelisation of representations can then be exploited to derive a contradiction in ways familiar from the work of Gödel, Tarski and Montague.

The only ray of hope Asher and Kamp can offer is (Asher and Kamp 1989, p94): “Only the familiar systems of epistemic and doxastic logic, in which knowledge and belief are treated as sentential operators, and which do not treat propositions as objects of reference and quantification, seem solidly protected from this difficulty.” But see on these, for instance, Mackie 1973, p276f, although also Slater 1986.

Gödel’s famous theorems in this area are, of course, concerned with the notion of provability, and they show that if this notion is taken as a predicate of certain formulas, then in any standard formal system which has enough arithmetic to handle the Gödel numbers used to identify the formulas in the system, certain statements can be constructed which are true, but are not provable in the system, if it is consistent. What is also true, and even provable in such a system is that, if it is consistent then (a) a certain specific self-referential formula is not provable in the system, and (b) the consistency of the system is not provable in the system. This means the consistency of the system cannot be proved in the system unless it is inconsistent, and it is commonly believed that the appropriate systems are consistent. But if they are consistent then this result shows they are incomplete, that is there are truths which they cannot prove.

The paradoxical thing about Gödel’s Theorems is that they seem to show that there are things we can ourselves prove, in the natural language we use to talk about formal systems, but which a formal system of proof cannot prove. And that fact has been fed into the very large debate about our differences from, even superiority over mechanisms (see e.g. Penrose 1989). But if we consider the way many people would argue about, for instance,

this very sentence is unprovable,

then our abilities as humans might not seem to be too great. For many people would argue:

If that sentence is provable then it is true, since provability entails truth; but that makes it unprovable, which is a contradiction. Hence it must be unprovable. But by this process we seem to have proved that it is unprovable – another contradiction!

So, unless we can extricate ourselves from this impasse, as well as the many others we have looked at, we would not seem to be too bright. Or does this sort of argument show that there is, indeed, no escape? Some people, of course, might want to follow Tarski, and run from “natural language” in the face of these conclusions. For Gödel had no reason to conclude, from his theorems, that the formal systems he was concerned with were inconsistent. However, his formal arguments differ crucially from that just given, since there is no proof within his systems that “provability” entails “truth.” There is no doubt that what we have been dealing with are real paradoxes!

The intractability of the impasse here, and the failure of many great minds to make headway with it, has lead some theorists to believe that indeed there is no escape. Notable amongst these is Priest (compare Priest 1979), who believes we must now learn to accept that some contradictions can be true, and adjust our logic accordingly. This is very much in line with the expectation we initially noted Quine had, that maybe “some tacit and trusted pattern of reasoning must be made explicit and henceforward be avoided or revised.” (Quine 1966, p7)  The particular law which “paraconsistent” logicians mainly doubt is “ex impossibile quodlibet”, that is “from an impossibility anything follows,” or

(p&¬p) ⊢ q.

It is thought that, if this traditional rule were removed from logic then, at least, any true contradictions we find, e.g. anything of the form “p&¬p” which we deduce from some paradox of self-reference, will not have the wholesale repercussions that it otherwise would have in traditional logic. Objectors to paraconsistency might say that the premise of this rule could not arise, so its “explosive” repercussions would never eventuate. But there is the broader, philosophical question, as well, about whether a switch to a different logic does not just change the subject, leaving the original problems unattacked. That depends on how one views “deviant logics.” There are reasons to believe that deviant logics are not rivals of traditional logic, but merely supplementary to, or extensions of it (Haack, 1974, Pt 1, Ch1). For if one drops the above rule then hasn’t one merely produced a new kind of negation? Are “p” and “¬p” still contradictory, if they can, somehow, both be true? And if “p” and “¬p” are not contradictory, then what is contradictory to “p”, and couldn’t we formulate the previous paradoxes in terms of it? It seems we may have just turned our backs on the real difficulty.

5. A Contemporary Twist

There have been developments, in the last few years, which have shown that the previous emphasis on paradoxes involving self-reference was to some extent misleading. For a family of paradoxes, with similar levels of intractability, have been discovered, which are not reflexive in this way.

It was mentioned before that a form of the Liar paradox could be derived in connection with the pair of statements

What Plato is saying is false,

What Socrates is saying is true,

when Socrates says the former, and Plato the latter. For, if what Socrates is saying is true, then, according to the former, what Plato is saying is false, but then, according to the latter, what Socrates is saying is false. On the other hand, if what Socrates is saying is false then, according to the former, what Plato is saying is true, and then, according to the latter, what Socrates is saying is true. Such a paradox is called a “liar chain”; they can be of any length; and with them we are already out of the really strict “self-reference” family, although, by passing along through the chain what Socrates is saying, it will eventually come back to reflect on itself.

It seems, however, that, if one creates what might be called “infinite chains” then there is not even this attenuated form of self-reference (though see Beall, 2001). Yablo asked us to consider an infinite sequence of sentences of which the following is representative (Yablo 1993):

(Si) For all k>i, Sk is untrue.

Sorensen’s “Queue Paradox” is similar, and can be obtained by replacing “all” by “some” here, and considering the series of thoughts of some students in an infinite queue (Sorensen 1998). Suppose that, in Yablo’s case, Sn is true for some n. Then Sn+1 is false, and all subsequent statements; but the latter fact makes Sn+1 true; giving a contradiction. Hence for no n is Sn true. But that means that S1 is true, S2 is true, etc; in fact it means every statement is true, which is another contradiction. In Sorensen’s case, if some student thinks “some of the students behind me are now thinking an untruth” then this cannot be false, since then all the students behind her are thinking the truth – although that means that some student behind her is speaking an untruth, a contradiction. So no student is thinking an untruth. But if some student is consequently thinking a truth, then some student behind them is thinking an untruth, which we know to be impossible. Indeed every supposition seems impossible, and we are in the characteristic impasse.

Gaifman has worked up a way of dealing with such more complex paradoxes of the Liar sort, which can end up denying the sentences in such loops, chains, and infinite sequences have any truth value whatever. Using “GAP” for “recognised failure to assign a standard truth value” Gaifman formulates what he calls the “closed loop rule” (Gaifman 1992, pp225, 230):

If, in the course of applying the evaluation procedure, a closed unevaluated loop forms and none of its members can be assigned a standard value by any of the rules, then all of its members are assigned GAP in a single evaluation step.

Goldstein has formulated a comparable process, which he thinks improves upon Gaifman in certain details, and which ends up labelling certain sentences “FA”, meaning that the sentence has made a “failed attempt” at making a statement (Goldstein 2000, p57). But the major question with such approaches, as before, is how they deal with The Strengthened Liar. Surely there remain major problems with

This sentence is false, or has a GAP,

and

This sentence makes a false statement, or is a FA.

6. References and Further Reading

  • Asher, N. and Kamp, H. 1986, “The Knower’s Paradox and Representational Theories of Attitudes,” in J. Halpern (ed.) Theoretical Aspects of Reasoning about Knowledge, San Mateo CA, Morgan Kaufmann.
  • Asher, N. and Kamp, H. 1989, “Self-Reference, Attitudes and Paradox” in G. Chierchia, B.H. Partee, and R. Turner (eds.) Properties, Types and Meaning 1.
  • Beall, J.C., 2001, “Is Yablo’s Paradox Non-Circular?,” Analysis 61.3.
  • Copi, I.M., 1973, Symbolic Logic 4th ed. Macmillan, New York.
  • Gaifman, H. 1992, “Pointers to Truth,” The Journal of Philosophy, 89, 223-61.
  • Goldstein, L. 2000, “A Unified Solution to Some Paradoxes,” Proceedings of the Aristotelian Society, 100, pp53-74.
  • Grattan-Guinness, I. (ed.) 1980, From the Calculus to Set Theory, 1630-1910, Duckworth, London.
  • Haack, S. 1974, Deviant Logic, C.U.P., Cambridge.
  • Haack, S. 1978, Philosophy of Logics, C.U.P., Cambridge.
  • Hallett, M. 1984, Cantorian Set Theory and Limitation of Size, Clarendon Press, Oxford.
  • Keefe, R. 2001, Theories of Vagueness, C.U.P. Cambridge.
  • Kneale, W. 1972, “Propositions and Truth in Natural Languages,” Mind, 81, pp225-243.
  • Kneale, W. and Kneale M. 1962, The Development of Logic, Clarendon Press, Oxford.
  • Lavine, S. 1994, Understanding the Infinite, Harvard University Press, Cambridge MA.
  • Linsky, L. 1967, Referring, Routledge and Kegan Paul, London.
  • Mackie, J.L. 1973, Truth, Probability and Paradox, Clarendon Press, Oxford.
  • Martin, R.L. (ed.) 1984, Recent Essays on Truth and the Liar Paradox, Clarendon Press, Oxford.
  • Martin-Löf, P. 1970, Notes on Constructive Mathematics, Almqvist and Wiksell, Stockholm.
  • Montague, R. 1963, “Syntactic Treatments of Modality, with Corollaries on Reflection Principles and Finite Axiomatisability,” Acta Philosophica Fennica, 16, pp153-167.
  • Owen, G.E.L. 1957-8, “Zeno and the Mathematicians,” Proceedings of the Aristotelian Society, 58, 199-222.
  • Parsons, C. 1984, “The Liar Paradox” in R.L.Martin (ed.) Recent Essays on Truth and the Liar Paradox, Clarendon Press, Oxford.
  • Penrose, R. 1989, The Emperor’s New Mind, O.U.P., Oxford.
  • Priest, G.G. 1979, “The Logic of Paradox,” Journal of Philosophical Logic, 8, pp219-241.
  • Priest, G.G. 1994, “The Structure of the Paradoxes of Self-Reference,” Mind, 103, pp25- 34.
  • Quine, W.V.O. 1966, The Ways of Paradox, Random House, New York.
  • Ryle, G. 1950-1, “Heterologicality,” Analysis, 11, pp61-69.
  • Sainsbury, M. 1995, Paradoxes, 2nd ed., C.U.P. Cambridge.
  • Salmon, W.C. (ed.) 1970, Zeno’s Paradoxes, Bobbs-Merrill, Indianapolis.
  • Scott, T.K. 1966, John Buridan: Sophisms on Meaning and Truth, Appleton-Century- Crofts, New York.
  • Slater, B.H. 1986, “Prior’s Analytic,” Analysis, 46, pp76-81.
  • Sorensen, R. 1998, “Yablo’s Paradox and Kindred Infinite Liars,” Mind, 107, 137-55.
  • Suppes, P. 1972, Axiomatic Set Theory, Dover, New York.
  • Tarski, A. 1956, Logic, Semantics, Metamathematics: Papers from 1923 to 1938, trans. J.H. Woodger, O.U.P. Oxford.
  • Thomason, R. 1977, “Indirect Discourse is not Quotational,” The Monist, 60, pp340-354.
  • Thomason, R. 1980, “A Note on Syntactical Treatments of Modality,” Synthese, 44, pp391-395
  • Thomason, R. 1986, “Paradoxes and Semantic Representation,” in J.Halpern (ed.) Theoretical Aspects of Reasoning about Knowledge, San Mateo CA, Morgan Kaufmann.
  • Williamson, T. 1994, Vagueness, London, Routledge.
  • Yablo, S. 1993, “Paradox without Self-Reference,” Analysis, 53, 251-52.

For more discussion of the logical paradoxes, see the following articles within this encyclopedia:

Author Information

Barry Hartley Slater
Email: slaterbh@cyllene.uwa.edu.au
University of Western Australia
Australia

Pacifism

Pacifism is the theory that peaceful rather than violent or belligerent relations should govern human intercourse and that arbitration, surrender, or migration should be used to resolve disputes. Pacifism is as much an element of Western thinking as is the notion of Just War Theory, the argument that the state may legitimately or morally bear arms. While most people accept the necessity of war, conscientious objectors (or martyrs in much of European history) have often been accorded a special recognition for their moral bravery in refusing to take up arms.

The philosophical study of pacifism requires examining a variety of aspects of the broad proposal, as well as an investigation as to its consequences. Pacifism relates to war as well as to domestic injustices and repressive policies. It can be studied in terms of its coherence as a deontological, or intrinsic, value as well as in terms of the beneficial effects it seeks. Examination of the broad theory draws our attention to a vast range of possible ethical meanings and issues that the committed pacifist or critic must consider. The doctrine of absolute pacifism is first dealt with, before turning to an examination of the more flexible doctrines of pacifism and conditional pacifism.

Table of Contents

  1. General Pacifism
    1. Killing
    2. The Nature of Violence
    3. The Use of Force
    4. Innocents
  2. The Ethics of Pacifism
    1. Absolute Pacifism
      1. Deontological Pacifism
      2. Consequentialist Pacifism
      3. Absolute Pacifism Summarized
    2. Conditional Pacifism
      1. Conditional Deontological Pacifism
      2. Conditional Utilitarian Pacifism
    3. Pacificism
  3. Conclusion

1. General Pacifism

The best place to begin an analysis of pacifism is with the absolutist argument that all forms of violence, war, and/or killing are unconditionally wrong. The proposed ideal is that social intercourse should be completely non-violent and peaceful, and conflicts which may arise should be dealt with through arbitration and compromise rather than with recourse to violent means. Absolutist pacifism asserts that peace is intrinsically a good to be upheld either as a duty or on the consequentialist grounds that it is more conducive to human welfare than any use of violence or force.

The ethical evaluation of these two positions, the deontological and the consequentialist, provides the traditional framework in which ethicists examine pacifism. But what becomes an immediate concern is the kind of pacifism that is intended. Pacifism for many means an anti-war stance, but pacifism can also be construed as a broader theory incorporating doctrines of non-violence, passive resistance, and moral purity. Although the emphasis on pacifism as an anti-war doctrine is the focus of this article, the other nuances of the theory need to be noted.

The first issue to deal with is that while pacifism emphasizes the role that peace should play, there are three general aspects derived from the nature of peaceful relations. First, there is the absolute prohibition of war; second, the absolute prohibition of violence (or force); and third, the absolute prohibition of killing. The three areas of ethical investigation certainly overlap, and most pacifists hold an ethic of non-violence, which underpins both their disdain of killing and of war. Others, however, deny any moral validity to war but accept the use of force or violence (and even killing) under criteria established by the rule of law; some seek a purely non-violent way of life, where as other pacifists are solely nuclear pacifists in that they accept the use of conventional war but not nuclear war.

Before moving onto an ethical analysis of pacifism, the concepts of killing, violence, force, and innocents are reviewed.

a. Killing

Morally, the topic of killing is intricate and complex, deserving a separate consideration, however, for the purposes of examining the various possible readings of pacifism, it can be generally asserted that pacifists cannot condone killing. Their beliefs emphasize the sanctity of human life, according it a special moral status that necessitates strong justifications for the injuring, harming, restraining, or killing of another. Absolute pacifists deny that there can be any justification for killing. The Mosaic command, thou shalt not kill resounds throughout much Western culture and philosophy and is the starting point for absolutist prohibitions on the killing of people in the Western philosophical tradition.

Ethically, the problem of killing divides between passive and active killing as well as intentional, unintentional, and foreseeable variations. The pacifist needs to relate his general moral outlook to these particular areas. For example, would the pacifist prohibit all forms of killing, including mercy killings and killings in self-defense? Is it any form of killing that the pacifist prohibits, or only those of innocents lives, or those in foreign territories? Or does the pacifist draw a distinction between killing and murder, with the implication that killing could be morally acceptable (e.g., abortion, euthanasia, capital punishment), whereas the intentional killing of an innocent be absolutely immoral? Even so, a pacifist could consistently claim that he would prefer to die rather than raise his fist to protect himself. Kahlil Gibran argues: “If my survival caused another to perish, then death would be sweeter and more beloved.” (The Voice of the Poet). In such ethics, the evil of killing in self-defense outweighs the moral value of the victim s own life and the moral purity of the pacifist is to be upheld as the governing ethic. But self-immolation and especially sacrifice are ultimately illogical, for if all were to sacrifice themselves in the quest for moral purity, none would be left to continue the human race. However, the pursuit of purity can also be criticized for being other-worldly, unrealistic, and utopian, and in turn purification policies have also often become crusades against sinners and heretics (cf. Barrington Moore s Moral Purity and Persecution in History), which even the Buddhist religion is not averse to accepting. The pacifist who seeks, regardless of the actions of others, moral purity often requires subsidizing or free rides on the moral impurity of others. The pacifist may reply that it is the duty of only a select élite to be morally pure (a priestly class) or that only a select élite are capable of such purity and that they must so act to become semi-divine agents on earth. The reply is cogent, however it admits a moral division in humanity, namely that some are morally better than others and that others live to serve the priests, an argument that moral egalitarians (“each to count for one and no more than one” Bentham) would reject.

While a few pacifists (especially in the religious vein) may accept the absolute ideal of peace, most have to justify their enjoyment of peace at the expense of others who actively defend the lives of their fellow citizens as well as those of the pacifists. The dilemma is captured well in a quotation from Clifford Simmons in Paskins and Dockrill s Ethics of War.

“I could not stand aside from the experiences of others…I still believed that the position of the pacifist was ultimately right but I was beginning to realize that, at the same time, I could not stand aside from the struggle which was engulfing my contemporaries.” (p.182)

There are two solutions for the pacifist at this junction. Firstly, to prohibit any form of self-preservation that requires harming another, even if he is an aggressor, in the belief that one s life is less morally valuable than one s pure death. The criticism is that this rewards aggression, for “evil will always flourish when good men do nothing” (Edmund Burke), to which the pacifist may reply that the rewards for moral purity are not to be found in this life but in the after-life, a reply that is not attractive to those who do not believe in life after death. The second solution is to divide humanity into those who may seek and attain moral purity and those who cannot or should not. This avoids any need to resort to postmortem tales of heavenly rewards, but then raises a host of political and ethical questions as to the membership of the pure élite.

b. The Nature of Violence

The next philosophical problem that pacifism has to deal with is what is meant by violence. The adjective violent applies to many situations that the nominal pacifist would not necessarily oppose, from its uses to describe agitated or passionate behavior to morally legitimately violent actions against the self or another person. For example, the martial and pugnacious sports involve a violence that the pacifist could accept, although many would decry such institutions as being part of the culture of violence that pervades aggressive nations (and hence are deemed potential causal factors in war) and which ought to be banned or severely limited. Yet the violence meted out on, say a person s body in surgery is not something that most pacifists would accept deserving abolition.

Pacifists may also accept that a violent passion or argument is not something that should be prohibited or morally censured, although there are thinkers here, say, in the Chinese Confucian philosophy that aspire to the calmer control of the mind/spirit over the emotions, and any violent reaction (hysterical laughter, grief, etc.) or reversion to a violent manner disrupts the inner calm a man should seek, which in turn forms the basis of a peaceful community. Similarly, those who claim that reason is man s most important faculty, and that it can and should rule the body and its conflicting emotions, assert that violent behavior or action against another is inimical to the life of a rational being and should be avoided absolutely.

c. The Use of Force

Connected to issues of violence is the use of force against another person which a pacifist must consider. The use of force (again a complex area of study in itself) can take many forms including legal restraint as well as bodily restraint. Effectively both seek to confine the movement of the individual and pacifists may or may not reject the use of force in civil society. The use of force need not be violent, or do physical damage, but does imply some infringement on the free activity of an agent. The philosophical discussion revolves around the justification of that infringement, whether, for example, it can be legitimate or justifiable in any situation. Some, on the anarchist wing, can claim that any use of force is an abrogation of morality, whereas most pacifists accept the need to restrain dangerous individuals from harming others. A question that may be put to such thinkers is why should there be a distinction between protecting people from dangerous civilians and protecting from dangerous nations. In other words, the pacifist has to consider the moral nature of political sovereignty and, if necessary, justify the reason why the use of force is permitted domestically but not internationally for similar issues.

Generally, those that oppose the use of force or violence in society deplore the use of physical means to intervene in another person s behavior, although some are willing to expand the concept of force or violence to include emotional abuse, cultural prejudices, mental games that is, forms of psychological warfare and propaganda designed to undermine the dignity of the individual.

d. Innocents

Who is the target of any war, violence, force, or restraint also has to be considered by the pacifist. Few would admit that a dangerous person should not be restrained in some form or other, and most pacifists would accept injuring or even killing a dangerous criminal if the circumstances admit it, although the argument for retaining a moral purity can be deployed here, leaving the pacifist to justify permitting aggression to flourish.

In this case, the pacifist has to evaluate the moral nature of the particular threat against duties towards others and their right to peace. Deontological pacifists, those who assert that peaceful interaction is a duty to be supported, must weigh their pacifism against the violation of that peace by criminals or dangerous persons. Some pacifists here resort to defining innocents as people deserving their dignity and peace and whose lives ought to be protected against violent offenders. Violence and the use of force by domestic authorities may be thus permitted by pacifists, who reject war or interventions across borders, but they would emphasize that any infringement should be reasonable and be legitimate and should avoid any unnecessary violence. Once an interventionist war is morally permitted the pacifist becomes at least pacificist (see below).

The most intricate difficulty facing the general pacifist is the link between personal pacifism and international pacifism, which is not very clear-cut in most writings. Some pacifists, as we have seen, may admit the use of internal aggression to sustain law and order but be set against the use of aggression for resolving international disputes. Unlike domestic issues, they can argue, international affairs is subject to no overriding supreme authority that can be turned to for conflict resolution, and here the pacifist would argue that war should never be employed as a means for resolving disputes between morally or politically equal corporate entities. However, the question can be raised as to why the use of force is morally legitimate within a nation s borders (to restrain criminals) but not so beyond them (to restrain international criminals), especially if the case involves halting the illegitimate use of aggression by one party against innocents.

2. The Ethics of Pacifism

As noted above, pacifist ethics can be described from two main viewpoints. Firstly, the deontological position which decrees that moral agents have an absolute duty to avoid aggressing or waging war against others. Secondly, the consequentialist position which asserts that no good ever comes from aggressive actions or war and it is thereby prohibited, not because it is an evil in itself, but because it always leads to a worse off position for the majority. This section investigates firstly the absolutist doctrine, then conditional pacifism from both perspectives.

a. Absolute Pacifism

ii. Deontological Pacifism

Held as a duty, it is incumbent on the pacifist never to aggress, use force, or support or engage in war against another. Duties are moral actions that are required or demanded in all pertinent circumstances.

The first problem for deontological pacifism is the potential collision of duties. What if force is to be used to halt an aggressor who endangers the pacifist s life, or the life of an innocent? Regarding the pacifist s own life, it can be argued that he or she possesses no right of self-defense (and must “turn the other cheek”), although this is typically the position of those who place not much value on living this life in favor of living a life in the realms beyond. Among such adherents are religious pacifists. Another example: does the duty to respect others outweigh the duty to respect oneself? The aggressor obviously transcends any duty of respect he should have towards his victim but does that warrant the forfeiture of his life? Those pacifists who admit the right to defend the self against a threat can admit the use of restraining or disabling force and even, if the threat is deadly, the right to kill an assailant. Deontological pacifists can claim that others rights to life are of a higher order duty than the duty to intervene to save oneself. But that hinges upon a moral evaluation of the self compared to others, and it is not clear why others should accord a higher moral evaluation: for after all the self is in turn one amongst many others from a different subject s point of view.

If the pacifist argues that his life is his own to lay down in the face of aggression (as a moral principle, as a moral example, as an example of martyrdom, etc), the problem intensifies when the life of another is threatened, whom the pacifist is in a position to assist, and who, as a living subject, may prefer life over death.

The pacifist who claims that he has no duty to intervene in saving others affairs treads a precarious moral path here; the immediate retort is why should the moral life of the pacifist be morally more important than the life of the threatened innocent? For the sake of his own beliefs, could the pacifist consistently ignore the violence meted upon others? Yes, from two possible perspectives. The first is that the ideal of pacifism retains a supremacy over all other ideals and is not to be compromised. The second is that the life of the pacifist is morally superior to the life of the threatened innocent, even if that innocent happens to be a fellow absolute pacifist.

Deontologists argue that certain kinds of moral actions are good in themselves, hence deontological pacifists claim peace to be a duty to be categorically upheld; however, other moralists argue for pacifism on the basis of its beneficial consequences rather than any intrinsic notion of the good these are consequentialist pacifists.

ii. Consequentialist Pacifism

Pacifism can be supported by moral consequentialists who assert that the evils procured by violence, force, or war, far outweigh any of the good that may arise. For example, rule utilitarians claim that if certain inimical consequences flow from particular actions, a blanket prohibition on such actions is morally required, which, in terms of the implications of the argument brings them close to the deontological position of an absolute prohibition of war, etc.

Rule utilitarianism holds that a behavioral code or rule is morally right if the consequences of adopting that rule are more favorable than unfavorable to everyone. Accordingly, rule utilitarian pacifists claim that the avoidance of war (or violence, or force) should be a moral rule since its abrogation would be less beneficial to all. For example, if, on balance, all hitherto wars are perceived as producing effects that none would have wanted prior to the war, then a rule against war should be adopted. The rule outlaws war in the particular and in general, even if a particular war could produce better consequences it should not be accepted on the grounds that it violates a moral rule, and that moral rule claims more favorable consequences for entire world if war is absolutely prohibited.

However, absolute consequentialist principles are exceedingly difficult to sustain, for they are firstly based on a particular reading of history a reading that can emphasize ruinous results over any good that may ultimately have arisen. They are empirical judgements on the past and as such open to not only historical critique but also the logical argument that what was true yesterday may not be true tomorrow (or at least cannot be proven to be so). That is, while past wars were wholly detrimental to the human race as a whole, tomorrow s wars, because of new technology or strategy, or even a new ethic, may not be. Accordingly, the moral rule may in principle change and therefore cannot be held absolutely.

It is possible, for example, to consider that the Second World War (and all the untoward deaths and destruction that it brought) ultimately promoted the greater good of a peaceful Europe and enhanced international co-operation. It is difficult to empirically sustain that nothing good ever came from war , for critics can always point to something good whose value may be suitably expanded to provide an argument; in which case the argument becomes a comparison of goods and their respective moral weightings (20 million deaths versus fifty plus years of European peace for hundreds of millions).

iii. Absuolute Pacifism Summarized

In summary, the absolute pacifist of both ethical persuasions prohibits war regardless of particular circumstances. As a doctrine, the onus in on justifying the pacifist principle against arguments for aggression and war. What, it may be asked, should be the appropriate response to a person who believes that violence is a morally appropriate method to gain values? The absolute pacifist thus has to justify not retaliating or defending himself or others (innocents or not) in the face of aggression. Often the recourse is to non-earthly values such as the Kingdom of Heaven, i.e., death is morally superior to violent resistance, deterrence, or aggression, or to a moral division between peoples, between the superior pacifists and the impure aggressors.

b. Conditional Pacifism

Against the doctrinal absolute prohibition of the use of violence or war, conditional pacifism admits its use under certain circumstances. Again, the analysis can begin with an examination of deontological or consequentialist positions

i. Conditional Deontological Pacifism

Conditional pacifism from the deontological perspective admits that the enactment of duties cannot be considered in isolation, for they may overlap and hence require a conditional acceptance or a moral weighing. For the conditional pacifist, the duty to uphold peace and non-violence may conflict with the duty to save or defend lives against aggression, if the latter duty is accepted. Therefore, in cases of what Walzer calls supreme emergencies (Just and Unjust Wars), the duty to peace may be trumped by alternative ethical requirements.

To take an example from political theory that is an appropriate area of discussion here: a common defense of the use of violence or war is that it is a justifiable or legitimate procedure to defend rights, and rights theories are often supported from a conditional deontological position. The pacifist counters that the argument to violate rights to protect rights is incoherent, for the use of force inherently violates the rights it is supposed to defend or protect. The alleged paradox is resolved, it can be argued, by asserting that rights are things to be upheld and defended, firstly as negative claims requiring an absence of violation, and secondly as positive claims that require freedom to pursue goals. An aggressor violates both elements. A right cannot be a value unless it is defensible, but it does not mean that the rights of aggressors are infringed in defending one s rights, for, as Lockean theorists argue, aggressors lose rights in attacking others. Pacifists can disagree with this and argue that if rights theory is to be coherent, rights ought to be inviolable and inalienable. Hence if they are contingently held they cannot be deemed inviolable rights but conditional privileges , which may accordingly be removed if someone abuses their own rights entitlements by violating those of others.

ii. Conditional Utilitarian Pacifism

For the consequentialist, all moral guides are conditional on the circumstances and protracted outcomes of an action. In the case of conditional pacifism, a utilitarian ascribes to act utilitarianism in which each particular act, war, battle, etc., is examined from the moral perspective of what outcome is likely to produce more favorable results. Accordingly, whilst the pacifist may claim that wars generally do not produce more favorable results, in specific examples they can be acceptable. Such examples may include wars of self-defense, or wars of intervention to protect a people from genocidal campaigns. But the further removed the pacifist gets from the peaceful ideal, the more he or she moves into the just war realm, or the theory called pacificism .

c. Pacificism

Pacificism, defined by Martin Caedel (Thinking about War and Peace, 1987), is a useful term to describe those who prefer peaceful conditions to war but who accept that some wars may be necessary if they advance the cause of peace. In a sense this is a further step away from conditional pacifism which rules out war or the use of force except in very exceptional circumstances. In this case, the political achievements that have generated peace may be defended militarily if necessary for the overriding goal of global peace.

Following Richard Norman (Ethics, Killing, and War, 1995), pacificism falls between pacifism and defencism, where defencism is the theory that accepts all defensive wars and acts of deterrence as just (but which rules out aggressive wars). It implies an interesting justification of war for peace s sake that is not essential to defencism but which also steps beyond the sometimes non-worldly or unrealistic vision of pacifism. Pacificism can reject a defensive war if it undermines the overall concord that may be latent in the international (or national in the case of civil war) situation. This reaches into some intriguing territory, for its remit is vague but also flexible.

On the vague side, pacificism falls back onto similar problems that general consequentialism faces, namely the inability to propose a rule or guiding principle that is not affected by either new events or alternative interpretations of the same event. This, like general consequentialism, provides the theory with flexibility, but where this does become an issue is in the logical extension of the theory to proclaim the war to end all wars as a pacificistic ideal, which logically it does entail.

A defensive war, justified on the traditional grounds of just war theory, may be rejected as causing greater overall international instability, but on the other hand it does not thoroughly rule out an aggressive war of intervention or of imperialism to impose peace, although most pacificists would say that it does, on the grounds that all aggressive wars should be ruled out. But why? If two neighboring nations are about to wage a war that will create greater global instability and the chance is there to contain the momentum with an aggressive policing action, then so long as peace is the ultimate goal, the means become morally acceptable.

Pacificism can be acceptable to many shades of opinion. Very few thinkers assert that war should be waged for its own sake, which poses logical problems of its own for often war is to be waged for glory or for valor or for land or for values. But most thinkers will argue that peace is the most favorable condition for man within which to reside: peace enables enterprise, families, and life in general to flourish. Accordingly, such thinkers will accept that to secure peaceful conditions, war may have to be waged, but that it can only be waged for the sake of peace. We read this in Plato, Aristotle, and the host of philosophers and jurists that they influenced. But if peace is the overriding goal, the means to secure peace can really include anything.

For example, one of the longest recorded reigns of human peace lasted in Egypt between 5000 and 2000 BC, partly as a result of geographical isolation and partly as a result of the strict and unchanging social system that prevailed; the imposition of central control may enforce a long term peace, but it is not a means that all may be willing to accept. A strong central state, as Plato argues for in The Republic, could impose peace by permitting no change or allowing any conditions conducive to change. But, arguably, such an environment leads to the stultification of the mind, and if the individual mind is not free to challenge the present order, to disrupt or create, then society is not in a position to adapt, which ultimately does not augur well for any society once change comes from outsiders or changes in the environment for example.

Imperialism often imposes an international peace that few today would accept, but if peace is secured why should the nature of the political institution be rejected if it works? The Romans provided the pax romana and the British attempted a similar pax britannica, that secured peace amongst hitherto belligerent and restless tribes. Most present thinkers reject imperialism yet some such as Michael Ignatieff do wonder whether its benefits may outweigh the costs (The Warrior s Honor). Empirically, it can be claimed that imperialism is globally more stable and peaceful than tribalism and its larger brother, nationalism, both of which have generated a great portion of the world s wars.

On the other hand, a federation of states, as considered by the Abbé Saint-Pierre in his Perpetual Peace and Immanuel Kant in his more famous work of the same name, proposes that while peace is the ultimate end to be secured, a federation of equal states is the appropriate political vehicle.

Kant argues that peoples will be drawn closer together through commercial ties and nature will prompt them to follow the dictates of reason that encourage the more beneficial peaceful enterprises over mutual animosity. Kant suggests that the process towards perpetual peace the pacifistic goal is inevitable, given the manner in which people deal with one another. Yet the optimism of the Age of Enlightenment was soon demolished by counter-acting principles of thought and politics that emphasized the glories of nationalism, of isolationism, and implicitly or explicitly, the benefits that war can bring.

Peaceful intercourse is easily rejected by those who assert the benefits of the martial values, who claim that a war brings out the best of people and of a society, that wars heighten humanity s perception of itself in the great existentialist quest between life and death, that war relieves the monotony of consumerism and so on.

This highlights one of the most difficult aspects of pacificism, that the goal of peace and of tranquillity may not suffice human nature. The persistent nagging of bellicosity, of adventure, personal and collective glory, whether it derives from something genetic or culturally deeply embedded in most societies, remains an easily revitalized clarion call to war. The culture of peace is often very shallow, taking many generations to produce, and even then can be swiftly eroded with atavistic rhetoric. Often what secures the maintenance of peace are the rule of law and the expansion of commercial ties, as Kant foresaw. But these achievements require, in the case of the rule of law, a determined political acceptance of the law and its impartial application, and in the case of commercial ties, a sphere of individual freedom that permits the growth of mutually beneficial ties that most philosophers who look at the world in terms of what needs to be controlled are unable to accept. The crumbling of the rule of law undermines the potential for any society to exist peacefully, but so too does constant intervention in market processes which connects to the need for the rule of law.

Commercial pacificists, those who see in the expansion of the market order the foundations of future peace, point to the nature of domestic peace as the blueprint for international peace. In the past a war between two English counties was quite an acceptable event (The Wars of the Roses between the houses representing Yorkshire and Lancashire) but today a similar proclamation of war would be absurd. In more recent history, the US was torn in two by the States fighting the Civil War, yet war between them today could not be seriously entertained. What has brought peace to these one-time enemies needs to be understood if peace is to be secured between larger or more independent political units.

The optimism of commercial pacificists is criticized on two grounds. Firstly, it may take a longer time to secure peace than the present generation is willing to permit, and secondly, the beneficial processes of market trading and the rule of law may not be acceptable to the target nation or people. In both cases an imposed order of peace may be preferred on consequentialist reasons, that less harm is done in the long run by enforcing a peace today. However, it can be reasonably countered that the imposition of peace on cultures not prepared to shed centuries of belligerence will not secure peace in the long run; various thinkers here, most notably John Stuart Mill, argue that societies must find their own ways to peace (freedom, self-determination) otherwise they will not appreciate them.

3. Conclusion

The article has provided a very general overview of some of the forms pacifism can take, as well as some of the issues it invokes. The area is philosophically broad and intricate, which the expanse of relevant literature reflects. The ethical positions described in the essay divide between deontological and consequentialist positions, but virtue theory is also highly applicable: what kind of person are you if you wield force or if you do turn the other cheek? Is a peaceful life more or less virtuous compared to a life of violence, and on what grounds? I have touched on the religious moral dimension of pacifism, which typically holds that secular life is of a lower value than the protracted life after death, but justice cannot be done to the variety of theological systems and nuances that produce such an ethic. Justifying pacifism from purely secular premises is a much harder task for any thinker who cannot have recourse to rewards in heaven and it is a challenge that is worth exploring for its own sake by any philosopher interested in war or peace.

Author Information

Alexander Moseley
Email: alexandermoseley@icloud.com
United Kingdom

Russell’s Paradox

russellRussell’s paradox represents either of two interrelated logical antinomies. The most commonly discussed form is a contradiction arising in the logic of sets or classes. Some classes (or sets) seem to be members of themselves, while some do not. The class of all classes is itself a class, and so it seems to be in itself. The null or empty class, however, must not be a member of itself. However, suppose that we can form a class of all classes (or sets) that, like the null class, are not included in themselves. The paradox arises from asking the question of whether this class is in itself. It is if and only if it is not. The other form is a contradiction involving properties. Some properties seem to apply to themselves, while others do not. The property of being a property is itself a property, while the property of being a cat is not itself a cat. Consider the property that something has just in case it is a property (like that of being a cat) that does not apply to itself. Does this property apply to itself? Once again, from either assumption, the opposite follows. The paradox was named after Bertrand Russell (1872-1970), who discovered it in 1901.

Table of Contents

  1. History
  2. Possible Solutions to the Paradox of Properties
  3. Possible Solutions to the Paradox of Classes or Sets
  4. References and Further Reading

1. History

Russell’s discovery came while he was working on his Principles of Mathematics. Although Russell discovered the paradox independently, there is some evidence that other mathematicians and set-theorists, including Ernst Zermelo and David Hilbert, had already been aware of the first version of the contradiction prior to Russell’s discovery. Russell, however, was the first to discuss the contradiction at length in his published works, the first to attempt to formulate solutions and the first to appreciate fully its importance. An entire chapter of the Principles was dedicated to discussing the contradiction, and an appendix was dedicated to the theory of types that Russell suggested as a solution.

Russell discovered the contradiction from considering Cantor’s power class theorem: the mathematical result that the number of entities in a certain domain is always smaller than the number of subclasses of those entities. Certainly, there must be at least as many subclasses of entities in the domain as there are entities in the domain given that for each entity, one subclass will be the class containing only that entity. However, Cantor proved that there also cannot be the same number of entities as there are subclasses. If there were the same number, there would have to be a 1-1 function f mapping entities in the domain on to subclasses of entities in the domain. However, this can be proven to be impossible. Some entities in the domain would be mapped by f on to subclasses that contain them, whereas others may not. However, consider the subclass of entities in the domain that are not in the subclasses on to which f maps them. This is itself a subclass of entities of the domain, and thus, f would have to map it on to some particular entity in the domain. The problem is that then the question arises as to whether this entity is in the subclass on to which f maps it. Given the subclass in question, it does just in case it does not. The Russell paradox of classes can in effect be seen as an instance of this line of reasoning, only simplified. Are there more classes or subclasses of classes? It would seem that there would have to be more classes, since all subclasses of classes are themselves classes. But if Cantor’s theorem is correct, there would have to be more subclasses. Russell considered the simple mapping of classes onto themselves, and invoked the Cantorian approach of considering the class of all those entities that are not in the classes onto which they are mapped. Given Russell’s mapping, this becomes the class of all classes not in themselves.

The paradox had profound ramifications for the historical development of class or set theory. It made the notion of a universal class, a class containing all classes, extremely problematic. It also brought into considerable doubt the notion that for every specifiable condition or predicate, one can assume there to exist a class of all and only those things that satisfy that condition. The properties version of the contradiction–a natural extension of the classes or sets version–raised serious doubts about whether one can be committed to objective existence of a property or universal corresponding to every specifiable condition or predicate. Indeed, contradictions and problems were soon found in the work of those logicians, philosophers and mathematicians who made such assumptions. In 1902, Russell discovered that a version the contradiction was expressible in the logical system developed in Volume I of Gottlob Frege’s Grundgesetze der Arithmetik, one of the central works in the late-19th and early-20th century revolution in logic. In Frege’s philosophy, a class is understood as the “extension” or “value-range” of a concept. Concepts are the closest correlates to properties in Frege’s metaphysics. A concept is presumed to exist for every specifiable condition or predicate. Thus, there is a concept of being a class that does not fall under its defining concept. There is also a class defined by this concept, and it falls under its defining concept just in case it does not.

Russell wrote to Frege concerning the contradiction in June of 1902. This began one of the most interesting and discussed correspondences in intellectual history. Frege immediately recognized the disastrous consequences of the paradox. He did note, however, that the properties version of the paradox was solved in his philosophy by his distinction between levels of concepts. For him, concepts are understood as functions from arguments to truth-values. Some concepts, “first-level concepts”, take objects as arguments, some concepts, “second-level concepts” take these functions as arguments, and so on. Thus, a concept can never take itself as argument, and the properties version cannot be formulated.  However, classes, or extensions or concepts, were all understood by Frege to be of the same logical type as all other objects.  The question does arise, then, for each class whether it falls under its defining concept.

When he received Russell’s first letter, the second volume of Frege’s Grundgesetze was already in the latter stages of the publication process. Frege was forced to quickly prepare an appendix in response to the paradox. Frege considers a number of possible solutions. The conclusion he settles on, however, is to weaken the class abstraction principle in the logical system. In the original system, one could conclude that an object is in a class if and only if the object falls under the concept defining the class. In the revised system, one can conclude only that an object is in a class if and only if the object falls under the concept defining the class and the object is not identical to the class in question. This blocks the class version of the paradox. However, Frege was not entirely happy even with this solution. And this was for good reason. Some years later the revised system was found to lead to a more complicated form of the contradiction. Even before this result was discovered, Frege abandoned it and seems to have concluded that his earlier approach to the logic of classes was simply unworkable, and that logicians would have to make do entirely without commitment to classes or sets.

However, other logicians and mathematicians have proposed other, relatively more successful, alternative solutions. These are discussed below.

2. Possible Solutions to the Paradox of Properties

The Theory of Types. It was noted above that Frege did have an adequate response to the contradiction when formulated as a paradox of properties. Frege’s response was in effect a precursor to what one of the most commonly discussed and articulated proposed solutions to this form of the paradox. This is to insist that properties fall into different types, and that the type of a property is never the same as the entities to which it applies. Thus, the question never even arises as to whether a property applies to itself. A logical language that divides entities into such a hierarchy is said to employ the theory of types. Though hinted at already in Frege, the theory of types was first fully explained and defended by Russell in Appendix B of the Principles. Russell’s theory of types was more comprehensive than Frege’s distinction of levels; it divided not only properties into different logical types, but classes as well. The use of the theory of types to solve the other form of Russell’s paradox is described below.

To be philosophically adequate, the adoption of the theory of types for properties requires developing an account of the nature of properties such that one would be able to explain why they cannot apply to themselves. After all, at first blush, it would seem to make sense to predicate a property of itself. The property of being self-identical would seem to be self-identical. The property of being nice seems to be nice. Similarly, it seems false, not nonsensical, to say that the property of being a cat is a cat. However, different thinkers explain the justification for the type-division in different ways. Russell even gave different explanations at different parts of his career. For his part, the justification for Frege’s division of different levels of concepts derived from his theory of the unsaturatedness of concepts. Concepts, as functions, are essentially incomplete. They require an argument in order to yield a value. One cannot simply predicate one concept of a concept of the same type, because the argument concept still requires its own argument. For example, while it is possible to take the square root of the square root of some number, one cannot simply apply the function square root to the function square root and arrive at a value.

Conservatism about Properties. Another possible solution to the paradox of properties would involve denying that a property exists corresponding to any specifiable conditions or well-formed predicate. Of course, if one eschews metaphysical commitment to properties as objective and independent entities altogether, that is, if one adopts nominalism, then the paradoxical question is avoided entirely. However, one does not need to be quite so extreme in order to solve the antinomy. The higher-order logical systems developed by Frege and Russell contained what is called the comprehension principle, the principle that for every open formula, no matter how complex, there exists as entity a property or concept exemplified by all and only those things that satisfy the formula. In effect, they were committed to attributes or properties for any conceivable set of conditions or predicates, no matter how complex. However, one could instead adopt a more austere metaphysics of properties, only granting objective existence to simple properties, perhaps including redness, solidity and goodness, etc. One might even allow that such properties can possibly apply to themselves, e.g. that goodness is good.  However, on this approach one would deny the same status to complex attributes, e.g. the so-called “properties” as having-seventeen-heads, being-a-cheese-made-England, having-been-written-underwater, etc. It is simply not the case that any specifiable condition corresponds to a property, understood as an independently existing entity that has properties of its own. Thus, one might deny that there is a simple property being-a-property-that-does-not-apply-to-itself. If so, one can avoid the paradox simply by adopting a more conservative metaphysics of properties.

3. Possible Solutions to the Paradox of Classes or Sets

It was mentioned above that late in his life, Frege gave up entirely on the feasibility of the logic of classes or sets. This is of course one ready solution to the antinomy in the class or set form: simply deny the existence of such entities altogether. Short of this, however, the following solutions have enjoyed the greatest popularity:

The Theory of Types for Classes: It was mentioned earlier that Russell advocated a more comprehensive theory of types than Frege’s distinction of levels, one that divided not only properties or concepts into various types, but classes as well. Russell divided classes into classes of individuals, classes of classes of individuals, and so on. Classes were not taken to be individuals, and classes of classes of individuals were not taken to be classes of individuals. A class is never of the right type to have itself as member. Therefore, there is no such thing as the class of all classes that are not members of themselves, because for any class, the question of whether it is in itself is a violation of type. Once again, here the challenge is to explain the metaphysics of classes or sets in order to explain the philosophical grounds of the type-division.

Stratification: In 1937, W. V. Quine suggested an alternative solution in some ways similar to type-theory. His suggestion was rather than actually divide entities into individuals, classes of individuals, etc., such that the proposition that some class is in itself is always ill-formed or nonsensical, we can instead put certain restrictions on what classes are supposed to exist. Classes are only supposed to exist if their defining conditions are so as to not involve what would, in type theory, be a violation of types. Thus, for Quine, while “x is not a member of x” is a meaningful assertion, we do not suppose there to exist a class of all entities x that satisfy this statement. In Quine’s system, a class is only supposed to exist for some open formula A if and only if the formula A is stratified, that is, if there is some assignment of natural numbers to the variables in A such that for each occurrence of the class membership sign, the variable preceding the membership sign is given an assignment one lower than the variable following it. This blocks Russell’s paradox, because the formula used to define the problematic class has the same variable both before and after the membership sign, obviously making it unstratified. However, it has yet to be determined whether or not the resulting system, which Quine called “New Foundations for Mathematical Logic” or NF for short, is consistent or inconsistent.

Aussonderung: A quite different approach is taken in Zermelo-Fraenkel (ZF) set theory. Here too, a restriction is placed on what sets are supposed to exist. Rather than taking the “top-down” approach of Russell and Frege, who originally believed that for any concept, property or condition, one can suppose there to exist a class of all those things in existence with that property or satisfying that condition, in ZF set theory, one begins from the “bottom up”. One begins with individual entities, and the empty set, and puts such entities together to form sets. Thus, unlike the early systems of Russell and Frege, ZF is not committed to a universal set, a set including all entities or even all sets. ZF puts tight restrictions on what sets exist. Only those sets that are explicitly postulated to exist, or which can be put together from such sets by means of iterative processes, etc., can be concluded to exist. Then, rather than having a naive class abstraction principle that states that an entity is in a certain class if and only if it meets its defining condition, ZF has a principle of separation, selection, or as in the original German, “Aussonderung“. Rather than supposing there to exist a set of all entities that meet some condition simpliciter, for each set already known to exist, Aussonderung tells us that there is a subset of that set of all those entities in the original set that satisfy the condition. The class abstraction principle then becomes: if set A exists, then for all entities x in A, x is in the subset of A that satisfies condition C if and only if x satisfies condition C. This approach solves Russell’s paradox, because we cannot simply assume that there is a set of all sets that are not members of themselves. Given a set of sets, we can separate or divide it into those sets within it that are in themselves and those that are not, but since there is no universal set, we are not committed to the set of all such sets. Without the supposition of Russell’s problematic class, the contradiction cannot be proven.

There have been subsequent expansions or modifications made on all these solutions, such as the ramified type-theory of Principia Mathematica, Quine’s later expanded system of his Mathematical Logic, and the later developments in set-theory made by Bernays, Gödel and von Neumann. The question of what is the correct solution to Russell’s paradox is still a matter of debate.

See also the Russell-Myhill Paradox article in this encyclopedia.

4. References and Further Reading

  • Coffa, Alberto. “The Humble Origins of Russell’s Paradox.” Russell nos. 33-4 (1979): 31-7.
  • Frege, Gottlob. The Basic Laws of Arithmetic: Exposition of the System. Edited and translated by Montgomery Furth. Berkeley: University of California Press, 1964.
  • Frege, Gottlob. Correspondence with Russell. In Philosophical and Mathematical Correspondence. Translated by Hans Kaal. Chicago: University of Chicago Press, 1980.
  • Geach, Peter T. “On Frege’s Way Out.” Mind 65 (1956): 408-9.
  • Grattan-Guinness, Ivor. “How Bertrand Russell Discovered His Paradox.” Historica Mathematica 5 (1978): 127-37.
  • Hatcher, William S. Logical Foundations of Mathematics. New York: Pergamon Press, 1982.
  • Quine, W. V. O. “New Foundations for Mathematical Logic.” In From a Logical Point of View. 2d rev. ed. Cambridge, MA: Harvard University Press, 1980. (First published in 1937.)
  • Quine, W. V. O. “On Frege’s Way Out.” Mind 64 (1955): 145-59.
  • Russell, Bertrand. Correspondence with Frege. In Philosophical and Mathematical Correspondence, by Gottlob Frege. Translated by Hans Kaal. Chicago: University of Chicago Press, 1980.
  • Russell, Bertrand. The Principles of Mathematics. 2d. ed. Reprint, New York: W. W. Norton & Company, 1996. (First published in 1903.)
  • Zermelo, Ernst. “Investigations in the Foundations of Set Theory I.” In From Frege to Gödel, ed. by Jean van Heijenoort. Cambridge, MA: Harvard University Press, 1967. (First published in 1908.)

Author Information

Kevin C. Klement
Email: klement@philos.umass.edu
University of Massachusetts, Amherst
U. S. A.

Palaestrae

These establishments were used for training youths in boxing and wrestling and were also frequented by Socrates and other philosophers. This article contains a discussion of the locations of the palaestrae (wrestling schools) that are known to have existed in Athens, and the the function of these establishments.

Table of Contents

  1. Locations
  2. Function
  3. References and Further Reading

1. Locations

Palaestrae were an integral part of larger gymnasia (areas for general physical training and athletics) and are attested for the three well-known gymnasia areas of Athens (the Academy [Hyperides,Demosthenes, fr. 6], Cynosarges [Diogenes Laertius, 6.30.8 and Aelian, True History 8.14.3], and Lyceum [Pseudo-Plutarch, Lives of the Orators 841d and 843f]). These schools for training in combat sports also existed separately from gymnasia in the city of Athens itself and in the countryside.

As a result of the difficulty of archaeological exploration amidst the urban sprawl of modern Athens, even the general locations of most of the palaestrae outside the major gymnasia areas of Archaic and Classical Athens and Attica are not known with certainty. Only two urban Athenian palaestrae may be roughly located: the palaistra of Taureas and the palaistra where Mikkos was a sophist. The palaistra of Taureas is said by Plato ( Charmides 153a, Lucian, Parasite 43) to have been opposite the sanctuary of Basile. Neither the sanctuary nor the palaistra may be located with any certainty, however, despite Travlos’ confident statement that a boundary stone marking an unnamed sanctuary near the corner of modern Syngrou Blvd. and Hatzichristou St. refers to the sanctuary of Basile (Travlos, PDA 332 and fig. 435). The palaistra where Mikkos taught is said by Plato to have been near the Panops fountain, which has been placed in the neighborhood of the Diochares Gates in Northeast Athens (Ritchie, “Lyceum” 253-254 and Travlos, PDA 159-160).

