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)
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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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  • Burkhart, Louise (1989). The Slippery Earth: Nahua-Christian Dialogue in Sixteenth-Century Mexico. Tucson: University of Arizona Press.
  • Carmack, Robert, Janine Gasco, and Gary Gossen (eds) (1996). The Legacy of Mesoamerica: History and Culture of a Native American Civilization. Upper Saddle River: Prentice-Hall.
  • Carrasco, David (1990). Religions of Mesoamerica: Cosmovision and Ceremonial Centers. San Francisco: Harper and Row.
  • Caso, Alfonso (1958). The Aztecs: People of the Sun, trans. by L. Dunham. Norman: University of Oklahoma Press.
  • Cooper, David (1997). God is a Verb: Kabbalah and the Practice of Mystical Judaism. New York: Penguin Putnam, Inc.
  • Eliade, Mircea (1964). Shamanism: Archaic Techniques of Ecstasy. Princeton: University of Princeton Press.
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  • Gingerich, Willard (1987). “Heidegger and the Aztecs: The Poetics of Knowing in Pre-Hispanic Nahuatl Poetry,” in B. Swann and A. Krupat (eds), Recovering the Word: Essays on Native American Literature. Berkeley: University of California Press, pp.85-112.
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  • Wilkinson, Jennifer R. (1998). “Using and Abusing African Art,” in P.H. Coetzee and A.P.J. Roux (eds), The African Philosophy Reader, 1st ed. London: Routledge, pp.383-395.
  • Wiredu, Kwasi (1996). Cultural Universals and Particulars: An African Perspective. Bloomington: Indiana University Press.

Author Information

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

Feminist Epistemology

Feminist epistemology is an outgrowth of both feminist theorizing about gender and traditional epistemological concerns. Feminist epistemology is a loosely organized approach to epistemology, rather than a particular school or theory. Its diversity mirrors the diversity of epistemology generally, as well as the diversity of theoretical positions that constitute the fields of gender studies, women’s studies, and feminist theory. What is common to feminist epistemologies is an emphasis on the epistemic salience of gender and the use of gender as an analytic category in discussions, criticisms, and reconstructions of epistemic practices, norms, and ideals. While feminist epistemology is not easily and simply characterized, feminist approaches to epistemology tend to share an emphasis on the ways in which knowers are particular and concrete, rather than abstract and universalizable. Feminist epistemologies take seriously the ways in which knowers are enmeshed in social relations that are generally hierarchical while also being historically and culturally specific. In addition, feminist epistemologies assume that the ways in which knowers are constituted as particular subjects are significant to epistemological problems such as warrant, evidence, justification, and theory-construction, as well as to our understanding of terms like “objectivity,” “rationality,” and “knowledge.”

Table of Contents

  1. Introduction
  2. Critiques of Rationality and Dualisms
  3. Feminist Science Studies
    1. Feminist Naturalized Epistemologies
    2. Cultural Studies of Science
    3. Standpoint Theory
  4. Developmental Psychology, Object Relations Theory and the Question of ‘Women’s Ways of Knowing’
  5. Hermeneutics, Phenomenology, and Postmodernist Approaches
  6. Feminist Epistemic Virtue Theory
  7. Pragmatism and Feminist Epistemologies
  8. References and Further Reading

1. Introduction

The themes which characterize feminist engagements with epistemology are not necessarily unique to feminist epistemologies, since these themes also crop up in science studies more generally, as well as in social epistemology. Feminist epistemologies are distinctive, however, in the use of gender as a category of epistemic analysis and re-construction. Feminist approaches to epistemology generally have their sources in one or more of the following traditions: feminist science studies, naturalistic epistemologies, cultural studies of science, Marxist feminism and related work in and about the social sciences, object relations theory and developmental psychology, epistemic virtue theory, postmodernism, hermeneutics, phenomenology, and pragmatism. Many feminist epistemological projects incorporate more than one of these traditions. For the sake of this entry, however, particular theorists have been segregated into these fairly arbitrary categories. The caveat here is that each particular theorist might just as well have been included under a number of different categories.

2. Critiques of Rationality and Dualisms

Work by Susan Bordo (1990) and Genevieve Lloyd (1984) analyzes the ways in which metaphors of masculinity operate in constructions of ideals of rationality and objectivity. Drawing on feminist discussions of object relations theory (Bordo) and of the role of the symbolic imaginary and metaphor in modern epistemological projects, both Lloyd and Bordo argue that the operations of the symbolic imaginary are implicated in the metaphysics of subjectivity and objectivity and in the characterization of epistemic problems that follow from that metaphysics. The result of the work done by these feminist historians is that ideals of reason, objectivity, autonomy, and disinterestedness operating in assumptions about inquiry, as well as the idea that the “perennial” problems of epistemology are gender neutral are now revealed to be connected to and constitutive of gender relations.

Bordo’s and Lloyd’s analyses provide resources for feminists working in science studies, as well as those working in Anglo-American analytic traditions. Much of the work in feminist epistemology is influenced by these critiques, and the emphasis that Lloyd especially places on the cognitive role of metaphor, is a starting point for much feminist work on the role of “affective” and “literary” aspects of cognition and philosophy more generally.

Susan Hekman’s (1990) work argues that dualisms of nature/culture, rational/irrational, subject/object, and masculine/feminine underwrite modernist epistemological projects and that feminist epistemology should aim to destabilize and deconstruct those dualisms. Hekman argues that such destablization can only take place if feminists refuse the dichotomous presuppositions of the modernist project, including the dichotomy of masculine/feminine and its role in identity ascriptions. The aim, then, of feminist epistemology is both the eradication of epistemology as a going concern with issues of truth, rationality, and knowledge and the undermining of gender categories.

Critics of feminist epistemology have charged that feminist critiques of rationality amount to a valorization of irrationality, a charge that misses the point of these critiques. If our ideals of rationality are to be interrogated and reconstructed, then, presumably, our ideals of irrationality will be so reconstructed as well, since the operative premise of Bordo’s, Lloyd’s and Hekman’s analyses are that the dichotomy of rationality and irrationality help to constitute the dualism of masculine/feminine and vice-versa. Thus, what critics take to be a valorization of irrationality can only appear so if those dichotomies remain in place.

3. Feminist Science Studies

Much of the initial work in feminist epistemology grew out of feminist critiques of, and engagement with, science. This work generally emphasizes the ways in which science has been marked by gender bias, not only in the fact that women are seriously underrepresented in the sciences, but also in the ways in which assumptions about gendered behavior serve an evidential role in dominant and widely accepted theories in such fields as anthropology, biology, and psychology (Bleier, (1984), Haraway (1988, 1989), Keller (1983, 1984)).

Harding and Hintikka’s (1983) collection represents early work primarily in science studies and epistemology but also includes early work that represents one of the primary and unique contributions of feminist epistemology: the incorporation of moral and political theory in discussions of epistemology and science.

The recognition that the process of scientific theory construction and inquiry essentially involved appeals to extra-scientific values was further developed by subsequent theorists augmenting the early critiques of gender bias in science. Rather than claiming that values and politics always compromised scientific inquiry, feminist theorists such as Nelson (1990), Longino (1990) and Harding (1986, 1991, 1998) argue that such values are always operating in evaluations of evidence, justification, and theory-construction and that trying to develop an epistemology for science that would make it less prone to gender bias requires the recognition of the ways in which values enter the process of scientific reasoning. Feminist theorists, thus, turned their attention to developing epistemologies that would allow for critical evaluation of the values that are shared, and, thus, often invisible, to inquirers in the sciences. Nelson’s work, drawing on Quine, develops a holistic approach to questions about evidence and justification, emphasizing the ways in which knowledge is held by communities, rather than by individual knowers who are abstractable members of such communities. Helen Longino argues for the value of pluralism in the construction of scientific models as a way of making the values and assumptions of scientific communities accessible for critical evaluation. Harding uses Marxist analysis to develop a feminist version of standpoint theory.

What these approaches to feminist science studies emphasize is that good science is not value-free science, since values are ineradicable from the process of scientific inquiry and theory-construction. Instead, they argue that good science is science that can critically evaluate the values and assumptions that operate epistemically in scientific theory construction and in the ways in which scientific problems are formulated. Good science is a science that can develop mechanisms for critically evaluating, not only the results of inquiry, but also the ways in which those results depend upon a raft of value-laden and theory-laden assumptions and facts.

Part of the problem with these approaches (with the exception of standpoint epistemologies, which are discussed in more detail below), however, is that they have few theoretical resources for dealing with questions about how such diversity can be brought into scientific theorizing, and how one could, in principle, exclude groups with commitments or values that are, on the face of it, anti-scientific (e.g. magic) or unpalatable in other ways (e.g. Nazi science). If the value of pluralism is that it would allow for the critical reflection necessary for ensuring that the values and commitments that enter scientific inquiry are visible, then on what grounds could one exclude, for example, creationism? Feminist epistemology that draws on work in science studies has revealed the ways in which it is individuals in communities who know and how such communities operate with a variety of value commitments that make knowledge possible. However, the issue about methodological pluralism remains a difficult one.

a. Feminist Naturalized Epistemologies

Feminist naturalized epistemologies have developed as a way of taking account of the fact that knowers are located in “epistemic spaces” and the ways in which knowledge is more properly understood on a community rather than an individual model. Naturalism is defined here as an approach to epistemology that focuses on causal accounts of knowledge, and in the case of feminist naturalism, these causal accounts also include social, political, and historical factors. Primarily, feminist naturalism seeks to emphasize the ways in which cultural and historical factors can enable, rather than distort, knowledge. Feminist naturalism is itself a rather loosely organized category, with some approaches privileging scientific naturalism and others placing science within the broader scope of human epistemic endeavors. Feminist naturalist approaches by Lynn Hankinson Nelson (1990) and Louise Antony (Antony and Witt 1993) try to develop Quinean naturalism in ways that are consistent with feminist insights about the epistemic relevance of gender and social relations; other feminist epistemologists, such as Elizabeth Potter (1995, 2001), draw on sociological and historical work (in Potter’s case, specifically work on Robert Boyle) to develop naturalistic accounts of theory construction and choice. Work by Alison Wylie (1999) develops feminist naturalistic analyses of the scientific practices of archaeology. The work of Lorraine Code (1987, 1991, 1995, 1996) can also be characterized as a form of feminist naturalized epistemology; this work is discussed in greater detail in the section on Epistemic Virtue Theories below. Nancy Tuana (2003) has developed Charles Mills’s concept of “epistemologies of ignorance” by looking at the ways in which ignorance, rather than knowledge, is constructed by studies of sexuality and public school sex education programs.

Feminist naturalized approaches, like non-feminist naturalized approaches, often come to grief over the status of normativity in the construction of theory, since, traditionally, the naturalistic impulse is to provide a descriptive account of knowledge. However, without an appeal to the ways in which sexism, racism, or homophobia might deform knowledge practices, feminist epistemology would appear to have few resources for arguing that present cultural and historical conditions should be changed, since there is no way to show that these are inherently unreliable or objectionable. Feminist naturalized epistemologies differ in how seriously they take this problem. Some theorists take the challenge presented by this problem very seriously, while others argue that it is only a problem if we assume a strong descriptive/prescriptive or fact/value distinction. Those who take the issue seriously generally offer solutions that either emphasize the value of pluralism in epistemic pursuits or argue that the distinction between the normative and the descriptive is less clear cut than naturalism’s opponents think, thus allowing the feminist naturalist the normative resources that allow for internal critique. Furthermore, feminist naturalists often point out that scientific theories that have been motivated by feminist insights have often turned out to be more empirically reliable than those which claim to be normatively neutral.

b. Cultural Studies of Science

Cultural studies of science begin with the assumption that science is a practice and that practices include both normative and descriptive components that cannot be easily separated from each other. Feminist cultural studies of science emphasize the importance of non-relativistic epistemological commitments and the importance of using revised versions of normative concepts such as “objectivity” and “evidence.” However, they recognize that, insofar as science is a practice, these concepts and their normative import are worked out in practical interactions with the material world, a position that requires that these concepts be revised in ways that are not committed to representational theories of mind and truth. Karen Barad (1999) uses an analysis of the practice of using the scanning tunneling microscope to emphasize the ways in which the boundaries between subject and object are relatively permeable and to show the ways in which observation itself is a form of practice. Her “agential realism” seeks to bridge the gap between descriptive epistemologies and normative epistemologies on the one hand, and between naïve realism and social constructivist approaches to scientific objects on the other.

Donna Haraway’s (1988) work on situated knowledges emphasizes the ways in which science is a rule-governed form of “story-telling” that aims at getting at the truth, but the idea of truth she uses here is not that of reality an sich but a reality that is produced by human material practices. Thus, she argues “facts” are in fact “artifacts” of scientific inquiry. This does not make them false, but it does render them bound up with processes of human production and human needs. Nonetheless, they maintain an ontological independence to a certain extent; this is the central insight of the analogy to other kinds of artifacts.

c. Standpoint Theory

Feminist standpoint epistemology initially developed in the social sciences, primarily in work by Nancy Hartsock (1998) in political science and by Dorothy Smith in sociology. As a methodology for the social sciences, it emphasizes the ways in which socially and politically marginalized groups are in a position of epistemic privilege vis-à-vis social structures. Drawing on Hegel and Marx, feminist standpoint theorists in the social sciences argue that those on the “outside” of dominant social and political groups must learn not only how to get along in their own world, but also how to get along in the dominant society. Thus, they have an “outsider” status with respect to dominant groups that allows them to see things about social structures and how they function that members of the dominant group cannot see.

In philosophy, this theoretical position was developed most thoroughly by Sandra Harding (1986, 1991, 1998). Harding argues that “starting thought out” from the lives of the marginalized will lead to the development of new sets of research questions and priorities, since the marginalized enjoy a certain epistemic privilege that allows them to see problems differently, or to see problems where members of a dominant group do not. However, Harding emphasizes that one need not be a member of a marginalized group in order to be capable of starting one’s thought from that standpoint. She argues that Hegel was not a slave and Marx was not a member of the proletariat, yet they both were able to identify with the standpoint of the slave and with that of the proletariat. Thereby, they were able to start their thought out from lives very different from their own.

The concept of the “standpoint” of the marginalized is both what sets standpoint epistemology apart from a general pluralism as well as the concept that has provided the most challenges to feminist standpoint theorists. One does not occupy the “feminist standpoint,” for instance, simply in virtue of being a woman; the feminist standpoint is an achievement rather than something one is born with. One comes to occupy the feminist standpoint by engaging in critical thought about one’s experience and its relationship to larger social and political structures. By the same token, one need not be a woman in order to occupy the feminist standpoint, since, like Hegel and Marx, one can come to identify with that standpoint. However, the claim that social marginalization confers epistemic privilege seems to depend on a concept of identity that needs to be grounded in the experience of social marginalization, and this has led to charges that standpoint epistemology cannot avoid assuming a great deal of commonality in the experiences of marginalized groups. This has also led to charges that standpoint epistemology must appeal to an “essential” women’s experience or to an “essential” marginalized experience. Such an appeal, implying that there are necessary and sufficient conditions for such experiences, is considered illegitimate by many feminist and postmodernist theorists because they take it to imply that there is something about experience that is “natural” or “given” and that it can serve a foundational role in identity construction. These theorists are suspicious of the claim that there are some experiences that all and only women have that can serve as a basis for identification with that group, arguing that the category of “woman” is either too fractured or too regulative to do the work that feminist standpoint theorists and identity theorists need it to do.

4. Developmental Psychology, Object Relations Theory and the Question of ‘Women’s Ways of Knowing’

Similar charges of “essentialism” have been leveled at feminist epistemologies that draw on developmental psychology and object relations theory to develop epistemic norms. This strand has been more influential in developing feminist moral epistemologies, but it has had some influence on epistemologies developed in tandem with the science studies strain in feminist epistemology as well. Carol Gilligan’s (1982) groundbreaking work in developmental moral psychology in In a Different Voice gave rise to a variety of feminist moral epistemologies that emphasized relatedness and affect to counterbalance the traditional emphasis on moral reasoning as a process of deductive reasoning that takes the reasoner from a moral principle to a particular moral judgment. In a Different Voice raises the issue of whether and how reasoning is tied to the practices of child-rearing, through which children develop gender affiliations and come to live out gendered ideals. Gilligan argues that the moral reasoning processes that take into account relationships in determining the right moral action in a given situation, processes which child development theorists characterized as “immature” or less developed than reasoning processes that operated deductively, are simply complementary and not necessarily inferior. Gilligan’s criticism of Kohlberg’s work, however, ties these reasoning styles to sex: Kohlberg’s studies of moral development and moral reasoning uses boys almost exclusively. The responses that girls give, which often invoke the importance of maintaining relationships when posed with a moral conflict and which emphasize negotiations, are characterized by Kohlberg and his research team as developmentally prior to the deductive reasoning that characterizes the boys’ responses. Gilligan conjectures that girls have more permeable boundaries of the self and are often more concerned with relationship maintenance as a result of their upbringing and that this might account for the different “reasoning styles” that seem to attend gender differences.

Support for this conjecture may be found in object-relations theory. Object relations theory emphasizes the fact that the cognitive distinctions that underlie physical object theory, the process of learning to distinguish between self and other, and the processes of learning language and moral norms all evolve contemporaneously and are tied to each other in a variety of ways such that they re-enforce each other. Coming to learn about objects is connected to coming to learn about what makes one a self and not a thing, and is, thus, connected to theories of mind and intentionality; coming to learn about the persistence of physical objects in time and space depends on developing a sense of an “I” which persists and remains unchanged, even as perceptions change. Feminists emphasize the fact that while all the aforementioned cognitive developments are taking place, the development and re-enforcement of gender ideals and norms is also taking place, overlapping and helping to constitute the cognitive distinctions. Thus, cognitive ideals and virtues come to be saturated with, and partly constitutive of, gender norms and moral norms.

Developmental psychology and object-relations theory, however, are seen by some feminist epistemologists as troublesome, insofar as they assume certain kinds of commonalities in child-rearing that transcend class and race differences. In addition, the claim that women reason differently than men, no matter what the source of that difference, is thought to be both wrong and politically retrograde. However, the virtue of these approaches is that they allow feminist epistemologists to claim that the gender of the reasoner is epistemically significant, which in turn can support the claim that the fact that women are absent from particular studies. Alternatively from the practice of philosophy or science, it means that different ways of thinking about problems or issues may also be missing as a result of that exclusion.

Some of the ways in which the developmental psychology and object-relations strain have contributed to feminist epistemologies in both the sciences and in moral philosophy, however, have relied less on the empirical claims that there are reasoning differences between men and women. These approaches take seriously the ways in which certain aspects of human cognition and reasoning have been tied to women and often devalued as a result, and they take that symbolic relationship as the starting point for epistemic investigation. Along these lines, feminist epistemologists analyze the ways in which testimony operates epistemically while also being embedded in particular social relations that are often opaque to actors and reasoners. Similarly, feminist epistemologies have sought to find a place for affect, relationships, and care in both moral reasoning and in epistemic practices more generally. This branch of feminist epistemology is covered in the section on epistemic virtue theories below.

5. Hermeneutics, Phenomenology, and Postmodernist Approaches

The ways in which Continental philosophical approaches have shaped feminist epistemologies are both complicated and widespread, and even feminist epistemologists who are writing primarily in the Anglo-American tradition have often been influenced by the critical trends in Continental thought. This is true not only of Marxist-feminist epistemologies described above, but it is also true of feminist science studies generally and of feminist epistemologies which draw on developmental psychology and feminist epistemic virtue theory. It is not unusual to find feminist philosophers who are trained primarily in the Anglo-American “analytic” tradition who draw on work in hermeneutics, phenomenology and postmodernism, while feminists who locate their work in these traditions often cross this boundary as well. Similarly, feminist pragmatism (discussed below) often draws on both the Anglo-American analytic tradition and the Continental tradition. It is safe to say that these categories, never stable in non-feminist philosophy, are even more loosely defined in feminist philosophy.

Feminist epistemologies that develop out of the Continental tradition often take as their starting point the need to re-envision and reconstruct the epistemological project more generally. Drawing on Foucault, Gadamer, and Habermas, among others, Linda Martín Alcoff (1993, 1996) argues for a re-orientation of epistemological projects that can take into account the political nature of truth-claims and knowledge production and can provide resources for reconstructing normative epistemic concepts such as rationality, justification, and knowledge.

Continental feminist epistemologies emphasize the ways in which epistemic practices, norms, and products (e.g. knowledge) are not neutral but are, in fact, both produced by, and partly-constitutive of, power relations. However, the claim that knowledge practices and products are not neutral does not amount to the claim that they are false or distorted, since all knowledge practices and products are enmeshed in power relations. The ideal of neutrality, assumed to be essential to good knowledge practices, is, in fact, itself a political construction. Thus, a re-construction of epistemic value terms must be a re-construction that recognizes the political nature of epistemology and epistemic practices. Feminist theorists add to this theoretical approach an emphasis on the ways in which gender is another, and different, layer of power relations.

The other aspect of Continental philosophical traditions that has been used by feminists to introduce and develop an analysis of the epistemic salience of gender has been the phenomenological tradition and its emphasis on the “lived body.” Work by Gail Weiss and Elizabeth Grosz (1994), among others, draws on phenomenology to re-frame epistemological inquiry as well as develops its theory of the body to undermine the oppositional dualisms that Genevieve Lloyd (1984), Susan Bordo (1990), and Susan Hekman (1990) identify as implicated in gender norms and ideals.

Feminist work in the Continental tradition has also led to a critical evaluation of the centrality of epistemology to philosophy and to a concomitant critique of feminists who insist on locating their work in the field of epistemology. A related argument will be addressed below in the section on pragmatist feminist epistemology. The theoretical impetus that comes from the Continental tradition, unlike the one that arises in pragmatism, is connected to the analysis of truth as an instrument of domination, as part of the constitution and maintenance of hegemonic practices, or as a strategic move to eliminate conflict and resistance. This is not a position on which there is agreement among feminist theorists working in the Continental tradition, but the critique of epistemology has been one of the most important developments to come out of feminist engagements with this tradition, and that critique has taken a unique form. Thus, one aspect of feminist Continental epistemology is the attack on epistemology itself, feminist epistemology included.

6. Feminist Epistemic Virtue Theory

Epistemic virtue theories generally focus on the ways in which epistemology and value theory overlap, but feminist versions of these theories focus on the ways in which gender and power relations come into play in both value theory and epistemology and, specifically, on the ways in which subjects are constructed in the interplay of knowledge claims, power relations, and value theory.

Work on the history of philosophy by feminists has led to critiques of philosophical assumptions about what constitutes epistemic virtue, particularly those virtues assumed to be definitive of reason and objectivity. Bordo’s (1990) and Lloyd’s (1984) work examines the ways in which “maleness” and “femaleness” operate symbolically in philosophical discussions of conceptual relationships assumed to be dichotomous, for instance: reason/unreason, reason/emotion, objectivity/subjectivity, and universality/particularity.

These critical engagements with the history of philosophy have laid the groundwork for feminist attempts to reconfigure epistemic virtues in ways that allow for the re-integration of faculties or aspects of knowledge that have been excluded from analyses of epistemic virtue because of their alignment in the “imaginary” of philosophy with women or with the forces of irrationality.

Lorraine Code’s work (1987, 1991, 1995, 1996) argues for the epistemic salience of, among other things, testimony, gossip, and the affective and political operations according to which identities are constructed and maintained. Code and other feminists working in this area emphasize the ways in which social and political forces shape our identities as epistemic authorities and as rational agents and how these, in turn, lead to a different understanding of epistemic responsibility.

Code’s work has also been influential in the development of another strand of feminist epistemology. This strand can be characterized as a version of naturalism [[that]] takes issue with the ways in which traditional epistemological paradigms derive from cases of simple and uncontroversial empirical beliefs. For instance, beliefs like, “I know that I am seeing a tree,” deform the epistemic landscape. This includes a criticism of the paradigm of knowledge as propositional and a related criticism of the presumed individualism of epistemic pursuits. In addition, this naturalistic turn in feminist epistemology takes issue with the traditional epistemological concern with the skeptical problem, in most instances simply ignoring it as an epistemological issue rather than arguing against its importance. The skeptical problem is often taken to be a problem primarily for individualist epistemologies that also assume that knowledge is essentially propositional and that it is to be explained in terms of individual mental states. Since many feminist epistemic virtue theorists reject all or most of these assumptions, the skeptical problem cannot get any traction and is consequently ignored in virtue of its status as a pseudo-problem.

7. Pragmatism and Feminist Epistemologies

For feminist pragmatist approaches, the skeptical problem becomes a non-problem as well, but this is in virtue of the major change wrought in philosophical thinking about knowledge in the wake of Darwin and the pragmatists. Early pragmatists like John Dewey and William James were already recognizing that key terms used in epistemological discourse require revision: terms like “belief” as opposed to “emotion” or “desire,” issues of truth and reference, and representational theories of belief and knowledge are all radically de-stabilized by pragmatist thinkers. Richard Rorty’s development of this theme in the twentieth century led him to conclude that epistemology is dead and that philosophy is the better for it.

Feminist pragmatists share this suspicion of epistemology, although they continue to work on issues related to knowledge. However, theorists like Charlene Haddock Seigfried (1996) argue that since epistemology is importantly tied to terms for which feminist pragmatists have no use, they ought to see themselves as doing something other than epistemology.

Feminist pragmatism has its own version of a naturalized epistemology, but it is a naturalism that, like the naturalism found in feminist epistemic virtue theories, resists reduction to cognitive psychology or neuroscience. Instead, and similar to feminist epistemic virtue theories, it begins with the common problems of knowledge that occur at the crossroads of ordinary experience. Knowledge and its problems present themselves in the same way that other social problems present themselves: as opportunities for melioration and the improvement of life.

The basic epistemic building block for pragmatist feminist approaches is the organism rather than the mind or the body. “Experience” is more complex than sensory states, since it is the way in which the organism interacts with its world, a world that includes not just objects but also social institutions, relationships, and politics. As a result, knowledge pursuits are already implicated with values, politics, and bodies.

Pragmatist feminist approaches to accounts of knowledge, thus, share much with naturalized accounts of epistemology, but the idea of science that operates in feminist pragmatist theories is science as characterized by Charles Sanders Peirce, William James, and John Dewey, rather than the characterization of science as it appears in the analytic tradition of philosophy. There are, of course, differences among Peirce, James, and Dewey in their characterization of science, but it is fair to understand their views as underwritten by an understanding of science as a way of interacting with the world that is also enmeshed in human values and human endeavors. Feminist pragmatist epistemologies share this understanding of science, emphasizing its liberatory project and its role in the melioration of social problems.

Thus, feminist pragmatist epistemological projects attempt to keep our knowledge endeavors true to the liberatory impulse while also re-configuring problems of knowledge in terms that take seriously the insights of evolutionary theory, humanistic empirical psychology, and the understanding of the knowing subject as an organism whose knowledge endeavors are taken up in both a material and a social world.

8. References and Further Reading

  • Alcoff, Linda Martín, Real Knowing (Ithaca, NY: Cornell University Press, 1996).
  • Feminist coherentist epistemology
  • Alcoff, Linda Martín and Potter, Elizabeth (eds.) Feminist Epistemologies, (New York: Routledge, 1993).
  • Classic anthology
  • Antony, Louise and Witt, Charlotte, (eds.) A Mind of One’s Own: Feminist Essays on Reason and Objectivity (Boulder, CO: Westview Press, 1993).
  • Classic anthology
  • Barad, Karen “Agential Realism: Feminist Interventions in Understanding Scientific Practices” in the Science Studies Reader, Mario Biagioli, ed., (New York: Routledge, 1999) pp. 1-11.
  • Benjamin, Jessica The Bonds of Love: Psychoanalysis, Feminism, and the Problem of Domination (New York: Pantheon Books, 1988).
  • Feminist psychoanalytic theory
  • Bleier, Ruth Science and Gender: A Critique of Biology and its Theories on Women (New York: Pergamon Press, 1984).
  • Bordo, Susan, The Flight to Objectivity: Essays on Cartesianism and Culture, (Albany: SUNY Press, 1990).
  • Caine, Barbara, Grosz, E, A., and de Levervanche, Marie, Crossing Boundaries: Feminisms and the Critique of Knowledge, (Boston: Allen and Unwin, 1988).
  • Code, Lorraine, Epistemic Responsibility, (Hanover, NH: University of New England Press, 1987).
  • Feminist epistemic virtue theory
  • Code, Lorraine, What Can She Know? Feminist Theory and the Construction of Knowledge, (Ithaca: Cornell University Press, 1991).
  • Code, Lorraine, Rhetorical Spaces: Essays on Gendered Locations, (New York: Routledge, 1995).
  • Collected essays
  • Code, Lorraine, “What is Natural about Naturalized Epistemology?” American Philosophical Quarterly, vol. 33, no. 1, pp. 1-22 (1996).
  • Duran, Jane, Toward a Feminist Epistemology, (Savage, MD, Rowman and Littlefield, 1991.)
  • Duran, Jane, “The Intersection of Pragmatism and Feminism,” Hypatia: A Journal of Feminist Philosophy vol. 8 no. 2, pp. 159-71 (1993).
  • Duran, Jane, “The Possibility of a Feminist Epistemology,” Philosophy and Social Criticism, vol. 21, no. 4, p. 127-40 (1995).
  • Gilligan, Carol, In a Different Voice, (Cambridge, MA: Harvard University Press, 1982).
  • Grosz, Elizabeth, Volatile Bodies, (Bloomington, IN: Indiana University Press, 1994).
  • Gunew, Sneja, ed. Feminist Knowledge: Critique and Construct, (New York: Routledge, 1990).
  • An anthology that includes work from feminists drawing on work in twentieth century French and German philosophy to address feminist epistemological issues
  • Haraway, Donna, “Situated Knowledges: The Science Question in Feminism and the Privilege of Partial Perspective” Feminist Studies 14, 575-99 (1988).
  • Haraway, Donna, Primate Visions: Gender, Race, and Nature in the World of Modern Science, New York: Routledge, 1989).
  • Haraway, Donna, Simians, Cyborgs, and Women: The Reinvention of Nature, (New York: Routledge, 1991).
  • Harding, Sandra, The Science Question in Feminism, (Ithaca: Cornell University Press,1986).
  • Harding, Sandra, Whose Science? Whose Knowledge? (Ithaca: Cornell University Press, 1991).
  • Harding, Sandra, Is Science Multicultural? Postcolonialisms, Feminisms, and Epistemologies, (Bloomington, IN: Indiana University Press, 1998).
  • Harding, Sandra and Hintikka, Merrill (eds.), Discovering Reality: Feminist Perspectives in Epistemology, Metaphysics, Methodology and Philosophy of Science, (Dordecht: D. Reidel, 1983).
  • Early and classic anthology
  • Hartsock, Nancy, The Feminist Standpoint Revisited and Other Essays, (Boulder, CO: Westview Press, 1998).
  • Hekman, Susan, Gender and Knowledge: Elements of a Postmodern Feminism, (Boston: Northeastern University Press, 1990).
  • Keller, Evelyn Fox, A Feeling for the Organism, (New York: W. H. Freeman, 1983.)
  • Early classic work on Barbara McClintock
  • Keller, Evelyn Fox, Reflections on Gender and Science, (New Haven: Yale University Press, 1984).
  • Lloyd, Genevieve, The Man of Reason: “Male” and “Female” in Western Philosophy, (Minneapolis: University of Minnesota Press, 1984).
  • Longino, Helen, Science as Social Knowledge, (Princeton: Princeton University Press, 1990).
  • Narayan, Uma, “The Project of Feminist Epistemology: Perspectives from a Non-Western Feminist,” in Gender/Body/Knowledge, Susan Bordo and Allison Jaggar, eds., (New Brunswick: Rutgers University Press, 1989), pp. 256-69.
  • Nelson, Lynn Hankinson, Who Knows: From Quine to a Feminist Empiricism, (Philadelphia: Temple University Press, 1990).
  • Nelson, Lynn and Jack Nelson, (eds.) Feminism, Science, and the Philosophy of Science, (Dordrecht: Kluwer, 1996).
  • Potter, Elizabeth, “Good Science and Good Philosophy of Science.” Synthese, 104, p. 423-39, (1995).
  • Potter, Elizabeth, Gender and Boyle’s Law of Gases, (Bloomington, IN: Indiana University Press, 2001).
  • Seigfried, Charlene Haddock, Pragmatism and Feminism: Reweaving the Social Fabric, (Chicago: University of Chicago Press, 1996).
  • Tanesini, Alessandra, An Introduction to Feminist Epistemologies (Malden, MA: Blackwell, 1999).
  • Very thorough and useful analyses of different feminist epistemologies
  • Tuana, Nancy, ed., Feminism and Science, (Bloomington, IN: Indiana University Press, 1989).
  • Tuana, Nancy, “Coming to Understand: Orgasm and the Epistemology of Ignorance,” Hypatia, 19, 1 (2003) pp. 1-35.
  • Tuana, Nancy and Morgen, Sandra, (eds.) Engendering Rationalities, (Albany: SUNY Press, 2001). Multi-disciplinary anthology
  • Webb, Mark Owen, “Feminist Epistemology and the Extent of the Social,” Hypatia: A Journal of Feminist Philosophy, vol. 10, no. 3, pp. 85-98, (1995).
  • Wylie, Alison, “The Engendering of Archaeology: Refiguring Feminist Science Studies” in Mario Biagioli, (ed.), Science Studies Reader, (New York: Routledge, 1999) pp. 553-568.

Author Information

Marianne Janack
Email: mjanack@hamilton.edu
Hamilton College
U. S. A.

The Stoa

The Stoa Poecile or “Painted Stoa” was a building in Athens where Zeno of Citium met his followers and taught. Later adherents of this philosophical tradition were given the name “Stoic” from their association with this place.

Table of Contents

  1. General Definition of Stoas and the Location of the Stoa Poecile
  2. History of the Use of the Stoa Poecile
  3. References and Further Reading

1. General Definition of Stoas and the Location of the Stoa Poecile

Stoas were a common feature in Greek cities and sanctuaries. Open at the front with a façade of columns, a stoa provided an open, but protected, space. In addition to providing a place for the activities of civil magistrates, shopkeepers, and others, stoas often served as galleries for art and public monuments, were used for religious purposes, and delineated public space. In the 5th century BCE the Athenian Agora had four, possibly five, stoas that lined the southern, western, and northern sides of the public area.

During excavations in the northern part of the Athenian Agora in the 1980s, archaeologists uncovered the southwestern corner of a building that is currently identified as the Stoa Poecile (for a fuller discussion of the archaeological evidence, see Camp, Archaeology of Athens, 68-69 and figures 64 and 65).

2. History of the Use of the Stoa Poecile

Originally named for Peisianax, brother-in-law of the Athenian politician Cimon, the Stoa Poecile was built at the northern end of the Athenian Agora in the 460s BCE. Made of limestone, the Stoa had a façade of Doric columns and a row of Ionic columns running down the middle to support the roof. It soon came to be popularly known as “poecile” or “painted” on account of the remarkable painted panels that adorned its back wall.

Soon after the Stoa Poecile was built, a series of panel paintings by leading artists of the day were installed. The Roman travel writer Pausanias (1.15) provides a vivid description of the appearance of these paintings in his own day, some six hundred years later. Among the mythological and historical topics portrayed were Theseus battling the Amazons, the Greeks fighting at Troy, the Athenian victory over Sparta at Oenoe near Argos (date unknown) and the Battle of Marathon (480 BCE). There were also portraits of the heroes Marathon, Theseus, Hercules, and the goddess Athena. Victory souvenirs from Athenian battles, such as the shields taken from captured Spartans at the battle of Pylos in 425 BC, also adorned the Stoa. However, the devastating invasions of the Herulians (CE 267) and the Visigoths (CE 396), along with the depradations of a greedy Roman proconsul, stripped the Stoa Poecile of its art (Synesius, Letters 54 and 135).

Scattered bits of information from antiquity testify to the variety of public uses of the Stoa Poecile. For example, juries sometimes conducted their business in the Stoa (IG II2 1641 and 1670), and public announcements were made there, such as during one of the annual celebrations of the Eleusinian Mysteries (Scholiast on Aristophanes’ Frogs 369). However, the Stoa Poecile was primarily the meeting place of ordinary people, beggars, fishmongers, entertainers, and others selling their wares or merely escaping the heat of a summer’s day. (Camp, Archaeology of Athens, 68-69).

When Zeno of Citium arrived in Athens around 313 BCE, he often met his followers in the Stoa Poecile and taught there. Zeno’s reasons for using the Stoa Poecile are unknown, but one may speculate that the depictions of virtue – so important in Stoic ethics – in many of the paintings that adorned the building may have had some part in his decision. Zeno also appears to have taught in the Academy and Lyceum gymnasiums (Diogenes Laertius 7.1.11) and perhaps in other venues in Athens – but the name of that first meeting place became synonymous with Zeno’s followers. The school itself never had a fixed locale, and later Stoic philosophers taught in gymnasia and music halls throughout Athens (Wycherley, Stones of Athens 231-233).

3. References and Further Reading

  • John M. Camp, The Archaeology of Athens (New Haven and London 2001)
  • Camp, John M. The Athenian Agora (London 1986)
  • Travalos, J. 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

Stoic Ethics

The tremendous influence Stoicism has exerted on ethical thought from early Christianity through Immanuel Kant and into the twentieth century is rarely understood and even more rarely appreciated. Throughout history, Stoic ethical doctrines have both provoked harsh criticisms and inspired enthusiastic defenders. The Stoics defined the goal in life as living in agreement with nature. Humans, unlike all other animals, are constituted by nature to develop reason as adults, which transforms their understanding of themselves and their own true good. The Stoics held that virtue is the only real good and so is both necessary and, contrary to Aristotle, sufficient for happiness; it in no way depends on luck. The virtuous life is free of all passions, which are intrinsically disturbing and harmful to the soul, but includes appropriate emotive responses conditioned by rational understanding and the fulfillment of all one’s personal, social, professional, and civic responsibilities. The Stoics believed that the person who has achieved perfect consistency in the operation of his rational faculties, the “wise man,” is extremely rare, yet serves as a prescriptive ideal for all. The Stoics believed that progress toward this noble goal is both possible and vitally urgent.

Table of Contents

  1. Definition of the End
  2. Theory of Appropriation
  3. Good, Evil, and Indifferents
  4. Appropriate Acts and Perfect Acts
  5. Passions
  6. Moral Progress
  7. References and Further Reading

1. Definition of the End

Stoicism is known as a eudaimonistic theory, which means that the culmination of human endeavor or ‘end’ (telos) is eudaimonia, meaning very roughly “happiness” or “flourishing.” The Stoics defined this end as “living in agreement with nature.” “Nature” is a complex and multivalent concept for the Stoics, and so their definition of the goal or final end of human striving is very rich.

The first sense of the definition is living in accordance with nature as a whole, i.e. the entire cosmos. Cosmic nature (the universe), the Stoics firmly believed, is a rationally organized and well-ordered system, and indeed coextensive with the will of Zeus, the impersonal god. Consequently, all events that occur within the universe fit within a coherent, well-structured scheme that is providential. Since there is no room for chance within this rationally ordered system, the Stoics’ metaphysical determinism further dictated that this cosmic Nature is identical to fate. Thus at this level, “living in agreement with nature” means conforming one’s will with the sequence of events that are fated to occur in the rationally constituted universe, as providentially willed by Zeus.

Each type of thing within the universe has its own specific constitution and character. This second sense of ‘nature’ is what we use when we say it is the nature of fire to move upward. The manner in which living things come to be, change, and perish distinguishes them from the manner in which non-living things come to be, change, and cease to be. Thus the nature of plants is quite distinct from the nature of rocks and sand. To “live in agreement with nature” in this second sense would thus include, for example, metabolic functions: taking in nutrition, growth, reproduction, and expelling waste. A plant that is successful at performing these functions is a healthy, flourishing specimen.

In addition to basic metabolism, animals have the capacities of sense-perception, desire, and locomotion. Moreover, animals have an innate impulse to care for their offspring. Thus living in agreement with a creature’s animality involves more complex behaviors than those of a plant living in agreement with its nature. For an animal parent to neglect its own offspring would therefore be for it to behave contrary to its nature. The Stoics believed that compared to other animals, human beings are neither the strongest, nor the fastest, nor the best swimmers, nor able to fly. Instead, the distinct and uniquely human capacity is reason. Thus for human beings, “living in agreement with nature” means living in agreement with our special, innate endowment—the ability to reason.

2. Theory of Appropriation

The Stoics developed a sophisticated psychological theory to explain how the advent of reason fundamentally transforms the world view of human beings as they mature. This is the theory of ‘appropriation,’ or oikeiôsis, a technical term which scholars have also translated variously as “orientation,” “familiarization,” “affinity,” or “affiliation.” The word means the recognition of something as one’s own, as belonging to oneself. The opposite of oikeiôsis is allotriôsis, which neatly translates as “alienation.” According to the Stoic theory of appropriation, there are two different developmental stages. In the first stage, the innate, initial impulse of a living organism, plant, or animal is self-love and not pleasure, as the rival Epicureans contend. The organism is aware of its own constitution, though for plants this awareness is more primitive than it is for animals. This awareness involves the immediate recognition of its own body as “belonging to” itself. The creature is thus directed toward maintaining its constitution in its proper, i.e. its natural, condition. As a consequence, the organism is impelled to preserve itself by pursuing things that promote its own well-being and by avoiding things harmful to it. Pleasure is only a by-product of success in this activity. In the case of a human infant, for example, appropriation explains why the baby seeks his mother’s milk. But as the child matures, his constitution evolves. The child continues to love himself, but as he matures into adolescence his capacity for reason emerges and what he recognizes as his constitution, or self, is crucially transformed. Where he previously identified his constitution as his body, he begins to identify his constitution instead with his mental faculty (reason) in a certain relation to his body. In short, the self that he now loves is his rationality. Our human reason gives us an affinity with the cosmic reason, Nature, that guides the universe. The fully matured adult thus comes to identify his real self, his true good, with his completely developed, perfected rational soul. This best possible state of the rational soul is exactly what virtue is.

Whereas the first stage of the theory of appropriation gives an account of our relationship toward ourselves, the second stage explains our social relationship toward others. The Stoics observed that a parent is naturally impelled to love her own children and have concern for their welfare. Parental love is motivated by the child’s intimate affinity and likeness to her. But since we possess reason in common with all (or nearly all) human beings, we identify ourselves not only with our own immediate family, but with all members of the human race—they are all fellow members of our broader rational community. In this way the Stoics meant social appropriation to constitute an explanation of the natural genesis of altruism.

3. Good, Evil, and Indifferents

The Stoics defined the good as “what is complete according to nature for a rational being qua rational being” (Cicero Fin. III.33). As explained above, the perfected nature of a rational being is precisely the perfection of reason, and the perfection of reason is virtue. The Stoics maintained, quite controversially among ancient ethical thought, that the only thing that always contributes to happiness, as its necessary and sufficient condition, is virtue. Conversely, the only thing that necessitates misery and is “bad” or “evil” is the corruption of reason, namely vice. All other things were judged neither good nor evil, but instead fell into the class of “indifferents.” They were called “indifferents” because the Stoics held that these things in themselves neither contribute to nor detract from a happy life. Indifferents neither benefit nor harm since they can be used well and badly.

However, within the class of indifferents the Stoics distinguished the “preferred” from the “dispreferred.” (A third subclass contains the ‘absolute’ indifferents, e.g. whether the number of hairs on one’s head is odd or even, whether to bend or extend one’s finger.) Preferred indifferents are “according to nature.” Dispreferred indifferents are “contrary to nature.” This is because possession or use of the preferred indifferents usually promotes the natural condition of a person, and so selecting them is usually commended by reason. The preferred indifferents include life, health, pleasure, beauty, strength, wealth, good reputation, and noble birth. The dispreferred indifferents include death, disease, pain, ugliness, weakness, poverty, low repute, and ignoble birth. While it is usually appropriate to avoid the dispreferred indifferents, in unusual circumstances it may be virtuous to select them rather than avoid them. The virtue or vice of the agent is thus determined not by the possession of an indifferent, but rather by how it is used or selected. It is the virtuous use of indifferents that makes a life happy, the vicious use that makes it unhappy.

The Stoics elaborated a detailed taxonomy of virtue, dividing virtue into four main types: wisdom, justice, courage, and moderation. Wisdom is subdivided into good sense, good calculation, quick-wittedness, discretion, and resourcefulness. Justice is subdivided into piety, honesty, equity, and fair dealing. Courage is subdivided into endurance, confidence, high-mindedness, cheerfulness, and industriousness. Moderation is subdivided into good discipline, seemliness, modesty, and self-control. Similarly, the Stoics divide vice into foolishness, injustice, cowardice, intemperance, and the rest. The Stoics further maintained that the virtues are inter-entailing and constitute a unity: to have one is to have them all. They held that the same virtuous mind is wise, just, courageous, and moderate. Thus, the virtuous person is disposed in a certain way with respect to each of the individual virtues. To support their doctrine of the unity of virtue, the Stoics offered an analogy: just as someone is both a poet and an orator and a general but is still one individual, so too the virtues are unified but apply to different spheres of action.

4. Appropriate Acts and Perfect Acts

Once a human being has developed reason, his function is to perform “appropriate acts” or “proper functions.” The Stoics defined an appropriate act as “that which reason persuades one to do” or “that which when done admits of reasonable justification.” Maintaining one’s health is given as an example. Since health is neither good nor bad in itself, but rather is capable of being used well or badly, opting to maintain one’s health by, say, walking, must harmonize with all other actions the agent performs. Similarly, sacrificing one’s property is an example of an act that is only appropriate under certain circumstances. The performance of appropriate acts is only a necessary and not a sufficient condition of virtuous action. This is because the agent must have the correct understanding of the actions he performs. Specifically, his selections and rejections must form a continuous series of actions that is consistent with all of the virtues simultaneously. Each and every deed represents the totality and harmony of his moral integrity. The vast majority of people are non-virtuous because though they may follow reason correctly in honoring their parents, for example, they fail to conform to ‘the laws of life as a whole’ by acting appropriately with respect to all of the other virtues.

The scale of actions from vicious to virtuous can be laid out as follows: (1) Actions done “against the appropriate act,” which include neglecting one’s parents, not treating friends kindly, not behaving patriotically, and squandering one’s wealth in the wrong circumstances; (2) Intermediate appropriate actions in which the agent’s disposition is not suitably consistent, and so would not count as virtuous, although the action itself approximates proper conduct. Examples include honoring one’s parents, siblings, and country, socializing with friends, and sacrificing one’s wealth in the right circumstances; (3) “Perfect acts” performed in the right way by the agent with an absolutely rational, consistent, and formally perfect disposition. This perfect disposition is virtue.

5. Passions

As we have seen, only virtue is good and choiceworthy, and only its opposite, vice, is bad and to be avoided according to Stoic ethics. The vast majority of people fail to understand this. Ordinary people habitually and wrongly judge various objects and events to be good and bad that are in fact indifferent. The disposition to make a judgment disobedient to reason is the psychic disturbance the Stoics called passion (pathos). Since passion is an impulse (a movement of the soul) which is excessive and contrary to reason, it is irrational and contrary to nature. The four general types of passion are distress, fear, appetite, and pleasure. Distress and pleasure pertain to present objects, fear and appetite to future objects. The following table illustrates their relations.

Table of Four Passions (pathê)

Present Object
Future Object
Irrationally judged to be good
Pleasure
Appetite
Irrationally judged to be bad
Distress
Fear

Distress is an irrational contraction of the soul variously described as malice, envy, jealousy, pity, grief, worry, sorrow, annoyance, vexation, or anguish. Fear, an irrational shrinking of the soul, is expectation of something bad; hesitation, agony, shock, shame, panic, superstition, dread, and terror are classified under it. Appetite is an irrational stretching or swelling of the soul reaching for an expected good; it is also called want, yearning, hatred, quarrelsomeness, anger, wrath, intense sexual craving, or spiritedness. Pleasure is an irrational elation over what seems to be worth choosing; it includes rejoicing at another’s misfortunes, enchantment, self-gratification, and rapture.

The soul of the virtuous person, in contrast, is possessed of three good states or affective responses (eupatheiai). The three ‘good states’ of the soul are joy (chara), caution (eulabeia), and wish (boulêsis). Joy, the opposite of pleasure, is a reasonable elation; enjoyment, good spirits, and tranquility are classed under it. Caution, the opposite of fear, is a reasonable avoidance. Respect and sanctity are subtypes of caution. Wish, the opposite of appetite, is a reasonable striving also described as good will, kindliness, acceptance, or contentment. There is no “good feeling” counterpart to the passion of distress.

Table of Three Good States

Present Object
Future Object
Rationally judged to be good
Joy
Wish
Rationally judged to be bad
Caution

For example, the virtuous person experiences joy in the company of a friend, but recognizes that the presence of the friend is not itself a real good as virtue is, but only preferred. That is to say the company of the friend is to be sought so long as doing so in no way involves any vicious acts like a dereliction of his responsibilities to others. The friend’s absence does not hurt the soul of the virtuous person, only vice does. The vicious person’s soul, in contrast, is gripped by the passion of pleasure in the presence of, say, riches. When the wealth is lost, this irrational judgment will be replaced by the corresponding irrational judgment that poverty is really bad, thus making the vicious person miserable. Consequently, the virtuous person wishes to see his friend only if in the course of events it is good to happen. His wish is thus made with reservation (hupexhairesis): “I wish to see my friend if it is fated, if Zeus wills it.” If the event does not occur, then the virtuous person is not thwarted, and as a result he is not disappointed or unhappy. His wish is rational and in agreement with nature, both in the sense of being obedient to reason (which is distinctive of our human constitution) and in the sense of harmonizing with the series of events in the world.

The virtuous person is not passionless in the sense of being unfeeling like a statue. Rather, he mindfully distinguishes what makes a difference to his happiness—virtue and vice—from what does not. This firm and consistent understanding keeps the ups and downs of his life from spinning into the psychic disturbances or “pathologies” the Stoics understood passions to be.

6. Moral Progress

The early Stoics were fond of uncompromising dichotomies—all who are not wise are fools, all who are not free are slaves, all who are not virtuous are vicious, etc. The later Stoics distinguished within the class of fools between those making progress and those who are not. Although the wise man or sage was said to be rarer than the phoenix, it is useful to see the concept of the wise man functioning as a prescriptive ideal at which all can aim. This ideal is thus not an impossibly high target, its pursuit sheer futility. Rather, all who are not wise have the rational resources to persevere in their journey toward this ideal. Stoic teachers could employ this exalted image as a pedagogical device to exhort their students to exert constant effort to improve themselves and not lapse into complacency. The Stoics were convinced that as one approached this goal, one came closer to real and certain happiness.

7. References and Further Reading

  • Becker, Lawrence C. 1998. A New Stoicism. Princeton: Princeton University Press.
    • A daring exposition of what Stoic philosophy would look like today if it had enjoyed a continuous development through the Renaissance, the Enlightenment, modern science, and the fads of twentieth century moral philosophy.
  • Brennan, Tad. 2003. “Stoic Moral Psychology,” in Brad Inwood, ed., The Cambridge Companion to the Stoics, 257-294.
  • Cooper, John. 1989. “Greek Philosophers on Euthanasia and Suicide,” in Brody, B.A. ed., Suicide and Euthanasia. Dordrecht, 9-38.
  • Inwood, Brad and Donini, Pierluigi. 1999. “Stoic ethics,” in Algra, Keimpe, et al. eds. The Cambridge History of Hellenistic Philosophy. Cambridge: Cambridge University Press, 675-738.
    • A detailed treatment of the subject.
  • Long, A. A. 1986. Hellenistic Philosophy: Stoics, Epicureans, Sceptics. 2nd ed. Berkeley and Los Angeles: University of California Press.
    • A very readable introduction to the three Hellenistic schools.
  • Long, A. A. and D. N. Sedley. 1987. The Hellenistic Philosophers, Volume 1. Cambridge: Cambridge University Press.
    • Readings from the main schools: Epicureanism, Stoicism, Scepticism, and the Academics. Includes commentaries on the readings. This is the standard primary source text.
  • Schofield, Malcolm. “Stoic Ethics,” in Brad Inwood, ed., The Cambridge Companion to the Stoics, 233-256.
    • A fine overview that argues that Zeno (founder of the Stoa) systematized the Socratic and Cynic philosophies. Two different types of projects in Stoic ethics are identified: (1) laying out the definitions and divisions of the key concepts in discursive ethical discourse, and (2) trying to explain and establish by argument the Stoic view on key ethical subjects.
  • Sorabji, Richard. 2000. Emotion and Peace of Mind: From Stoic Agitation to Christian Temptation. Oxford: Oxford University Press.
    • A meticulous study of Stoic moral psychology and much more.

Author Information

William O. Stephens
Email: stphns@creighton.edu
Creighton University
U. S. A.

Square of Opposition

The square of opposition is a chart that was introduced within classical (categorical) logic to represent the logical relationships holding between certain propositions in virtue of their form. The square, traditionally conceived, looks like this:

square-of-opposition

The four corners of this chart represent the four basic forms of propositions recognized in classical logic:

A propositions, or universal affirmatives take the form: All S are P.
E propositions, or universal negations take the form: No S are P.
I propositions, or particular affirmatives take the form: Some S are P.
O propositions, or particular negations take the form: Some S are not P.

Given the assumption made within classical (Aristotelian) categorical logic, that every category contains at least one member, the following relationships, depicted on the square, hold:

Firstly, A and O propositions are contradictory, as are E and I propositions. Propositions are contradictory when the truth of one implies the falsity of the other, and conversely. Here we see that the truth of a proposition of the form All S are P implies the falsity of the corresponding proposition of the form Some S are not P. For example, if the proposition “all industrialists are capitalists” (A) is true, then the proposition “some industrialists are not capitalists” (O) must be false. Similarly, if “no mammals are aquatic” (E) is false, then the proposition “some mammals are aquatic” must be true.

Secondly, A and E propositions are contrary. Propositions are contrary when they cannot both be true. An A proposition, e.g., “all giraffes have long necks” cannot be true at the same time as the corresponding E proposition: “no giraffes have long necks.” Note, however, that corresponding A and E propositions, while contrary, are not contradictory. While they cannot both be true, they can both be false, as with the examples of “all planets are gas giants” and “no planets are gas giants.”

Next, I and O propositions are subcontrary. Propositions are subcontrary when it is impossible for both to be false. Because “some lunches are free” is false, “some lunches are not free” must be true. Note, however, that it is possible for corresponding I and O propositions both to be true, as with “some nations are democracies,” and “some nations are not democracies.” Again, I and O propositions are subcontrary, but not contrary or contradictory.

Lastly, two propositions are said to stand in the relation of subalternation when the truth of the first (“the superaltern”) implies the truth of the second (“the subaltern”), but not conversely. A propositions stand in the subalternation relation with the corresponding I propositions. The truth of the A proposition “all plastics are synthetic,” implies the truth of the proposition “some plastics are synthetic.” However, the truth of the O proposition “some cars are not American-made products” does not imply the truth of the E proposition “no cars are American-made products.” In traditional logic, the truth of an A or E proposition implies the truth of the corresponding I or O proposition, respectively. Consequently, the falsity of an I or O proposition implies the falsity of the corresponding A or E proposition, respectively. However, the truth of a particular proposition does not imply the truth of the corresponding universal proposition, nor does the falsity of an universal proposition carry downwards to the respective particular propositions.

The presupposition, mentioned above, that all categories contain at least one thing, has been abandoned by most later logicians. Modern logic deals with uninstantiated terms such as “unicorn” and “ether flow” the same as it does other terms such as “apple” and “orangutan”. When dealing with “empty categories”, the relations of being contrary, being subcontrary and of subalternation no longer hold. Consider, e.g., “all unicorns have horns” and “no unicorns have horns.” Within contemporary logic, these are both regarded as true, so strictly speaking, they cannot be contrary, despite the former’s status as an A proposition and the latter’s status as an E proposition. Similarly, “some unicorns have horns” (I) and “some unicorns do not have horns” (O) are both regarded as false, and so they are not subcontrary. Obviously then, the truth of “all unicorns have horns” does not imply the truth of “some unicorns have horns,” and the subalternation relation fails to hold as well. Without the traditional presuppositions of “existential import”, i.e., the supposition that all categories have at least one member, then only the contradictory relation holds. On what is sometimes called the “modern square of opposition” (as opposed to the traditional square of opposition sketched above) the lines for contraries, subcontraries and subalternation are erased, leaving only the diagonal lines for the contradictory relation.

Author Information

The author of this article is anonymous.
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Solipsism and the Problem of Other Minds

Solipsism is sometimes expressed as the view that “I am the only mind which exists,” or “My mental states are the only mental states.” However, the sole survivor of a nuclear holocaust might truly come to believe in either of these propositions without thereby being a solipsist. Solipsism is therefore more properly regarded as the doctrine that, in principle, “existence” means for me my existence and that of my mental states. Existence is everything that I experience—physical objects, other people, events and processes—anything that would commonly be regarded as a constituent of the space and time in which I coexist with others and is necessarily construed by me as part of the content of my consciousness. For the solipsist, it is not merely the case that he believes that his thoughts, experiences, and emotions are, as a matter of contingent fact, the only thoughts, experiences, and emotions. Rather, the solipsist can attach no meaning to the supposition that there could be thoughts, experiences, and emotions other than his own. In short, the true solipsist understands the word “pain,” for example, to mean “my pain.”  He cannot accordingly conceive how this word is to be applied in any sense other than this exclusively egocentric one.

Table of Contents

  1. The Importance of the Problem
  2. Historical Origins of the Problem
  3. The Argument from Analogy
  4. The Physical and the Mental
  5. Knowing Other Minds
  6. The Privacy of Experience
  7. The Incoherence of Solipsism
  8. References and Further Reading

1. The Importance of the Problem

No great philosopher has espoused solipsism. As a theory, if indeed it can be termed such, it is clearly very far removed from common sense. In view of this, it might reasonably be asked why the problem of solipsism should receive any philosophical attention. There are two answers to this question. First, while no great philosopher has explicitly espoused solipsism, this can be attributed to the inconsistency of much philosophical reasoning. Many philosophers have failed to accept the logical consequences of their own most fundamental commitments and preconceptions. The foundations of solipsism lie at the heart of the view that the individual gets his own psychological concepts (thinking, willing, perceiving, and so forth.) from “his own case,” that is by abstraction from “inner experience.”

This view, or some variant of it, has been held by a great many, if not the majority of philosophers since Descartes made the egocentric search for truth the primary goal of the critical study of the nature and limits of knowledge.

In this sense, solipsism is implicit in many philosophies of knowledge and mind since Descartes and any theory of knowledge that adopts the Cartesian egocentric approach as its basic frame of reference is inherently solipsistic.

Second, solipsism merits close examination because it is based upon three widely entertained philosophical presuppositions, which are themselves of fundamental and wide-ranging importance. These are: (a) What I know most certainly are the contents of my own mind—my thoughts, experiences, affective states, and so forth.; (b) There is no conceptual or logically necessary link between the mental and the physical. For example, there is no necessary link between the occurrence of certain conscious experiences or mental states and the “possession” and behavioral dispositions of a body of a particular kind; and (c) The experiences of a given person are necessarily private to that person.

These presuppositions are of unmistakable Cartesian origin, and are widely accepted by philosophers and non-philosophers alike. In tackling the problem of solipsism, one immediately grapples with fundamental issues in the philosophy of mind. However spurious the problem of solipsism per se may strike one, these latter issues are unquestionably important. Indeed, one of the merits of the entire enterprise is the extent that it reveals a direct connection between apparently unexceptionable and certainly widely-held common sense beliefs and the acceptance of solipsistic conclusions. If this connection exists and we wish to avoid those solipsistic conclusions, we shall have no option but to revise, or at least to critically review, the beliefs from which they derive logical sustenance.

2. Historical Origins of the Problem

In introducing “methodic doubt” into philosophy, René Descartes created the backdrop against which solipsism subsequently developed and was made to seem, if not plausible, at least irrefutable. For the ego that is revealed by the cogito is a solitary consciousness, a res cogitans that is not spatially extended, is not necessarily located in any body, and can be assured of its own existence exclusively as a conscious mind. (Discourse on Method and the Meditations). This view of the self is intrinsically solipsistic and Descartes evades the solipsistic consequences of his method of doubt by the desperate expedient of appealing to the benevolence of God. Since God is no deceiver, he argues, and since He has created man with an innate disposition to assume the existence of an external, public world corresponding to the private world of the “ideas” that are the only immediate objects of consciousness, it follows that such a public world actually exists. (Sixth Meditation). Thus does God bridge the chasm between the solitary consciousness revealed by methodic doubt and the intersubjective world of public objects and other human beings?

A modern philosopher cannot evade solipsism under the Cartesian picture of consciousness without accepting the function attributed to God by Descartes (something few modern philosophers are willing to do). In view of this it is scarcely surprising that we should find the specter of solipsism looming ever more threateningly in the works of Descartes’ successors in the modern world, particularly in those of the British empiricist tradition.

Descartes’ account of the nature of mind implies that the individual acquires the psychological concepts that he possesses “from his own case,” that is that each individual has a unique and privileged access to his own mind, which is denied to everyone else. Although this view utilizes language and employs conceptual categories (“the individual,” “other minds,” and so forth.) that are inimical to solipsism, it is nonetheless fundamentally conducive historically to the development of solipsistic patterns of thought. On this view, what I know immediately and with greatest certainty are the events that occur in my own mind—my thoughts, my emotions, my perceptions, my desires, and so forth—and these are not known in this way by anyone else. By the same token, it follows that I do not know other minds in the way that I know my own; indeed, if I am to be said to know other minds at all—that they exist and have a particular nature—it can only be on the basis of certain inferences that I have made from what is directly accessible to me, the behavior of other human beings.

The essentials of the Cartesian view were accepted by John Locke, the father of modern British empiricism. Rejecting Descartes’ theory that the mind possesses ideas innately at birth, Locke argued that all ideas have their origins in experience. “Reflection” (that is introspection or “inner experience”) is the sole source of psychological concepts. Without exception, such concepts have their genesis in the experience of the corresponding mental processes. (Essay Concerning Human Understanding II.i.4ff). If I acquire my psychological concepts by introspecting upon my own mental operations, then it follows that I do so independently of my knowledge of my bodily states. Any correlation that I make between the two will be effected subsequent to my acquisition of my psychological concepts. Thus, the correlation between bodily and mental stated is not a logically necessary one. I may discover, for example, that whenever I feel pain my body is injured in some way, but I can discover this factual correlation only after I have acquired the concept “pain.” It cannot therefore be part of what I mean by the word “pain” that my body should behave in a particular way.

3. The Argument from Analogy

What then of my knowledge of the minds of others? On Locke’s view there can be only one answer: since what I know directly is the existence and contents of my own mind, it follows that my knowledge of the minds of others, if I am to be said to possess such knowledge at all, has to be indirect and analogical, an inference from my own case. This is the so-called “argument from analogy” for other minds, which empiricist philosophers in particular who accept the Cartesian account of consciousness generally assume as a mechanism for avoiding solipsism. (Compare J. S. Mill, William James, Bertrand Russell, and A. J. Ayer).

Observing that the bodies of other human beings behave as my body does in similar circumstances, I can infer that the mental life and series of mental events that accompany my bodily behavior are also present in the case of others. Thus, for example, when I see a problem that I am trying unsuccessfully to solve, I feel myself becoming frustrated and observe myself acting in a particular way. In the case of another, I observe only the first and last terms of this three-term sequence and, on this basis, I infer that the “hidden” middle term, the feeling of frustration, has also occurred.

There are, however, fundamental difficulties with the argument from analogy. First, if one accepts the Cartesian account of consciousness, one must, in all consistency, accept its implications. One of these implications, as we have seen above, is that there is no logically necessary connection between the concepts of “mind” and “body;” my mind may be lodged in my body now, but this is a matter of sheer contingency. Mind need not become located in body. Its nature will not be affected in any way by the death of this body and there is no reason in principle why it should not have been located in a body radically different from a human one. By exactly the same token, any correlation that exists between bodily behavior and mental states must also be entirely contingent; there can be no conceptual connections between the contents of a mind at a given time and the nature and/or behavior of the body in which it is located at that time.

This raises the question as to how my supposed analogical inferences to other minds are to take place at all. How can I apply psychological concepts to others, if I know only that they apply to me? To take a concrete example again, if I learn what “pain” means by reference to my own case, then I will understand “pain” to mean “my pain” and the supposition that pain can be ascribed to anything other than myself will be unintelligible to me.

If the relationship between having a human body and a certain kind of mental life is as contingent as the Cartesian account of mind implies, it should be equally easy—or equally difficult—for me to conceive of a table as being in pain as it is for me to conceive of another person as being in pain. The point, of course, is that this is not so. The supposition that a table might experience pain is a totally meaningless one, whereas the ascription of pain to other human beings and animals that, in their physical characteristics and/or behavioral capabilities, resemble human beings is something which even very young children find unproblematic. (Ludwig Wittgenstein, Philosophical Investigations, I. § 284).

How is this to be accounted for? It will not do, in this context, to simply respond that a table does not have the same complex set of physical characteristics as a human body, or that it is not capable of the same patterns of behaviour as a human body. While these are undeniable truths, the Cartesian position, again, implies that there is no logical connection between the mental and the physical, between the possession of a body of a particular kind, and the capability for consciousness. Physical differentiation can and must be acknowledged, but it can play no role in any explanation of what it is to have a mental life.

I am surrounded by other bodies, some of which are similar to mine, and some of which are different; on Cartesian principles such similarities, and such differences, are irrelevant—the question as to whether it is legitimate for me to ascribe psychological predicates to entities other than myself, which the argument from analogy is designed to address, cannot on this view hinge on the kind of body with which I am confronted at a given time. (Malcolm, N. (a)).

Assuming the validity of the Cartesian position, we have to infer that it makes as much or a little sense, on these premises, to attribute any psychological predicate to another human being as it does to attribute it to a table or a rock.

On these premises, it makes no sense to attribute consciousness to another human being at all. Thus on strict Cartesian principles, the argument from analogy will not do the work that is required of it to bridge the gulf between my conscious states and putative conscious states that are not mine. Ultimately, it must be confessed that on these principles I know only my own mental states and the supposition that there are mental states other than my own ceases to be intelligible to me. It is thus that solipsism comes to seem inescapable.

If the above argument is valid, it demonstrates that the acceptance of the Cartesian account of consciousness—and in particular the view that my understanding of psychological concepts derives, as do the concepts themselves, from my own case—leads inexorably to solipsism. However, it may fairly be said that the argument accomplishes more than just this: it can, and should, be understood as a reductio ad absurdum refutation of these Cartesian principles. Viewed from this perspective, the argument may be paraphrased as follows:

If there is no logical connection between the physical and the mental, if the physical forms no part of the criteria that govern my ascription of psychological predicates, then I would be able to conceive of an inanimate object such as a table as having a soul and being conscious. But I cannot attach any intelligibility to the notion of an inanimate object being conscious. It follows therefore that there is a logical connection between the physical and the mental: the physical does form part of the criteria that govern my ascription of psychological words.

4. The Physical and the Mental

What then is this logical connection between the physical and the mental? This question can best be answered by reflecting, for example, on how a cartoonist might show that a particular table was angry or in pain. As indicated above, it is impossible to attach literal meaning to the assertion that a given inanimate object is angry or in pain, but clearly a certain imaginative latitude may be allowed for specific purposes and a cartoonist might conceivably want to picture a table as being angry for humorous reasons.

What is significant in this connection, however, is that to achieve this effect, the cartoonist must picture the table as having human features—the pictured table will appear angry to us only to the extent to that it possesses the natural human expression of anger. The concept of anger can find purchase in relation to the table only if it is represented as possessing something like a human form. This example demonstrates a point of quite fundamental importance: so far from being acquired by abstraction from my own case, from my own “inner” mental life, my psychological concepts are acquired in a specifically intersubjective, social, linguistic context and part of their meaning is their primary application to living human beings. To put this slightly differently, a person is a living human being and the human person in this sense functions as our paradigm of that which has a mental life; it is precisely in relation to their application to persons that we learn such concepts as “consciousness,” “pain,” “anger,” and so forth. As such, it is a necessary and antecedent condition for the ascription of psychological predicates such as these to an object that it should “possess” a body of a particular kind.

Wittgenstein articulated this point in one of the centrally important methodological tenets of the Investigations:

Only of a living human being and what resembles (behaves like) a living human being can one say: it has sensations; it sees; is blind; hears; is deaf; is conscious or unconscious. (I. § 281).