There were palaestrae in the Attic countryside as well. For example, the sanctuary of Artemis at Brauron had both a gymnasium and a palaestra (SEG XL 91). Kephissia possessed a palaistra ( SEG XXXII 147) and it is likely that many of the other demes, especially large ones like Acharnae and Aphidna, had their own as well. There is also the case of the so-called “Palaestra of Cercyon,” a palaestra belonging to a mythical person, but associated with an actual place along the Eleusis-Megara road (Bacchylides 18.26, Scholia of Arethas on Lucian 21.21). The travel writer Pausanias (1.39.3) himself visited the site.

Other palaestrae mentioned by the ancient sources include the place where Ariston of Argos trained Plato as a youth (Apuleius, On Plato 1.2 and Suda, s.v. Platon), the palaestra of Hippocrates (Pseudo-Plutarch, Lives of the Orators 837e) where Isocrates died in 337 BC, and the palaestra of Sibyrtios (Plutarch, Alcibiades 3) where a follower of Alcibiades was killed. For the other palaestrae mentioned by the ancient sources there is no indication of place or even number (Kratinos, fr. 176, Lysias, fr. 6.1Teisis, Theophrastus, Characters 7.5, Aelian Varia Historia 4.24.2, Pollux, Onomastica 2.13); some of these unnamed palaestrae may refer to the same structures or they may be independent facilities.

The palaestrae in the Academy, Brauron, Cynosarges, and Lyceum would have come under the superintendence of the cult officials who oversaw the larger gymnasia areas. Other palaestrae appear to have been overseen and regulated by public officials, such as the paidotribes or epistates (Aeschines,Against Timarchus 10). The only firm evidence for the private ownership of a palaestra comes from Theophrastus, who appears in this instance to be describing in extreme and unflattering terms a small, poorly constructed home palaestra (Theophrastus, Characters 21.15-16).

2. Function

The very name palaestra derives from the verb palaiein, meaning “to wrestle.” Palaestrae had three basic functions: (1) as training areas for combat sports such as wrestling and boxing, (2) as areas for cult activity, and (3) as meeting places for discussion, philosophical and otherwise. Plato’s depiction of Socrates engaging in philosophical discourse provides a most vivid picture of life in the Classical Athenian palaestrae. For example, in Plato’s Lysis, it is a palaistra into which Socrates is drawn for a discussion of Eros (Sexual Love) and Philia (Friendship). Within the palaestra, boys play at games with knucklebones and engage in the more serious business of sacrificing to Hermes (Plato, Lysis 206c, Scholia of Arethas on Plato Lysis 206c, Proklos On Plato’s Alcibiades 1.195.4). Older men sit on the edges of the enclosure discussing the physical and moral merits of the young men. In P lato’s Charmides a similar scene is painted. In this dialogue Socrates returns from battle at Potidaea to the palaestra of Taureas, which is described as one of his regular haunts, and engages Critias and his young cousin Charmides in a discussion of sophrosyne or “temperance.”

Plato’s choice of the palaestra as a setting for two Socratic dialogues is no accident. Wrestling metaphors recur throughout the Platonic dialogues. For example, in the Phaedrus the conquest of the baser part of the soul by the virtuous part is compared with a wrestling victory in the Olympic games (256b, also compare Protagoras 350e). In part, this use of wrestling metaphors may be an autobiographical touch on the part of Plato, as later tradition tells us that he himself was successful as a young wrestler at the Nemean games (Suda, s.v. Platon). However, the placement of Socrates, a philosopher of the most active sort, amidst those training to fight is most apt. After all, Socrates always sought intellectual contests, not so much for the winning, he would say, but for gaining insight into the truth.

Both as a locale for philosophical discussion and teaching and as a metaphor for a struggle for the truth, palaestrae would continue to be used by philosophers throughout antiquity and become a common leitmotif in the writings of the Church Fathers of Late Antiquity and the Early Middle Ages.

3. References and Further Reading

  • W. Morison, “Attic Gymnasia and Palaistrai: Public or Private?” The Ancient World 31.2 (2000) 140-143.
  • W. Morison, “An Honorary Deme Decree and the Administration of a Palaistra in Kephissia,” Zeitschrift für Papyrologie und Epigraphik 131 (2000) 93-98.
  • S. Glass, “The Greek Gymnasium: Some Problems,” in The Archaeology of the Olympics, ed. W.J. Raschke. Madison 1988.
  • C.E. Ritchie, “The Lyceum, the Garden of Theophrastos and the Garden of the Muses. A Topographical Reevaluation,” in Philia epê. Athens 1986-1989.
  • J. Travlos, Pictorial Dictionary of Ancient Athens. Athens 1971.
  • Wycherley, R.E. The Stones of Athens. Princeton 1978.

Author Information

William Morison
Email: morisonw@gvsu.edu
Grand Valley State University

John Locke: Political Philosophy

lockeJohn Locke (1632-1704) presents an intriguing figure in the history of political philosophy whose brilliance of exposition and breadth of scholarly activity remains profoundly influential.

Locke proposed a radical conception of political philosophy deduced from the principle of self-ownership and the corollary right to own property, which in turn is based on his famous claim that a man earns ownership over a resource when he mixes his labour with it. Government, he argued, should be limited to securing the life and property of its citizens, and is only necessary because in an ideal, anarchic state of nature, various problems arise that would make life more insecure than under the protection of a minimal state. Locke is also renown for his writings on toleration in which he espoused the right to freedom of conscience and religion (except when religion was deemed intolerant!), and for his cogent criticism of hereditary monarchy and patriarchalism. After his death, his mature political philosophy leant support to the British Whig party and its principles, to the Age of Enlightenment, and to the development of the separation of the State and Church in the American Constitution as well as to the rise of human rights theories in the Twentieth Century.

However, a closer study of any philosopher reveals aspects and depths that introductory caricatures (including this one) cannot portray, and while such articles seemingly present a completed sketch of all that can ever be known of a great thinker, it must always be remembered that a great thinker is rarely captured in a few pages or paragraphs by a lesser one, or one that approaches him with particular philosophical interest or bias: the reader, once contented with the glosses provided here, should always return to and scrutinise Locke in the original – just as an academic exposition of Beethoven’s Eroica symphony will always be a sallow reflection of the actual music.

This article summarises the general drift of Locke’s political thinking, leaving the other IEP article on Locke to examine his general philosophy and his theory of knowledge. The article touches on his biography as it relates to the development of his political thought, and it also provides an analysis of some of the issues that his philosophy raises – especially with regards to the Two Treatises of Government. Locke is rightly famous for his Treatises, yet during his life he repudiated his authorship, although he subtly recommended them as essential reading in letters and thoughts on reading for gentlemen. The Treatises swiftly became a classic in political philosophy, and its popularity has remained undiminished since his time: the ‘John Locke academic industry’ is vibrant and broad with an academic journal (John Locke Studies) and books regularly coming out dealing with his philosophy.

Table of Contents

  1. Reading Locke: An overview of his political philosophy.
  2. Political Life
    1. Oxford
    2. Shaftesbury
    3. Locke and Shaftesbury
  3. Locke’s Political Writings
    1. Oxford Writings (1652-1667)
    2. Two Tracts on Government
    3. Essays on the Law of Nature (1663-1664)
  4. Shaftesbury Era
    1. The Essay on Toleration (1667)
    2. Other Political Writings
    3. Economic Writings
  5. Two Treatises
    1. First Treatise
    2. Second Treatise
  6. Analysis of Locke’s Two Treatises
    1. State of Nature
    2. Reason and Violence
    3. Just War
    4. The Lockean State
    5. Property
  7. References and Further Reading
    1. Abbreviations Used
    2. Secondary Sources

1. Reading Locke: An overview of his political philosophy

The first caveat to note is that Locke’s political philosophy is divided into two discernible eras – his Oxford period (1652-66) and his Shaftesbury period, when he was employed by Lord Anthony Ashley-Cooper (later Earl of Shaftesbury) from 1666-1683 through his final years following Shaftesbury’s death. The ‘two Lockes’ are somewhat distinguishable and should certainly be born in mind, even if one were to concentrate solely on his Two Treatises, and ignore his earlier thinking. Nonetheless, the Treatises, written in his later incarnation should be read not just as classics in their own right but as the mature culmination of Locke’s political philosophy into an original and insightful theory of government, power, property, trust, and rights, for there are Lockean continuities in his political thinking that reach back into his earliest political sketches. For example, scriptural exegesis used to support his political ideas, and his fear of violence (national and towards him and his friends), uncertainty, war, and accordingly of any doctrine or behaviour that could lead to unsettling anarchy or persecution. It was a fear of persecution that kept him from admitting to authorship of the Two Treatises, after all Seventeenth Century Britain certainly produced many provocative and extreme opinions, and indeed a few writers, including some close associates, were executed for their seditious thoughts. Locke retained a fear for his life long after the troubles had died down.

The earlier Locke, a student and tutor at Oxford, was morally and politically conservative, Hobbesian one could say were such thoughts not so generally reflective of the post-bellum times in England in which strong and stable government was manifestly preferable to the apparent anarchy of the recent Civil Wars in the British Isles (1642-51). The mature Locke developed into a radical proponent of religious freedom, individual liberty and conscience. By no means did he become an anarchist or a thorough and consistent libertarian who decried the use of power – power, he believed, is essential to the running of a peaceful commonwealth, but it must be vigorously checked and controlled, as well as used to secure national interests. His later writings are certainly in the vein of what is now termed ‘classical liberalism’ upholding the sanctity of private property, self-ownership, minimal government, and the innate distrust of the use of power, yet throughout his political theorising and despite the later emphasis towards inviolable rights, he remains, politically conservative, economically mercantilist, morally authoritarian, highly Christian, and generally suspicious of swathes of people who could affect the Commonwealth’s peace and security (atheists, Quakers, Roman Catholics). Locke also enjoyed dabbling in rationalist designs for how societies ought to be run, which is far removed from the hero of libertarian thinking of live and let live that he is sometimes held to be.

For example, Locke retained an Oxford born academic scepticism of the people (tinted with a sense of noblesse oblige – he left money for the poor of the parishes of his birth and death) well into his Shaftesbury years, but this is later admixed with his political experiences in which he gained a healthier cynicism of those who wield power and of their effects on what he increasingly believed ought to remain private and thus beyond the remit of the magistrate. Throughout Locke’s writings those who would threaten or undermine government through their intolerance, leanings toward papal theocracy, or indulging in bone idleness are castigated and are to be outlawed according to his schemes: inconsistencies or at least intolerances or prudential considerations linger within his general libertarian framework. Indeed, writing in 1669 Locke accepts the institution of slavery (FCC) and as late as 1697 (a good decade and a half after writing the Two Treatises), he advises press-ganging beggars into military service and that begging minors should be “soundly whipped.” (EPL).

The second caveat is that Locke’s works deserve re-reading – only then, or even after several attempts, can one begin to enjoy the humour that sometimes punctuates the texts, and to see that Locke’s apparently circumlocutory style belies a great depth of thought peppered with qualifications and sub-clauses which are employed to tighten his argument. Locke neither rants from the extremes nor wraps his language in poetical mysticism to awe the superstitious, nor does he proffer snippets of profound metaphysical insights to satiate the quick reader. As a medical doctor and amateur scientist and the author of the classical work on epistemology and psychology, An Essay Concerning Human Understanding (1689, published the same year as the Two Treatise), it’s not surprising that Locke’s political writings are methodical and tightly argued. Locke’s arguments lifted from his texts present an uncompromising and modern vision of empiricism and scientific enquiry; however, his language is immersed in Old Testament anecdotes and references that when we peruse his writings, we must remember that John Locke was of Seventeenth Century Puritan and Scholastic background, and at Oxford he studied amidst the general University contract of religious uniformity until his departure on a freer, if relatively unsure foot, in employment with the politically ambitious courtier Lord Ashley.

The next section reviews Locke’s political biography and although it may be skipped for those interested in a cursory glance at the political arguments of the Two Treatises, it is of invaluable background for a more profound understanding.

2. Political Life

This section outlines the broad political events surrounding Locke’s life and thereby provides a useful, although not exhaustive, sketch of the man and the context of his works.

The Seventeenth Century was a period of immense upheavals – across Europe the Thirty Years Wars had raged (1608-48), and in Locke’s Britain, Civil War broke out in 1642: “I no sooner perceived myself in the world but I found myself in a storm.” (FT). He lived through the overthrow and execution of the monarch, the interregnum of the Cromwell’s Republic, the Restoration, and the overthrow of another monarch in the Glorious Revolution. Without some knowledge of this political context and thus the world in which he wrote and acted, it is difficult to understand the thrust of Locke’s political philosophy.

John Locke was born in 1632 in a cottage in the village of Wrington, near the great port of Bristol, Somerset, and was raised at Pensford a few miles to the west. The second Stuart King of England, Wales, Scotland, and Ireland had been on the throne for seven years – the ill-fated Charles I, whose reign was to lead to a brutal Civil War dividing the British along religious and political lines and which ended in his execution in 1649. Somerset was one of the most populous and rich counties of the country, yet despite its affluence gained from hard work and a division of labour, social strata (albeit highly flexible since Tudor times) permeated social relations – each individual had a moral superior to look up to in a moral hierarchy that ended with the monarch, whose superior was God. This political and social context is vital to be aware of, for the tensions and violence of the era permeate the atmosphere in which Locke matured and wrote his political writings.

The essential divisions that operated in the Civil Wars may be thought of as splitting Puritan or Independent religious proponents with supporters of the rights of Parliament (generally lumped into ‘Parliamentarians’) from adherents to the Anglican Church, closet Catholics, and supporters of the Royal Establishment (generally referred to as ‘Royalists’). Locke’s parents were low gentry Puritans (tanners and clothiers), and his father, an attorney to the local Justices of the Peace, went to war on the Parliamentarian side in the cavalry. The local city of Bristol was a Royalist stronghold during the wars but fell to the Parliamentarians in 1645, and in 1647, a good acquaintance of Locke’s father, officer and Member of Parliament for the West Country, Alexander Popham, secured young Master Locke a place at Westminster School in London in the first example of patronage that was to assist Locke’s career.

Locke’s family instilled him good values of independence and self-discipline, which he retained throughout his life, but the move to London opened up Locke’s mind and took him far from his parochial Puritan upbringing (Dunn). Westminster School was run by the formidable Dr Richard Busby, a Royalist, who was apparently fond of beating the boys, something the older Locke was to recommend for young beggars. Young Locke was there the same time as the poet and future apologist for Charles II, John Dryden (1644-54) and was at school at the time of Charles I’s execution on the scaffolding erected in front of the nearby Banqueting House (Jan. 1649). The execution caused a sympathetic reaction to the Royalist cause to foment during the next decade – and a posthumously published pamphlet, allegedly written by Charles (Eikon Basilike) encouraged the raising of his status from traitor (in the eyes of the High Court that tried him) to one of martyr, and it popularised not just the Stuart doctrine that the Stuarts (or monarchs in general) were divinely appointed (rather than chancing upon the throne of England – the last Tudor monarch, Elizabeth I died without issue), but that Parliamentarians were guilty of the heinous crime of regicide.

a. Oxford

In 1652 the twenty year old Locke moved onto Oxford’s Christ Church.

Oxford had enjoyed an influx of scientific inquiry and humanism – Roger Bacon (1220-92), John Wycliffe (1330-84), Desiderius Erasmus (1469-1536) and Sir Thomas More (1477-1535), all had their influence on the colleges. The present head of Christ Church for Locke was the Presbyterian John Owen (1616-83), a Puritan proponent of toleration and independence for Protestant sects and an earlier supporter and follower of Oliver Cromwell (1599-1658). (Owen travelled with Cromwell into his wars in Scotland and Ireland). Avoiding a career in theology and despising the dry Scholasticism (although the techniques and knowledge were of great use to his mind), Locke concentrated his studies on medical science at Oxford and later held teaching and diplomatic positions until meeting up with Lord Ashley Cooper in 1666 (later Earl of Shaftesbury). The position of a don was Locke’s preferred ambition and would have loved to live his whole life at Oxford – but events altered this path and he was illegally ejected on political grounds in 1684 from his studentship at Christ Church.

Locke’s politically formative years as a young man were dominated by the rise of Puritan dissenters and Parliamentarians, the outbreak of Civil War when he was ten, the fall of Bristol when he was 13, the execution of Charles I when he was 17 and the formation and government of a Republic until he was 28. His religious thinking had shifted from a traditional acceptance of his Puritan heritage to Latitudinarianism, which emphasises the employment of reason in understanding religious and Scriptural matters. A constant political problem he drew his attention to was the rights of the civil magistrates relative to the rights of the clergy; up until the mid-1660s, Locke espoused the primacy of civil institutions in defining the nation’s religious culture and forms – he was, in effect, an advocate of the earlier Acts of Supremacy (1534, 1559) establishing the Monarch as the head of the Church and State, and the Elizabethan Act of Uniformity (1559) that sought to unify religious worship in the Kingdom; the Republic contrarily had promoted diversity.

The Lords and the Monarchy were abolished by the reforming Republic, and Cromwell defeated Royalist and Catholic forces in Ireland (viciously at Drogheda [Droichead Átha] and Wexford [Loch Garman] in1649) and Charles II’s army in Scotland. John Lambert (1619-1684) penned the first British Constitution to give the Republic a stable form. The position of Lord Protector was created, which was passed to Cromwell. However, political divisions beset the Republic, which teetered into a dictatorship as Cromwell became increasingly frustrated with his attempts at reforming the country. Nonetheless, Cromwell was, in many respects, a highly capable ruler – rejecting the offered crown to become a de jure monarch, and realising what a political vacuum the dissolution of the monarchy implied he appointed good judges to ensure the rule of law, encouraged religious toleration, liberty of conscience and the immigration of Jews. The Republic was a strange political beast, taking over in a country wracked by war the powers that the Tudors and early Stuarts (James I and Charles I) had arrogated to themselves, and whose traditional, but by then very well worn down, checks on arbitrary executive and legislative power were thereby diminished. It is unsurprising that the country swiftly descended into a military dictatorship under Oliver Cromwell’s rule. The Republic became a pariah state, and European (notably the French) monarchs sought to assist Charles II to regain his throne.

The immanent political difficulties led to the Republic’s rapid demise following Cromwell’s death, and the ‘Long Parliament’ (whose Members were initially summoned by Charles I in 1640 and which was recalled by General Monck) soon sought out the exiled King Charles II to bring peace and calm to the vulnerable state. Yet relief following Charles’s return in 1660 soon turned to grave concern in many parts of the country, and the problems that had beset or been unleashed in the previous two decades of war and interregnum resurfaced.

In 1660, John Locke was aged twenty eight and a newly appointed tutor in Greek at Oxford. Oxford and Locke prudently rejoiced in the Restoration in a commissioned book of poetry: “Our prayers are heard,” penned Locke – but so had he and his Oxford colleagues praised Cromwell’s rule, “You, mighty Prince!” (V) Initially, Locke was unwilling to add to the political controversies of the era, until he penned his first two Tracts on Government. The occasion was a highly controversial reversal of policy on the part of Charles’s government.

In 1662 Charles II’s government passed a new Act of Uniformity, which Locke supported in his Tracts as being within the monarch’s rights. But the repercussions were severe. The Puritans and Parliamentarians had originally supported Charles’s restoration as being the most peaceful alternative the country possessed in 1660, and they had been assured that there would be a broad toleration of “tender consciences” as Charles described the beliefs of the various independent branches of Protestantism then flourishing in the Kingdom. However, the Uniformity Act dashed Puritan hopes for toleration. The Act and subsequent legislation ejected two thousand Puritan ministers from their churches, fined anyone over 16 attending ceremonies not conducted by the Anglican Book of Common Prayer, and forced ex-Puritan ministers to live at least five miles away from where they used to preach. An intolerant Act passed so soon after the dissolution of the Commonwealth caused concern and rebellion in parts of the Kingdom – nevertheless Locke was more of the opinion that the magistrate (King) possessed the right to demand uniformity, with the caveat that in their consciences men may remain free in order to secure peace in a troubled land. It was an opinion he gradually moved away from.

In 1666, Locke returned to Oxford from a year in Brandenburg (in modern Germany) acting as secretary to the diplomat Sir Walter Vane, and at Oxford Locke was introduced to a man who was to change his life, of whom it has been said that without him there would have been no ‘Locke’. To understand Locke’s change from a political conservative accepting the magistrate’s right to rule as both prudential and moral to a radical supporter of the individual against the government, it is worth considering a few details of Ashley’s life.

b. Shaftesbury

Anthony Ashley Cooper (1621-83) was a wealthy and politically powerful patron to work for, and Ashley worked for whomever was in power – Royalists, Parliamentarians, the Protectorate, and the Restoration monarchy. He had initially sided with Charles I in the first Civil War, but changed sides to fight with the Parliamentarians having become displeased with the political and religious advice afforded the King. He supported Cromwell and was promoted well till he became dissatisfied with the increasingly military leaning of the Protectorate (1653-54). A year after Cromwell’s death in 1660, Ashley sat on the commission for the Convention Parliament that invited Charles II to return to England; although Ashley was not a thoroughly enthusiastic supporter of the Restoration, it appeared to many Presbyterians to be the most prudential step for the country to take. From 1660-73 Ashley worked for Charles II, eventually rising to become Chancellor – and was promoted to an Earldom in 1672. Ashley argued for religious toleration for dissenting Protestants and supported the Anglo-Dutch wars on mercantilist grounds (Dutch profit equates to English losses), but his anti-Catholic stance eventually led to his dismissal from government.

Ashley actively engaged Parliament to keep Charles II’s brother, James, an open Catholic, from marrying another Catholic and from becoming King. James, the then Duke of York, was also a capable and efficient Lord High Admiral of the Fleet and had taken New Amsterdam from the Dutch in 1664, having it renamed New ‘York’; he later fought in the Anglo-Dutch wars. Initially, James had the backing of the establishment – he was more serious and thus more appreciable to the Anglicans, and he leaned towards toleration. However, his very Catholicism worried those of a more puritan and cynical leaning.

Out of office and in opposition, Shaftesbury formed ‘the Country Party’ to criticise the King’s government. From this evolved the first two political parties of modern times – the Whigs and the Tories. (The Whigs generally speaking followed Shaftesbury and the Tories supported the Anglican establishment). However, in 1679, a spurious plot was uncovered to assassinate Charles II to instate his Catholic brother on the throne; this gave Shaftesbury’s political stance momentum and growth, for the country feared a return to Catholic Stuart rule and the conditions that had created the Civil Wars. In 1681, Shaftesbury marched to Parliament with a force of men, but the King’s dissolution of the Parliament left him suddenly vulnerable – he was imprisoned and charged with treason, a charge rejected by the jury. The poet laureate and Westminster graduate, John Dryden, penned a satirical attack on Shaftesbury at this time (Absalom and Achitophel) and a year later Shaftesbury fled to Holland and died in exile in 1683.

c. Locke and Shaftesbury

Returning to how all this affected Locke’s life, in 1666 Lord Ashley had happened to go to Oxford to see his doctor about a liver complaint. Locke was introduced to him and the two became good friends. Locke gained employment at the heart of Lord Ashley’s household in London following the Great Fire until 1675. In 1668 he oversaw a life-saving operation on his patron to remove liver cists.

Locke learned much from Shaftesbury. For example, his first Essay on Toleration marked a substantial shift away from his earlier establishmentarian views that the ruler should prescribe the form of religious service for the country. This was very reflective of Lord Ashley’s philosophy of encouraging toleration rather than division. Debate had heated up following the Act of Uniformity (1662), and in Scotland, the Covenanters, who opposed any form of episcopalianism (hierarchical rule of bishops and archbishops) and uniformity, suffered brutally. There were various uprisings in Scotland in 1666, 1679, and 1685, which had led to thousands of martyrs burning at the stake and being hanged for their opposition. (Visitors to Edinburgh may see where they were burned in the Grass Market and visit a memorable commemorative grave in Greyfriar’s graveyard).

In 1668 Locke was elected to the Royal Society, and as his patron rose to become Chancellor for Charles II, Locke served the Lords Proprietors of Carolina (helping to draft a Constitution for the plantation), Secretary for Presentations (dealing with church livings), and Secretary to the Council of Trade and Plantations. His employment kept him busy from philosophical thought – but no doubt gave him invaluable experience of the workings of power and the court.

In 1675 Charles’ brother and heir to the throne James publicly converted to Catholicism and caused the expected crisis that left Lord Ashley – now Earl of Shaftesbury – ejected from office and in opposition. From 1675-79, an unwell Locke travelled to France, returning to London in 1679-81 with his master to enjoy the heat of the Exclusion Crisis in which Shaftesbury and his supporters sought a Parliamentary Act to exclude James from taking the throne.

In 1680 the late Sir Robert Filmer’s Patriarcha was published at the height of the Exclusion Crisis. Filmer (1588-1653) had written his work in 1648 supporting the divine right of Kings and their absolute power over the land. James I had given his support to the medieval notion that a ruler is divinely appointed (a theory designed to secure the monarch’s power in relation to the Church), but a few decades later it was given a theoretical defence by Filmer (and later by Jacques-Benigne Bossuet (1627-1704) in Louis XIV’s France) – Locke was to reply with his Two Treatises, rejecting Filmer’s theory as ‘glib nonsense’ and the evidence is that Locke began writing his Treatises not long after purchasing a copy of Patriarcha.

In 1681 however, Locke’s patron, Shaftesbury, was charged with treason following ‘the Rye House Plot’ of an alleged attempt to kill Charles and James. The jury rejected the charge against Shaftesbury, but Tory political advances prompted Shaftesbury, in the absence of any hope of a Parliament sitting to provide support to his party, to flee to Holland where he died in 1683. Two of his colleagues opposing James’s succession, Algernon Sidney and Lord William Russell, were, however, executed, while a third, the Earl of Essex, committed suicide. Sidney’s Discourses Concerning Government (published posthumously in 1698) had argued for a right to revolt and his words were used against him during his trial; Russell had withdrawn from public life, but informers inculpated him in the Plot to assassinate Charles II.

The intolerant and charged atmosphere kept Locke abroad from 1683-89 and freedom from political intrigues and duties allowed him to develop his philosophy.

In 1685 Charles II died and his brother James ascended the throne. The ripples from the Rye House Plot continued to upset the initially stable and sober new regime, and after the failed Monmouth and Argyll rebellions (1685) to oust James, the new monarch clamped down on those who sought to overthrow him. James subsequently handed out army posts to supporting and trustworthy Catholics, and he advanced Catholics to his Privy Council; in November he dismissed Parliament. Nonetheless, he tolerantly presented a Declaration of Indulgences permitting Catholic and Non-Conformist freedom – the motives for which remain unclear; but the Queen’s pregnancy and the possibility of a Catholic succession led Protestant leaders to consult with James’ daughter’s husband (and her cousin – both sharing Charles I as grandfather!), William of Orange in Holland. William had been fighting the might of Catholic France with much gusto and success. Accordingly, as James became increasingly unstable and a boy (James) was born to his wife, William was invited over to take the throne. Upon landing in South Devon and marching toward London many of James’s officers immediately switched sides and James fled to France. Soon both the English and Scots Parliaments declared the de facto abdication of James and the accession of William in what is often called the ‘Glorious Revolution’.

Locke returned to England with William’s wife, Mary, and other exiles. The ousted James had lost all his military abilities and an attempt at recovering his throne via an invasion of hope of a sympathetic uprising in Ireland led to his defeat by William at the Battle of the Boyne in 1690.

These were certainly times of political commotion. In 1689, Locke’s Essay Concerning Human Understanding was published, along with, anonymously, his Two Treatises and a Letter Concerning Toleration. Amendments to the Two Treatises present it as work defending the ‘Glorious Revolution’ and William and Mary’s accession to the throne at the consent of the English people, although modern research has dated it back to 1679-81 and the occasion of Patriarcha’s publication.

Locke returned to England and settled at the house of Sir Francis and Lady Damaris Masham. Damaris was the daughter of Ralph Cudworth (1617-88), a Cambridge platonist, whose writings Locke had enjoyed and which had influenced his shift towards Latitudinarianism. Amidst friends and in a politically more cordial environment, Locke published works on economics, the Scriptures, toleration, and education. In 1695 he advised on the ending of press censorship, and was appointed a member of the Board of Trade (1696-1700). His Essay Concerning Human Understanding gathered pace – drawing controversy and support and earning a translation into French in 1700. Locke died with Lady Damaris reading the Psalms to him. His death, she wrote, “was like his life, truly pious, yet natural, easy and unaffected.” (Aaron)

3. Locke’s Political Writings

Locke was initially reluctant to compose political tracts, which he considered, very much like Thomas Hobbes does in his Behemoth, as producing more conflict than men’s swords. Nonetheless, at Christ Church, Oxford, he penned two key essays on the extent of toleration, the most disruptive and contentious issue of the time – the Two Tracts on Government and his lectures on the Law of Nature, the latter written as Censor of Moral Philosophy at Christ Church.

a. Oxford Writings (1652-1667)

In a century of religious and civil wars, Locke understandably sought to explore the limits to toleration that a state should permit its citizens in their choice and manner of religious expression and worship. Toleration and how men ought to lead their lives are two central themes to Locke’s entire political philosophy, yet it is remarkable, if one approaches his works from the Two Treatises, how politically conservative and accepting he was at Oxford both of the Restoration and Charles’s later Act of Uniformity. The Two Tracts were penned on the occasion of the Restoration of the Monarchy, in which Puritans hoped for continued toleration for their practices and beliefs as they had enjoyed under Cromwell.

b. Two Tracts on Government

Locke’s Two Tracts on Government (1660 and 1662), not published until the 20th Century, form a reply to his fellow student at Christ Church, Edward Bagshaw, who had published and argued for religious authenticity and a rejection of the state’s attempt at religious uniformity, and whose friends and pupils had stolen priests’ surplices in reaction to what they (rightly) perceived as a political shift towards religious uniformity. Bagshaw was a Presbyterian who was in general agreement with Locke’s thesis but who vehemently disagreed with the Anglicanisation of religion that the Act required.

Locke begins with how disruptive the religious “scribblings” of the age have been to his country, pens causing “as much guilt as their swords.” While acknowledging his respect for both authority and liberty, Locke prefers to steer a middle path observing that liberty may “turn loose to the tyranny of a religious rage,” unless its outward form is subjected to the state’s jurisdiction – that is, religious dissent should be subservient to the need to secure the peace, and thus the people ought to accept the religious policy of the presiding regimes.

In forming a Commonwealth, Locke argues, in strong Hobbesian echoes, a man should give up his liberty to the magistrate, “and [entrust] the magistrate with as full a power over all his actions as he himself hath.” Avoiding any discussion of the divine right to rule (which he later takes up in the Two Treatises), Locke claims that the magistrate ought to be the sole judge, even if elected by the people, of ‘matters indifferent’ – i.e., the form and manner in which a people worship. Not only should such matters be given up to the wisdom of the magistrate but the people are also obliged to obey. Christ commanded obedience, he notes, and after all, the magistrate looks to the public welfare, while the individual citizen seeks only his own interest. Implicatively, self-interested pursuit in resolving ‘matters indifferent’ would lead to clashes were they not put in the hands of the magistrate – the ruler.

Yet the ruler’s ability to mould the citizenry is limited to what can be seen, Locke adds. This is an important caveat that develops with an increasing emphasis over his life: a man’s conscience is private, so the magistrate can only influence the obedience of the “outward man.” Immersed in the classics as he was at Oxford, we can note that this is a particularly Roman, prudential consideration of religion which initially caused much harm for Christians: so long as conquered peoples outwardly worshipped the current Roman gods, native religious dispositions and consciences were tolerated – the Christians, however, refused to acquiesce in such ‘matters indifferent’ and many martyrs were created (something the Scottish Covenanters were keen to mimic). Of this and of the recent religious turmoil in his land, Locke is keenly aware – the ruler “cannot cast men’s minds and manners into one mould,” but he is optimistic that the magistrate will use only those powers that are in sympathy with the people and the time in easing them into the same Church. After all, Locke surmises from monastic Oxford, the ruler is supposed to be wise.

In what does more danger lie, Locke rhetorically asks – in the hands of a single, wise man, or an ignorant mob? “From an orderly council or a confused multitude?” The dilemma echoes the Platonic vision of politics and indeed, Locke deploys the perennially popular analogy used by all statists from Plato onwards of the need for a capable captain of the ship (cf. Plato’s Republic, Book VI), which assumes that the citizens are on a single ship and not a flotilla all seeking their own purposes; this collectivist position of assuming we are mariners in desperate need of a swarthy captain, Locke was to alter (but never completely drop) in his Shaftesbury years. But at Oxford, he was quite taken with the metaphor: indeed he notes that such great captains who steer their nations wisely are those “whom the Scriptures calls gods” compared to the multitudinous “beasts”.

The academician Locke highlights his distrust of the masses and prefers to put political control in the hands of a few rather than the many. The multitude is “always craving, never satisfied” and if they are given liberty in religion “where will they stop, where will they themselves bound it …?” It was “a liberty for tender consciences” (using Charles II’s description) that “was the first inlet to all those confusions and unheard of and destructive opinions that overspread this nation” in the Civil Wars. No, mankind is not to be trusted with liberty of religion, Locke urges: “there had been no design so wicked which hath not worn the vizor of religion, nor rebellion not been so kind to itself as to assume the specious name of reformation” that have drawn men into war with promises of liberty and glory. “Hence the cunning and malice of men taken occasion to pervert the doctrine of peace and charity into a perpetual foundation of war and contention.”

Whilst upholding the innate pacifism of Christianity and the horror of wars waged in its name, Locke is of the opinion that permitting men the choice and freedom to worship will create havoc and violence as each sect will take arms to fight those they judge to be offensive “and so in the actions of the greatest cruelty applaud themselves as good Christians.” Hence the magistrate ought to look for the good of society and secure the peace between men.

In the Second Tract, Locke stresses the Christian duty of obedience to the magistrate – invoking implicitly Christ’s ambiguous answer to the Pharisees: “render to Caesar the things that are Caesar’s, and to God the things that are God’s.” But what does a magistrate do? For the early Locke, the ruler’s job is to be responsible for the care of the community – to preserve the public good and keep the people in peace. What the particular policies a magistrate ought to follow depends, Locke admits, on contemporary conventions and expectations, but the magistrate is in the best position to judge in light of the times what ought to be the best policy and what ought to be orderly and decent.

The magistrate symbolises the apex of natural power and order in the world – at least from Locke’s Protestant Oxford perspective. Whether “some are born to rule others” as Aristotle argued, or that men are all born into equality, or monarchs are divinely appointed, Locke, at this point in his intellectual development, offers no conclusion and thereby avoids the foray bubbling all around him. Nonetheless, the Lockean magistrate ought to act without private interest in securing the nation’s peace, and the citizens ought to passively obey him – even if he steps over his constitutional boundaries, for “God wished there to be order, society, and government among men” so “in every commonwealth there must be supreme power.” To that power “God in his great wisdom and beneficence has relinquished [religious rites] to the discretion of the magistrate.” Deferring to the Almighty, “God in his great mercy appointed that Christian doctrine should be embraced by the soul and faith alone and that true worship should be fulfilled in public gatherings and outward actions.”

A more conservative philosopher, accepting of the newly Restored monarchy, one could not imagine from the perspective of the later writer of the Treatises. Yet are there glimmerings of the path Locke eventually takes? Certainly in the realm of private conscience, which Locke emphatically declares cannot be forced. A man has perfect liberty over his conscience (the “liberty of judgement”). If the magistrate commands what has already been divinely commanded, then the citizen is obliged to obey and such laws can not be unjust for they do not bind a man’s conscience or his action. Similarly, legislation passed by a magistrate, “in so far as he is provided with legislative power”, may impose upon the liberty of the will in requiring outward assent and behaviour, but that leaves the conscience free to judge differently. However, if a magistrate seeks to constrain the liberty of judgement, then he sins – but, Locke quickly adds (just before the Act of Uniformity was passed), ecclesiastical rules are not likely to infringe upon people’s right to judge for they deal with ceremonial practice.

Against those who would fear the potential for magisterial abuse and who would allow religious liberty, Locke firstly describes them as the conjuring of “empty heads of these foolish men” and that if religious legislation were taken from the magistrate so too would be other legislation, and those who do not agree with Locke’s conservativism and thereby “take arms” against him will find himself in the “ranks set out above.” In doing so, the Oxford lecturer committed two fallacies – ad hominem (decrying an argument as false because of the person who utters it) and the slippery-slope fallacy (that if one thing were taken from the powers of the state, the state would lose all of its powers).

Yet the blatant contradiction in Locke’s attempt at resolving the political question of his time will fester and become increasingly apparent – if men have to go against their consciences to obey the magistrate, then they turn away from their God; if they disobey the magistrate in pursuit of their consciences, then they revolt against their monarch and the secular system of securing peace in the country. Locke cannot have it both ways and the realm and freedom of men’s consciences eventually win over political allegiance.

Also written at this time were some comments on Infallibility in which Locke outlines an orthodox Protestant attack on Catholicism. Catholic, “sharp-sighted priests have violated both these powers [making and interpreting laws] in their efforts to establish in every way that control over the conduct and consciences of men which they so strongly claim.” Yet such theory constituted the essence of Western political philosophy stretching back to the early centuries after the fall of Rome and the awkward relationship between the powers of the Church and the State. The Puritans of several sects logically rejected governmental or institutional interference in belief and their beliefs eventually forged the principle of absolute toleration in religious matters to which Locke was later to give his agreement and philosophical defence; but even in this very conservative phase, Locke’s non-conformist Protestant and Puritan upbringing is evident: interpretation should be left to the individual’s reading of the infallible Scriptures, not the alleged infallible interpretations of the priests. This would of course imply a rejection of any Act of Uniformity – of the imposition of Anglicanism and its Book of Common Prayer on the people. Nonetheless, Locke recoils, obedience is always the “safe and secure” path for the Christian congregation, for “the shepherds of the church can perhaps err while they are leading, but the sheep certainly cannot err while they are following.”

c. Essays on the Law of Nature (1663-1664)

In his Essays or lectures to students as Censor, teacher of Moral Philosophy at Christ Church, Locke argues that there is a Law of Nature – a basic system of morals – which is given to every man to know. The Essays were unpublished but circulated and had an influence on writers such as James Tyrell (1642-1718). His argument begins with an acceptance of God’s existence (“there will be no one to deny the existence of God” – and certainly not at Oxford, when subscribing to the Christian faith and the eventual taking of Holy Orders for tutors was a necessary condition of being admitted). The law, he adds, is something which is the decree of a superior will (God), and lays down what is to be done and not to be done, and which is binding on all men.

The moral law for Locke demands that some things are completely forbidden (theft, murder), others depend on certain sentiments, periodic duties, or conditional attitudes. These are binding on all equally, and despite the apparent relativism of morality, “no nation or human being is so removed from all humanity, so savage and so beyond the law, that it is not held by these bonds of law.” The moral law is a fixed and permanent set of morals, for “what is proper now for the rational nature [of man] … must needs be proper for ever, and the same reason will pronounce everywhere the same moral rules.” It is man’s nature that binds him to a universally binding moral law, which he cannot alter, despite his laziness and disposition to be led by others and follow the multitude or give into his passions.

Against the objection that the Law of Nature cannot be found, because not all people who possess reason have knowledge of it or that they will disagree over its content, Locke counters that possessing the faculty of reason does not necessitate its use. Some prefer living in ignorance, while others may be too dull, or are slaves to their passions to raise their intellect to what is required of them to understand the Natural Law, and others still are brought up amidst such evil that they become accustomed to it. Secondly, disagreement – what we now term moral relativism – does not indicate a lack of a law, but rather its existence.

In another glimmering of the development of Locke’s political and general philosophical thought, he examines the methods by which a man can know moral laws. (The theory of how we know things becomes a life-long quest for Locke, culminating in his Essay Concerning Human Understanding). It is obvious that the nature of the world is governed by laws and so too is man’s conduct, and that without moral laws, men would not have society; without moral law, trust between men would collapse. We can know moral laws through four different methods: inscription, tradition, sense experience, or divine revelation. Ignoring the last, Locke also rejects both inscription and tradition (which were both connected to Roman Catholic theology) in favour of learning morality with our senses and reason.

Following René Descartes’s methodology, which had turned him onto philosophy, Locke argues that sense experience proclaims the existence of a supreme law maker, a wise creator or the world, which has made man for a purpose. Man thus has purposes – to contemplate and to procure and preserve his life. Yet the moral law cannot be garnered from consent – from mass or democratic agreement, for the voice of the people is as likely to lead to fallacies and evil. Men’s actual morality may be highly relative, but differences do not undermine the existence of commonalties in the law, hence we should not obey (or follow) others blindly. Nonetheless, the conservative Locke continues to argue that we ought to obey our lawmakers as possessing rightful power over creation, but our obedience should not just be out of fear for the lawmaker’s power, but conscientiously too: we ought to obey it because the magistrate should request morally right action.

Yet there is detectable in Locke’s essay a growing suspicion of government. In conjecturing that a good policy is one that can be obey both without fear or without conscientious qualms, Locke is possibly indicating that the magistrate also has the responsibility not to provoke a rebellion of conscience in the people, words that may reflect the growing sense of concern that the Act of Uniformity engendered. There also creeps into his theorising a growing realisation of the limits to power’s use and the good it putatively brings about: the lawmaker possesses the right to impose his will on dissidents, but Locke advises that that power should be used only as a last resort.

In an interesting passage, wherein we can detect Locke’s philosophical abilities maturing, he discusses whether the Law of Nature can be said to be based on man’s self-interest. He rejects the Ancient Greek Carneades’ theory that all men act in the own interest, while he accepts the role that self-interest plays in the Law of Nature, “for the strongest protection of each man’s private property is the Law of Nature, without the observance of which it is impossible for anybody to be master of his own property and to pursue his own advantage.” Yet this is not quite anticipating Adam Smith’s theory of private profit leading to public advantage (Wealth of Nations, 1776), for Locke later accepts Montesquieu’s mercantilist (and ultimately Aristotelian) theory that one man’s gain is another’s loss; but what is of importance here is something we read of later in Hume’s criticism of self-interested pursuits. Some actions we deem moral, Locke remarks, can be personally costly – such as generosity and friendship, and while private profit may enrich some at the expense of others, “justice in one does not take equity away in another.” Similarly, if all were to pursue their own interest, that would imply that the individual would judge his own affairs and that can only lead to chaos, fraud, violence, and hatred.

After rejecting self-interest as a justification of natural law, Locke proceeds to reject the argument that utility forms the basis of the moral law. (It is always useful to know that what are often portrayed as 20th Century debates on, say, utilitarianism versus deontology, have a long philosophical pedigree). For Locke, it is not seeking to do good that produces morality, for whatever good does occur arises from the moral law: “utility is not the basis of the law or the ground of obligation, but the consequence of obedience to it.” (This is the position that Immanuel Kant (1724-1804) later espouses in his strict application of duty ethics.)

Interestingly, Locke adds that the moral law “neither supposes nor allows men to be inflamed with hatred for one another and to be divided into hostile states.” On the one hand, this belief may be considered as a theoretical attack on Hobbes’s description of the state of nature – that it is characterised by a war of all against all, yet that would be rather misplaced, for even in the state of nature, Hobbes’s musings are in agreement with Locke that natural laws (common ethical codes) apply to human interaction. On the other hand, it may be a philosopher’s warning to his government and the fanatics of the various religions and sects who were seeking to impose their vision and will on others.

The Two Tracts and the Essay are not political classics in the sense that political theorists, whose speciality is not the 17th Century, readily turn to them. But they contain philosophical elements and beliefs that Locke was to work on and develop – especially the role and limits to government, conscientious objection to the misuse of power, and religious freedom; although he was to dramatically alter his

4. Shaftesbury Era

On leaving the cloistered walls of Oxford to employment in Lord Ashley’s household, we detect a shift in Locke’s political thinking, away from the acceptance of the magistrate’s philosopher-king status towards Locke supposing him a man capable of erring like any other man. Indeed, Locke’s thought increasingly moves over the next few years from upholding passive obedience – and thus one’s station in life – to justifying rebellion when the magistrate oversteps certain boundaries, and in his Essay on Toleration we mark that change.

a. The Essay on Toleration (1667)

Locke is now concerned about the extremes of absolute obedience and absolute liberty in matters of conscience, a change in Locke’s priorities towards outlining the conditions under which a man ought to possess religious freedom and the limits – moral and prudential – of the magistrate’s powers. The Essay gives a better indication of the direction that Locke’s arguments take in the Two Treatises.

What is the purpose of government? It is to be used for the good, preservation, and the peace of men. If men could live peacefully, there would be no need for a magistrate, but patently the Seventeenth Century was strewn with war and its effects, and the thought of permitting a generally peaceful, anarchic state of nature was still too absurd for Locke to contemplate, so he dismisses it out of hand. He then deals strongly with those who would argue for a monarchy based on a divine right to rule, presaging the critique of the Two Treatises. Supporters of the divine right “have forgotten what country they are born in”, he writes.

In marked contrast to his Oxford phase, Locke now argues that in forming a government, “it cannot be supposed the people should give any one or more of their fellow men an authority over them for any other purpose than their own preservation, or extend the limits of their jurisdiction beyond the limits of this life.” This is indeed a shift from his Platonic vision of the goodly rational captain steering the ship! The magistrate ought to meddle with nothing but securing the peace. (In Scotland at this time, recall that the Covenanters were being put down for their rejection of Uniformity.) Yet we are still far from a libertarian thesis on a restricted government, for in outlining his principles of toleration, strict rules apply as to whom may be admitted into the tolerant club – Catholics and atheists need not apply. Within a broadly, pluralist Protestant nation though, toleration on ‘matters indifferent’ ought now to be practised by the magistrate on a scale relating to their epistemological status.

In matters speculative and divine worship a man ought to possess absolute liberty, for these are based on his subjective understanding of the nature of the universe and of God. In such areas of thought, no man may force his opinion on others – excepting atheists, for the are like ‘wild beasts’. In so arguing, Locke again adheres to a very Protestant (Puritan) theory of conscience and the individual’s relationship to God. Whereas the Catholic Church emphasises the role of priests and the theological hierarchy in reaching up to God, the Protestant reformers of the Church proclaimed the individual’s right to seek God by his own path, and Locke, following the Cambridge Platonists, emphasised the role of reason in understanding the relationship between man qua individual and God.

Toleration of others’ religious and speculative thinking is also politically prudential – so much misery had been generated by the state or various sects seeking to impose their will on others, and such antagonists are rarely motivated by religion than “depraved, ambitious human nature.” Thus, with regards to “matters indifferent”, Locke still insists that the government must look at their application to the nation’s peace and security, and may prohibit publications that tend to “the disturbance of government.” Toleration does not imply freedom of expression. Yet even here, since no man may be forced to alter his opinion, the citizens should obey the magistrate’s prescriptions and accept the state’s legislation as their consciences see fit “as far without violence they can.” In other words, if the state imposes forms of behaviour that a sect finds particularly offensive, it ought, for the peace and security of the nation as a whole, accept the laws (and not disrupt the peace in an “obstinate pursuit or flight”) leaving people’s consciences free to speculate as they see fit – in other words, they must give God and Caesar both their due. Some opinions must not be tolerated, if their natural tendency is absolutely destructive to society – so “faith may be broken with heretics.”

The third area that the magistrate may be concerned in involves the general moral virtues and vices of society. Interestingly, although these barely relate to acts of conscience, the state should not interfere here, for the magistrate has “nothing to do with the good of men’s souls.” This is a powerful departure from his previous stance as Censor and perhaps may be read as reflecting the licentiousness of Charles’s Court (which he surely must have known about from Ashley) and Locke’s acceptance of a distinction between tolerating private vices but not public ones. Nonetheless, the state may intervene in men’s affairs when their opinions are likely to be destructive of the society that harbours them – hence, for Locke, Catholicism is not to be tolerated. In other words, those who argue for theocracy ought to be restricted in their speech. The reason for this – and a mature political one – is that most men use power for their own advancement and those who are intolerant of others should in turn not be tolerated – such groups are not to be trusted with any path that may lead them to power and the overthrow of the liberties of others. Catholics in particular, when in power tend to “think themselves bound to deny it to others.” They ought to be handled “severely” Locke proposes.

Similarly, factions ought not to be tolerated if their numbers grow to threaten the state. Nevertheless, Locke is adamant that any attempt to use force to get others to change their opinions should be fully rejected as “the worst, the last to be used, and with the greatest caution.” Indeed, caution and prudence should be the watchwords of Locke’s theoretical government at this point in his thinking. Toleration of the various Protestant sects is the “readiest way to secure the safety and peace, and promote [public] welfare” and Protestant fanatics ought to be tolerated to be made useful and of assistance to the government rather than driving them into secrecy and unity through persecution. Again, Locke emphasises that “there is scarce an instance to be found of any opinion driven out of the world by persecution” which can be taken as a word of warning to the present government persecuting Covenanters and others. The option is to accept and tolerate such diverse Protestant fanatics – or kill them all; but the latter is not very Christian, Locke reminds his readers.

b. Other Political Writings

In 1669-70 Locke commented on Samuel Parker’s Discourse of Ecclesiastical Party (1669), which attacked Nonconformists or Dissenters. Shaftesbury sought a policy of toleration against the Anglican policy to unify the Kingdom under its brand of Protestantism. (The Anglican Church or Church of England was created by Henry VIII’s split from Rome – he became both head of state and head of the church, and the ruling monarch remains head of both state and church in England today. The Church of England, as its name suggests is a particular nationalist brand of Protestantism in which Bishops sit with Lords in the Upper Chamber of Parliament). Locke’s comments are worth noting for evidence of a further swing away from political conservativism adhering to establishment structures to a radicalism that seeks their containment in favour of inalienable individual rights. He now insists that government’s purpose is to secure the peace and not to get involved with the outward appearances of different interpretations of religion – he questions whether the policy of uniformity is conducive of peace (OSP); and here Locke presents a theory that he was to embellish on over the next decade in his denial that government can be said to stem from Adam’s descendants. This the theory Locke criticises of Sir Robert Filmer in the Two Treatises: if Adam was the first king, it is not the case that his descendants automatically gain the same right – “all government, monarchical or other, is only from the consent of the people.” (OSP)

Locke repeats the purpose of government of securing the peace and tranquillity of the commonwealth and stresses the separation of the Church and State in what can be seen as the glimmerings of his minimal state theory. “The end of civil society is civil peace and prosperity … but beyond the concernments of this life [i.e., religion], this society hath nothing to do at all.” (CEP) Since religion deals with the hereafter and the state the present, and the two jurisdictions should not mix.

Thus prior to the change of wind in the Two Treatises, Locke’s conservative, moral authoritarian philosophy is highly apparent in various comments throughout the 1670s and 80s. In Obligation of Penal Laws, for example, Locke scepticism of the government’s misuse of power is growing, but he still insists that the subject’s duty is to preserve a peaceful society and not to disturb or endanger his government and that, so long as a man’s conscience is free from political interference, he ought to obey the rules of his country. This, incidentally, is symptomatic of a mind-body dualism (as it affects the political realm), in which a philosopher asserts the primacy and hence freedom of the mind while accepting the subjugation of the body, a dichotomy that Locke only gradually moves away from.

By 1676, for instance, we again see evidence of a change in his thinking towards Protestant dissenters (Catholics standing outwith the Lockean picture). In his second essay on Toleration (Tb) in the year he expands on his critique of uniformity. He demands what a policy ought to be if all dissenters are in error – should they be all hanged? But if there is a fear of them is it because of the manner in which they are treated by the authorities, or if there is a fear that they may influence other people, then why not let others choose by their own consent to follow or not, or if it is feared that supporters of dissenting doctrines shall multiply, then either dissenters are attracting others because of the truth or orthodox teachers have become slack in propagating the truth. Since Christians are likely to fight over their sectarian differences, “to settle the peace of places where there are different opinions in religion, two things are to be perfectly distinguished: religion and government … and their provinces [ought] to be kept well distinct.” That is, the Church and the State should be kept thoroughly separate.

Yet Locke’s political rationalism – his disposition to impose a particular, ideal moral order on his nation – remains strong. In notes for his Atlantis (1676-79), he proposes stringent laws to deal with vagrants, demands that everyone work at their handicraft at least six hours a week, that limits be put on migration across parishes, and that tithingmen be put in control of assuring the moral purity of their jurisdiction (one tithingman to twenty homes). Each month the tithingman even ought to visit the houses of his tithing “to see what lives they lead.” (At). Public almshouses ought to be erected for those incapable of working, otherwise “all beggars shall ipso facto be taken and sent to the public workhouse and there remain for the rest of their lives.” (At).

Between 1677 and 1678 Locke scribbled thoughts on the springs of human action. “Happiness and misery are the two great springs,” he notes, but happiness in misery are both resoluble into pleasure and pain. Accordingly, Locke argues for a hedonistic, utilitarian basis for morality – a different direction from his earlier Oxford essays, but tempers the thrust of hedonism noting the importance that reputation plays in a man’s life, also calling reputation “the principle spring from which the actions of men take their rise …” (R) and were there no human laws – no positive legislation – “there’d still be such species of actions as justice, temperance and fortitude…” (R) for the laws of morality come from God and from nature.

Thus prior to the penning of the Two Treatises, we find a John Locke who is becoming increasingly concerned with the direction of Restoration policy with regards to religious toleration, and although he remains very conservative in his moral outlook, the formulation of a new approach is evidently developing. The government, he declares with a stronger and more influential voice, ought to remove itself from the religious matters of the nation. The separation of the state and religion is now paramount in his philosophy, all it needed was a structure within which such a minimal, non-interfering government could be justified. That was prompted by the publication of the late Sir Robert Filmer’s Patriarcha – a defence of divinely appointed and justified monarchy and absolutism.

c. Economic Writings

In the 1670s under Shaftesbury’s patronage, Locke expounded a mercantilist philosophy of trade and a hard-money policy.

The mercantilist Locke argues that the end of trade is “riches and power” – and trade increases a nation’s wealth and its people, producing a virtuous circle of economic improvement; yet, like most mercantilists, he condemns activity that are not conducive to economic growth – a theory that has seeped into present day tax codes and economic policy, although the characters targeted tend to change. For Locke anyone involved in the service industry hinders trade: retailers to some degree, lawyers, “but above all soldiers in pay.” The economic theory is suspicious, as is Locke’s assertion that one man’s gain is another man’s loss – an Aristotelian view of trade that has yet to be shaken from present day conceptions and which mercantilists support.

However, Locke also favoured a hard money policy to secure the value of a nation’s currency. It would be wrong to debase the coinage to match the number of notes that the Bank of England printed.

Some detect in Locke a ‘labour theory of value’ – the proposition that all economic values can be resolved into the amount and quality of labour imbued in them. Marxists, for example, assume Locke to have proposed a labour theory of value, whereas the libertarian economist, Murray Rothbard, argues that what Locke propounded was a labour theory of property, not of value. The sections to read are in Chapter V, and a close reading of the text suggests that Locke’s emphasis on the ability of labour to create value qua production, rather than value qua price. For elsewhere, Locke observes that the fair price (a term that has wended down through the ages from Aristotle) is that which is generated in a market on a particular occasion, tempered by notions of Christian charity to avoid gaining excess profits (leaving enough for others, as Locke advises for the enclosure of land). Labour – active productive labour, based on rationality and productivity – increases the wealth of the nation, it does not generate a system of fair prices.

5. Two Treatises

There is a scholarly debate on when the Two Treatises were written. They were first published in 1689, but when they were penned is of critical importance; originally the Two Treatises were deemed an apology – a defence – for the Glorious Revolution, but Peter Laslett claims its origins back to 1679, while Richard Ashcroft disagrees and places it in 1680-82, allowing Locke to make amendments to the manuscript to give the impression it acts as an apology for rather than a prescription of revolt; for readers interested in knowing more, I refer them to Laslett’s 1988 Cambridge Edition of the Two Treatises.

In opening the Two Treatises, diligence and perseverance pay off for the reader – and on a pedagogical note, I would recommend (following Laslett) beginning with the Second before the First Treatise. The reader ought to work through each chapter carefully, noting the main point or points in each section (denoted §) to follow Locke’s relatively convoluted sentences in pursuit of the main clause like Sherlock Holmes on a case, and revising what notes have been reaped before pressing on. Locke’s system is brilliant, and so we must read him, for hidden in the well-crafted arguments, we also find gems of thoughts and insights.

a. First Treatise

The First Treatise is a logical rebuttal of the works of Sir Robert Filmer whose Patriarcha and other writings supported the theory of the divine rights of kings – that is, monarchy is a divine established institution and that kings rule as God’s regents on earth. The First Treatise paves the way, as Locke advertises in his Preface, to justify government by the consent of the people. In this summary, I am not concerned with a scholastic checking of the validity of Locke’s examination of Filmer’s work (or of Locke’s own selective reading of the Bible – see Cox) but with summarising the essential points he presents.

Chapter I.
Locke summarises Filmer’s theory that all government is [or ought to be] an absolute monarchy: since Adam was an absolute monarch, all princes since his time should also be absolute monarchs. Secondly, since Filmer believes that no man is born free, men cannot [or should not be able to] choose their governors, thus government by consent is to be rejected on the epistemological grounds that the masses do not possess the intellectual wherewithal to elect their leaders.

“Slavery is so vile and miserable an Estate of Man,” begins the overture of Locke’s critique of Filmer’s system (§1). But a description of affairs under absolute monarchy does not in itself provide a justification of establishing government on popular consent, nor does the presumption that men would live in a miserable condition rebut the claim for absolutism. Accordingly, Locke proceeds to examine carefully Filmer’s assumptions and the logical cohesion of his arguments to refute the theory of divine rule before outlining, in the Second Treatise, his justification of consensual government (see below). Locke’s analysis of Filmer proceeds by drawing upon the essential assumptions or premises which Filmer presents.

Chapter II.
Filmer firstly (as we read Locke’s critique) claims that man is not born into freedom, because he is born to parents – and the right that the father naturally possesses is unlimited over the child’s life. However, Locke replies, Filmer does not give an account of this fatherly power – that is, Filmer assumes the father ought to possess unlimited power without providing a justification of that power, and since, according to Locke, Filmer’s assertion implies that humanity should be enslaved to a single ruler, it behoves his opponent to offer a justification. Nonetheless, as the First Treatise continues, Filmer is seen to have provided a justification, for Locke has to provide several arguments against Filmer’s attempts to provide a secure theoretical basis for patriarchy.

Chapter III.
Filmer secondly proposes that to assert man’s freedom is equivalent to denying the Biblical story of man’s assertion, a claim that Locke swiftly shows to be logically fallacious. Questioning the validity of the former does not imply a concurrent questioning of the latter.

Moreover, Locke demands why the fact of Adam’s creation should give him sovereignty over anything – that has to be established and not presumed. Locke thus queries Filmer’s conception of sovereignty: as first man and possessing no subjects, he could hardly be called a monarch. He is “a governor in habit rather than in act,” Filmer contends, to which Locke humorously replies: “A very pretty way of being a Governor without Government, a Father without Children, and a King without Subjects. And thus Sir Robert was an Author before he writ his Book …” (§18). In other words, potentiality does not imply actuality.

Locke presses the point – whence does Adam receive his power over others? By becoming a father, Filmer (thirdly) argues (and thereby provides a justification for his patriarchy). Locke reminds his readers that Filmer passes over the role of the mother in producing children and that in quoting from the Bible, Filmer drops any references to the mother: ‘honour thy father and thy mother’ becomes just ‘honour thy father’. Nonetheless, if Adam’s power comes from begetting children and becoming a father, then without children he was surely powerless, Locke concludes.

Chapter IV.
Perhaps Adam’s title, as understood by Filmer, was over the resources of the earth, that is, Adam was a proprietor rather than a monarch. No, Locke writes, quoting from the Scriptures, for God gave the earth to ‘them’, in other words to mankind as a whole and not to one particular individual. Nevertheless, Locke asks, even if Adam were given title over the earth’s resources, how does that give him political power over others’ lives?

Chapter V.

Filmer fourthly attempts to justify patriarchy by claiming that Eve was created to be subject to her husband, and thus forms the ‘Original Grant of Government’ whereas Locke retorts that a distinction must be made between her role as a wife and that of Adam’s power over her life, or that of any other. Firstly, Locke replies, since Adam sinned with Eve in the Garden of Eden, this hardly gives him a moral standing to rule others, and secondly, how does Eve’s matrimonial subjection to Adam entitle him to head a monarchical government? The two are separable issues, and Filmer, Locke notes, often deploys linguistic ambiguities in his terms to assert his theory without actually justifying it. Thirdly, if a man gains monarchical power by possessing a wife, then surely, Locke concludes, according to Filmer’s position there should be as many monarchs as there are husbands.

Chapter VI.
Filmer’s fifth attempt to claim Adam’s royal authority is based on the subjection of his children and this power should be supreme. This time, Filmer presents a justification: since the father gives life and being to a child he therefore possesses absolute power over him. Yet, Locke counters, firstly: if you give something to another, that does not mean that you have a right to take it back; secondly, Filmer ignores that life is given to us all by God, and adds that we know so little as to what produces a soul or breathes life into an entity that assuming it to be wholly the father is presumptuous; indeed and thirdly, what role in begetting a child does a man have except “the satisfying his present Appetite”? (§54) Fourthly, Locke notes the obvious and greater role a woman plays in producing a child. All these counterarguments undermine Filmer’s emphasis on male dominion and take Locke into very liberal territory (contemporarily speaking) of raising woman’s status, a view more consistent with the Puritans than Anglicans.

Filmer’s defence of his fifth point, as Locke reads him, is that the Ancients had absolute rights over their children, and Locke rightly rejoins that that does not mean present generations ought to – after all, the Ancients also practised incest, adultery, and sodomy, (§59), and presumably Filmer would not wish those to be re-established.

A parent may, arguably, alienate his rights over a child, Locke notes, but a child cannot alienate the honour due to his parent, an argument Filmer ignores. More pointedly, if a father possesses absolute rights over his children and that gives him political dominion too, then surely, echoing the logic of Chapter V, Locke complains that Filmer’s theory would all as many monarchs as there are fathers. Such political plurality would destroy all lawful governments in the world, which would contradict Filmer’s attempt to justify a stable political regime.

Chapter VII.
Switching to discuss the role of property in Filmer’s theory; if we allow Adam’s entitlement to the earth’s resources and that he wills it upon his eldest son, this does not necessarily mean that Adam’s power is also willed to the eldest son. The eldest son, Locke reasons, did not beget his brethren, and accordingly cannot be said to inherit his father’s power over them. Accordingly, power over resources and political power are distinguishable and should be treated as separate issues.

Chapter VIII.
Locke discovers that Filmer accepts that governmental power may be passed on by succession, grant, usurpation, and election, and that Filmer accepts that “it matters not by what Means [a king] came by it.” Filmer’s theory is thus full of contradiction, Locke contends. Although he would apparently discard Filmer’s theory at this point, Locke continues his logical critique of patriarchy.

Chapter IX.
If we are to have one ruler, we should know who that person is otherwise there would be no distinction between pirates and princes. How successful is Filmer in describing this? Filmer claims that Adam’s power did not end in him but was passed onto succeeding generations and that secondly, present princes and rulers are direct descendants of that power. If Filmer’s first argument fails, that is not too problematic, Locke notes, for another theory of government may be expounded; but if the second fails, that would “destroy the Authority of the present Governors, and absolve the People from Subjection to them.” (§83). It must therefore be shown how Adam’s power is passed on, otherwise we must assume his power died with him and was passed back to God: in other words, we must look to the origins of government (Locke thus sets the reader up for the Second Treatise) – if the formation of government was consensual, then that must also direct its descent [although why that must be the case is not established], or it was by divine donation then God must also give it to the successor, rather than presuming it passes to the eldest male. But certainly, power cannot be derived from the act of begetting, for the eldest did not beget his younger siblings nor could he inherit his father’s rights over his mother. Paternal power can not therefore be inherited and the power that is now in the world is not Adam’s. (§103).

Although power cannot be passed onto children, Locke also rejects the passing of property solely to the eldest – it must pass equally to all of his children as God gave the earth in common to all, but once a man has formed a property right over something, it is a law of nature that his property be passed on to his children: children have a title to share in the property of their parents, and for Locke, that entitlement is equal (§93). Locke’s rejection of primogeniture is also of interest here and reminds the reader of his unorthodox stance on several issues.

Incidentally, in this Chapter Locke outlines his own theory to act as a foil to Filmer’s attempted justification of patriarchy and primogeniture. God planted in man the drive to preserve himself; He made the earth’s resources available to him and directed man to use his reason and senses to exploit the earth and its creatures for his benefit, and government is established to preserve a man’s property from the violence of others.

Chapter X.
Filmer claims that wherever there is a multitude of people, there will be one who is the heir to Adam’s monarchical power. This implies, counters Locke, that there will be one king who presently rules over all the kings in power, which means that either this right of being Adam’s political descendant is not necessary to justify the power presently held by rulers, or that they are all unlawfully in power, and accordingly, the multitude has no need to conscientiously obey their governments – a conclusion that Filmer would surely wish to avoid, as well as one that Locke implies is unacceptable to his own theory of government.

Chapter XI.
So who should be the heir, Locke asks, if we continue with Filmer’s exposition and accept that Adam’s power descended from him? After all, we are not questioning whether there ought to be government (Power) but who should be in power (§106). Filmer claims sovereignty to pass through Adam’s lineage – but who is not of that lineage, Locke asks. If it is the eldest son, Scriptural evidence contradicts Filmer’s theory, and what happens if there is not a son, or that son is a fool? With such a convoluted theory, surely God would have given us indications as to his meaning, after all, Locke adds, Scripture tells us whom we can and cannot marry.

Filmer offers several descriptions of Biblical characters possessing power, but Locke disallows them all. Firstly, Filmer says evidence of patriarchy is that the ruler possessed the power of death over people – to which Locke replies, anyone may have that power. Secondly, the ruler possessed the power to raise and army and to make war – to which Locke replies, as can any commonwealth, or indeed, any individual can also possess that power, implying that the power to wage war is independent of sovereignty and is merely attached to the ability to raise an army. And if power can be gained by attacking and conquering others, then Filmer’s attempt at securing sovereignty through the line of Adam fails. Nonetheless, Locke argues that contrary to patriarchal forms of government, God’s chosen people were often leaderless and lived in commonwealths – and what, he asks, happened to their form of government when they suffered centuries of bondage? Where was the rightful heir to Adam’s power during that period? Looking over the judges that were raised to power, whom Locke sees as being consensually appointed, he finds childless men and one woman – continuing evidence against Filmer’s assertion that power descended linearly through Adam’s descendants.

The rejection of the divine right theory of monarchy and of absolutism now complete, Locke turns his attention to outlining and justifying his own conception of government and the rights of citizens. It is one of the greatest texts in political philosophy and deserves a close reading.

b. Second Treatise

Chapter I.
Locke now sets out his own theory of political power in which he will look at the power of the magistrate as distinct from the power a parent wields over children or employers over employees (“a Master over his Servant”) or conjugal power (“a Husband over his Wife”). He defines political power as the power of making laws and executing penalties, the preservation of property, and of employing the force of the community in executing the laws and defending the commonwealth from foreign attack. Power, he stresses, must only be used for the public good.

Chapter II.
Locke outlines his theoretical construction of the state of nature. Given God gave the earth to all of mankind, Locke envisages the state of nature as a state of perfect equality in which each person has the freedom to do as he sees fit without asking leave or depending on the will of any other man. Reason teaches man not to harm his neighbour or his liberty or possessions, but also that he is right to punish those who transgress against him. “The State of Nature has a Law of Nature to govern it, which obliges everyone”, and “there cannot be supposed any such Subordination among us, that may Authorize us to destroy one another.” (§6). Indeed, aggressors – those who violate the freedom of others – live life by another (implicatively unnatural) standard, one that is irrational and thus dangerous. If a man is attacked by another, he is fully justified in punishing the offender and being the “Executioner of the Law of Nature” (§8) to kill murderers and seek reparation from thieves. It is better for a man to judge his own case than to have “one Man commanding a multitude, has the Liberty to be Judge in his own Case, and may do to al his Subjects whatever he pleases” (§13). So far has Locke moved away from his conservative Oxford days of erring on the side of magistrates.

The state of nature is not just a theoretical conception, for wherever there is a lack of government or arbitrating institutions between men or nations, the state of nature presides. “For ’tis not every Compact that puts an end to the State of Nature between men.” (§14).

Chapter III.
Whenever a man “declaring by Word or Action, not a passionate and hasty, but a sedate settled Design upon another Mans life, [he puts] him a State of War.” That is, the breach of peace is the declaration of war, and accordingly a man has the natural right to defend himself against aggressors who renounce reason and who live like predators. Where there is no common power, any use of force takes man back to the state of nature and this continues until a common magistrate is set up; but where proper government is lacking, a man’s actions are to be judged by his conscience alone. But the state of nature is distinguishable from the state of war, a dissimilarity Locke criticises followers of Thomas Hobbes for not making. The state of nature is governed by peace, goodwill, preservation, and mutual assistance, whereas the state of war is a condition of enmity, malice, violence, and mutual destruction.

To avoid the costs (the “inconveniences”) associated with the state of nature – of being without a common power to ensure the rule of law and order – men are disposed to join a society.

Chapter IV.
Locke presents his rejection of slavery: man’s liberty in society is to be under no other legislative power but that established by consent and under no other will or power but what the legislative enacts according to the trust put in it. Slavery is defined as being under absolute, arbitrary, and despotic power, and, we may recall from Chapter I of the First Treatise, it is the most miserable condition of man – yet it is not wholly unjustifiable in Locke’s system; if a man aggresses against another, he loses all rights in the just war fought against his aggression, and thus may he be rightly enslaved. (Incidentally, Locke deemed the West Africans enslaved by the Royal Africa Company to have been taken prisoners in a just war against them, thus defending, if somewhat naively, colonial slavery).

Locke rebuffs the argument that a man can enslave himself to another, because, ultimately, he may take his own life and by so regaining his freedom thus deprives the slave master of his power. This puts a terminal limit on a master’s power over his charges. Freedom, Locke notes in passing, is not something to do as one pleases, as Sir Robert Filmer [and many since] would describe it in order to reject it (that is, a straw man fallacy).

Chapter V.
With regards to property, Locke recalls his earlier argument that the earth is initially given to all in common, but most importantly for Lockean political theory he argues that “every man has a Property in his own Person.” (§27). Therefore, when he moves away from the state of nature, whatever he mixes his labour with becomes his property, with the proviso that “at least where there is enough, and as good left in common for others.” (§27). Although God gave the earth in common, He did not mean it to remain in common and uncultivated, for “He gave it to the use of the Industrious and Rational.” (§34). The expansion of private property also increases the net yield to the commonwealth (that is, causes economic growth – something Adam Smith was to later develop). Private property also clarifies resource ownership and thus removes areas of contention.

When a man mixes his labour with anything and by drawing it into his private ownership, he makes it more valuable. The benefits of private ownership can be readily compared to those nations in which few people reside upon commonly owned tracts. Ownership gives a man an entitlement to do with his resources as he pleases, although in this chapter, Locke is ready to remind his readers of the duty they bear to others, for those who waste their (non-durable) resources “rob others” of the benefits they could have produced for the community; but apart from that, a man may acquire wealth justly.

Chapter VI.
In discussing paternal power, Locke proclaims that children are under their parents’ rule until maturity, but, in comparison with Filmer, who claimed that no men can be free because of the subjection to their parents, Locke asserts that the development of a man’s reason frees him from their protection. To turn children out of the home before their reason has developed sufficiently is to throw them out amongst the beasts and into a wretched state. Once they are mature enough, children have the ability and hence the right to choose what society they wish to belong to; accordingly, Locke emphasises that parental power should not be confused with political power.

Chapter VII.
God drives men into society, Locke notes, deploying the traditional Aristotelian thesis that society stems from sexual desire, reproduction, and then employment (that is, man and woman come together, they reproduce, and employ servants – and gain slaves captured in just wars), a thesis that was repeated throughout the ages but more recently, in Locke’s time, being advanced by, for example, by Hugo Grotius and Pufendorf. Incidentally, Locke notes that a wife has a right to leave her husband (§82).

The society that develops from conjugal and kinship origins tends to posses commonly established laws and a judicature, as well as an adjudicating authority. All men are equal before the law, including those passing legislation. The created commonwealth then possesses the power, a power delegated to it by the citizens, to punish transgressors and external aggressors and to protect the property of its members. In removing themselves from the state of nature, men hand over the power to punish to the executive; but where the process of appeal is lacking, men remain – or at least their social relations remain – in the state of nature. When their property is not safe, then people cannot think themselves as being in a civil society.

The move towards a civil, law-abiding society, also shows why absolute monarchy is inconsistent with that society: “to think that Men are so foolish that they take care to avoid what mischiefs may be done them by Pole-Cats, or Foxes, but are content, nay think it Safety, to be devoured by Lions.” (The lion being the traditional symbol of kingship).

Chapter VIII
This chapter continues with the origins of political society. Community begins with consent, Locke argues, and this consent can only be majority consent, as universal consent is impossible to gain. Consent of the governed is the only justifiable form of government, but of course critics are going to ask for evidence for consensual government. Locke replies that the lack of evidence does not imply that early governments were not formed consensually, but because people were initially equal in the state of nature, it can be deduced that they consented to put rulers over and above them.

Indeed, Locke accepts that people historically converged onto monarchical forms of government, for he agrees that it would make sense to put political power into the hands of those they trusted or who were capable of ensuring the rule of peace; certainly such a government would reflect the natural disposition to look up to a male patriarch, but Locke is not bowing down to Filmer’s theoretical proposition that all government should be monarchical. Any power given to the government was given to secure the public good and safety and the defence of immature societies from external aggression, but once the legislators or executors of the law sought to use power for their own interests then it becomes vital for men to understand the origins of government and the limitations to its power, so that they may find methods to prevent such abuses of power.

A people are free to remove themselves from their government – that is, they are free to secede and to establish a new commonwealth if they see fit, for only an explicit promise or contract can put man into a society and, just as children upon reaching maturity are free to leave their parents, so too are men free to leave their society.

Chapter IX
Locke raises the question as to why a man may give up his freedom that he enjoys in the state of nature. He answers because that state is full of uncertainty and it is also exposed to aggression. The state of nature lacks established, known and settled laws, a known and indifferent judge, and the power to give a judge execution of the law. In the state of nature man has two powers – to preserve himself according to the Law of Nature and the power to punish criminals. In such a free state, all men are of one community making up a society distinct from the animals. “And were it not for the corruption, and vitiousness of degenerate Men, there would be no need of any other; no necessity that Men should separate from this great and natural Community, and by positive agreements combine into smaller and divided associations.” (§128) In other words, the few who seek to predate and to live by force, prompt people to form polities.

In joining a society, man gives up his power to protect himself to the laws of his society; he also gives up the power of punishing aggressors, and they do this “only with an intention in every one the better to preserve himself his Liberty and Property.” (§131). It could not be supposed that we would join a society to be made worse off.

Chapter X
What form a government takes depends on where the supreme (legislative) power is located.

Chapter XI
Legislative power is supreme but it ought not to be absolute or arbitrary. What power it should wield is limited to the powers that man possessed in the state of nature which should also be limited to serving the public good. It “can never have a right to destroy, enslave, or designedly impoverish the subjects.” (§135) Its laws must thus conform to the laws of nature and any use of arbitrary or absolute power, or indeed, operating without settled law, creates a situation worse than the state of nature. “For then Mankind will be in a far worse condition, than in the State of Nature, if they shall have armed one or a few Men with the joynt power of a Multitude. (§137).

The government cannot take a man’s property without his consent, and since governments need to raise taxes to finance themselves, they can only do so with the consent of the governed. “Hence it is a mistake to think, that the Supream or Legislative Power of any Commonwealth, can do what it will, and dispose of the Estates of the Subject arbitrarily, or take any part of them at pleasure.” (§137) The tendency of politicians is to think “themselves to have a distinct interest, from the rest of the Community; and so will apt to increase their own Riches and Power, by taking, what they think fit, from the People.” (§137) This last is a powerful statement, both of Locke’s cynical conception of power and the legitimate boundaries based on natural law that he envisages for governments.

Chapter XII
There is no need for the legislative to stand all the time (and in the following chapter Locke observes that if it meets frequently it can become dangerous or at least burdensome), but the executive power ought to be permanently in office to ensure that the laws are enforced.

Chapter XIII
The people have the right to alter the legislative; similarly, if the executive stops the legislative from sitting, it effectively declares war on the people (§155). Executive power is held wholly on trust and representation in the legislative should be equal (§157).

Chapter XIV
The executive may use powers of prerogative to ensure the smooth process of legislation, but it ought never to overstep its bounds. Locke observes that while good princes stay within their limitations, “the reigns of good princes have always been most dangerous to the liberties of their people” for developing a trust in their prerogative which is soon abused by the next generation.

Chapter XV.
Since nature does not give one man power over another, as all men are equal, that power can only be gained over those who wage unjust war upon the peaceful commonwealth. The aggressor forfeits his rights, for he acts like the beasts that society is formed to protect people from and therefore “renders himself liable to be destroied by the injur’d person and the rest of mankind, that will joyn with him in the execution of Justice.” (§172)

Chapter XVI.
Human history is certainly of war and conquest, however “many have mistaken the force of Arms, for the consent of the People … But Conquest is as far from setting up any Government as demolishing an House is from building a new one in the place … but, without the Consent of the people, can never erect a new one.” (§176) Aggressors in an unjust war cannot have rights over the conquered people; on the other hand, in fighting a just war, power can only be justifiably held over those who fought and not the innocents who did not partake in the fighting. Locke thus establishes strict just war code, strictly demarcating non-combatants from combatants, and also the property of conquered combatants and their dependents. “Conquerors, ’tis true, seldom trouble themselves to make the distinction, but they willingly permit the confusion of War to sweep altogether; but yet this alters not the Right.” (§179).

Chapter XVII.
In a note on usurpation, Locke apparently accepts the usurpation of power by another personality; it only becomes problematic when the usurper adds to his power.

Chapter XVIII.
Accordingly, tyranny is the exercise of power beyond normal rights; no one can have a right to that power and an unjust regime may thusly be opposed. “Tyranny is the exercise of Power beyond Right, which no Body can have a Right to.” (§199) If the laws do not protect me, I have a right to defend myself. “May the Commands then of a Prince be opposed?” Yes, when the Prince deploys unjust force (§204).

Chapter XIX.
A government is thus dissolved if it falls to a foreign power or if there is a civil war, when the government acts illegally or refuses the legislative to sit, or acts contrary to the trust put in it by the people. A people should not wait until the chains are put on them before they rebel.

6. Analysis of Locke’s Two Treatises

In this section, the reader’s attention is drawn to several issues that the Two Treatises raises. It is by no means exhaustive, indeed it is extremely fractional in comparison with the debates and problems the Two Treatises have provoked. Lockean scholarship has attracted and continues to generate hundreds of articles on the various aspects of his philosophy – property, rights, rebellion, women, trust, social contract theory, anarchy, toleration, etc., and here I can only touch on a few. References are to sections (§) within the Second Treatise unless noted.

a. State of Nature

Locke’s state of nature is often contrasted with that of Thomas Hobbes’s, with which he would have had some familiarity either through reading Hobbes’s Leviathan or Pufendorf’s critique of Hobbes. Hobbes’s vision of a world without government is one of a war of all against in all, in which each will seek to aggress opportunistically against his neighbour – violence and resulting fear are endemic to life in a world without political power. At §19, Locke compares his own vision with Hobbes’s, arguing that Hobbes has not distinguished between the state of nature and the state war. Nonetheless, Locke’s vision remains tainted with the fear of neighbourly mistrust and Hobbesian elements: rather than the majority being so disposed to violence or fraud, in Locke it is the “inconveniences” brought about by a minority that the majority seek to defend themselves against.

On the whole, Locke’s anarchic state of nature is a benevolent condition of anarchic individualism, rather than Hobbesian brutality and mutual suspicion, in which conscience guides actions and reason (reflecting the law of nature) highlights the wrongness and counter-productivity of aggressing against one’s neighbour. Those who do aggress thereby renounce their humanity and act worse than beasts and may justly be harshly dealt with.

So why leave this idyllic state? Locke falls back on the fears of his time – the absence of power produces “inconveniences” and the fear of civil tumult, and where there is no common set of laws and impartial adjudicators, the advantages of “perfect freedom and equality” are offset by the worries of aggression. Three inconveniences arise: a lack of knowledge of known laws, which creates informational costs involved in action if agents do not know, or disagree on, the particularities of the laws of nature that legislation seeks to reflect; secondly, the absence of power to execute laws, and hence the vulnerability of small groups or individuals being violated by aggressive, more numerous groups; thirdly, in the state of nature, the agent judges his own case and for Locke, people can not be trusted to judge impartially and hence require a government to adjudicate.

There are problems with each of these. Firstly, the lack of known laws does not stop agents from working together to produce a common framework without the state. The Law Merchant is a good example and could have been known to Locke – merchants trading across different governmental jurisdictions often find national laws highly awkward or inconsistent, so they seek their own forms of international law – independent of any political power. Secondly, a lack of executive power in the state of nature does not warrant a monopolisation of power, just as, on Lockean reasoning, the lack of property ownership does not warrant a government monopoly in property – an argument Locke rejected in Filmer’s Patriarcha. As private ownership develops, so too does the breadth of the services offered, and just as one family does not have to produce all of the goods they desire (bread, shelter, clothing), so it does not need to produce security services. Thirdly, while individuals may disagree on what may be the particularities of the law in a case of conflict of interests, it does not imply that all individuals will agree to accept the same arbitrator, i.e., put all adjudication services into the same hands or institution. In fact, by handing over arbitration to a single institution logically invalidates the reason for seeking arbitration – if the state possesses a monopoly on adjudication services, then to whom should individuals turn for arbitrating between the state and themselves? Locke is aware of the failure of governmental adjudication, for in §20, he recognises that “where an appeal to the Law … lies open, but the remedy is deny’d by a manifest perverting of Justice, … there it is hard to imagine any thing but a State of War. For wherever violence is used, and injury done, though by hands appointed to administer Justice, it is still violence and injury, however colour’d with the Name, Pretences, or Forms of Law…” But rather than counselling rebellion and a rejection of the only system of appeals a state offers, Locke shrugs and reminds his readers that “the only remedy in such Cases [is] an appeal to Heaven.”

What Locke does not consider is a world without political power – just as Filmer assumed that Adam’s creation gave him monarchical power and proprietorship over the world, so too Locke makes the same logical leap into accepting the need for power, and his reasons for justifying it – the three inconveniences – are as subject to criticism as Filmer’s justification of Adam’s power in the fact of his begetting children. Similarly, the free and equal society of the state of nature is arguably not rendered more efficient by consenting to be ruled by a single, albeit limited, power. Locke’s comment on the reign of good princes shows good perception – if the state appears to work efficiently, then it is more disposed to expanding its goodly services and thereby weakening or even destroying the very reason for its formation.

b. Reason and Violence

Reason teaches the maturing individual to respect others’ rights to their freedom and the extent to which an aggressor ought to be punished – “so far as reason and conscience dictate” (§8). Just as we have seen in his other writings, Locke’s moral absolutism and even Old Testament ethic resurface – murderers (§12) and thieves (§18) deserve death, for a man has a right to destroy that which threatens his life.

However, in §16, Locke’s definition of war, that it arises when declared by word or action and not a “hasty” or a “passionate” action – suggests that a crime de passion may be forgivable, yet it also raises the possibility that a declared act of war could be a very reasonable option for an aggressor; yet Locke insists that aggressors have, by the fact of initiating force, renounced reason, despite the implication of a cold and calculating, “sedate settled Design.” It is an apparent inconsistency which requires deeper consideration, for aggressors cannot be both lower than beasts, who are motivated by their appetite say, and be simultaneously of such a calculating mentality. At some point, a man’s reason could be said to bifurcate, with one branch producing rationalisations – excuses for initiating violence – and the other branch reflecting the laws of nature that man is free and must logically accept his neighbour’s right to be free and to live without interference.

An aggressor seeks to gain absolute control over the individual – over his life and his property, that is, he seeks to enslave him. Nothing, for Locke, can justify such a motive for that would “take away the Freedom, that belongs to any one in that State [of Nature].” (§17). Locke’s logical development of the framework is excellent – individuals possess the right of retaliation and defence against aggressors, who, by initiating force, thereby introduce a state of war, an unjustifiable condition of violence and inequality that leads to enslavement. But can a man be said to lose his rights if he aggresses against another? Hobbes was of the opinion that a man possessed an inalienable right to self-preservation, such that if he were to be executed (justly for murder say) he would still possess the right to flee. Locke’s asymmetrical conception of moral status presents problems that begin with the termination of an inalienable right to life.

This leads to Locke’s exposition of the nature of a just war.

c. Just War

Lockean war is judged primarily on the objective distinction between aggressor and defender: aggressors act without justice and defenders act with justice. But it should be noted that it is a necessary, but not sufficient, condition of Lockean just war that a party has been attacked. For although the initiation of force provides the objective criterion that distinguishes just from unjust acts, it is not a sufficient condition that may sustain a protracted defence of a country once it has fallen. Locke counsels patience (and prayer) for a defending side that has lost a just war.

But when the violence is over, both sides may subject themselves to “the fair determination of the Law” and agree to the appropriate conditions of reparation and penalty and deterrence from further aggression, but where no adjudicating body exists, then the state of war continues (§20). This may be read as a very Hobbesian view of international affairs, which is a popular conception (cf. Political Realism) that sees the lack of, or ineffectiveness of international bodies, as evidence of a presiding anarchy between nations – even in the absence of actual war, such a situation is still, on Lockean and Hobbesian reasoning characteristic of the state of nature.

The aggressor forfeits his own life and rights when he initiates force (§172) and sets up the rule of force as his standard. The defenders – the prosecutors of a just war – thus gain arbitrary and despotic power over soldiers captured in a just war. How long should such a right last for? Locke’s presumption of guilt suggests that a war crime (participating in an unjust war being sufficient) lasts for the lifetime of the soldier, which raises the question of forgiveness and amnesties and their applicability in Locke’s system. If we look at it from the position of victorious aggressors in an unjust war, Locke is adamant that they can “never come to have a right over the Conquered.” This surely implies that the guilty can never lose their guilt.

Whether a government or a villain commits aggression does not make any difference, Locke echoes the words of the philosophers reaching back through Aquinas, Augustine, and to Cicero. Yet what ought the unjustly defeated do? Remain patient, Locke counsels. Without proper redress against either a petty villain or an aggressive government, the citizen ought to persevere, for justice remains with God and aggressors will ultimately be judged there. Nonetheless, in the meantime, the conquerors in an unjust war have no title to the subjection and obedience of the conquered. Apparently, Locke again retreats to a Hobbesian position here – that the security of peace is to be preferred to the violence, uncertainty, and fears of war. Yet the defeated are entitled to survive – outward obedience to the regime may certainly be coupled with an inward conscientious disobedience. Anything extorted or taken from an individual by force, including promises and consent to obey, do not mean anything (§186). The shaking off an unjust force or rebellion against such masters “is no Offence before God” (§196).

On the other hand, the conquerors in a just war gain absolute power over those who raised arms against them in the first place – but there is no collective retribution permitted in Locke’s system. Those who did not fight – innocents, or in today’s parlance, non-combatants – do not lose any rights to the just conquerors. There must, accordingly, be a strict distinction between combatants and non-combatants, which reflects the just war conventions, but, as Locke admits, rarely in the history of war, conquerors “willingly permit[ting] the confusion of War to sweep altogether.” (§178-9) The right over the aggressors is perfectly despotic – that is, they may justly be put to death or enslaved, but that right does not extend to their property, for that property must also support the lives of those who did not bear arms. The conqueror has a right to reparation payments to “repair the damages he has sustained by the War”, but not beyond the aggressor’s estates, for that it would be robbery on the defender’s side to take more than that which covers his cost of war or to impose on the property of those who did not fight, such as his wife and children.

Self-defence against individuals or against states that infringe upon the fundament right to life, liberty, and property justifies defence. So to what extent can the Lockean state expand its jurisdiction? While its remit is ostensibly minimal or libertarian, other elements in Locke’s thinking suggest there are loopholes that may deemed utilitarian.

d. The Lockean State

The Lockean state is commissioned by a people to serve their interests in securing their rights to live peacefully. It opposes the organic Aristotelian conception of the state that perceives the state as the natural result of social growth – a development Locke agrees with but rejects the non-consensual characteristic of the Aristotelian state. The organic conception of the state collectivises the citizenry into a single body (a family ruled by the fatherly head as Filmer would perceive it), and thereby permits wielding the masses into directions the rulers see fit – ensuring that the collective as a whole survives and flourishes. We have seen that Locke’s conception of the state moves away from that of the ship and captain analogy to conceiving the state as an instrument whose sole purpose is to provide a secure framework for the life, property, and liberty of the people.

The organic conception is antithetical to the Lockean order. For Locke, government is no more than a tool that continuously depends on the consent of the people and must not violate the maximum conditions of securing peace and property – to do so is to violate the trust that is afforded the institution. It possesses no mystical nature of either a divine or a supernatural order, it is a mere prudential institution that can efficiently and effectively provide a better security service (though that is highly debatable – see above) than individuals working along in the natural state of freedom.

Political power is the power that every man in the state of nature possesses but which is given over to the society that they form: i.e., to the government set up to create an established and known set of laws, to arbitrate in disputes, and to preserve the life and property of its members. Locke’s vision is thusly of a minimal state whose justification can only be that of consent (§176). The state must not possess arbitrary, absolute powers over the lives and property of the civilians, yet its mandate must seek the public good and be democratic (that is, majority rule). This opens up issues.

First, historically, as Locke notes, “this Consent is little taken notice of: And therefore many have mistaken the force of Arms, for the consent of the people,” (§175). This does not undermine the theoretical justification of government – that it ought to be consensual, for earlier Locke stresses that adults have the right to secede from their present society to form a new one, therefore present occupation or de facto rule does not validate a government’s status. However, it does raise wonderfully intricate problems for any incumbent regime that oversteps its boundaries and initiates force against the people it is supposedly seeking to protect. It also tends to undermine the legitimacy of any regime not founded on consensual origins, as well as raises the question of how continual that consensus ought to be: should each generation renew its contract with its government body, and if it didn’t would that not undermine any legitimacy the government possessed? Or should implied consensus be an acceptable criterion of continual legitimisation of government – namely, the fact that a people do not seek to secede to migrate should be held as evidence of continued trust in their state?

Secondly, once government is justified, Locke’s particular political ethics demand that some people should not be part of the Commonwealth at all – Roman Catholics, atheists, and extreme religious sects should not be tolerated. Vagabonds and beggars are to be outlawed and pressed into government service (army or navy), and accordingly Locke argued for severe measures that would curtail a man’s freedom of movement, but what would the status of say, Roman Catholics, be in a Lockean state? If we take John Locke’s view – which was typical of many Protestant thinkers at the time (and indeed for the next hundred years) Catholics would be barred from enfranchisement – prohibited from attending political meetings or taking part in the political process; but if, on the other hand, we take the Lockean theory of the state and remove what can arguably considered as the incidental prejudices of the man and his time, then it is much more difficult to sustain a strong denial of freedom to those who would be intolerant of freedom. If a man’s conscience is to be free from interference, then so too must his freedom to express himself on his own land, say. The argument develops accordingly: may I possess the right to espouse treason in my own home, but not as a member of a public body? Or is it more the case that I can express what theories I care to, as long as the consequences of those speeches do not undermine the peaceful and Commonwealth? Locke remained intolerant of those who would overthrow a peaceful settlement, but that demands we look closer at the nature of peaceful settlements. The Glorious Revolution was bloodless in England, but not in Scotland or Ireland, and the inhabitants there saw the accession of William III through different eyes to their English contemporaries. Nevertheless, Lockean theory implies that we seek out objective distinctions rather than subjectively held differences – does the new regime uphold peace, property, and liberty, or does it strain to abuse power for its own ends. That remains the deciding argument for the Lockean, even though the details may be difficult to ascertain in practice.

e. Property

Much of Locke’s thesis depends on the status of property – that a man initially owns himself and then owns that with which he mixes his labour. It is a powerful theory and one that goes a long way in justifying private property both on utilitarian grounds that it creates wealth and on moral grounds. The Lockean conception of the state, as we have seen above, depends greatly on the role of property – the relationship between the two topics being difficult to disentangle. But let’s look more closely at what Locke says about property and some of the issues that arise.

In the state of nature, everything is commonly owned; but as God gave man senses and reason to use for his preservation and reproduction, that which he removes out of the state of nature with his own hands becomes his property – and this is natural and just. The fact that a man labours to pick fruit or till the soil presents the distinguishing characteristic of private versus commonly held property. There is no need for any consent to be given by his comrades living in the state of nature, indeed awaiting that consent may mean he starves! (§28). “The labour that was mine, removing them out of that common state they were in, hath fixed my Property in them.”

But take a river from which a man draws water. The water in his pitcher is necessarily his – by virtue of his labouring to retrieve it; however, the water remains in common ownership. Any game in the wild is owned by all, until the hunter marks it for the chase, upon which the hare or the deer begins to become his property (§30). Locke deals with the first objection that if a man, with his labour, manages to secure vast resources, but there are brakes on such an engrossment.

Firstly, Christian morality demands that a man take from nature that which is for his enjoyment, “as much as any one can make use of to any advantage of life before it spoils … whatever is beyond this, is more than his share, and belongs to others. Nothing was made by God for Man to spoil or destroy.” (§31). While human population was small, there was of course enough resources to go around, but with the increase in numbers, pressures are put on Locke’s proviso (ably examined in Robert Nozick’s Anarchy, State, and Utopia) that enough be left for others. While in England further enclosures would require the “consent of Fellow-Commoners”; nevertheless, enough vacant land was available to permit a doubling of the population and still permit enough to left over for others if every man sought to make use. Arguably, against present (21stC) misconceptions of man’s imprint on the globe, most of the earth is relatively under-populated by humans, yet governments have created severe barriers to the free migration of peoples to under-populated (and high wage) lands, something the Lockean would reject as abrogating the common land into the government’s hands yet not dispersing it to those who would (or actually do) mix their labour with it. Indeed, Locke favoured free migration as the quickest means to increase a nation’s wealth through the ensuing expansion of trade and markets. “You may therefore safely open your doors, and a freedom to them to settle here being secure of this advantage that you have the profit of all their labour …” (FGN).

As men settle down, Locke continues, they needed to delineate their titles to the land, a pressure that gathers as a population increases. Nonetheless, in the early state of ownership, a man’s title to the land depends on his continual cultivation of it (§38). If he lets his grass rot, or his fruit perish, then his enclosure reverts back to wasteland – i.e., common ownership, and hence to be available for another to cultivate. But once land is taken under private ownership, its productivity increases and a man can sell its surplus; in turn, economic growth causes a population to grow, and thereby the value of cultivated land increases. The introduction of money also permits a man to hold his profit in the form of coin, which does not waste, and thereby enables him (justly) to increase his wealth. The advance of private property, tempered with Christian charitable considerations, is inherently virtuous. But should the advancement resulting from enclosure be encouraged or even forced?

Some, for example, may read in Locke the right to take commonly held, uncultivated lands off the peoples that reside on them and who yet do not exploit them well, and certainly there is evidence that Locke would support such an enterprise (§45: “there are still great tracts of Land to be found which (the Inhabitants thereof not having joyned with the rest of Mankind, in the consent of the Use of their common Money) lie waste, and are more than the People, who dwell on it, do, or can make use of, and so still lie in common.” As an applied example of this Lockean problem, we may refer to an enterprise that forged the westward expansion of the United States. The fact that much of Indian territory was uncultivated could, on Lockean, grounds justify Abraham Lincoln’s Homestead Act of 1862 promoting the mixing of “Industrious and Rational” labour with the land to promote settlement, the expansion of the commonwealth and economic growth, for the “taking of this or that part, does not depend on the express consent of all the Commoners” (§28); alternatively, it could equally support the 1763 Proclamation of King George III accepting the land rights of the native Indians and prohibiting further European settlement of their land.

The initial Northwest Ordinance (1787) stipulated in very Lockean language, “The utmost good faith shall always be observed toward the Indians, their lands and property shall never be taken from them without their consent; and in their property, rights, and liberty, they shall never be invaded or disturbed, unless in just and lawful wars authorized by congress; but laws founded in justice and humanity shall from time to time be made, for preventing wrongs being done to them, and for preserving peace and friendship with them.” However, between 1830 and 1870 the US Government pushed for a policy of annexation and enforced migration that is far removed from anything John Locke would have condoned, but which has left Lockean scholars debating the nature and extent of the injustice perpetrated and the potential reparations due, a debate that gained momentum in the 1960s and which, in academic circles, now extends to other parts of the world in which unjust aggression has caused a population displacement or violation of a people.

From a standard reading of Locke, his theory supports the right of the original inhabitants’ entitlement of their land. “the Inhabitants of any Countrey [sic], who are descended, and derive a Title to their Estates from those, who are subdued, and had a Government forced upon them against their free consents, retain a Right to the Possession of their Ancestors, though they consent not freely to the Government, whose hard Conditions were by force imposed on the Possessors of that Country.” Since much of human history involves conquest, the extent of lands held unjustly are vast and the application of Lockean theory to explore potential solutions becomes consequently cumbersome. To what period of time can the original settlers of a land refer back to in establishing their primary proprietorship?

In the immediate aftermath of Locke’s publication of the Two Treatises his friend and Member of the Irish Parliament, William Molyneux, published The Case of Ireland, a defence of Irish nationalism in the face of British control. Locke refused to admit he had written the Two Treatises to Molyneux, who came to stay with Locke. Nothing is known of their conversation, but Molyneux’s work echoed the principles of the Two Treatises, but the House of Lords took umbrage and had the book burned. It is unclear what Locke’s response would have been, for Molyneux’s argument logically included the native Catholic population (as well as its Protestants) in the right to run Ireland. As Dunn notes, Locke may have favoured Catholic rule for Catholic nations far from the British Isles, but he could not approve of Catholic rule within the British jurisdiction. Molyneux’s Lockean arguments seeped through to the North American colonies and to Otis and Jefferson and eventually culminated in the American Revolution.

7. References and Further Reading

This article touches on the main political issues that emanate from Locke’s writings. It is highly advisable for the student to return again and again to Locke’s original works, where the depth and breadth of the philosopher’s thoughts can be better appreciated. The library of secondary literature (books and journals) is immense and growing – Locke has certainly has had an effective impact on political philosophy and new readers of his works can always add something to Lockean scholarship.

  • Locke, John. Two Treatises of Government. Cambridge Texts in the History of Political Thought. Ed. Peter Laslett. CUP: Cambridge, 1997.
  • Locke, John. Political Writings. Cambridge Texts in the History of Political Thought.Ed. Mark Goldie. CUP: Cambridge, 2002.
  • Locke, John. “Two Tracts on Government.” In Political Writings. Cambridge Texts in the History of Political Thought. Ed. Mark Goldie. CUP: Cambridge, 2002.
  • Locke, John. “Essay on the Law of Nature.” In Political Writings. Cambridge Texts in the History of Political Thought. Ed. Mark Goldie. CUP: Cambridge, 2002.

a. Abbreviations used

At: Atlantis, in Political Writings.
CEP: Civil and Ecclesiastical Power in Political Writings
EPL: Essay on the Poor Law in Political Writings
FCC: Fundamental Constitution of Carolina (*) in Political Writings
FGN: For a General Naturalisation (1693), in Political Writings.
FT: First Tract on Government (also known as the English Tract), in Political Writings.
OSP: On Samuel Parker (1669-70), in Political Writings
R: Reputation (1678) in Political Writings
Tb: Toleration B (1676) in Political Writings
V: Verses on Cromwell and King Charles II’s Restoration, in Political Writings.

b. Secondary Sources

  • Aaron, Richard I. John Locke. Encyclopedia Britannica. CD-ROM, 2001.
  • Copleston, Frederick. A History of Philosophy: Volume V. Image Books, New York, 1994.
  • Cox, R.H. Locke on War and Peace. OUP: Oxford, 1960.
  • Dunn, John. John: A Very Short Introduction. OUP: Oxford, 2003.
  • Harris, Ian. The Mind of John Locke. CUP: Cambridge, 1994. An excellent contextual analysis of the political and religious mindset of Locke’s Britain.
  • Laslett, Peter. “Introduction.” In Two Treatises of Government. CUP: Cambridge, 1997, pp.3-133.

Author Information

Alexander Moseley
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United Kingdom

Moral Epistemology

Can we ever know that it’s wrong to torture innocent children? More generally, can we ever know, or at least have some justification for believing, whether anything is morally right or wrong, just or unjust, virtuous or vicious, noble or base, good or bad? Most of us make moral judgments every day; so most of us would like to think so. But how is such knowledge, or justification, possible? We do not seem to simply perceive moral truth, as we perceive the truth that there is a computer screen before us. We do not seem to simply understand it, as we understand that all roosters are male. And we do not seem to simply feel it, as we feel a bit hungry right now. Moral epistemology explores this problem about knowledge and justification.

First, this article explores the traditional approaches to the problem: foundationalist theories, coherentist theories, and contextualist theories. Then the article explores the non-traditional approaches: reliabilist theories, noncognitivist theories, ideal decision theories, and politicized theories. The article concludes with an introduction to naturalizing moral epistemology and to some relevant issues in metaethics.

Table of Contents

  1. Classifying Theories of Moral Epistemology
  2. Traditional Approaches
    1. Foundationalist Theories
    2. Coherentist Theories
    3. Contextualist Theories
    4. Traditional Skepticism
  3. Non-Traditional Approaches
    1. Reliabilist Theories
    2. Noncognitivist Theories
    3. Ideal Decision Theories
    4. Politicized Theories
  4. Can Moral Epistemology Be Naturalized?
  5. Moral Epistemology & Metaethics
  6. References and Further Reading

1. Classifying Theories of Moral Epistemology

Below we introduce moral epistemology in terms of eight theories of moral epistemology. We divide these in half by distinguishing traditional from non-traditional approaches. By “traditional” we intend something more precise than just “old school.” So we launch our discussion of traditional approaches by defining our sense of “traditional.”