Consequently, the belief that there is something problematic about the application of psychological words to other human beings and that such applications are necessarily the products of highly fallible inferences to the “inner” mental lives of others, which require something like the argument from analogy for their justification, turns out to be fundamentally confused. The intersubjective world that we live with other human beings and the public language-system that we must master if we are to think at all are the primary data, the “proto-phenomena,” in Wittgenstein’s phrase. (I. § 654) Our psychological and non-psychological concepts alike are derived from a single linguistic fountainhead. It is precisely because the living human being functions as our paradigm of that which is conscious and has a mental life that we find the solipsistic notion that other human beings could be “automatons,” machines devoid of any conscious thought or experience, bizarre and bewildering. The idea that other persons might all in reality be “automatons” is not one which we can seriously entertain.

5. Knowing Other Minds

We are now in a position to see the essential redundancy of the argument from analogy. First, it is a misconception to think that we need any inferential argument to assure us of the existence of other minds. Such an assurance seems necessary only so long as it is assumed that each of us has to work “outwards” from the interiority of his/her own consciousness, to abstract from our own cases to the “internal” world of others. As indicated above, this assumption is fundamentally wrong—our knowledge that other human beings are conscious and our knowledge of their mental states at a given time is not inferential in nature at all, but is rather determined by the public criteria that govern the application of psychological concepts. I know that a person who behaves in a particular way—who, for example, gets red in the face, shouts, gesticulates, speaks vehemently, and so forth—is angry precisely because I have learned the concept “anger” by reference to such behavioral criteria. There is no inference involved here. I do not reason “he behaves in this way, therefore he is angry”—rather “behaving in this way” is part of what it is to be angry and it does not occur to any sane person to question whether the individual who acts in this way is conscious or has a mental life. (Investigations, I. § 303; II. iv., p. 178).

Second, because the argument from analogy treats the existence of the mental lives of other living human beings as problematic, it seeks to establish that it is legitimate to infer that other living human beings do indeed have mental lives, that each one of us may be said to be justified
in his confidence that he is surrounded by other persons rather than “automatons.” The difficulty here, however, is that the argument presupposes that I can draw an analogy between two things, myself as a person and other living human beings, that are sufficiently similar to permit the analogous comparison and sufficiently different to require it. The question must be faced, however, is how or in what respects am I different from or similar to other human beings? The answer is that I am neither. I am a living human being, as are these others. I see about me living human beings and the argument from analogy is supposed to allow me to infer that these are persons like myself. However, the truth is that I have no criterion for discriminating living human beings from persons, for the very good reason that persons are living human beings—there is no conceptual difference between the two. Since the argument acknowledges that I know living human beings directly, it thereby implicitly acknowledges that I know other persons directly, thus making itself functionally redundant. (Malcolm, N. op. cit.).

A final, frequently-encountered objection to the argument from analogy derives from the work of Strawson and Malcolm: the argument attempts to move inferentially from my supposed direct knowledge of my own mental life and “inner” states to my indirect knowledge of the mental states of others. It thus presupposes that I know what it means to assign mental states to myself without necessarily knowing what it means to ascribe them to others. This, Strawson and Malcolm argue, is incoherent: to speak of certain mental states as being mine in the first place is to discriminate them from mental states that are not mine and these, by definition, are the mental states of others. It follows, therefore, that in a fundamental sense the argument from analogy cannot get off the ground: one cannot know how to ascribe mental states to oneself unless one also knows what it means to ascribe mental states to others.

Plausible as this objection seems at first sight, it is (ironically, on Wittgensteinian criteria) quite mistaken. For it is not the case that when I am in pain I first identify the pain and subsequently come to recognize that it is one that I, as distinct from someone else, have. The personal pronoun “I” in the locution “I am in pain” is not the “I” of personal individuation—it does not refer to me or discriminate me as a publicly situated person as distinct from others. (The Blue Book and Brown Books, pp. 67-69; also Investigations, I. § 406). The exponent of the argument from analogy is not guilty of the charge of presupposing the very thing that he is endeavoring to demonstrate, as both Strawson and Malcolm suggest. Wittgenstein in fact considered that there is a genuine asymmetry here, in relation to the ascription of psychological predicates to oneself and to others, which is dimly perceived but misrepresented by those who feel the need of the argument from analogy. Whereas one ascribes psychological states to others by reference to bodily and behavioral criteria, one has and requires no criteria at all to self-ascribe or self-avow them. (Investigations, I. § 289-290).

Thus the exponent of the argument from analogy sees, quite correctly, that present-tense, first-person psychological assertions such as “I am in pain” differ radically from third-person psychological predicate ascriptions, but thinks of the former as descriptions of “inner” mental states to which he alone has a privileged access. This is crucially wrong. Such uses of the word “I” as occur in present-tense, first-person psychological assertions do not identify a possessor; they do not discriminate one person from amongst a group. As Wittgenstein puts it,

To say “I have pain” is no more a statement about a particular person than moaning is. (The Blue Book and Brown Books, p. 67; also Investigations, I. § 404.).

To ascribe pain to a third party, on the other hand, is to identify a concrete individual as the possessor of the pain. On this point alone Wittgenstein concurs with the exponent of the argument from analogy. However, Wittgenstein here calls attention to the fact that the asymmetry is not one that exists between the supposedly direct and certain knowledge that I have of my own mental states as distinct from the wholly inferential knowledge which, allegedly, I have of the mental states of others. Rather, the asymmetry is that the ascriptions of psychological predicates to others require criterial justificatory grounds, whereas the self-avowals or self-ascriptions of such predicates are criterionless. It thus transpires that the argument from analogy appears possible and necessary only to those who misapprehend the asymmetry between the criterial bases for third-person psychological predicate ascription and the non-criterial right for their self-ascription or self-avowal for a cognitive asymmetry between direct and indirect knowledge of mental states. The Cartesian egocentric view of the mind and of mental events that gives rise both to the specter of solipsism and attempts to evade it by means of the argument from analogy has its origins in this very misapprehension.

6. The Privacy of Experience

What then of solipsism? To what extent does the foregoing undermine it as a coherent philosophical hypothesis, albeit one in which no one really believes? Solipsism rests upon certain presuppositions about the mind and our knowledge of mental events and processes. Two of these, the thesis that I have a privileged form of access to and knowledge of my own mind and the thesis that there is no conceptual or logically necessary link between the mental and the physical, have been dealt with above. If the foregoing is correct, both theses are false. This leaves us with the final presupposition underlying solipsism, that all experiences are necessarily (that is logically) private to the individual whose experiences they are. This thesis—which, it is fair to say, is very widely accepted—also derives from the Cartesian account of mind and generates solipsistic conclusions by suggesting that experience is something that, because of its “occult” or ephemeral nature, can never literally be shared. No two people can ever be said to have the same experience. This again introduces the problem of how one person can know the experiences of another or, more radically, how one can know that another person has experiences at all.

Wittgenstein offers a comprehensive critique of this view. He attacks the notion that experience is necessarily private. His arguments against this are complex, if highly compressed and rather oracular. (For more detailed accounts, see Kenny, A., Malcolm, N. (b), Vohra, A.).

Wittgenstein distinguishes two senses of the word “private” as it is normally used: privacy of knowledge and privacy of possession. Something is private to me in the first sense if only I can know it; it is private to me in the second sense if only I can have it. Thus the thesis that experience is necessarily private can mean one of two things, which are not always discriminated from each other with sufficient care: (a) only I can know my experiences or (b) only I can have my experiences. Wittgenstein argues that the first of these is false and the second is true in a sense that does not make experience necessarily private, as follows:

Under (a), if we take pain as an experiential exemplar, we find that the assertion “Only I can know my pains” is a conjunction of two separate theses: (i) I (can) know that I am in pain when I am in pain and (ii) other people cannot know that I am in pain when I am in pain. Thesis (i) is, literally, nonsense: it cannot be meaningfully asserted of me that I know that I am in pain. Wittgenstein’s point here is not that I do not know that I am in pain when I am in pain, but rather that the word “know” cannot be significantly employed in this way. (Investigations, I. § 246; II. xi. p. 222). This is because the verbal locution “I am in pain” is usually (though not invariably) an expression of pain—as part of acquired pain-behavior it is a linguistic substitute for such natural expressions of pain as groaning. (I. § 244). For this reason it cannot be governed by an epistemic operator. The prepositional function “I know that x” does not yield a meaningful proposition if the variable is replaced by an expression of pain, linguistic or otherwise. Thus to say that others learn of my pains only from my behavior is misleading, because it suggests that I learn of them otherwise, whereas I don’t learn of them at all—I have them. (I. § 246).

Thesis (ii)—other people cannot know that I am in pain when I am in pain—is false. If we take the word “know” is as it is normally used, then it is true to say that other people can and very frequently do know when I am in pain. Indeed, in cases where the pain is extreme, it is often impossible to prevent others from knowing this even when one wishes to do so. Thus, in certain circumstances, it would not be unusual to hear it remarked of someone, for example, that “a moan of pain escaped him”—indicating that despite his efforts, he could not but manifest his pain to others. It thus transpires that neither thesis (i) nor (ii) is true.

If we turn to (b), we find that “Only I can have my pains” expresses a truth, but it is a truth that is grammatical rather than ontological. It draws our attention to the grammatical connection between the personal pronoun “I” and the possessive “my.” However, it tells us nothing specifically about pains or other experiences, for it remains true if we replace the word “pains” with many other plural nouns (e.g. “Only I can have my blushes”). Another person can have the same pain as me. If our pains have the same phenomenal characteristics and corresponding locations, we will quite correctly be said to have “the same pain.” This is what the expression “the same pain” means. Another person, however, cannot have my pains. My pains are the ones that, if they are expressed at all, are expressed by me. But by exactly the same (grammatical) token, another person cannot have my blushes, sneezes, frowns, fears, and so forth., and none of this can be taken as adding to our stockpile of metaphysical truths. It is true that I may deliberately and successfully keep an experience to myself, in which case that particular experience might be said to be private to me. But I might do this by articulating it in a language that those with whom I was conversing do not understand. There is clearly nothing occult or mysterious about this kind of privacy. (Investigations, II. xi, p. 222). Similarly, experience that I do not or cannot keep to myself is not private. In short, some experiences are private and some are not. Even though some experiences are private in this sense, it does not follow that all experiences could be private. As Wittgenstein points out, “What sometimes happens could always happen” is a fallacy. It does not follow from the fact that some orders are not obeyed that all orders might never be obeyed. For in that case the concept “order” would become incapable of instantiation and would lose its significance. (I. § 345).

7. The Incoherence of Solipsism

With the belief in the essential privacy of experience eliminated as false, the last presupposition underlying solipsism is removed and solipsism is shown as foundationless, in theory and in fact. One might even say, solipsism is necessarily foundationless, for to make an appeal to logical rules or empirical evidence the solipsist would implicitly have to affirm the very thing that he purportedly refuses to believe: the reality of intersubjectively valid criteria and a public, extra-mental world. There is a temptation to say that solipsism is a false philosophical theory, but this is not quite strong or accurate enough. As a theory, it is incoherent. What makes it incoherent, above all else, is that the solipsist requires a language (that is, a sign-system) to think or to affirm his solipsistic thoughts at all.

Given this, it is scarcely surprising that those philosophers who accept the Cartesian premises that make solipsism apparently plausible, if not inescapable, have also invariably assumed that language-usage is itself essentially private. The cluster of arguments—generally referred to as “the private language argument”—that we find in the Investigations against this assumption effectively administers the coup de grâce to both Cartesian dualism and solipsism. (I. § 202; 242-315). Language is an irreducibly public form of life that is encountered in specifically social contexts. Each natural language-system contains an indefinitely large number of “language-games,” governed by rules that, though conventional, are not arbitrary personal fiats. The meaning of a word is its (publicly accessible) use in a language. To question, argue, or doubt is to utilize language in a particular way. It is to play a particular kind of public language-game. The proposition “I am the only mind that exists” makes sense only to the extent that it is expressed in a public language, and the existence of such language itself implies the existence of a social context. Such a context exists for the hypothetical last survivor of a nuclear holocaust, but not for the solipsist. A non-linguistic solipsism is unthinkable and a thinkable solipsism is necessarily linguistic. Solipsism therefore presupposes the very thing that it seeks to deny. That solipsistic thoughts are thinkable in the first instance implies the existence of the public, shared, intersubjective world that they purport to call into question.

8. References and Further Reading

  • Ayer, A. J. The Problem of Knowledge. Penguin, 1956.
  • Beck, K. “De re Belief and Methodological Solipsism,” in Thought and Object – Essays in Intentionality (ed. A. Woodfield). Clarendon Press, 1982.
  • Dancy, J. Introduction to Contemporary Epistemology. Blackwell, 1985.
  • Descartes, R. Discourse on Method and the Meditations (trans. F. E. Sutcliffe). Penguin, 1968.
  • Devitt, M. Realism and Truth. Blackwell, 1984.
  • Hacker, P.M.S. Insight and Illusion. O.U.P., 1972.
  • James, W. Radical Empiricism and a Pluralistic Universe. E.P. Dutton, 1971.
  • Kenny, A. Wittgenstein. Penguin, 1973.
  • Locke, J. Essay Concerning Human Understanding (ed. A.C. Fraser), Dover, 1959.
  • Malcolm, N. (a) Problems of Mind: Descartes to Wittgenstein, Allen & Unwin, 1971.
  • Malcolm, N. (b) Thought and Knowledge. Cornell University Press, 1977.
  • Mill, J.S. An Examination of Sir William Hamilton’s Philosophy. Longmans Green (6th ed.), 1889.
  • Oliver, W.D. “A Sober Look at Solipsism,” Studies in the Theory of Knowledge (ed. N. Rescher). Blackwell, 1970.
  • Pinchin, C. Issues in Philosophy. Macmillan, 1990.
  • Quine, W.V. (a) “The Scope of Language in Science,” The Ways of Paradox and Other Essays. Random House, 1966.
  • Quine, W.V. (b) “Epistemology Naturalized,” Ontological Relativity and Other Essays. Columbia University Press, 1969.
  • Russell, B. Human Knowledge: Its Scope and Limits. Allen & Unwin, 1948.
  • Strawson, P.F. Individuals, an Essay in Descriptive Metaphysics. Methuen, 1959.
  • Vohra, A. Wittgenstein’s Philosophy of Mind. Croom Helm, 1986.
  • Wittgenstein, L. (a) The Blue Book and Brown Books, Blackwell, 1972.
  • Wittgenstein, L. (b) Philosophical Investigations. Blackwell, 1974.

Author Information

Stephen P. Thornton
Email: stephen.thornton@mic.ul.ie
University of Limerick
Ireland

Herbert Spencer (1820—1903)

spencerBritish philosopher and sociologist, Herbert Spencer was a major figure in the intellectual life of the Victorian era. He was one of the principal proponents of evolutionary theory in the mid nineteenth century, and his reputation at the time rivaled that of Charles Darwin. Spencer was initially best known for developing and applying evolutionary theory to philosophy, psychology and the study of society — what he called his “synthetic philosophy” (see his A System of Synthetic Philosophy, 1862-93). Today, however, he is usually remembered in philosophical circles for his political thought, primarily for his defense of natural rights and for criticisms of utilitarian positivism, and his views have been invoked by ‘libertarian’ thinkers such as Robert Nozick.

Table of Contents

  1. Life
  2. Method
  3. Human Nature
  4. Religion
  5. Moral Philosophy
  6. Political Philosophy
  7. Assessment
  8. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Life

Spencer was born in Derby, England on 27 April 1820, the eldest of nine children, but the only one to survive infancy. He was the product of an undisciplined, largely informal education. His father, George, was a school teacher, but an unconventional man, and Spencer’s family were Methodist ‘Dissenters,’ with Quaker sympathies. From an early age, Herbert was strongly influenced by the individualism and the anti-establishment and anti-clerical views of his father, and the Benthamite radical views of his uncle Thomas. Indeed, Spencer’s early years showed a good deal of resistance to authority and independence.

A person of eclectic interests, Spencer eventually trained as a civil engineer for railways but, in his early 20s, turned to journalism and political writing. He was initially an advocate of many of the causes of philosophic radicalism and some of his ideas (e.g., the definition of ‘good’ and ‘bad’ in terms of their pleasurable or painful consequences, and his adoption of a version of the ‘greatest happiness principle’) show similarities to utilitarianism.

From 1848 to 1853, Spencer worked as a writer and subeditor for The Economist financial weekly and, as a result, came into contact with a number of political controversialists such as George Henry Lewes, Thomas Carlyle, Lewes’ future lover George Eliot (Mary Ann Evans [1819-1880])–with whom Spencer had himself had a lengthy (though purely intellectual) association–and T.H. Huxley (1825-1895). Despite the diversity of opinions to which he was exposed, Spencer’s unquestioning confidence in his own views was coupled with a stubbornness and a refusal to read authors with whom he disagreed.

In his early writings, Spencer defended a number of radical causes– particularly on land nationalization, the extent to which economics should reflect a policy of laissez-faire, and the place and role of women in society–though he came to abandon most of these causes later in his life.

In 1851 Spencer’s first book, Social Statics, or the Conditions Essential to Human Happiness appeared. (‘Social statics’–the term was borrowed from Auguste Comte–deals with the conditions of social order, and was preliminary to a study of human progress and evolution–i.e., ‘social dynamics.’) In this work, Spencer presents an account of the development of human freedom and a defense of individual liberties, based on a (Lamarckian-style) evolutionary theory.

Upon the death of his uncle Thomas, in 1853, Spencer received a small inheritance which allowed him to devote himself to writing without depending on regular employment.

In 1855, Spencer published his second book, The Principles of Psychology. As in Social Statics, Spencer saw Bentham and Mill as major targets, though in the present work he focussed on criticisms of the latter’s associationism. (Spencer later revised this work, and Mill came to respect some of Spencer’s arguments.) The Principles of Psychology was much less successful than Social Statics, however, and about this time Spencer began to experience serious (predominantly mental) health problems that affected him for the rest of his life. This led him to seek privacy, and he increasingly avoided appearing in public. Although he found that, because of his ill health, he could write for only a few hours each day, he embarked upon a lengthy project–the nine-volume A System of Synthetic Philosophy (1862- 93)–which provided a systematic account of his views in biology, sociology, ethics and politics. This ‘synthetic philosophy’ brought together a wide range of data from the various natural and social sciences and organized it according to the basic principles of his evolutionary theory.

Spencer’s Synthetic Philosophy was initially available only through private subscription, but he was also a contributor to the leading intellectual magazines and newspapers of his day. His fame grew with his publications, and he counted among his admirers both radical thinkers and prominent scientists, including John Stuart Mill and the physicist, John Tyndall. In the 1860s and 1870s, for example, the influence of Spencer’s evolutionary theory was on a par with that of Charles Darwin.

In 1883 Spencer was elected a corresponding member of philosophical section of the French academy of moral and political sciences. His work was also particularly influential in the United States, where his book, The Study of Sociology, was at the center of a controversy (1879-80) at Yale University between a professor, William Graham Sumner, and the University’s president, Noah Porter. Spencer’s influence extended into the upper echelons of American society and it has been claimed that, in 1896, “three justices of the Supreme Court were avowed ‘Spencerians’.” His reputation was at its peak in the 1870s and early 1880s, and he was nominated for the Nobel Prize for Literature in 1902. Spencer, however, declined most of the honors he was given.

Spencer’s health significantly deteriorated in the last two decades of his life, and he died in relative seclusion, following a long illness, on December 8, 1903.

Within his lifetime, some one million copies of his books had been sold, his work had been translated into French, German, Spanish, Italian, and Russian, and his ideas were popular in a number of other countries such as Poland (e.g., through the work of the positivist, Wladyslaw Kozlowski). Nevertheless, by the end of his life, his political views were no longer as popular as they had once been, and the dominant currents in liberalism allowed for a more interventionist state.

2. Method

Spencer’s method is, broadly speaking, scientific and empirical, and it was influenced significantly by the positivism of Auguste Comte. Because of the empirical character of scientific knowledge and because of his conviction that that which is known–biological life–is in a process of evolution, Spencer held that knowledge is subject to change. Thus, Spencer writes, “In science the important thing is to modify and change one’s ideas as science advances.” As scientific knowledge was primarily empirical, however, that which was not ‘perceivable’ and could not be empirically tested could not be known. (This emphasis on the knowable as perceivable led critics to charge that Spencer fails to distinguish perceiving and conceiving.) Nevertheless, Spencer was not a skeptic.

Spencer’s method was also synthetic. The purpose of each science or field of investigation was to accumulate data and to derive from these phenomena the basic principles or laws or ‘forces’ which gave rise to them. To the extent that such principles conformed to the results of inquiries or experiments in the other sciences, one could have explanations that were of a high degree of certainty. Thus, Spencer was at pains to show how the evidence and conclusions of each of the sciences is relevant to, and materially affected by, the conclusions of the others.

3. Human Nature

In the first volume of A System of Synthetic Philosophy, entitled First Principles (1862), Spencer argued that all phenomena could be explained in terms of a lengthy process of evolution in things. This ‘principle of continuity’ was that homogeneous organisms are unstable, that organisms develop from simple to more complex and heterogeneous forms, and that such evolution constituted a norm of progress. This account of evolution provided a complete and ‘predetermined’ structure for the kind of variation noted by Darwin–and Darwin’s respect for Spencer was significant.

But while Spencer held that progress was a necessity, it was ‘necessary’ only overall, and there is no teleological element in his account of this process. In fact, it was Spencer, and not Darwin, who coined the phrase “survival of the fittest,” though Darwin came to employ the expression in later editions of the Origin of Species. (That this view was both ambiguous –for it was not clear whether one had in mind the ‘fittest’ individual or species–and far from universal was something that both figures, however, failed to address.)

Spencer’s understanding of evolution included the Lamarckian theory of the inheritance of acquired characteristics and emphasized the direct influence of external agencies on the organism’s development. He denied (as Darwin had argued) that evolution was based on the characteristics and development of the organism itself and on a simple principle of natural selection.

Spencer held that he had evidence for this evolutionary account from the study of biology (see Principles of Biology, 2 vols. [1864-7]). He argued that there is a gradual specialization in things–beginning with biological organisms–towards self-sufficiency and individuation. Because human nature can be said to improve and change, then, scientific–including moral and political– views that rested on the assumption of a stable human nature (such as that presupposed by many utilitarians) had to be rejected. ‘Human nature’ was simply “the aggregate of men’s instincts and sentiments” which, over time, would become adapted to social existence. Spencer still recognized the importance of understanding individuals in terms of the ‘whole’ of which they were ‘parts,’ but these parts were mutually dependent, not subordinate to the organism as a whole. They had an identity and value on which the whole depended–unlike, Spencer thought, that portrayed by Hobbes.

For Spencer, then, human life was not only on a continuum with, but was also the culmination of, a lengthy process of evolution. Even though he allowed that there was a parallel development of mind and body, without reducing the former to the latter, he was opposed to dualism and his account of mind and of the functioning of the central nervous system and the brain was mechanistic.

Although what characterized the development of organisms was the ‘tendency to individuation’ (Social Statics [1851], p. 436), this was coupled with a natural inclination in beings to pursue whatever would preserve their lives. When one examines human beings, this natural inclination was reflected in the characteristic of rational self-interest. Indeed, this tendency to pursue one’s individual interests is such that, in primitive societies, at least, Spencer believed that a prime motivating factor in human beings coming together was the threat of violence and war.

Paradoxically, perhaps, Spencer held an ‘organic’ view of society. Starting with the characteristics of individual entities, one could deduce, using laws of nature, what would promote or provide life and human happiness. He believed that social life was an extension of the life of a natural body, and that social ‘organisms’ reflected the same (Lamarckian) evolutionary principles or laws as biological entities did. The existence of such ‘laws,’ then, provides a basis for moral science and for determining how individuals ought to act and what would constitute human happiness.

4. Religion

As a result of his view that knowledge about phenomena required empirical demonstration, Spencer held that we cannot know the nature of reality in itself and that there was, therefore, something that was fundamentally “unknowable.” (This included the complete knowledge of the nature of space, time, force, motion, and substance.)

Since, Spencer claimed, we cannot know anything non-empirical, we cannot know whether there is a God or what its character might be. Though Spencer was a severe critic of religion and religious doctrine and practice–these being the appropriate objects of empirical investigation and assessment–his general position on religion was agnostic. Theism, he argued, cannot be adopted because there is no means to acquire knowledge of the divine, and there would be no way of testing it. But while we cannot know whether religious beliefs are true, neither can we know that (fundamental) religious beliefs are false.

5. Moral Philosophy

Spencer saw human life on a continuum with, but also as the culmination of, a lengthy process of evolution, and he held that human society reflects the same evolutionary principles as biological organisms do in their development. Society–and social institutions such as the economy–can, he believed, function without external control, just as the digestive system or a lower organism does (though, in arguing this, Spencer failed to see the fundamental differences between ‘higher’ and ‘lower’ levels of social organization). For Spencer, all natural and social development reflected ‘the universality of law’. Beginning with the ‘laws of life’, the conditions of social existence, and the recognition of life as a fundamental value, moral science can deduce what kinds of laws promote life and produce happiness. Spencer’s ethics and political philosophy, then, depends on a theory of ‘natural law,’ and it is because of this that, he maintained, evolutionary theory could provide a basis for a comprehensive political and even philosophical theory.

Given the variations in temperament and character among individuals, Spencer recognized that there were differences in what happiness specifically consists in (Social Statics [1851], p. 5). In general, however, ‘happiness’ is the surplus of pleasure over pain, and ‘the good’ is what contributes to the life and development of the organism, or–what is much the same–what provides this surplus of pleasure over pain. Happiness, therefore, reflects the complete adaptation of an individual organism to its environment–or, in other words, ‘happiness’ is that which an individual human being naturally seeks.

For human beings to flourish and develop, Spencer held that there must be as few artificial restrictions as possible, and it is primarily freedom that he, contra Bentham, saw as promoting human happiness. While progress was an inevitable characteristic of evolution, it was something to be achieved only through the free exercise of human faculties (see Social Statics).

Society, however, is (by definition, for Spencer) an aggregate of individuals, and change in society could take place only once the individual members of that society had changed and developed (The Study of Sociology, pp. 366-367). Individuals are, therefore, ‘primary,’ individual development was ‘egoistic,’ and associations with others largely instrumental and contractual.

Still, Spencer thought that human beings exhibited a natural sympathy and concern for one another; there is a common character and there are common interests among human beings that they eventually come to recognize as necessary not only for general, but for individual development. (This reflects, to an extent, Spencer’s organicism.) Nevertheless, Spencer held that ‘altruism’ and compassion beyond the family unit were sentiments that came to exist only recently in human beings.

Spencer maintained that there was a natural mechanism–an ‘innate moral sense’–in human beings by which they come to arrive at certain moral intuitions and from which laws of conduct might be deduced (The Principles of Ethics, I [1892], p. 26). Thus one might say that Spencer held a kind of ‘moral sense theory’ (Social Statics, pp. 23, 19).  (Later in his life, Spencer described these ‘principles’ of moral sense and of sympathy as the ‘accumulated effects of instinctual or inherited experiences.’) Such a mechanism of moral feeling was, Spencer believed, a manifestation of his general idea of the ‘persistence of force.’ As this persistence of force was a principle of nature, and could not be created artificially, Spencer held that no state or government could promote moral feeling any more than it could promote the existence of physical force. But while Spencer insisted that freedom was the power to do what one desired, he also held that what one desired and willed was wholly determined by “an infinitude of previous experiences” (The Principles of Psychology, pp. 500-502.) Spencer saw this analysis of ethics as culminating in an ‘Absolute Ethics,’ the standard for which was the production of pure pleasure–and he held that the application of this standard would produce, so far as possible, the greatest amount of pleasure over pain in the long run.

Spencer’s views here were rejected by Mill and Hartley. Their principal objection was that Spencer’s account of natural ‘desires’ was inadequate because it failed to provide any reason why one ought to have the feelings or preferences one did.

There is, however, more to Spencer’s ethics than this. As individuals become increasingly aware of their individuality, they also become aware of the individuality of others and, thereby, of the law of equal freedom. This ‘first principle’ is that ‘Every man has freedom to do all that he wills, provided he infringes not the equal freedom of any other man’ (Social Statics, p. 103). One’s ‘moral sense,’ then, led to the recognition of the existence of individual rights, and one can identify strains of a rights-based ethic in Spencer’s writings.

Spencer’s views clearly reflect a fundamentally ‘egoist’ ethic, but he held that rational egoists would, in the pursuit of their own self interest, not conflict with one another. Still, to care for someone who has no direct relation to oneself–such as supporting the un- and under employed–is, therefore, not only not in one’s self interest, but encourages laziness and works against evolution. In this sense, at least, social inequity was explained, if not justified, by evolutionary principles.

6. Political Philosophy

Despite his egoism and individualism, Spencer held that life in community was important. Because the relation of parts to one another was one of mutual dependency, and because of the priority of the individual ‘part’ to the collective, society could not do or be anything other than the sum of its units. This view is evident, not only in his first significant major contribution to political philosophy, Social Statics, but in his later essays–some of which appear in later editions of The Man versus the State.

As noted earlier, Spencer held an ‘organic’ view of society, Nevertheless, as also noted above, he argued that the natural growth of an organism required ‘liberty’–which enabled him (philosophically) to justify individualism and to defend the existence of individual human rights. Because of his commitment to the ‘law of equal freedom’ and his view that law and the state would of necessity interfere with it, he insisted on an extensive policy of laissez faire. For Spencer, ‘liberty’ “is to be measured, not by the nature of the government machinery he lives under […] but by the relative paucity of the restraints it imposes on him” (The Man versus the State [1940], p. 19); the genuine liberal seeks to repeal those laws that coerce and restrict individuals from doing as they see fit. Spencer followed earlier liberalism, then, in maintaining that law is a restriction of liberty and that the restriction of liberty, in itself, is evil and justified only where it is necessary to the preservation of liberty. The only function of government was to be the policing and protection of individual rights. Spencer maintained that education, religion, the economy, and care for the sick or indigent were not to be undertaken by the state.

Law and public authority have as their general purpose, therefore, the administration of justice (equated with freedom and the protection of rights).  These issues became the focus of Spencer’s later work in political philosophy and, particularly, in The Man versus the State. Here, Spencer contrasts early, classical liberalism with the liberalism of the 19th century, arguing that it was the latter, and not the former, that was a “new Toryism”–the enemy of individual progress and liberty.  It is here as well that Spencer develops an argument for the claim that individuals have rights, based on a ‘law of life’. (Interestingly, Spencer acknowledges that rights are not inherently moral, but become so only by one’s recognition that for them to be binding on others the rights of others must be binding on oneself–this is, in other words, a consequence of the ‘law of equal freedom.’) He concluded that everyone had basic rights to liberty ‘in virtue of their constitutions’ as human beings (Social Statics, p. 77), and that such rights were essential to social progress. (These rights included rights to life, liberty, property, free speech, equal rights of women, universal suffrage, and the right ‘to ignore the state’–though Spencer reversed himself on some of these rights in his later writings.) Thus, the industrious–those of character, but with no commitment to existing structures except those which promoted such industry (and, therefore, not religion or patriotic institutions)–would thrive. Nevertheless, all industrious individuals, Spencer believed, would end up being in fundamental agreement.

Not surprisingly, then, Spencer maintained that the arguments of the early utilitarians on the justification of law and authority and on the origin of rights were fallacious. He also rejected utilitarianism and its model of distributive justice because he held that it rested on an egalitarianism that ignored desert and, more fundamentally, biological need and efficiency. Spencer further maintained that the utilitarian account of the law and the state was also inconsistent—that it tacitly assumed the existence of claims or rights that have both moral and legal weight independently of the positive law. And, finally, Spencer argues as well against parliamentary, representative government, seeing it as exhibiting a virtual “divine right”—i.e., claiming that “the majority in an assembly has power that has no bounds.” Spencer maintained that government action requires not only individual consent, but that the model for political association should be that of a “joint stock company”, where the ‘directors’ can never act for a certain good except on the explicit wishes of its ‘shareholders’. When parliaments attempt to do more than protect the rights of their citizens by, for example, ‘imposing’ a conception of the good–be it only on a minority–Spencer suggested that they are no different from tyrannies.

7. Assessment

Spencer has been frequently accused of inconsistency; one finds variations in his conclusions concerning land nationalization and reform, the rights of children and the extension of suffrage to women, and the role of government. Moreover, in recent studies of Spencer’s theory of social justice, there is some debate whether justice is based primarily on desert or on entitlement, whether the ‘law of equal freedom’ is a moral imperative or a descriptive natural law, and whether the law of equal freedom is grounded on rights, utility, or, ultimately, on ‘moral sense’. Nevertheless, Spencer’s work has frequently been seen as a model for later ‘libertarian’ thinkers, such as Robert Nozick, and he continues to be read–and is often invoked–by ‘libertarians’ on issues concerning the function of government and the fundamental character of individual rights.

8. References and Further Reading

a. Primary Sources

  • The Proper Sphere of Government, London: W. Brittain, 1843.
  • Social Statics. London: Chapman, 1851.
  • The Principles of Psychology. London: Longmans, 1855; 2nd edn., 2 vols. London: Williams and Norgate, 1870-2; 3rd edn., 2 vols. (1890). [A System of Synthetic Philosophy ; v. 4-5]
  • First Principles. London: Williams and Norgate, 1862; 6th edn., revised, 1904. [A system of Synthetic Philosophy ; v. 1]
  • Principles of Biology, 2 vols. London: Williams and Norgate, 1864, 1867; 2nd edn., 1898-99).[A System of Synthetic Philosophy ; v. 2-3]
  • The Study of Sociology. New York: D. Appleton, 1874, [c1873]
  • The Principles of Sociology.3 vols.  London : Williams and Norgate, 1882-1898. [A System of Synthetic Philosophy, v. 6-8] CONTENTS: Vol. 1: pt. 1. The data of sociology. pt. 2. The inductions of sociology. pt. 3. The domestic relations; Vol. 2: pt. 4. Ceremonial institutions. pt. 5. Political institutions; v. 3: pt. 6. Ecclesiastical institutions. pt. 7. Professional institutions. pt. 8. Industrial institutions.]
  • The Man versus the State:containing “The new Toryism,” “The coming slavery,” “The sins of legislators,” and “The great political superstition,” London : Williams & Norgate, 1884; with additional essays and an introduction by Albert Jay Nock. [adds “From freedom to bondage,” and “Over- legislation”] Intro. A.J. Nock.  Caldwell, ID: Caxton, 1940.
  • Spencer, Herbert. The Factors of Organic Evolution. London: Williams and Norgate, 1887.
  • Spencer, Herbert. The Principles of Ethics. 2 vols. London: Williams and Northgate, 1892. [A system of synthetic philosophy ; v. 9-10]
  • An Autobiography. 2 v. London: Williams and Norgate, 1904.

b. Secondary Sources

  • Andreski, S. Herbert Spencer: Structure, Function and Evolution. London, 1972.
  • Duncan, David. (ed.) The Life and Letters of Herbert Spencer. London: Methuen, 1908.
  • Gray, T.S. The Political Philosophy of Herbert Spencer, Aldershot: Avebury, 1996.
  • Jones, G. Social Darwinism and English Thought: The Interaction between Biological and Social Theory. Brighton, 1980.
  • Kennedy, James G. Herbert Spencer. Boston: Twayne Publishers, 1978.
  • Miller, David. Social Justice. Oxford: Clarendon Press, 1976. Ch. 6
  • Paxton, N.L. George Eliot and Herbert Spencer: Feminism, Evolutionism, and the Reconstruction of Gender. Princeton, NJ: Princeton University Press, 1991.
  • Peel, J.D.Y. Herbert Spencer: The Evolution of a Sociologist. London, 1971.
  • Ritchie, David G. The Principles of State Interference: Four Essays on the Political Philosophy of Mr Herbert Spencer, J.S. Mill and T.H. Green. London: Swan Sonnenschein, 1891.
  • Taylor, M.W. Men versus the State: Herbert Spencer and late Victorian Liberalism. Oxford: Oxford University Press, 1992.
  • Wiltshire, David. The Social and Political Thought of Herbert Spencer. New York: Oxford, 1978.

Author Information

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

Ancient Greek Skepticism

Although all skeptics in some way cast doubt on our ability to gain knowledge of the world, the term “skeptic” actually covers a wide range of attitudes and positions. There are skeptical elements in the views of many Greek philosophers, but the term “ancient skeptic” is generally applied either to a member of Plato’s Academy during its skeptical period (c. 273 B.C.E to 1st century B.C.E.) or to a follower of Pyrrho (c. 365 to 270 B.C.E.). Pyrrhonian skepticism flourished from Aenesidemus’ revival (1st century B.C.E.) to Sextus Empiricus, who lived sometime in the 2nd or 3rd centuries C.E. Thus the two main varieties of ancient skepticism: Academic and Pyrrhonian.

The term “skeptic” derives from a Greek noun, skepsis, which means examination, inquiry, consideration. What leads most skeptics to begin to examine and then eventually to be at a loss as to what one should believe, if anything, is the fact of widespread and seemingly endless disagreement regarding issues of fundamental importance. Many of the arguments of the ancient skeptics were developed in response to the positive views of their contemporaries, especially the Stoics and Epicureans, but these arguments have been highly influential for subsequent philosophers and will continue to be of great interest as long as there is widespread disagreement regarding important philosophical issues.

Nearly every variety of ancient skepticism includes a thesis about our epistemic limitations and a thesis about suspending judgment. The two most frequently made objections to skepticism target these theses. The first is that the skeptic’s commitment to our epistemic limitations is inconsistent. He cannot consistently claim to know, for example, that knowledge is not possible; neither can he consistently claim that we should suspend judgment regarding all matters insofar as this claim is itself a judgment. Either such claims will refute themselves, since they fall under their own scope, or the skeptic will have to make an apparently arbitrary exemption. The second sort of objection is that the alleged epistemic limitations and/or the suggestion that we should suspend judgment would make life unlivable. For, the business of day-to-day life requires that we make choices and this requires making judgments. Similarly, one might point out that our apparent success in interacting with the world and each other entails that we must know some things. Some responses by ancient skeptics to these objections are considered in the following discussion.

(Hankinson [1995] is a comprehensive and detailed examination of ancient skeptical views. See Schmitt [1972] and Popkin [1979] for discussion of the historical impact of ancient skepticism, beginning with its rediscovery in the 16th Century, and Fogelin [1994] for an assessment of Pyrrhonian skepticism in light of contemporary epistemology. The differences between ancient and modern forms of skepticism has been a controversial topic in recent years-see especially, Annas [1986], [1996], Burnyeat [1984], and Bett [1993].)

Table of Contents

  1. Academic vs. Pyrrhonian Skepticism
  2. Academic Skepticism
    1. Arcesilaus
      1. Platonic Innovator
      2. Attack on the Stoics
      3. On Suspending Judgment
      4. Dialectical Interpretation
      5. Practical Criterion: to Eulogon
    2. Carneades
      1. Socratic Dialectic
      2. On Ethical Theory
      3. On the Stoic Sage
      4. On Epistemology
      5. Practical Criterion: to Pithanon
      6. Dialectical Skeptic or Fallibilist?
    3. Philo and Antiochus
    4. Cicero
  3. Pyrrhonian Skepticism
    1. Pyrrho and Timon
    2. Aenesidemus
      1. Revival of Pyrrhonism
      2. The Ten Modes
      3. Tranquility
    3. Sextus Empiricus
      1. General Account of Skepticism
      2. The Path to Skepticism
      3. The Modes of Agrippa
      4. Skepticism vs. Relativism
      5. The Skeptical Life
  4. Skepticism and the Examined Life
  5. Greek and Latin Texts, Commentaries, and Translations
  6. References and Further Reading

1. Academic vs. Pyrrhonian Skepticism

The distinction between Academic and Pyrrhonian skepticism continues to be a controversial topic. In the Second Century C.E., the Roman author Aulus Gellius already refers to this as an old question treated by many Greek writers (Attic Nights 11.5.6, see Striker [1981/1996]). The biggest obstacle to correctly making this distinction is that it is misleading to describe Academic and Pyrrhonian skepticism as distinctly unified views in the first place since different Academics and Pyrrhonists seem to have understood their skepticisms in different ways. So even though the terms Academic and Pyrrhonian are appropriate insofar as there are clear lines of transmission and development of skeptical views that unify each, we should not expect to find a simple account of the distinction between the two.

2. Academic Skepticism

a. Arcesilaus

Following Plato’s death in 347 B.C.E., his nephew Speusippus became head of the Academy. Next in line were Xenocrates, Polemo and Crates. The efforts of the Academics during this period were largely directed towards developing an orthodox Platonic metaphysics. When Crates died (c. 272 B.C.E.) Arcesilaus of Pitane (c. 318 to 243 B.C.E.) became the sixth head of the Academy. Another member of the Academy, Socratides, who was apparently in line for the position, stepped down in favor of Arcesilaus (Diogenes Laertius [DL] 4.32); so it seems he was held in high regard by his predecessors, at least at the time of his appointment. (See Long [1986] for discussion of the life of Arcesilaus.)

i. Platonic Innovator

According to Diogenes Laertius, Arcesilaus was “the first to argue on both sides of a question, and the first to meddle with the traditional Platonic system [or: discourse, logos] and by means of question and answer, to make it more of a debating contest” (4.28, translation after R.D. Hicks).

Diogenes is certainly wrong about Arcesilaus being the first to argue on both sides of a question. This was a long standing practice in Greek rhetoric commonly attributed to the Sophists. But Arcesilaus was responsible for turning Plato’s Academy to a form of skepticism. This transition was probably supported by an innovative reading of Plato’s books, which he possessed and held in high regard (DL 4.31).

Diogenes’ remark that Arcesilaus “meddled” with Plato’s system and made it more of a debating contest indicates a critical attitude towards his innovations. Diogenes (or his source) apparently thought that Arcesilaus betrayed the spirit of Platonic philosophy by turning it to skepticism.

Cicero, on the other hand, in an approving tone, reports that Arcesilaus revived the practice of Socrates, which he takes to be the same as Plato’s.

“[Socrates] was in the habit of drawing forth the opinions of those with whom he was arguing, in order to state his own view as a response to their answers. This practice was not kept up by his successors; but Arcesilaus revived it and prescribed that those who wanted to listen to him should not ask him questions but state their own opinions. When they had done so, he argued against them. But his listeners, so far as they could, would defend their own opinion” (de Finibus 2.2, translated by Long and Sedley, 68J, see also de Natura Deorum 1.11).

Arcesilaus had (selectively) derived the lesson from Plato’s dialogues that nothing can be known with certainty, either by the senses or by the mind (de Oratore 3.67, on the topic of Plato and Socrates as proto-skeptics, see Annas [1992], Shields [1994] and Woodruff [1986]). He even refused to accept this conclusion; thus he did not claim to know that nothing could be known (Academica 45).

ii. Attack on the Stoics

In general, the Stoics were the ideal target for the skeptics; for, their confidence in the areas of metaphysics, ethics and epistemology was supported by an elaborate and sophisticated set of arguments. And, the stronger the justification of some theory, the more impressive is its skeptical refutation. They were also an attractive target due to their prominence in the Hellenistic world. Arcesilaus especially targeted the founder of Stoicism, Zeno, for refutation. Zeno confidently claimed not only that knowledge is possible but that he had a correct account of what knowledge is, and he was willing to teach this to others. The foundation of this account is the notion of katalêpsis: a mental grasping of a sense impression that guarantees the truth of what is grasped. If one assents to the proposition associated with a kataleptic impression, i.e. if one experiences katalepsis, then the associated proposition cannot fail to be true. The Stoic sage, as the perfection and fulfillment of human nature, is the one who assents only to kataleptic impressions and thus is infallible.

Arcesilaus argued against the possibility of there being any sense-impressions which we could not be mistaken about. In doing so, he paved the way for future Academic attacks on Stoicism. To summarize the attack: for any sense-impression S, received by some observer A, of some existing object O, and which is a precise representation of O, we can imagine circumstances in which there is another sense-impression S’, which comes either (i) from something other than O, or (ii) from something non-existent, and which is such that S’ is indistinguishable from S to A. The first possibility (i) is illustrated by cases of indistinguishable twins, eggs, statues or imprints in wax made by the same ring (Lucullus 84-87). The second possibility (ii) is illustrated by the illusions of dreams and madness (Lucullus 88-91). On the strength of these examples, Arcesilaus apparently concluded that we may, in principle, be deceived about any sense-impression, and consequently that the Stoic account of empirical knowledge fails. For the Stoics were thorough-going empiricists and believed that sense-impressions lie at the foundation of all of our knowledge. So if we could not be certain of ever having grasped any sense-impression, then we cannot be certain of any of the more complex impressions of the world, including what strikes us as valuable. Thus, along with the failure to establish the possibility of katalepsis goes the failure to establish the possibility of Stoic wisdom (see Hankinson [1995], Annas [1990] and Frede [1983/1987] for detailed discussions of this epistemological debate).

iii. On Suspending Judgment

In response to this lack of knowledge (whether limited to the Stoic variety or knowledge in general), Arcesilaus claimed that we should suspend judgment. By arguing for and against every position that came up in discussion he presented equally weighty reasons on both sides of the issue and made it easier to accept neither side (Academica 45). Diogenes counts the suspension of judgment as another of Arcesilaus’ innovations (DL 4.28) and refers to this as the reason he never wrote any books (4.32). Sextus Empiricus (Outlines of Pyrrhonism [generally referred to by the initials of the title in Greek, PH] 1.232) and Plutarch (Adversus Colotes 1120C) also attribute the suspension of judgment about everything to him.

Determining precisely what cognitive attitude Arcesilaus intended by “suspending judgment” is difficult, primarily because we only have second and third hand reports of his views (if indeed he endorsed any views, see Dialectical Interpretation below). To suspend judgment seems to mean not to accept a proposition as true, i.e. not to believe it. It follows that if one suspends judgment regarding p, then he should neither believe that p nor should he believe that not-p (for this will commit him to the truth of not-p). But if believing p just means believing that p is true, then suspending judgment regarding everything is the same as not believing anything. If Arcesilaus endorsed this, then he could not consistently believe either that nothing can be known or that one should consequently suspend judgment.

iv. Dialectical Interpretation

One way around this problem is to adopt the dialectical interpretation (advanced by Couissin [1929]). According to this interpretation, Arcesilaus merely showed the Stoics that they didn’t have an adequate account of knowledge, not that knowledge in general is impossible. In other words, knowledge will only turn out to be impossible if we define it as the Stoics do. Furthermore, he did not show that everyone should suspend judgment, but rather only those who accept certain Stoic premises. In particular, he argued that if we accept the Stoic view that the Sage never errs, and since katalepsis is not possible, then the Sage (and the rest of us insofar as we emulate the Sage) should never give our assent to anything. Thus the only way to achieve sagehood, i.e. to consistently avoid error, is to suspend judgment regarding everything and never risk being wrong (Lucullus 66-67, 76-78, see also Sextus Empiricus, Against the Logicians [generally referred to by the initial M, for the name of the larger work from which it comes,Adversus Mathematikos] 7.150-57). But the dialectical Arcesilaus himself neither agrees nor disagrees with this.

v. Practical Criterion: to Eulogon

The biggest obstacle to the dialectical interpretation is Arcesilaus’ practical criterion, to eulogon. Arcesilaus presented this criterion in response to the Stoic objection that if we were to suspend judgment regarding everything, then we would not be able to continue to engage in day to day activities. For, theStoics thought, any deliberate action presupposes some assent, which is to say that belief is necessary for action. Thus if we eliminate belief we will eliminate action (Plutarch, Adversus Colotes 1122A-F, LS 69A).

Sextus remarks that

inasmuch as it was necessary . . . to investigate also the conduct of life, which cannot, naturally, be directed without a criterion, upon which happiness-that is, the end of life-depends for its assurance, Arcesilaus asserts that he who suspends judgment about everything will regulate his inclinations and aversion and his actions in general by the rule of “the reasonable [to eulogon],” and by proceeding in accordance with this criterion he will act rightly; for happiness is attained by means of wisdom, and wisdom consists in right actions, and the right action is that which, when performed, possesses a reasonable justification. He, therefore, who attends to “the reasonable” will act rightly and be happy (M 7.158, translated by Bury).

There is a good deal of Stoic technical terminology in this passage, including the term eulogon itself, and this may seem to support the dialectical interpretation. On this view, Arcesilaus is simply showing the Stoics both that their account of knowledge is not necessary for virtue, and that they nonetheless already have a perfectly acceptable epistemic substitute, to eulogon (see Striker [1980/1996]). But this raises the question, why would Arcesilaus make such a gift to his Stoic adversaries? It would be as if, Maconi’s words, “Arcesilaus first knocked his opponent to the ground and then gave him a hand up again” (1988: 248). Such generosity would seem to be incompatible with the purely dialectical purpose of refutation. Similarly, if he had been arguing dialectically all along, there seems to be no good reason for him to respond to Stoic objections, for he was not presenting his own views in the first place. On the other hand, the proponent of the dialectical view could maintain that Arcesilaus has not done any favors to the Stoics by giving them the gift of to eulogon; rather, this “gift” may still be seen as a refutation of the Stoic view that a robust knowledge is necessary for virtue.

An alternative to the dialectical view is to interpret to eulogon as Arcesilaus’ own considered opinion regarding how one may live well in the absence of certainty. This view then encounters the earlier difficulty of explaining how it is consistent for Arcesilaus to endorse suspending judgment on all matters while at the same time believing that one may attain wisdom and happiness by adhering to his practical criterion.

b. Carneades

Arcesilaus was succeeded by Lacydes (c. 243 B.C.E.), and then Evander and Hegesinus in turn took over as heads of the Academy. Following Hegesinus, Carneades of Cyrene (c. 213 to 129 B.C.E.), perhaps the most illustrious of the skeptical Academics, took charge. Rather than merely responding to the dogmatic positions that were currently held as Arcesilaus did, Carneades developed a wider array of skeptical arguments against any possible dogmatic position, including some that were not being defended. He also elaborated a more detailed practical criterion, to pithanon. As was the case with Arcesilaus, he left nothing in writing, except for a few letters, which are no longer extant (DL 4.65).

i. Socratic Dialectic

Carneades employed the same dialectical strategies as Arcesilaus (Academica 45, Lucullus 16), and similarly found his inspiration and model in Plato’s Socrates. The Socratic practice which Carneades employed, according to Cicero, was to try to conceal his own private opinion, relieve others from deception and in every discussion to look for the most probable solution (Tusculan Disputations 5.11, see also de Natura Deorum 1.11).

In 155 B.C.E., nearly one hundred years after Arcesilaus’ death in 243, Carneades is reported to have gone as an Athenian ambassador to Rome. There he presented arguments one day in favor of justice and the next he presented arguments against it. He did this not because he thought that justice should be disparaged but rather to show its defenders that they had no conclusive support for their view (Lactantius, LS 68M). Similarly, we find Carneades arguing against the Stoic conception of the gods, not in order to show that they do not exist, but rather to show that the Stoics had not firmly established anything regarding the divine (de Natura Deorum 3.43-44, see also 1.4). It seems then that Carneades was motivated primarily by the Socratic goal of relieving others of the false pretense to knowledge or wisdom and that he pursued this goal dialectically by arguing both for and against philosophical positions.

ii. On Ethical Theory

But whereas Arcesilaus seemed to limit his targets to positions actually held by his interlocutors, Carneades generalized his skeptical attack, at least in ethics and epistemology. The main task of Hellenistic ethics was to determine the summum bonum, the goal at which all of our actions must aim if we are to live good, happy lives. Carneades listed all of the defensible candidates, including some that had not actually been defended, in order to argue for and against each one and show that no one in fact knows what the summum bonum is, if indeed there is one (de Finibus 5.16-21). He may have even intended the stronger conclusion that it is not possible to acquire knowledge of the summum bonum,assuming his list was exhaustive of all the serious candidates.

iii. On the Stoic Sage

As with Arcesilaus, Carneades also focused much of his skeptical energy on the Stoics, particularly the views of the scholarch Chrysippus (DL 4.62). The Stoics had developed a detailed view of wisdom as life in accordance with nature. The Stoic sage never errs, he never incorrectly values the goods of fortune, he never suffers from pathological emotions, and he always remains tranquil. His happiness is completely inviolable since everything he does and everything he experiences is precisely as it should be; and crucially, he knows this to be true. Even though the Stoics were extremely reluctant to admit that anyone had so far achieved this extraordinary virtue, they nonetheless insisted that it was a real possibility (Luc.145, Tusc. 2.51, Seneca Ep. 42.1, M 9.133, DL 7.91).

As a dialectician, Carneades carefully examined this conception of the sage. Sometimes he argued, contrary to the Stoic view, that the sage would in fact assent to non-kataleptic impressions and thus that he was liable to error (Luc. 67); for he might form opinions even in the absence of katalepsis (Luc. 78). But he also apparently argued against the view that the sage will hold mere opinions in the absence of katalepsis (Luc. 112). Presumably he didn’t himself endorse either position since the issue that had to be decided first was whether katalepsis was even possible. In other words, if certainty is possible, then of course the sage should not settle for mere opinion. But if it is not possible, then perhaps he will be entitled to hold mere opinions, provided they are thoroughly examined and considered.

iv. On Epistemology

Just as Carneades generalized his skeptical attack on ethical theories, he also argued against all of his predecessors’ epistemological theories (M 7.159). The main task of Hellenistic epistemology was to determine the criterion (standard, measure or test) of truth. If the criterion of truth is taken to be a sort of sense-impression, as in the Stoic theory, then we will not be able to discover any such impression that could not in principle appear true to the most expertly trained and sensitive perceiver and yet still be false (M 7.161-65, see Arcesilaus’ “Attack on the Stoics” above). But if we can discover no criterial sense-impression, then neither will the faculty of reason alone be able to provide us with a criterion, insofar as we accept the empiricist view (common among Hellenistic philosophers) that nothing can be judged by the mind that hasn’t first entered by the senses.

We have no evidence to suggest that Carneades also argued against a rationalist, or a priori approach to the criterion.

v. Practical Criterion: to Pithanon

According to Sextus, after arguing against all the available epistemological theories, Carneades himself needed to advance a criterion for the conduct of life and the attainment of happiness (M 7.166). Sextus does not tell us why it was necessary for Carneades to do so, but it was probably for the same reason that Arcesilaus had presented his practical criterion-namely, in response to the objection that if there were no epistemic grounds on which to prefer one impression over another then, despite all appearances, we cannot rationally govern our choices. Thus, Carneades expounded his practical criterion, to pithanon.

First he noted that every sense impression exists in two distinct relations: one relative to the object from which it comes, the “impressor”, and the other relative to the perceiver. The first relation determines what we ordinarily think of as truth: does the impression correspond to its object or not? The second relation determines plausibility: is the impression convincing to the perceiver or not? Rather than relying on the first relation, Carneades adopted the convincing impression [pithanê phantasia] as the criterion of truth, even though there will be occasions on which it fails to accurately represent its object. Yet, he apparently thought that these occasions are rare and so they do not provide a good reason for distrusting the convincing impressions. For such impressions are reliable for the most part, and in actual practice, life is regulated by what holds for the most part (M 7.166-75, LS 69D).

Sextus also reports the refinements Carneades made to his criterion. If we are considering whether we should accept some impression as true, we presumably have already found it to be convincing, but we should also consider how well it coheres with other relevant impressions and then thoroughly examine it further as if we were cross-examining a witness. The amount of examination that a convincing impression requires is a function of its importance to us. In insignificant matters we make use of the merely convincing impression, but in weighty matters, especially those having to do with happiness, we should only rely on the convincing impressions that have been thoroughly explored (M 7.176-84).

Cicero translates Carneades’ pithanon with the Latin terms probabile and veri simile, and he claims that this criterion is to be employed both in everyday life and in the Academic dialectical practice of arguing for and against philosophical views (Luc. 32, see also Contr.Ac. 2.26, and Glucker [1995]). The novel feature of this criterion is that it does not guarantee that whatever is in accordance with it is true. But if it is to play the dialectical role explicitly specified by Cicero and suggested by Sextus’ report, then it must have some connection with truth. This is especially clear in the case of sense-impressions: the benefit of thoroughly examining sense-impressions is that we may rule out the deceptive ones and accept the accurate ones. And we may make a similar case, as Cicero does, for the dialectical examination of philosophical views. A major difficulty in interpreting Carneades’ pithanon in this way is that it requires some explanation for how we are able to identify what resembles the truth (veri simile) without being able to identify the truth itself (Luc. 32-33).

vi. Dialectical Skeptic or Fallibilist?

Even if the fallibilist interpretation of Carneades’ criterion is correct, it remains a further issue whether he actually endorsed his criterion himself, or whether he merely developed it dialectically as a possible view. Indeed, even Carneades’ student Clitomachus was unable to determine what, if anything, Carneades endorsed (Luc. 139, see also Striker [1980/1996]). A number of difficulties arise if he did endorse his criterion. First, Carneades argued that there is absolutely no criterion of truth (M 7.159) and that would presumably include to pithanon. Second, Clitomachus claims that Carneades endured a nearly Herculean labor “when he cast assent out of our minds, like a wild and savage beast, that is mere opinion and thoughtlessness” (Luc. 108). Thus it would seem to be inconsistent for him to accept a moderate, fallible form of assent if it leads to holding opinions.

We may more simply deal with Carneades’ criterion by noting that sometimes he argued so zealously in support of some view that people reasonably, but incorrectly, assumed that he accepted it himself (Luc.78, Fin. 5.20). Thus we may say that Carneades only advanced views dialectically but remained uncommitted to any of them. His criterion in this case would be the disappointing consequence of Stoic epistemological commitments-disappointing (as in the case with the dialectical reading of Arcesilaus’eulogon) because the Stoics believed these same commitments led to a much more robust criterion.

On the other hand, Cicero endorses a fallibilist interpretation of to pithanon which he seems to think was also endorsed by Carneades himself. This interpretation was developed by another of Carneades’ students, Metrodorus, and by Cicero’s teacher, Philo. We also have evidence that Carneades made an important distinction between assent and approval that he may have appealed to in this context (Luc. 104, see Bett [1990]). He limits assent to the mental event of taking a proposition to be true and adopts the term “approval” for the more modest mental event of taking a proposition to be convincing but without making any commitment to its truth. If this distinction is viable it would allow Carneades to approve of his epistemological criterion without committing himself at any deeper theoretical level. In other words Carneades could appeal to his criterion for his very adoption of that criterion: it is pithanon but not certain that to pithanon is the criterion for determining what we should approve of. Cicero claims that Carneades made just this sort of move in the case of his rejection of the possibility of Stoic katalepsis: it isprobabile (= pithanon), but not certain, that katalepsis is not possible (Luc. 110, see Thorsrud [2002]).

c. Philo and Antiochus

According to Sextus Empiricus, most people divide the Academy into three periods: the first, the so-called Old Academy, is Plato’s; the second is the Middle Academy of Arcesilaus; and the third is the New Academy of Carneades. But, he remarks, some also add a fourth Academy, that of Philo, and a fifth Academy, Antiochus’ (PH 1.220). Philo was head of the Academy from about 110 to 79 B.C.E. His interpretation of Academic skepticism as a mitigated form that permits tentative approval of the view that survives the most dialectical scrutiny is recorded and examined in Cicero’s Academica, and in the earlier version of this dialogue, the Lucullus. The Lucullus is just one of the two books that constituted the earlier version. The second book, now lost was called Catulus, after one of the main speakers. Cicero later revised these books, dividing them into four; but only part of the first of those four, what is usually referred to as the Academica posteriora, has survived. Nevertheless, we have enough of these books to get a pretty good sense of the whole work (see Griffin [1997], Mansfeld [1997]).

Philo apparently claimed that some sense-impressions very well may be true but that we nonetheless have no reliable way to determine which ones these are (Luc. 111, see also 34). Similarly, Sextus attributes to Philo the view that “as far the Stoic standard (i.e. apprehensive appearance [= kataleptic impression]) is concerned, objects are inapprehensible, but as far as the nature of the objects themselves is concerned they are apprehensible” (PH 1.235, translated by Annas and Barnes). He may have made these remarks in order to underwrite the Academic practice of accepting certain views as resembling the truth; for there must be some truth in the first place-even if we don’t have access to it-in order for something to resemble it.

Under the pressure of Stoic objections to his fallibilist epistemology Philo apparently made some controversial innovations in Academic philosophy. Cicero refers to these innovations but doesn’t discuss them in any detail (Luc. 11-12), nor did he accept them himself, preferring Philo’s earlier view of the Academy and the dialectical practices of Carneades. Philo’s innovation may have been to commit himself to the metaphysical claim that some impressions are indeed true by providing arguments to that effect. So rather than rely on the likelihood that some impressions are true he may have sought to establish this more firmly. He then may have lowered the standard for knowledge by giving up the internalist requirement that one be able to identify which impressions are true and adopted instead the externalist position that just having true impressions, as long as they have the right causal history, is enough for one to have knowledge (see Hankinson [1997] for this interpretation, see also Tarrant [1985] and Brittain [2001]).

After Philo, Antiochus (c. 130 to c. 68 B.C.E.) led the Academy decidedly back to a form of dogmatism. He claimed that the Stoics and Peripatetics had more accurately understood Plato and thus he sought to revive these views, including primarily Stoic epistemology and ethics, in his Academy (Cicero examines Antiochus’ views in de Finibus 5. Glucker [1978] is a groundbreaking study of Antiochus.).

d. Cicero

Cicero was a lifelong student and practitioner of Academic philosophy and his philosophical dialogues are among the richest sources of information about the skeptical Academy. Although he claims to be a mere reporter of other philosophers’ views (Att. 12.52.3), he went to some trouble in arranging these views in dialogue form and most importantly in supplying his own words to express them. In some cases he coined the words he needed thereby teaching philosophy to speak Latin. His philosophical coinages-e.g.essentia, qualitas, beatitudo-have left a lasting imprint on Western philosophy.

He is generally not considered to be an original thinker but it is difficult to determine the extent to which this is true since practically none of the books he relied on have survived and so we do not know how much, or whether, he modified the views he presented. Nevertheless, despite questions of originality, his dialogues express a humane and intelligent view of life. Plutarch, in his biography, claims that Cicero often asked his friends to call him a philosopher because he had chosen philosophy as his work, but merely used oratory to achieve his political ends (Life of Cicero 32.6, Colish [1985] is a comprehensive survey of Cicero’s philosophical dialogues, so too MacKendrick [1989], and see Powell [1995] for more recent essays on Cicero’s philosophy).

3. Pyrrhonian Skepticism

Pyrrho of Elis (c. 360 to c. 270 BCE), the founder of Pyrrhonian skepticism, is a shadowy figure who wrote nothing himself. What little we know of him comes, for the most part, from fragments of his pupil Timon’s poems and from Diogenes Laertius’ biography (9.61-108) which is based on a book by Antigonus of Carystus, an associate of Timon. There seem to have been no more disciples of Pyrrho after Timon, but much later in the 1st Century B.C.E., Aenesidemus proposed a skeptical view that he claimed to be Pyrrhonian. Later still in the 2nd Century C.E., Sextus Empiricus recorded a battery of skeptical arguments aimed at all contemporary philosophical views. As with Aenesidemus, Sextus claimed Pyrrho as the founder, or at least inspiration, for the skepticism he reports. The content of these skeptical views, the nature of Pyrrho’s influence, and the relations between succeeding stages of Pyrrhonism are controversial topics.

a. Pyrrho and Timon

The anecdotal evidence for Pyrrho tends to be sensational. Diogenes reports, for example, that Pyrrho mistrusted his senses to such an extent that he would have fallen off cliffs or been run over by carts and savaged by dogs had his friends not followed close by (9.62). He was allegedly indifferent to certain norms of social behavior, taking animals to market, washing a pig and even cleaning the house himself (9.66). For the most part we find his indifference presented as a positive characteristic. For example, while on a ship in the midst of a terrible storm he was able to maintain a state of tranquility (9.68). Similarly, Timon presents Pyrrho as having reached a godlike state of calm, having escaped servitude to mere opinion (9.64-5, see also the fragments of Timon’s prose works, as recorded by Aristocles, LS 2A and 2B). He was also held in such high regard by his native city that he was appointed as high priest and for his sake they made all philosophers exempt from taxation (9.64). We also find a tantalizing report of a journey to India where Pyrrho mingled with, and presumably learned from, certain naked sophists and magi (9.61, the connection with Indian Buddhism is explored by Flintoff [1980]).

Generally, the anecdotal evidence in Diogenes, and elsewhere, is unreliable, or at least highly suspect. Such reports are more likely colorful inventions of later authors attributed to Pyrrho to illustrate, or caricature, some part of his philosophical view. Nevertheless, he is consistently portrayed as being remarkably calm due to his lack of opinion, so we may cautiously accept such accounts.

The most important testimony to the nature of Pyrrho’s skepticism comes from Aristocles, a Peripatetic philosopher of the 2nd Century C.E.:

It is supremely necessary to investigate our own capacity for knowledge. For if we are so constituted that we know nothing, there is no need to continue enquiry into other things. Among the ancients too there have been people who made this pronouncement, and Aristotle has argued against them. Pyrrho of Elis was also a powerful spokesman of such a position. He himself has left nothing in writing, but his pupil Timon says that whoever wants to be happy must consider these three questions: first, how are things by nature? Secondly, what attitude should we adopt towards them? Thirdly, what will be the outcome for those who have this attitude? According to Timon, Pyrrho declared that [1] things are equally indifferent, unmeasurable and inarbitrable. For this reason [2] neither our sensations nor our opinions tell us truths or falsehoods. Therefore, for this reason we should not put our trust in them one bit, but we should be unopinionated, uncommitted and unwavering, saying concerning each individual thing that it no more is than is not, or it both is and is not, or it neither is nor is not. [3] The outcome for those who actually adopt this attitude, says Timon, will be first speechlessness, and then freedom from disturbance . . . (Aristocles apudEusebius, Praeparatio evangelica 14.18.1-5, translated by Long and Sedley, 1F).

Let us consider Pyrrho’s questions and answers in order. First, what are things like by nature? This sounds like a straightforward metaphysical question about the way the world is, independent of our perceptions. If so, we should expect Pyrrho’s answer, [1] that things are equally indifferent, unmeasurable and inarbitrable, to be a metaphysical statement. But this will lead to difficulties, for how can Pyrrho arrive at the apparently definite proclamation that things are indefinite? That is, doesn’t his metaphysical statement refute itself by implicitly telling us that things are decidedly indeterminate? If we take this view we may defend Pyrrho by allowing his claim to be exempt from its own scope-so we can determine only this much: every property of every thing is indeterminate (see Bett [2000] for this defense). Alternatively, we may allow Pyrrho to embrace the apparent inconsistency and assert that his claim is itself neither true nor false, but is inarbitrable. The former option seems preferable insofar as the latter leaves Pyrrho with no definite assertion whatsoever and it thus becomes unclear how he could draw the inferences he does from [1] to [2].

On the other hand, we may seek to avoid these difficulties by interpreting Pyrrho’s first answer as epistemological. After all, the predicates he uses suggest an epistemological claim is being made. And further, Aristocles introduces this passage by noting that we must investigate our capacity for knowledge and he claims that Pyrrho was a spokesman for the view that we know nothing. Bett [2000] argues against the epistemological reading on the grounds that it doesn’t make good sense of the passage as it stands. For if we assume the epistemological reading of [1], that we are unable to determine the natures of things, then it would be pointless to infer from that that [2] our senses lie. It would make much more sense to reverse the inference: one might reasonably argue that our senses lie and thus we are unable to determine the natures of things. Some have proposed emending the text from “for this reason (dia touto)” to “on account of the fact that (dia to)” to capture this reversal of the inference. But if we read the text as it stands, we may still explain Aristocles’ epistemological focus by pointing out that if [1] things are indeterminate, then the epistemological skepticism will be a consequence: things are indeterminable.

Second, in what way ought we to be disposed towards things? Since things are indeterminate (assuming the metaphysical reading) then no assertion will be true, but neither will any assertion be false. So we should not have any opinion about the truth or falsity of any statement (with the exception perhaps of these meta-level skeptical assertions). Instead, we should only say and think that something no more is than is not, or both is and is not, or neither is nor is not, because in fact that’s the way things are. So for example, having accepted [1] (and assuming the predicative reading of “is” in [2]), I will no longer believe that this book is red, but neither will I believe that it is not red. The book is no more red than not-red, or similarly, it is as much red as not-red.

Third, what will be the result for those who are so disposed? The first result is speechlessness (literally, not saying anything)-but this is odd given that we are encouraged to adopt a form of speech in [2]. Perhaps speechlessness follows after initially saying only that things are no more this than that, etc.; then finally, freedom from disturbance follows. Presumably, the recognition that things are no more to be sought after than not sought after is instrumental in producing tranquility, for if nothing is intrinsically good or bad, we have no reason to ever be distressed, or to be exuberantly joyful. But then it seems we would not be able to even choose one thing over another. Pyrrho’s tranquility thus begins to look like a kind of paralysis and this is probably what prompted some of the sensational anecdotes.