We conclude with two more detailed discussions. First, we introduce a moral epistemic debate of considerable recent importance, the debate about whether moral epistemology can be naturalized (roughly, moved in the direction of becoming scientific). Second, we discuss moral epistemology’s broader context as a subfield of metaethics (roughly, the part of ethical theory that examines the deepest assumptions behind our moral thought); we use this final discussion to introduce the problem of what the objects of moral knowledge could be.

2. Traditional Approaches

Foundationalist theories, coherentist theories, and contextualist theories represent the traditional approaches to moral epistemology. Reliabilist theories, noncognitivist theories, ideal decision theories, and politicized theories represent non-traditional approaches. By an approach to moral epistemology, we mean either (a) an attempt to explain how we can have moral knowledge, or at least justified moral beliefs, or (b) an attempt to argue that we cannot have one or both of these. The former are more or less non-skeptical, and the latter are more or less skeptical, approaches. This allows non-skeptical and skeptical approaches to compromise at the point of saying that we can have some justification for believing, but not knowledge of, some moral truths.

Approaches to moral epistemology are traditional only if they are committed to all of the following five (two moral and three epistemic) assumptions:

     

  1. [Moral] Cognitivism: we have moral beliefs, and thus moral belief contents that are either true or false (but not both true and false).
  2. [Moral] Realism: there are moral facts that can correspond to what moral claims represent as being the case, such as facts about the goodness or badness of people or the rightness or wrongness of their actions.
  3. [Epistemic] The Necessity of Justified True Belief: If someone knows something, then at the very least one is justified in believing it; and it is true; and one believes it. If one is justified in believing it, then one has a decisively good reason to believe it, a reason that makes one epistemically responsible in believing it.
  4. [Epistemic] Internalism: In order to be justified in believing something and therefore in order to know it, one must have in mind the factors that reasonably ground one’s right to believe it. The strongest internalist theories demand that these factors be immediately in mind, whereas the milder internalist theories demand only that they be available upon reflection. This seems to imply that one must possess (without any need for further experience or research) the grounds of good answers to all kinds of skeptics in order to be justified in believing something. However, it perhaps does not imply that one can recognize all of those reasons as such or that one can effectively articulate them.
  5. [Epistemic] The Priority of Epistemic Structure: Theories of justification must also be theories of the structure of justification in response to the regress problem, which is discussed in the section on Traditional Skepticism.

a. Foundationalist Theories

According to foundationalism, all justified beliefs are either foundational or derived. Foundational beliefs or basic beliefs possess noninferential justification; derived beliefs do not. A foundational belief does not owe its justification to logical inference from other justified beliefs. A derived belief gets its justification through inference, either directly or indirectly, from foundational beliefs.

Where can we get noninferential justification for our foundational beliefs? This is one of the most difficult questions for any foundationalist theory. The two most common answers are experience (for instance, sense perception or introspection) and reason (for instance, grasp of the self-evident through understanding). Most foundationalist moral epistemic theories go for one or the other, or some blend, of these two very general answers. The two following sorts of theories are usually conceived in foundationalist terms.

Moral Sense Theories assert the existence of a uniquely moral sense by which we perceive rightness or wrongness. According to early Scottish versions of this theory, such as those of Frances Hutcheson ([1725]) and David Hume ([1740]), the perception in question is reflexive, grounded in a kind of sentiment or feeling, which is secondary to, and attendant upon, perceiving actions or states of affairs with our ordinary senses. Sometimes moral sense theories are described as intuitionist theories; more often “intuitionism” is used only for the following.

Moral Epistemic Intuitionist theories imply that we can non-perceptually recognize some moral truths in a way that can noninferentially justify us in believing them. According to W. D. Ross, who defended perhaps the most influential classical version of the theory, some moral propositions are self-evident, so that merely understanding them produces, at least in the best people, justification for believing them. His main examples are mid-level moral generalizations such as, ‘I have a prima facie duty (an unless-overridden-by-a-stronger-duty, duty) to keep my promises’. Ross’s intuitionism is rationalist: it grounds foundational justification for moral beliefs in a rational grasp of the self-evident ([1930]; 1936). Some intuitionist theories are less obviously rationalist. For instance, A. C. Ewing thought that we have a unique ability to detect “fittingness” in responses to circumstances, which is neither as straightforwardly rationalist as Rossian intuition nor as similar to sense perception as a moral sense theory would require (1949). Most historical moral and epistemic theories imply some form of intuitionism, and even the most radical departures from tradition. For instance, some naturalized moral epistemologies claim strong analogies with intuitionism. Some writers who have recently defended versions of moral epistemic intuitionism are Robert Audi (1997, 2004), Jonathan Dancy (1993), Brad Hooker (2000), and David McNaughton (2000).

b. Coherentist Theories

According to coherentism, all justified beliefs are inferentially justified; there are no foundational beliefs. Instead, what justifies us in holding beliefs are their relations of mutual support, that is, their coherence. Justification therefore accrues to beliefs only in virtue of their membership in coherent sets, and so cannot be assessed when beliefs are evaluated singly. Coherence itself is usually taken to be, at a minimum, logical consistency. Many coherentists argue that it requires not only logical consistency, but also explanatory potency or predictive value, similar to what good scientific theories exhibit.

The most important conception of coherence in recent moral epistemology is called reflective equilibrium. John Rawls is largely responsible for the contemporary importance of this conception. He proposed it in the context of arguing for his even more famous contractarian theory of justice; but as a moral epistemic idea, we can consider it apart from that context. According to Rawls, one achieves reflective equilibrium (narrowly conceived) when, and only when, one has brought all of her judgments about the rightness or wrongness of particular actions into ultimate harmony with all of one’s judgments about what it is generally or universally right or wrong to do. Reflective equilibrium is a moral epistemic ideal: Rawls does not suggest that anyone has achieved or will achieve it. Nevertheless, he thinks that one is more or less justified in holding the moral beliefs one does happen to hold according to, and in virtue of, the extent to which she approaches reflective equilibrium (1971: 48-51). Reflective equilibrium is a kind of epistemic balance across levels of generality, achieved by facing and resolving conflicts between particular and general moral beliefs by means that are supposed to sort themselves out in the long run.

Some coherentist moral epistemologists, such as Geoffrey Sayre-McCord, argue that a broader conception of reflective equilibrium, which includes balance among not only our moral beliefs but also our non-moral beliefs. For instance, Sayre-McCord thinks the broader conception is better because requiring consistency between our moral and our non-moral beliefs is likely to rule out perverse but coherent sets of moral beliefs (1996: 166-70).

c. Contextualist Theories

Among close family I take for granted certain moral beliefs that I would be hard-pressed to defend at a meeting of my philosophical colleagues. Concerning the maintenance of my car, I take for granted many things that I would not take for granted if it were a passenger jet. Epistemic contextualism seems to vindicate such practices. It is the view that justified beliefs can owe their justifications to beliefs that are (even if not justified) not in need of justification under the circumstances. Beliefs not in need of justification under the circumstances are contextually basic. Which beliefs are contextually basic in a given context depends on the sorts of considerations raised in our examples above: Who am I talking to?, How serious is it if I am wrong?, and so forth

Mark Timmons is a recent moral epistemic contextualist. He argues for a context-dependent conception of epistemic responsibility that he thinks supports (epistemic) contextualism especially well in the case of moral beliefs. In actual practice, what constitutes epistemic responsibility—for example, checking such and such counterpossibilities before believing—varies according to context. In the moral case, people are especially prone to take for granted, and thus take to be epistemically responsible, certain mid-level moral generalizations (of the sort W. D. Ross thought are intuitive) that pass current in their contexts. These thus tend to serve as contextually basic in moral belief (Timmons, 1996). Of course, how much real epistemic justification one can get by extrapolating from his epistemically responsible (even if not justified) beliefs can vary according to the truth of those beliefs. For instance, Nazis extrapolating from their peculiar, shared, anti-Semitic beliefs can get very little epistemic justification. After all, one can take the conception of epistemic justification that is accepted in one’s context to be epistemically significant when it is not, just as one can (in the arguably more idealized, less realistic, foundationalist and coherentist cases) take one’s beliefs to be foundational or coherent when they are not.

d. Traditional Skepticism

Each broad theory-type above is, among other things, an attempt to solve a particular skeptical problem: the regress problem of justification. The problem can be presented in the form of an argument for a general, and not specifically moral, epistemic skepticism:

  1. If all justified beliefs owe their justifications via inference to other justified beliefs, then each justified belief owes its justification to other justified beliefs which owe their justifications to still further justified beliefs, and so on. Such chains of epistemic dependence must either
    1. never end, and thus form infinite regresses of justified beliefs, or
    2. end only when the chains form closed circles.
  2. All justified beliefs owe their justifications (via inference) to other justified beliefs.
  3. So all justified beliefs owe their justifications to chains of epistemic dependence of type (a) or type (b).
  4. But, if (3), then human beings can have no justified beliefs because
    1. human beings have finite minds and are thus incapable of possessing chains of epistemic dependence of type (a);
    2. chains of epistemic dependence of type (b) add up to, at best, circular arguments; circular arguments are never good reasons to believe; so allegedly justified beliefs that fall into type (b) dependence are not really justified.
  5. Hence, human beings can have no justified beliefs.

The apparent seriousness of this problem, combined with epistemic internalism’s demand that we face it head on, leads to the “priority of epistemic structure” assumption that is essential to traditional approaches. Foundationalism and contextualism try to defeat the regress argument by offering alternatives to premise (2). Coherentism tries to defeat it by offering holistic alternatives to the linear conception of epistemic dependence at work in premises (1) and (4).

To accept the soundness of the regress argument is to become a general, extreme kind of epistemic skeptic: it is to accept that we can have no justified beliefs and, thus, no knowledge. Such general, extreme epistemic skepticism is rare. Moral epistemic skepticism, on the other hand, is relatively common. It takes either weak or strong forms. According to weak (moral epistemic) skeptical theories, we can have justification for moral beliefs but we cannot have moral knowledge: the kinds or degrees of justification involved are too weak for knowledge. According to strong skeptical theories, we cannot even have justified moral beliefs.

At least one recent, strong moral epistemic skeptic is traditional (in our sense). Walter Sinnott-Armstrong thinks that the regress argument is sound, so long as by “beliefs” we mean “moral beliefs.” Perhaps, for instance, foundationalism is a good response to the regress problem in the case of our empirical—such as our perceptual—beliefs. In any case, he does not think that foundationalism works for moral beliefs. There are no good grounds, he argues, for accepting that we have a faculty that justifies foundational moral beliefs. Every attempt to argue that we do is essentially a form of dogmatism. It is an attempt to strongly insist on our most cherished moral beliefs in order to avoid having to defend them. Coherentism and contextualism fare even worse on Sinnott-Armstrong’s appraisal. They are not even viable as general epistemologies. No matter how coherent a set of beliefs is, there are any number of equally coherent sets that are inconsistent with it. So coherentism fails to explain how beliefs, in general, can be justified. Contextualists confuse mere persuasion with argument: for example, my ability to get you to agree to certain assumptions, and thus make them contextually basic, simply has no bearing on whether they are likely to be true, and, so, on whether we are justified in believing them (Sinnott-Armstrong,1996).

3. Non-Traditional Approaches

For various reasons, many philosophers reject one or more of the essential assumptions of traditional moral epistemology. Below we briefly introduce four sample kinds of non-traditional approaches. Unlike foundationalism, coherentism, and contextualism, these theories are all potentially compatible. There could be a reliabilist, noncognitivist, ideal-decision-based, politicized theory. Some of these are even, in the end, compatible with traditional theories (or close analogues of traditional theories). They all, however, reject one or more of the traditional assumptions as starting points.

a. Reliabilist Theories

I am probably average in my ability to correctly recognize dollar bills. Yet I am also, sadly, average in my lack of understanding of the complex physical, economic, sociological, and political conditions that make dollar bills be dollar bills. Somehow I nevertheless reliably recognize and daily form practically successful beliefs about dollar bills. If I am ever justified in believing that ‘here is a dollar bill’, I do not have in mind, and am not even capable of calling to mind without further research, all of the factors that make my belief true or that would justify it. Thus I cannot be justified, if traditional epistemic internalism is right, in believing that ‘here is a dollar bill’, despite my dollar-bill-reliability. David Copp (2000), the reliabilist moral epistemologist whose example this is, wants us to see that the traditional internalist outcome seems preposterous.

Of course I am justified in believing in many cases that ‘here is a dollar bill.’ So traditional epistemic internalism must be false. It is false because, Copp thinks, it is the reliability, or lack of reliability, of the processes by which we form beliefs that justifies, or fails to justify, our beliefs; not, as epistemic internalists insist, our deep skeptic-proof insight into their truth conditions. Whether we perceive, understand, or can even recognize, how such processes are reliable in us, as epistemic internalism demands, is beside the point.

Copp proposes and defends an anti-internalist, that is, externalist, moral epistemology. He argues that we (or at least the best of us) have a reliable moral sensitivity, much as we have a reliable dollar bill sensitivity. Our relevant moral sensitivity is made up of a certain combination of (i) a heightened tendency to notice morally relevant features of a situation, such as the pain produced by burning a cat alive and the much less morally significant enjoyment that doing this might bring to a gang of thugs; (ii) a reliable tendency to draw correct moral conclusions from these features, such as the conclusion that burning the cat, under the circumstances, is morally reprehensible; and (iii) a reliable tendency to be motivated in a morally appropriate way, such as being motivated to do something, if feasible, to prevent the thugs from burning the cat alive (2000; 55-58). We can, as ethical theorists do, legitimately struggle towards the exactly right combination of (i) – (iii). However we need not understand how they are connected with truth—a highly complicated matter of societal norms that appropriately arise from societies’ struggles to meet their “needs,” according to Copp—in order for our combinations of (i) – (iii) to justify our moral beliefs (1995). We need only have combinations that reliably produce true beliefs in us, in order for our (thus produced) moral beliefs to be justified.

b. Noncognitivist Theories

In his provocative attack on traditional, speculative philosophy, Language, Truth, and Logic, A. J. Ayer wrote ([1936]: 107):

…if I say to someone, “You acted wrongly in stealing that money,” I am not stating anything more than if I had simply said, “You stole that money.” In adding that this action is wrong I am not making any further statement about it. I am simply evincing my moral disapproval of it.

According to Ayer, moral language merely expresses emotion just as “a peculiar tone of horror” or “special exclamation marks” express feelings. It does not make claims: it has no content of a sort that can be true or false. Hence [moral] cognitivism—an essential ingredient of traditional moral epistemology—is false. So, the whole enterprise of moral epistemology, that is, the study of moral knowledge, is doomed from the start: there cannot be moral beliefs or truths, and because there cannot be justified true moral beliefs, there cannot be moral knowledge.

Ayer, however, does not mean to entirely relegate the concerns of moral epistemology to the dustbin. He only means to demote them. We can accept noncognitivism and still argue that some moral feelings are more reasonable or appropriate to given kinds of circumstances than others. We can have more or less justification (although not epistemic justification) for having, or tending to have, certain moral attitudes. We can thus have better and worse moral theories.

While we might think that noncognitivism degrades ethics too much by disconnecting it from the promise of truth, we might appreciate that it allows us to non-skeptically avoid a host of messy ethical and epistemic problems associated with moral realism. According to moral realism, moral claims represent the world as being thus and so; they are true when the world really is thus and so and false when it is not. It is hard to say for moral claims, however, what “thus and so” is supposed to be. Also, the very idea that moral “claims” represent the world as being a certain way is a suspect idea. It suggests that moral talk aims, like perceptual talk, at describing. But moral talk does not seem to aim at describing; it seems to aim at prescribing. Arguably, noncognitivism can make better sense of this than realism. Noncognitivism conceives moral talk as projecting moral emotion (Ayer, [1936]) or prescription (Hare, 1989) onto a perhaps otherwise indifferent world, rather than as representing the moral features of a world which contains no moral features.

Two especially influential recent noncognitivist theories are Simon Blackburn’s “quasi-realism” and Allan Gibbard’s “norm expressivism.” Blackburn’s quasi-realism combines an account of moral value as projected value with a sophisticated attempt to vindicate the rationality of certain indispensable (to moral discourse) practices that treat moral talk as if it were cognitive (1996; 1998). Gibbard’s norm-expressivism claims that moral judgment is a species of rationality judgment constituted by expressive, as opposed to cognitive, acceptance of norms or rules that determine in the moral case whether actions are forbidden, permitted, or required (1990).

c. Ideal Decision Theories

Ideal decision theories ascribe special philosophical importance to the moral decisions of idealized persons who decide under idealized circumstances. Only some ideal decision theories are moral epistemic theories (others are non-epistemic, for example, ethical or metaethical theories), and only some of those offer whole approaches to moral epistemology. Contractarianism and the sort of approach that Richard Brandt proposes are two ideal decision theories that are sometimes conceived as whole approaches to moral epistemology.

Contractarian theories seek to ratify moral claims by appeal to the agreement of fully rational, non-biased, well-informed people in real or, more often, imagined circumstances. For instance, John Rawls famously argued that principles of justice are morally binding on members of a society if and only if they would be unanimously agreed to by rational, relevantly-well-informed people in what he calls the “original position.” The original position is an imaginary situation walled off by a “veil of ignorance,” which prevents knowledge of the particular, personal features that engender biases, such as our sexes, ages, races, special tastes, talents, handicaps, or developed moral, political, or religious outlooks. Rawls, however, was a traditional coherentist when it came to moral epistemology. He did not view his contractarian decision procedure as either an ethical theory or a moral epistemology, but rather as a way of generating authoritative principles of justice that would dovetail with the best ethical theory and the best moral epistemology (1971).

Nevertheless, others have proposed and defended contractarian theories as ethical theories and/or moral epistemologies. For instance, a contractarian ethical theory might hold that actions are morally permissible if and only if they would not be rejected in something like Rawls’s original position. Some contractarian moral epistemologists think that discerning that a moral claim would be endorsed in something like the original position can justify someone in believing it (Gauthier, 1986; Morris, 1996). Although Rawls did not hold this view, he did see his method as a kind of access to deep facts about rationality itself, facts of the sort that his more traditional moral epistemology finds ultimately decisive.

Richard Brandt suggests a different, but related, ideal decision theory. A way to demonstrate the validity of a moral system is

…to show persons that if they were factually fully informed they would want a certain sort of moral system for the whole society in which they expect to live. (1996: 207-08)

This by no means makes moral knowledge easy to come by. But it does put it on the same sort of footing as our other knowledge, since all of our other knowledge is presumably about what the facts are, and to make a claim about what the facts are is to imply something about what it is like to be fully factually informed.

d. Politicized Theories

Most recent politicized theories are feminist theories. The very idea of feminist epistemology strikes many as a mistake. What could be more impartial, and less open to political interpretation, than standards of knowledge or justified belief? We may as well talk about feminist radio repair. However, feminist epistemologists often see the very mistake they want to address in such a response. This impartiality, or pretense of impartiality, in traditional epistemology blinds it to relevant information or standpoints of oppressed classes, such as women; or at least to the narrowness and biases that it is likely to have since its assumptions, methods, and so on were conceived and developed by socially privileged white men.

Anatole France ([1894]) famously wrote: “The law, in its majestic equality, forbids the rich, as well as the poor, to sleep under bridges, to beg in the streets, and to steal bread.” His irony is Marxist: Marx thought that the impartiality of laws can blind us to the very partialities they are designed to promote. Similarly, many feminist epistemologists argue that the alleged impartiality of traditional theories of justification or knowledge can blind us to the views of the world, and perhaps in particular the moral views of the world, they are designed to promote. Foundationalism, for instance, which looks on the surface like a logically motivated response to the regress problem of justification, has been considered to be just a method for vindicating the basic tenets of the foundationalist’s world view, whatever those happen to be.

What is it that white-male-dominated, traditional moral epistemology has missed? Let’s consider three kinds of feminist answers. (1) Susan Harding (1986) argues that the epistemic standpoints, that is, perspectives from which we collect evidence, of oppressed classes are epistemically better, that is, more likely to produce true beliefs, than the epistemic standpoints of oppressor classes, especially concerning the oppressor classes’ biases. For instance, an antebellum plantation owner would miss much that would be readily apparent to his lowliest slaves. For many topics, including moral ones, he is likely to live on some sort of epistemic Cloud Nine . (2) Traditional epistemology builds its misleading impartiality on taking knowledge to be an individual, rather than a community, activity. In fact, as the relative success of science illustrates, real knowing is a community activity: its body of knowledge improves only by surviving attempts by communities to refute it. By wrongly conceiving knowledge as an individual activity, traditional epistemology merely codifies the individual biases, including sexisms, of its conceivers. (3) Traditional epistemology is non-naturalized. So, it conceives actual knowledge-ascription or justification-ascription practices as mere subjects of epistemic evaluation, never as raw material upon which to base epistemic principles. Once we reverse this trend, and go in for naturalized epistemologies (see below), we can regard the actual social and linguistic circumstances of knowledge ascriptions as starting points. Once we do that, we can have, at best, only half of a good moral epistemic theory if we ignore the special moral epistemic practices, concerns, and paradigms provided by women (as traditional moral epistemology arguably has). Feminist moral epistemologists, such as Margaret Urban Walker (1996) and Lorraine Code (2000), have been leaders in the effort to naturalize moral epistemology.

4. Can Moral Epistemology Be Naturalized?

To naturalize a philosophical subject is to somehow bring it under the purview of natural science. What this means is controversial; but it is usually thought to involve both substantial and methodological projects. Substantially, it involves attempting to confine theories to existence claims that science countenances, or could eventually countenance. Methodologically, it involves attempting to limit philosophical inquiry to methods whose validity science can, or could eventually, vindicate.

There is nothing new about attempts to affect substantial naturalization in ethics. Over two centuries ago, Jeremy Bentham ([1781]) tried to conceive moral claims as substantially about quantities of pleasure and pain, and thus as about something that might be scientifically modeled and studied. Efforts to naturalize episstemology are a more recent phenomenon, with a more methodological focus. The naturalized epistemology movement was launched by W. V. Quine (1969), who rejected the traditional epistemological project of trying to discover, through conceptual analysis, skeptic-proof, a priori conditions for knowledge or justification. He proposed, instead, that epistemology be reconceived as a branch of empirical psychology. Many of his followers propose less radical reforms. What they have in common is that they reject a fully traditional approach in favor of “…an anti-skeptical, or at least non-skeptical, empirically informed investigation of the grounds of knowledge” (Copp, 2000: 39).

The effort to naturalize moral epistemology is even more recent. Most attempts take one or more of three forms: reliabilism, feminism, and scientism (or so we will call it). Below, we say a bit about each of these and introduce two objections that naturalized moral epistemologists strive to overcome.

Some epistemic reliabilists try to naturalize epistemology, in general, by identifying epistemic justification with observable and measurable consequences: such as facts about the reliability of the various processes by which we arrive at beliefs (for example, Goldman, 1994). Their rejection of traditional epistemic internalism makes room for an anti-skeptical stance by allowing justification and even knowledge in the absence of answers to traditional skeptical problems like the regress problem. David Copp (2000), whose moral epistemic reliabilism we sketched above, conceives his reliabilism as a naturalized moral epistemology, and defends it against several objections, including those we mention below.

Feminists stand to gain from naturalized moral epistemology room to urge the relevance of their various empirical critiques of the impartiality of traditional ethics and epistemology. The traditional pretense of impartiality in epistemology was largely upheld by the traditional conception of epistemology as only susceptible to a priori investigation. Naturalized moral epistemology opens the door to, and can even privilege, the sorts of psychological and sociological facts that feminist moral epistemologists seek to call attention to.

Theories that promote scientism propose and evaluate moral epistemic theories on the basis of current scientific theory, such as current sociology, psychology, artificial intelligence, and neuroscience. For instance, Paul Churchland (2000) tries to reconceive moral epistemology so that moral knowledge has much less to do with the truth of general moral and epistemic principles than with a kind of skill by which we build and more or less ably negotiate complex brain-to-social-space relations.

One of the largest sources of objections to naturalized ethics or epistemology concerns the essential normativity (value-ladenness, prescriptivity) of both ethics and epistemology. Ethics is essentially normative because it is about what we should do, not what we do. Epistemology is essentially normative because it is about what our epistemic standards should be, not what they are. Science, on the other hand, is purely descriptive. Its subject matter—how the natural world in fact is—is not normative. How then can ethics or epistemology be brought within the purview of natural science? If we try to assimilate the naturalization of both ethics and epistemology into a naturalized moral epistemology, then the problem gets even worse: neither ethics nor epistemology can derive their essential normativity from the other.

Arguably, moral and epistemic principles must be general, in the sense that they cover indefinitely many particular instances of rightness, goodness, knowledge, and so on. Science can produce generalities, such as natural laws, on the basis of generalizing from particular observations. However, as Immanuel Kant ([1785]: 63) pointed out, in order to soundly generalize to moral [or epistemic] principles in the scientific way, one would have to already know which examples, which observations or theoretical entities, are morally relevant; and one can only know that on the basis of other general moral [or epistemic] principles. Thus, if we are limited to scientific generalization from examples, then we are trapped, unable to generate the general moral [or epistemic] principles we need in order to get started.

5. Moral Epistemology & Metaethics

Metaethics is the part of ethical theory which studies the deep, often non-moral assumptions behind our moral thought. Here are some important metaethical topics:

  1. moral epistemology;
  2. moral semantics, the study of how and what moral language means;
  3. moral ontology, the study of what sort(s) of reality underwrites the truth or reasonableness of moral claims or attitudes; and
  4. moral psychology, the study of the nature of, and relations among, moral mental states, such as morally-relevant beliefs, desires, intentions and motivations.

Such topics are difficult to pursue in a vacuum. Not only does each involve an intersection or overlap between ethical theory and some other enormous topic, their problems are often inextricably interdependent.

For instance, the problem of what the objects of moral knowledge could be is larger than moral epistemology; it is also a problem of moral ontology and moral semantics. We conclude with a brief look at this problem. We access it through the general outline of a dilemma posed by A. J. Ayer against moral cognitivism. We borrow from Michael Smith (1994) the idea of using Ayer’s dilemma as a window into recent metaethics. However, we do not closely follow Ayer in developing the details of the dilemma nor explore Smith’s more sophisticated treatment.

Ayer’s Dilemma (Ayer, [1936]: 103-06): Assume moral cognitivism. If any moral claims are true, some sort of reality—something we can think of them as representing—underwrites their truth. This reality must be either something natural or something non-natural. However, if it is something natural, then it must fall victim to G. E. Moore’s arguments against ethical naturalism. If it is something non-natural, then it must either also fall victim to Moore’s arguments against ethical naturalism or fall victim to a host of other insuperable problems. So no moral claims are true.

Obviously, Ayer’s Dilemma leans heavily on G. E. Moore’s arguments against ethical naturalism. We briefly describe two of these, consider how they also preclude some non-naturalist theories, and then give some examples of the alleged host of other insuperable problems that confront the ethical non-naturalist.

Like Moore, let’s simplify by calling “the Good” whatever it is that all true moral claims collectively represent as being the case. Ethical naturalism is the view that the Good is something natural. By “natural” Moore meant “…the subject matter of the natural sciences and…psychology,” or “…all that has existed or will exist in time” ([1903]: 92). Moore’s two most famous arguments against ethical naturalism are the naturalistic fallacy argument and the open question argument. According to the naturalistic fallacy argument, any attempt to identify the Good with something natural must commit a fallacy because goodness is a normative (value-laden, prescriptive) property and because nature is decidedly non-normative (value-neutral, descriptive). According to the open question argument, good definitions “close” certain questions for competent users of the term defined. For instance, competent users of the term, “triangle,” cannot wonder whether there are any round triangles. But no identification of the Good with something natural can have this feature: competent users of “good” will always be able to wonder whether the natural states of affairs in the definition are really good, and vice versa ([1903]).

Many philosophers think that Moore’s definition of “natural” is flawed. However, this matters little for our purpose since his arguments seem to work, if they work, against ethical naturalist theories of every stripe, and against many non-natural ones. They work, if they work, against any position that identifies the Good with something non-normative, even if it is something theological.

What remains, then, is to identify the Good with something non-natural and normative. This seems to imply that the Good must be sui generis, that is, utterly unique. This is the option which, according to Ayer’s Dilemma, must fall victim to “a host of other insuperable problems.” We will briefly mention three of these. First, if the Good is sui generis, then we cannot defend the possibility of moral knowledge, since we have no independent evidence of an epistemic faculty that apprehends something as being both morally significant and utterly unique. Second, if the Good is sui generis, then knowing what is good could not provide motivation for doing what is good. Third, if the Good is sui generis, then we are left without any possible explanation for why moral properties supervene on natural (or at least non-normative) properties; that is, why we cannot conceive any difference in correct moral assessment when we cannot point to any difference in the plain facts.

Responses to Ayer’s Dilemma: One way to respond to Ayer’s Dilemma is to accept it. This leaves two alternatives: keep cognitivism and become a skeptic or, as Ayer preferred, abandon cognitivism. J. L. Mackie (1977) kept cognitivism and became a skeptic. He argued that our realm of moral discourse, just like our realm of, say, Santa Claus discourse, is nothing more nor less than a large body of false claims. Ayer ([1936]), R. M. Hare (1989), Simon Blackburn (1996, 1998), and Allan Gibbard (1990) all chose, instead, to abandon cognitivism and to defend on a noncognitivist basis the possibility of something like moral knowledge,.

Another option is to keep cognitivism and reject either the anti-naturalistic or the anti-non-naturalistic horn of the dilemma. Let’s consider post-Ayer ethical naturalist theories, first.

Some ethical naturalists think that the Good is both natural and sui generis. For instance, “Cornell Realists,” such as Nicolaus Sturgeon (1989), David Brink (1989), and Geoffrey Sayre-McCord (1988) think that every particular instantiation of the Good can be identified with a natural state of affairs, such as an instance of moral rightness with some act of kindness under a natural description. However, they think that the Good, itself, cannot be identified with anything these natural instantiations all have in common. Instead, moral properties like goodness and rightness have irreducible, and thus sui generis, explanatory power of their own.

Others think that the Good is natural and not sui generis: it reduces to some natural property or properties. For instance, Peter Railton argues that it reduces to being what we would want for us, as we really are now, to want, if we had “unqualified cognitive and imaginative powers, and full factual and nomological information about…[our]…physical and psychological constitution.” (1986: 173-74). Other “Reductionist” naturalists include Gilbert Harmon (1975); Richard Brandt (1979); David Lewis (1986); and Frank Jackson, Philip Pettit and Michael Smith (2004). Reductionist naturalists typically respond to Moore’s anti-naturalistic arguments by arguing that their reductions—that is, their identifications of the Good with something natural—are a posteriori (experience-based) identifications, rather than a priori, and thus are immune to his criticisms.

Among ethical non-naturalists we must include Moore ([1903]). He accepted that the Good is sui generis, and he argued that we have an intuitive epistemic faculty that apprehends goodness and thus grounds our beliefs about what is good or right. Although his positive view is often rejected as a reduction to absurdity of ethical non-naturalism, it has had important recent defenders, for example, Panayot Butchvarov (1989).

Most recent defenders of ethical non-naturalism reject the sui generis view, or at least Moore’s version of it. Some argue that we can tell what constitutes the telos (roughly, proper function) of something that has one, provided that we know enough about it; and thus we can know what constitutes the Good for it. The facts about telos for some things—especially the most morally considerable things, like people—cannot all be identified with something natural, at least not in anything like Moore’s sense of “natural.” (Foot, 1978; MacIntyre, 1984)

Many non-naturalists reject that the Good exists, per se, in the world that science studies, and they argue instead that it arises as a necessary byproduct of any attempt to pursue purposive, or goal-driven, rational activities—such as perceiving or understanding or inferring or deliberating or intending or acting. The Good belongs, as John McDowell (1994) says, to the “space of reasons.” Such views are capable of broadly Aristotelian, Kantian, or existentialist development. In any case, they can require that the “space of reasons” be sensitive to facts (whether natural, and thus unique to the world that science models and studies, or non-natural) and logic. The Aristotelian turn conceives the space of reasons as a product of social relations, engendered by the necessary formation of interpersonal relationships and conveyed by societally-sanctioned forms of education (McDowell, 1994; MacIntyre, 1984). The Kantian turn conceives the “space of reasons” in more individualistic terms: the choices of individuals are morally evaluable according to whether the principles implicit (or explicit) in them pass some objective test, or tests, of rationality, such as being permitted by Kant’s Categorical Imperative (Korsgaard, 1996; Audi, 2004). Finally, the existentialist turn views facts and logic as radically underdetermining the rationality of choices, a short-coming that can only be made up for by adopting some thoroughly subjective criteria, usually some kind of authenticity, or trueness to oneself (Kierkegaard, [1843]; Sartre, 1992).

6. References and Further Reading

  • Audi, Robert, Moral Knowledge and Ethical Character, Oxford: Oxford University press, 1997.
  • Audi, The Good in the Right: A Theory of Intuition and Intrinsic Value, Princeton: Princeton University Press, 2004.
  • Ayer, A.J., Language, Truth and Logic [1936], New York: Dover Publications, Inc., 1952.
  • Bentham, Jeremy, The Principles of Morals and Legislation, [1781] Amherst, NY: Prometheus Books, 1988.
  • Blackburn, Simon, “Securing the Nots: Moral Epistemology for the Quasi-Realist,” eds., Walter Sinnott-Armstrong and Mark Timmons, Moral Knowledge?: New Readings in Moral Epistemology, Oxford: Oxford University Press, 1996.
  • Blackburn, Simon, Ruling Passions, Oxford: Clarendon Press, 1998.
  • BonJour, Laurence, The Structure of Empirical Justification, Cambridge, MA: Harvard University Press, 1985.
  • Brandt, Richard, “Science as a Basis for Moral Theory,” eds., Walter Sinnott-Armstrong and Mark Timmons, Moral Knowledge?: New Readings in Moral Epistemology, Oxford: Oxford University Press, 1996.
  • Brink, David, Moral Realism and the Foundations of Ethics, Cambridge: Cambridge University Press, 1989.
  • Campbell, Richard & Hunter, Bruce, “Introduction,” eds. Richmond Campbell and Bruce Hunter, Moral Epistemology Naturalized, Calgary, Alberta: University of Calgary Press, 2000.
  • Chisholm, Roderick, The Foundations of Knowing, Minneapolis: University of Minnesota Press, 1982.
  • Code, Lorraine, “Statements of Fact: Whose? Where? When?,” eds. Richmond Campbell and Bruce Hunter, Moral Epistemology Naturalized, Calgary, Alberta: University of Calgary Press, 2000.
  • Copp, David, Morality, Normativity, and Society, New York: Oxford University Press, 1995.
  • Copp, David, “Four Epistemological Challenges to Ethical Naturalism,” eds. Richmond Campbell and Bruce Hunter, Moral Epistemology Naturalized, Calgary, Alberta: University of Calgary Press, 2000.
  • Dancy, Jonathan, Moral Reasons, Oxford: Blackwell Publishers, 1993.
  • Dancy, Jonathan, “The Particularist’s Progress,” eds. Brad Hooker and Margaret Little, Moral Particularism, Oxford: Clarendon Press, 2000.
  • Ewing, A. C., The Definition of Good, New York: The Macmillan Company, 1949.
  • Foot, Philippa, Virtues and Vices, University of California Press, 1978.
  • Gauthier, David, Morals by Agreement, Oxford: Clarendon Press, 1986.
  • Gewirth, Alan, Reason and Morality, Chicago: University of Chicago Press, 1978.
  • Gibbard, Allan, Wise Choices, Apt Feelings, Oxford: Clarendon Press, 1990.
  • Goldman, Alvin, “What is Justified Belief?” ed. by Hilary Kornblith, Epistemology Naturalized, 2nd Ed., Cambridge, MA: MIT Press, 1994.
  • Harding, Sandra, The Science Question in Feminism, Ithaca: Cornell University Press, 1986.
  • Hare, R(ichard) M., Essays in Ethical Theory, Oxford: Oxford University Press, 1989.
  • Hare, R(ichard) M., “Foundationalism and Coherentism in Ethics,” eds., Walter Sinnott-Armstrong and Mark Timmons, Moral Knowledge?: New Readings in Moral Epistemology, Oxford: Oxford University Press, 1996.
  • Harman, Gilbert, Morality, New York: Oxford University Press, 1977.
  • Hooker, Brad, Ideal Code, Real World, Oxford: Clarendon Press, 2000.
  • Hume, David, A Treatise of Human Nature, [1740] 2nd Ed., ed. by L. A. Selby-Bigge, rev. by P. H. Nidditch, Oxford: Clarendon Press, 1975.
  • Hutcheson, Frances, An Inquiry Into the Original of Our Ideas of Beauty and Nature, [1725] New York: Garland Publishers, 1971.
  • Jackson, Frank, Pettit, Philip, and Smith, Michael; Moral Realism and the Foundations of Ethics, Cambridge: Cambridge University Press, 2004.
  • Kant, Immanuel, Groundwork of the Metaphysics of Morals [1785], tr. by Mary Gregor, Cambridge: Cambridge University Press, 1997.
  • Kierkegaard, Soren, Fear and Trembling / Repetition, tr. Howard V. Hong, Princeton: Princeton University Press, 1983, pp. 54-67.
  • Korsgaard, Christine, The Sources of Normativity, Cambridge: Cambridge University Press, 1996.
  • Mackie, J. L., Ethics: Inventing Right and Wrong, New York: Penguin, 1977.
  • MacIntyre, Alasdair, After Virtue, 2nd Ed., Notre Dame, IN: University of Notre Dame Press, 1984.
  • McDowell, John, Mind and World, Cambridge, MA: Harvard University Press, 1994.
  • McNaughton, David, “Intuitionism,” Blackwell Guide to Ethical Theory, Oxford: Blackwell Publishers, 2000, pp. 268-287.
  • Miller, Alexander, An Introduction to Metaethics, Cambridge: Polity Press, 2003.
  • Moore, G. E., Principia Ethica, [1903], rev. edn., Cambridge: Cambridge University Press, 1993.
  • Morris, Christopher, “A Contractarian Account of Moral Justification,” eds., Walter Sinnott-Armstrong and Mark Timmons, Moral Knowledge?: New Readings in Moral Epistemology, Oxford: Oxford University Press, 1996.
  • Quine, W.V.O., “Epistemology Naturalized,” Ontological Relativity and Other Essays, New York: Columbia University Press, 1969.
  • Railton, Peter, “Moral Realism,” Philosophical Review 95, 1986.
  • Rawls, John, A Theory of Justice, Cambridge, MA: Harvard University Press, 1971.
  • Ross, W. D., The Right And The Good [1930], Indianapolis, IN: Hackett Publishing Company, 1988.
  • Ross, W. D., The Foundations of Ethics, Oxford: Oxford University Press, 1936.
  • Sartre, Jean-Paul, Notebook For an Ethics, [posthumous publication] tr. David Pellauer, Chicago: University of Chicago Press, 1992.
  • Sayre-McCord, Geoffrey, “Moral Theory and Explanatory Impotence,” Midwest Studies 12, 1988, pp. 433-57.
  • Sayre-McCord, Geoffrey, “Coherentist Epistemology and Moral Theory,” eds., Walter Sinnott-Armstrong and Mark Timmons, Moral Knowledge?: New Readings in Moral Epistemology, Oxford: Oxford University Press, 1996.
  • Scanlon, T. M., What We Owe to Each Other, Cambridge, MA: Belknap Press, 1998.
  • Sidgwick, Henry, The Methods of Ethics [1907], Indianapolis, IN: Hackett Publishing Company, 1981.
  • Sinnott-Armstrong, Walter, “Moral Skepticism and Justification,” eds., Walter Sinnott-Armstrong and Mark Timmons, Moral Knowledge?: New Readings in Moral Epistemology, Oxford: Oxford University Press, 1996.
  • Smith, Michael, The Moral Problem, Oxford: Blackwell Publishers Ltd, 1994.
  • Sturgeon, Nicholas, “Moral Explanations,” Essays on Moral Realism, ed. by Geoffrey Sayre-McCord, Ithaca, NY: Cornell University Press, 1989, 229-55.
  • Timmons, Mark, “Outline of a Contextualist Moral Epistemology,” eds., Walter Sinnott-Armstrong and Mark Timmons, Moral Knowledge?: New Readings in Moral Epistemology, Oxford: Oxford University Press, 1996.
  • Walker, Margaret Urban, “Feminist Skepticism, Authority, and Transparency,” eds., Walter Sinnott-Armstrong and Mark Timmons, Moral Knowledge?: New Readings in Moral Epistemology, Oxford: Oxford University Press, 1996.

Author Information

Peter Tramel
Email: peter.tramel@usma.edu
United States Military Academy
U. S. A.

Hellenistic Astrology

Hellenistic and Late Antiquity astrologers built their craft upon Babylonian (and to a lesser extent Egyptian) astrological traditions, and developed their theoretical and technical doctrines using a combination of Stoic, Middle Platonic and Neopythagorean thought. Astrology offered fulfillment of a desire to systematically know where an individual stands in relation to the cosmos in a time of rapid political and social changes. Various philosophers of the time took up polemics against astrology while accepting some astral theories. The Stoic philosopher Posidonius was alleged to embrace astrology and write works on it (Augustine, De civitate dei, 5.2). Other Stoics such as Panaetius and (late) Diogenes of Babylon were primarily adverse to astrological determinism. For some philosophers such as Plotinus, horoscopic astrology was absurd for reasons such that the planets could never bear ill will toward human beings whose souls were exalted above the cosmos. For others, such as the early Church Fathers, ethical implications of astrological fatalism were the main point of contention, as it was contrary to the emerging Christian doctrine of free will. The Gnostics, who for the most part believed the cosmos is the product of an evil and enslaving creator, thought of the planets as participants in this material entrapment. Prominent Neoplatonists such as Porphyry, Iamblichus, and Proclus found some aspects of astrology compatible with their versions of Neoplatonic philosophy. The cultural importance of astrology is attested to by the strong reactions to and involvement with astrology by various philosophers in late antiquity. The adaptability of astrology to various philosophical schools as well as the borrowing on the part of astrologers from diverse philosophies provides dynamic examples of the rich “eclecticism” or “syncretism” that characterized the Hellenistic world.

Table of Contents

  1. Introduction
    1. Babylonian Astrology in the Hellenized World
    2. Hellenistic Theorization and Systemization of Astrology
  2. Early Greek Thinking
    1. Fate, Fortune, Chance, Necessity
    2. Greek Medicine
    3. Plato and Divination
    4. Ages, Cycles, and Rational Heavens
  3. Philosophical Foundation of Hellenistic Astrology
    1. Astral Piety in Plato’s Academy
    2. Stoic Cosmic Determinism
      1. Fate and Necessity
      2. Stoic-Babylonian Eternal Recurrence
      3. Divination and Cosmic Sympathy
      4. The Attitude of Stoic Philosophers Towards Astrology
    3. Middle Platonic and Neopythagorean Developments
      1. Ocellus Lucanus
      2. Timaeus Locrus
      3. Thrasyllus
      4. Plutarch
  4. The Astrologers
    1. The Earliest Hellenistic Astrology: Horoscopic and Katarchic
    2. Earliest Fragments and Texts
    3. Manilius
    4. Claudius Ptolemy of Alexandria
    5. Vettius Valens
  5. The Skeptics
    1. The New Academy (Carneades)
    2. Sextus Empiricus
  6. Hermetic and Gnostic Astrological Theories
  7. Neoplatonism and Astrology
    1. Plotinus
    2. Porphyry
    3. Iamblichus
    4. Firmicus Maternus
    5. Hierocles
    6. Proclus
  8. Astrology and Christianity
  9. References and Further Reading

1. Introduction

a. Babylonian Astrology in the Hellenized World

Astrology, loosely defined as a method of correspondences between celestial events and activity in the human realm, has played a role in nearly every civilization. Its role in the late-Hellenistic era is of special concern, particularly due to its complex interaction with Greek philosophy, as well as its claims on the life of an individual. A horoscopic chart (also “birth chart,” “natal chart,” or “horoscope”) is a list of planetary positions against a backdrop of zodiac signs, divided into regions of the sky (with reference to the rising and setting stars on the horizon) on the basis of one’s exact time and place of birth. Such charts form the basis of “natal astrology” or “genethlialogy,” which started in Babylon but was later developed in Hellenized Greek speaking regions.

The earliest surviving horoscopic chart pertaining to an individual is dated 410 B.C.E. in Babylon. Babylonian astrology flourished from the seventh century to the Seleucid era (late fourth century). However, astral religion and divination based on star omens have a much longer history in Mesopotamia. Stars were considered to be representations of gods whose favors could be courted through prayers, magical incantations and amulets. The triad of Anu, Enlil, and Ea corresponded not with individual stars or planets but to three bands of constellations. Traces of the basic characters of the planetary gods, such as the malevolent nature of Mars/Nergal (the god of destruction and plagues) and Venus/Ištar (the goddess of love), can be found in Hellenistic astrology. Given the small available sample of Late Babylonian horoscopic tablets containing planetary placements and laconic predictions (around 28 extant), it is very difficult to come to solid conclusions about the theoretical ground for the practice of the earliest horoscopic astrologers. The case will be different in the Hellenistic culture in which theoretical grounding was important for the development of the practice, and in which there is more extensive textual evidence.

Given the dynamic tension resulting from Greek philosophy meeting Egyptian, Babylonian, Persian and Jewish religions and ideologies, and the “syncretism” of cross-cultural influences, the Hellenistic era provided fruitful soil for the cultivation of what began primarily as a Mesopotamian system of celestial omens. Before Alexander’s conquest, the practice of astronomy and astrology in Babylon flourished but was not yet of much interest to the Greek thinkers. Babylonian priests/astrologers, notably Berossus, who settled on the island of Cos, are thought to be responsible for introducing astrology to Greece and the surrounding area. Plato mentions those who seek celestial portents in the Timaeus (40c-d), while the student of Plato who authored the Epinomis paved the way for application of astronomical studies to astral piety.

As the intellectual center in Egypt, Alexandria is a likely location for major developments in Hellenistic astrology. A portion of what Garth Fowden (in Egyptian Hermes) classified as “technical Hermetica,” material typically earlier than the “philosophical Hermetica,” represents a part of the early Hellenistic astrological corpus. Surviving Greek astrological writings, catalogued over a period of fifty years in a work called the Catalogus Codicum Astrologorum Graecorum (CCAG), reveal that for the sake of credibility, many of the Hellenistic astrologers attributed the earliest astrological works to historical or mythologized figures such as the pharaoh Nechepso, an Egyptian priest associated with Petosiris. Hermes is a legendary figure credited with the invention of astrology. Some fragments attributed to Hermes survive while some of the Nechepso/Petosiris work from the mid-second century B.C.E. survives in quotes by later authors. Asclepius, Anubio, Zoroaster, Abraham, Pythagoras, and Orpheus are additional figures having astrological works penned in their names. There are late Hellenistic references to three Babylonian astronomers/astrologers, Kidinnu (Kidenas), Soudines (the source of some material for second century C.E. astrologer, Vettius Valens), and Naburianos. The rivalry between the Seleucid and Ptolemaic kingdoms may be reflected in the astrologers’ varying attributions of the origins of astrology to Egyptians or Babylonians (called the Chaldaeans). Various astrological techniques and tables are either attributed to Egyptians or Chaldaeans, but by late antiquity, the source for specific techniques and approaches were often wrongly attributed. By the second century B.C.E., Babylonian astrology techniques were combined with Egyptian calendars and religious practices, Hermeticism, the Pythagorean sacred mathematics, and the philosophies of the Stoics and middle Platonists.

b. Hellenistic Theorization and Systemization of Astrology

Hellenistic astrology displays the influence of a variety of philosophical sources. However, given the divergent and ever multiplying streams of thought in the Hellenized world, practical astrology did not necessarily conform to one particular philosophical model offered by the major philosophical schools. However, as outlined below, the Neopythagoreans, Platonists and Stoics provided the foundational influence on the development of the art.

After a system or systems of Hellenistic astrology quickly developed, the later practitioners and writers did not follow any one philosophical influence as a whole. In fact, the surviving instructional texts only scantily betray the philosophical positions of the authors. Vettius Valens, whose Anthologiarum is one of the most valuable sources for historians of this subject, indicates Stoic leanings. The astrologer, astronomer, and geographer whose work greatly influenced later development of astrology, Claudius Ptolemy (fl. 130-150 C.E.), using Aristotelian influenced manners of argumentation that had been absorbed by other Hellenistic schools such as the Middle Platonists and the Academic Skeptics, sought to portray astrology as a natural science, while dismissing a good portion of doctrine due to lack of systematic rigor. The later Platonic Academy had its fair share of astrological interest – head of the academy in the first century C.E., Thrasyllus, for example, acted as an astrologer to Emperor Tiberius and is credited for works on astrology and numerology. Neoplatonists Porphyry, Iamblichus and Proclus all practiced or accepted some form of astrology conforming to their unique contributions to Neoplatonism. It is difficult to imagine that the practice of astrology would have been divorced from philosophy by philosophers who were also astrologers. The idea of astrology, as a systematic account of fate, had a pervasive impact on the influential thinkers of the time who helped to shape the theoretical and cosmological understanding of the practice. Thinkers in the skeptical Academy and Pyrrhonic schools sought to attack the theoretical underpinnings of the practice of astrology, using a variety of arguments centering around freedom, the ontological status of the stars and planets, and the logical or practical limitations of astrological claims.

We now turn to the philosophies and philosophical schools of the Hellenic and Hellenized world that made the spread and acceptance of Babylonian astrology possible.

2. Early Greek Thinking

a. Fate, Fortune, Chance, Necessity

The role of Fate was often interchangeable with that of the gods in early Greek thinking. Fate implied foreknowledge, which was divine and sometimes dispensed by the gods. The intervention of the gods in human affairs also presented the possibility of two paths of fate, based on a moral choice. A decision that pleased or displeased the gods (such as the choice Odysseus must make regarding the Oxen of the Sun (Odyssey, Book XII) could set one off on a road of inexorable circumstances to follow.

For the pre-Socratic philosophers, personified powers – such as Moira (Fate or Destiny) Anankê(Necessity), Nemesis, Heimarmenê (Fate), Sumphora (Chance) and Tukhê (Fortune or Chance) – took on both metaphysical significances and personifications that blurred any distinction between the theological and the ontological. In thinkers such as Anaximander, Moira and Tukhê play a part in cosmology that exceeds and is possibly even prior to the gods. While the Olympian gods may be given foresight into the workings of Moira, they were often left without the power to transgress this transcendental dispensation of justice. Nature and the gods were both encompassed by Moira. At this time in Greek thinking, Fate and Fortune, and Zeus as its capricious dispenser, fell outside the pale of human understanding, for leading a virtuous life was no insurance of protection from material ruin. This sense of futility resulted in the pessimism of Ionian thinkers such as Mimnermus and Semonides. The attitude toward Moira and Tukhê by Archilochus is wholly pessimistic, for Moira and Tukhê were the sole dispensers of good and evil, with no possibility of mediation. We see the emergence of the question of the role of human responsibility in justice and injustice in early Greek thinking (that is, Solon), but it is unusual to see sharp distinctions between circumstantial Fate that dispenses good or evil and the human response to fate through virtue that was to later develop in Hellenistic thinking (such as found in the later Stoic position that happiness is self-control in spite of an immutable Fate). Theognis, however, offers a proto-Stoic forebearance of Fate and triumph of human character, while he expresses the frustration of apparent injustice in the dispensation of good to the wicked and bad to the innocent. Democritus reacted to skepticism based on the whims of Chance by favoring a causal determinism ruled by necessity (anankê). Attribution of events to Chance, he claimed, was an excuse for one’s lack of vigilance of the chain of causality (Fr. 119, Diels-Kranz). While not claiming such a thing as absolute chance, Democritus retained chance to indicate an obscure cause or causes.