Diogenes notes, however, that according to Aenesidemus, Pyrrho exercised foresight in his day-to-day activities, and that he lived to be ninety (9.62). So it seems his tranquility did not paralyze him after all. This may be either because Pyrrho (or Timon) was disingenuous about what he was up to intellectually, or more charitably because he followed appearances (9.106) without ever committing himself to the truth or falsity of what appeared. (See “Sextus on the skeptical life” below for further discussion).

b. Aenesidemus

We know practically nothing about Aenesidemus except that he lived sometime in the 1st Century B.C.E., and that he dedicated one of his written works to a Lucius Tubero, a friend of Cicero’s who was also a member of the Academy. This has led most scholars to suppose that Aenesidemus was a member of the Academy, probably during the period of Philo’s leadership, and that his revival of Pyrrhonian skepticism was probably a reaction to Philo’s tendency towards fallibilism. Although this is plausible, it makes the fact that Cicero never mentions him quite puzzling.

i. Revival of Pyrrhonism

Aenesidemus’ Pyrrhonian Discourses (Pyrrhoneia), like the rest of his works, have not survived, but they are summarized by a ninth century Byzantine patriarch, Photius, who is remarkable in his own right. In his Bibliothêkê (Bib.), he summarized 280 books, including the Pyrrhoneia, apparently from memory. It is clear from his summary that he thinks very little of Aenesidemus’ work. This is due to his view that Aenesidemus’ skepticism makes no contribution to Christian dogma and drives from our minds the instinctive tenets of faith (Bib. 170b39-40). Nevertheless, a comparison of his summaries with the original texts that have survived reveal that Photius is a generally reliable source (Wilson [1994]). So despite his assessment of Aenesidemus’ skepticism, the consensus is that he provides an accurate summary of thePyrrhoneia. The proper interpretation of that summary, however, is disputed.

Aenesidemus was a member of Plato’s Academy, apparently during the period of Philo’s leadership. Growing dissatisfied with what he considered the dogmatism of the Academy, he sought to revitalize skepticism by moving back to a purer form inspired by Pyrrho. His specific complaint against his contemporary Academics was that they confidently affirm some things, even Stoic beliefs, and unambiguously deny other things. In other words, the Academics, in Aenesidemus’ view, were insufficiently impressed by our epistemic limitations.

His alternative was to “determine nothing,” not even the claim that he determines nothing. Instead, the Pyrrhonist says that things are no more one way than another. This form of speech is ambiguous (in a positive sense, from Aenesidemus’ perspective) since it neither denies nor asserts anything unconditionally. In other words, the Pyrrhonist will only assert that some property belongs to some object relative to some observer or relative to some set of circumstances. Thus, he will conditionally affirm some things but he will absolutely deny that any property belongs to anything in every possible circumstance. This seems to be what Aenesidemus meant by “determining nothing,” for his relativized assertions say nothing definite about the nature of the object in question. Such statements take the form: it is not the case that X is by nature F. This is a simple denial that X is always and invariably F, though of course X may be F in some cases. But such statements are importantly different from those of the form: X is by nature not-F. For these sorts of statements affirm that X is invariably not-F and that there can be no cases of X that exhibit the property F. The only acceptable form of expression for Aenesidemus then seems to be statements that may sometimes be false (See Woddruff [1988] for this interpretation, also Bett 2000).

ii. The Ten Modes

The kinds of conclusion that Aenesidemus countenanced as a Pyrrhonist can more clearly be seen by considering the kinds of arguments he advanced to reach them. He apparently produced a set of skeptical argument forms, or modes, for the purpose of refuting dogmatic claims regarding the natures of things. Sextus Empiricus discusses one such group, the Ten Modes, in some detail (PH 1.35-163, M 7.345, see also Diogenes Laertius’ account of the Ten Modes at 9.79-88, and the partial account in Philo of Alexandria, On Drunkenness 169-205, and see Annas and Barnes [1985] for detailed and critical discussion of all ten modes).

The first mode is designed to show that it is not reasonable to suppose that the way the world appears to us humans is more accurate than the incompatible ways it appears to other animals. This will force us to suspend judgment on the question of how these things are by nature, in and of themselves, insofar as we have no rational grounds on which to prefer our appearances and insofar as we are not willing to accept that something can have incompatible properties by nature. If, for example, manure appears repulsive to humans and delightful to dogs, we are unable to say that it really is, in its nature, either repulsive or delightful, or both repulsive and delightful. It is no more delightful than not-delightful, and no more repulsive than not-repulsive, (again, in its nature).

Just as the world appears in incompatible ways to members of different species, so too does it appear incompatibly to members of the same species. Thus, the second mode targets the endless disagreements among dogmatists. But once again, we will find no rational ground to prefer our own view of things, for if an interested party makes himself judge, we should be suspicious of the judgment he reaches, and not accept it.

The third mode continues the line of reasoning developed in the first two. Just as the world appears in incompatible ways to different people, it also appears incompatibly to the different senses of one and the same person. So, for example, painted objects seem to have spatial dimensions that are not revealed to our sense of touch. Similarly, perfume is pleasant to the nose but disgusting to the tongue. Thus, perfume is no more pleasant than not-pleasant.

The fourth mode shows that differences in the emotional or physical state of the perceiver affects his perception of the world. Being in love, calm and warm, one will experience the cold wind that comes in with his beloved quite differently than if he is angry and cold. We are unable to adjudicate between these incompatible experiences of the cold wind because we have no rational grounds on which to prefer our experience in one set of circumstances to our experience in another. One might say that we should give preference to the experiences of those who are healthy, sane and calm as that is our natural state. But in response, we may employ the second mode to challenge the notion of a single, healthy condition that is universally applicable.

The fifth mode shows that differences in location and position of an observed object relative to the observer will greatly affect the way the object appears. Here we find the oar that appears bent in water, the round tower that appears square from a distance, and the pigeon’s neck that changes color as the pigeon moves. These features are independent of the observer in a way that the first four modes are not. But similar to the first four, in each case we are left without any rational grounds on which to prefer some particular location or position over another. Why should we suppose, for example, that the pigeon’s neck is really green rather than blue? And if we should propose some proof, or theory, in support of it being really blue, we will have to face the skeptic’s demand for further justification of that theory, which will set off an infinite regress.

The sixth mode claims that nothing can be experienced in its simple purity but is always experienced as mixed together with other things, either internally in its composition or externally in the medium in which it is perceived. This being the case, we are unable to ever experience the nature of things, and thus are unable to ever say what that nature is.

The seventh mode appeals to the way different effects are produced by altering the quantity and proportions of things. For example, too much wine is debilitating but the right amount is fortifying. Similarly, a pile of sand appears smooth, but individual grains appear rough. Thus, we are led to conclude that wine is no more debilitating than fortifying and sand is no more smooth than rough, in their natures.

The eighth mode, from relativity, is a paradigm for the whole set of modes. It seeks to show, in general, that something appears to have the property F only relative to certain features of the perceiving subject or relative to certain features of the object. And, once again, insofar as we are unable to prefer one set of circumstances to another with respect to the nature of the object, we must suspend judgment about those natures.

The ninth modes points out that the frequency of encountering a thing affects the way that thing appears to us. If we see something that we believe to be rare it will appear more valuable. And when we encounter some beautiful thing for the first time it will seem more beautiful or striking than it appears after we become familiar with it. Thus, we must conclude, for example, that a diamond is no more valuable than worthless.

Finally, the tenth mode, which bears on ethics, appeals to differences in customs and law, and in general, to differences in the ways we evaluate the world. For some, homosexuality is acceptable and good, and to others it is unacceptable and bad. In and of itself, homosexuality is neither good nor bad, but only relative to some way of evaluating the world. And again, since we are unable to prefer one set of values to another, we are led to the conclusion that we must suspend judgment, this time with respect to the intrinsic value of things.

In each of these modes, Aenesidemus seems to be advancing a sort of relativism: we may only say that some object X has property F relative to some observer or set of circumstances, and not absolutely. Thus his skepticism is directed exclusively at a version of Essentialism; in this case, the view that some object has property F in any and every circumstance. A further question is whether Aenesidemus intends his attack on Essentialism to be ontological or epistemological. If it is epistemological, then he is claiming that we simply cannot know what the nature or essence of some thing is, or even whether it has one. This seems most likely to have been Aenesidemus’ position since Photius’ summary begins with the remark that the overall aim of the Pyrrhoneia is to show that there is no firm basis for cognition. Similarly, the modes seem to be exclusively epistemological insofar as they compel us to suspend judgment; they are clearly designed to force the recognition that no perspective can be rationally preferred to any other with respect to real natures, or essences. By contrast, the ontological view that there are no essences, is not compatible with suspending judgment on the question.

iii. Tranquility

We do not have enough evidence to determine precisely why Aenesidemus found inspiration in Pyrrho. One important point, however, is that they both promote a connection between tranquility and an acceptance of our epistemic limitations (see Bett [2000] for an elaboration of this view). Diogenes Laertius attributes the view to both Anesidemus and the followers of Timon that as a result of suspending judgment, freedom from disturbance (ataraxia) will follow as a shadow (DL 9.107-8). Similarly, Photius reports Aenesidemus’ view that those who follow the philosophy of Pyrrho will be happy, whereas by contrast, the dogmatists will wear themselves out in futile and ceaseless theorizing (Bib. 169b12-30, LS 71C). Although there seem to be important differences in what Pyrrho and Aenesidemus understood by our epistemic limitations, they both promoted tranquility as the goal, or at least end product. In general terms the idea is clear enough: the way to a happy, tranquil existence is to live in accordance with how things seem, including especially our evaluative impressions of the world. Rather than trying to uncover some hidden reality, we should accept our limitations, operate in accordance with custom and habit, and not be disturbed by what we cannot know (see Striker [1990/1996]).

c. Sextus Empiricus

We know very little about Sextus Empiricus, aside from the fact that he was a physician. He may have been alive as early as the 2nd Century C.E. or as late as the 3rd Century C.E. We cannot be certain as to where he lived, or where he practiced medicine, or where he taught, if indeed he did teach. In addition to his philosophical books, he also wrote some medical treatises (referred to at M 7.202, 1.61) which are no longer extant.

There are three philosophical works that have survived. Two of these works are grouped together under the general heading, Adversus Mathematikos-which may be translated as Against the Learned, or Against the Professors, i.e. those who profess to know something worth teaching. This grouping is potentially misleading as the first group of six books (chapters, by current standards) are complete and form a self-contained whole. In fact Sextus refers to them with the title Skeptical Treatises. Each of these books target some specific subject in which people profess to be experts, thus: grammar, rhetoric, mathematics, geometry, astrology and music. These are referred to as M 1 through 6, respectively.

There are five additional books in the second set grouped under the heading Adversus Mathematikos:two books containing arguments against the Logicians (M 7, 8), two books against the Physicists (M 9, 10), and one book against the Ethicists (M 11). This set of books is apparently incomplete since the opening of M 7 refers back to a general outline of skepticism that is in none of the extant books of M.

The third work is the Outlines of Pyrrhonism, in three books. The first book provides an outline summary of Pyrrhonian skepticism and would correspond to the missing portion of M. Books 2 and 3 provide arguments against the Logicians, Physicists and Ethicists, corresponding to M 7 through 11. The discussion in PH tends to be much more concise and carefully worded, though there is greater detail and development of many of the same arguments in M. The nature of the relation between these three works is much disputed, especially since the view presented in PH seems to be incompatible with large portions of M (see Bett [1997]).

The following discussion is limited to the views presented in PH.

i. General Account of Skepticism

Sextus begins his overview of Pyrrhonian skepticism by distinguishing three fundamental types of philosopher: dogmatists, who believe they have discovered the truth; Academics (negative dogmatists), who believe the truth cannot be discovered; and skeptics, who continue to investigate, believing neither that anyone has so far discovered the truth nor that it is impossible to do so. Although his characterization of Academics is probably polemical and unfair, the general distinctions he makes are important.

Sextus understands the skeptic, at least nominally as Pyrrho and Aenesidemus do, as one who by suspending judgment determines nothing, and enjoys tranquility as a result. But, as we will see, his conception of suspending judgment is considerably different from his predecessors’.

ii. The Path to Skepticism

According to Sextus, one does not start out as a skeptic, but rather stumbles on to it. Initially, one becomes troubled by the kinds of disagreements focused on in Aenesidemus’ modes and seeks to determine which appearances accurately represent the world and which explanations accurately reveal the causal histories of events. The motivation for figuring things out, Sextus asserts, is to become tranquil, i.e. to remove the disturbance that results from confronting incompatible views of the world. As the proto-skeptic attempts to sort out the evidence and discover the privileged perspectiveor the correct theory, he finds that for each account that purports to establish something true about the world there is another, equally convincing account, that purports to establish an opposed and incompatible view of the same thing. Being faced with this equipollence, he is unable to assent to either of the opposed accounts and thereby suspends judgment. This, of course, is not what he set out to do. But by virtue of his intellectual integrity, he is simply not able to arrive at a conclusion and so he finds himself without any definite view. What he also finds is that the tranquility that he originally thought would come only by arriving at the truth, follows upon his suspended judgment as a shadow follows a body.

Sextus provides a vivid story to illustrate this process. A certain painter, Apelles, was trying to represent foam on the mouth of the horse he was painting. But each time he applied the paint he failed to get the desired effect. Growing frustrated, he flung the sponge, on which he had been wiping off the paint, at the picture, inadvertently producing the effect he had been struggling to achieve (PH 1.28-29). The analogous point in the case of seeking the truth is that the desired tranquility only comes indirectly, not by giving up the pursuit of truth, but rather by giving up the expectation that we must acquire truth to get tranquility. It is a strikingly Zen-like point: one cannot intentionally acquire a peaceful, tranquil state but must let it happen as a result of giving up the struggle. But again, giving up the struggle for the skeptic does not mean giving up the pursuit of truth. The skeptic continues to investigate in order to protect himself against the deceptions and seductions of reason that lead to our holding definite views.

Arriving at definite views is not merely a matter of intellectual dishonesty, Sextus thinks; more importantly, it is the main source of all psychological disturbance. For those who believe that things are good or bad by nature, are perpetually troubled. When they lack what they believe to be good their lives must seem seriously deficient if not outright miserable, and they struggle as much as possible to acquire those things. But when they finally have what they believe to be good, they spend untold effort in maintaining and preserving those things and live in fear of losing them (PH 1.27).

Sextus’ diagnosis is not limited to evaluative beliefs, however. This is clear by virtue of the fact that he provides extensive arguments against physical and logical (broadly speaking, scientific and epistemological) theories also. How, then, do such beliefs contribute to the psychological disturbances that Sextus seeks to eliminate? The most plausible reply is that any such belief that we find Sextus arguing against in PH is one that will inevitably contribute to one’s evaluations of the world and thus will contribute to the intense strivings that characterize disturbance. An examination of a sample of the logical and physical theses that Sextus’ discusses bears this out. Many of these beliefs played foundational roles in the Epicurean or Stoic systems, and thus were employed to establish ethical and evaluative beliefs. Believing that the physical world is composed of invisible atoms, for example, would not, by itself, produce any disturbance since we must draw inferences from this belief in order for it to have any significance for us with respect to choice and avoidance. So it is more appropriate to look past the disturbance that may be produced by individual, isolated beliefs, and consider instead the effect of accepting a system of interrelated, mutually supporting dogmatic claims.

iii. The Modes of Agrippa

As a supplement to the Ten Modes of Aenesidemus (as well as his Eight Modes aimed at causal explanations, see PH 1.180-85, and Hankinson [1998]), Sextus offers a set of Five Modes (PH 1.164-77) and Two Modes (PH 1.178-79) employed by “more recent skeptics.” We may gather from Diogenes (9.88) that the more recent skeptic referred to is Agrippa. It is important to point out that Sextus merely reports these modes, he does not endorse them at a theoretical level. That is, he does not claim that they possess any sort of logical standing, e.g. that they are guaranteed to reveal a flaw in dogmatic positions, or that they represent some ideal form of reasoning. Instead, we should think of these modes as part of the general account of skepticism, with which the skeptic’s practice coheres (PH 1.16-17). In other words, these modes simply describe the way Sextus and his fellow skeptics behave dialectically.

Agrippa’s Five Modes relies on the prevalence of dispute and repeats the main theme of Aenesidemus’ Modes: we are frequently faced with dissenting opinions regarding the same matter and yet we have no adequate grounds on which to prefer one view over another. Should a dogmatist offer an account of such grounds, the skeptic may then request further justification, thereby setting off an infinite regress. And presumably, we should not be willing to accept an explanation that is never complete, i.e. one that requires further explaining itself. Should the dogmatist try to put a stop to the regress by means of a hypothesis, the skeptic will refuse to accept the claim without proof, perhaps citing alternative, incompatible hypotheses. And finally, the skeptic will refuse to allow the dogmatist to support his explanation by what he is supposed to be explaining, disallowing any circular reasoning. And of course the skeptic may also avail himself of the observation that what is being explained only appears as it does relative to some relevant conditions, and thus, contrary to the dogmatist’s presumption, there is no one thing to be explained in the first place (see Barnes [1990]).

iv. Skepticism vs. Relativism

Sextus employs these skeptical modes towards quite a different goal from Aenesidemus’. Aenesidemus, as we have seen, countenances relativistic assertions of the form, X is no more F than not F. This is to say that although X is not really, in its nature, F, it is still genuinely F in some particular circumstance. And it is acceptable for the Aenesidemean skeptic to believe that this is the case. But for Sextus, the skeptical refrain, “I determine nothing” excludes relativistic beliefs as well. It is not acceptable for Sextus to believe that X is F, even with relativistic disclaimers. Instead, Sextus would have us refrain from believing even that X is no more F than not-F. Thus, suspension of judgment extends farther for Sextus than it does for Aenesidemus.

v. The Skeptical Life

So, skepticism is an ability to discover opposed arguments of equal persuasive force, the practice of which leads first to suspension of judgment and afterwards, fortuitously, to tranquility. This makes Sextus’ version of Pyrrhonian skepticism dramatically different from other Western philosophical positions, for it is a practice or activity rather than a set of doctrines. Indeed, insofar as the skeptic is supposed to live without belief (adoxastôs), he could not consistently endorse any philosophical doctrine. But how is it possible to live without beliefs?

The short answer is that one may simply follow appearances and withhold judgment as to whether the world really is as it appears. This seems plausible with respect to physical perceptions, but appearances for Sextus include evaluations, and this creates a complication. For how can the skeptic say “this appears good (or bad) to me, but I don’t believe that it is really good or bad”? It seems that there is no difference between evaluative appearances and evaluative beliefs.

One possible response to this problem is to say that Sextus only targets sophisticated, philosophical theories about value, or about physics or logic, but allows everyday attitudes and beliefs to stand. On this view, skepticism is a therapy designed to cure the disease of academics and theoreticians. But it seems that Sextus intends his philosophical therapy to be quite widely applicable. The skeptical life, as he presents it, is an achievement and not merely the recovering of a native innocence lost to philosophical speculation. (See Burnyeat and Frede [1997], Brennan [1999] for the debate regarding what the skeptic is supposed to suspend judgment about.)

Any answer to the question about how the skeptic may live without beliefs will depend on what sort of beliefs we think the skeptic avoids. Nevertheless, an elaboration on living in accordance with appearances comes in the form of the fourfold observances. Rather than investigate the best way to live or even what to do in some particular circumstance, Sextus remarks that the skeptic will guide his actions by (1) nature, (2) necessitation by feelings, (3) laws and customs, and (4) kinds of expertise (PH 1.23-24). Nature provides us with the capacity for perception and thought, and we may use these capacities insofar as they don’t lead us to dogmatic belief. Similarly, hunger and thirst will drive us towards food and drink without our having to form any explicit beliefs regarding those physical sensations. One need not accept any nutritional theories to adequately and appropriately respond to hunger and thirst. Laws and customs will inform us of the appropriate evaluations of things. We need not actually believe that the gods exist and that they are benevolent to take part in religious ceremonies or even to act in a manner that is (or at least appears) pious. But note that the skeptic will neither believe that the gods exist nor that they do not exist-he is neither a theist nor an atheist, but agnostic in a very robust sense. And finally, the skeptic may practice some trade or profession without accepting any theories regarding his practice. For example, a carpenter need not have any theoretical or geometrical views about doors in order to be skillful at hanging them. Similarly, a doctor need not accept any physiological theories to successfully heal his patients. The further question, recalling the dispute explored in Burnyeat and Frede [1997], is whether the skeptic merely avoids sophisticated, theoretical beliefs in employing these observances, or whether he avoids all beliefs whatsoever.

4. Skepticism and the Examined Life

A unifying feature of the varieties of ancient skepticism is that they are all concerned with promoting, in some manner of speaking, the benefits of recognizing our epistemic limitations. Thus, ancient skeptics nearly always have something to say about how one may live, and indeed live well, in the absence of knowledge.

The fallibilism that developed in Plato’s Academy should be seen in this light. Rather than forego the potential benefits of an examination aimed at acquiring better beliefs, the later Academics opted for a less ambitious criterion, one that would give them merely reliable beliefs. Nonetheless, they maintained a thoroughly skeptical attitude towards the possibility of attaining certainty, but without claiming to have conclusively ruled it out.

The more radical skepticism that we find in Sextus’ Outlines of Pyrrhonism suggests a move in a different direction. Rather than explain how or why we should trust the skeptical employment of reason, Sextus avoids the problem altogether by, in effect, refusing to answer. Instead, he would suggest that we consider the reasons in support of some particular answer and the reasons opposed in accordance with the skeptical ability so that we may regain tranquility.

5. Greek and Latin Texts, Commentaries, and Translations

General:

  • Long and Sedley, eds. (1987), The Hellenistic Philosophers, (Cambridge: Cambridge University Press), is a good place to start. These volumes contain selections from the primary sources grouped by topic. See volume 1, sections 68-72 and the following commentaries (pp. 438-488) for readings on Academic and Pyrrhonian skepticism, and sections 1-3 with commentaries (pp. 13-24) for readings on Pyrrho. Volume 2 contains the original Greek and Latin texts corresponding to the translations in volume 1.
  • Inwood and Gerson, eds. (1988), Hellenistic Philosophy: Introductory Readings, Indianapolis: Hackett), also contains translated selections from the primary sources for Academic and Pyrrhonian skepticism.
  • Annas and Barnes, eds. (1985), The Modes Of Scepticism, (Cambridge: Cambridge University Press), is a very useful arrangement and translation of the texts that discuss the different varieties of Pyrrhonian argumentation.

For the Greek edition of Photius’ summary of Aenesidemus, see R. Henry, ed. (1962), Photius: Bibliothêque, Tome III, (Paris). For a very readable translation, informative introduction and notes, see N.G. Wilson (1994), Photius: The Bibliotheca, (London: Duckworth).

There have been some recently updated and much improved translations and commentaries on Sextus Empiricus.

  • Annas, J. and J. Barnes (1994), Sextus Empiricus: Outlines of Scepticism, (Cambridge: Cambridge University Press.
  • Bett, R. (1997), Sextus Empiricus: Against the Ethicists (Adversus Mathematikos XI),(Oxford: Oxford University Press).
  • Blank, D. (1998), Sextus Empiricus: Against the Grammarians (Adversus Mathematikos I),(Oxford: Oxford University Press).
  • Greaves, D.D. (1986), Sextus Empiricus: Against the Musicians (Adversus Mathematikos VI), (Lincoln: University of Nebraska Press).
  • Mates, B. (1996), The Skeptic Way: Sextus Empiricus’s Outlines of Pyrrhonism, Translated with Introduction and Commentary, (Oxford: Oxford University Press).

Many of the primary texts can be found in the Loeb series, which contains facing pages of text in the original language and translation. Among the most important are (all published by Harvard University Press):

  • Bury, R.G. (1933), trans., Sextus Empiricus: Outlines of Pyrrhonism.
  • Bury, R.G. (1935), trans., Sextus Empiricus: Against the Logicians
  • Bury, R.G. (1936), trans., Sextus Empiricus: Against the Physicists, Against the Ethicists.
  • Bury, R.G. (1949), trans., Sextus Empiricus: Against the Professors. Hicks, R.D. (1925), trans.,Diogenes Laertius: Lives of Eminent Philosophers, vols. 1 and 2.
  • Rackham, H. (1933), trans., Cicero: De Natura Deorum, Academica.
  • Rackham, H. (1914), trans., Cicero: De Finibus Bonorum et Malorum.

6. References and Further Reading

  • Annas, J., (1996), “Scepticism, Old and New,” in M. Frede and G. Striker, eds., Rationality in Greek Thought, (Oxford: Clarendon).
  • Annas, J. (1993), The Morality of Happiness, (Oxford: Oxford University Press).
  • Annas, J. (1992), “Plato the Sceptic,” in J. Klagge and N. Smith, eds., Oxford Studies in Ancient Philosophy, Supp. Vol., 43-72.
  • Annas, J. (1990), “Stoic Epistemology,” in S. Everson, ed., Epistemology, (Cambridge: Cambridge University Press).
  • Annas, J. (1986), “Doing Without Objective Values: Ancient and Modern Strategies,” in M. Schofield, et. al., eds., Norms of Nature (Cambridge: Cambridge University Press).
  • Barnes, J. (1990), The Toils of Scepticism, (Cambridge: Cambridge University Press).
  • Bett, R. (2000), Pyrrho, his antecedents, and his legacy, (Oxford: Oxford University Press).
  • Bett, R. (1990), “Carneades’ Distinction Between Approval and Assent,” Monist 73.1: 3-20.
  • Bett, R. (1993), “Scepticism and Everyday Attitudes in Ancient and Modern Philosophy,” Metaphilosophy24.4: 363-81.
  • Bett, R. (1989), “Carneades’ pithanon: A Reappraisal of its Role and Status,” Oxford Studies in Ancient Philosophy 7: 59-94.
  • Brennan, T. (1999), Ethics and Epistemology in Sextus Empiricus, (New York: Garland).
  • Brittain, C. (2001), Philo of Larissa, (Oxford: Oxford University Press).
  • Burnyeat, M. (1984), “The Sceptic in his Place and Time,” in Rorty, Schneewind and Skinner, eds.,Philosophy in History, (Cambridge: Cambridge University Press), 225-54, reprinted in Burnyeat and Frede, eds. (1997).
  • Burnyeat, M. and M. Frede, Eds. (1997), The Original Sceptics: A Controversy, (Indianapolis: Hackett).
  • Burnyeat, M., Ed. (1983), The Skeptical Tradition, (Berkeley: University of California Press).
  • Colish, M. (1985), The Stoic Tradition From Antiquity to the Early Middle Ages, vol. 1, (Leiden: Brill).
  • Couissin, P. (1929), “Le Stoicisme de la nouvelle Academie,” Revue d’historie de la philosophie 3: 241-76, tr. by Jennifer Barnes and M. Burnyeat as “The Stoicism of the New Academy,” in M. Burnyeat, Ed. (1983) 31-63.
  • Flintoff, E. (1980), “Pyrrho and India,” Phronesis 25: 88-108.
  • Fogelin, R. (1994), Pyrrhonian Reflections on Knowledge and Justification, (Oxford: Oxford University Press).
  • Frede, D. (1996) “How Sceptical Were the Academic Sceptics?,” in R.H. Popkin, ed., Scepticism in the History of Philosophy: A Pan-American Dialogue, 1-26, (Dordrecht: Kluwer Academic).
  • Frede, M. (1987), Essays in Ancient Philosophy, (Minneapolis: University of Minnesota Press).
  • Frede, M. (1983/1987), “Stoics and Skeptics on Clear and Distinct Impressions” in M. Burnyeat, ed., (1983), reprinted in Frede (1987), 151-78.
  • Griffin, M. (1997), “The Composition of the Academica: Motives and Versions” in Inwood and Mansfeld, eds. (1997), 1-35.
  • Glucker, J. (1995), “Probabile, Veri Simile, and Related Terms,” in J.G.F. Powell, ed., Cicero the Philosopher: Twelve Papers, (Oxford: Oxford University Press).
  • Glucker, J. (1978), Antiochus and the Late Academy, (Gottingen: Vandenhoeck und Ruprecht).
  • Hankinson, R.J. (1998), Cause and Explanation in Ancient Greek Thought, (Oxford: Oxford University Press).
  • Hankinson, R.J. (1997), “Natural Criteria and the Transparency of Judgement: Antiochus, Philo and Galen on Epistemological Justification,” in B. Inwood and J. Mansfeld, Eds. (1997), 161-216.
  • Hankinson, R.J. (1995), The Sceptics, (London: Routledge).
  • Inwood, B., and J. Mansfeld, Eds. (1997), Assent and Argument: Studies in Cicero’s Academic Books, (Leiden: Brill).
  • Long, A.A. (1974), Hellenistic Philosophy: Stoics, Epicureans and Sceptics, (Berkeley: University of California Press).
  • Long, A.A. (1986), “Diogenes Laertius’ Life of Arcesilaus,” Elenchos 7: 432-49.
  • Long, A.A. (1988), “Socrates in Hellenistic Philosophy,” Classical Quarterly 38: 150-71.
  • MacKendrick, P. (1989), The Philosophical Books of Cicero, (New York: St. Martin’s Press).
  • Maconi, H. (1988), “Nova non philosophandi philosophia: A review of Anna Maria Ioppolo,Opinione e Scienza,” Oxford Studies in Ancient Philosophy 6: 231-253.
  • Mansfeld, J. (1997), “Philo and Antiochus in the Lost Catulus,” Mnemosyne 50.1: 45-74.
  • Popkin, R. (1979), The History of Scepticism from Erasmus to Spinoza, (Berkeley: University of California Press).
  • Powell, J.G.F. (1995), Cicero the Philosopher: Twelve Papers, (Oxford: Oxford University Press).
  • Schmitt, C. (1972), Cicero Scepticus, (The Hague: Nijhoff).
  • Shields, C. (1994), “Socrates Among the Sceptics,” in P. Vander Waerdt, Ed. (1994), The Socratic Movement, (Ithaca: Cornell University Press).
  • Sihvola, J., ed. (2000), Ancient Scepticism and the Sceptical Tradition, (Helsinki : Philosophical Society of Finland).
  • Striker, G. (1996), Essays on Hellenistic Epistemology and Ethics, (Cambridge: Cambridge University Press).
  • Striker, G. (1990/1996), “Ataraxia: Happiness as Tranquility” Monist 73: 97-110, repr. in Striker (1996), 183-195.
  • Striker, G. (1981/1996), “Uber den Unterschied zwischen den Pyrrhoneern und den Akademikern,”Phronesis 26: 153-71, repr. and transl. by M.M. Lee as “On the Difference Between the Pyrrhonists and the Academics” in Striker (1996), 135-49.
  • Striker, G. (1980/1996), “Sceptical Strategies,” in M. Schofield, M. Burnyeat, and J. Barnes, Eds. (1980),Doubt and Dogmatism, 54-83, repr. in Striker (1996), 92-115.
  • Tarrant, H. (1985), Scepticism or Platonism: the Philosophy of the 4th Academy, (Cambridge: Cambridge University Press).
  • Thorsrud, H. (2002), “Cicero on His Academic Predecessors: the Fallibilism of Arcesilaus and Carneades,” Journal of the History of Philosophy 40: 1-18.
  • Woodruff , P. (1988), “Aporetic Pyrrhonism,” Oxford Studies in Ancient Philosophy 6: 139-68.
  • Woodruff , P. (1986), “The Skeptical Side of Plato’s Method,” Revue International de Philosophie 156-57: 22-37.

Author Information

Harald Thorsrud
Email: hthorsrud@agnesscott.edu
New Mexico State University
U. S. A.

Social Contract Theory

Social contract theory, nearly as old as philosophy itself, is the view that persons’ moral and/or political obligations are dependent upon a contract or agreement among them to form the society in which they live. Socrates uses something quite like a social contract argument to explain to Crito why he must remain in prison and accept the death penalty. However, social contract theory is rightly associated with modern moral and political theory and is given its first full exposition and defense by Thomas Hobbes. After Hobbes, John Locke and Jean-Jacques Rousseau are the best known proponents of this enormously influential theory, which has been one of the most dominant theories within moral and political theory throughout the history of the modern West. In the twentieth century, moral and political theory regained philosophical momentum as a result of John Rawls’ Kantian version of social contract theory, and was followed by new analyses of the subject by David Gauthier and others. More recently, philosophers from different perspectives have offered new criticisms of social contract theory. In particular, feminists and race-conscious philosophers have argued that social contract theory is at least an incomplete picture of our moral and political lives, and may in fact camouflage some of the ways in which the contract is itself parasitical upon the subjugations of classes of persons.

Table of Contents

  1. Socrates’ Argument
  2. Modern Social Contract Theory
    1. Thomas Hobbes
    2. John Locke
    3. Jean-Jacques Rousseau
  3. More Recent Social Contract Theories
    1. John Rawls’ A Theory of Justice
    2. David Gauthier
  4. Contemporary Critiques of Social Contract Theory
    1. Feminist Arguments
      1. The Sexual Contract
      2. The Nature of the Liberal Individual
      3. Arguing from Care
    2. Race-Conscious Argument
  5. Conclusion
  6. References and Further Reading

1. Socrates’ Argument

In the early Platonic dialogue, Crito, Socrates makes a compelling argument as to why he must stay in prison and accept the death penalty, rather than escape and go into exile in another Greek city. He personifies the Laws of Athens, and, speaking in their voice, explains that he has acquired an overwhelming obligation to obey the Laws because they have made his entire way of life, and even the fact of his very existence, possible. They made it possible for his mother and father to marry, and therefore to have legitimate children, including himself. Having been born, the city of Athens, through its laws, then required that his father care for and educate him. Socrates’ life and the way in which that life has flourished in Athens are each dependent upon the Laws. Importantly, however, this relationship between citizens and the Laws of the city are not coerced. Citizens, once they have grown up, and have seen how the city conducts itself, can choose whether to leave, taking their property with them, or stay. Staying implies an agreement to abide by the Laws and accept the punishments that they mete out. And, having made an agreement that is itself just, Socrates asserts that he must keep to this agreement that he has made and obey the Laws, in this case, by staying and accepting the death penalty. Importantly, the contract described by Socrates is an implicit one: it is implied by his choice to stay in Athens, even though he is free to leave.

In Plato’s most well-known dialogue, Republic, social contract theory is represented again, although this time less favorably. In Book II, Glaucon offers a candidate for an answer to the question “what is justice?” by representing a social contract explanation for the nature of justice. What men would most want is to be able to commit injustices against others without the fear of reprisal, and what they most want to avoid is being treated unjustly by others without being able to do injustice in return. Justice then, he says, is the conventional result of the laws and covenants that men make in order to avoid these extremes. Being unable to commit injustice with impunity (as those who wear the ring of Gyges would), and fearing becoming victims themselves, men decide that it is in their interests to submit themselves to the convention of justice. Socrates rejects this view, and most of the rest of the dialogue centers on showing that justice is worth having for its own sake, and that the just man is the happy man. So, from Socrates’ point of view, justice has a value that greatly exceeds the prudential value that Glaucon assigns to it.

These views, in the Crito and the Republic, might seem at first glance inconsistent: in the former dialogue Socrates uses a social contract type of argument to show why it is just for him to remain in prison, whereas in the latter he rejects social contract as the source of justice. These two views are, however, reconcilable. From Socrates’ point of view, a just man is one who will, among other things, recognize his obligation to the state by obeying its laws. The state is the morally and politically most fundamental entity, and as such deserves our highest allegiance and deepest respect. Just men know this and act accordingly. Justice, however, is more than simply obeying laws in exchange for others obeying them as well. Justice is the state of a well-regulated soul, and so the just man will also necessarily be the happy man. So, justice is more than the simple reciprocal obedience to law, as Glaucon suggests, but it does nonetheless include obedience to the state and the laws that sustain it. So in the end, although Plato is perhaps the first philosopher to offer a representation of the argument at the heart of social contract theory, Socrates ultimately rejects the idea that social contract is the original source of justice.

2. Modern Social Contract Theory

a. Thomas Hobbes

Thomas Hobbes, 1588-1679, lived during the most crucial period of early modern England’s history: the English Civil War, waged from 1642-1648. To describe this conflict in the most general of terms, it was a clash between the King and his supporters, the Monarchists, who preferred the traditional authority of a monarch, and the Parliamentarians, most notably led by Oliver Cromwell, who demanded more power for the quasi-democratic institution of Parliament. Hobbes represents a compromise between these two factions. On the one hand he rejects the theory of the Divine Right of Kings, which is most eloquently expressed by Robert Filmer in his Patriarcha or the Natural Power of Kings, (although it would be left to John Locke to refute Filmer directly). Filmer’s view held that a king’s authority was invested in him (or, presumably, her) by God, that such authority was absolute, and therefore that the basis of political obligation lay in our obligation to obey God absolutely. According to this view, then, political obligation is subsumed under religious obligation. On the other hand, Hobbes also rejects the early democratic view, taken up by the Parliamentarians, that power ought to be shared between Parliament and the King. In rejecting both these views, Hobbes occupies the ground of one who is both radical and conservative. He argues, radically for his times, that political authority and obligation are based on the individual self-interests of members of society who are understood to be equal to one another, with no single individual invested with any essential authority to rule over the rest, while at the same time maintaining the conservative position that the monarch, which he called the Sovereign, must be ceded absolute authority if society is to survive.

Hobbes’ political theory is best understood if taken in two parts: his theory of human motivation, Psychological Egoism, and his theory of the social contract, founded on the hypothetical State of Nature. Hobbes has, first and foremost, a particular theory of human nature, which gives rise to a particular view of morality and politics, as developed in his philosophical masterpiece, Leviathan, published in 1651. The Scientific Revolution, with its important new discoveries that the universe could be both described and predicted in accordance with universal laws of nature, greatly influenced Hobbes. He sought to provide a theory of human nature that would parallel the discoveries being made in the sciences of the inanimate universe. His psychological theory is therefore informed by mechanism, the general view that everything in the universe is produced by nothing other than matter in motion. According to Hobbes, this extends to human behavior. Human macro-behavior can be aptly described as the effect of certain kinds of micro-behavior, even though some of this latter behavior is invisible to us. So, such behaviors as walking, talking, and the like are themselves produced by other actions inside of us. And these other actions are themselves caused by the interaction of our bodies with other bodies, human or otherwise, which create in us certain chains of causes and effects, and which eventually give rise to the human behavior that we can plainly observe. We, including all of our actions and choices, are then, according to this view, as explainable in terms of universal laws of nature as are the motions of heavenly bodies. The gradual disintegration of memory, for example, can be explained by inertia. As we are presented with ever more sensory information, the residue of earlier impressions ‘slows down’ over time. From Hobbes’ point of view, we are essentially very complicated organic machines, responding to the stimuli of the world mechanistically and in accordance with universal laws of human nature.

In Hobbes’ view, this mechanistic quality of human psychology implies the subjective nature of normative claims. ‘Love’ and ‘hate’, for instance, are just words we use to describe the things we are drawn to and repelled by, respectively. So, too, the terms ‘good’ and ‘bad’ have no meaning other than to describe our appetites and aversions. Moral terms do not, therefore, describe some objective state of affairs, but are rather reflections of individual tastes and preferences.

In addition to Subjectivism, Hobbes also infers from his mechanistic theory of human nature that humans are necessarily and exclusively self-interested. All men pursue only what they perceive to be in their own individually considered best interests – they respond mechanistically by being drawn to that which they desire and repelled by that to which they are averse. This is a universal claim: it is meant to cover all human actions under all circumstances – in society or out of it, with regard to strangers and friends alike, with regard to small ends and the most generalized of human desires, such as the desire for power and status. Everything we do is motivated solely by the desire to better our own situations, and satisfy as many of our own, individually considered desires as possible. We are infinitely appetitive and only genuinely concerned with our own selves. According to Hobbes, even the reason that adults care for small children can be explicated in terms of the adults’ own self-interest (he claims that in saving an infant by caring for it, we become the recipient of a strong sense of obligation in one who has been helped to survive rather than allowed to die).

In addition to being exclusively self-interested, Hobbes also argues that human beings are reasonable. They have in them the rational capacity to pursue their desires as efficiently and maximally as possible. Their reason does not, given the subjective nature of value, evaluate their given ends, rather it merely acts as “Scouts, and Spies, to range abroad, and find the way to the things Desired” (139). Rationality is purely instrumental. It can add and subtract, and compare sums one to another, and thereby endows us with the capacity to formulate the best means to whatever ends we might happen to have.

From these premises of human nature, Hobbes goes on to construct a provocative and compelling argument for why we ought to be willing to submit ourselves to political authority. He does this by imagining persons in a situation prior to the establishment of society, the State of Nature.

According to Hobbes, the justification for political obligation is this: given that men are naturally self-interested, yet they are rational, they will choose to submit to the authority of a Sovereign in order to be able to live in a civil society, which is conducive to their own interests. Hobbes argues for this by imagining men in their natural state, or in other words, the State of Nature. In the State of Nature, which is purely hypothetical according to Hobbes, men are naturally and exclusively self-interested, they are more or less equal to one another, (even the strongest man can be killed in his sleep), there are limited resources, and yet there is no power able to force men to cooperate. Given these conditions in the State of Nature, Hobbes concludes that the State of Nature would be unbearably brutal. In the State of Nature, every person is always in fear of losing his life to another. They have no capacity to ensure the long-term satisfaction of their needs or desires. No long-term or complex cooperation is possible because the State of Nature can be aptly described as a state of utter distrust. Given Hobbes’ reasonable assumption that most people want first and foremost to avoid their own deaths, he concludes that the State of Nature is the worst possible situation in which men can find themselves. It is the state of perpetual and unavoidable war.

The situation is not, however, hopeless. Because men are reasonable, they can see their way out of such a state by recognizing the laws of nature, which show them the means by which to escape the State of Nature and create a civil society. The first and most important law of nature commands that each man be willing to pursue peace when others are willing to do the same, all the while retaining the right to continue to pursue war when others do not pursue peace. Being reasonable, and recognizing the rationality of this basic precept of reason, men can be expected to construct a Social Contract that will afford them a life other than that available to them in the State of Nature. This contract is constituted by two distinguishable contracts. First, they must agree to establish society by collectively and reciprocally renouncing the rights they had against one another in the State of Nature. Second, they must imbue some one person or assembly of persons with the authority and power to enforce the initial contract. In other words, to ensure their escape from the State of Nature, they must both agree to live together under common laws, and create an enforcement mechanism for the social contract and the laws that constitute it. Since the sovereign is invested with the authority and power to mete out punishments for breaches of the contract which are worse than not being able to act as one pleases, men have good, albeit self-interested, reason to adjust themselves to the artifice of morality in general, and justice in particular. Society becomes possible because, whereas in the State of Nature there was no power able to “overawe them all”, now there is an artificially and conventionally superior and more powerful person who can force men to cooperate. While living under the authority of a Sovereign can be harsh (Hobbes argues that because men’s passions can be expected to overwhelm their reason, the Sovereign must have absolute authority in order for the contract to be successful) it is at least better than living in the State of Nature. And, no matter how much we may object to how poorly a Sovereign manages the affairs of the state and regulates our own lives, we are never justified in resisting his power because it is the only thing which stands between us and what we most want to avoid, the State of Nature.

According to this argument, morality, politics, society, and everything that comes along with it, all of which Hobbes calls ‘commodious living’ are purely conventional. Prior to the establishment of the basic social contract, according to which men agree to live together and the contract to embody a Sovereign with absolute authority, nothing is immoral or unjust – anything goes. After these contracts are established, however, then society becomes possible, and people can be expected to keep their promises, cooperate with one another, and so on. The Social Contract is the most fundamental source of all that is good and that which we depend upon to live well. Our choice is either to abide by the terms of the contract, or return to the State of Nature, which Hobbes argues no reasonable person could possibly prefer.

Given his rather severe view of human nature, Hobbes nonetheless manages to create an argument that makes civil society, along with all its advantages, possible. Within the context of the political events of his England, he also managed to argue for a continuation of the traditional form of authority that his society had long since enjoyed, while nonetheless placing it on what he saw as a far more acceptable foundation.

b. John Locke

For Hobbes, the necessity of an absolute authority, in the form of a Sovereign, followed from the utter brutality of the State of Nature. The State of Nature was completely intolerable, and so rational men would be willing to submit themselves even to absolute authority in order to escape it. For John Locke, 1632-1704, the State of Nature is a very different type of place, and so his argument concerning the social contract and the nature of men’s relationship to authority are consequently quite different. While Locke uses Hobbes’ methodological device of the State of Nature, as do virtually all social contract theorists, he uses it to a quite different end. Locke’s arguments for the social contract, and for the right of citizens to revolt against their king were enormously influential on the democratic revolutions that followed, especially on Thomas Jefferson, and the founders of the United States.

Locke’s most important and influential political writings are contained in his Two Treatises on Government. The first treatise is concerned almost exclusively with refuting the argument of Robert Filmer’s Patriarcha, that political authority was derived from religious authority, also known by the description of the Divine Right of Kings, which was a very dominant theory in seventeenth-century England. The second treatise contains Locke’s own constructive view of the aims and justification for civil government, and is titled “An Essay Concerning the True Original Extent and End of Civil Government”.

According to Locke, the State of Nature, the natural condition of mankind, is a state of perfect and complete liberty to conduct one’s life as one best sees fit, free from the interference of others. This does not mean, however, that it is a state of license: one is not free to do anything at all one pleases, or even anything that one judges to be in one’s interest. The State of Nature, although a state wherein there is no civil authority or government to punish people for transgressions against laws, is not a state without morality. The State of Nature is pre-political, but it is not pre-moral. Persons are assumed to be equal to one another in such a state, and therefore equally capable of discovering and being bound by the Law of Nature. The Law of Nature, which is on Locke’s view the basis of all morality, and given to us by God, commands that we not harm others with regards to their “life, health, liberty, or possessions” (par. 6). Because we all belong equally to God, and because we cannot take away that which is rightfully His, we are prohibited from harming one another. So, the State of Nature is a state of liberty where persons are free to pursue their own interests and plans, free from interference, and, because of the Law of Nature and the restrictions that it imposes upon persons, it is relatively peaceful.

The State of Nature therefore, is not the same as the state of war, as it is according to Hobbes. It can, however devolve into a state of war, in particular, a state of war over property disputes. Whereas the State of Nature is the state of liberty where persons recognize the Law of Nature and therefore do not harm one another, the state of war begins between two or more men once one man declares war on another, by stealing from him, or by trying to make him his slave. Since in the State of Nature there is no civil power to whom men can appeal, and since the Law of Nature allows them to defend their own lives, they may then kill those who would bring force against them. Since the State of Nature lacks civil authority, once war begins it is likely to continue. And this is one of the strongest reasons that men have to abandon the State of Nature by contracting together to form civil government.

Property plays an essential role in Locke’s argument for civil government and the contract that establishes it. According to Locke, private property is created when a person mixes his labor with the raw materials of nature. So, for example, when one tills a piece of land in nature, and makes it into a piece of farmland, which produces food, then one has a claim to own that piece of land and the food produced upon it. (This led Locke to conclude that America didn’t really belong to the natives who lived there, because they were, on his view, failing to utilize the basic material of nature. In other words, they didn’t farm it, so they had no legitimate claim to it, and others could therefore justifiably appropriate it.) Given the implications of the Law of Nature, there are limits as to how much property one can own: one is not allowed to take more from nature than one can use, thereby leaving others without enough for themselves. Because nature is given to all of mankind by God for its common subsistence, one cannot take more than his own fair share. Property is the linchpin of Locke’s argument for the social contract and civil government because it is the protection of their property, including their property in their own bodies, that men seek when they decide to abandon the State of Nature.

According to Locke, the State of Nature is not a condition of individuals, as it is for Hobbes. Rather, it is populated by mothers and fathers with their children, or families – what he calls “conjugal society” (par. 78). These societies are based on the voluntary agreements to care for children together, and they are moral but not political. Political society comes into being when individual men, representing their families, come together in the State of Nature and agree to each give up the executive power to punish those who transgress the Law of Nature, and hand over that power to the public power of a government. Having done this, they then become subject to the will of the majority. In other words, by making a compact to leave the State of Nature and form society, they make “one body politic under one government” (par. 97) and submit themselves to the will of that body. One joins such a body, either from its beginnings, or after it has already been established by others, only by explicit consent. Having created a political society and government through their consent, men then gain three things which they lacked in the State of Nature: laws, judges to adjudicate laws, and the executive power necessary to enforce these laws. Each man therefore gives over the power to protect himself and punish transgressors of the Law of Nature to the government that he has created through the compact.

Given that the end of “men’s uniting into common-wealths”( par. 124) is the preservation of their wealth, and preserving their lives, liberty, and well-being in general, Locke can easily imagine the conditions under which the compact with government is destroyed, and men are justified in resisting the authority of a civil government, such as a King. When the executive power of a government devolves into tyranny, such as by dissolving the legislature and therefore denying the people the ability to make laws for their own preservation, then the resulting tyrant puts himself into a State of Nature, and specifically into a state of war with the people, and they then have the same right to self-defense as they had before making a compact to establish society in the first place. In other words, the justification of the authority of the executive component of government is the protection of the people’s property and well-being, so when such protection is no longer present, or when the king becomes a tyrant and acts against the interests of the people, they have a right, if not an outright obligation, to resist his authority. The social compact can be dissolved and the process to create political society begun anew.

Because Locke did not envision the State of Nature as grimly as did Hobbes, he can imagine conditions under which one would be better off rejecting a particular civil government and returning to the State of Nature, with the aim of constructing a better civil government in its place. It is therefore both the view of human nature, and the nature of morality itself, which account for the differences between Hobbes’ and Locke’s views of the social contract.

c. Jean-Jacques Rousseau

Jean-Jacques Rousseau, 1712-1778, lived and wrote during what was arguably the headiest period in the intellectual history of modern France–the Enlightenment. He was one of the bright lights of that intellectual movement, contributing articles to the Encyclopdie of Diderot, and participating in the salons in Paris, where the great intellectual questions of his day were pursued.

Rousseau has two distinct social contract theories. The first is found in his essay, Discourse on the Origin and Foundations of Inequality Among Men, commonly referred to as the Second Discourse, and is an account of the moral and political evolution of human beings over time, from a State of Nature to modern society. As such it contains his naturalized account of the social contract, which he sees as very problematic. The second is his normative, or idealized theory of the social contract, and is meant to provide the means by which to alleviate the problems that modern society has created for us, as laid out in the Social Contract.

Rousseau wrote his Second Discourse in response to an essay contest sponsored by the Academy of Dijon. (Rousseau had previously won the same essay contest with an earlier essay, commonly referred to as the First Discourse.) In it he describes the historical process by which man began in a State of Nature and over time ‘progressed’ into civil society. According to Rousseau, the State of Nature was a peaceful and quixotic time. People lived solitary, uncomplicated lives. Their few needs were easily satisfied by nature. Because of the abundance of nature and the small size of the population, competition was non-existent, and persons rarely even saw one another, much less had reason for conflict or fear. Moreover, these simple, morally pure persons were naturally endowed with the capacity for pity, and therefore were not inclined to bring harm to one another.

As time passed, however, humanity faced certain changes. As the overall population increased, the means by which people could satisfy their needs had to change. People slowly began to live together in small families, and then in small communities. Divisions of labor were introduced, both within and between families, and discoveries and inventions made life easier, giving rise to leisure time. Such leisure time inevitably led people to make comparisons between themselves and others, resulting in public values, leading to shame and envy, pride and contempt. Most importantly however, according to Rousseau, was the invention of private property, which constituted the pivotal moment in humanity’s evolution out of a simple, pure state into one characterized by greed, competition, vanity, inequality, and vice. For Rousseau the invention of property constitutes humanity’s ‘fall from grace’ out of the State of Nature.

Having introduced private property, initial conditions of inequality became more pronounced. Some have property and others are forced to work for them, and the development of social classes begins. Eventually, those who have property notice that it would be in their interests to create a government that would protect private property from those who do not have it but can see that they might be able to acquire it by force. So, government gets established, through a contract, which purports to guarantee equality and protection for all, even though its true purpose is to fossilize the very inequalities that private property has produced. In other words, the contract, which claims to be in the interests of everyone equally, is really in the interests of the few who have become stronger and richer as a result of the developments of private property. This is the naturalized social contract, which Rousseau views as responsible for the conflict and competition from which modern society suffers.

The normative social contract, argued for by Rousseau in The Social Contract (1762), is meant to respond to this sorry state of affairs and to remedy the social and moral ills that have been produced by the development of society. The distinction between history and justification, between the factual situation of mankind and how it ought to live together, is of the utmost importance to Rousseau. While we ought not to ignore history, nor ignore the causes of the problems we face, we must resolve those problems through our capacity to choose how we ought to live. Might never makes right, despite how often it pretends that it can.

The Social Contract begins with the most oft-quoted line from Rousseau: “Man was born free, and he is everywhere in chains” (49). This claim is the conceptual bridge between the descriptive work of the Second Discourse, and the prescriptive work that is to come. Humans are essentially free, and were free in the State of Nature, but the ‘progress’ of civilization has substituted subservience to others for that freedom, through dependence, economic and social inequalities, and the extent to which we judge ourselves through comparisons with others. Since a return to the State of Nature is neither feasible nor desirable, the purpose of politics is to restore freedom to us, thereby reconciling who we truly and essentially are with how we live together. So, this is the fundamental philosophical problem that The Social Contract seeks to address: how can we be free and live together? Or, put another way, how can we live together without succumbing to the force and coercion of others? We can do so, Rousseau maintains, by submitting our individual, particular wills to the collective or general will, created through agreement with other free and equal persons. Like Hobbes and Locke before him, and in contrast to the ancient philosophers, all men are made by nature to be equals, therefore no one has a natural right to govern others, and therefore the only justified authority is the authority that is generated out of agreements or covenants.

The most basic covenant, the social pact, is the agreement to come together and form a people, a collectivity, which by definition is more than and different from a mere aggregation of individual interests and wills. This act, where individual persons become a people is “the real foundation of society” (59). Through the collective renunciation of the individual rights and freedom that one has in the State of Nature, and the transfer of these rights to the collective body, a new ‘person’, as it were, is formed. The sovereign is thus formed when free and equal persons come together and agree to create themselves anew as a single body, directed to the good of all considered together. So, just as individual wills are directed towards individual interests, the general will, once formed, is directed towards the common good, understood and agreed to collectively. Included in this version of the social contract is the idea of reciprocated duties: the sovereign is committed to the good of the individuals who constitute it, and each individual is likewise committed to the good of the whole. Given this, individuals cannot be given liberty to decide whether it is in their own interests to fulfill their duties to the Sovereign, while at the same time being allowed to reap the benefits of citizenship. They must be made to conform themselves to the general will, they must be “forced to be free” (64).

For Rousseau, this implies an extremely strong and direct form of democracy. One cannot transfer one’s will to another, to do with as he or she sees fit, as one does in representative democracies. Rather, the general will depends on the coming together periodically of the entire democratic body, each and every citizen, to decide collectively, and with at least near unanimity, how to live together, i.e., what laws to enact. As it is constituted only by individual wills, these private, individual wills must assemble themselves regularly if the general will is to continue. One implication of this is that the strong form of democracy which is consistent with the general will is also only possible in relatively small states. The people must be able to identify with one another, and at least know who each other are. They cannot live in a large area, too spread out to come together regularly, and they cannot live in such different geographic circumstances as to be unable to be united under common laws. (Could the present-day U.S. satisfy Rousseau’s conception of democracy? It could not. ) Although the conditions for true democracy are stringent, they are also the only means by which we can, according to Rousseau, save ourselves, and regain the freedom to which we are naturally entitled.

Rousseau’s social contract theories together form a single, consistent view of our moral and political situation. We are endowed with freedom and equality by nature, but our nature has been corrupted by our contingent social history. We can overcome this corruption, however, by invoking our free will to reconstitute ourselves politically, along strongly democratic principles, which is good for us, both individually and collectively.

3. More Recent Social Contract Theories

a. John Rawls’ A Theory of Justice

In 1972, the publication of John Rawls‘ extremely influential A Theory of Justice brought moral and political philosophy back from what had been a long hiatus of philosophical consideration. Rawls’ theory relies on a Kantian understanding of persons and their capacities. For Rawls, as for Kant, persons have the capacity to reason from a universal point of view, which in turn means that they have the particular moral capacity of judging principles from an impartial standpoint. In A Theory of Justice, Rawls argues that the moral and political point of view is discovered via impartiality. (It is important to note that this view, delineated in A Theory of Justice, has undergone substantial revisions by Rawls, and that he described his later view as “political liberalism”.) He invokes this point of view (the general view that Thomas Nagel describes as “the view from nowhere”) by imagining persons in a hypothetical situation, the Original Position, which is characterized by the epistemological limitation of the Veil of Ignorance. Rawls’ original position is his highly abstracted version of the State of Nature. It is the position from which we can discover the nature of justice and what it requires of us as individual persons and of the social institutions through which we will live together cooperatively. In the original position, behind the veil of ignorance, one is denied any particular knowledge of one’s circumstances, such as one’s gender, race, particular talents or disabilities, one’s age, social status, one’s particular conception of what makes for a good life, or the particular state of the society in which one lives. Persons are also assumed to be rational and disinterested in one another’s well-being. These are the conditions under which, Rawls argues, one can choose principles for a just society which are themselves chosen from initial conditions that are inherently fair. Because no one has any of the particular knowledge he or she could use to develop principles that favor his or her own particular circumstances, in other words the knowledge that makes for and sustains prejudices, the principles chosen from such a perspective are necessarily fair. For example, if one does not know whether one is female or male in the society for which one must choose basic principles of justice, it makes no sense, from the point of view of self-interested rationality, to endorse a principle that favors one sex at the expense of another, since, once the veil of ignorance is lifted, one might find oneself on the losing end of such a principle. Hence Rawls describes his theory as “justice as fairness.” Because the conditions under which the principles of justice are discovered are basically fair, justice proceeds out of fairness.

In such a position, behind such a veil, everyone is in the same situation, and everyone is presumed to be equally rational. Since everyone adopts the same method for choosing the basic principles for society, everyone will occupy the same standpoint: that of the disembodied, rational, universal human. Therefore all who consider justice from the point of view of the original position would agree upon the same principles of justice generated out of such a thought experiment. Any one person would reach the same conclusion as any other person concerning the most basic principles that must regulate a just society.

The principles that persons in the Original Position, behind the Veil of Ignorance, would choose to regulate a society at the most basic level (that is, prior even to a Constitution) are called by Rawls, aptly enough, the Two Principles of Justice. These two principles determine the distribution of both civil liberties and social and economic goods. The first principle states that each person in a society is to have as much basic liberty as possible, as long as everyone is granted the same liberties. That is, there is to be as much civil liberty as possible as long as these goods are distributed equally. (This would, for example, preclude a scenario under which there was a greater aggregate of civil liberties than under an alternative scenario, but under which such liberties were not distributed equally amongst citizens.) The second principle states that while social and economic inequalities can be just, they must be available to everyone equally (that is, no one is to be on principle denied access to greater economic advantage) and such inequalities must be to the advantage of everyone. This means that economic inequalities are only justified when the least advantaged member of society is nonetheless better off than she would be under alternative arrangements. So, only if a rising tide truly does carry all boats upward, can economic inequalities be allowed for in a just society. The method of the original position supports this second principle, referred to as the Difference Principle, because when we are behind the veil of ignorance, and therefore do not know what our situation in society will be once the veil of ignorance is lifted, we will only accept principles that will be to our advantage even if we end up in the least advantaged position in society.

These two principles are related to each other by a specific order. The first principle, distributing civil liberties as widely as possible consistent with equality, is prior to the second principle, which distributes social and economic goods. In other words, we cannot decide to forgo some of our civil liberties in favor of greater economic advantage. Rather, we must satisfy the demands of the first principle, before we move on to the second. From Rawls’ point of view, this serial ordering of the principles expresses a basic rational preference for certain kinds of goods, i.e., those embodied in civil liberties, over other kinds of goods, i.e., economic advantage.

Having argued that any rational person inhabiting the original position and placing him or herself behind the veil of ignorance can discover the two principles of justice, Rawls has constructed what is perhaps the most abstract version of a social contract theory. It is highly abstract because rather than demonstrating that we would or even have signed to a contract to establish society, it instead shows us what we must be willing to accept as rational persons in order to be constrained by justice and therefore capable of living in a well ordered society. The principles of justice are more fundamental than the social contract as it has traditionally been conceived. Rather, the principles of justice constrain that contract, and set out the limits of how we can construct society in the first place. If we consider, for example, a constitution as the concrete expression of the social contract, Rawls’ two principles of justice delineate what such a constitution can and cannot require of us. Rawls’ theory of justice constitutes, then, the Kantian limits upon the forms of political and social organization that are permissible within a just society.

b. David Gauthier

In his 1986 book, Morals by Agreement, David Gauthier set out to renew Hobbesian moral and political philosophy. In that book, he makes a strong argument that Hobbes was right: we can understand both politics and morality as founded upon an agreement between exclusively self-interested yet rational persons. He improves upon Hobbes’ argument, however, by showing that we can establish morality without the external enforcement mechanism of the Sovereign. Hobbes argued that men’s passions were so strong as to make cooperation between them always in danger of breaking down, and thus that a Sovereign was necessary to force compliance. Gauthier, however, believes that rationality alone convinces persons not only to agree to cooperate, but to stick to their agreements as well.

We should understand ourselves as individual Robinson Crusoes, each living on our own island, lucky or unlucky in terms of our talents and the natural provisions of our islands, but able to enter into negotiations and deals with one another to trade goods and services with one another. Entering into such agreements is to our own advantage, and so rationality convinces us to both make such agreements and stick to them as well.

Gauthier has an advantage over Hobbes when it comes to developing the argument that cooperation between purely self-interested agents is possible. He has access to rational choice theory and its sophisticated methodology for showing how such cooperation can arise. In particular, he appeals to the model of the Prisoner’s Dilemma to show that self-interest can be consistent with acting cooperatively. (There is a reasonable argument to be made that we can find in Hobbes a primitive version of the problem of the Prisoner’s Dilemma.)

According to the story of the Prisoner’s Dilemma, two people have been brought in for questioning, conducted separately, about a crime they are suspected to have committed. The police have solid evidence of a lesser crime that they committed, but need confessions in order to convict them on more serious charges. Each prisoner is told that if she cooperates with the police by informing on the other prisoner, then she will be rewarded by receiving a relatively light sentence of one year in prison, whereas her cohort will go to prison for ten years. If they both remain silent, then there will be no such rewards, and they can each expect to receive moderate sentences of two years. And if they both cooperate with police by informing on each other, then the police will have enough to send each to prison for five years. The dilemma then is this: in order to serve her own interests as well as possible, each prisoner reasons that no matter what the other does she is better off cooperating with the police by confessing. Each reasons: “If she confesses, then I should confess, thereby being sentenced to five years instead of ten. And if she does not confess, then I should confess, thereby being sentenced to one year instead of two. So, no matter what she does, I should confess.” The problem is that when each reason this way, they each confess, and each goes to prison for five years. However, had they each remained silent, thereby cooperating with each other rather than with the police, they would have spent only two years in prison.

According to Gauthier, the important lesson of the Prisoner’s Dilemma is that when one is engaged in interaction such that others’ actions can affect one’s own interests, and vice versa, one does better if one acts cooperatively. By acting to further the interests of the other, one serves one’s own interests as well. We should, therefore, insofar as we are rational, develop within ourselves the dispositions to constrain ourselves when interacting with others. We should become “constrained maximizers” (CMs) rather remain the “straightforward maximizers” (SMs) that we would be in a State of Nature (167).

Both SMs and CMs are exclusively self-interested and rational, but they differ with regard to whether they take into account only strategies, or both the strategies and utilities, of whose with whom they interact. To take into account the others’ strategies is to act in accordance with how you expect the others will act. To take into account their utilities is to consider how they will fare as a result of your action and to allow that to affect your own actions. Both SMs and CMs take into account the strategies of the other with whom they interact. But whereas SMs do not take into account the utilities of those with whom they interact, CMs do. And, whereas CMs are afforded the benefits of cooperation with others, SMs are denied such advantage. According to Gauthier, when interacting in Prisoner’s Dilemma-like situations, where the actions of others can affect one’s own outcome, and vice versa, rationality shows that one’s own interest is best pursued by being cooperative, and therefore agents rationally dispose themselves to the constrain the maximization of their own utility by adopting principles of morality. According to Gauthier, rationality is a force strong enough to give persons internal reasons to cooperate. They do not, therefore, need Hobbes’ Sovereign with absolute authority to sustain their cooperation. The enforcement mechanism has been internalized. “Morals by agreement” are therefore created out of the rationality of exclusively self-interested agents.

4. Contemporary Critiques of Social Contract Theory

Given the longstanding and widespread influence that social contract theory has had, it comes as no surprise that it is also the objects of many critiques from a variety of philosophical perspectives. Feminists and race-conscious philosophers, in particular, have made important arguments concerning the substance and viability of social contract theory.

a. Feminist Arguments

For the most part, feminism resists any simple or universal definition. In general though, feminists take women’s experiences seriously, as well as the impact that theories and practices have for women’s lives. Given the pervasive influence of contract theory on social, political, and moral philosophy, then, it is not surprising that feminists should have a great deal to say about whether contract theory is adequate or appropriate from the point of view of taking women seriously. To survey all of the feminist responses to social contract theory would carry us well beyond the boundaries of the present article. I will concentrate therefore on just three of those arguments: Carole Pateman’s argument about the relation between the contract and women’s subordination to men, feminist arguments concerning the nature of the liberal individual, and the care argument.

i. The Sexual Contract

Carole Pateman’s 1988 book, The Sexual Contract, argues that lying beneath the myth of the idealized contract, as described by Hobbes, Locke, and Rousseau, is a more fundamental contract concerning men’s relationship to women. Contract theory represents itself as being opposed to patriarchy and patriarchal right. (Locke’s social contract, for example, is set by him in stark contrast to the work of Robert Filmer who argued in favor of patriarchal power.) Yet the “original pact” (2) that precedes the social contract entered into by equals is the agreement by men to dominate and control women. This ‘original pact’ is made by brothers, literally or metaphorically, who, after overthrowing the rule of the father, then agree to share their domination of the women who were previously under the exclusive control of one man, the father. The change from “classical patriarchalism” (24) to modern patriarchy is a shift, then, in who has power over women. It is not, however, a fundamental change in whether women are dominated by men. Men’s relationships of power to one another change, but women’s relationship to men’s power does not. Modern patriarchy is characterized by a contractual relationship between men, and part of that contract involves power over women. This fact, that one form of patriarchy was not overthrown completely, but rather was replaced with a different form, in which male power was distributed amongst more men, rather than held by one man, is illustrated by Freud’s story of the genesis of civilization. According to that story, a band of brothers, lorded over by a father who maintained exclusive sexual access to the women of the tribe, kill the father, and then establish a contract among themselves to be equal and to share the women. This is the story, whether we understand Freud’s tale to be historically accurate or not, of modern patriarchy and its deep dependence on contract as the means by which men control and dominate women.