We find in pre-Socratic thinking a stage set for the overcoming of the limitations of knowledge about the laws of the cosmos, not simply on a universal scale, but on the level of individual fortune as well. Hellenistic astrologers, in part, attempted to provide a complex astral logic to explain the apparent injustices of Fate. They attempted to fill this gap of knowledge and turn Chance and Fate into a predictable science for the initiated.

b. Greek Medicine

The development of Greek medical theory brought about a distinction between a basic “human nature” (koinê phusis) and an “individual nature” (idiê phusis). Greek medicine was motivated by the idea that nature has a unity and lawfulness. In the manner of Democritian Atomism, even Tukhê is causal, but not necessarily predictable. A Hippocratean would classify an individual’s psychophysical nature into one of four types based on the qualities of hot, cold, moist, and dry. Astrologers borrowed and elaborated upon the psychology and character typology found in early medical theory (cf. Manilius, Astronomica, 2.453-465; Ptolemy, Tetrabiblos, 3.12.148). In turn, astrology in the Hellenistic era was to in turn inform medical theory with 1) zodiacal and planetary melothesia (the association of astral phenomenon at birth with physical type), 2) iatromathematics (which included consideration of auspicious and inauspicious times), 3) sympathies and antipathies between healing plants and celestial bodies, and 4) prognostication of the course of an illness, of life expectancy or recovery, based on the moment a person fell ill. Melothesia and iatromathematics are found in the works of astrologers Manilius, Teucer (Teukros) of Babylon, Ptolemy, and Firmicus Maternus, as well as a variety of anonymous and pseudepigraphal works. (cf. Serapion, CCAG, 1.101-102; Pythagoras, CCAG, 11.2.124-138).

Galen’s own position on astrology was nuanced, for he rejected some aspects of astrological doctrine as it had been applied to medicine (particularly the Pythagorean numerology used in critical days, and the association of thirty-six healing plants with the Egyptian decans), while he supported other astrological considerations such as the Moon phases and relationship to planets for prognosis. Two of his works pertaining directly to this topic, On the Critical Days and Prognostication of Disease by Astrology. InOn the Critical Days Galen claimed an empirical basis for his selective acceptance, favoring astronomical accuracy (with fractional measures) over the Pythagorean doctrines in astrology (such as seven days per quarter cycle of the Moon). A passage in On the Natural Faculties (1.12.29) also alludes to his support of astrology in general and to a lost work on the physician Asclepiades where he dealt with the topics of omen, dreams and astrology. The context of the passage reveals that his theoretical acceptance of astrology is due to his Vitalist view of Nature (that the natural world is a living organism) as opposed to the Atomistic view of Nature (that all things are composed of inanimate atoms). Nature, for Galen (drawing upon the Vitalist position of Hippocrates) possesses faculties of attraction and assimilation of that which is appropriate (e.g., for an organism) and of expulsion of that which is foreign. Nature also provides the soul with innate ideas such as the virtues of courage, wisdom, temperance, etc. Omens and astrology are signs of Nature’s providence and artistry of the principles of assimilation and expulsion. The Atomist (Epicurean) school rejected astrology and divination by dreams and omens because they believed there is no causality and purpose in Nature, so there is no means of producing these “signs” or correspondences and no means of prediction by way of them.

c. Plato and Divination

Babylonian astrology was not wholly unknown to the Greeks prior to Alexander’s campaign. Plato, for instance, demonstrates an awareness of divination by the stars in the Timaeus dialogue, in which the protagonist criticizes divination by the stars without the means of astronomical calculation (logizethai) and a model (mimêmaton) of the heavens:

To describe the dancing movements of these gods, their juxtapositions and the back-circlings and advances of their circular courses on themselves; to tell which of the gods come into line with one another at their conjunctions and how many of them are in opposition, and in what order and at which times they pass in front of or behind one another, so that some are occluded from our view to reappear once again, thereby bring terrors and portents of things to come to those who cannot reason – to tell all this without the use of visible models would be labor spend in vain. 40c-d, Donald J. Zeyl translation, emphasis mine).

Each astronomical consideration listed in this passage, the conjunctions and oppositions, the occlusion or heliacal settings of planets and stars, the retrogradation are basic considerations in Babylonian (and subsequently Greek) astronomy. This passage may allude to early exposure of the Greeks to astrological methods more akin to numerology rather than based on astronomical observation, for the use of visible models can more accurately measure celestial phenomena. It may also be taken as evidence that Plato is at least aware of the Babylonian practice of omenic astrology or the horoscopy that emerged in the fifth century B.C.E. Also in the Timaeus, Plato mentions the “young gods” whose job it is to steer souls. The identity of these gods would become a problem in later Platonism, but they are established, at least by the first century as planetary god (Philo, De opificio mundi, 46-47). As this dialogue was treated with great importance in Platonism during the formative period of Hellenistic astrology, this passage could have been used by those looking for philosophical justification for the practice. Plato further expresses in the Laws(7.821a-822c; 10.986e) the value of studying astronomy for the sake of astral piety. He points out that the name planetos (from “to wander”) is a misnomer, for the Sun, Moon and planets display a cyclical regularity in their course that can be more accurately understood by astronomical research. We can suspect, in this regard, the influence of contemporary astronomers and students in the academy such as Eudoxus. Astral piety, however, is to be contrasted with “astrology” proper that originated with the attempt to apply reason, order, and predictability to phenomena that had been previously considered to be merely astral omens.

Plato held in low regard the divinatory arts that are not prophetic, i.e., a madness (manic/mantic) directly inspired by the gods (cf. Ion). He expressed an attitude of ambiguity toward divination revealed in the double-edged characterization of Theuth (cf. Phaedo, 274a), the inventor of number, calculation, geometry, astronomy, games and writing. Just as writing results in a soul’s forgetfulness through the mediation of symbols, semiotic or sign-based prediction, as astrology was often considered, is inferior to directly inspired prophecy (Phaedo, 244c).

d. Ages, Cycles, and Rational Heavens

As early as Hesiod, the Greeks mythologized ages of civilization. The Golden Age, in which the gods walked upon the earth, gave way to Silver, then Bronze, then Iron Age. Empedocles taught of a natural cycle of the interplay of Love and Strife: Love and harmony dominated one Age, then Strife in the next Age. Plato also expresses world ages, particularly in the Statesman or Politicus (269d-274d). Throughout the myths in this dialogue and others, he introduced the notion of a “cosmos” or a rational order and ontological hierarchy of the spheres of heavenly beings, elements, daimons, and earthly inhabitants. The cosmologies in Plato’s dialogues marked the emergence of a rational cosmic order in place of earlier cosmogonies. His Timaeus dialogue, with its detailed story of the creation of the world, was to become, perhaps the most influential book along with the Septuagint in the late Hellenistic era). Babylonian astronomical cycles would, soon after Plato, fuse with Greek cosmologies. In the Myth of Er in the Republic, Plato describes the cosmos as held together by the Spindle of Necessity, such that the spheres of the fixed stars and the planets are held together by an axis of a spindle. Sirens sing to move the spheres (or whorls) while the Three Moirai participate in turning the wheel. Each whorl has its own speed, with the sphere of the fixed stars moving the fastest and in the direction opposite those of the planets. In the Phaedrus (245c-248c) dialogue, he further illustrates the Law of Destiny that governs souls who accompany the procession of the gods in a heavenly circuit for a period of 1000 years. If the souls remember the Good (those of the philosophers) they will regain lost wings of immortality in three circuits or 3000 years. Otherwise they fall to the earth and continue a cycle of rebirths for 10,000 years. Immortal souls dwell in the rim of the heavens among the stars.

This leads to another significant development introduced by Plato, one that would become critical for the Hellenistic spread of astrology and astral piety – the ensouled nature of celestial bodies. Plato gives the planets and stars a divine ontological status absent in the writings of the pre-Socratics, many of whom took the planets and stars to be material bodies of one substance or another. (for example, Anaxagoras [Plato,Apology, 26d]; Xenophanes [Aetius, De placitis reliquiae, 347.1]; Anaximander [Aristotle De caelo, 295b10]; Leucippus and Democritus [Diogenes Laertius, Lives, 9.30-32]). In the Laws (10.893b-899d; 12.966e-967d), Plato posits that Soul is older than created things and an immanent governor of the world of changing matter. Secondly, the motion of the stars and other heavenly bodies are under the systematic governance of Nous. That the circuits of the planets and stars have an ordered regularity or rationality, and that they are always in motion, indicates that they are immortal and ensouled (cf. Phaedrus, 245c). While leaving open the question of whether the Sun, Moon and planets create their own physical bodies or inhabit them as vehicles, Plato includes in the Athenian’s argument that celestial beings are in fact gods, and (unlike the thought of the Atomists) are engaged in the affairs of human beings (Laws, 10.899a-d). Pre-Socratic philosophers such as Anaxagoras who believed that mind (Nous) governs the cosmos, failed in their cosmological account by not also recognizing the priority of soul over body (Laws, 12.967b-d). The conception of mind moving soulless bodies, noted the Athenian, led to common accusations that studying astronomy promotes impiety.

As Babylonian astronomical cycles met with a rational and ensouled Greek cosmos, the basis for both Stoic eternal recurrence and technical Hellenistic astrology was formed.

3. Philosophical Foundation of Hellenistic Astrology

a. Astral Piety in Plato’s Academy

The Platonic dialogue Epinomis, most likely written by Phillip of Opus, demonstrates a transformation of the view of the heaven that soon paved the “western way” for astrology. This dialogue shows the transformation of the planets into visible representations of the Olympian gods, just as the Babylonian planets were images of their pantheon. The older names of the planets encountered in Homer and Hesiod (and in Plato’s Republic) designated their appearance rather than divine personification. Jupiter was shining (Phaithon), Mercury was twinkling (Stilbôn), Mars was fiery (Pureos) and Venus was the bright morning star and evening star (Phosphoros and Vesperos). In the Epinomis, the planets are given proper names for Greek gods, though the author leaves open the question of whether the celestial beings are the gods themselves or likenesses fashioned by the gods (theous autous tauta humnêteon orthotata, ê gar theous eikonas hôs agalmata hupolabein gegonenai, theôn autôn ergasamenon, 983e). The new names of planets as Greek gods corresponded loosely with the astral deities of Babylonian astrology, such as the identification of ruling Olympian, Zeus, with the planet Jupiter, replacing the principle Babylonian god Marduk. Ištar (female as evening star, male as morning star) became Aphroditê/Venus, Nergal (god of destruction) Ares/Mars, Nabu Hermes/Mercury, Ninib Kronos/Saturn, and Sin became the female lunar deity Selênê.

The author of Epinomis extends the sentiment of astral piety evident in the Laws, and goes so far as to say that the highest virtue is piety, and that astronomy is the art/science that leads to this virtue (989b-990a) – for it teaches the orderliness of the celestial gods, harmony, and number. While Plato himself would never place the heavenly gods in direct control of a person’s destiny, the distinction between the fatalism of such a control measured by astrology and an astral piety that permitted some intervention of gods in human affairs was not sharply drawn. Does the care of the gods for “all things great and small” (epimeloumenoi pantôn, smikrôn kai meizonôn, 980d) mean that it is through their activities or motions they control, guide or occasionally intervene in human matters? While we do not yet see a clear distinction between astral piety and practical astrology, later texts on mystery cults, Gnosticism, Hermeticism, and magic demonstrate that someone who either worships stars, or is concerned with their ontological status, need not be technically proficient in astronomy. Nor must they believe that life is fated by astrally determined necessity. Likewise, the technical Hellenistic astrologers who calculated birth charts and made predictions did not necessarily practice rituals in reverence to planetary gods. While there is no clear evidence for a unified school in which technical astrologers were indoctrinated into both technique and theory of the craft, the fact that the Hellenistic techniques (barring the basic foundation of Babylonian astrology) had developed in a variety of conflicting ways speaks to the possibility of several schools of thought in theory, practice, and perhaps geographic distance. As each astrologer contributed their own techniques or variations on techniques, the technical material quickly multiplied, and students of astrology had many authoritative writers to follow. The most likely scenario is that the practicing astrologers possessed a variety of viewpoints about the life and “influence” of the planets and stars, based on available cosmological views in religion and philosophy. While borrowing freely from Stoic, Pythagorean and Platonic thought, the astrologers who would soon emerge varied theoretically on issues such as which aspects of earthly existence may or may not be subject to Fate and the influence of the stars, and whether or not the soul is affected by celestial motions and relationships.

b. Stoic Cosmic Determinism

Although the founder of Stoicism, Zeno of Citium, integrated fate into the system of physics, the first Stoic to write a treatise On Fate (Peri heimarmenês) is Chrysippus of Soli (280-207 B.C.E.). Xenocrates and Epicurus both penned lost works of the same title prior to his (Diog. Laert., 4.12; 10.28). Given the influence of Xenocrates on the Stoa on matters as important as oikeôisis, there is no reason to think that all of the issues of fate and freedom discussed by Chrysippus originate with him. Later Stoics such as Boethus, Posidonius and Philopator, dedicated works to fate, a topic that would become a critical issue for all Hellenistic schools of thought. The development of Hellenistic astrology is placed in the context of these theories.

i. Fate and Necessity

Stoic theory of fate involves the law of cause and effect, but unlike Epicurean atomism, it is not a purely mechanistic determinism because at the helm is divine reason. Logos, for the Stoics, was the causal principle of fate or destiny. This principle is not simply external to human beings, for it is disseminated through the cosmos as logos spermatikos (seminal reason) which is particularly concentrated in humans who are subordinate partners of the gods. Individual logoi are related to the cosmic logos through living in harmony with nature and the universe. This provided the basis of Stoic ethics, for which there is the goal of eupoia biou or smooth living rather than fighting with the natural and fated order of things. Chrysippus makes a distinction between fate (heimarmenê) and necessity (anankê) in which the former is a totality of antecedent causes to an event, while the latter is the internal nature of a thing, or internal causes. By its nature, a pot made of clay can be shattered, but the actual events of the shattering of a specific pot are due to the sum total of external causes and inner constraints. Fate, in general, encompasses the internal causes, though to be fated does not exclude the autonomy of individuals because particular actions are based on internal considerations such as will and character. Some events are considered to be co-fated by both external circumstances and conscious acts of choice. Diogenianus gives examples of co-fatedness, e.g., the preservation of a coat is co-fated with the owner’s care for it, and the act of having children is co-fated with a willingness to have intercourse (Stoicorum veterum fragmenta, 2.998). Character or disposition also plays a part in determining virtue and vice. Polemical writers such as Alexander of Aphrodisias characterize the Stoic position as maintaining that virtue and vice are innate. However, it is more accurate to say that for the Stoics an individual is born morally neutral, though with a natural inclination towards virtue (virtue associated with reason/logos) that can be enhanced through training or corrupted through neglect. Though morally neutral at birth, a human being is not a tabula rasa, but has potentialities which make him more or less receptive to good and bad influences from the environment. An individual cannot act contrary to his or her character, which is a combination of innate and external factors, but there is the possibility of acquiring a different character, as a sudden conversion. Since character determines action the ethical responsibility rests with the most immediate causes. An often cited example is that of a cylinder placed on a hill – the initial and external cause of being pushed down the hill represents the rational order of fate, while its naturally rollable shape represents will and character of the mind (Aulus Gellius, Noctes Atticae, 7.2.11). Cultivation of character through knowledge and training was thought to result in “harmonious acceptance of events” (which are governed by the rational plan of the cosmos), whereas lack of culture results in the errors of pitting oneself against fate (Gellius, 7.2.6).

ii. Stoic-Babylonian Eternal Recurrence

Berossus, a Babylonian priest who settled on the island of Cos and the author of Babuloniakos, is often credited for bringing Babylonian astrology to the Greek-speaking world. Because he is thought to have flourished around 280 B.C.E., he is not the first to expose Greek speakers to this art, but he is known for founding an astronomical and astrological school. Kidinnu and Soudines, two Babylonian astronomers mentioned by second century C.E. Vettius Valens, also contributed to Hellenistic astronomy and astrology. Although many of the technical and theoretical details of pre-Hellenistic Babylonian astrology in Greece are lost in all but a few tablets, the doctrine of apokatastasis or eternal recurrence is attributed to Berossus by Seneca (Quaest. nat., 3.2.1). One scholar of the history of astronomy (P. Schnabel,Berossus und die babylonisch-hellenistische Literatur, Leipzig 1923) argued that Kidinnu possessed a theory of “precession of the equinox” prior to Hipparchus. Precession occurs due to a slight rotation of the earth’s axis resulting in a cyclical slippage of the vernal point in reference to the stars. (See section on Ptolemy for more on precession) From this was concluded an eternal recurrence based on the precession of the vernal point through the constellations. Schnabel’s theory, however, had been refuted by Neugebauer. Whatever the case may be, it is likely that Babylonian cosmological theories influenced the founding Stoics, particularly Chrysippus.

The early Stoic version of the eternal recurrence is that a great conflagration (ekpurôsis) marks a stage in the cycle of the reconstitution of the cosmos (apokatastasis). One cycle, a Great Year (SVF, 2.599), would last until the planets align in their original position or zodiac sign in the cosmos (SVF, 2.625). Each age would end in Fire, the purest of elements and the irreducible cosmic substance, and would be followed by a restoration of all things. This fire, for the Stoics, was a “craftsmanly fire” (pur tekhnikonidentified with Zeus and of a different nature than the material fire that was one of the four elements. In the reconstitution of the world, the fiery element would interact with air to create moisture, which then condenses into earth. The four elements would then organize in their proper measures to create living beings (SVF, 1.102). By Necessity, the principle cohesive power of the cosmos, the same souls which existed in one cycle would then be reconstituted in the cosmos and would play the same part in the same way, with perhaps an insignificant variation or two. This concept from the early Stoa is sometimes known as the “eternal recurrence.” Because human souls are rational seeds of God (Logos, Zeus, Creative Fire), the conflagration is an event in which all souls return to the pure substance of creative fire (pur technikon), Zeus. This is not to be understood as an “afterlife” of human souls, as one would find in Christianity, for example. God, then restored in his own completion, assesses the lives of the previous cycle and fashions the next great age of the world that will contain an identical sequence of events. Heraclitus, whom the Stoics claimed as a precursor, possessed an earlier doctrine of conflagration, though it is not to be assumed that his generation and decay of the cosmos was measured by the planetary circuits, for its movement, to him, is a pathway up and down rather than circular (Diog. Laert., 9. 6). As reported by Philo, the only Stoics to have rejected the eternal recurrence include Boethus of Sidon, Panaetius, and a mature Diogenes of Babylon (De aeternitate mundi, 76-7).

Astrological configurations were specified as part of the Stoic-Babylonian theory of eternal recurrence. According to Nemesius,

The Stoics say that when the planets return to the same celestial sign [sêmeion], in length and breadth [mêkos kai platos], where each was originally when the world was first formed, at the set periods of time they cause conflagration and destruction of existing things. Once again the world returns anew to the same condition as before; and when the stars are moving again in the same way, each thing that occurred in the previous period will come to pass indiscernibly. (SVF, 2.625, tr. Long and Sedley, Hellenistic Philosophers V. 1, p. 309).

The word sêmeion used by Nemesius could represent any celestial indicator, though the typical word for “sign of the zodiac” was zôidion. The celestial position of “length and breath” (latitude and longitude) is more specifically identified by second century C.E. astrologer Antiochus as the last degree of the zodiac sign of Cancer or the first degree of Leo. A variation of this theory of apokatastasis includes anantapokatastatis, which is an additional destruction by water which occurs when the planets align in the opposing sign, Capricorn. Such destruction by a Great Flood during this alignment was also attributed to Berossus by Seneca. Fourth century astrologer turned Christian, Firmicus Maternus, associatedapokatastasis with the Thema Mundi (or Genesis Cosmos), which is a “birth chart” for the world consisting of each planet in the 15th degree of its own sign. For the sake of consistency with the Stoic eternal cosmos, Firmicus claimed this chart does not indicate that the world had any original birth in the sense of creation, particularly one that could be conceived of by human reason or empirical observation. The Great Year contains all possible configurations and events. Because it exceeds the span of human records of observation, there is no way of determining the birth of the world. He claimed that the schema had been invented by the Hermetic astrologers to serve as an instructional tool often employed as allegory (Mathesis, 3.1). A more common Genesis Cosmos mentioned in astrological texts is a configuration of all planets in their own signs and degrees of exaltation hupsoma), special regions that had been established in Babylonian astrology.

iii. Divination and Cosmic Sympathy

The eternal recurrence doctrine in Stoicism entails justification of divination and belief in the predictability of events. The Sun, Moon and planets, as gods, possess the pur technikon and are not destroyed in theekpurôsis (SVF, 1.120). While their physical substance is destroyed, they maintain an existence as thoughts in the mind of Zeus. Because the gods are indestructible, they maintain memory of events that take place within a Great Year and know everything that will happen in the following cycles (SVF, 2.625). Divination, for Stoicism, is therefore possible, and even a divine gift. Stoics who accepted divination include Chrysippus, Diogenes of Babylon, and Antipater (SVF, 2.1192). The presupposition that divination is a legitimate science was also used by Chrysippus as an argument in favor of fate. Cicero, however, argued for the incompatibility of divination and Stoicism (De fato, 11-14), particularly the incompatibility between Chryssipus’ modal logical (which allows for non-necessary future truths) and the necessary future claimed by divination’s power of prediction. These non-necessary future truths include all things that happen “according to us” (eph’ hêmin). The example argument presented by Cicero, “If someone is born at the rising of the Dogstar, he will not die at sea,” would not, by his account, fall under the category of non-necessary truths since the antecedent truth is necessary (as a past true condition). Therefore the conclusion would also be necessary according to Chrysippus’ logic. Cicero mentions Chrysippus’ defense against charges of such contradictions, but regardless of the success or failure of Chysippus’ defense against them, the issue for the possibility of divination, for the Stoics, was not considered a logical contradiction between fate and free will. The eph hêmin in Stoicism was based on a disposition of character that, while not a causal necessity, would lead one to make decisions between the good, bad, and indifferent in accordance with nature. Because human beings are by nature the rational seeds (logoi spermatikoi) of the Godhead, their choices will correspond to the cosmic fate inherent in the eternal recurrence, and would not alter that which is divined. For Chrysippus, at least, the laws of divination are accepted as empirically factual (or proto-science) and not as a matter of logicalconnectivity between past, present, and future. Since divination occurs as a matter of revelation thoughsigns, the idea that there can be knowledge of a necessary causal antecedent leading to a future effect is not the principle behind it (cf. Bobzein, p. 161-170). The Stoic argument for divination through signs would be as follows: if there are gods, they must both be aware of future events and must love human beings while holding only good intentions toward them. Because of their care for human beings, signs are then given by the gods for potential knowledge of future events. These events are known by the gods, though not alterable by them. If signs are given, then the proper means to interpret them must also be given. If they are not interpreted correctly, the fault does not lie with the gods or with divination itself, but with an error of judgment on the part of the interpreter (Cicero, De divinatione, 1.82-3; 1.117-18).

Another theory in support of divination and by extension astral divination, is that of cosmic sympathy. Cosmic sympathy was already prevalent in Hipparchean medical theory, though Posidonius is credited for its development in the Stoic school. Posidonius, though, claimed to have drawn this notion from Democritus, Xenophanes, Pythagoras and Socrates. Stoic physical theory holds that all things in the universe are connected and held together in their interactions through tension. The active and passive principles move pneuma, the substance that penetrates and unifies all things. In fact, this tension holds bodies together, and every coherent thing would collapse without it. Pneuma as the commanding substance of the soul penetrates the cosmos. This cosmos, for the Stoics, is both a rational and sensate living being (Diog. Laert., 7.143). The Stoics thought that the cosmos is ensouled and has impulses or desires (hormai). Whereas in Platonism these impulses are conflicting and need the rational part of the soul to govern them, in Stoicism desires of the cosmic soul are harmoniously drawn toward a rational (though not entirely accessible to human beings) end, which is Logos, or Zeus’ return to himself through the cosmic cycle of apokatastasis. So the idea of cosmic sympathy supports divination, because knowledge of one part of the cosmos (such as a sign) is, by way of the cohesive substance of pneuma, access to the whole. In contrast to Plato’s disparaging view of divination that it is not divinely inspired but based on the artless fumbling of human error, the Stoic view, for the most part, is that rational means of divination can be developed. The push to develop a scientific (meaning systematic and empirical) knowledge-based divination finds its natural progression in mathematically based astrology.

Stoic-influenced astrologers went a step further than Stoic philosophers to define innate potentials of character by assigning them to the zodiac and planets. Virtuous and corrupt characteristics are identified as determined by the potential of the natal chart, while external circumstances are indicated by the combination of this chart with transits of planets through time and certain periods of life set in motion by the configurations in the natal chart. For instance, in his list of personality characteristics for individuals born with certain zodiac signs on the horizon, Teukros of Babylon (near Cairo) includes character traits that are not morally neutral. For example, those born when the first decan of Libra is ascending are “virtuous” (enaretous), while those born when the third decan of Scorpio is ascending “do many wrongs” or are “law-breakers” (pollous adikountas).

iv. The Attitude of Stoic Philosophers Towards Astrology

While it is clear that Stoic philosophy influenced the development of astrology, the attitude of the Stoa towards astrology, however, varied on the basis of the individual philosophers. Cicero stated that Diogenes of Babylon believed astrologers are capable of predicting disposition and praxis (one’s life activity), but not much else. Diogenes, though, is said to have calculated a “Great Year” in his earlier years (Aetius, De placitis reliquiae, 364.7-10). His turn to skepticism changed his view on Stoic ekpurosisand likely modified his view on astrology. Middle Stoic Panaetius is said to have rejected astrology altogether. That an astrological example is used by Cicero to illustrate a contradiction in Chrysippus’ logic and divination does not necessarily mean that Chrysippus himself had much exposure to or took an interest in astrology. (Cicero’s example is, “If someone is born at the rising of the Dogstar, he will not die at sea.” Si quis (verbi causa) oriente Canicula natus est, is in mari non morietur. De fato, 12). In Chrysippus’ time, Hellenistic astrology had not yet been formulated systematically. However, given that the example is based on a consideration of importance to Babylonian astrology, the rising of the fixed star Sirius, the possibility exists that Chrysippus or one of his contemporaries discussed astrology in the context of logic and divination.

Posidonius was alleged by Augustine to have been “much given to astrology” (multum astrologiae deditus) and “an assertor fatal influence of the stars” (De civitate dei 5.2). His actual relationship to astrology, however, is more complicated, but there are several reasons to think that he supported astrology. For one, in his belief that the world is a living animal, he followed Chrysippus in identifying the commanding faculty of the world soul as the heavens (Diog. Laert., 7.138-9. Cleanthes considered it to be the Sun). Secondly, Posidonius had a strong research interest in astronomy and meteorology. He was the first to systematically research the connection between ocean tides and the phases of the Moon. His research in this area possibly led him to his doctrine of cosmic sympathy, as he considered natural affinities among things of the earth. Cosmic sympathy allows for an association between signs (within nature that can extend to planets and stars) and future events without direct causality. If the higher faculty of the cosmos is located in the heavens, then it is more likely that these signs would carry weight for Posidonius. Thirdly, Cicero, who can be given more credibility than Augustine by having attended Posidonius’ lectures, mentions him in connection with astrology in De divinatione (1.130). Fourthly, Posidonius (as a Platonic-influenced thinker) believed idea that the signs of the zodiac (zôdia) are ensouled bodies – living beings (Fr. 149, Edelstein-Kidd / Fr. 400a, Theiler). However, given that Posidonius is flourishing at the same time as the earliest textual evidence for Hellenistic astrology (first century B.C.E.; some “technical” Hermetic fragments about Solar and Lunar observations may be earlier), it is difficult to say what type of astrology he would have had an interest in – whether it had been remnants of the Babylonian omen-based astrology, or the beginning formulation of a systematic Greco-Roman astrology. Because he was widely traveled, he may have gained exposure to one or more astrologers or schools of astrologers. With his observations of the connection between seasonal fluctuations of the tides and the Solar/Lunar cycles, he apparently refuted Seleucus, a Babylonian astronomer who believed that the tides also fluctuation according to the zodiac sign in which the Moon would fall; he claimed the tides were regular when the Moon would be in the equinoctial signs of Aries or Libra and irregular in the solstitial signs of Capricorn, Cancer (Fr. 218, Edelstein-Kidd / Fr. 26, Theiler). This observation would not have necessarily been considered an astrological one, though it is schematized according to characteristics of the zodiac rather than lunations and seasons, and such schematizations were quite common in Hellenistic astrology. It cannot be said with certainty whether Posidonius’ advocacy of cosmic sympathy lent support to the development of astrology or if this development itself reinforced Posidonius’ own theories of cosmic sympathy and fate.

The importance of astrology in politics of first century Rome was aided by its alignment with Stoic fatalism and cosmic sympathy. Balbillus, son of Thrasyllus and astrologer to Nero, Seneca, and a certain Alexandrian Stoic, Chaeremon, were all appointed tutors to L. Domitius. Chaeremon (who Cramer, p. 116, identifies with the Egyptian priest/astrology in Porphyry’s Letter to Anebo and in Eusebius’Praeparatio evang., 4.1) wrote a work on comets (peri komêtôn suggramma) that cast these typically foreboding signs in a favorable light. Seneca, too, wrote a work on comets (Book 7 of Quaestiones naturales), in which he portrays some as good omens for the Empire (cf. Cramer, p. 116-118).

c. Middle Platonic and Neopythagorean Developments

So far in this account of the theoretical development of Hellenistic astrology, the pre-Socratic thinkers contributed a deep concern for fate and justice. Plato contributed an orderly and rational cosmos, while those in the early Academy displayed an astral piety that recognized the planets as gods or representations of gods. The Stoics contributed theories of fate and divination, that already had an astrological component with the Babylonian contribution to the Eternal Recurrence. Cosmic sympathy, present in Greek medicine and popularized by the middle Stoic Posidonius, provided astrologers with a theoretical grounding for the associations among planets, zodiac signs, and all other things. One notable Stoic contribution to Hellenistic astrology which distinguishes it from the Babylonian is the incorporation of Chryssipus’ principle of two forces, active and passive, manifest in the activities of the four elements. Fire and air were active, earth and water passive. The astrologers later assigned these elements and dynamic qualities to each sign of the zodiac. Further philosophical developments by the Middle Platonists and the Neopythagoreans would then lead to astrology as a system of knowledge due to its systematic and mathematical nature. The systematic nature would make it plausible to some and a worthy or dangerous foe to others. These developments set astrology apart, epistemologically speaking, from other manners of divination such as haruspicy (study of the liver of animals), or dream interpretation.

The union between Pythagorean theory and Platonism should come as no surprise given Plato’s late interest in Pythagoreanism. From the early academy onward, elements of Pythagorean theory became part and parcel of Platonism. Speusippus wrote a work on Pythagorean numbers (Fr. 4), and he would become influential in this regard, if not as directly on subsequent Academy members as on Neopythagorean circles. He and Xenocrates both offered cosmic hierarchies formed from the One and the Dyad. The One, or Monad, is a principle of order and unity, while the Dyad is the principle of change, motion, and division. The manner in which these principles are related was a critical issue inherited from the early Academy. Xenocrates (Fr. 15) believed that stars are fiery Olympian Gods and in the existence of sublunary daimons and elemental spirits. We see in Xenocrates both the identification of Gods with stars (as we saw in Phillip of Opus) and the notion that Gods are forces of Nature, thereby creating an important theoretical issue for astrology, namely what is the domain of influence of the planetary gods, as the Olympians are identified with the planets. He also believed that the world soul is formed from Monad and Dyad, and that it served as a boundary between the supralunary and sublunary places. Xenocrates’ cosmology would be highly influential on Plutarch, who elaborated on the roles of the world soul, the daimons, the planets and fixed stars.

The middle Platonists, many of whom believed themselves to be true expounders of Plato, were influenced by other schools of thought. The physical theories of Antiochus of Ascalon are very Stoic in nature. For example, he incorporated the Stoic “qualities” (poiotêtes), which were moving vibrations that act upon infinitely divisible matter, into his cosmology. The unity of things is held together by the world soul (much as it is held together in Stoic theory by pneuma). Antiochus equated the Stoic Logos/Zeus with the Platonic World Soul, and this soul of the cosmos governs both the heavenly bodies and things on earth that affect humankind. He also accepted the Stoic Pur Tekhnikon (Creative Fire) as the substance composing the stars, gods, and everything else. There is little to indicate that Antiochus held in his cosmology the notion common to some other Platonists of transcendent immateriality; his universe, like the Stoics, is material. On the subject of fate and free will, he argues against Chrysippus (if he is in fact the philosopher identified as doing so in Cicero’s De fato and Topica) by accepting the reality of free will rather than the illusion of free will created simply by the limitations of human knowledge in grasping fated future events. Antiochus’ view on other beings in the cosmos, particularly the ontological status of stars and planets, may be found in his Roman student Varro who stated that the heavens, populated by souls (the immortal occupying aether and air), are divided by elements in this order from top to bottom: aether, air, water, earth.

From the highest circle of heaven to the circle of the Moon are aetherial souls, the stars and planets, and these are not only known by our intelligence to exist, but are also visible to our eyes as heavenly gods.” (from Natural Theology, tr. Dillon, Middle Platonists, p. 90).

Daimons and heroes, then, were thought to occupy the aerial sphere. The importance of Antiochus for the development of Hellenistic astrology may be his break with the skepticism of the New Academy, one which allowed the Middle Platonists to espouse more theological and speculative views about the soul and the cosmos while anticipating Neoplatonic theories. In Alexandria, which, not by coincidence would become a hotbed for astrological theory and practice, Platonism incorporated strong Neopythagorean elements. Eudorus of Alexandria, who wrote a commentary on Plato’s Timaeus, contributed to the importance of Timaean cosmology in middle and Neoplatonic thought. References to Eudorus’ are found in Achilles’ work, Introduction to Aratus’ Phenemona. Achille used Eudorus as a source for this work that also contains references to Pythagorean theories of planetary harmonies. We know from Achilles that Eudorus followed the Platonic and Stoic belief that the stars are ensouled living beings (Isagoga, 13). This intellectual climate is likely the immediate context for the development of systematic astrology – with its complex classifications of the signs, planets, and their placements in a horoscope, and the numerological calculations used for predicting all sorts of events in one’s life.

i. Ocellus Lucanus

The revival of Pythagoreanism by the mid-first century B.C.E. brought about the acceptance of pythagorica of “Timaeus of Locri” and Ocellus Lucanus as genuinely “early” Pre-Platonic Pythagorean texts, though both mostly like date around the second century B.C.E., or at latest, the first half of the first century B.C.E. The Neopythagorean texts just mentioned are significant for the development of Hellenistic astrology. They represent cosmological theories that likely were used as justification for astrology.

In On the Nature of the Universe (peri tês tou pantos phuseôs), Ocellus argues for a perfectly ordered harmonious universe that is immutable and unbegotten. By appealing to the empirical rationale that we cannot perceive the universe coming to be and passing away, but only its self-identity, he concludes the eternity of the whole, including its part. This whole though is divided into two worlds, the supralunary and the sublunary. The heavens down to the Moon comprise a world of unchanging harmony that governs the sublunary realm of all changing and corruptible activity. In Platonic manner, the unchanging (the Monad) governs and generates the changing (the Dyad). In Pythagorean manner, the divine beings in the unchanging realm are in perfect harmony with one another through their regular motions. Visible signs for the unchanging harmony and self-subsistence of the universe are found in the harmonious movements of things in relation to one another. Based on the nature of the relations listed – “order, symmetry, figurations (skhêmatismoi), positions (theseis), intervals (diastaseis), powers, swiftness and slowness with respect to others, their numbers and temporal periods” (1.6) – he clearly means the movements of planets and stars. This list comprises the primary factors by which astrologers would assess the strength and qualities of planets in a given horoscope as the basis for the formulation of predictive techniques and statements. For instance, swiftness of planets was thought to make them stronger while slowness (which occurs close to the retrogradation motion) weakens the planet, while “figurations” (skhêmatismoi) is a word used for aspects, or the geometrical figures planets make to one another and the ascending sign (horoskopos). Temporal periods were assigned by astrologers in a variety of ways, though usually based on the “lesser years” of the planets, the time it took for one planet to complete its revolution with respect to a starting point in the zodiac. “Intervals” (diastaseis) were measures that were calculated either between planets or between planets and the horizon or culminating points in a horoscope; in the case of the latter, the intervals were used in astrology to determine strong and weak areas in the horoscope. The former notion of intervals was used for determining various time periods of one’s life assigned to each planet (cf. Valens, Anthologiarum, 3.3). “Numbers” was a term used to indicate a planet’s motion (as appearing from earth) as direct or retrograde. “Powers” (dunameis) of the planets are combinations of heating, cooling, drying, moistening – these powers made planets benevolent or malevolent (cf. Ptolemy, Tetrabiblos, 1.4). Ocellus goes on to name these powers as hot, cold, wet, and dry, and he contrasts them with the “substances” (ousiai) or elements of fire, earth, water and air. The powers and substances, or “qualities” and “elements” as they are more commonly called, were used in horoscopic astrology to describe the natures of the planets and zodiac signs. In Ocellus’ explanation of astral causality, the powers are immortal forms that affect changes on the sublunary substances (2.4-5).

Whether or not Ocellus and other Neopythagoreans are at the forefront of formulating these particular astrological rules, he provides a metaphysical basis for the notion that the planets and stars effect changes on earth. He is further described as saying that the Moon is the locus where immortality (above) and mortality (below) meet. He also says the obliquity of the zodiac, the pathway of the Sun, is the inclining place at which the supralunary generates activity in the sublunary realm. The Sun’s seasonal motion conforms to the powers (hot, cold, wet, and dry) that bring about changes in the substances (elements); the ecliptic path inclines these powers into the realm of strife and nature.

In his discussion on the generation of men, Ocellus argues, in more of an Aristotelian than Platonic sense (as found in On Generation and Corruption, that the only participation of men in immortality is through the gift by divinities of the power of reproduction. Following rules of morality in connubial relations results in living in harmony with the universe. Immoral transgressions, though, are punished by the production of ignoble offspring. A manner of cosmic sympathy (as found in Greek medicine) plays a role in determining that the circumstances of conception (such as a tranquil state of mind) will reflect upon the nature of the offspring. This notion is in keeping with the fact that astrologers studied charts not only for the moment of birth, but for conception as well. The only major difference is that for the astrologers, the circumstances of the birth appear to be reflected universally at a given time and not the direct result of moral or immoral actions as it is for Ocellus. The moment of birth or conception for the astrologers is reflected in all things of nature and in any activities initiated at that particular moment, as reflected in the positions of the planets and signs. The technical astrologers typically did not include reflections on moral retributions in their manuals of astral fate. They were primarily concerned with detailing knowledge of fate for its own sake, though speculation about such matters as retribution and rebirth is not excluded by astrological theory.

ii. Timaeus Locrus

The Hellenistic text attributed to Timaeus Locrus, On the Nature of the World and the Soul, purports to be the original upon which Plato drew for his dialogue of his name. For the most part, it consists of a summary of the material by Plato. The circles of the Same and the Different carry the fixed stars and the planets respectively. The sphere of the fixed stars containing the cosmos is granted the Pythagorean perfect figure of the dodecahedron. One addition of note for the theory of astrology is the doctrine of the creation of souls. The four elements are made by the demiurge in equal measure and power, and Soul of man is made in the same proportion and power. Individual souls of human beings are fashioned by Nature (who has been handed the task by the demiurge of creating mortal beings) from the Sun, Moon, and planets, from the circle of Difference with a measure of the circle of the Same that she (Nature being hypostasized as the female principle) mixes in the rational part of the soul. There appears in this to be a difference in individual souls reflecting different fates based on the composition. While this merely reiterates what is found in Plato’s Timaeus (42d-e), the supposition that one could read this account straight from Timaeus Locrus gave authority to these notions. It is likely that these ideas filtered to the astrologers, who would devise methods for seeking out the ruling planet (oikodespotês) for an individual (see section on Porphyry). Perhaps what they were seeking in the horoscope was one of the “young gods” whose task it was to fashion the mortal body of each soul and to steer their course away from evils. As mentioned above, some philosophers associated the young gods with the planets.

Astrological fragments of a writer “Timaeus Praxidas” date to the same period (early to middle first century B.C.E.), but there is little textual evidence to indicate that these are one and the same writer. What it at least indicates is that the legend of Timaeus lent authority to the astrological writers.

iii. Thrasyllus

Thrasyllus (d. 36 C.E.), a native of Alexandria, was not only the court astrologer to Tiberius, but a grammarian and self-professed Pythagorean who studied in Rhodes. Given that he published an edition of Plato’s works (and is known for the arrangement of the dialogues into tetralogies), and that he wrote a work on Platonic and Pythagorean philosophy, we can assume that his astrological theory represents Middle Platonism of the early first century C.E. However, a summary of his astrological work “Pinax” (tables), indicates that he is drawing upon earlier sources, particularly the pseudepigrapha of “Nechepso and Petosiris” and Hermes Trismegistus. A numerological table, perhaps containing zodiac associations to numbers as that found in Teukros of Babylon, is also attributed to Thrasyllus. It appears that his own philosophy contains a mixture of Hermetic and Pythagorean elements.

A search for exact origins of astrology’s development into a complex system remains inconclusive, but the following can be surmised. The combination of Pythagorean theory, such as the supralunary realm influencing the sublunar, Platonic ensouled planets moving on the circle of the Different, Stoic determinism and cosmic sympathy, and the emergence of a Hermetic tradition, comprised the intellectual context for the systematic structuring of astrology, its classifications of the signs, planets, and their placements in a horoscope, and the numerological calculations used for predicting all sorts of events in one’s life.

iv. Plutarch

Besides being a prolific writer on a variety of subjects, Plutarch was, philosophically speaking, a Platonist, as defined by his era, that is, one influenced by Aristotelian, Stoic, and Neopythagorean notions. In Plutarch’s case this includes ideas culled from his study of Persian and Egyptian traditions. By his time (late first century C.E.), astrology had been systematized and appropriated by Greek language and thinking, and in Rome, the political implications of astrological theory were made evident in the relationships between astrologers and emperors (such as Thrasyllus and his son Balbillus) and in the edicts against predictions about emperors (cf. Cramer, 99 ff). Plutarch’s own form of Platonism did not then directly contribute to the technical development of astrology, but it does add a Middle Platonic contribution to an explanation of how astrology gained some credibility and much popularity in the first three centuries of the common era. He also borrowed some astrological concepts (and metaphors) for his own philosophy. First of all, as a priest of Apollo, Plutarch saw all other deities as symbolic aspects of One God that is invisible and unintelligible. He gained impetus for this from an etymology of “Apollo,” which is explained as an alpha-privative a-pollos, or “not many” (De E apud Delphos, 393b). He resists a pure identification of the Sun with Apollo (De pythiae oraculis 400c-d), because the One God is Invisible, and the Sun an intelligible copy. He likens the Sun to one aspect, that of the Nous, the heart of the cosmos. The Moon is then associated with the cosmic Soul (and spleen), and the earth with the bowels. Taking cue from Plato’s suggestion in the Laws (10.896 ff) of two world souls, beneficent and malevolent (a concept Numenius would take up later), he believed the malevolent soul to be responsible for irrational motion in the sublunary world. The malevolent or irrational soul preexisted the demiurge’s creation. It is not pure evil, but the cause of evil operating in the sublunary realm, mixing with the good to create cosmic tension. Plutarch maintains the distinction of Ocellus between the generating supralunary realm and the generated sublunary realm, but he offers more detail about operations in the sublunary world of change. He posits two opposing principles or powers of good and evil that offer a right-handed straight path and a reversed, backwards path for souls (De Isis., 369e). Individual souls are microcosms of a world soul (based on Timaeus, 30b), and the parts of the soul reflect this cosmic tension. Souls are subject in the sublunary realm to a mixture of fate (heimarmenê), chance (tukhê), and free choice (eph’ hêmin). The “young gods”, the planetary gods in the Timaeus (42d-e) that steer souls, Plutarch designates as the province of the irrational soul. With the emphasis of the irrational soul and the mixture of forces in the sublunary realm, Plutarch’s cosmology allows for the possibility of astrology. Plutarch also posits four principles (arkhê) in the cosmos, Life, Motion, Generation and Decay (De genio Socratis, 591b). Life is linked to Motion through the activity of the Invisible, through the Monad; Motion is linked to Generation through the Mind (Nous); and Generation is linked to Decay through the Soul. The three Fates (Moirai) are also linked to this cycle as Clotho seated in the Sun presided over the first process, Atropo, seated in the Moon, over the second, and Lachesis over the third on Earth (cf. De facie in orbe lunae, 945c-d). At death the soul of a person leaves the body and goes to Moon, the mind leaves the soul and goes to Sun. The reverse process happens at birth. Plutarch is not rigid with his use of planetary symbolism, for in another place, he associates the Sun with the demiurge, and the young gods with the Moon, emphasizing the rational and irrational souls (De E apud Delphos, 393a).

Plutarch’s own opinion about astrology as a practice of prediction is ambiguous at best. He supported the probability of divination by human beings, although dimmed by the interference of the body, as evident in his arguments for it in On the E at Delphi (387) and in De defectu oraculorum (431e ff). However, he complains about generals who rely more heavily on divination than on counselors experienced in military affairs (Marius, 42.8). In his accounts of astrologers, his attitude appears to be more skeptical. InRomulus (12), he discusses the claims made by an astrologer named Taroutios, namely, of discovering the exact birth date and hour of Romulus as well as the time in which he lay the first stone of his city, by working backwards from his character to his birth chart. Plutarch considered astrologers’ claims that cities are subject to fate accessible by a chart cast for the beginning of their foundation to be extravagant. He also wrote about how Sulla, having consulted Chaldaeans, was able to foretell his own death in his memoirs (Sulla, 37.1). However, Plutarch finds himself at a loss at explaining why Marius would be successful in his reliance on divination while Octavius was not so fortunate accepting the forecasts of Chaldaeans.

4. The Astrologers

a. The Earliest Hellenistic Astrology: Horoscopic and Katarchic

Cicero’s account in On Divination of Eudoxus’ rejection of Chaldaean astrological predictions points to Greek awareness of Babylonian astrology as early as the third century B.C.E. Another account about Theophrastus’ awareness of Chaldaean horoscopic astrology (predicting for individuals rather than weather and general events) is given to us by Proclus (In Platonis Timaeum commentaria, 3.151). Technical manuals by Greek-speaking astrologers used for casting and interpreting horoscopic (natal) charts date as early as the late second century B.C.E. In addition to natal astrology, many of the fragments exemplify the practice of katarchical astrology, or the selection of the most auspicious moment for a given activity. Katarkhê was also used to ascertain events that had already happened, to view the course of an illness, or track down thieves, lost objects, and runaway slaves. Fragments attributed to Thrasyllus, the philosopher-astrology include such methods. This use of astrology implies that the astrologers themselves did not prescribe to strict fatalism, at least the kind that dictates that knowledge from signs of the heavens cannot influence events. Perhaps like Plutarch, they believed in a combination of fate, chance, and free will. Given the pervasiveness of cosmic sympathy and a unified cosmic order, astrology pertaining to proper moments of time and to natural occurrences was less controversial than that pertaining to the soul of human beings. However, the texts of the next few centuries focus primarily on natal rather than katarchic astrology. Methods to ascertain controversial matters such as one’s length of life would proliferate and play a significant part in Roman politics (cf. Cramer, p. 58 ff). Such fascination with either the fate or predisposition of individuals reflects a stronger concern in the late Hellenistic world for the life of the individual in a period of rapid political and social change.

b. Earliest Fragments and Texts

The earliest Hermetic writings, the technical Hermetica (dated second century B.C.E. and contrasted with philosophical Hermetica cf. Fowden, p. 58) include works on astrology. As mentioned by Clement, (Stromata, 6.4.35-7), they include: on the ordering of the fixed stars, on the Sun, Moon and five planets, on the conjunctions and phases of the Sun and Moon, and on the times when the stars rise. These topics in the early Hermetica do not reflect much technical sophistication in comparison to the complicated techniques of prediction that we find in the katarchic and natal astrology texts of other astrological writers. The astronomical measurements that appear to be used for these topics are most likely for the purpose of katarchic astrology and ritual because they do not contain the apparatus for casting natal charts. An exception to the technical sparsity of astrology considered to be in the lineage of Hermes Trismegistus are the works attributed to Nechepso and Petosiris (typically dated around 150 B.C.E.), portions of which survive in quotations. Combined, they are considered a major source for many later astrologers, and are said by Firmicus Maternus to be in line with the Hermetic tradition, handed down by way of other Hermetic figures such as Aesclepius and Anubio, from Hermes himself. It is impossible to say to what extent the writers of these texts had organized existing techniques or invented new ones, but based on the frequency with which Nechepso and Petosiris are quoted by later authors, we can be certain that they were important conveyers of technical Hellenistic astrology. More about the astral theories in the later philosophical Hermeticism and Gnosticism will be discussed below.

Additional fragments are preserved of real and pseudepigraphical astrologers of the first centuries B.C.E and C.E. including Critodemus, Dorotheus of Sidon, Teukros of Babylon, (pseudo-)Eudoxus, Serapion, Orpheus, Timaeus Praxidas, Anubion, (pseudo-)Erasistratus, Thrasyllus, and Manilius. Only a few representative writers will be highlighted below.

c. Manilius

For most of the early astrological writers, we can only speculate about their theoretical justification for the practice, two exceptions being first century B.C.E. Roman Stoic Manilius, (from whom we have the Latin didactic poem, Astronomica), and Thrasyllus, whose work is described above. Manilius was also associated with the Roman imperial circle, dedicating his work to either Augustus or Tiberius (see Cramer, p. 96, for more on this controversy). While his poetic account of astrology contains much technical material, there is little evidence to show that he himself practiced astrological prediction. Some scholars speculated that he intended to avoid the political dangers of the practice in his day with the poetic writing style and the exclusion of astrological doctrine about the planets, which is necessary for the practice (or his work could simply be incomplete). His Stoic philosophy is one in which Fate is immutable, and astrology is a means of understanding the cosmic and natural order of all things, but not of changing events. However fated we are, he says, is no excuse for bad behavior such as crime, for crime is still wicked and punishable no matter what its origin in the sequence of causal determinism (4.110-117). He used the regularity of the rising of the fixed stars and the courses of the Sun and Moon as proof against the Epicureans that nothing is left to chance and that the universe is commanded by a divine will (1.483-531). Nature apportions to the stars the responsibility over the destinies of individuals (3.47-58). Nature is not thought to be separate from reason, but is the agent of Fate – one orchestrated by a material god for reasons not readily accessible to the mortals who experience apparent injustices and turns of events that defy normal expectations (4.69-86). The purpose of the deity is simply to maintain order and harmony in its cosmos (1.250-254). Astrology demonstrates cosmic sympathy among all things and can be used to predict events insofar as it grants access to the predestined order. In addition to the use of astrology for psychological acceptance of one’s fate, Manilius emphasizes the aesthetic and religious benefits of its study, for he considers it a gift to mortals from the god Hermes for the sake of inducing reverence and piety of the cosmic deity.

d. Claudius Ptolemy of Alexandria

Astrology had increased in popularity in the second century C.E., and two writers of this period operating under different philosophical influences, Ptolemy (c. 100-170 C.E.) and Vettius Valens (fl. 152-162 C.E.), will next be discussed. Ptolemy is an exception among the astrological authors because first and foremost he is an empirical scientist, and one who, like his philosophical and scientific contemporaries, is concerned with theories of knowledge. His works include those on astronomy, epistemology, music, geography, optics, and astrology. He is best known as an astronomer for his work Syntaxis mathematica (Almagest), but from the middle ages to present day, his astrological work,Apotelesmatica (or Tetrabiblos as it is more commonly known), has been considered the key representative of Greek astrology, primarily due to its prominence in textual transmission.

Scholars have claimed Ptolemy’s main philosophical influences to be either Peripatetic, Middle Stoic (Posidonius), Middle Platonist (Albinus) or Skeptic (sharing a possible connection with Sextus Empiricus). Any attempts to tie him to a single school would be futile. His eclecticism, though, is by no means an arbitrary amalgam of different schools, but a search for agreements (rather than disagreements sought by the Pyrrhonian Skeptics) and a scientist’s harmony of rationalism and empiricism (cf. Long in Dillon & Long, p. 206-207). His epistemological criteria (in On the Criterion shows only superficial differences with the Skeptics, while he often employs Stoic terminology (such as katalêpsis) without the Stoic technical meanings. He extends the Stoic notion of oikeiôsis (as the manner of familiarity that a Stoic Sage achieves with the cosmos) to the relations of familiarity that planets and zodiac signs share among themselves.

Because Ptolemy deviates significantly from other astrologers in theory and technique, some have doubted that he was a practicing astrologer at all. It is difficult to support this claim when in theTetrabiblos he makes a long argument in favor of astrology and he claims to have better methods than offered by the tradition. It seems best to call him a “revisionist” rather than a “non-astrologer.” His revisions and causal language make his position vulnerable to later attacks by Plotinus and other philosophers. The methods Ptolemy rejects include material that can be traced to the Hermetic Nechepso/Petosiris text, particularly the use of Lots (klêroi) and the division of the chart into twelve places (topoi) responsible for topics in life such as siblings, illness, travel, etc. Lots were points in the chart typically calculated from the positions of two planets and the degree of the ascending sign. He also rejects various subdivisions of the zodiac and nearly all numerologically based methods. He considered these methods to be disreputable and arbitrary because they are removed from the actual observations of planets and stars. (It might be noted here that he also rejects Pythagorean musicology on empirical grounds in his work Harmonica).

Ptolemy says, in the beginning of Book I, that the study of the relations of the planets and stars to one another (astronomy) can be used for the less perfect art of prediction based on the changes of the things they “surround” (tôn emperiekhomenon). He notes that the difficulty of the art of astrological prediction has made critics believe it to be useless, and he argues in favor of its helpfulness and usefulness. He blames bad and false practitioners for the failing of astrology. The rest of the argument involves the natural cosmic sympathy popularized by Posidonius. The influence of the Sun, Moon, and stars on natural phenomena, weather and seasons brings the possibility than men can likewise be affected in temperament due to this natural ambience (ton periekhon). The surrounding conditions of the time and place of birth contribute a factor to character and temperament (as we find earlier in Ocellus). While the supralunary movements are perfect and destined, the sublunary are imperfect, changeable, and subject to additional causes. Natural events such as weather and seasons are less complicated by additional causes than events in the lives of human beings. Rearing, custom, and culture are additional accidental causes that contribute to the destiny of an individual. He seems to encourage critics to allow astrologers to start their predictions with knowledge of these factors rather than do what is called a “cold reading” in modern astrology. The criticism he counters is that of Skeptics such as Sextus Empiricus, who elaborated on earlier arguments from the New Academy, and who argue that an astrologer does not know if they are making predictions for a human or a pack-ass (Adversus mathematicos, 5.94).

Ptolemy’s arguments that astrology is useful and beneficial are the following: 1) One gains knowledge of things human and divine. This is knowledge for its own sake rather than for the purpose of gains such as wealth or fame. 2) Foreknowledge calms the soul. This is a basic argument from Stoic ethics. 3) One can see through this study that there are other causes than divine necessity. Bodies in the heavens are destined and regular, but on earth are changeable in spite of receiving “first causes” from above. This corresponds again to the Neopythagorean Platonism found in Ocellus. These first causes can override secondary causes and can subsume the fate of an individual in the cases of natural disasters. Ptolemy’s attribution of the nature of planets and stars, which is the basis of their benefic or malefic nature, is that, like Ocellus before him, of heating, drying, moistening, and cooling. The stars in each sign have these qualities too based on their familiarity (oikeiôsis) with the planets. Geometrical aspects between signs, which are the basis of planetary relations, are also based on “familiarity” determined by music theory and the masculine or feminine assignment to the signs. He considers the sextile and trine aspects to be harmonious, and the quadrangle and opposition to be disharmonious.

Book 2 of Tetrabiblos includes material on astrological significations for weather, ethnology and astro-chorography. Ptolemy is not the first to delineate an astrological chorography (geographical regions assigned to signs of the zodiac), and his assignments differ significantly from those found in Dorotheus, Teukros, Manilius, and Paulus Alexandrinus. Book 3 and 4 consist of methods of prediction of various topics in natal astrology. Absent in his work is the katarchical astrology found in earlier writers. Ptolemy is the first astrologer to employ Hipparchus’ zodiac modified to account for the “precession of the equinox,” that is, the changing seasonal reference point against the background of the stars. This zodiac uses the vernal equinox as the beginning point rather than the beginning of one of the twelve constellations. (This “tropical” zodiac would become the standard in the Western practice of astrology up to present day. Modern opponents of astrology typically utilize precession – pointing out the fact that zodiac “signs” no longer match with the star constellations.) Other astrologers, including those shortly following Ptolemy, were either not aware of Hipparchus’ observation or did not find it important to make this adjustment. Valens claims to use another method of Hipparchus, but it is debatable whether or not he adjusted his zodiac to the vernal point. Ptolemy had no impact on other astrologers of the second century, likely because his texts were not yet in circulation.

We do not find in Ptolemy’s work the language of signs and astral divination, but a causal language – the relationships between the planets cause natural activity on earth, from weather to seasons to human temperament. However, Ptolemy argues for the fallibility of prediction, and cannot be considered a strict astral determinist for this reason, though he believed that astrology as a tool of knowledge could be made more accurate with improved techniques, closing the gap of fallibility. The idea that stars are causes is not original with Ptolemy, being an acceptable idea to Peripatetic thinkers cued by Aristotle’s eternal circular motions of the heavens as the cause of perpetual generation (On Generation and Corruption (336b15 ff). For Ptolemy, though, this idea as a justification for the practice of astrology was probably filtered through the Peripatetic influenced Neopythagoreans such as Ocellus. Ptolemy’s arguments may have been the target of subsequent attacks by Alexander of Aphrodisias, Plotinus and early Church Fathers.

e. Vettius Valens

The work Anthologiarum of Vettius Valens the Antiochian (written between 152-162 C.E.) is important for a number of reasons. It contains fragments of earlier writers such as Nechepso and Critodemus, and numerous horoscopes important for the study of the history of astronomy. He is also an astrological writer who best exemplifies the details of the practice and the mind of the practitioner. Having traveled widely in search of teachers, he exhibits techniques unavailable in other astrological texts, indicating much regional variety. Among his sources, he mentions the following astrologers and astronomers (in alphabetical order): Abram, Apollinarius, Aristarchus, Asclation, Asclepius, Critodemus, Euctemon, Hermeias, Hermes, Hermippus, Hipparchus, Hypsicles, Kidenas, Meton, Nechepso, Petosiris, Phillip, Orion, Seuthes and Soudines, Thrasyllus, Timaeus, Zoroaster. Valens claimed to have tested the methods and to have the advantage of making judgments about the methods through much toil and experience (cf. 6.9). He occasionally interjects the technical material with reflections about his philosophical convictions. His philosophical leaning is far less complicated than Ptolemy’s, for it is primarily based on Stoic ethics. His association of the Sun with Nous (1.1), for example, exhibits remnants of the Neopythagorean/Middle Platonic roots (see Plutarch), but his conscious justification for astrology is based on Stoicism. That which is in our power (eph’ hêmin), according to Stoic ethics, is how we adapt ourselves to fate and live in harmony with it. Valens argues that we cannot change immutable fate, but we can control how we play the role we are given (5.9). He quotes Cleanthes, Euripides, and Homer on Fate (6.9; 7.3), emphasizing that one must not stray from the appointed course of Destiny. Valens maintains a sense of “astral piety,” treating astrology as a religious practice, exemplified in the oath of secrecy upon the Sun, Moon, planets and signs of the zodiac in his introduction to Book 7. He asks his reader(s) to swear not to reveal the secrets of astrology to the uneducated or the uninitiated (tois apaideutois ê amuêtois), and to pay homage to one’s initial instructor, otherwise bad things will befall them. In Book 5.9, he provides a Stoic argument in favor of prognostication through astrology. He considers the outcomes that Fate decrees to be immutable, and the goddesses of Hope (Elpis) and Fortune (Tukhê) acting as helpers of necessity and enslave men with the desires created by the turns and expectations of fortune. Those however who engage with prognostication have “calmness of soul” (atarakhôn), do not care for fortune or hope, are neither afraid of death nor prone to flattery, and are “soldiers of fate” (stratiôtai tês heimarmenês). While other places, Valens gives techniques for katarchical astrology (5.3; 9.6) he states that no amount of ritual or sacrifice can alter that which is fated in one’s birth chart. He also considers the time of birth to account for dissimilar natures in two children born of the same parents. In keeping with his religious approach to astrology, he treats it as “a sacred and venerable learning as something handed over to men by god so they may share in immortality.” Like Ptolemy, Valens also blames the imperfections of predictions on the astrologers – particularly the inattentiveness and superficiality of some of the learners.

Ptolemy and Valens stand as representatives of astrology in the second century, but their works were not the most prominent. Astrological concepts were also used in magic, Hermeticism, Gnosticism, Gnostic Christian sects such as the Ophites, and by the author of the Chaldaean Oracles. Other known astrologers of the second century include Antiochus of Athens and Manetho (not to be confused with the Egyptian historian). One additional astrologer will be treated for his philosophical position, Firmicus Maternus. Though because he was influenced by Neoplatonic theories, he will be included below in the section on Neoplatonism.

5. The Skeptics

Already mentioned is Pliny’s acceptance of some methods of astrology and rejection of others based on numerology. Similarly mentioned was Ptolemy’s rejection of various methods based on subdivisions of the zodiac and manipulations based on planetary numbers. Both he and Valens, as astrologers, criticized other practitioners for either shoddy methods or deliberate deception, posing their forms of divination as astrology. Valens went so far as to admonish those who dress up their “Barbaric” teachings in calculations as though they were Greek, perhaps in reference to the frequently maligned “Chaldaeans” (Anthologiarum, 2.35). Geminus of Rhodes, an astronomer of the mid-first century B.C.E., accepts some tenets of astrology, particularly the influence of aspects “geometrical relations” of planets, while rejecting others, such as the causal influence of emanations from fixed stars. Midde Stoic Panaetius is also known to have rejected astrology, most likely under the influence of his astronomer friend Scylax, who like other astronomers of the time, attempted to set the practice of astrology apart from astronomy. Arguments against astrology can be grouped into one of two categories (though there are other ways to classify them): ones that deny the efficacy of astrology or astrologers; and ones that admit that astrology “works” but question the morality of the practice. Arguments of the latter type include those that see astrology as a type of practice of living that assumes a strict fatalism. Some of the earliest arguments against astrology were launched by the skeptical New Academy in the second century B.C.E. Arguments against astrology on moral or ethical grounds would proliferate in Christian theologians such as Origen of Alexandria and other Church Fathers. Astrology would become an important issue for Neoplatonists, with some rejecting it and others embracing it, though not within a context of strict fatalism.

a. The New Academy (Carneades)

The earliest arguments against the efficacy of astrology have been traced to the fourth head of the skeptical New Academy, Carneades (c. 213-129 B.C.E.) (cf. Cramer, p. 52-56). As an advocate of free will, primarily against Stoic determinism, Carneades is likely to have influenced other philosophers who have argued against astrology. The arguments by Carneades, who left no writings, have been reconstructed as the following:

  1. Precise astronomical observations at the moment of birth are impossible (and astrological techniques depend on such precision).
  2. Those born at the same time have different destinies (as empirically observed)
  3. Those born neither at the same time or place often share the same death time (as in the case of natural disasters)
  4. Animals born at the same time as humans (according to strict astrological fatalism) would share the same fate.
  5. The presence of diverse ethnicities, customs and cultural beliefs is incompatible with astrological fatalism.

Astrologers would respond to the last argument with the incorporation of astro-geography or astro-chorography (perhaps as early as Posidonius), indicating an astral typology of a people, and used for the purpose of “mundane” astrology, predictions for entire nations, which would also account for the second argument. Astro-chorography can be found as early as Teukros of Babylon and Manilius, but might be traced to Posidonius’ predecessor Cratos of Mallos.

b. Sextus Empiricus

About three centuries later, Pyrrhonian skeptic Sextus Empiricus would elaborate upon these arguments in “Against the Astrologers” (Pros astrologous, Book 5 of Pros mathêmatikous). He first outlines the procedure of drawing a birth chart, and the basic elements of astrology, the places (topoi), the benefic and malefic nature of the planets, and the criteria for determining the power of the planets. He also notes the disagreements among astrologers, particularly regarding subdivisions of the signs, a disagreement also noted by Ptolemy. Sextus first notes typical arguments against astrology: 1) earthly things do not reallysympathize with celestial. He uses an example from anatomy, namely, the head and lower parts of body sympathize because they have unity, and this unity is lacking in celestial/earthly correspondence; 2) It is held that some events happen by necessity, some by chance, some according to our actions. If predictions are made of necessary events, then they are useless; if of chance events, then they are impossible; if of that according to our will (para hêmas), then not predetermined at all. If as he says, these are arguments by the majority, then there was an attack on the theory of cosmic sympathy and on the use of prediction (any form of divination) on events determined by any or all of the three causes. This precludes the possibility that the planets and stars are causes that determine necessity in the sublunary realm, and it presents astrology as a form of strict determinism. Sextus continues by offering a more specific set of criticisms, including the five thought to originate with Carneades. He especially focuses on the inaccuracy of instruments and measurements used for determining either the time of birth or conception. To these criticisms he adds that astrologers associate shapes and characters of men (tas morphas kai ta êthê) with the characteristics of the zodiac signs, and questions, for example, why a Lion could be associated with bravery while an equally masculine animal, the Bull, is feminine in astrology. He also ridicules physiognomic descriptions, such that those who have Virgo ascending are straight-haired, bright-eyed, white-skinned; he wonders if there are no Ethiopian Virgos. Sextus adds the argument that predictions from the alignment of planets cannot be based on empirical observation since the same configurations do not repeat for 9977 years (one calculation of the Great Year. Many such calculations exist in the Hellenistic and Late Hellenistic eras, for the exact length of the cycle was debated).

6. Hermetic and Gnostic Astrological Theories

The “philosophical” Hermetica, texts in the Hermetic tradition that are typically of later origin than the “technical” astronomical and magical fragments, share astrological imagery in common with another heterogeneous group of texts known as “Gnostic.” (See more on Hermeticism and Gnosticism in Middle Platonism and Gnosticism). A factor present in both collections is the role planets and stars play in the cosmologies and eschatologies, one in which the planets and other celestial entities are seen as oppressive forces or binding powers from which the soul, by nature divine and exalted above the cosmo, must break free. Fate (Heimarmenê) plays a major role in the Hermetic texts, and astrology is sometimes taken for granted as knowledge of the Fate by which the mortal part of a human being is subjected to at birth (cf.Stobaei Hermetica, Excerpt VII). The planets are said to be subservient to Fate and Necessity, which are subordinate powers to God’s providence (pronoia). In the Poimandres text, God made man in his own image, but also made a creator god (demiurge) who made seven administrators (the planets) whose government is Fate. Man being two-fold, is both immortal, and above the celestial government, and mortal, so also a slave within the system, for he shares a bit of the nature of each of the planets. At death the soul of the individual who recognizes their immortal, intellectual, and divine self ascends, while gradually surrendering the various qualities accumulated during the descent: the body is given to dissolution; the character (êthos) is yielded to the daimon (cf. Heraclitus, Fr. 119); and through each the seven planetary zones, a portion of the incarnated self that is related to the negative astrological meaning of each planet (e.g., arrogance to the Sun, greed to Jupiter) is given back to that zone. Arriving at the eighth zone, the soul is clothed in its own power (perhaps meaning its own astral body), while it is deified (in God) in the zone above the eighth (some Gnostic texts also refer to a tenth realm). Astrological fatalism, then, is modified by the Platonic immortal soul whose proper place is above the cosmic order. Astrology affects the temperament and life while in the mortal body, but not ultimately the soul. Another Hermetic text that incorporates astrology is the Secret Sermon on the Mount of Hermes to Tat (Corpus Hermeticum, Book XIII). Here the life-bearing zodiac is responsible for creating twelve torments or passions that mislead human beings. These twelve are overcome by ten powers of God, such as self-control, joy and light. In Excerpt XXIII of the Stobaei Hermetica, the zodiac is again thought responsible for giving life (to animals) while each planet contributes part of their nature to human being. In this instance, as well as in Excerpt XXIX, what the planets contribute is not all vice, but both good and bad in a way that corresponds with the nature of each planet in astrological theory. The Discourses from Hermes to Tat is a discussion of the thirty-six decans, a remnant of Egyptian religion, which was incorporated into Hellenistic astrology. The decans are guardian gods who dwell above the zodiac, and added by servants and soldiers that dwell in the aether, they affect collective events such as earthquakes, famines and political upheaval. Furthermore, the decans are said to rule over the planets and to sow good and bad daimons on earth. Although Fate is an integral part of these Hermetic writings, it seems that the transmission of the Hermetic knowledge, which intends to aid the soul to overcome Fate, is for the elect, because most men, inclining towards evil, would deny their own responsibility for evil and injustice (Excerpt VI). This is a rehashing of the Lazy Man Argument used against Stoic determinism, though cast in the light of astral fatalism.

Hippolytus, being mostly informed by Irenaeus, tells us that the Christian Marcion and his followers used Pythagorean numerology and astrology symbolism in their sect, and that they further divided the world into twelve regions using astro-geography (6.47-48). They may have used a table of astro-numerology like that found in Teukros of Babylon. Some Gnostic sects such as the Phibionites, as did the Christian Marcionites associated each degree of the zodiac with a particular god or daimon. Single degrees of the zodiac (monomoiria) were governed by each planets. The astrologers assigned each degree to a planet by various methods as outlined in the compilation of Paul of Alexandria. For the Gnostics, the degrees were hypostatized as beings that did the dirty work of the planets, who themselves are governed by higher beings on the ontological scale as produced by the Ogdoad, and Decade, and Dodecade, and ultimately leading to a cosmic ruler or demiurge, typically called Ialdabaoth, though varying based on the specific version of the cosmo-mythology of each sect. It is likely that the astrologers and the Gnostics did not use these divisions in the zodiac in the same way. Assignment of planets to divisions of the zodiac is typically used in astrology for determining the relative strength of the planets, and in the case of Critodemus (cited in Valens, 8.26), in a technique for determining length of life. The monomoiria may have been used in the Gnostic and/or Hermetic writers for the sake of gaining knowledge of the powers that oppress in order to overcome them.

In the Chaldaean Oracles, a text of the second century and thought to bear the influence of Numenius, one finds a view of the cosmos similar to that found in the Hermetic corpus. However, the divine influences from above are mediated by Hecate, who separates the divine from the earthly realm and governs Fate. Fate is a force of Nature and the irrational soul of a human being is bound to it, but the theurgic practices of bodily and mental purification, utilizing the rational soul, is preparation for the ascent through the spheres, the dwelling place of the intelligible soul and the Father God. The Oracles share with the Gnostic and Hermetic texts a hierarchy of powers including the zodiac, planets and daimons.

7. Neoplatonism and Astrology

Neoplatonism is typically thought to have originated with Plotinus; though his philosophy, like every Late Hellenistic philosophy and religion, did not develop in a vacuum. Plotinus was acquainted with the Middle Platonists Numenius and Albinus, as well as Aristotelian, Neopythagorean, Gnostic, and Stoic philosophies. Numenius (fl. 160-180 C.E.) shares with the Hermetic and Gnostic cosmologies the notion that the soul of human beings descends through the cosmos (through the Gateway of Cancer), loses memory of its divine life, and acquires its disposition from the planets. The qualities of the planets are again astrological, but vary by degree based on the distance from the intelligible realm – at the highest planetary sphere, Saturn confers reason and understanding, while at the lowest, the Moon contributes growth of the physical body. During the ascent, judges are placed at each planetary sphere; if the soul is found wanting, it returns to Hades above the waters between the Moon and Earth, then is reincarnated for ages until it is set right in virtue (based on the Myth of Er in Plato’s Republic 10.614-621).

The cosmological schemes, particularly the ontological hierarchies, in Middle Platonic, Gnostic and Neopythagorean thinkers typically allows for the place of astrology, if not in a strictly deterministic way for the entire human being, for the transcendent soul descends and ascends through the cosmos and one’s own actions determine future ontological status. This context places Neoplatonic philosophy in a difficult relationship with astrology and fatalism. Plotinus is unique in that he reverses the ontological status of the soul and the cosmos, for the All-Soul (World-Soul, Nous) is the creator and governor of the cosmos, but not a part of it. His philosophy, which exalts the soul above the cosmos and above the ordinance of time, forms the basis for some of his arguments against astrology.

a. Plotinus

Plotinus (204-270 C.E.) takes up the issue of astrology in Ennead 3.1 “On Fate,” and in more detail in the later Ennead 2.3, “Are the Stars Causes?” (chronologically, the 52nd treatise, or third from the last). In the first text, Plotinus points out that some hold the belief that the heavenly circuit rules over everything, and the configurations of the planets and stars determine all events within this whole fated structure (3.1.2). He then elaborates upon an astrology based on Stoic cosmic sympathy theory (sumpnoia), in which animals and plants are also under sympathetic influence of the heavenly bodies, and regions of the earth are likewise influenced (3.1.5). Many astrologers divided countries into astrological zones corresponding to zodiac signs (cf. Manilius Astronomica, 4.744-817). Plotinus briefly presents the arguments that for one, this strict determinism leaves nothing up to us, and leaves us to be “rolling stones” (lithous pheromenois – this recalls the rolling cylinder example in Stoicism). Secondly, he says the influence of the parents is stronger on disposition and appearance than the stars. Thirdly, recounting the New Academy argument, he says that people born at the same time ought to share the same fate (but do not). Given this, he does argue that planets can be used for predictive purposes, because they can be used for divination like bird omens (3.1.6; 3.3.6; 2.3.7-8). The diviner, however, has no place in calling them causes since it would take a superhuman effort to unravel the series of concomitant causes in the organism of the living cosmos, in which each part participates in the whole.

In Ennead 2.3, his arguments can be divided into two types, the first being a direct assault against the specific doctrines and language used by astrologers, the second concerning the roles that the stars have on the individual soul’s descent into matter, as he sees in accordance with Plato’s Timaeus and Republic10. In the first set of arguments, Plotinus displays more intimate familiarity with the language of technical astrology. He turns around the perspective of this language from the observer to the view from the planets themselves. He finds it absurd, for instance, that planets affect one another when they “see” one another and that a pair of planets could have opposite affections for one another when in the region of the other (2.3.4). Another example of the switched perspective is his criticism of planetary “hairesis” doctrine, such that each planet is naturally diurnal or nocturnal and rejoices in its chosen domain. He counters that it is always day for the planets. More pertinent to his philosophy, Plotinus then poses questions about the ontological status of the planets and stars. If planets are not ensouled, they could only affect the bodily nature. If they are ensouled, their effects would be minor, not simply due to the great distance from earth, but because their effects would reach the earth as a mixture, for there are many stars and one earth (2.3.12). Plotinus does think planets are ensouled because they are gods (3.1.5). Furthermore, there are no bad planets (as astrologers claim of Mars and Saturn) because they are divine (2.3.1). They do not have in their nature a cause of evil, and do not punish human beings because we have no effect on their own happiness (2.3.2). Countering moral characteristics that astrologers attribute to the zodiac and planets, Plotinus argues that virtue is a gift from God, and vice is due to external circumstances that happen as the soul is immersed in matter (2.3.9; 2.3.14).

Plotinus does concede that just as human beings are double in nature, possessing the higher soul and the lower bodily nature, so are planets. The planets in their courses are in a better place than beings on earth, but they are not themselves completely unchanging, like beings in the realm of Intellect (2.1). In this regard he attempts to square the contribution of the stars to one’s disposition in the Spindle of Fate in Plato’sRepublic 10, to his belief in free will. From the stars we get our character (êthê), characteristic actions (êthê praxeis) and emotions (pathê). He asks what is left that is “we” (hêmeis), and answers that nature gave us the power to govern (kratein) passions (pathôn) (2.3.9). If this double-natured man does not live in accordance with virtue, the life of the intellect that is above the cosmos, then “the stars do not only show him signs but he also becomes himself a part, and follows along with the whole of which he is a part” (2.3.9, tr. Armstrong).

In summary, Plotinus ridicules astrological technical doctrine for what he sees as a belief in the direct causality of the planets and stars on the fate of the individual. He also finds offensive the attribution of evil or evil-doing to the divine planets. However, he does believe that planets and stars are suited for divination because they are part of the whole body of the cosmos, and all parts are co-breathing (sumpnoia) and contribute to the harmony of the whole (2.3.7). The planets do not, then, act upon their own whims and desires.

b. Porphyry

Plotinus’ best-known student, Porphyry of Tyre (c. 232/3-304/5), held quite a different view on astrology. He wrote a lost work on astrology, Introduction to Astronomy in Three Books (the word “astronomy” meaning “astrology”), and put together an Introduction to Ptolemy’s Tetrabiblos (Eisagôgê eis tên Apotelesmatikên tou Ptolemaiou). In this work he heavily draws upon (and in some cases copies directly from) Antiochus of Athens, an astrologer of the late second century C.E. Antiochus’ influence was considerable, and perhaps greater than Ptolemy’s in the third and fourth centuries, since he was referenced by several later astrologers such as Firmicus Maternus, Hephaistion of Thebes, Rhetorius, and the medieval “Palchus.” It may be that Porphyry encountered Antiochus’ work when he studied in Athens under Longinus (another student of Ammonius Saccas) before continuing his Platonic education under Plotinus. Porphyry attempts to reconcile his belief in astrology with the Platonic belief in a free an exalted soul that is separable from the body. As a Pythagorean, Porphyry promoted abstinence from meat and other methods of detachment from the body as promoting virtue and a life of Nous. (cf. Launching Points to the Realm of the Mind; Letter to Marcella;On Abstinence). In an earlier work of which only fragments exist, Concerning Philosophy from Oracles, Porphyry asserts that gods and the demons use observations of the movements of stars to predict events decreed by Fate, a doctrine originating with the Stoics. He claims astrologers are sometimes incorrect in their predictions because they make faulty interpretations (while assuming that the principles of astrology itself are not false) (cf. Amand, p. 165-166; Eusebius Praeparatio evangelica, 6.1.2-5). In another fragment (Stobaeus, 2.8.39-42), Porphyry interprets Plato’s Myth of Er (Republic 10.614-621) as justification for the compatibility of astrology and free choice (Amand, p. 164-165). Before the souls descend to earth, they are free to choose their guardian daimon. When on earth, they are subject to Fate and necessity based on the lot chosen. Porphyry says this is in agreement with the (Egyptian) astrologers who think that the ascending zodiac sign (hôroskopos), and the arrangement of the planets in the zodiac signify the life that was chosen by the soul (Stobaeus, 2.8.39-42). He notes, as does Plotinus (Enn., 2.3.7), that the stars are scribbling on the heavens that give signs of the future. Both Porphyry and Plotinus discuss the Myth of Er and the stars as giving divinatory signs (sêmainô), but Porphyry accepts the astrological tradition filled with complicated calculations and strange language, while Plotinus rejects it.

Porphyry’s Introduction to Ptolemy’s Tetrabiblos contains little content from Ptolemy, and purports to fill in the terminology and concepts that Ptolemy had taken for granted. Porphyry says that by explicating the language in as simple a way as possible, these concepts will become clear to the uninitiated. His great respect for Ptolemy is evident by his other work on the study of Ptolemy’s Harmonics, and by statements that he makes of his debt, but he includes in the compilation numerous techniques that Ptolemy rejected. The debt he may be paying though, may actually be to readers of Plotinus. It may be a response to Plotinus’ criticism of the language of astrology and the belief that stars are causes. Porphyry seems to think that understanding the complicated scientific language will give back the credence to astrology that the naturalistic model by Ptolemy took away (at least for his most respected teacher).

In the Letter to Anebo, Porphyry poses a series of questions about the order of and distinctions between visible and invisible Gods and daimons, and about the mantic arts. He mentions the ability of some to judge, but the configurations of the stars, whether or not divinatory predictions will be true and false, and if theurgic activity will be fruitful or in vain (Epistula ad Anebonem, 2.6c – in reference to katarchical astrology). He also asks about the symbolism of the images of the Sun that change by the hour (these figures are twelve Egyptian forms that co-rise with the ascending signs of the zodiac. The dôdekaôrai. These uneven hours were measured by the time it took for each sign to rise; cf. Greek Magical Papryi, PGM IV 1596-1715). In this work, though, he complains of Egyptian priest/astrologers such as Chaeremon, who reduce their gods to forces of nature, do not allow for incorporeals, and hold to a strict deterministic astral fatalism (Epist. Aneb., 2.13a). Porphyry concludes with questions about the practice of astrologers of finding one’s own daimon, and what sort of power it imparts to us (Epist. Aneb., 2.14a-2.16a; cf. Vettius Valens, Book 3.1; Hephaistion, Apotelesmatica, 13; 20). Again, reconciling his notions of virtue and free will with astrology, he states that if it is possible to know one’s daimon (indicated by the planet derived through a set of rules and designated as the oikodespotês) from the birth chart, then one can be free from Fate. He notes the difficulties and disagreements among astrologers about how to find this all-important indicator. In fact, in Introduction to Ptolemy’s Tetrabiblos (30), he includes a lengthy chapter (again, borrowing from Antiochus of Athens) that explains a method for finding the oikodespotês) and for differentiating this from other ruling planets (such as the kurios and theepikratêtôr). As will be explicated, Iamblichus, who formed his own unique relationship to astrology, answered these questions in his De mysteriis.

c. Iamblichus

While Iamblichus (c. 240-325 C.E.) believed in the soul’s exaltation above the cosmos, he did not, like Plotinus, think that the embodied soul of the human being is capable of rising above the cosmos and its ordering principle of Fate through simple contemplation upon the One, or the source of all things. Iamblichus responds to Porphyry’s accusation that Egyptian religion is only materialistic: just as the human being is double-natured, an incorporeal soul immersed in matter, this duality is replicated at each level of being (5.20). Theurgy, for most people, should begin with the material gods that have dominion over generation and corruption of bodies. He does not think the masses are capable of intellectual means of theurgy (this is reserved for the few and for a later stage in life), but that a theurgist must start at their own level of development and individual inclinations. His complex hierarchy of beings, including celestial gods, visible gods, angels and daimons, justifies a practice of theurgy in which each of these beings is sacrificed and prayed to appropriately, in a manner pleasing to and in sympathy with their individual natures. Material means, i.e., use of stones, herbs, scents, animals, and places, are used in theurgy in a manner similar to magical practices common in the Late Hellenistic era, with the notable difference that they are used simply to please and harmonize with the order of the higher beings, rather than to obtain either an earthy or intellectual desire. Divinity pervades all things, and earthly things receive a portion of divinity from particular gods.

Answering Porphyry’s question about the meaning of the Sun god seated on the Lotus (an Egyptian astrological motif), Iamblichus responds that the images that change with the zodiacal hours are symbolic of an incorporeal (and unchanging) God who is unfolded in the Light through images representing his multiple gifts. His position above the Lotus (which, being circular, represents the motion of the Intellect) indicates his transcendence over all things. Curiously, Iamblichus also says that the zodiac signs along with all celestial motions, receive their power from the Sun, placing them ontologically subordinate to it (De mysteriis, 7.3).

Next addressing Porphyry’s question about astral determinism of Chaeremon (who is thought to be a first century Alexandrian astrologer/priest versed in Stoic philosophy; cf. Porphyry, De abstinentia, 4.6; Origen Contra Celsum, 1.59; Cramer, p. 116-118) and others, Iamblichus indicates that the Hermetic writings pertaining to natal astrology play a minor role in the scope of Hermetic/Egyptian philosophy (De myst., 8.4) Iamblichus does not deny the value of natal astrology, but considers it to be concerned with the lower material life, hence subordinate to the intellectual. Likewise, not all things are bound to Necessity because theurgic exercises can elevate the soul above the cosmos and above Fate (8.7). On Porphyry’s question about finding one’s personal daimon through astrological calculation, Iamblichus responds that the astrological calculations can say nothing about the guardian daimon. Since the natal chart is a matter concerning one’s fatedness, and the daimon is assigned prior to the soul’s descent (it is more ancient; presbutera) and subjection to fate, such human and fallible sciences as astrology are useless in this important matter (9.3-4). In general, Iamblichus does not show much inclination for use of astrological techniques found in Ptolemy, Antiochus, and other astrologers, but he does believe that astrology is in fact a true science, though polluted by human errors (9.4). He also accepts and uses material correspondences to celestial gods (including planets), as well as katarchical astrology, observations used for selecting the proper times (8.4).

d. Firmicus Maternus

Julius Firmicus Maternus was a fourth century Sicilian astrologer who authored an astrological work in eight books, Matheseos, and about ten years later, a Christian polemical work, On the Error of Profane Religions (De errore profanarium religionum). Unlike Augustine (who studied astrology in his youth), Firmicus did not launch polemics against astrology after his conversion to Christianity He is mentioned briefly for his Neoplatonic justification for the practice of astrology. While he claims only meager knowledge in astrology, his arguments betray a passionate commitment to a belief in astral fatalism. He treats astrological knowledge as a mystery religion, and as Vettius Valens did before him, he asks his reader, Mavortius, to take an oath of secrecy and responsibility concerning astrological knowledge. He refers to Porphyry (along with Plato and Pythagoras) as a likeminded keeper of mysteries (7.1.1). In De errore, however, he attacks Porphyry for the same reason, that he was a follower of the Serapis cult of Alexandria (Forbes’ translation, p. 72). Firmicus’ oath is upon the creator god (demiurge) who is responsible for the order of the cosmos and for arranging the planets as stations along the way of the souls’ ascent and descent (7.1.2).

While outlining the arguments of astrology’s opponents, (including the first and second arguments of the New Academy, mentioned above), Firmicus claims not to have made up his mind concerning the immortality of the soul (Matheseos, 1.1.5-6), but he shortly betrays a Platonic belief in an immortal soul separable from the body (1.3.4). These souls follow the typical Middle Platonic ascent and descent through the planetary spheres; as a variation on this theme, he holds the notion that souls descend through the sphere of the Sun and ascend through the sphere of the Moon (1.5.9). This sovereign soul is capable of true knowledge, and, by retaining an awareness in spite of its forgetful and polluted state on Earth, can know Fate imperfectly through the methods of astrology handed down from Divine Mind (mentis treated as a Latin equivalent for nous, 1.4.1-5; 1.5.11). In response to the critics, he suggests that they do not have first hand knowledge and that if they encountered false predictions, the fault lies with the fraudulent pretenders to astrology and not with the science itself (1.3.6-8). For Firmicus, the planets, as administrators of a creator God, give each individual soul their character and personality (1.5.6-7).

After offering profuse praise of Plotinus, Firmicus attacks his belief that everything is in our powers and that superior providence and reason can overcome fortune. He argues that Plotinus made this claim in the prime of his health, but that he too accepted the powers of Fate toward the end of his life, since all efforts to advert poor health, such as moving to a better climate, failed him (1.7.14-18). Following this and other examples offered to his reader of fated events, he argues against the notion held by some, that fate (heimarmenê) only controls birth and death. This argument may be a precursor of the definition of fate that Hierocles offered a century later, which will be discussed next.

e. Hierocles

Hierocles of Alexandria is a fifth century Neoplatonist who argued against astrology, particularly an astrological theory based on a Stoic view of Fate and Necessity. He also rejected magical and theurgical practices prevalent in his time as a way to either escape or overcome the fate set down in one’s birth chart. His argument against these practices is based on his view of Providence and Fate, found in his work On Providence, which only survives in later summaries by ninth century Byzantine Patriarch, Photius. In general, Hierocles saw himself in line with the thinkers starting with Ammonius Saccas, who argue for the compatibility between Plato and Aristotle, while he rejects thinkers who emphasize their differences, such as Alexander of Aphrodisias. His view of Fate is that it is an immutable ordering of thinking according to divine Justice. Using, as do Plotinus and Porphyry, Plato’s Myth of Er (Rep., 10), fate is a system of rewards and punishments the souls choose before reincarnation on earth. He does not, though, like Porphyry, accept the transmigration of the soul from human to animal body and vice versa. This view on reincarnation had already been put forth by Cronius, a contemporary of Numenius (cf. Dillon, p. 380). He considers astrology to be contrary to this notion of Fate because it works by a principle of “mindless necessity” (enepilogiston anagkên). Photius writes of Hierocles:

He does not at all accept the irrational “necessity” spoken of by the astrologers, nor the Stoic “force,” nor even what Alexander of Aphrodisias supposed it to be, who identifies it with the nature of Platonic Bodies. Nor does he accept that one’ birth can be altered by incantations and sacrifices. (Codex 214, 172b, tr. Schibli, p. 333)

The astrological theory he is arguing against is supported by Stoic fate and necessity, which assumes a chain of physical efficient causes. The astrologers who most closely represent this view are Manilius and Vettius Valens (link to above sections). There is nothing in the surviving summary to indicate that Hierocles also argues against the notion of Plotinus and Porphyry that the stars are signs rather than causes, because they are part of the rational and divine order of all things. Since he believed there is nothing outside of rational Providence, including that which is in our power (to eph’ hêmin), the stars too would be a part of the rational ordering. His fate, being quite deterministic but based on moral justice, does not allow for magic and theurgic practices used to exonerate one from his Fate revealed through astrology (cf. Porphyry’s Letter to Anebo; Greek Magic Papyri, XIII, 632-640). These practices he saw as unlawful attempts to manipulate or escape the ordering of things by the Providence of God.

f. Proclus

Proclus (410/11-485) was the director of the Platonic School at Athens, which called itself the “Academy” in order to maintain lineage with Plato’s fourth century school. In the absence of direct statements about the astrology, Proclus’ position on astral fatalism can be surmised through his philosophy, particularly his metaphysical hierarchy of beings. A paraphrase of Ptolemy’s astrological work, Tetrabiblos, is attributed to him, though there is little evidence to make a substantial claim about the identity of the author/copyist. Proclus did, however, take a keen interest in astronomy, and critiqued Ptolemy’s astronomical work,Syntaxis (or Almagest) in his Outline of Astronomical Hypotheses. In this work, he argues against Ptolemy’s theory of precession of the equinox (Hyp. astr., 234.7-22), although other Plato/Aristotle synthesizers, such as Simplicius, accepted it along with the additional spheres the theory would entail beyond the eighth (the fixed stars).

Proclus generally proposed three levels of being – celestial, earthly, and in-between. The four elements exist at every level of being, though fire (in the form of light) predominates in the celestial realm. Celestial beings are independent, self-subsistent, divine, and have their own will and power. As ensouled beings, celestial bodies are self-moving (the Platonic notion of soul). In order to maintain a consistency with Platonic doctrine, he argued against the notion that celestial spheres are solid paths upon which the planets and stars are carried along. Rather they are places possessing latitude, longitude, and depth (bathos – a measure of proximity to earth), which are projected by the free planets as their potential course. As visible gods, he thought the planets to be intermediaries between the intelligible realm and the sensible. In terms of planets being causes, he accepts the Aristotelian notion that they cause physical changes below (due to heat and light). However, he also accepted another type of non-physical causality, more akin to cosmic sympathy, in which several causes come together to form a single effect at a proper time and place. Everything lower in the hierarchy is dependent upon the higher, and is given its proper lot (klêros) and signature (sunthêma) of the higher beings. The celestial gods also have a ruling power over lower beings (Institutio theological, 120-122). This notion of properness (epitêdeiotês) extends from the celestial realm to all things below, including plants and metals (cf. Siovanes, p. 128-129). This is much akin to astrological theory, in which each planet and sign contributes, in varying proportions, to a single effect, the individual. The planetary gods are not the only actors, for they have invisible guardians (doruphoroi – not to be confused with the planets who guard the Sun and the Moon in astrological doctrine) who populate that the space of the planets’ courses, and who act as administrators. Proclus, though, is not a strict astral determinism, for as a theurgist, he also thought these allotments can be changed through theurgic knowledge (In Platonis Timaeum commentaria, 1.145).

8. Astrology and Christianity

Astrology’s relationship with early Christianity has a very complex history. Prior to being established as the official religion of the Roman Empire, the attitude of Jews and Christians toward astrology varied greatly. Philo of Alexandria and various Jewish pseudepigraphical writers condemned the practice of astrology (1 Enoch, Sibylline Oracles), while other texts accept portions of it and depict biblical figures such as Abraham and Noah as astrologers (cf. Barton, Ancient Astrology, p. 68-70). As mentioned above, early Christians such as Marcion and Basilides incorporated some aspects of astrology into their belief systems. In general, though, for the earliest Christian polemicists and theologians, astrology was incompatible with the faith for a number of reasons, mostly pertaining to the immorality of its fatalism. Some of the Christian arguments against astrology were borrowed from the skeptical schools. Hippolytus of Rome (170-236 C.E.) dedicating nearly an entire book (4) of his Refutations Against All Heresies, closely followed the detailed arguments from Sextus Empiricus, particularly concerning the lack of accurate methods for discerning the time of birth, which is required for establishing the natal chart. He is particularly troubled by the associations between signs of the zodiac and physiognomical features. Hippolytus outlines a list very similar to that of Teukros of Babylon (as contained in the latter’s De duodecim signis) containing correspondences between physiological and psychological characteristics; and he argues that the constellations were merely markers for star recognition, bear no resemblance to the animals by which they are named, and can bear no resemblance to human characteristics (Refutatio omnium haeresium, 4.15-27).

Bardaisan/Bardesanes (c 154-222 C.E.) was a converted Syriac Christian, who, like Augustine, studied astrology in his youth. It appears that in his conversion he did not give up all astrological thinking, for he accepts the role of the planets and stars as administrators of God. He wrote against astro-chorography, particularly the association of regions with planets based on seven climata or zones, stating that laws and customs of countries are based on institution of human free will and not on the planets. Along with free will, though, he accepts a degree of governance of nature and of chance, indicated by the limit of things in our control. Bardesanes is thought to be a forerunner of Mani, for he accepted a dualism of two world forces, dark and light (cf. Rudolf, Gnosis, p. 327-329).

Origen of Alexandria’s (185-254 C.E.) relationship to astrology was equally, if not more, complex than that of Plotinus. In his Commentary on Genesis he, in a manner similar to Plotinus, offers arguments against stars as causes, but in favor of stars as signs, divine writings in the sky. These writings are available for divine powers to gain knowledge and to participate in the providential aide of human beings (Philocalia, 23.1-23.21; cf. Barton, Power and Knowledge, p. 63-64). Origen believed that all beings, celestial, human or in-between, have the role of helping all creatures attain salvation. Celestial beings play a particular role in this cosmological paideia of educating creatures toward virtue. These signs, however, are imperfect at the human level, and cannot give exact knowledge (Philocalia, 23.6). Elsewhere (De oratione, 7.1), Origen urges us to pray for the Sun, Moon and stars (rather than to them), for they are also free beings (so he surmises by interpreting Psalm 148:3) and play a unique role in the salvation of the cosmos. Quite uniquely, Origen also appears to have been one of the first philosophers (if not the first) to use the theory of precession of the equinox as an argument against astrological prediction (Philocalia, 23.18).

Origen argued against those in antiquity who interpreted the Star of Bethlehem as an astrological prediction of the birth of Christ made by the Chaldaeans. He first notes that the Magi (from Persia) are to be distinguished from Chaldaeans (a word which at the time generally referred to Babylonian astrologers or simply astrologers). Secondly, he argues that the star was unlike any other astral phenomenon they had observed, and they perceived that it represented someone (Christ) superior to any person known before, not simply by the sign of the star, but by the fact that their usual sorcery and knowledge from evil daimons had failed them (Contra Celsum, 59-60). In general, regardless of the intentions of the gospel writers of including the myth of the Star of Bethlehem, it was interpreted by Christians not as a prediction by astrological methods of divination, but as a symbol of Christ transcending the old cosmic order, particularly fate oppressing the divinely granted human free will, and replacing it with a new order (cf. Denzey, “A New Star on the Horizon,” in Prayer, Magic, and the Stars, p. 207-221).

Three fourth century theologians, Gregory of Nyssa, Gregory Nazianzen, and Basil, known as the Cappadocians, rejected astrology as a part of an overall rejection of irrational Chance (Tukhê) and deterministic Necessity (Anankê) (see Pelikan, p. 154-157). Random chance had no place in the economy of God’s universe, while blind necessity denies human free will. They differentiated astrology from astronomy, which was an appropriate study for admiration of creation. Unlike Origen and Plotinus, Gregory Nazianzen rejected the notion of that stars give signs for reading the future. He feared that those who interpret the biblical notion that the stars were created for giving signs (Genesis 1:14) would use this as justification for horoscopic astrology (Pelikan, p. 156).

In the Latin west, Augustine (354-430 C.E.) took up polemics against astrology in conjunction with his arguments against divination (De civitate dei, 5.1-7). His distain for astrology is related to his early exposure to it as a Manichean prior to his conversion to Christianity. In De civitate dei (City of God), he borrowed freely from Cicero’s arguments against Stoic fate and divination. He particularly elaborated upon the New Academy argument that people born at the same time having different destinies (the twin argument). He includes in his attack on astrology the futility of katarchic astrology (choosing the proper moments for activities) as well as its contradiction with deterministic natal astrology. If persons are predestined by their natal charts, how can they hope to change fate by choosing the proper time for marriage, planting crops, etc? In addition, he attributes correct predictions by astrologers to occasional inspiration of evil daimons rather than the study of astrological techniques (De civ., 5.7).

As Christianity gained political and cultural ascendancy, decrees against astrology multiplied. With the closing of the “pagan” schools in 529, Neoplatonists and the astrology attached to them fled to Persia. Substantial debate exists about whether or not they set up a new school in Persia, specifically Harran, and likely, later, in Baghdad; but one thing that is certain is that astrological texts and astronomical tables (such as the Pinax of Ptolemy) used for casting charts were translated into Persian and adjusted for the sixth century. The astrological writings, particularly of Ptolemy, Dorotheus, and Vettius Valens, were then translated into Arabic and would become a part of Islamic philosophy. The Greek texts, in combination with developments in Persia and the astrology of India, would form the basis of medieval astrology. Astrology from that point on would continued its unique history, both combining with and striving against philosophical and scientific theories, up to the present day.

9. References and Further Reading

  • Amand, David. Fatalisme et Liberté dans L’Antiquité Grecqué (Lovain: Bibliothèque de L’Université, 1945)
  • Barton, Tamsyn. Ancient Astrology (London: Routledge, 1994)
  • Barton, Tamsyn. Power and Knowledge: Astrology, Physiognomics, and Medicine under the Roman Empire (Ann Arbor: University of Michigan Press, 1994)
  • Bobzien, Susanne. Determinism and Freedom in Stoic Philosophy (Oxford University Press, 1998)
  • Catalogus Codicum Astrologorum Graecorum, ed. D. Olivieri, et al., 12 Volumes (Brussels: Academie Royale, 1898-1953)
  • Cramer, Frederick H. Astrology in Roman Law and Politics (Philadelphia: American Philosophical Society, 1959)
  • Denzey, Nicola. “A New Star on the Horizon: Astral Christologies and Stellar Debates in the Early Christian Discourse,” in Prayer, Magic, and the Stars, ed. Scott B Noegel (University Park, PA: Pennsylvania University Press, 2003).
  • Dillon, John. The Middle Platonists (Ithaca, NY: Cornell University Press, 1977)
  • Dillon, John and A. A. Long, eds. The Question of “Eclecticism”: Studies in Later Greek Philosophy(Berkeley, CA: University of California Press, 1988)
  • Edelstein, L. and I. G. Kidd, eds. Posidonius: I. The Fragments (Cambridge University Press, 1972)
  • Firmicus Maternus, The Error of the Pagan Religions, tr. Clarence A. Forbes (NY: Newman Press, 1970)
  • Firmicus Maternus. Mathesis, Vol. I and II, ed. W. Kroll and F. Skutsch (Stuttgart: Teubner, 1968)
  • Firmicus Maternus, Matheseos Libri VIII, tr. Jean Rhus Bram (Park Ridge, NJ: Noyes Press, 1975)
  • Fowden, Garth. Egyptian Hermes (Princeton: Princeton University Press, 1986)
  • Green, William Chase. Moira: Fate, Good, & Evil in Greek Thought (Harper & Row, 1944)
  • Gundel, W. and Gundel, H. G. Astrologumena: die astrologische Literatur in der Antike und ihre Geschichte (Wiesbaden: Franz Steiner Verlag GMBH, 1966)
  • Holden, James Herschel. A History of Horoscopic Astrology (Tempe, AZ: American Federation of Astrologers, Inc, 1996)
  • Hunger, Hermann, and David Pingree. Astral Science in Mesopotamia (Leiden: Brill, 1999).
  • Iamblichus. On the Mysteries, tr. Thomas Taylor (San Francisco: Wizards Bookshelf, 1997)
  • Layton, Bentley, tr. and ed. The Gnostic Scriptures (New York: Doubleday, 1987).
  • Long, A. A. ed. Problems in Stoicism (London: Athlone Press, 1971).
  • Long, A. A., and D. N. Sedley. The Hellenistic Philosophers, Vol. 1 (Cambridge: Cambridge University Press, 1987)
  • Manilius. Astronomica, tr. G. P. Goold (Cambridge, MA: Harvard University Press, 1977)
  • Neugebauer, Otto. Astronomy and History: Selected Essays (New York: Springer-Verlag, 1983)
  • Pelikan, Jaroslav. Christianity and Classical Culture (New Haven, CT: Yale University Press, 1993)
  • Plutarch. Plutarchi moralia (Leipzig: Teubner, 1929-1960)
  • Claudius Ptolemy. Tetrabiblos, tr. F. E. Robbins (Cambridge, MA: Harvard University Press, 1956)
  • Reiner, Erica. Astral Magic in Babylonia (Philadelphia: The American Philosophical Society, 1995)
  • Rochberg, F. Babylonian Horoscopes, trans. Amer. Philos. Soc., Vol. 99, 1 (Philadelphia, 1998)
  • Rudolf, Kurt. Gnosis: The Nature and History of Gnosticism, tr. Robert McLachlan Wilson (San Francisco, CA: Harper San Francisco, 1987)
  • Sandbach, F. H. The Stoics (London: Chatto & Windus, 1975)
  • Schibli, Hermann S. Hierocles of Alexandria (Oxford: Oxford University Press, 2002).
  • Scott, Walter, ed. and tr. Hermetica Vol 1. (Boston: Shambala, 1985)
  • Sextus Empiricus. Against the Professors, Vol IV (Cambridge, MA: Harvard University Press, 1949)
  • Shaw, Gregory. Theurgy and the Soul: The Neoplatonism of Iamblichus (University Park, PA: Pennsylvania State University Press, 1995)
  • Siovanes, Lucas. Proclus: Neo-Platonic Philosophy and Science (New Haven, CT: Yale University Press, 1996).
  • Stoicorum veterum fragmenta, ed. J. von Arnim (Leipzig: Teubner, 1903)
  • Vettius Valens. Anthology, ed. David Pingree (Leipzig: Teubner, 1986)

Author Information

Marilynn Lawrence
Email: pronoia@nni.com
West Chester University of Pennsylvania
U. S. A.