Patriarchal control of women is found in at least three paradigmatic contemporary contracts: the marriage contract, the prostitution contract, and the contract for surrogate motherhood. Each of these contracts is concerned with men’s control of women, or a particular man’s control of a particular woman generalized. According to the terms of the marriage contract, in most states in the U.S., a husband is accorded the right to sexual access, prohibiting the legal category of marital rape. Prostitution is a case in point of Pateman’s claim that modern patriarchy requires equal access by men to women, in particular sexual access, access to their bodies. And surrogate motherhood can be understood as more of the same, although in terms of access to women’s reproductive capacities. All these examples demonstrate that contract is the means by which women are dominated and controlled. Contract is not the path to freedom and equality. Rather, it is one means, perhaps the most fundamental means, by which patriarchy is upheld.

ii. The Nature of the Liberal Individual

Following Pateman’s argument, a number of feminists have also called into question the very nature of the person at the heart of contract theory. The Liberal Individual, the contractor, is represented by the Hobbesian man, Locke’s proprietor, Rousseau’s “Noble Savage,” Rawls’s person in the original position, and Gauthier’s Robinson Crusoe. The liberal individual is purported to be universal: raceless, sexless, classless, disembodied, and is taken to represent an abstract, generalized model of humanity writ large. Many philosophers have argued, however, that when we look more closely at the characteristics of the liberal individual, what we find is not a representation of universal humanity, but a historically located, specific type of person. C.B. Macpherson, for example, has argued that Hobbesian man is, in particular, a bourgeois man, with the characteristics we would expect of a person during the nascent capitalism that characterized early modern Europe. Feminists have also argued that the liberal individual is a particular, historical, and embodied person. (As have race-conscious philosophers, such as Charles Mills, to be discussed below.) More specifically, they have argued that the person at the heart of liberal theory, and the social contract, is gendered. Christine Di Stefano, in her 1991 book Configurations of Masculinity, shows that a number of historically important modern philosophers can be understood to develop their theories from within the perspective of masculinity, as conceived of in the modern period. She argues that Hobbes’s conception of the liberal individual, which laid the groundwork for the dominant modern conception of the person, is particularly masculine in that it is conceived as atomistic and solitary and as not owing any of its qualities, or even its very existence, to any other person, in particular its mother. Hobbes’s human, is therefore, radically individual, in a way that is specifically owing to the character of modern masculinity. Virginia Held, in her 1993 book, Feminist Morality, argues that social contract theory implicitly relies on a conception of the person that can be best described as “economic man.” “Economic man” is concerned first and foremost to maximize his own, individually considered interests, and he enters into contracts as a means by which to achieve this end. “Economic man”, however, fails to represent all persons in all times and places. In particular, it fails to adequately represent children and those who provide them with the care they require, who have historically been women. The model of “economic man” cannot, therefore, fairly claim to be a general representation of all persons. Similarly, Annette Baier argues that Gauthier’s conception of the liberal individual who enters into the social contract as a means by which to maximize his own individually considered interests is gendered in that it does not take seriously the position of either children or the women who most usually are responsible for caring for those children.

iii. Arguing from Care

Theorizing from within the emerging tradition of care ethics, feminist philosophers such as Baier and Held argue that social contract theory fails as an adequate account of our moral or political obligations. Social contract theory, in general, only goes so far as to delineate our rights and obligations. But this may not be enough to adequately reveal the full extent of what it means to be a moral person, and how fully to respond to others with whom one interacts through relations of dependence. Baier argues that Gauthier, who conceives of affective bonds between persons as non-essential and voluntary, therefore fails to represent the fullness of human psychology and motivations. She argues that this therefore leads to a crucial flaw in social contract theory. Liberal moral theory is in fact parasitic upon the very relations between persons from which it seeks to liberate us. While Gauthier argues that we are freer the more that we can see affective relations as voluntary, we must nonetheless, in the first place, be in such relationships (e.g., the mother-child relationship) in order to develop the very capacities and qualities lauded by liberal theory. Certain kinds of relationships of dependence, in other words, are necessary in the first place if we are to become the very kinds of persons who are capable of entering into contracts and agreements. In a similar vein, Held has argued that the model of “economic man” fails to capture much of what constitutes meaningful moral relations between people. Understanding human relations in purely contractual terms constitutes, according to her argument “an impoverished view of human aspiration” (194). She therefore suggests that we consider other models of human relationships when looking for insight into morality. In particular, she offers up the paradigm of the mother-child relationship to at least supplement the model of individual self-interested agents negotiating with one another through contracts. Such a model is more likely to match up with many of the moral experiences of most people, especially women.

Feminist critiques of the contractarian approaches to our collective moral and political lives continue to reverberate through social and political philosophy. One such critique, that of Carole Pateman, has influenced philosophers writing outside of feminist traditions.

b. Race-Conscious Argument

Charles Mills’ 1997 book, The Racial Contract, is a critique not only of the history of Western political thought, institutions, and practices, but, more specifically, of the history of social contract theory. It is inspired by Carole Pateman’s The Sexual Contract, and seeks to show that non-whites have a similar relationship to the social contract as do women. As such, it also calls into question the supposed universality of the liberal individual who is the agent of contract theory.

Mills’ central argument is that there exists a ‘racial contract’ that is even more fundamental to Western society than the social contract. This racial contract determines in the first place who counts as full moral and political persons, and therefore sets the parameters of who can ‘contract in’ to the freedom and equality that the social contract promises. Some persons, in particular white men, are full persons according to the racial contract. As such they are accorded the right to enter into the social contract, and into particular legal contracts. They are seen as fully human and therefore as deserving of equality and freedom. Their status as full persons accords them greater social power. In particular, it accords them the power to make contracts, to be the subjects of the contract, whereas other persons are denied such privilege and are relegated to the status of objects of contracts.

This racial contract is to some extent a meta-contract, which determines the bounds of personhood and parameters of inclusion and exclusion in all the other contracts that come after it. It manifests itself both formally and informally. It is an agreement, originally among European men in the beginning of the modern period, to identify themselves as ‘white’ and therefore as fully human, and to identify all others, in particular the natives with whom they were beginning to come into contact, as ‘other’: non-white and therefore not fully human. So, race is not just a social construct, as others have argued, it is more especially a political construct, created to serve a particular political end, and the political purposes of a specific group. The contract allows some persons to treat other persons, as well as the lands they inhabit, as resources to be exploited. The enslavement of millions of Africans and the appropriation of the Americas from those who inhabited them, are examples of this racial contract at work in history (such as Locke’s claim that Native Americans did not own the land they lived on because they did not farm it and therefore did not own it). This contract is not hypothetical, as Hobbes describes the one argued for in his Leviathan. This is an actual contract, or series of contracts, made by real men of history. It is found in such documents as Papal Bulls and Locke’s writings on Native Americans, and acted upon in such historical events as the voyages of discovery made by Europeans and the colonization of Africa, Asia, and the Americas. The racial contract makes possible and justifies some people, in virtue of their alleged superiority, exploiting the peoples, lands, and resources of other races.

From Mills’ perspective then, racism is not just an unhappy accident of Western democratic and political ideals. It is not the case that we have a political system that was perfectly conceived and unfortunately imperfectly applied. One of the reasons that we continue to think that the problem of race in the West is relatively superficial, that it does not go all the way down, is the hold that the idealized social contract has on our imagination. We continue to believe, according to Mills, in the myths that social contract theory tells us – that everyone is equal, that all will be treated the same before the law, that the Founding Fathers were committed to equality and freedom for all persons, etc. One of the very purposes of social contract theory, then, is to keep hidden from view the true political reality – some persons will be accorded the rights and freedoms of full persons, and the rest will be treated as sub-persons. The racial contract informs the very structure of our political systems, and lays the basis for the continuing racial oppression of non-whites. We cannot respond to it, therefore, by simply adding more non-whites into the mix of our political institutions, representation, and so on. Rather, we must reexamine our politics in general, from the point of view of the racial contract, and start from where we are, with full knowledge of how our society has been informed by the systematic exclusion of some persons from the realm of politics and contract. This “naturalized” feature of the racial contract, meaning that it tells a story about who we actually are and what is included in our history, is better, according to Mills, because it holds the promise of making it possible for us to someday actually live up to the norms and values that are at the heart of the Western political traditions.

5. Conclusion

Virginia Held has argued that “Contemporary Western society is in the grip of contractual thinking” (193). Contractual models have come to inform a vast variety of relations and interaction between persons, from students and their teachers, to authors and their readers. Given this, it would be difficult to overestimate the effect that social contract theory has had, both within philosophy, and on the wider culture. Social contract theory is undoubtedly with us for the foreseeable future. But so too are the critiques of such theory, which will continue to compel us to think and rethink the nature of both ourselves and our relations with one another.

6. References and Further Reading

  • Baier, Annette. 1988. “Pilgrim’s Progress: Review of David Gauthier, Morals by Agreement.” Canadian Journal of Philosophy Vol. 18, No. 2. (June 1988): 315-330.
  • Baier, Annette. 1994. Moral Prejudices: Essays on Ethics. Cambridge: Harvard University Press.
  • Braybrooke, David. 1976. “The Insoluble Problem of the Social Contract.” Dialogue Vol. XV, No. 1: 3-37.
  • DiStefano, Christine. 1991. Configurations of Masculinity: A Feminist Perspective on Modern Political Theory. Ithaca, NY: Cornell University Press.
  • Filmer, Robert. ‘Patriarcha’ and Other Writings. Cambridge University Press (1991).
  • Gauthier, David. 1986. Morals by Agreement. Oxford: Oxford University Press.
  • Gauthier, David. 1988. “Hobbes’s Social Contract.” Noûs 22: 71-82.
  • Gauthier, David. 1990. Moral Dealing: Contract, Ethics, and Reason. Cornell: Cornell University Press.
  • Gauthier, David. 1991. “Why Contractarianism?” in Vallentyne 1991: 13-30.
  • Gilligan, Carol. 1982. In a Different Voice: Psychological Theory and Women’s Development. Cambridge: Harvard University Press.
  • Hampton, Jean. 1986. Hobbes and the Social Contract Tradition. Cambridge: Cambridge University Press.
  • Hampton, Jean. 1993. “Feminist Contractarianism.” In Antony, Louise M. and Witt, Charlotte (Editors). 1993. A Mind of One’s Own: Essays on Reason and Objectivity. Boulder CO: Westview Press, Inc.: 1993: 227-255.
  • Held, Virginia. 1977. “Rationality and Reasonable Cooperation.” Social Research (Winter 1977): 708-744.
  • Held, Virginia. 1993. Feminist Morality: Transforming Culture, Society, and Politics. Chicago: The University of Chicago Press.
  • Hobbes, Thomas. 1651a. Leviathan. C.B Macpherson (Editor). London: Penguin Books (1985)
  • Kavka, Gregory S. 1986. Hobbesian Moral and Political Theory. Princeton: Princeton University Press.
  • Locke, John. Two Treatises of Government and A Letter Concerning Toleration. Yale University Press (2003).
  • Macpherson, C.B. 1973. Democratic Theory: Essays in Retrieval. Oxford: Clarendon Press.
  • Mills, Charles. 1997. The Racial Contract. Cornell University Press.
  • Nozick, Robert. 1974. Anarchy, State and Utopia. New York: Basic Books.
  • Okin, Susan Moller. 1989. Justice, Gender, and the Family. New York: Basic Books.
  • Pateman, Carole. 1988. The Sexual Contract. Stanford: Stanford University Press.
  • Plato. Five Dialogues. (Trans. G.M.A. Grube) Hackett Publishing Company (1981).
  • Plato. Republic. (Trans. G.M.A. Grube, Revised by C.D.C. Reeve) Hackett Publishing Company (1992)
  • Poundstone, William. 1992. Prisoner’s Dilemma: John Von Neumann, Game Theory, and the Puzzle of the Bomb. New York: Doubleday.
  • Rawls, John. 1971. A Theory of Justice. Harvard University Press.
  • Rawls, John. 1993. Political Liberalism. Columbia University Press.
  • Rousseau, Jean-Jacques. The Basic Political Writings. (Trans. Donald A. Cress) Hackett Publishing Company (1987).
  • Sandel, Michael. 1982. Liberalism and the Limits of Justice. Cambridge: Cambridge University Press.
  • Vallentyne, Peter. (Editor). 1991. Contractarianism and Rational Choice: Essays on David Gauthier’s Morals by Agreement. New York: Cambridge University Press.

Author Information

Celeste Friend
Email: cfriend@hamilton.edu
Hamilton College
U. S. A.

Contemporary Skepticism

Philosophical views are typically classed as skeptical when they involve advancing some degree of doubt regarding claims that are elsewhere taken for granted. Varieties of skepticism can be distinguished in two main ways, depending upon the focus and the extent of the doubt.

As regards the former, skeptical views typically have an epistemological form, in that they are focused on the epistemic status of certain beliefs. For example, one common variety of skepticism concerns our beliefs about the past and argues that such beliefs lack positive epistemic status – that they are not justified, or are not rational, or cannot constitute knowledge (and perhaps even all three). Where skepticism does not have this epistemological focus, then it tends to be of an ontological form in that it is directed at beliefs about the existence of some supposedly problematic entity, such as the self or God. Here the target of the skepticism is not so much one’s putative knowledge of these entities (though it may be that as well), but rather the claim that they exist at all.

As regards the latter, one can differentiate between skeptical views that are either local or radical. Local varieties of skepticism will only concern beliefs about a certain specific subject matter, such as beliefs in abstract objects or the conclusions of inductive arguments. Since ontological varieties of skepticism tend to be concerned with the existence of particular sorts of entities, they are usually (though not always) of this local form. In contrast, radical forms of skepticism afflict most of our beliefs and thus pose, at least potentially, the most pressing philosophical challenge.

Perhaps unsurprisingly, the locus for discussion of skepticism has tended to be radical epistemological varieties of skepticism, and this is certainly a trend that has continued into contemporary debate. In historical discussion, for example, the two most influential forms of skepticism have, arguably, been the radical epistemological skepticism of the classical Pyrrhonian skeptics and the Cartesian form of radical epistemological skepticism that Descartes considers in his Meditations. The former consists of a variety of skeptical techniques that counter any grounds that are offered for belief with grounds for doubt (or at least non-belief) that are at least as persuasive. Since no belief is more reasonable than its denial, the Pyrrhonian skeptics concluded that one ought to be skeptical about most (if not all) of one’s beliefs. Cartesian skepticism reaches a similar conclusion, though this time by highlighting through the use of skeptical hypotheses that we cannot be certain of any (or at least hardly any) of our beliefs and thus must retreat to skepticism. Roughly, a skeptical hypothesis is an error-possibility that is incompatible with the knowledge that we ascribe to ourselves but which is also subjectively indistinguishable from normal circumstances (or, at least, what we take normal circumstances to be), such as that we might be currently experiencing a very vivid dream. Since such scenarios are subjectively indistinguishable from normal circumstances, the Cartesian skeptical move is to say that we cannot know that they are false and that this threatens the certainty of our beliefs.

What is common to both of these historical approaches, and which lives on in the contemporary discussion of skepticism, is the primary conception of skepticism as resting on an entirely intuitive and pre-theoretical understanding of our epistemic concepts. In this sense it has the form of a paradox – a series of wholly plausible and intuitive claims that, collectively, lead to an intellectually devastating conclusion. Recent discussion of skepticism also treats the problem as having this paradoxical form, though the epistemic focus of the discussion is now not so much the lack of grounds for belief which counter the skeptic’s grounds against belief, or the lack of certainty, but rather the lack of knowledge. Contemporary discussions of skepticism have thus tended to make the radical epistemological claim that we fail to know (hardly) anything.

Table of Contents

  1. The Skeptical Paradox in Contemporary Debate
  2. Relevant Alternatives, Infallibilism, and Closure
  3. Semantic Contextualism
  4. “Hinge” Propositions and Inferential Contextualism
  5. Neo-Moorean Responses to Skepticism
  6. Epistemological Externalism and the New Skeptics
  7. References and Further Reading

1. The Skeptical Paradox in Contemporary Debate

Contemporary discussion of the problem of the radical skepticism has tended to focus on a formulation of that problem in terms of a paradox consisting of the joint incompatibility of three claims, each of which appears, on the surface of things and taken individually, to be perfectly in order. Roughly, they are as follows.

First, that we are unable to know that any one of a number of skeptical hypotheses are false, where a skeptical hypothesis is understood as a scenario that is subjectively indistinguishable from what one takes normal circumstances to be but which, if true, would undermine most of the knowledge that one ascribes to oneself. A standard example of a skeptical hypothesis is the so-called ‘brain-in-a-vat’ (BIV) hypothesis that one is being ‘fed’ one’s experiences by computers. If this were true, then most of what one believes about the world would be false (or, at the very least, true in a different way from how one would expect), and thus one would lack knowledge. Moreover, this scenario is characterised such that there would be no perceptible difference between being a BIV and having the non-BIV experiences one currently takes oneself to be experiencing and thus, plausibly, it does not seem to be a scenario that we could ever know to be false. We thus get our first ‘intuitive’ element of the skeptical paradox:

I. I am unable to know the denials of skeptical hypotheses.

The second ‘intuitive’ claim about knowledge that the skeptic employs is the following:

II. If I do not know the denials of skeptical hypotheses, then I do not know very much.

What motivates this claim is the compelling thought that unless one can rule-out the kind of error-possibilities at issue in skeptical hypotheses by knowing them to be false, then this suffices to undermine most (if not all) of the knowledge that one traditionally ascribes to oneself. After all, if I were a BIV, then I wouldn’t be sitting here now. Hence, if, for all I know, I could be a BIV, surely it must follow that I do not know that I am sitting here now (and much more besides)?

Finally, there is the third element of the skeptical paradox that creates the required overall philosophical tension. This is the highly plausible claim that we do know a great deal of what we think we know:

III. A lot of what I believe, I know.

Of course, there may be lots of abstract and technical kinds of knowledge which I think I have but actually lack, but the point of this intuition is that many of the ‘ordinary’ propositions that I believe (such as that I am sitting here now) do seem to be the kinds of propositions that I could not plausibly be wrong about in a wholesale fashion. With these three claims in place, however, the puzzle becomes obvious. For if I cannot know the denials of skeptical hypotheses, and if this lack of knowledge entails that I lack knowledge of most of what I believe, it follows that I must lack knowledge of most of what I believe. Hence, one cannot accept all of these three claims; one of them must go.

The skeptic offers a very simple way out of this puzzle, which is to deny, on the basis of I and II, that we ever have knowledge of the kind of ordinary propositions at issue in III. That is, the skeptic argues as follows:

(S1) I am unable to know the denials of skeptical hypotheses.

(S2) If I do not know the denials of skeptical hypotheses, then I do not know very much.

Hence:

(SC) I do not know very much.

For example, a skeptical argument which employed the BIV skeptical hypothesis might well run as follows:

(S1*) I am unable to know that I am not a BIV.

(S2*) If I do not know that I am not a BIV, then I do not know very much.

Hence:

(SC*) I do not know very much,

Clearly, however, this radical skeptical suggestion regarding how we should respond to these three incompatible claims is less of a proposal than a reductio of epistemological theorising. This conclusion is, after all, intellectually devastating, consigning our cognitive activities to, at best, a kind of bad faith. We would thus be wise to look closely at the anti-skeptical alternatives before we accept this (paradoxical) response to the skeptical paradox.

If we are to evade skepticism, we are thus going to have to motivate one (or more) of the following three claims. First, that, despite appearances, we do (or at least can) know the denials of radical skeptical hypotheses after all. Second, that, despite appearances, it does not follow from the fact that we lack knowledge of the denials of radical skeptical hypotheses that we thereby lack knowledge of ordinary propositions as well. Third, that, despite appearances, these three claims are consistent after all.

2. Relevant Alternatives, Infallibilism, and Closure

Of the three anti-skeptical strategies just listed, the second looks, prima facie, to be the most promising. After all, this does seem to be the weakest element of the skeptical argument since, although it is at first pass intuitive, on reflection it is far from immediately obvious that our knowledge of everyday propositions should be dependent upon anti-skeptical knowledge in this fashion. One response to the problem of skepticism has thus been to deny this premise in the skeptical argument by arguing that one can perfectly well know everyday propositions whilst failing to know the denials of anti-skeptical hypotheses such as the BIV hypothesis.

One motivation for this line of argument has been to argue that skeptical error-possibilities are just not relevant to everyday knowledge in the way that everyday error-possibilities are. After all, we do not ordinarily demand that agents should rule out skeptical error-possibilities before we ascribe them knowledge. This relevant alternatives (RA) line of argument, which has its roots in work by J. L. Austin (1961), has been developed by Fred Dretske (1970). As Dretske is aware, however, simply denying premise (S2) of the skeptical argument on these grounds is not enough; rather one needs also to engage with the epistemological theses that underlie this premise and offer a fully-fledged account of what this notion of epistemological relevance involves.

One epistemological thesis that is often thought to provide support for (S2) is that of infallibilism. This is the thesis that, roughly, for an agent to know a proposition that agent must be able to eliminate all error-possibilities associated with that proposition. Provided that one is willing to make the plausible move of construing ‘eliminate’ here in terms of the ability to know the negation of then one straightforwardly gets the requisite link between infallibilism and (S2) since the skeptical hypothesis in question (whichever skeptical hypothesis it is) will clearly be an error possibility which must be known to be false if the agent is to have knowledge of the ordinary proposition at issue. Accordingly, an inability to know the denial of the skeptical hypothesis will suffice to ensure that the agent lacks knowledge of the ordinary proposition, just as (S2) says. In effect, infallibilism is the opposing thesis to the RA line because it counts every alternative as being relevant.

Although infallibilism may seem to be an obviously false epistemological thesis, a persuasive case can be made in its defence. In particular, Peter Unger (1971; 1975) has been a prominent defender of a version of infallibilism (although in more recent work, such as Unger (1984; 1986) he has moved towards a thesis which is more in line with contextualism, a view which we will be considering below). In these early works Unger argued that ‘knowledge’ is an “absolute term” like ‘flat’ or ‘empty’. According to Unger, what is interesting about absolute terms is that they are never really satisfied, although we often talk as if they are. So, for example, nothing is ever really flat or really empty because, respectively, no surface is ever completely free of friction and no container could ever be a vacuum. Accordingly, even though we may loosely talk of Holland’s ‘flat’ roads or John’s ‘empty’ fridge, reflection indicates to us that such assertions are, in fact, false (Holland’s roads have some bumps on them, however small, and John’s fridge, whilst empty of food, is ‘full’ of air, not to mention refrigerator parts). Similarly, Unger’s point is that what the skeptic is responding to in her arguments is the fact that, strictly speaking, nothing is every really known because to be really known the agent would have to rule out every possibility of error and this is an impossible hurdle to clear (at least for a non-omniscient being). So although we might talk of knowing lots of things, reflection indicates to us, as it does with our use of ‘flat’ and ‘empty’, that our claims to know are all, in fact, false.

We will return to consider infallibilism again below. In the meantime, however, we can set this thesis to one side because there is a (logically) weaker thesis that would also suffice to support (S2). Accordingly, so long as we are able to deny the weaker thesis then we can get a rejection of infallibilism by default. This weaker thesis is the principle that knowledge is ‘closed’ under known entailment, or the ‘closure’ principle for short. Roughly, this principle states that if an agent knows a proposition (such as that she is currently seated), and knows that this proposition entails a second proposition (such as that she is not a BIV), then she also knows the second proposition. In general, this can be roughly expressed as follows:

Closure Principle for Knowledge: If an agent knows P, and knows that P entails Q, then that agent knows Q.

Whereas infallibilism supports (S2) by demanding that an agent should be able to know the denials of all error-possibilities, closure merely demands that the agent knows the denials of those error-possibilities that are known to be logical consequences of what one knows. For example, if one knows the ordinary proposition that one is currently seated, and one further knows that if one is seated then one is not a BIV, then one must also know that one is not a BIV. Conversely, if one does not know that one is not a BIV then, given that one knows the entailment in question (which ought to be uncontroversial), one thereby lacks knowledge of the ordinary proposition in question, just as (S2) says. And note that, unlike (S2), the plausibility of closure is not merely prima facie. After all, we reason in conformity with closure all the time in cases where we gain knowledge of previously unknown propositions via knowledge of other propositions and the relevant entailment. Indeed, closure is in this respect far more compelling than infallibilism, since what credibility the latter thesis has is gained by philosophical argument rather than by prima facie reflection on our actual epistemic practice. The theoretical burden imposed upon anyone who advocates the denial of (S2) is thus very strong, since it requires a principled rejection of the intuitive principle of closure.

The standard proposal put forward to support the denial of closure has been some variation of the original RA model advanced by Dretske (1970; 1971; 1981). Essentially, the idea is to claim that knowledge only transfers across known entailments where the entailments in question are ‘relevant’. Thus, knowledge that one is sitting down may transfer across a known entailment to the relevant proposition that one is not standing up, but it won’t transfer across a known entailment to the irrelevant proposition that one is not a BIV. Accordingly, the link between ordinary knowledge and anti-skeptical knowledge required by the skeptic is severed and ordinary knowledge is secured. Dretske himself puts the point as follows:

The general point may be put this way: there are certain presuppositions associated with a statement. These presuppositions, although their truth is entailed by the truth of the statement, are not part of what is operated on when we operate on the statement with one of our epistemic operators. The epistemic operators do not penetrate to these presuppositions. (Dretske 1970, 1014)

In effect, what Dretske is arguing here is that in everyday contexts an agent’s acquisition of knowledge of the propositions at issue in that context presupposes the falsity of certain irrelevant error-possibilities. That they are taken for granted is, for Dretske, entirely legitimate (that is, he rejects infallibilism). Nevertheless, the negations of these error-possibilities are often entailed by what is known in that context and thus, if closure held, it would follow that an agent could come to have knowledge of what is presupposed in her knowledge simply by knowing the relevant entailment. It is this that Dretske objects to, arguing that one’s epistemic position regarding the antecedent proposition will not transfer to the consequent proposition where the consequent proposition has performed this ‘presuppositional’ role.

An example will help clarify matters. Consider the following two propositions (adapted from ones adduced by Dretske (1970)):

(P) The animals in the pen are zebras.

(Q) The animals in the pen are not mules cleverly disguised to look like zebras.

Dretske argues that in normal circumstances one can come to know (P) without making any special checks to ensure that the irrelevant error-possibility at issue in (Q) is false. Instead, all the agent needs to do is have evidence that eliminates relevant error-possibilities (such as, for example, evidence to support her belief that it is the zebra enclosure and not the ape enclosure that she is looking at). This is fortunate, because if we demand that the agent must rule-out the kind of error-possibility at issue in (Q) (and thus, one might reasonably assume, know (Q)) before she can know (P), then we will end up setting the requirement for knowledge at a very high level. Indeed, it will be highly unlikely that your average agent would be able to know a proposition like (P) if this demand is made, because the average agent would not be able to tell a zebra apart from a cleverly disguised mule. Nevertheless, Dretske acknowledges that the agent’s knowledge of (P) presupposes that the error-possibility at issue in (Q) is false. Here is the crux, however. If we allow closure to stand, then it will follow from the agent’s knowledge of (P), and her knowledge of the entailment from (P) to (Q), that she thereby knows (Q) also, even though we have already granted that the agent in question is not in a position to be able to know such a thing. Dretske puts the point as follows:

If you are tempted to say [that the agent does know (Q) …], think for a moment about the reasons that you have, what evidence you can produce in favour of this claim. The evidence you had for thinking them zebras has been effectively neutralised, since it does not count toward their not being mules cleverly disguised. Have you checked with the zoo authorities? Did you examine the animals closely enough to detect such a fraud? (Dretske 1970, 1016)

Dretske thus concludes that we should instead allow that an agent might be able to know (P) whilst failing to know (Q), and thus, given that the entailment is known, that closure fails.

This is certainly a very compelling argument, and it does at the very least offer a prima facie case against closure. The job is not quite done, however, because we also need to be given an account of knowledge which will flesh-out this account of relevance. After all, we have strong intuitions that our epistemic concepts do license closure. It is to this end that Dretske (1971) went on to develop his ‘modal’ account of knowledge, an account which was adapted and supplemented by Robert Nozick (1981).

What Dretske needs is a theory of knowledge which, whilst being plausible, can also explain how we can know everyday propositions whilst failing to know the denials of skeptical hypotheses, even in cases where we know that the everyday proposition in question entails the relevant denial of the skeptical hypothesis. Given these arduous demands, his proposal is, to say the least, ingenious. In essence, what Dretske does is to adduce a modal condition on knowledge, what I will call ‘Dretskean Sensitivity’, that can be roughly expressed as follows:

Dretskean Sensitivity: If P were not true, then the agent would not believe P.

The basic idea behind Dretskean Sensitivity is that for a belief to count as knowledge it must at least ‘track’ the truth in the sense that, not only is it true but, had what is believed been false, the agent would not have believed it. With this condition in play, Dretske can get the result he wants.

Suppose the actual world is pretty much as I take it to be. It follows that my belief that I am currently in my office and my belief that I am not a BIV are both true. Now consider whether the former belief counts as an instance of knowledge. On this account it does (at least pending any further conditions that one wants to add to Dretskean Sensitivity), because in the nearest possible world in which I am not in my office – the world in which, for example, I am in the corridor outside my office – I no longer believe that I am. My belief thus ‘tracks’ the truth adequately to be a candidate for knowledge. In contrast, consider my belief that I am not a BIV. The problem with this belief is that in the nearest possible world in which this belief is false (that is, the BIV-world), I continue to have a belief that I am not a BIV because in this world I am the victim of a widespread deception. Accordingly, this belief fails to meet necessary condition for knowledge set out in Dretskean Sensitivity and thus is not even in the running to be an instance of knowledge.

Dretske can thus use Dretskean Sensitivity to explain why closure fails by showing how knowledge needs to be understood relative to a certain relevant range of possible worlds which is variable depending upon the proposition at issue. As a result, one can know one proposition relative to one set of possible worlds, know the entailment to a second proposition, and yet fail to know the second proposition relative to a different set of possible worlds. More specifically, one can have knowledge of everyday propositions relative to one set of possible worlds that is ‘near-to’ the actual world, know that it entails the denial of a skeptical hypothesis, and yet lack knowledge of the denial of the skeptical hypothesis because knowledge is here relative to the ‘far-off’ possible worlds that are quite unlike the actual world. The notion of ‘relevance’ at issue in the basic RA account is thus cashed-out in explicitly modal terms. Moreover, since a number of logical principles fail in modal contexts because of this sort of variability, it should not come as much of a surprise to find that closure meets a similar fate. Dretske is thus in a position to offer a plausible account of knowledge that can accommodate all of the claims that we saw him wanting to make earlier.

This conception of knowledge, along with the later more elaborate version advanced by Nozick (1981), has been extremely influential. It is worth noting, however, that it is an epistemologically revisionist anti-skeptical proposal because it results in the denial of the highly plausible principle of closure. With this in mind, there is a prima facie tension involved in adopting such a proposal, despite the compelling defence of this position that Dretske, Nozick and others have offered. After all, the idea that we must know the known consequences of what we know is extremely strong and the rejection of this claim cannot be taken lightly. As Keith DeRose has pointed out in (1995, §5), dropping closure means allowing what he calls “abominable conjunctions”, such as that one knows that one has two hands but one does not know that one is not a BIV. That closure should hold has been one of the main motivations for alternative interpretations of the core RA anti-skeptical thesis that do not result in the rejection of closure, as we will see in a moment.

Besides this line of criticism against the Dretske-Nozick account, a number of other claims have been made. I will focus here on those avenues of critique that are directed at the view presented as an anti-skeptical proposal, rather than as an analysis (albeit perhaps only a partial one) of knowledge. Edward Craig (1989; 1990), for instance, has argued that the Dretske-Nozick proposal is either impotent at meeting skeptical arguments or unnecessary. After all, the strategy only works on the assumption that skeptical possible worlds are indeed far-off worlds, and Craig argues that if we are entitled to that supposition then we have no need of an anti-skeptical strategy. Conversely, if we are not entitled to that supposition, then the modal analysis of knowledge offered by Dretske and Nozick leaves us in an impasse with the skeptic which is no better than we were in before. That is, all that the Dretskean approach will have achieved is to show us that, provided the world is in fact pretty much as we take it to be, then skepticism is false and this still leaves the issue of whether the world is in fact pretty much as we take it to be unresolved.

Craig’s objection is surely wrong, however, because the skeptical argument purported to show that knowledge was impossible, and the Dretske-Nozick account at least refutes this claim by showing that knowledge is possible; that we can have knowledge provided that certain conditions hold. What is true, however, is that there is nothing in the Dretske-Nozick line which demands that the agent should be able to become reflectively aware that we have met these conditions if we are to have knowledge, and this ‘externalist’ element of the view may well be problematic. For if this is the case then the existential force of skepticism – that we could indeed, for all we can tell, be a victim of a skeptical hypothesis – is just as powerful as ever. The worry here is that there is always going to be something intellectually unsatisfactory about an anti-skeptical proposal that is run along epistemologically externalist lines. We will consider the role of epistemological externalism and internalism in the skeptical debate in more detail below, since it raises issues which impact upon all anti-skeptical proposals, regardless of whether they retain closure.

The large body of critical appraisal of the Dretskean proposal falls, however, on the rejection of the closure principle. There are two ways in which this critique is often run. Either critics argue directly for the retention of closure and thereby against the Dretskean line by default, or else they try to offer an alternative construal of the motivation for the Dretskean line that retains closure. Peter Klein (1981; 1995) is a good representative of the former position, arguing that, contra Dretske, we can indeed come to know (/be justified in believing) that the animal in the pen is not a cleverly disguised mule on the basis of our knowledge (/justified true belief) that it is a zebra and our knowledge of the entailment. Central to Klein’s view is a commitment to epistemological internalism, whose role in the skeptical debate will be discussed below, and a certain view about the structure of reasons that we do not have the space to go into here. The most interesting attacks on the Dretskean approach to closure do not come from this quarter, however, but from those who claim to be motivated by similar epistemological concerns as those which motivate Dretske himself. After all, that one who endorses a radically different conception of the epistemological landscape should not find the Dretskean proposal plausible is not nearly so intriguing as dissent from those who sign-up to many of the key Dretskean claims. In particular, it is interesting to note that two of the main rival views to the Dretskean line are wrought out of the same basic RA claims.

Consider again the core RA thought. This is the thesis that certain error-possibilities are irrelevant to the determination of knowledge, and thus that one can have knowledge merely by eliminating the salient error-possibilities. With this characterisation of the core RA thesis in mind, the natural question to ask is why the core RA thought should be spelt-out along Dretskean lines. After all, the Dretskean line does take far-off skeptical possible worlds to be relevant to the determination of knowledge (albeit only knowledge of anti-skeptical propositions), whereas the basic RA idea was surely that such far-off worlds were manifestly irrelevant to the determination of knowledge (any knowledge). There thus seems to be an ambiguity in the RA thesis. Either we take it as meaning that relevance is determined by the nearest not-P world (no matter how far-out that might be), and thus end up with the thesis that Dretske and Nozick propose, or else we construe it as simply demanding that only near-by possible worlds are relevant worlds. This is no mere technical dispute either, since a great deal hangs upon which alternative we adopt.

After all, if we adopt the latter reading of the core RA thesis then we are left with the thought that knowledge possession only requires tracking the truth in near-by possible worlds and on this construal the motivation for denying closure fades. For not only will an agent’s belief in an everyday proposition typically track the truth in near-by possible worlds, so will her belief that she is not a BIV (since she is, by hypothesis, not a BIV in any near-by world). Admittedly, this belief will not track the truth in the nearest possible world in which she is a BIV, but since this possible world is far-off, this fact alone should not suffice on this construal of the RA thesis to undermine her knowledge. An entirely different reading of the core RA thesis thus seems to license the denial of the first premise of the skeptical argument, (S1) – that we are unable to know the denials of skeptical hypotheses – rather than the denial of closure and thus the rejection of the second premise, (S2). Moreover, that this reading of the RA thesis does not result in the failure of closure means that it does possess some considerable dialectical advantage over the Dretske-Nozick thesis.

We will consider how such an approach to skepticism might function in more detail below. First, however, we will look at a different reading of the core RA thesis that also does not result in the denial of closure. Where this line differs from the one just canvassed is that it does not straightforwardly allow that one can know the denials of skeptical hypotheses either. Instead, it argues that the standards for relevance are variable such that, although one knows everyday propositions and thus the denials of skeptical hypotheses relative to a low standard of relevance, one lacks knowledge of these everyday propositions and thus of the denials of skeptical hypotheses at high standards of relevance. In this way, the hope is that this thesis can explain both our skeptical and anti-skeptical intuitions (and our attachment to closure), whilst nevertheless denying the universal correctness of the skeptical argument. This anti-skeptical thesis is contextualism, and since the version that we will be considering regards the mechanisms that alter these standards of relevance to be conversational mechanisms, we will call it semantic contextualism.