Solomon Maimon (1753—1800)

maimonThe enigmatic philosopher, Solomon Maimon, is an important figure in the development of the movement referred to today as German Idealism. Immanuel Kant recognized Maimon as the critic who perhaps best understood his Critique of Pure Reason, and Fichte praises Maimon, wondering if later generations will look down on his own generation for having dismissed Maimon. Although Maimon is important in the development of post-Kantian German philosophy, he was largely ignored during his day and despite some attention by later German philosophers, he has remained largely unknown. This is more than likely due to the fact that his works are quite complex and lacking in systematicity, as well as due to the fact that German was not his first tongue and to the fact that he had a somewhat difficult personality. In the twenty-first century, his writings are receiving significantly more attention.

Table of Contents

  1. Maimon’s Life and Works
  2. The Problem of the Quid Juris
  3. The Thing-in-Itself and the Doctrine of Differentials
  4. The Thing-in-Itself and The Infinite Understanding
  5. Intuition
  6. Skepticism and the Quid Facti
  7. Transcendental Logic
  8. The Principle of Determinability
  9. Ethics and Legal Theory
  10. Maimon’s Influence
  11. References and Further Reading

1. Maimon’s Life and Works

Although there are some disputes about the year of Maimon’s birth, the accepted view is that he was born in 1753 near Sukoviborg (near Mir), Lithuania, in what is today Belarus. Solomon Maimon was not his given name at birth; rather, he was known as Shlomo ben Joshua. At around eleven years of age, he married and by the time he was fourteen, he was already a father. Beginning early in his life, he received training in Talmudic studies and became familiar with the Kabbalah as well as Hasidic texts and he came to revere Maimonides’ Guide to the Perplexed, a text that had great influence on him. In fact, when he changed his name in order to follow western European conventions, he adopted the surname of “Maimon” of out reverence for the great medieval Jewish philosopher. Feeling the need in his mid-twenties to study more science and philosophy, Maimon left his family behind and went West. He stopped briefly in Berlin but was not allowed to enter the city. For almost two years after his explusion from Berlin, Maimon lived as a beggar before settling in Posen and receiving a job as a tutor. He later left for Berlin again and was allowed into the city this time. He became friends with Moses Mendelssohn and other Jewish intellectuals, who, despite Maimon’s bad German and his lack of social graces, tolerated him because they recognized that he possessed a very sharp intellect. Maimon traveled again, staying for a short time in Amsterdam. Finding the Jewish community there to be too bourgeois for him in its tastes and interests, he returned to Germany. Maimon settled in Hamburg where he entered a high school (most likely between 1783-85) and pursued studies to improve his knowledge of math, science, and the German language. Matriculation records from a German high school (a “Gymnasium”) list a Solomon Maimon among its pupils, so it is likely that Maimon began referring to himself with this name and not “Shlomo ben Joshua” during this stay in Germany

It was after this period that Maimon began his philosophical writings. He moved from Hamburg to Breslau (Wroclaw) and took up a position as a tutor with a family. He wrote several textbooks in Hebrew, one on math and one concerned with Newton’s physics. He also translated Moses Mendelssohn’s Morgenstunden into Hebrew. At the end of the decade, Maimon traveled to Berlin yet again. It was at this point that he began his study of Kant’s Critique of Pure Reason. Kant’s friend, Marcus Herz, who was also a friend of Maimon’s, sent Kant Maimon’s draft of a commentary on the first Critique. Kant had no intention of reading through the commentary because he found himself too busy with other work. Yet, he later commented to Herz that a brief look through Maimon’s manuscript showed him that Maimon had understood the first Critique better than all of Kant’s other critics. With Kant’s “accolade” in hand, Maimon attained a legitimacy that opened several doors and publishing avenues for him. Maimon revised the manuscript and published it in 1790 as Versuch über die Transcendentalphilosophie, mit einem Anhang über die symbolische Erkenntnis und Anmerkungen [Essay on Transcendental Philosophy with an Appendix on Symbolic Knowledge, and Notes]. (Hereafter, this text will be cited as the “Versuch”)]. On the whole, the work is a set of criticisms of Kant’s first Critique but it also interspersed with criticisms of or elaborations on Maimon’s own commentary on Kant.. Between 1791 and 1800, Maimon went on to write nine other books and numerous articles published in some of the more prominent German-language journals of the day. Maimon lived in poverty for most of the early part of the 1790’s. For the last five years of his life, he was supported by Adolf von Kalkreuth, a noble with considerable interest in philosophy. Maimon lived on von Kalkreuth’s estate near Glogow, in what is today southwestern Poland. Maimon died on 22 November 1800. Supposedly, the Jewish citizens of Glogow disapproved of Maimon for not being a pious Jew and he was not allowed to be buried within the Jewish cemetery.

Maimon claims that there were several phases to his philosophical development. The first – and perhaps most important stage – was Maimon’s early encounter with Maimonides’ Guide to the Perplexed. It is because of Maimonides that Maimon falls under the spell of rationalistic schools of thought. Not only does Maimon obtain from Maimonides the idea that philosophy – and furthermore, human existence – should be about the attainment of truth, but he also takes from Maimonides the belief that religion and its doctrines must be consistent with philosophy. As will become evident from what is written below, many of the doctrines to which Maimon professes can be traced back to Maimonides. Secondly, in his early visits to Berlin, Maimon comes into contact with other, more recent thinkers also in the rationalistic tradition: the Leibnizian-inspired philosopher Christian Wolff, Leibniz, and Spinoza. At that time in Germany, Spinoza was seen as a very dangerous figure because the accepted view of his philosophy was that it necessarily led to atheism. Maimon disagreed and had a significant respect for Spinoza. Finally, Maimon came upon Kant’s Critique of Pure Reason in early 1787 and was awed by it. It was probably at this time that Maimon came into contact with English empiricism, and Hume in particular. As will be discussed below, a very important strand of Maimon’s thought is occupied with Humean skepticism. However, scholars differ as to whether or not skepticism ends up being Maimon’s settled view.

It is difficult to summarize Maimon’s views given that none of his works is systematic and that his views evolved somewhat over the 10 year period in which he was publishing his writings. In fact, it is this lack of systematicity – as well as Maimon’s German, which at times is extremely unclear – that has contributed to Maimon’s lack of recognition. Often his texts read like conglomerations of stream-of-consciousness thoughts, albeit very perceptive ones. He does, however, give a clue about his philosophy as a whole when he describes his thought as a “coalition system” [Koalitionssystem] in which he attempts to incorporate the main ideas of previous schools of thought or important thinkers. The extent to which these ideas actually can be made to fit into a coherent system is open for debate. Likewise, there is question among the scholars as to which school of thought Maimon ultimately sides. The question is not easily resolved.

Maimon’s work was only rediscovered in the mid-1800’s and it just beginning to receive the attention that it deserves. Until recently, he has achieved more notoriety because of his Autobiography, originally published in 1792-93, the first part of which is currently available in English. The book is noteworthy because, in addition to documenting Maimon’s travels and tribulations, it provides one of the very earliest depictions of life in an Eastern European Jewish community, a “stetl.” Despite the historical and “sociological” significance of this Autobiography, he should be seen first and foremost as a philosopher. Kant recognized Maimon’s talents and saw that Maimon was one of the few who seemed to understand the project of the first Critique. Due to the similarity of themes on which Maimon wrote in his Versuch über die Transcendentalphilosophie and themes that Kant addresses in the Critique of Judgment (1790), it is possible that Maimon’s thought had some influence on doctrines that Kant brings forth in this Critique. Fichte mentions Maimon by name in many places in his early work and there is no doubt that some of his doctrines are responses to Maimon’s view. In fact, Maimon is one of the first philosophers of that era to take the history of philosophy seriously and to attempt to show how his views are, in a certain respect, the culmination of developments within the evolution of philosophical thought. In order to understand the development of German Idealism, one must understand where Maimon fits into the movement. Maimon, however, merits attention for being more than just an important, yet underappreciated figure in the development of German Idealism. In particular, his worries about the gap between the quid juris and the quid facti need to be applied to all of the philosophies in the movement. It is not clear if any of the major figures of German Idealism – Fichte, Schelling, or Hegel – ultimately can or do give adequate responses to the problem of the quid juris. More importantly, these worries can be extended to any type of systematic philosophy or rationalistic system of thought. Maimon calls our attention to the fact that it is not enough if a system, a philosophical or scientific system for example, is internally coherent. Internal coherence only gives an answer to the question of the quid juris. What still needs to be shown is not simply how it is possible for such a system to map onto our empirical world, but that the given system does, in fact, map onto the world. Another way of looking at the issue is that Maimon is concerned with the status of science, in the broadest connotation of “science.” It is not enough for science to provide us with a good story or a coherent story about how the world is. Instead, science must give the correct story about how the world is and one that can completely justify its claims. The problem is – and here we return to the gap between the quid juris and the quid facti – science is still only giving us a good or seemingly accurate story.

2. The Problem of the Quid Juris

Unfortunately, even given the stir that Kant’s first Critique caused when it was first published in 1781 and then again revised in 1787, philosophers and critics more often than not either misinterpreted Kant or simply did not understand his views. In the Versuch über die Transcendentalphilosophie, Maimon was able to put his finger on the heart of the problem of the whole of the Transcendental Analytic division of the first Critique. Maimon focused on the notorious “Transcendental Deduction of the Categories” section, in which Kant attempts to justify how intellect and sensation can be combined into cognition. This is the question of the “quid juris,”as Kant calls it. In short, what is at issue is not an actual demonstration that the intellect and sensation actually do combine to form a cognition – this is an issue of fact or the quid factis, as Kant labels it – but a demonstration of how it is possible for them to come together in a cognition. Maimon, unlike other Kant critics of the day and even many Kant supporters, astutely recognizes how central this issue is to Kant’s whole critical project. He understands that Kant is not trying to show that intellect and sensation actually do come together but rather that Kant wants to provide a justification for how it is possible that sensation and intellect can come together. As a result, Maimon makes this issue of the quid juris – and the related issue of the quid facti – a centerpiece of many of his own writings throughout his career. He actually sees the issue in terms of the broader problem of mind and body interaction. Thus, for Maimon the issue actually becomes how we are to be justified in thinking that mind – something supposedly non-physical and non-spatial – can interact with body, something physical and spatial. Kant tried to occupy a middle ground between the rationalist and empiricist schools and, thus, ends up maintaining that the form of cognition was a priori and came from the understanding, whereas the content of cognition was a posteriori, coming from sensation (or “intuition,” in Kant’s language) and, thus, the physical side. Maimon, like many contemporary Kant critics, holds that the section of the Transcendental Analytic referred to as the “Schemata,” is that section of the first Critique in which Kant tries to give his answer to the quid juris. Simply put, on this reading of the first Critique, it is in the very nature of time, as a schema of concepts, that the link between the a priori concepts of the understanding and the a posteriori given content from intuition is supposedly found.

Maimon disagrees. He maintains that if mind and body, or intellect and intuition, are two radically different sources of knowledge as Kant wants to maintain, then ultimately they can never to come together because they are so radically different by definition. In other words, if intellect and intuition are so different, as Kant wants to hold, then Kant already make it impossible for these two stems of knowledge to be unified. In contrast, Maimon’s claims that the only way in which intellect and intuition can be united is if they are of similar origin. Thus, he holds that the only solution to the quid juris is to assume that intellect and intuition must be alike. He does not follow along empiricist lines where concepts are but abstractions from sensations. Rather, he turns to the Leibniz-Wolff school for his solution to the problem. Maimon claims that, ultimately, sensation – or intuition, as Kant terms it – has its root in the understanding. For Leibniz and Wolff, sensation or intuition simply amounts to a confused form of conceptual knowledge; Maimon concurs.

3. The Thing-In-Itself and the Doctrine of Differentials

In Kant’s system, the form of our knowledge is a priori and arises out of the nature of the understanding and the forms of intuition that we – as humans – possess are also a priori.. The content of our knowledge, at least of our empirical knowledge, comes from outside of us. Or, to be more precise, this material of our knowledge is the result of our intuitive faculty being affected by something outside of it. This “something” is none other than Kant’s notion of the thing-in-itself, an infamous tenet of Kant’s system. The problem is that Kant must rely on this idea of a thing-in-itself in order to account for what gives rise to our empirical knowledge. Unfortunately, we cannot know – in Kant’s formal definition of what it is “to know” – the thing-in-itself because knowledge for Kant always entails a combination of concepts and matter or content. In Kant’s system, we are forbidden from employing or extending categories beyond that of which we have intuition; this, in Kant’s system, would involve an illegitimate use of the categories. Hence, the thing-in-itself becomes problematic because, in Kant’s system, one is left in the situation that one can only speculate about, but not know, things-in-themselves. Furthermore, Kant must posit things-in-themselves because their existence ultimately plays the role of a criterion of truth in his system. The world of our sense experience, as opposed to, say, a world of our dreams, is real for Kant because the content of our sense experience ultimately refers back to something real: The thing-in-itself. This is what allows Kant to claim that “experience” has some foundation and is not just an illusion or chimera.

There are, however, two problems. First, knowledge – in Kant’s sense of the term – requires things-in-themselves but the very positing of things-in-themselves appears to be a contradiction because this seems to involve the extension of concepts to realms into which they are allowed to be extended. That is, in order to cognize things-in-themselves we must use concepts and discursive or conceptually-based knowledge. But things-in-themselves, by their very nature, are supposed to stand outside of conceptual knowledge. Second, and more seriously, the doctrine of things-in-themselves does not help to resolve the matter of the quid juris. That issue, as it will be remembered, concerns our justification for assuming that elements of cognition that arise out of the intellect can possibly be combined together with elements of cognition that arise empirically from the senses, or intuition, to use Kantian terminology. But if things-in-themselves stand beyond our ability to cognize them, then we cannot know if concepts and intuitions have come together in a way that truly reflects how things are.

Maimon criticizes Kant because he holds that Kant still has not adequately shown that we are justified in believing in the applicability of a priori concepts that have their seat in the understanding to elements that arise a posteriori from the senses. Kant, according to Maimon, simply assumes that we are affected “from without” by things-in-themselves, and, in so doing, assumes the connection between a priori form and a posteriori content

Maimon’s solution is 1) to have a criterion of truth that comes from within cognition itself, and 2) to show how it is possible no longer to have the potentially unbridgeable gap between understanding and sensation. As concerns the first point, Maimon simply believes that he is being true to the spirit of critical philosophy insofar as he draws the criterion of truth from within consciousness. As concerns the second point, Maimon looks back to the rationalist school, and to Leibnizian philosophy in particular. If sensation ultimately has its root in the understanding, as it does for Leibniz, then there no longer is an issue of how two seemingly different elements of cognition can be combined together.

As his model, Maimon looks to mathematics insofar as the content of mathematics is not given to it empirically, or so holds Maimon. In differential calculus in particular, he finds a way in which content can be generated out of form. In short, Maimon thinks that all differences in quantity can be reduced to some sort of quantitative relation. Hence, in Maimon’s philosophy, differentials play the same role that things-in-themselves play for Kant. Differentials are not some type of a basic ontological entity such as atoms or monads. Instead, differentials are the rules concerning the lawful relationship of objects. Differentials give us the rule for producing an object. Take, for example, a triangle whose sides have the lengths 3 cm, 4 cm, and 5 cm, respectively. The relationship between the sides and the angles in that triangle will be the same as the relationship in a triangle whose sides have the lengths 3 rods, 4 rods, and 5 rods, respectively. The relationship between the sides and angles of these two triangles will be the same, too, as that in a triangle whose sides measure 9 inches, 12 inches, and 15 inches, respectively. The differential would be the rule for producing a triangle with the relations of sides and angles exhibited by any of the aforementioned triangles. Maimon holds that all the content of our knowledge would have to be able to be derived from a differential as are the lengths of the sides of the triangle mentioned above. Accordingly, all qualia, all the content of what we know, would be able to be understood in terms of differentials. Hence, for example, the redness of an apple would not be “given” from without; rather, it would be a rule for producing what which we experience empirically as the red color of the apple.

4. The Thing-In-Itself and the Infinite Understanding

In order to resolve the problem created by Kant’s doctrine of the thing-in-itself and in order to show just how the doctrine of differentials in Maimon’s philosophy can stand as a solution to the problem of the quid juris, it is necessary to understand Maimon’s notion of the infinite understanding.

As was hinted as earlier, Maimon does not have a criterion of truth that stands outside of consciousness. According to the commentator Hugo Bergmann, Maimon uses a doctrine that he finds in the Lebnizian philosopher Christian Wolff’s 1730 text entitled Ontologia. According to Bergmann, in that work, Wolff defines being as the completion of all possibility, that is, an object is fully actual when it is determined in all of its parts. Maimon uses this idea as the basis for his view of what the thing-in-itself must be. The object itself is no longer something outside of or beyond our cognition. The object is simply the sum of all predicates that can be attributed to it. In order to clarify this notion, Maimon employs a distinction between “presentation” (Darstellung) and “representation” (Vorstellung) that most likely comes from Mendelssohn. When the object is cognized as fully determined, it is known as it truly is, and is, thus, a “presentation.” When the object, however, is only partially cognized, it is not known in all of its determinations, and is, thus, a “representation.”

It is at this juncture that Maimon mentions the infinite mind. The object itself, as it actually is, that is, as presented, is the object insofar as it would be cognized by an infinite mind. The infinite mind does or would cognize objects in terms of differentials, that is, in terms of presentations. The infinite mind would not see objects as we humans see them, as given in space and time as well as insofar as they seem to be given from something outside of us. The infinite mind sees everything in terms of rational form, as quantified relations.

Several commentators mention the likely influence of Maimonides, as well as Spinoza, on Maimon’s doctrine of the infinite mind. In Book One, Chapter 68 of Maimonides Guide to the Perplexed, Maimonides – who, in turn looks back to Aristotle – calls God the intellectus, the ens intelligens, and the ens intelligible at one and the same time. God is the intellect, the thinking, and the thing that is being thought. In short, for Maimon, the thing-in-itself no longer is something that it outside of consciousness or in some other realm as that to which cognition must conform. Instead, the thing-in-itself would be the object as it would be cognized by an infinite mind, one that no longer needs to cognition as having two parts; matter, which is given to the understanding, and content, which is generated in and by the understanding. Maimon, in holding this view, sticks to the spirit of Kantian philosophy, as opposed to the letter insofar as he provides for a criterion of truth from within consciousness itself, one that need not refer to something beyond it, namely Kant’s infamous thing-in-itself.

There is some debate within Maimon scholarship as to whether the concept of the infinite mind is a “constitutive idea” or a “regulative idea” (in Kant’s sense of the terms). Cases can be made, especially when considering Maimon’s first book, the Versuch über die Transcendentalphilosophie on both sides of the issue. Some passages seem to point toward the infinite mind as something actual, whereas others point to it as a regulative idea, that is, a goal toward which we continually progress but that we can never fully attain. However, it seems that as Maimon’s view develops during the 1790’s that his view gravitates more toward the notion of the infinite mind as a regulative idea. That is, it is an ideal toward which we continually progress but which we can never fully attain.

5. Intuition

For Kant, there are elements of cognition that are not reducible to one another: concepts and intuitions. Because Maimon ultimately tries to reduce matter or content to something rational – namely differentials – the question arises as to what status intuition has in his philosophy. His position has many similarities to Leibniz’ view of senation. For Maimon, space and time, ultimately are concepts that deal pertaining to diversity.

Yet, in order to make sense of Maimon’s view of intuition, one must first understand his view on the role of the imagination (Einbildungskraft). Human beings, in Maimon’s view, possess finite faculties of cognition, unlike an infinite mind that would have an infinite faculty of cognition. The infinite mind would not see objects in terms of a matter or content that was given to it and which has been taken up, synthesized and, hence, given a form according to concepts generated by the understanding. Instead, the infinite understanding would cognize all objects in terms of concepts and differentials, that is, in a wholly rational or quantitative manner. Unfortunately, we humans do not cognize, say, the color red or the flavor of an apple or the sound of middle C played on the piano in terms of differentials. Aspects of these, their conceptual qualities, may be described according to categories or there may be rational aspects of the experience of them. Yet, according to Maimon, we still cognize the world in terms of form – which is rational and generated by us – and content – irrational and given to us from somewhere else or by something else.

Because we do not see the world as an infinite understanding would see the world, that is, as wholly rationally and quantitatively, we must have recourse to something else to aid the understanding. This role, for Maimon, belongs to the imagination . The imagination literally fills in where the understanding stops. Thus, for example, when we do not perceive the difference between two objects wholly in conceptual terms, the imagination fills in by generating intuitions. So, when we do not see two objects as conceptually different, their difference is manifested by the imagination in terms of temporal and spatial differences. Maimon has Leibniz’ notion of the identity of indiscernibles in mind here. (If two objects are identical, then the must be indiscernible). For Leibniz, if two objects are different, then there must be a conceptual basis for their difference. This conceptual difference plays out as a difference in intuition when the mind that cognizes this difference cannot understand it conceptually.

For Kant, space and time are a priori forms of intuition. Furthermore, Kant views them as pure forms of intuition. It is possible, on Kant’s view, to think of space and time devoid of all objects or prior to any objects that fill them out. Conversely, Maimon’s conception is much closer to that of Leibniz, where space and time as intuitions represent the relations between two or more objects. A space and time devoid of objects is impossible on his view. Furthermore, space and time as concepts, upon which the intuitions rest, are simply notions of diversity. For Maimon, the infinite mind does not or would not cognize objects either spatially or temporally; the infinite mind’s cognition would stand outside of all space and time.

6. Skepticism and the Quid Facti

Although Maimon formulates a possible solution to the quid juris, there remains, on his view, an important issue that must be addressed. Here, again, we return to the issue of the quid juris and its related problem of the quid facti. In the infamous “Transcendental Deduction” section of Kant’s first Critique, Kant attempts to show how it is possible for a priori concepts – ones that have their origin in the understanding – to be able to be united with intuition whose content arises empirically. On Maimon’s interpretation of Kant, Kant’s “solution” to the problem of the quid juris, which has recourse to the origin and nature of time, fails. According to this interpretation, one which is not unique to Maimon, because time is a priori and pure, as a form of intuition, and because time underlies all intuitions, be they spatial or temporal, time serves as the bridge between a priori concepts and intuitions, pure or a posteriori. It must be remembered that from the outset of the Critique of Pure Reason, Kant claims that he is attempting to prove how synthetic a priori statements are possible, not that synthetic a priori statements exist (he simply assumes this latter point). In other words, he is trying to show how it can be possible that experience of the world, and in particular scientific accounts of that experience, can have an a priori, and, thus, objective ground. Thus, simply put, by looking to mathematics he assumes that scientific experience, that is synthetic a priori statements, in fact, do exist. His task, in the first Critique, is to give an account of how it is possible for this experience to be objective or, which is the same, to show how there can be synthetic a priori statements.

Unfortunately, Maimon holds that the quid facti – that there exist synthetic a priori statements — remains unanswered and that this, in fact, is really a more serious problem. In other words, Maimon claims that it is not enough merely to show how it is possible that concepts of the understanding can come to be connected with so-called intuitions, that is, something seemingly given from without. Maimon holds that it still remains to be shown that concepts of the understanding actually are connected with intuitions. In short, Maimon questions Kant’s basic assumption that scientific experience exists, that is, that there actually are synthetic a priori statements. Hume, could be correct, in Maimon’s view. That is, we seem to see regularity in the world and the world seems to operate according to laws (of physics, biology, chemistry, etc.). However, this does not guarantee that the regularity that we think we see in the world or the conformity of events to laws actually has its basis in the laws themselves (or in the understanding). Hume could be correct that cause and effect are simply the mind’s habit of associating together objects or classes of objects and this would not make our experience of the world any different. In the end, the problem of the quid facti still remains. While it may be the case that there is regularity in our experience of the world, the does not guarantee as a fact that the understanding lies as the basis of this regularity, that is, that this regularity and law-like behavior is objectively valid.

Hence, the highest principles of philosophy and science are still, in Maimon’s strict view, hypotheses. Mathematics is the only discipline in which both the form and matter of the knowledge involved in the discipline can be shown to be created according to objectively valid laws by the understanding. Science and philosophy can and do give us systems that are internally coherent, but this does not guarantee that such systems actually map onto the world. The systems that science and philosophy have given us, perhaps, give good stories as to how the seemingly regularity of the world has arisen. However, this does not guarantee that the universe is regular and it also does not guarantee that any law (especially laws generated by the understanding) necessitate the world coming to pass as it does. Again, Hume could be correct and the order that we think that we see in the world could be the consequence of a habit of the mind.

As a result, scholars are divided on how to understand Maimon’s philosophy on the whole. Some critics claim that as his thought and writing unfolded in the 1790’s, the problem of the quid juris faded and the problem of the quid facti came more and more into the spotlight. Such critics tend to understand Maimon’s philosophy ultimately as a skepticism (Kuntze, Erdmann). One critic (Atlas) thinks that Maimon simply leaves us between the two horns of a dilemma, extreme rationalism and skepticism. Finally, some critics (Cassirer, Beiser) think that Maimon may have found a solution to the two horns of the dilemma or a so-called “middle path.” On this interpretation, Maimon admits that the quid facti is as of yet resolved. However, at least on Beiser’s interpretation, Maimon’s rationalistic model (with the theory of the infinite mind and differentials) as an ideal to which, step by step, we get closer. We can never reach this goal, as only an infinite intellect could do so. However, it is a goal toward which we should and do progress.

7. Transcendental Logic

As does Kant, Maimon holds that transcendental logic is in fact more basic than formal logic. The problem, on Maimon’s view, is that people traditionally hold logic to be a discipline that is independent from metaphysics. Maimon shows, however, that formal logic must, in fact, assume certain facts about reality, and, in particular, about objects. Hence, transcendental logic is prior to formal logic.

The standard view of formal logic is that it only deals with the form of judgments and abstracts from any content whatsoever. For example, the standard view is taken as holding that when one makes the claim that “If X implies Y and if Y implies Z, then X implies Z,” such a statement is true regardless of what is substituted in for “X,” “Y,” and “Z,” respectively. Furthermore, the standard view would be that the truth of this argument is solely a function of the form of the argument. According to Maimon, however, the problem with formal logic is by abstracting wholly from objects, it can only deal with one sort of diversity: negation. That is, in strict terms, if X is different from Y, then formal logic can only understand Y in terms of not-X. If “red” is symbolized by “X,” then formally, without any other assumptions, “blue” can only be symbolized as “not-X.” Similarly, “yellow” can only be symbolized as “not-X,” too. Be we know that yellow is not the same as blue.

Here is where, according to Maimon, transcendental logic underlies formal logic. Transcendental logic is a logic of content, whereas formal logic supposedly deals only with form. On Maimon’s view, in order for formal logic to be able to represent a diversity of objects – that is, in order that “blue” and “yellow” be not both symbolized by “not-X” and in order for them to be symbolized as, say, “Y,” and “Z,” respectively – then an actual diversity of objects must be assumed. This requires that the content of “X,” “Y,” and “Z” must be different, otherwise, the diversity of anything other than X could only be represented by “not-X.” Hence, Maimon claims that transcendental logic underlies formal logic and that formal logic must acknowledge that content does play a role for it.

8. The Principle of Determinability

Maimon shows himself to be a Kantian in spirit, as opposed to in letter, in the manner in which addresses the issue of logic and its relation to a system of philosophy and science. Maimon accepts Kant’s suggestion in the first Critique that a true science is one that could be derived from, and, hence, focused around one primary principle. In this respect, Maimon follows along the same lines as Reinhold and Reinhold’s “principle of consciousness,” for it is Reinhold in particular who claims that the Kantian philosophy needs to be systematized so that Kant’s claims can all ultimately be deduced from one main principle.

This principle, which Maimon labels the “principle of determinability” (Satz des Bestimmbarkeit), is related to his notion of transcendental logic, discussed above. What this principle, in theory, is supposed to achieve, is to provide a way for determining when thought is “really” true versus when it is only “formally” true. As an example, consider the statement: “all unicorns are one-horned.” Most would accept this statement as true on the basis that if one understands the concept “unicorn” and the concept “one-horned,” then one immediately sees that the statement must be true. The obvious problem is there are no unicorns. Hence, such a claim is only formally true and does not necessarily describe any feature of our world. If unicorns do indeed exist, then they must be one-horned. Yet, there are strong reasons for denying the existence of unicorns.

For Maimon, the principle of determinability holds that there is a determinable (Bestimmbare) that becomes determined by a determination (Bestimmung). The relationship between these two is one-sided. The determinable can be thought without the determination, whereas the determination can only apply to that particular determinable. Another way to view this is as the relationship between a subject and a true predicate. On Maimon’s account, the relation of determinability exists when this one-sided relationship holds. If the two can be thought apart from one-another, then the relationship of determinability does not exist and the judgment is not real; it is arbitrary. Thus, one cannot say with accuracy that “the table is sick.” Tables do not become sick and this is shown by the fact that “table” can be thought apart from “sick” just as much as “sick” can be thought apart from table. Accordingly, we do not speak – or think – correctly when we say that “the sick person is pale.” Both “sick person” and “pale” can be thought apart from each other and, hence, no relationship of determinability exists. To speak and to think properly, one needs to say that “the sick person’s color is pale.” Here, a relation of determinability exists because while one can think of “sick person” and never call to mind the concept of “paleness,” it is impossible to think of “paleness” without bringing in the concept of color. That is, “pale” is not a true determination of “sick person,” but rather “pale” is a determination of “color.” Likewise, “color” is a determination of “plane,” etc..

It must be remembered that Maimon holds that a subject or a determinable may only have one predicate or determination at any given time. As a result, true knowledge of an object would amount to a given chain of determinations going from the most particular determination up to the most general. In this respect, Maimon shows the influence of Leibniz on his philosophy because Maimon’s position amounts to the idea that the principle of sufficient reason now also becomes a standard or criterion for cognition. Every predicate or determination must be correctly lined to its proper subject or determinable and in doing so, one, literally, provides a sufficient reason as to why that particular determination and not some other must chosen. Thus, in a true science, we could move from the absolute particular or predicate all the way up to the most general statement or proposition. In such a fashion, the principle of determinability serves as a criterion for knowledge and in this respect Maimon again reflects the influence of rationalism on his thought.

9. Ethics and Legal Theory

The questions of the quid juris and the quid facti arise in Maimon’s writings on moral theory, too, and these are addressed in a series of journal articles and book chapters that appear between 1794 and 1800. In his article, “Versuch einer neuen Darstellung des Moralprinzips und Dedukzion seiner Realität” [“Attempt at a New Presentation of the Moral Principle and a Deduction of its Reality”] Maimon claims not to be offering a new moral principle from that of Kant, but rather a more cogent deduction of the moral principle. His main criticism of Kant’s deduction of the moral law in the Critique of Practical Reason concerns Kant’s use of the so-called “fact of reason” as a new starting point from which to begin moral philosophy. Although there are many different interpretations of what exactly this “fact of reason” is or entails, Maimon understands it to be the claim that all people feel themselves to be under moral constraint, which are the constraints of duty. Maimon agrees that people feel themselves to be under such moral constraint, but he denies that this moral constraint is necessarily the same thing as duty. In other words, he holds that although people may feel a compulsion [Zwang] to behave in a certain way, compulsion and duty [Pflicht] are, in fact, very different concepts.

So, Maimon sets out to provide a new foundation for duty. His strategy is to find something more basic than duty, yet out of which duty can be derived. He claims to have found this more basic “fact” in what he sees to be the drive in all humans for the cognition of truth. This “fact” is proven or guaranteed by the actual human condition (on Maimon’s view) that all humans strive after truth and Maimon assumes that this is undeniable. Furthermore, on his view, the essence of truth is universality or universal validity [Allgemeingültikeit]. On this conception, what makes something true is that fact that all rational beings, and especially an infinite being, could agree to the validity of the claim whose veracity is in question. In turn, the drive toward truth is based on an even more fundamental drive that all humans have: the so-called “drive toward making all representations universally valid” [Trieb zur Allgemeingültigmachung der Vorstellungen.].

Maimon, though, still needs to make an explicit connection between ethics and cognition. He achieves this insofar as he views reason as strictly instrumental in nature. In fact, reason and will are not separate faculties for Maimon. Reason can only tell us if action X is the best way to arrive at point B from point A, that is, if all people could, in theory, choose action X as the only means or the best means for arriving at Point B, as well as if arriving at point B as a goal is something that does not interfere with the goals of others. The good action, for Maimon, ends up being the universally valid action, the one to which all people, in theory, could assent.

Because willing now has a relation to truth, Maimon offers a slightly different formulation of that moral law than does Kant. His reformulated moral principle is: “Act so that your will can be thought of as the will of every rational being.” As it turns out, there are several differences of Maimon’s view from that of Kant. First, Kant’s Categorical Imperative focuses on the principle underlying willing – the maxim – whereas Maimon’s moral principle focuses on the act of willing itself. Second, Maimon literally means that an action would be wrong if every last rational being were not, at least in theory and when being rational, able to agree to it. For example, even if society as a whole wanted a convicted murderer to be put to death, it would be immoral to put the murdered to death, if this convicted murderer did not assent to such a punishment. Finally, Maimon holds that one cannot have duties toward oneself. That is, if one were the last remaining person on earth, then issues such as gluttony or suicide would no longer fall within the realm of morality because they would affect no other person but oneself.. For Maimon, morality becomes an issue only because of one’s relationship to other willing beings.

Parallel to the situation with his epistemology that was mentioned earlier, Maimon has, with this reformulation of the moral principle, given an answer to the question of the quid juris. That is, he has shown how it is possible to ground the moral law. In other words, he thinks that he has proven how the moral law possibly can affect us. However, the issue of the quid facti still remains because Maimon needs to show how, in fact, the moral law actually determines a person to behave in a certain manner. In this regard, Maimon goes in a different direction than Kant.

In his moral philosophy, Kant does not want to allow material principles to determine the will because he worries that any reliance on material principles amounts to a return to subjectivism. Material principles are simply principles arising from the content, as opposed to the form, of a person’s basis or reason for acting. To give an example, if one behaved in a certain manner because one desired happiness as one’s goal or because one wanted physical pleasure, then, on Kant’s view, material principles – happiness or pleasure – would be the determining ground of the will. Kant worries that all content turns out to be subjective and, thus, if any content becomes the “motive” for why a person acts, then that person acts on subjective grounds. In particular, Kant is worried about feelings (love, hate, envy) or abstract concepts (happiness, power) or states of mind (bliss, joy) as determininations of the will because all of these are “material,” and, hence, subjective. In other words, Kant holds that his version of the moral principle is universally valid specifically because its universality is derived from the form of the principle and not from the content of the situation in which one finds oneself. The only purely moral determining ground for the will, on Kant’s view, must be respect for the moral law. Anything else, such as love, compassion, etc, however, selfless it may seem to be, always ends up being subjective. Furthermore, Kant holds that we can only know after the fact that the moral law has determined one’s will and this is because it causes us pain or hurt, insofar as we did not behave in the manner in which we had originally desired to behave. Actually, he links “respect” for the moral law to the displeasure one feels in behaving against the way in which one wanted to behave.

Maimon finds Kant’s position unconvincing because he believes that the form of an action cannot ultimately serve as the motive for action. In short, on his view, the understanding or reason can never choose the ultimate goal for which we act. For Maimon, happiness or pleasure is, in the end, the reason for which we act. Fortunately, Maimon believes that there is one type of pleasure that is not subjective and which can serve as the basis for moral motivation. Loosely following Spinoza, Maimon believes that every increase in a being’s power is accompanied by a feeling of pleasure [Vergnügen]. True cognition, on his view, involves the ultimate increase in our power. Thus, every time a person performs a moral action, an action that is universally valid, the action is accompanied by a great pleasure. Hence, Maimon believes that the pleasure involved in moral action can serve as motivation to be moral and one that is not subjective at all.

As Maimon’s philosophy matures over his short writing career, he seems to move away from the view given above (somewhat paralleling what some commentators see happening in his epistemological views, too). By the time of the essay, the “Moral Skeptic” [Der moralische Skeptiker] of 1800, Maimon gives naturalistic account of ethics, seeing it basically in terms of legality, that is, as a way to protect peace and harmony between people in society. It seems as if in the domain of ethics that the issue of the quid facti still bothered Maimon and that he had to revise his account of why it is and how it is that people behave morally.

Related to, although different from his ethical theory, Maimon’s 1795 essay entitled, “Über die ersten Gründe des Naturrechts” [“On the First Grounds of Natural Law”] contains the clearest statement of Maimon’s legal theory. (Fichte goes out of his way to mention this essay in the introduction to his Foundations of Natural Right, published one year later). Maimon’s view is that legality and law aids in with the application and practice of morality. Often times, according to Maimon, there are situations in which no decision can be reached based solely on morality. It is in these cases that legality must be brought in to resolve the problem. For example, two people happen to come upon money on the sidewalk. A goodwill attempt to find the one who lost the money fails. Which of the two people can claim the money? In this case, morality cannot decide. Both people are morally justified in taking possession of the money as there is nothing immoral about one or the other pocketing the money. However, it is not possible for both to have the money. Law is supposed to aid such cases by setting down rules on how to resolves such situations.

10. Maimon’s Influence

Although Maimon’s career as a professional philosopher was short, his influence on what is now called “German Idealism” was significant. His acumen was recognized by important figures of the day such as Moses Mendelssohn, Kant, Kant’s student Marcus Herz, Reinhold, and Fichte. Fichte, in particular, recognized the importance of Maimon’s philosophy and he had written that his “respect for Maimon knows no bounds” and that later generations would look down on his own times for not giving Maimon his due. Maimon’s notion of logic and of intuition affected Fichte’s philosophy. Fichte’s attempt to secure the critical philosophy from skepticism was as much, if not more, of an answer to Maimon as it was to Aenesidemus-Schulze, a famous skeptic of the day. Fichte’s conception of the faculty of imagination is a development on Maimon’s view of this faculty. Maimon, as was shown above, revives rationalist doctrines found in Spinoza and Leibniz – the notion of an infinite mind, the idea of a complete concept, views about space and time, etc. – and many of these found their way back into Fichte’s own philosophy. In turn, subsequent idealist thinkers attempt to refine and ameliorate Fichte’s position. In many respects, the more important link in the development of German Idealism between Kant and Fichte was Maimon and not Reinhold or J. S. Beck, as the traditional view holds.

11. References and Further Reading

a. Original Editions of Maimon’s Book-Length Works (Chronological Order)

  • Versuch über die Transzendentalphilosophie , Berlin: Christian Voß and Sohn, 1790.
  • Gibeath Hamore, Berlin, 1791.
  • Philosophisches Wörterbuch, order Beleuchtung dre wichtigsten Gegenstände der Philosophie, in alphabetischer Ordnung, Berlin, Johann Friedrich Unger, 1791.
  • Salomon Maimons Lebensgeschichte, von ihm selbst geschriebenen herausgegeben von K.P. Moritz, Berlin, Friedrich Vieweg, 1792-93.
  • Bacons von Verulams neues Organon . Aus dem Lateinischen übersetzt von Geog Wilhelm Bartholdy. Mit Anmerkungen von Salomon Maimon, Berlin, Gottfried Carl Nauck, 1793.
  • Über die Progressen der Philosophie. Veranlaßt duch die Preisfrage der köngl. Akademie zu Berlin für das Jahr 1792: Was hat die Metaphysik seit Leibniz und Wolf für Progressen gemacht? Berlin, Wilhelm Vieweg, 1793.
  • Salomon Maimons Streiferein im Gebiet der Philosophie, Berlin, Wilhelm Vieweg, 1793.
  • Die Kategorien des Aristoteles, Berlin, Ernst Felisch, 1794.
  • Anfangsgründe der Newtonischen Philosophie von Dr. Pemberton, Berlin, Friedrich Mauer, 1793.
  • Versuch einer neuen Logik oder Theorie des Denkens. Nebst angeh?nten Briefen des Philateles annesidemus, Berlin, Ernst Felisch, 1794.
  • Kritische Untersuchungen über den menschlichen Geist oder das höhere Erkenntniß und Willensvermögen, Leipzig, Gerhard Fleischer, 1797.

b. Reprints and Translations of Maimon’s Writings (Books & Articles)

  • Gesammelte Werke, ed. Valerio Verra, Hildesheim, Olms Verlag, 1965-76. (7 volumes)
  • The Autobiography of Solomon Maimon, trans. J. Clark Murray, Champaign, University of Illinois Press, 2001.
  • Commentaires de Ma?monide, ed. Maurice-Ruben Hayoun, Paris, ?ditions du Cerf, 1999.
  • Essai sur la philosophie transcendantale, trans. Jean-Baptiste Scherrer, Paris, 1989.
  • “Letter of Philateles to Aenesidemus” trans. George di Giovanni, in Between Kant and Hegel: Texts in the Development of Post-Kantian Idealism, trans. and ed. George di Giovanni, Indianapolis, Hackett Publishing, 2001.
  • Versuch über die Transzendentalphilosophie, ed. Florian Ehrensperger, Hamburg, Germany: Felix Meiner Verlag, 2004.

c. Book-Length Studies of Maimon

  • Atlas, Samuel, From Critical to Speculative Idealism: The Philosophy of Solomon Maimon, The Hague, Martinus Nijhoff, 1964.
  • Bergmann, Samuel Hugo, The Philosophy of Solomon Maimon, trans. Noah H. Jacobs, Jerusalem, Magnes Press, 1967.
  • Bransen, Jan, The Antinomy of Thought: Maimonian Skepticism and the Relation between Thoughts and Objects, Dordrecht, Kluwer Publishing, 1991.
  • Buzaglo, Meir, Solomon Maimon: Monism, Skepticism and Mathematics, Pittsburgh, University of Pittsburgh Press, 2002.
  • Engstler, Achim, Untersuchungen zum Idealismus Salomon Maimons, Stuttgart-Bad Canstatt, Fromann Holzboog, 1990.
  • Salomon Maimon: Rational Dogmatist, Empirical Skeptic, ed. Gideon Freudenthal, Dordrecht, Netherlands: Kluwer Academic Publishers, 2003
  • Gu?roult, Martial, La philosophie transcendantale de Salomon Maimon, Paris, Soci?t? d’?diton, 1930.
  • Kuntze, Friedrich, Die Philosophie Salomon Maimons, Heidelberg, Carl Winter, 1912.
  • Moiso, Francesco, La filosofia di Salomone Maimon, Milan, 1972.
  • Zac, Sylvain, Salomon Maimon – Critique de Kant, Paris, ?ditions du Cerf, 1988.

d. Journal Articles and Book Chapters in English on Maimon

  • Baumgardt, David, “The Ethics of Salomon Maimon,” Journal of the History of Philosophy, 1, 1963, 199-210.
  • Beiser, Frederick, “Solomon Maimon, ” in The Fate of Reason – German Philosophy from Kant to Fichte, Cambridge, MA, Harvard University Press, 1987, 285-323.
  • Franks, Paul, “All or Nothing: Systematicity and Nihilism in Jacobi, Reinhold, and Maimon, ” in The Cambridge Companion to German Idealism, ed. Karl Ameriks, Cambridge, Cambridge University Press, 2000, 95-116.
  • Lachterman, David, “Mathematical Construction, Symbolic Cognition, and the Infinite Intellect: Reflections on Maimon and Maimonides, ” Journal of the History of Philosophy, 30 1992, 497-522.
  • Thielke, Peter, “Getting Maimon’s Goad: Discursivity, Skepticism, and Fichte’s Idealism ,” Journal of the History of Philosophy, 39, 2001, 101-34.

Author Information

Andrew Kelley
Email: akelley@bradley.edu
Bradley University
U. S. A.

Aztec Philosophy

aztecConquest-era Aztecs conceived philosophy in essentially pragmatic terms. The raison d’etre of philosophical inquiry was to provide humans with practicable answers to what Aztecs identified as the defining question of human existence: How can we maintain our balance while walking upon the slippery earth? Aztec philosophers addressed this question against an assumed metaphysics which held that the cosmos and its human inhabitants are constituted by and ultimately identical with a single, vivifying, eternally self-generating and self-regenerating sacred energy. Knowledge, truth, value, rightness, and beauty were defined in terms of the aim of humans maintaining their balance as well as the balance of the cosmos. Every moment and aspect of human life was meant to further the realization of this aim.

Table of Contents

  1. Introduction
    1. Who were the Aztecs?
    2. Sources for Studying Nahua Thought
    3. The Approach of This Study
  2. Nahua Metaphysics
    1. Teotl as Ultimate Reality and Root Metaphor
    2. Dialectical Polar Monism
    3. Pantheism
    4. Teotl as Self-Transforming Shaman and Artist
    5. Teotl as Root Metaphor
    6. Popular Aztec Religion
    7. Living in the “House of Paintings”
    8. Time-Space
  3. The Defining Problematic of Nahua Philosophy
    1. How Can Humans Maintain their Balance on the Slippery Earth?
    2. The Character of Wisdom
  4. Epistemology
    1. The Raison d’etre of Epistemology
    2. Truth as Well-Rootedness and Alethia
    3. Cognitive Burgeoning and Flowering
    4. “Flower and Song”
  5. Intrinsic Value: Balance and Purity
  6. Morality: Living in Balance and Purity
  7. Aesthetics
  8. Conclusion
  9. References and Further Reading

1. Introduction

a. Who were the Aztecs?

The indigenous peoples of Mesoamerica enjoy a long and rich tradition of philosophical speculation. The Aztecs and other Nahuatl-speaking peoples of the High Central Plateau of Mexico were no exception. Nahuatl-speaking peoples originated in northern Mexico and southwestern United States, migrating south in successive waves to the central Mexican highlands during the thirteenth and fourteenth centuries. Nahuatl is a member of the Uto-Aztecan linguistic family and related to Ute, Hopi, and Comanche. Nahuatl-speakers included among others the Mexicas (known to us but not to themselves as “Aztecs”), Texcocans, Chalcans, and Tlaxcaltecs. Due to their common language and culture, scholars standardly refer to Nahuatl-speakers as “Nahuas”, and to their culture, as “Nahua culture”. I follow this practice here. Nahua culture flourished in the fifteenth- and sixteenth- centuries prior to 1521 (CE), the fall of the Aztec capital, Tenochtitlan, and official date of the Conquest.

b. Sources for Studying Nahua Philosophy

Our sources for studying Conquest-era Nahua philosophy include: (1) native pictorial histories, ritual almanacs, tribute records, and maps, including the Codex Mendoza (painted several years after the Conquest), Codex Borgia (painted shortly before the Conquest), and Codex Borbonicus (painted about the time of the Conquest); (2) reports of the Spanish conquerors (e.g. Hernando Cortes and Bernal Diaz del Costillo); (3) ethnography-style works composed by missionaries (e.g. Friars Olmos, Motolinia, Sahagun, Duran and Mendieta) entering Mexico shortly after the Conquest — most notably Sahagun’s encyclopedic Historia General de las Cosas de Nueva Espana; (4) early seventeenth-century chronicles of Fernando de Alva Ixtlilxochitl and Domingo de San Anton Munon Chimalpahin Quauhtlehuanitzin, both Spanish-educated creole descendants of Aztec nobility; (5) native sources of non-Nahuatl-speaking indigenous peoples of Mexico (e.g. the Dresden Codex and Popol Vuh; (6) ethnographies of contemporary Nahuatl-speaking (e.g. Knab 1995; Sandstrom 1991) and non-Nahuatl-speaking (e.g. Hunt 1977; Monaghan 1995; Myerhoff 1974; Schaefer 2002; Tedlock 1992) indigenous peoples; and (6) archaeological studies (e.g. Smith 1996). (For further discussion see Carmack, et al. 1996; Leon-Portilla 1963).

c. The Approach of This Study

I approach Conquest-era Nahua philosophy by hermeneutical triangulation using the above sources. I assume Nahua philosophy to be a coherent body of thought consisting tentatively of four interrelated divisions: metaphysics, epistemology, theory of value, and aesthetics. In hermeneutical fashion, understanding Nahua philosophy as a whole depends upon understanding each division, while understanding each division depends upon understanding the other divisions as well as the whole.

Approaching Nahua philosophy in these terms is not without hazard. Although mainstays in European philosophy, they demarcate categories for which there are no precise, noncontroversial synonyms in Nahuatl. Nahua tlamatinime (“knowers of things,” “sages,” “philosophers;” tlamatini [singular]) do not appear to have analyzed philosophical thought in these terms. Rather, they conceived metaphysics, epistemology, theory of value, and aesthetics in conceptually overlapping if not equivalent terms.

Why then employ them? I believe doing so offers Western readers an intuitive first step into Nahua philosophy since they are deeply entrenched in Western thought. What’s more, they are commonly employed in Nahua scholarship (e.g. Burkhart 1989; Gingerich 1987, 1988; Leon-Portilla 1963; Lopez Austin 1988, 1997; Read 1998). Their heuristic utility notwithstanding, employing them must not mislead us into thinking that Nahua philosophers conceived philosophy in precisely these terms. Successfully understanding Nahua philosophy requires in the final analysis that we reconceive these divisions as a single, seamless conceptual whole. (For discussion of the pitfalls involved in using Western concepts to understand non-Western thought, see Asad 1986; Hall and Ames 1995; Maffie 2004; Wiredu 1996.)

I attribute the following views to the Nahuas generally, although it is more accurate to attribute them to the upper elite of priests, scholars, and educated nobility. Afterall, views differed between: priests, merchants, and farmers; men and women; dominant and subordinate city-states; and various regional and ethnic subgroups. I attribute the views to the period of the Mesoamerican-European contact, realizing full well that philosophies are living works in progress.

2. Metaphysics

a. Teotl as Ultimate Reality and Root Metaphor

At the heart of Nahua philosophy stands the thesis that there exists a single, dynamic, vivifying, eternally self-generating and self-regenerating sacred power, energy or force: what the Nahuas called teotl (see Boone 1994; Burkhart 1989; Klor de Alva 1979; Monaghan 2000; H.B. Nicholson 1971; Read 1998; Townsend 1972). Elizabeth Boone (1994:105) writes, “The real meaning of [teotl] is spirit — a concentration of power as a sacred and impersonal force”. According to Jorge Klor de Alva (1979:7), “Teotl …implies something more than the idea of the divine manifested in the form of a god or gods; instead it signifies the sacred in more general terms”. The multiplicity of gods in official, state sanctioned Aztec religion does not gainsay this claim, for this multiplicity was merely the sacred, merely teotl, “separated, as it were by the prism of human sight, into its many attributes” (I. Nicholson 1959:63f).

Teotl continually generates and regenerates as well as permeates, encompasses, and shapes the cosmos as part of its endless process of self-generation-and–regeneration. That which humans commonly understand as nature — e.g. heavens, earth, rain, humans, trees, rocks, animals, etc. — is generated by teotl, from teotl as one aspect, facet, or moment of its endless process of self-generation-and-regeneration. Yet teotl is more than the unified totality of things; teotl is identical with everything and everything is identical with teotl. Since identical with teotl, they cosmos and its contents ultimately transcend such dichotomies as personal vs. impersonal, animate vs. inanimate, etc. As the single, all-encompassing life force of the universe, teotl vivifies the cosmos and its contents. Lastly, teotl is both metaphysically immanent and transcendent. It is immanent in that it penetrates deeply into every detail of the universe and exists within the myriad of created things; it is transcendent in that it is not exhausted by any single, existing thing.

Nahua metaphysics is processive. Process, movement, becoming and transmutation are essential attributes of teotl. Teotl is properly understood as ever-flowing and ever-changing energy-in-motion — not as a discrete, static entity. Because doing so better reflects teotl’s dynamic and processual nature, I suggest (following Cooper’s [1997] proposal that we treat “God” of the mystical teachings of the Jewish Kabbalah as a verb) that we treat the word “teotl” as a verb denoting process and movement rather than as a noun denoting a discrete static entity. So construed, “teotl” refers to the eternal, universal process of teotlizing.

b. Dialectical Polar Monism

Although essentially processive and devoid of any permanent order, the ceaseless becoming of the cosmos is nevertheless characterized by an overarching balance, rhythm, and regularity: one provided by and constituted by teotl. Teotl’s and hence the cosmos’ ceaseless becoming is characterized by what I call “dialectical polar monism”. Dialectical polar monism holds that: (1) the cosmos and its contents are substantively and formally identical with teotl; and (2) teotl presents itself primarily as the ceaseless, cyclical oscillation of polar yet complementary opposites.

Teotl’s process presents itself in multiple aspects, preeminent among which is duality. This duality takes the form of the endless opposition of contrary yet mutually interdependent and mutually complementary polarities which divide, alternately dominate, and explain the diversity, movement, and momentary arrangement of the universe. These include: being and not-being, order and disorder, life and death, light and darkness, masculine and feminine, dry and wet, hot and cold, and active and passive. Life and death, for example, are mutually arising, interdependent, and complementary aspects of one and the same process. Life contains the seed of death; death, the fertile, energizing seed of life. The artists of Tlatilco and Oaxaca, for example, presented this duality artistically by fashioning a split-faced mask, one-half alive, one-half skull-like (see Markman and Markman 1989:90). The masks are intentionally ambiguous. Skulls simultaneously symbolize death and life, since life springs from the bones of the dead. Flesh simultaneously symbolizes life and death, since death arises from the flesh of the living. The faces are thus neither-alive-nor-dead-yet-both-alive-and-dead all at once.

The Nahuas’ notion of duality contrasts with Zoroastrian-style eschatological dualisms. The latter claim: (1) order (goodness, life, light) and disorder (evil, death, darkness) are mutually exclusive forces; and (2) order (life, etc.) triumphs over disorder (death, etc.) at the end of history. Acording to Nahua duality, order and disorder, life and death, etc. alternate endlessly without resolution. It neither conceives death as inherently evil and life as inherently good nor advocates the conquest of death or the search for eternal life (see Caso 1958; Burkhart 1989; Carmack, et al. 1996; Hunt 1977; Knab 1995; Leon-Portilla 1963; Lopez Austin 1988, 1993, 1997; Monaghan 2000; Read 1998; Sandstrom 1991).

The created cosmos consists of the unending, cyclical tug-of-war or dialectical oscillation of these polarities — all of which are the manifold manifestations of teotl. Because of this, the created cosmos is characterized as unstable, transitory, and devoid of any lasting being, order or structure. Yet teotl is nevertheless characterized by enduring pattern or regularity. How is this so? Teotl is the dynamic, sacred energy shaping as well as constituting these endless oscillations; it is the immanent balance of the endless, dialectical alternation of the created universe’s interdependent polarities.

Because essentially processive and dynamic, teotl is properly characterized neither by being nor not-being but by becoming. Being and not-being are simply two dialectically interrelated presentations or facets of teotl, and as such inapplicable to teotl itself. Similarly, teotl is properly understood as neither ordered (law-governed) nor disordered (anarchic) but as unordered. Indeed, this point is fully general: life/death, active/passive, male/female, etc. are strictly speaking not predicable of teotl. Teotl captures a tertium quid transcending these dichotomies by being simultaneously neither-alive-nor-dead-yet-both-alive-and-dead, simultaneously neither-orderly-nor-disorderly-yet-both-orderly-and-disorderly, etc.

In the end, teotl is essentially an unstructured and unordered, seamless totality. Differentiation, regularity, order, etc. are simultaneously fictions of human unknowing and artistic-shamanic presentations of teotl. In Western philosophical terminology, one perhaps best characterizes the radical ontological indeterminacy of Nahua metaphysics as an extreme nominalist anti-realism, and teotl, as a Kantian-like noumenon.

c. Pantheism

Nahuas philosophers also conceived teotl pantheistically: (a) everything that exists constitutes an all-inclusive and interrelated unity; (b) this unity is sacred; (c) everything that exists is substantively identical and hence one with the sacred; (d) the sacred is teotl. There is only one thing, teotl, and all other forms or aspects of reality and existence are identical with teotl; (e) teotl is not a minded being or ‘person’ (in the Western sense of having intentional states or the capacity to make decisions). (See Levine 1994 for discussion of pantheism.)

Hunt (1977) and I. Nicholson (1959) offer closely similar interpretations of pre-Hispanic metaphysics. Eva Hunt writes:

…reality, nature and experience were nothing but multiple manifestations of a single unity of being… The [sacred] was both the one and the many… It was also multiple, fluid, encompassing of the whole, its aspects were changing images, dynamic, never frozen, but constantly recreated, redefined (Hunt 1977:55f.).

Alan Sandstrom’s ethnography of contemporary Nahuatl-speakers in Veracruz, Mexico, offers a similar interpretation:

…everybody and everything is an aspect of a grand, single, overriding unity. Separate beings and objects do not exist–that is an illusion peculiar to human beings. In daily life we divide up our environment into discrete units so that we can talk about it and manipulate it for our benefit. But it is an error to assume that the diversity we create in our lives is the way reality is actually structured … everything is connected at a deeper level, part of the same basic substratum of being… The universe is a deified, seamless totality (Sandstrom 1991:138).

d. Teotl as Self-Transforming Shaman and Artist

Teotl’s ceaseless generating-and-regenerating of the cosmos is also one of ceaseless self-transformation-and-self-retransformation. The cosmos is teotl’s self-transformation or self-transmutation — not its creation ex nihilo. The Nahuas understood this process in two closely interrelated ways.

First, they conceived it artistically. Teotl is a sacred artist who endlessly fashions and refashions itself into and as the cosmos. The cosmos is teotl’s in xochitl, in cuicatl (“flower-and-song”). The Nahuas used “in xochitl, in cuicatl” to refer specifically to the composing and performing of song-poems and to refer generally to creative, artistic, and metaphorical activity (e.g. singing poetry, music, painting/writing [the Nahuas regarded painting and writing as a single activity]). As teotl’s “flower and song” the cosmos is teotl’s grand, ongoing artistic-cum-metaphorical self-presentation; teotl’s ongoing work of performance art or “metaphor in motion” (Markman and Markman 1989).

Second, they conceived teotl’s self-transmutation in shamanic terms. The cosmos is teotl’s nahual (“disguise” or “mask”). The Nahuatl word “nahual” derives from “nahualli” signifying a form-changing shaman (suggesting its indigenous shamanic roots). The continual becoming of the cosmos and its myriad aspects are teotl’s shamanic self-masking and self-disguising (see P. Furst 1976; Gingerich 1988; H.B. Nicholson 1971; Ortiz de Montellano 1990).

Teotl artistically-cum-shamanically presents and masks itself to humans in a variety of ways: (1) the apparent thingness of existents, i.e. the appearance of static entities such as humans, mountains, trees, insects, etc. This is illusory, since one and all are merely facets of teotl’s sacred motion; (2) the apparent multiplicity of existents, i.e. the appearance of discrete, independently existing entities such as individual humans, plants, mountains, etc. This is illusory since there is only one thing: teotl; and (3) the apparent exclusivity, independence, and irreconcilable oppositionality of dualities such as order and disorder, life and death, etc. This is illusory since they are interrelated, complementary facets of teotl.

As an epistemological consequence of teotl’s self-disguising, when humans customarily gaze upon the world, what they see is teotl as a human, as a tree, as female, etc.–i.e. teotl self-disguised — rather than teotl as teotl. As we shall see shortly below, wisdom enables humans to discern the sacred presence of teotl in its myriad disguises.

e. Teotl as Root Metaphor of Nahua Philosophy

Teotl functions as Stephen Pepper (1970) calls the “root metaphor” and what Alfredo Lopez Austin (1997) calls the “archetype” and “logical principle” governing the “unifying” “coherent nucleus” of Nahua philosophy. Teotl possesses metaphysical, epistemological, moral, and aesthetic facets in that it functions simultaneously as the source, object, and/or standard of reality, knowledge, value, rightness, and beauty.

f. Popular Aztec Religion

Many of the preceding claims were expressed mythologically and polytheistically in state-sanctioned, popular Aztec religion. Although the priests, nobility, and sages embraced its monistic aspect, the uneducated masses tended to embrace the polytheistic aspects of Nahua metaphysics (see Caso 1958; Leon-Portilla 1963:Ch II; H.B. Nicholson 1971:410-2; I. Nicholson 1959:60-3). State-sanctioned Aztec religion construed teotl as the supreme god, Ometeotl (literally, “Two God”, also called in Tonan, in Tota, Huehueteotl, “our Mother, our Father, the Old God”), as well as a host of lesser gods, stars, fire, and water (Leon-Portilla 1963). Ometeotl was the god of duality, a male-female unity who resided in Omeyocan, “The place of duality”, which occupied the highest levels of the heavens. S/he fathered/mothered her/himself as well as the universe. As “Lord and Lady of our flesh and sustenance”, Ometeotl provided the universal cosmic energy from which all things derived their original as well as continued existence and sustenance; s/he provided and maintained the oscillating rhythm of the universe; and s/he gave all things their particular natures. In virtue of these attributes s/he was called the “one through whom all live” (Caso 1958:8) and the one “who is the very being of all things, preserving them and sustaining them” (Alonso de Molina, in Leon-Portilla 1963:92). Because metaphysically immanent, Ometeotl was called Tloque Nahuaque, the “one who is near to everything and to whom everything is near” (Angel Garibay, quoted in Leon-Portilla 1963:93). Because epistemologically transcendent (in the sense that humans are not guaranteed knowledge of Ometeotl), Ometeotl was called Yohualli-ehecatl, the one who is “invisible (like the night) and intangible (like the wind)”.

g. Living in “The House of Paintings”

Nahua tlamatinime standardly characterized earthly existence as consisting of pictures, images, and symbols painted-written by teotl on its sacred amoxtli (Mesoamerican papyrus-like paper). The tlamatini Aquiauhtzin (ca.1430-ca.1500, from Chalco-Amaquemecan), for example, characterized the earth as “the house of paintings” (Cantares mexicanos fol.10 r., trans. by Leon-Portilla 1992:282.). According to Xayacamach (second half of the fifteenth century, from Tlaxcala), “Your home is here, in the midst of the paintings” (Cantares mexicanos fol.11 v., trans. by Leon-Portilla 1992:228). Like the images on amoxtli painted-written by human artists, the images on teotl’s sacred canvas are fragile and evanescent. The renowned tlamatini and ruler of Texcoco, Nezahualcoyotl (1402-1472), sung:

With flowers You paint, O Giver of Life!
With songs You give color, with songs you give life on the earth.
Later you will destroy eagles and tigers: we live only in your painting here, on the earth.
With black ink you will blot out all that was friendship, brotherhood, nobility.
You give shading to those who will live on the earth…
we live only in Your book of paintings, here on the earth. (Romances de los senores de Nueva Espana, fol.35 r., trans. by Leon-Portilla 1992:83).

Because they saw everything earthly as teotl’s nahual, Nahua tlamatinime claimed everything earthly is dreamlike. Tochihuitzin Coyolchiuhqui sung: “We only rise from sleep, we come only to dream, it is ahnelli [unrooted, untrue] it is ahnelli [unrooted, untrue] that we come on earth to live.” (Cantares mexicanos, fol.14v., trans. by Leon-Portilla 1992:153). Once again, Nezahualcoyotl sung:

Is it nelli [rooted, true, authentic] one really lives on the earth?
Not forever on earth, only a little while here.
Though it be jade it falls apart, though it be gold it wears away, though it be quetzal plumage it is torn asunder.
Not forever on this earth, only a little while here.
(Cantares mexicanos, fol 17r., trans. by Leon-Portilla 1992:80).

Nahua tlamatinime conceived the dreamlikeness or illusoriness of earthly existence in epistemological — not ontological — terms (pace Leon-Portilla 1963). Illusion was not an ontological category as it was, say, for Plato. In the Republic (Book VI) Plato employed the notion of illusion: to characterize an inferior or lower grade of reality or existence; to distinguish this inferior grade of reality from a superior, higher one (the Forms); and to deny that earthy existence is fully real. This conception of illusion commits one to an ontological dualism that divides the universe into two fundamentally different kinds of existents: illusion and reality.

Nahua tlamatinime employed the concepts of dreamlikeness and illusion as epistemological categories in order to make the epistemological claim that the natural condition of humans is to be deceived by teotl’s disguise and misunderstand teotl — not the metaphysical claim that as teotl’s disguise all earthly existence is ontologically substandard and not genuinely real. Earthly existence provides the occasion for human misperception, misjudgment, and misunderstanding. The dreamlike character of earthly existence, the mask of unknowing which beguiles us as human beings, is a function of our human perspective and teotl’s artistic self-disguise (these being ultimately one and the same!) — not a metaphysical dualism inherent in the make-up of things. When Nahua tlamatinime characterized earthly existence as ephemeral and evanescent, they did so not because earthly existence lacks complete reality but because as facets of teotl’s disguise they are subject to the endless oscillation of dialectical polar monism. Illusion is a function our mistaking the commonly perceived characteristics of the myriad shapes, structures, and entities of teotl’s disguise as characteristics of teotl itself. In sum, the Nahuas’ epistemological conception of illusion does not commit them to an ontological dualism between two different kinds of existents — illusion and reality — and is therefore consistent with their ontological monism.

A further consequence of Nahua monism is the metaphysical impossibility of human beings perceiving de re anything other than teotl, for teotl is the only thing to be perceived de re! But then how can Nahua tlamatinime claim that humans normally misperceive and misunderstand teotl? Humans normally perceive and conceive teotl de dicto or under a description, e.g. as Nezahualcoyotl, as maleness, as death, as night, etc. When doing so they perceive and conceive teotl’s nahual (self-disguise) and consequently perceive and conceive teotl in a manner that is ahnelli — i.e. untrue, unrooted, inauthentic, unconcealing, and nondisclosing. It is humans’ misperceiving and misunderstanding teotl as its disguise (nahual) which prevents them from seeing teotl (reality) as it really is.

The only way humans experience teotl knowingly is to experience teotl sans description. Humans experience teotl knowingly via a process of mystical-style union between their hearts and teotl that enables them to experience teotl directly i.e. without mediation by language, concepts, or categories. One comes to know teotl through teotl. One’s perception and conception are no longer befogged by “the cloud of unknowing” (to borrow from the fourteenth century English mystical text by the same name) or the “breath on the mirror” (to borrow from the Mayan Popol Vuh) constituted by de dicto perception and conception. Note however that although metaphysically immanent within human hearts (in keeping with Nahua metaphysical monism), teotl is nevertheless epistemologically transcendent in the sense that humans are not guaranteed knowledge of teotl.

A fundamental metaphysical difference thus divides the underlying problematics of Nahua and Cartesian-style Western epistemology. The latter conceives subject and object dualistically and the relationship between subject and object as one mediated by a “veil of perception”. The subject’s access to the object is indirect, being mediated, for example, by appearances or representations of the object. The Nahuas’ epistemological problematic conceives the subject and object monistically and the relationship between subject and object in terms of a mask. And masks in Mesoamerican epistemology have different properties than veils.

In their study of masks in Mesoamerican shamanism (in which sixteenth-century Nahua epistemology was deeply rooted and to which it remained closely related), Markman and Markman (1989:xx) argue that masks “simultaneously conceal and reveal the innermost spiritual force of life itself”. For example, the life/death masks mentioned above simultaneously conceal and reveal the simultaneously neither-alive-nor-dead-yet-both-alive-and-dead figure. The mask does not symbolize, represent, or point to something deeper, something hiding behind itself, for the simultaneously neither-alive-nor-dead-yet-both-alive-and-dead figure rests right upon the surface of the figure. The simultaneously neither-alive-nor-dead-yet-both-alive-and-dead figure does not lurk behind the mask; nor is our access to it obstructed by a veil or representation. It is fully present de re yet hidden de dicto by our unknowing, i.e. by our normal tendency to misperceive reality as exclusively either dead or alive — as opposed to neither-alive-nor-dead-yet-both-alive-and-dead. After years of ritual preparation, Nahua tlamatinime were able to see the life-death mask de re or “unmasked” as it were, and in so doing discern the complementary unity and interdependence of life and death.

h. Time-space

Nahua metaphysics conceives time and its various patterns as the dynamic unfolding of teotl. Time and space form an indistinguisable time-space continuum. The four cardinal directions, for example, are simultaneously directions of space and time. Weeks, months, seasons, years, and year-clusters all had spatial directions. Time-space is concrete, quantitative, and qualitative. It does not consist of a uniform succession of qualitatively identical moments, nor is it a neutral frame of reference abstracted from terrestrial and celestial events and processes. The quantitative dimensions of time-space are inseparable from its qualitative, symbolic dimensions. Different time-spaces bear different qualities.

All these dimensions coalesced in the activity of Nahua time-space-keeping (astronomy), which included observing, counting, measuring, interpreting, giving an account of, and creating an artistic-written record of various patterns of time-space. Nahua time-space-keeping included tonalpohualli (“counting the days”) or counting the days of the 260-day cycle; xiuhpohualli (“counting the years”) or counting the days of the 360+5-day cycle; xiuhmolpilli (“binding the years”) or counting the 52 years of the “calendar round”; counting the 65 “years” of the cycle of Quetzalcoatl (the Venusian cycle); and counting other cycles in celestial and terrestrial processes. Nahua “time-keepers” (cahuipouhqui) were knowledgeable of the time-space rhythms of teotl and responsible for keeping society and humankind in balance with the cosmos.

Calendrical cycles govern human existence. A person’s birth date in the tonalpohualli determines her tonalli: a vital force having important consequences for her character and destiny. The Nahuas used the tonalpohualli to divine the nature of this force. The tonalpohualli assigned different daysigns to each day, each daysign having different effects on a person’s character and destiny. Time-space bears destinies, carried burdens, and conveyed these to events falling under its influence. The reckoning of any period of time-space always leads one to investigate the tonalli or “day-time-destiny” associated with it. Everything happening on the earth and in humans’ lives from birth to death is the outcome of tonalli.

The history of the universe falls into five successive ages or “suns,” each representing the temporary dominance of a different aspect of teotl. The present era, the “Age of the Fifth Sun,” is the final one and the one in which the Aztecs believed they lived. Like its four predecessors, the Fifth Sun is destined to cataclysmic destruction, at which time the earth will be destroyed by earthquakes and humankind will vanish forever. (For further discussion, see Lopez Austin 1988, 1997; Leon-Portilla 1963; Read 1998; Carrasco 1990; Maffie [forthcoming].)

3. The Defining Problematic of Nahua Philosophy

a. How Can Humans Maintain their Balance on the Slippery Earth?

The Nahua regarded earthly life as filled with pain, sorrow, and suffering. Indeed, the earth’s surface is a treacherous habitat for human beings. Its name, “tlalticpac,” literally means “on the point or summit of the earth”, suggesting a narrow, jagged, point-like place surrounded by constant dangers (Michael Launey, quoted in Burkhart 1989:58). The Nahuatl proverb, “Tlaalahui, tlapetzcahui in tlalticpac,” “It is slippery, it is slick on the earth,” was said of a person who had lived a morally upright life but then lost her balance and fell into moral wrongdoing, as if slipping in slick mud (Sahagun 1953-82:VI,p.228, trans. by Burkhart 1989). Humans lose their balance easily on tlalticpac and so suffer misfortune frequently. They therefore desparately need guidance.

Nahua tlamatinime conceived the raison d’etre of philosophy in terms of this situation, and turned to philosophy for practicable answers to what they regarded as the defining question of human existence: How can humans maintain their balance upon the slippery earth? This situation and question jointly constitute the problematic which functions as the defining framework for Nahua philosophy. Morally, epistemologically, and aesthetically appropriate human activity are defined in terms of the goal of humans maintaining their balance upon the slippery earth. All human activities are to be directed towards this aim. At bottom, Nahua philosophy is essentially pragmatic.

Because of this I suggest Nahua philosophy is better understood as a “way-seeking” rather than as a “truth-seeking” philosophy. “Way-seeking” philosophies such as classical Taoism, classical Confucianism, and contemporary North American pragmatism adopt as their defining question, “What is the way?” or “What is the path?”. In contrast, “truth-seeking” philosophies such as most European philosophies adopt as their defining question, “What is the truth?” (For discussion see Hall 2001; Hall and Ames 1998; Maffie [ed] 2001.)

To the question, “How can humans maintain their balance upon the slippery earth?”, Nahua tlamatinime answered, “Humans must conduct every aspect of their lives wisely”. To the question, “What is the best path for humans to follow on the narrow, jagged surface of the earth?”, they answered, “The balanced, middle path since it avoids excess and imbalance, hence mistepping and slipping, hence misfortune and ill-being”.

b. The Character of Wisdom

Wisdom aims at instructing humans how to maintain their balance (like skilled mountaineers) as they walk upon the narrow, twisting, and jagged path of life upon the summit of the earth (see Burkhart 1989; Gingerich 1988; Leon-Portilla 1963; I. Nicholson 1959). The Nahuas conceived wisdom dynamically in terms of balancing — a conception rooted in indigenous shamanism (see Eliade 1964; Gingerich 1988; P. Furst 1976; Myeroff 1974) and in their conception of teotl. They conceived wisdom adverbially, not substantively. Wisdom is a characteristic of how one conducts oneself and one’s affairs — not a thing or a set of eternal truths one grasps, apprehends, or possesses. By enabling them to walk in balance, wisdom affords humans some measure of stability and well-being in an otherwise evanescent life filled with pain, sorrow, struggle, and suffering, here on an impermanent, doomed earth.

Nahua sages conceived tlamatiliztli (knowledge, wisdom) in pragmatic, creative, and performative terms rather than in propositional or theoretical terms. Tlamatiliztli consists of non-propositional ‘know how’ — not propositional ‘knowledge that’. It consists of knowing how to live so as to make one’s way safely upon the slippery surface of earth. How do humans become wise? They must become neltiliztli, i.e. well-rooted, authentic, true, and non-referentially disclosing. Their intellectual, emotional, imaginative, and physical dispositions and behavior must become deeply and firmly rooted in teotl.

Tlamatiliztli involved four, ultimately indistinguishable aspects: (1) the practical ability to conduct one’s affairs in such a way as to attain some measure of balance and purity–and hence some measure of well-being–in one’s personal, domestic, social, and natural surroundings; (2) the practical ability to conduct one’s life in such a way as to creatively participate in, reinforce, adapt, and extend into the future the way of life inherited from one’s predecessors; (3) the practical ability to conduct one’s life in such a way as to participate in the regeneration-cum-renewal of the cosmos, and; (4) the practical know how involved in performing ritual activities which: genuinely present teotl; authentically embody teotl; preserve existing balance and purity; create new balance and purity; and participate alongside teotl in the regeneration of the universe.

The Nahua universe is a “participatory universe” characterized by a “relationship of compelling mutuality” or “interdependence” between humans and universe (Wilbert 1975; see also Leon-Portilla 1993; Lopez Austin 1988, 1997; Read 1998; and Sandstrom 1991). This is simply a consequence of the interrelatedness and oneness of all things. Not only does the universe causally affect humans, but humans causally affect the universe. Human actions promote cosmic harmony, balance, and purity, on the one hand, or cosmic disharmony, imbalance, and impurity, on the other.

The Nahuas conceived moral, psychological, and physical (these all being indistinguishable in their eyes) health, well-being, righteousness, and purity in terms of keeping one’s balance on the earth’s slippery surface, and so regarded the earth’s surface as a psychologically, physically, and morally dangerous place. Nahua wisdom urged humans to act with extreme care and to follow the guidelines of the ancestors — as any other path would inevitably lead one to stumble down the earth’s slopes into psychological, physical, and moral imbalance, perverseness, instability, and disease. With this in mind, a father offered his son the following advice:

… on earth we travel, we live along a mountain peak. Over here there is an abyss, over there there is an abyss. Wherever thou art to deviate, wherever thou art to go astray, there will thou fall, there wilt thou plunge into the deep (Sahagun 1953-82:VI,p.125).

Yet the dire situation of humans on earth did not prompt the Nahuas to reject earthly life in favor of some other-worldly life. The earth’s surface is the only realm wherein humans enjoy the full potential for well-being since only here are their various vital forces fully integrated. The Nahuas resolved to live as best they could on tlalticpac. And indeed, earthly life does allow some measure of well-being: sleep, laughter, food, sexual pleasure, conjugal union, and procreation. Yet these were scarce, momentary, and needed to be taken in moderation, as any excess resulted in imbalance. This ambiguous character of earthly life is summarized in a mother’s advice to her daughter: “the earth is not a good place. It is not a place of joy; it is not a place of contentment. It is merely said it is a place of joy with fatigue, of joy with pain” (Sahagun 1953-82:VI,p.93).

Nahua philosophers saw humans as creatures yearning for rootedness — i.e. for a deep, firm, and lasting anchoring for their lives — and who restlessly search for it. Obtaining well-rootedness enables one to become an “upright man” (tlacamelahuac, trans. by Lopez Austin 1988:I,p.189) and to live a balanced, pure, and genuinely human life. Without roots, one finds neither balance, purity, nor humanness. Obtaining well-rootedness is difficult, and in their search many humans give their hearts to what appears to be well-rooted and authenthic but is not. Since this cannot provide grounding and stability, humans eventually become dissatisfied with it and abandon it, only to begin their search anew, often times repeating the process over and over again. Their hearts eventually become scattered, unbalanced, and lost (Lopez Austin 1988:II, Appendix 5). As Nezahualcoyotl put it, “If you give your heart to each and everything, you lead it nowhere: you destroy your heart” (Cantares mexicanos fol.2, v., trans. by Leon-Portilla 1963:5). Such humans become vagabonds, wandering about aimlessly from one illusion to the next. They become beastly, unstable, unbalanced, impure, perverse, dull-witted, intemperate, and vicious. They fail to realize their humanness and merely appear to be human. They become deceivers, rogues, and dissimulators. They “act on things with [their] humanity dead” (Lopez Austin 1988:I,p.189). They are “lump[s] of flesh with two eyes” (Sahagun 1953-82:X,pp.3,11) and “defective human weight[s]” (Sahagun 1953-82:X,p.11, trans. by Lopez Austin 1988:II,p.271).

The beastly apparent-human eschews the company of other humans and in so doing forsakes his humanness in yet another way. Humans are essentially social; they need the company of others in order to become genuine human beings. Humans are born “faceless” (i.e. incomplete or with undeveloped powers of judgment) and need other humans for the education and discipline needed for acquiring a “face”, becoming balanced, and becoming fully human. Developing proper “face and heart” is only possible through the opportunities provided by well-ordered social living. Unstable, foolish, and diseased, the loner slips constantly upon the path of life.

The notion of maintaining one’s balance plays a central role in other aspects of Nahua thought. One’s mind and body possess or lack balance, and are healthy or not depending upon whether they possess the proper balance of opposing polarities such as hot and cold, dry and wet, etc. (Lopez Austin 1988:I,ch.8). One’s home, neighborhood, polity, and environment are healthy or diseased depending upon whether they are balanced or not. Personal, domestic, and social balancedness are interdependent. Imbalance, iimpurity, and ill-being are contagious.

The Nahuas believed the human body serves as the temporary location for three different animistic forces, each residing in its own center. Tonalli (from the root tona, “heat”) resides in the head. It provides the body with character, vigor, and the energy needed for growth and development. Individuals acquire their tonalli from the sun. A person’s tonalli may leave her body during dreams and shamanic journeys. Tonalli is ritually introduced into an infant as one of her animistic entities. It is closely united to a person as her link to the universe and as determining factor of her destiny. Everything belonging to a human by virtue of her relation to the cosmos received the name of tonalli. Teyolia (“that which gives life to people”) resides in the heart. It provides memory, vitality, inclination, emotion, knowledge, and wisdom. Unlike tonalli, one’s teyolia is not separable while alive. It “goes beyond after death” and enjoys a postmortem existence in the world of the dead. The Nahuas likened teyolia to “divine fire” (Carrasco 1990:69). Finally, ihiyotl (“breath, respiration”) resides in the liver. It provides passion, cupidity, bravery, hatred, love, and happiness.

Every human is the living center and confluence of these three forces. They direct humans’ physiological and psychological processes, giving each person her own unique character. All three must operate harmoniously with one another in order to produce a mentally, physically, and morally pure, upright, whole, and balanced person. Disturbance of any one affects the other two. Only during life on earth are all three forces fully integrated within humans. After death, each goes its own way.

Lastly, individuals possess free will within the constraints imposed by their tonalli. One is born with either favorable or unfavorable tonalli and with a corresponding predetermined character. While this places certain constraints upon what one may accomplish, one freely chooses what to make of one’s tonalli within these limits. Someone born with favorable tonalli may squander it through improper action; someone with unfavorable tonalli may neutralize its adverse effects through knowledge of the sacred calendar and careful selection of actions. (For further discussion, see Lopez Austin 1988, 1997; J. Furst 1995; Carrasco 1990; Sandstrom 1991.)

4. Epistemology

a. The Raison D’etre of Epistemology

The philosophical problematic above defines the raison d’etre of Nahua epistemology. The aim of cognition from the epistemological point of view is walking in balance upon the slippery earth, and epistemologically appropriate inquiry is that which promotes this aim. Nahua epistemology does not pursue goals such as truth for truth’s sake, correct description, and accurate representation; nor is it motivated by the question “What is the (semantic) truth about reality?” Knowing (tlamatiliztli) is performative, creative, and participatory, not discursive, passive or theoretical. It is concrete, not abstract; a knowing how, not a knowing that.

b. Truth as Well-Rootedness-cum-Alethia

Nahua epistemology conceived knowing (tlamatiliztli) in terms of neltiliztli. Scholars standardly translate neltiliztli (and its cognates) as “truth” (and its cognates) (Karttunen 1983; Gingerich 1987; Leon-Portilla 1963). However, unlike most Western philosophers, Nahua philosophers did not understand truth in terms of correspondence (or coherence). According to Leon-Portilla (1963:8), “`truth’… was to be identified with well-grounded stability [well-foundedness or well-rootedness].” To say a person cognizes truly is therefore to say she cognizes with well-grounded stability or well-rootedly. Nahua philosophers thus possessed a concept of truth (neltiliztli) but they conceived truth in terms of well-grounded stability, well-foundedness, and well-rootedness — not in terms of correspondence, aboutness, representation, reference, fit, or successful description. In short, they understood neltiliztli (truth) non-semantically.

Willard Gingerich (1987:102f.) defends Leon-Portilla’s translation-interpretation of neltiliztli. He points out that “truth” occurs in the early post-Conquest sources more often in its adverbial form, nelli, meaning “truly” or “with truth” (which I believe reflects the Nahuas’ processive metaphysics). However, Gingerich contends well-rootedness does not exhaust the full meaning of neltiliztli. The Nahuas’ understanding of neltiliztli contained an ineliminable Heideggerian component: “non-referential alethia — [i.e.] ‘disclosure,'” (1987:104), “unconcealedness” (1987:102), “self-deconcealing” (1987:105), and “unhiddenness” (1987:105). That which is neltiliztli is both well-rooted and non-referentially unconcealing or disclosing. Nahuas understood neltiliztli (truth) non-semantically, i.e. in terms other than correspondence, reference, representation, and aboutness. In sum, Nahua epistemology conceives neltiliztli in terms of well-rootedness-cum-alethia.

The Nahuas characterized persons, things, activities, and utterances equally and without equivocation in terms of neltiliztli, and understood neltiliztli in terms of well-rootedness in teotl. That which is well-rooted in teotl is genuine, true, authentic, and well-balanced as well as non-referentially disclosing and unconcealing of teotl (Gingerich 1987, 1988; Maffie 2002). Created things exist along a continuum ranging from those that are well-rooted in teotl (i.e. nelli) and hence authentically present and embody teotl as well as disclose and unconceal teotl, at one end, to those things that are poorly rooted in teotl (i.e. ahnelli) and hence neither authentically embody and present teotl nor disclose and unconceal teotl, at the other end. The former, which include fine jade and well-crafted song-poems (“flower and song”), enjoy sacred presence.

c. Cognitive Burgeoning and Flowering

Humans thus cognize knowingly if and only if they cognize with well-rootedness-cum-alethia. They cognize with well-rootedness-cum-alethia if and only if their cognizing is well-rooted in teotl. The Nahuas conceived well-rootedness-cum-alethia in terms of burgeoning (Brotherston 1979). Burgeoning and rootedness are both vegetal notions deriving from the organic world of agricultural life. A plant’s flowers and fruits burgeon from its seeds, soil, and roots, and in so doing embody, present, and disclose the latter’s qualities. Analogously, cognizing knowingly is a form of cognitive flourishing. It is the flower of an organic-like process consisting of teotl’s sap-like burgeoning, unfolding, and blossoming within a person’s heart. By doing so, teotl discloses and unconceals itself. As the generative presentation of teotl, human knowing thus represents one of the ways teotl faithfully, genuinely, and authentically discloses itself here on earth. As a consequence, human cognizing moves knowingly: it understands, presents, embodies, enacts, and expresses teotl.

By contrast, unknowing (illusory, befogged) cognizing is poorly if not wholly unrooted (ahnelli) in teotl. It is inauthentic, ingenuine, and undisclosing. Teotl fails to burgeon, flower, and faithfully disclose itself within such cognizing. Unknowing cognition constitutes a form of cognitive crookedness, perversity, or disease. It represents one of the ways by which teotl unfaithfully and inauthetically presents — i.e. disguises and masks — itself here on earth.

Humans come to know teotl using their heart — not head or brain. Situated between head and liver, the heart is uniquely qualified to attain the proper balance of the head’s reason and the liver’s passion needed for understanding teotl. The heart serves as the center for teyolia, that vital force which induces humans towards that which alone fills their emptiness and gives them roots: teotl. Knowing requires that one possess a yolteotl or “teotlized heart”, i.e. a heart charged with teotl’s sacred energy and enjoying sacred presence. The “teotlized heart” possesses an extraordinary amount of teyolia. One possessing a “teotlized heart” has “teotl in his heart” and is “wise in the things of teotl” (Lopez Austin 1988:I,pp.258ff., II,pp.245,298; see also Leon-Portilla 1963).

Yollotl, the Nahuatl word for heart, derives from ollin, the Nahuatl word for movement (Lopez Austin 1988). This indicates yet another way in which the heart the organ best suited for knowing teotl way. Teotl is essentially movement. A teotlized heart moves in balance with the movement of teotl, and as a result moves knowingly. As one’s heart comes to move knowingly, one becomes “wise in the things of teotl”; one comes to have “teotl in his heart”. Teotl presents and discloses itself to and through one’s heart. One experiences teotl directly and de re. The de dicto mask of unknowing beguiles one’s heart no more.

Teotl is ultimately ineffable since it is undifferentiated and unordered; a seamless totality. Consequently, humans only experience teotl knowingly in a manner unmediated, unspecified, and undefined by language, concepts, and categories (along with their divisions, classification, and distinctions). These are facets of teotl’s disguise or mask and thus contribute to humans’ de dicto misperceiving and misunderstanding of teotl. To the degree language, concepts, and categories are essential to human reasoning, humans thus understand teotl non-rationally. Alternatively expressed, teotl only genuinely discloses itself non-linguistically, non-discursively, and non-rationally.

d. “Flower and Song”

In light of the preceding, Nahua tlamatinime turned to “flower and song” (poetry, writing-painting, music) to disclose and present (not re-present) teotl as well as display and embody their understanding of teotl. Composing-and-performing song-poems in particular are the highest form of human artistry and the finest way for humans to present teotl since this activity most closely imitates and participates in teotl’s own cosmic, creative artistry. Hence song-poems rather than discursive arguments are the appropriate medium of sagely expression, and sages are perforce singer-songwriter-poets.

“Flower and song” comes from a ritually prepared heart that embodies and presents a proper balance of reason and passion, male and female, active and passive, etc. This balance was symbolized in popular Aztec religion by Quetzalcoatl, the “Plummed Serpent”, who served as patron deity of artists and sages. By combining the attributes of birds (heaven) and snakes (earth), the “Plummed Serpent” symbolized the union of male and female. Indeed, Quetzalcoatl’s joint patronage of sages and artists points to their ultimate identity and to the equivalence of sagacity and artistic excellence.

Acquiring a teotlized heart and becoming knowledgeable of teotl also requires that one engage in “flower and song”. Artistic activity epistemologically improves one’s heart, causing it move in balance with teotl and hence move knowingly. By engaging in creative artistry humans imitate and participate in — albeit imperfectly — the self-transforming, cosmic creativity of teotl. In so doing they fashion their hearts after teotl.

Acquiring a teotlized heart and becoming knowledgeable of teotl also requires that one be well-rooted, well-balanced, pure, authentic, and morally righteous, and that one possess strength, self-control, moderation, and modesty (see Gingerich 1988; Burkhart 1989). Humans must show humility and respect towards teotl before teotl discloses itself. The foregoing characteristics are not only epistemological but moral and aesthetic as well. They not only help humans become knowledgeable and live wisely, they help them live morally, authentically, purely, well-balancedly. and beautifully. Humans cannot become knowledgeable of teotl without becoming genuine, pure, morally righteous and beautiful (and vice versa). In short, the process of epistemological self-improvement is also one of moral and aesthetic self-improvement.

Finally, the Nahuas understood the process of becoming knowledgeable in terms of tlamacehualiztli or “the meriting of things”. According to Burkhart (1989:142), tlamacehualiztli derives from the verb macehua, “to obtain or deserve what is desired” (see also Klor de Alva, 1993; Leon-Portilla 1993; Gingerich 1988; Read 1998). Humans come to “merit” — i.e. “deserve” or “be worthy of” — tlamatiliztli as a consequence of performing prescribed ritual activities. Humans and teotl coexist in a moral interrelationship of reciprocity, and becoming knowledgeable involves a morally regulated exchange with teotl. When humans behave in ritually prescribed ways, they may expect to attain those things they have come to merit. Tlamatiliztli emerges as a consequence of moral-cum-epistemological-cum-aesthetic interaction and co-participation with teotl.

5. Intrinsic Value: Balance and Purity

Nahua value theory sees balance and purity jointly as the condition that is ideal as well as intrinsically valuable and worth-cultivating for humans. To the degree humans approximate balance-and-purity in their lives, they perfect their humanness and flourish; to the degree they do not, they destroy their humanness and suffer beastly, miserable lives. Nahua theory of intrinsic value is rooted in Nahua metaphysics in the following way. Teotl functions as the ultimate source and standard of intrinsic value since balance-and-purity are properties of teotl. Teotl’s own balance-and-purity are genuinely embodied and presented in well-formed quetzal tail feathers, jade, and turquoise. Thet are green: the color of balance, purity, life, renewal, and well-being (Sahagun 1953-82:XI, pp.224,248; see also Gingerich 1988; Burkhart 1989.) One obtains this balance-and-purity by rooting oneself firmly and deeply in teotl.

6. Moral Theory: How to Live in Balance and Purity

Nahua philosophy reflects upon the appropriateness of human conduct, attitudes, and states of affairs from the standpoint of achieving, restoring, and maintaining balance-and-purity. This single point of view encompasses under a single rubric what Western thought standardly divides into moral, religious, political, legal points of view. Nahua philosophers saw no significant difference between these, however. For simplicity’s sake I discuss this single point of view using the terms “morality”, “ethics” and their cognates.

Nahua morality is rooted in the claim that balance-and-purity constitute the ideal condition as well as what is intrinsically valuable for humans, and derives two fundamental moral precepts from this claim: humans should promote balance-and-purity and avert imbalance-and-impurity. Nahua morality accordingly appraised the moral appropriateness of conduct, attitudes, and states of affairs in light of their consequences upon balance-and-purity. Morally appropriate conduct, for example, is that which promotes, sustains or renews balance-and-purity or that which averts imbalance-and-impurity; morally inappropriate conduct is that which disrupts existing balance-and-purity or creates new imbalance-and-impurity (see Burkhart 1988; Gingerich 1988; Lopez Austin 1988, 1997). Good intentions do not suffice; one must actually succeed.

Nahua ethics standardly characterizes morally appropriate conduct as in quallotl in yecyotl, i.e. as that which is “fitting for” and “assimilable by” humans in the sense of contributing to their balance-and-purity. Morally appropriate conduct helps humans “assume a face,” “develop a heart,” and enrich their life. It helps them become authentically human. Morally inappropriate conduct, on the other hand, causes humans to leave their heart undeveloped, lose their face, and impoverish their lives. It causes them to become lumps of flesh with two eyes. (See Leon-Portilla 1963:146-48; Burkhart 1989:38ff.; Gingerich 1988:524; Lopez Austin 1988, 1997.)

The soundest, wisest course is moderation. One should neither do too much nor too little of anything: e.g. eating, sleeping, or bathing. If one overindulges by feasting, one must restore balance by overindulging in its contrary, fasting. Acting wisely consists of walking a middle path between two extremes. As a Nahuatl proverb proclaims: tlacoqualli in monequi: “the center good is required,” “the middle good is necessary” (Sahagun 1953-82:VI, p.231, trans. by Burkhart 1989:134).

Nahua ethics also employs the notion of tlatlacolli — i.e. damage, harm or spoilage — when characterizing the moral character of conduct (Burkhart 1989:28). Immoral conduct is tlatlacolli because it causes an entity to suffer a loss of balance, which in turn causes it to suffer decay, disorder, randomness, and spoilage. Spoilage in humans, for example, typically results in physical or psychological disease. Nahua ethics also uses the notions of purity and impurity in this regard. The basic Nahuatl pollution concept is tlazolli, the most literal meaning of which is, “something useless, used up, something that has lost its original order or structure and has been rendered loose and undifferential matter” (Burkhart 1989:88). Immorality is identified with dirt and filth. Immoral behavior is dirty because it pollutes the actor(s) involved, e.g. two adulterers. Purity and impurity are closely related to spoilage. Moral impurity is a form of spoilage accompanied by a loss of balance.

Nahua ethics had a this-worldly rather than other-worldly orientation. Its foundation and justification rested in human nature, the nature of life on earth, and ultimately the nature of the teotl — not in the commandments of some remote deity. The Nahuas’ search for the correct codes of conduct was not motivated by a desire for reward in an afterlife, nor did it presuppose the possibility of determining one’s destiny after death. There was no talk of punishment or reward in an afterlife for the kind of life one led on earth.

This notwithstanding, Nahua morality did prescribe a way of life which promised well-being here on earth. The Nahuas believed the destiny of humankind in the beyond to exceed human control and knowledge, and concluded that the rewards and punishments for earthly conduct are earthly. These included conversation, health, laughter, sleep, strength, sexual pleasure, honor, longevity and respect in the case of morally appropriate behavior; hunger, pain, sorrow, insanity, physical deformity and disease in the case of inappropriate behavior.

The Nahuas characterized education as “the art of strengthening or bringing up men” (tlacahuapahualiztli) and “the act of giving wisdom to the face” (neixtlamachiliztli). Humans are born incomplete and “faceless” (i.e. without character) yet are perfectible through proper education (Leon-Portilla 1963; Lopez Austin 1988). Education aims at perfecting children by developing in them “a wise face and a strong, humanized heart” and fashioning their character into a “well smoked, precious turquoise” (Sahagun 1953-82:VI,p.113). This equips them with the means for keeping their balance on the slippery earth. Towards this end Nahua education sought to cultivate dispositions that enable humans to live well (such as self-control, self-sufficiency, moderation, modesty, and personal and domestic hygiene) and extricate dispositions that disable humans (such as pride, intemperance, carelessness, duplicity, uncleanliness, gluttony, and drunkenness).

Only tlamatinime were qualified to cultivate wisdom in people. In his/her capacity as educator, moralist, and role model — i.e. as “teacher of people’s faces” (teixtlamachtiani) — the sage is akin to an artist who skillfully shapes a formless block of stone into a beautiful statue. The sage shapes a child’s “faceless”, lump of human flesh into a genuinely human “face and heart”. Of the sage the Nahuas said:

The wise man: a light, a torch, a stout torch that does not smoke.
A perforated mirror, a mirror pierced on both sides.
His are the black and red ink, his are the illuminated manuscripts, he studies the illuminated manuscripts.
He himself is writing and wisdom.
He is the path, the true way for others.
He directs people and things; he is a guide in human affairs.
Teacher of truth, he never ceases to admonish.
He makes wise the countenances of others; to them he gives a face; he leads them to develop it.
He opens their ears; he enlightens them.
He puts a mirror before others, he makes them prudent, cautious; he causes a face to appear on them.
He attends to things; he regulates their path, he arranges and commands.
He applies his light to the world.
Thanks to him people humanize their will and receive a strict education.
(Codice Matritense de la Real Academia, VIII,fol.118, r.- 118,v. trans. by Leon-Portilla 1963:10-11).

“Face and heart” (in ixtli in yollotl) expresses the notion of character (Leon-Portilla 1963). To possess a “perfected, wise face and good heart” is to exhibit sound judgment and sentiment: one’s psychological, intellectual, and physical behavior promotes balance-and-purity and averts imbalance-and-impurity. The person with “good heart, humane and stout” has is wise in the ways of teotl. The person lacking such a heart has an “enshrouded heart” (Leon-Portilla 1963:175). He is mad, foolish, and dull-witted.

The Nahuas likened the person with a “wise face and good heart” to well-formed quetzal plumage, jade, and turquoise. These objects faithfully and authentically present teotl’s balance-and-purity. They are green, the color of balance, purity, life, renewal, and well-being (Sahagun 1953-82:XI, pp.224,248). As one of Sahagun’s Nahua informants put it:

…the pure life is considered as a well-smoked, precious turquoise: as a round, reedlike, well-formed, precious green stone. There is no blotch, no blemish. Those perfect in their hearts, in their manner of life, those of pure life — like these are the precious green stone, the precious turquoise, which are glistening… They are those of pure life, those called good-hearted (Sahagun 1953-82:VI, p.113).

Living wisely also requires performing ritual activities devoted to restoring lost balance-and-purity or to averting future imbalance-and-impurity. Such activities included penitence, mortification, and “straightening one’s heart” (neyolmelahualiztli; “confession”) (Burkhart 1989:214). These helped restore balance to one’s heart by purifying it of tlazolli, by casting off tlatlacolli, and returning it to its proper shape. Humans also acquired moral “merit” through self-deprivation, moderation, and penitential self-denial.

7. Aesthetics

The Nahuas used the expression “flower and song” to refer to artistic activity and its products. Broadly construed, “flower and song” refers to creative activity generally including composing-performing song-poems, painting-writing, playing music, featherworking, and goldsmithing. However, translating-interpreting “flower and song” in this manner is potentially misleading. For the Nahuas did not have a concept of art in the modern Western sense of “art for art’s sake” i.e. in the sense that “art and works of art deserve the title by virtue of being products and activities with no other purpose than their contemplation” (Wilkinson 1998:383). Since the Nahuas did not produce objects soley for aesthetic contemplation, we might, then, rightly say that in this sense the Nahuas did not do or make art. They had no notion of a distinctly aesthetic — as opposed to moral or epistemological — point of view from which to judge the value (or beauty) of human creativity activity and its products. Rather, Nahua philosophers conceived aesthetics in terms of the problematic defining all philosophical speculation: helping humans maintain their balance on the slippery surface of the earth. As with all other human activities, creative activity and its products are meant to help humans maintain their balance and evaluated accordingly. Aesthetics is thus interwoven with moral and epistemological purposes. That which is aesthetically valuable (or beautiful) is also morally valuable and epistemologically valuable (and conversely). It is the well-rooted, well-balanced, true, disclosing, and pure. That which is aesthetically valueless (or ugly) is disordered, duplicitous, perverse, unbalanced, impure, and deceptive since unrooted, undisclosing, inauthentic, and false.

Nahuas aesthetics views creative activity and its products in the following terms. First, creative activity and its products are aesthetically valuable if and only if they genuinely present and truly disclose teotl. Like well-formed jade, turquoise, and quetzal plumes, they authentically unconceal balance-and-purity.

Secondly, creative activity and its products are aesthetically valuable if and only if they contribute positively to the existing store of balance-and-purity in the cosmos. Works of art accomplish this by faithfully presenting and hence actually embodying balance-and-purity, i.e. by literally being well-balanced and pure.

Third, aesthetically valuable creative activity and products must spring forth from a morally and epistemologically qualifed, “teotlized heart”, and hence burgeon from and be well-rooted in teotl. The accomplished artist is necessarily morally upright and knowledgable of teotl. Fools and rogues are incapable of creating beautiful works of art.

Fourth, aesthetically valuable creative activity and its products must have the appropriate effects upon their audience. Beautiful art improves and uplifts its audience psychologically, physically, morally, and epistemologically. It promotes psychological and physical balance-and-purity, moral righteousness, and proper understanding of teotl, and consequently helps humans attain greater degrees of humaness and well-being. By contrast, ugly art promotes physical and psychological imbalance-and-impurity, immorality, depravity, misunderstanding, and ill-being.

8. Conclusion

The ephemerality and fragility of earthly life loomed large over Conquest-era the Nahuatl-speaking peoples. Nahua wisdom aimed at enabling them to make the best of life under such circumstances by helping them to walk in balance upon the slippery earth. Walking in balance was simultaneously a moral, epistemological, practical, and aesthetic notion: it involved one’s being well-rooted, authentic, knowledgeable, true, pure, morally upright, and beautiful. A life wisely lived offered humans a fleeting, momentary repose from the inevitable sorrow, suffering, and transience of earthly existence. It enabled humans, if only momentarily, to flower and sing.

9. References and Further Reading

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Author Information

James Maffie
Email: maffiej@umd.edu
University of Maryland
U. S. A.

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