3. Semantic Contextualism

Semantic contextualism – as put forward by such figures as Stewart Cohen (1987; 1988; 1991; 1999; 2000), DeRose (1995) and David Lewis (1996) – is without doubt the most dominant form of anti-skeptical theory in the current literature. In essence, this view maintains that skeptical arguments only seem to work because they exploit the way in which the correct employment of our epistemic concepts (such as knowledge) can be influenced by features of the conversational context. More specifically, semantic contextualists argue that the standards for knowledge possession fluctuate depending on what is at issue in that conversational context. Accordingly, they are in a position to allow that both skepticism and anti-skepticism could, in a restricted sense, be true. In skeptical conversational contexts where the standards are high, the skeptical conclusion that we know very little will be true. In contrast, in non-skeptical conversational contexts where the standards will be relatively low, we are in a position to know much of what we think we know, albeit only to this low epistemic standard.

In what follows, I will primarily focus my explication of the semantic contextualist thesis by looking at DeRose’s version since this is the most developed (and, arguably, the most influential) characterisation of the thesis which incorporates most of the main features of the other two accounts. Later on, however, I’ll mention some of the key differences between these three versions of the semantic contextualist view. Moreover, in §4, I will be looking at a different type of contextualist theory that is advanced by Michael Williams (1991) – what I call inferential contextualism – which does not conform to the basic semantic contextualist template.

Before we look at the DeRose version of the semantic contextualist thesis, however, it is worthwhile first being clear about the following supposed features of the ‘phenomenology’ of our engagement with skepticism since semantic contextualism can most naturally be viewed as a response, and to some extent as an accommodation, of these features:

I. Ascriptions of knowledge to subjects in conversational contexts in which skeptical error-possibilities have been raised seems improper.

II. In conversational contexts in which no skeptical error-possibilities are in play it seems perfectly appropriate to ascribe knowledge to subjects.

III. All that may change when one moves from a non-skeptical conversational context to a skeptical context are mere conversational factors.

The first two features represent what Williams (1991, chapter one) refers to as our ‘biperspectivalism’, our intuition that skepticism is compelling under the conditions of philosophical reflection but never able to impact on everyday life where it is all but ignored. The third feature creates the tension because it highlights our sense that one of these judgements must be wrong. That is, since conversational topic has no obvious bearing on the epistemic status of a subject’s beliefs, that it ought to be universally true (that is, whatever the conversational context) that the subject either does or does not know the propositions in question. So either our knowledge ascriptions in everyday contexts are right (and thus the skeptic is wrong), in which case we shouldn’t take skepticism so seriously in conversational contexts in which skepticism is at issue; or else the skeptic is right, and thus our everyday practice of ascribing knowledge is under threat. Semantic contextualism opposes this thought with the suggestion that what is actually occurring is not a contradiction but a responsiveness, on the part of the attributor of knowledge, to a fluctuation in the epistemic standards (and with them the subject’s possession of knowledge) caused by a change in the conversational context. In effect, and contra the third claim listed above, semantic contextualism holds that mere changes in the conversational context can have an effect on the epistemic status of one’s beliefs so that it can be true both that one has knowledge in everyday contexts whilst lacking it in skeptical conversational contexts.

Accordingly, we find DeRose (1995) arguing that the basic contextualist strategy pivots upon the acceptability, and appropriate use, of the following contextualist thesis:

Suppose a speaker A (for “attributor”) says, “S knows that P”, of a subject S’s true belief that P. According to contextualist theories of knowledge attributions, how strong an epistemic position S must be in with respect to P for A’s assertion to be true can vary according to features of A’s conversational context. (DeRose 1995, 4)

Here we get the essentials of the semantic contextualist view. In particular, we get (i) the claim that the strength of epistemic position that an agent needs to be in if she is to have knowledge can fluctuate from context to context (which makes the thesis contextualist); and (ii) the claim that what is at issue in the determination of contexts in this respect is the conversational context (which makes the contextualist thesis semantic). The interesting question now is how the details of how this account is to function are to be spelt-out.

The first thing that DeRose tries to capture is the intuition that as one moves from one conversational context to another one’s epistemic situation (one’s total informational state for instance) could remain exactly the same. DeRose accommodates this intuition in conjunction with the contextualist picture by arguing, as the above quotation indicates, that although one’s “epistemic position” is constant at any one time, the epistemic position that one needs to be in so as to count as possessing knowledge can be variable. Strength of “epistemic position” is characterised by DeRose as follows:

[…] being in a strong epistemic position with respect to P is to have a belief as to whether P is true match the fact of the matter as to whether P is true, not only in the actual world, but also at the worlds sufficiently close to the actual world. That is, one’s belief should not only be true, but also should be non-accidentally true, where this requires one’s belief as to whether P is true to match the fact of the matter at nearby worlds. The further away one gets from the actual world, while still having it be the case that one’s belief matches the fact at worlds that far away and closer, the stronger a position one is in with respect to P. (DeRose 1995, 34)

In order to see this, imagine that Lars believes that his car is outside on the basis of a certain fixed informational state (which involves, perhaps, his memory of the car being there a few hours ago, his grounds for believing that no-one would steal it, and so forth). Now imagine an (almost) exact counterpart of Lars – Lars* – who is in exactly the same cognitive state except that he has the extra piece of information that the car was there a minute ago (perhaps he looked). Clearly, Lars* will be in a slightly better epistemic position with respect to his belief that his car is outside than Lars. Although they will, in general, track the truth across the same set of possible worlds, Lars* will track the truth in a few extra possible worlds, such as the possible worlds in which his car was stolen ten minutes ago.

DeRose then goes on to describe the mechanism which changes the conversational context (and thereby alters the epistemic standards at play) in terms of the thesis of Dretskean Sensitivity that we saw above. Recall that for an agent to have a belief in P that is sensitive in this way, the agent must not only have a true belief in P in the actual world, but also not believe P in the nearest possible world (or worlds) in which P is false. DeRose’s thought is that in any particular conversational context there is a certain set of propositions that are explicitly at issue and that the agent must, at the very least, be sensitive to all these ‘explicit’ propositions if she is to know them. Moreover, the most demanding of these propositions – the proposition which has a negation that occupies the furthest-out possible world – will set the standard for that conversational context since this not-P world will determine the extent of possible worlds that one’s beliefs must be able to track if one is to be truly said to know a proposition in that context. Knowing a proposition thus involves being in an epistemic position sufficient to track the truth across the range of possible worlds determined by the most demanding proposition explicit to that context. Crucially, however (and I will be expanding upon this detail in a moment), this point also applies to propositions which are implicit to a conversational context (that is, propositions which one believes but which are not explicit to that conversational context). In order to know such a proposition – even if one’s belief in that proposition is not sensitive – one need only be in a sufficient epistemic position to meet the standards of that context. (The importance of this point will soon become apparent).

DeRose then characterises the mechanism that brings about an upward shift in epistemic standards as follows:

When it is asserted that some subject S knows (or does not know) some proposition P, the standards for knowledge (the standards for how good an epistemic position one must be in to count as knowing) tend to be raised, if need be, to such a level as to require S’s belief in that particular P to be sensitive for it to count as knowledge. (DeRose 1995, 36)

That is, what changes a conversational context is when a new proposition is made explicit to that context which is more demanding than any of the propositions currently explicit in that context. This will thus increase the range of possible worlds at issue in the determination of knowledge, and thereby increase the strength of epistemic position required in order to be truly said to know.

What motivates this claim is the fact that, as Lewis (1979) famously argued, when it comes to ‘context-sensitive’ terms like ‘flat’ or ‘knowledge’, the conversational ‘score’ tends to change depending upon the assertions of that context. We may all agree that the table in front of us is ‘flat’ in an everyday context, but, ceteris paribus, if someone enters the room and denies that it is flat we do not thereby disagree with her. Instead, we take it that she means ‘flat’ in some more demanding sense and so raise the standards for ‘flatness’ so as to make her assertion true (this is what Lewis (1996, 559) calls a “rule of accommodation”). That is, we take it that the new participant of our conversational context means flat in some more restricted sense so that the barely perceptible bumps on the table before us are sufficient to make the claim “This table is flat” false. DeRose considers the Lewis line to have captured something intuitive about the pragmatics of how we use our ‘context-sensitive’ terms and, moreover, believes that epistemic terms such as ‘knowledge’ behave in a similar way.

An example will help clarify matters here. Imagine an agent in a quotidian context in which only everyday propositions, such as whether or not one is currently having dinner with one’s brother (P), or whether or not the garden gate has been closed (Q), are at issue. Sensitivity to these everyday propositions will only require the consideration of nearby possible worlds and thus the strength of epistemic position demanded will be very weak. Let us say, plausibly, that the possible world in which one is not having dinner with one’s brother is ‘further-out’ than the possible world in which the garden gate is not closed. This proposition will thus determine the range of possible worlds at issue in the determination of knowledge in that conversational context. Let us further suppose that the agent in question does have a sensitive belief in this proposition. The issue of what other propositions the subject knows will now be decided by whether the agent’s belief in those propositions will track the truth across the range of possible worlds determined by not-P. If, for instance, the agent’s belief that the garden gate is closed matches the truth as to whether Q in all of the possible worlds within that range, then she will know Q. Equally, however, if the subject’s belief in a proposition which is implicit to that conversational context tracks the truth across this range of possible worlds then that proposition will be known also, even if the agent’s belief in that proposition is not sensitive.

Consider, for instance, the agent’s belief that she is not a BIV, a proposition which, as we saw above, one cannot be sensitive to because in the nearest BIV-world one still believes that one is not a BIV. On the contextualist model, however, if one is in a conversational context in which such a proposition is not explicit, then one can know this proposition just so long as one has a belief as to whether this proposition is true which matches the facts as to whether it is true within the range of possible worlds at issue. And, clearly, this demand will be trivially satisfied in the above scenario where the subject has a sensitive belief in the ordinary proposition, P. After all, insofar as one has such a sensitive belief in P, then it must be the case that the BIV skeptical world is, modally speaking, far-out, for if it weren’t, then this would affect the sensitivity of the subject’s beliefs in ordinary propositions like P. Accordingly, on this view, all the subject needs in this context is a stubborn belief that she is not a BIV in order to be truly said to know this proposition in this conversational context. The contextualist can thus capture the second element of the ‘phenomenology’ of our engagement with skepticism that we noted above – that, in quotidian conversational contexts, we are perfectly willing to ascribe knowledge of everyday propositions and also feel that we must know the denials of skeptical hypotheses as well.

One might wonder why I use the word ‘feel’ here. Well, the reason is that, on the contextualist account, if one were to explicitly mention these anti-skeptical propositions (as one would if one were to verbally ascribe knowledge of them to oneself), then one would thereby make that proposition explicit to the conversational context and so change the epistemic standards needed for knowledge accordingly. In order to have knowledge that one is not a BIV within the new conversational context, one’s belief that one is not a BIV must now exhibit sensitivity (which, as we saw above, is impossible), and the possible worlds relevant to the determination of that sensitivity will be relevant to one’s knowledge of even everyday propositions. Accordingly, one will now lack knowledge both of the denial of the skeptical hypothesis (because one’s belief in this respect is not sensitive), and of the everyday propositions (since even though one’s beliefs in these propositions are sensitive, one can never be in an epistemic position that would support knowledge of them which would be strong enough to track the truth in far-off BIV-worlds). The contextualist thus claims to have captured the other two aspects of the ‘phenomenology’ of our engagement with skepticism – that we are completely unwilling to ascribe knowledge in skeptical conversational contexts, and that this is even so when the only thing that may have changed from the non-skeptical conversational context in which we were willing to ascribe knowledge is the course of the conversation. Moreover, the contextualist has done this without either conceding the universal truth of skepticism (since skepticism is false in everyday contexts), or denying closure (since there is no single context in which one both knows an everyday proposition whilst lacking knowledge of the denial of a skeptical hypothesis). Accordingly, DeRose claims to have ‘solved’ the skeptical paradox in an entirely intuitive manner.

The semantic contextualist proposals made by Lewis, Cohen and others run along similar lines to the DeRose thesis. The key difference between DeRose and Lewis is that Lewis cashes-out his thesis in terms of a series of rules which determine when we may and may not properly ignore a certain error-possibility rather than in terms of a general modal account of knowledge. The key difference between Cohen’s position and that advanced by Lewis and DeRose is that it is centred upon the concept of justification rather than knowledge and incorporates a certain view about the structure of reasons (Cohen 1999; 2000). That the DeRose view differs in these ways from the views presented by Lewis and Cohen may work in its favour. As Timothy Williamson (2001) has pointed out, DeRose’s more straightforward position may be insulated from the kind of ad hoc charges regarding Lewis’ employment of numerous rules governing when an error-possibility is properly ignored, (as put forward, for example, by Williams (2001)). Moreover, the stress on justification in Cohen’s account can make it unappealing to those who find such a notion problematic, at least insofar as it is understood as playing an essential role in knowledge acquisition. There are thus prima facie grounds for thinking that if any semantic contextualist theory will work, then it will be one run along the lines presented by DeRose.

In any case, the most interesting objections against semantic externalism do not rest upon specific elements of the particular versions of this position, but rather strike against the general approach. Perhaps the most obvious concern facing semantic contextualism is that its claim that the epistemic status of an agent’s beliefs can be variable in response to mere conversational factors is highly contentious. For instance, contra Cohen’s (1991) contextualist characterisation of his RA position, Dretske writes:

Knowledge is relative, yes, but relative to the extra-evidential circumstances of the knower and those who, like the knower, have the same stake in what is true in the matter in question. Knowledge is context sensitive, according to this view, but it is not indexical. If two people disagree about what is known, they have a genuine disagreement. They can’t both be right. (Dretske 1991, 191)

That is, Dretske rejects outright the thought that the truth-value of a knowledge claim can be dependent upon anything other than what the concrete features of the situation are. I won’t undertake a detailed discussion of this line of attack against semantic contextualism here, however, since the semantic contextualist proposal is clearly meant to be understood as a revisionistic proposal in this respect. Indeed, this is to be expected given that, as we have already seen, any plausible anti-skeptical proposal will have to deny some claim that is otherwise thought to be intuitive (Dretske himself denies closure, for example). To query this element of the thesis alone is thus not to give it a run for its money (although, if one can couple this line of critique with other concerns then it can carry some dialectical weight).

The other more general lines of criticism against semantic contextualism fall into three main camps. First, there is the allegation that semantic contextualism leaves us no better off than we were before. Second, there is the worry about how the contextualist is to explain our knowledge (albeit only in quotidian contexts) of the denials of skeptical hypotheses. After all, as we noted above, we do have a strong intuition that we can never know such propositions in any context (recall that this intuition was one of the motivating factors behind the Dretskean theory). Third, there is the claim that semantic contextualism is guilty of over-kill in its approach to skepticism in that it essentially incorporates a claim which would suffice to undermine radical skepticism by itself (i. e., regardless of whether it is combined with a general contextualist thesis). Accordingly, on this view, contextualism is both unnecessary and ill-motivated.

The worry that motivates the first concern is that what semantic contextualism does concede to the skeptic is the ‘hierarchical’ structure of her doubts. That is, on the semantic contextualist view the skeptic is indeed working at a high epistemic standard, one that is more demanding than our everyday standards. The problem with conceding this much to the skeptic is that it appears to legitimate the concern that the skeptic’s standards are the right standards, and thus that, although we are content to ascribe everyday knowledge in quotidian contexts, we ought not to ascribe such knowledge because, strictly speaking, we lack knowledge relative to the proper skeptical standards that should be employed (see Pritchard 2001a for a development of this problem). This line of thought should be familiar as the general infallibilist line that we saw Unger arguing for in §2 and one might think that one could dismiss it on the same grounds that were canvassed there. Matters are not quite so simple, however. Indeed, it is interesting that in more recent works Unger (1984; 1986) has toned down his commitment to infallibilism in favour of a different conception of the skeptical debate which argues that there is nothing to tell between the contextualist reading of our epistemic concepts and what he calls ‘invariantism’, which would license infallibilist conclusions. Unger’s point here is that all contextualism can achieve is, at best, a kind of impasse with the skeptic such that we know that one of these views must be right but where we are unable to definitively determine which. Is it that the standards are high and only seem variable because we are content to talk loosely in everyday contexts (in which case the infallibilist, and thus the skeptic, is right), or is it that our epistemic concepts are genuinely variable and thus that we do have knowledge relative to low everyday epistemic standards (in which case the contextualist is right and the skeptic is wrong)? The skeptical thought that arises here is that if we are unable to offer sufficient reasons for preferring the latter scenario over the former then contextualism does not put us in a better situation than we were in before.

The second worry – that contextualism is unable to explain how we can have knowledge of the denials of skeptical hypotheses – is particularly striking because if this claim holds then semantic contextualism does not even supply us with an impasse with the skeptic. Instead, the position would simply be incoherent. The thought here is that since our, presumably empirical, knowledge in this respect cannot be coherently thought of as being the result of an empirical investigation, hence we cannot make sense of it at all. Perhaps the bravest response to this line of attack in the recent literature can be found in the suggestion made by both Cohen (1999; 2000) and DeRose (2000) that it might be possible to understand an agent’s knowledge of the denials of skeptical hypotheses along a priori lines. Cohen motivates this thought relative to what he terms the “a priori rationality” of denying skeptical error-possibilities (e.g. Cohen 2000, 104), whilst DeRose employs Putnamian reflections on semantic externalism as a means of showing how we might have a priori knowledge of empirical truths.

Even if these lines of argument could be made palatable, however, a further line of attack (the third worry listed above) would instantly emerge. For if we can indeed make sense of our putative knowledge of the denials of skeptical hypotheses then what could the motivation for an epistemologically revisionist thesis like contextualism possibly be? After all, the epistemological revisionism incorporated in contextualism only seemed necessary because our knowledge of these propositions seemed so insecure. If we can have knowledge of these propositions, however, then why not simply motivate one’s anti-skepticism by straightforwardly denying the first premise of the skeptical argument, (S1), rather than by going contextualist? We will return to consider this kind of anti-skeptical proposal – known as the ‘Neo-Moorean’ view – in more detail in §5.

4. “Hinge” Propositions and Inferential Contextualism

Before we look at this neo-Moorean approach to radical skepticism, however, it is worthwhile to first consider two lines of argument which, at least superficially, might appear to be analogue approaches to that of the Dretskean and semantic contextualist line. Where these anti-skeptical approaches differ, in the first instance at least, from those just canvassed, is that they primarily take their stimulus not from the RA debate but from Wittgenstein’s last notebooks (published as On Certainty) which were on the topic of knowledge and skepticism.

Both of these accounts focus upon the Wittgensteinian notion of a “hinge proposition”, though they each use the notion in a different way. The first camp, which includes such figures as Peter Strawson (1985), Crispin Wright (1985; 1991; 2000), Hilary Putnam (1992) and Avrum Stroll (1994) might be considered to be offering the purest hinge proposition thesis because for them the notion is the primary unit upon which their anti-skepticism rests. In contrast, the conception of this notion employed by Williams (1991) is developed along explicitly contextualist lines. Interestingly, however, the type of contextualism that emerges is not of a semantic variety. I will consider each of these views in turn. First, however, we need to look a little at what Wittgenstein had in mind in his employment of this notion.

Wittgenstein describes hinge propositions as follows:

[…] the questions that we raise and our doubts depend upon the fact that some propositions are exempt from doubt, are as it were like hinges on which those turn.

That is to say, it belongs to the logic of our scientific investigations that certain things are in deed not doubted.

But it isn’t that the situation is like this: We just can’t investigate everything, and for that reason we are forced to rest content with assumption. If I want the door to turn, the hinges must stay put. (Wittgenstein 1969 §§341-3)

As this quotation indicates, what is odd about these propositions is that, unlike other seemingly empirical propositions, our belief in them does not seem to either stand in need of evidential buttress or, for that matter, be legitimately prone to coherent doubt. And this property is not explained merely by the fact that these propositions are “in deed not doubted”, since the situation is rather that we do not doubt them because, in some sense, we ought not to doubt them. Even despite their lack of sufficient evidential support, their immunity to coherent doubt is part of “the logic of our scientific investigations.”

In proposing this notion Wittgenstein was explicitly challenging the conventional epistemological wisdom that a belief is only legitimately held if it is sufficiently evidentially grounded (otherwise it is open to legitimate doubt), and that no belief in an empirical proposition is beyond coherent doubt should the grounds for that belief be found wanting. In particular, Wittgenstein’s remarks here were primarily targeted at G. E. Moore’s (1925; 1939) famous “common-sense” response to the skeptic. In effect, what Moore did was reverse the skeptical train of reasoning by arguing, on the basis of his conviction that the skeptical conclusion must be false, that he did know the denial of the relevant skeptical hypothesis after all. In general, the Moorean response to the skeptic is to respond to the skeptic’s modus ponens argument with the corresponding modus tollens.

Wittgenstein claimed that where Moore went wrong was in treating a hinge proposition as if it were just a normal empirical proposition. In particular, he focussed upon Moore’s use of the everyday proposition ‘I have two hands’ in this respect, arguing that this is, in normal circumstances, a hinge proposition and thus that the certainty that we attach to it is not due to any evidence that we might have for its favour but rather reflects the fact that in those circumstances it is what ‘stands fast’ in our assessment of other propositions. Nothing is more certain that this proposition in ordinary circumstances, and thus no other belief could be coherently regarded as providing support for it or be coherently thought to undermine it. As Wittgenstein puts the matter at one point:

My having two hands is, in normal circumstances, as certain as anything that I could produce in evidence for it.

That is why I am not in a position to take the sight of my hand as evidence for it. (Wittgenstein 1969 §250)

Given that this is so, however, Moore cannot use the certainty he has for this proposition in order to derive support for his belief in the denials of skeptical hypotheses since, strictly speaking, his belief in this proposition is not grounded at all. Indeed, Wittgenstein goes further to argue that, insofar as Moore regards this proposition as being grounded by the evidence he has for it, then the circumstances are no longer ‘normal’ in the relevant respects and thus the proposition is no longer a hinge proposition. And in these conditions, it would be ridiculous to try to buttress one’s belief in the denials of skeptical hypotheses with the support that one has for this proposition (Wittgenstein (1969, §20) compares it to basing one’s belief in the existence of the external world on the grounds one has for thinking that there are other planets).

Wittgenstein is not endorsing radical skepticism by attacking Moore in this way, for the general anti-skeptical line that emerges is that where the skeptic, like Moore, goes wrong is in considering certain basic propositions as being coherently open to doubt. In doing so, or so the argument runs, she fails to pay due attention to the pivotal role that certain, apparently ordinary, propositions can play in our systems of beliefs and thus to the manner in which even everyday propositions can be held with conviction without thereby standing in need of a corresponding degree of evidential buttress.

So construed, the hinge proposition line is largely a diagnosis of why we are so tempted by skeptical arguments rather than a refutation of the skeptical argument. Indeed, in the hands of Strawson (1985), Putnam (1992), and Stroll (1994) this is what the hinge proposition line is largely designed to do. So construed, however, it is difficult to see what comfort it offers. After all, it is far from clear that it results in the denial of any of the intuitions that we saw at issue in our formulation of the skeptical argument in §1. In particular, this diagnostic thesis neither results in the denial of closure nor in a contextualist thesis. Moreover, the standard hinge proposition line explicitly allows that hinge propositions are not known, strictly speaking, since they fall outside of the ambit of epistemic evaluation (being instead the nodes around which epistemic evaluation takes place). The anti-skeptical import of the basic hinge proposition line is thus moot.

In the hands of Wright (1985; 1991; 2000) and Williams (1991), however, one finds a much stronger version of this approach. I will focus on each in turn. In effect, Wright argues that doubting hinge propositions does not merely reflect a misunderstanding of the epistemological landscape, rather it also leads to intellectual self-subversion. The most sophisticated of these arguments can be found in Wright (1991), where he attempts to show that dreaming skepticism must be unsound because it leads to a more radical form of doubt which undermines the very presuppositions that the skeptic needs to employ in order to get her dreaming skepticism off the ground. Thus, dreaming skepticism is necessarily intellectually self-subverting and thus it can be disregarded with impunity. What this line adds to the previous approaches is a principled epistemic ground for discounting the skeptic’s doubt. In particular, since it is epistemically irrational to doubt the hinge propositions in question, the implication of the argument that Wright offers is that we can indeed know the denials of skeptical hypotheses on the basis of our knowledge of everyday propositions even though our belief in the former is not evidentially grounded. As Wright (1991, 107-8) puts the point, “the impossibility of earning a warrant that one is not now dreaming does not imply that no such warrant is ever possessed.”

Although Wright does succeed in at least showing how the diagnosis of radical skepticism that the hinge proposition line offers might lead to a refutation of the skeptical argument, a number of problems with his approach remain. One worry concerns the examples of hinge propositions that he uses. Whereas Wittgenstein seemed to have everyday propositions in mind in his use of this notion (and ‘I have two hands’ in particular), Wright’s argument only works if one takes the denials of skeptical hypotheses as hinge propositions, a move that receives only ambiguous support in the text. A more serious worry concerns how, exactly, we are to cash-out this idea that the warrant which underpins our putative knowledge of the denials of hinge propositions can be “unearned” in the fashion that Wright envisages (see Pritchard 2001c). After all, the idea that we could have knowledge of these propositions purely because we have knowledge of everyday propositions does seem to be question begging. Again, then, the worry about closure in the context of the skeptical debate is brought to the fore. The intuition that closure holds leads us to think that an anti-skeptical theory must incorporate the claim that we can know the denials of skeptical hypotheses, even though such knowledge bears few, if any, of the usual hallmarks of empirical knowledge. This tension can only be resolved by either denying closure or allowing that we can know the denials of skeptical hypotheses, but each of these moves raises tensions of its own.

Wright responds to this latter worry in more recent work. Drawing upon remarks made by Martin Davies (1998), Wright (2000) argues that we need to distinguish between the principle of closure and what he terms the principle of “transmission”. In essence, his way around this concern about closure is to maintain that whilst knowledge does indeed transfer across known entailments as closure demands, it does not transmit, where transmission requires something more demanding. In particular, transmission demands that the “cogency” of the argument be preserved, which is its aptitude to produce rational conviction. Here is Wright:

A cogent argument is one whereby someone could be moved to rational conviction of the truth of its conclusion. (Wright 2000, 140)

So Wright’s thought is that if one does know the everyday propositions then, trivially, one must know the denials of skeptical hypotheses that are known to be entailed by those propositions. Nevertheless, that closure holds in these cases does not mean that any argument that attempts to establish anti-skeptical knowledge on this basis will be apt to convince a third party. After all, notes Wright, the argument is question begging in the relevant respect since it is only by taking for granted the denials of radical skeptical hypotheses (that is, by taking the relevant hinge propositions for granted) that the agent is able to have knowledge of the everyday propositions in the first place. This is a compelling move to make since it diagnoses the arguments against closure by characterising them in terms of how what is lacking from the conclusion is not knowledge but something just as valuable, a conclusion that is apt to convince. It also explains the failure of the Moorean approach, for where Moore goes wrong is not in lacking the knowledge that he claims to have, but rather in attempting to secure any conviction on the part of his audience by offering his argument. Indeed, this is a very Wittgensteinian claim to make since Wittgenstein himself argues that:

Moore’s mistake lies in this – countering the assertion that one cannot know that, by saying “I do know it”. (Wittgenstein 1969, §521, italics added)

As this quotation implies, the problem with Moore’s argument is precisely not the falsity of the conclusion (which would be to validate either radical skepticism or the denial of closure), but rather concerns the manner in which he proposes it and the ends that it is designed to serve.

Still, compelling though this approach is, we are still in need of an account of knowledge which can explain how it is that we can know such propositions as the denials of skeptical hypotheses, something which Wright himself does not offer (see Pritchard 2002a for more on this point). For this contribution to the anti-skeptical debate we must look elsewhere. I will consider such an account in a moment, for one could view the neo-Moorean strategy as presenting the required analysis. First, however, I will briefly mention another influential reading of the hinge proposition thesis, due to Williams (1991).

As might be expected, what identifies Williams’ inferential thesis as a contextualist account is that it incorporates the claim that one should understand knowledge relative to a context of some description. Like the semantic contextualist view put forward by DeRose et al, Williams argues that certain error-possibilities are only epistemically relevant, and thus potentially knowledge defeating, in certain contexts. Moreover, Williams is also keen to retain the closure principle. He does so on contextualist grounds, arguing that provided one keeps to the one context then closure will hold. As with the semantic contextualist position, then, apparent failures of closure are simply due to equivocations between different contexts.

The Williams line thus shares a central core of claims with the semantic contextualist view. Nevertheless, their disagreements are significant. The two main areas of disparity between the two theories are as follows. First, Williams does not individuate contexts along a ‘conversational’ axis, but rather in terms of the inferential structure of that context (hence the name, inferential contextualism). Second (and as we will see this point is closely related to the inferential thesis), Williams does not allow a context-independent hierarchy of contexts. That is, unlike the semantic contextualists, Williams does not, for example, regard the skeptical context as being a more epistemically demanding context. Rather, it is just a context which employs a different epistemic structure.

Indeed, on Williams’ view, contextualism just is the thesis that there is no such hierarchy of epistemic contexts – instead, each context is, epistemically speaking, autonomous. To think otherwise is, he thinks, to fall victim to the doctrine of “epistemological realism” – the view that the objects of epistemological inquiry have an inherent, and thus context-independent, structure. In contrast, the inferential contextualism that he advances is defined as the denial of this thesis. It holds that:

[…] the epistemic status of a given proposition is liable to shift with situational, disciplinary and other contextually variable factors: it is to hold that, independently of such influences, a proposition has no epistemic status whatsoever. (Williams 1991, 119)

And Williams is quite clear that this last phrase “has no epistemic status whatsoever” is meant to indicate that there is no context-independent means by which we can evaluate the standards wrought in different contexts. He describes his view as a “deflationary” theory of knowledge, in that it holds that there need be nothing that ties all instances of knowledge together other than the fact that they are instances of knowledge. He writes:

A deflationary account of “know” may show how the word is embedded in a teachable and useful linguistic practice, without supposing that “being known to be true” denotes a property that groups propositions into a theoretically significant kind. We can have an account of the use and utility of “know” without supposing that there is such a thing as human knowledge. (Williams 1991, 113)

It is as a consequence of such a view that the very validity of the epistemological enterprise, at least as it is commonly understood, is called into question:

If we give up the idea of pervasive, underlying epistemological constraints; if we start to see the plurality of constraints that inform the various special disciplines, never mind ordinary, unsystematic factual discourse, as genuinely irreducible; if we become suspicious of the idea that “our powers and faculties” can be evaluated independently of everything having to do with the world and our place in it: then we lose our grip on the idea of “human knowledge” as an object of theory. (Williams 1991, 106)

And to say that “human knowledge” is not a suitable object of theory is itself to say that the epistemological project cannot be systematically conceived. On Williams’ view there is no epistemological analysis to be conducted outside of contextual parameters and, accordingly, there are no context-independent standards either as the semantic contextualist model would suggest.

It is as a consequence of this stance that Williams is forced to concede that the skeptic is perfectly correct in her assessment of our knowledge, but only because she is operating within an epistemic context that utilises a standard which defeats our everyday knowledge. That is, the skeptic’s conclusions are correct, but, by being confined to a specific epistemic context, they lack the hegemony that she requires in order to cause the intended epistemic harm. It does not follow from the truth of skepticism that we lack the everyday knowledge that we attribute to ourselves, or even that such knowledge is inferior to the knowledge that the skeptic has in mind (which would, in line with the semantic contextualist view, presuppose a hierarchy). That is:

The skeptic takes himself to have discovered, under the conditions of philosophical reflection, that knowledge of the world is impossible. But in fact, the most he has discovered is that knowledge of the world is impossible under the conditions of philosophical reflection. (Williams 1991, 130)

So whereas the ‘hierarchical’ camp of semantic contextualists tend to individuate contexts in terms of a context-transcendent criterion of rigour, Williams’ schema allows no such ordering of contexts. For him, a context is individuated purely in terms of the epistemic structure it endorses – in terms of the inferential relations that obtain between the types of beliefs that that context is interested in. And since no context employs universal standards, this contextual epistemic structure is also identified in terms of what it takes for granted – which propositions it regards as being immune from doubt in terms of that context. Williams calls the defining assumptions of a context of inquiry its “methodological necessities”, and this notion is explicitly meant to capture the chief insights behind the Wittgensteinian notion of a hinge proposition. When we do history, for example, we take the general veracity of historical documentation for granted, as well as the denials of certain skeptical scenarios such as that the world came into existence five minutes ago replete with the traces of a distant ancestry (the so-called ‘Russellian Hypothesis’). To doubt such methodological necessities (/hinge propositions) is not, he argues, to conduct our historical investigations in a more exacting fashion, but rather to engage in a different sort of investigation altogether, one that is guided by traditional epistemological concerns.

The methodological necessities of the traditional epistemological project which, Williams claims, spawns the skeptical threat, are meant to involve a commitment to this false doctrine of epistemological realism. This leads, he argues, to an antiquated foundationalism, one manifestation of which is the traditional epistemologist’s concern with the problem of the external world. This problem is meant to reflect the inadequacy of beliefs of one type – concerning immediate experience – at serving the purpose of epistemically supporting beliefs of another type – concerning material objects in the external world. With the problem so characterised, Williams maintains that it should come as no surprise to find that it is without a solution (there are no beliefs concerning immediate experience that are able to act as epistemic guarantors for beliefs concerning objects in the material world). But, he contends, this need not result in a general external world skepticism because this conception of the inferential ordering needed for warranted beliefs about ‘external’ objects is far from obligatory. In terms of another type of inquiry, such as psychological investigations of perception for example, we may legitimately begin with beliefs about material objects and draw inferences about immediate experience. And since no context has any epistemological ascendancy over any other, the project of justifying psychological beliefs with reference to external world beliefs is just as valid as any epistemological theory which demanded that the inferential relations should point in the opposite direction.

Williams’ inferentialist contextualist view is thus both more radical and more demanding than its semantic counterpart. On the one hand, it is more radical because Williams does not concede to the skeptic that her skepticism functions at a higher epistemic standard. Instead, he argues that such skepticism merely reflects a different, and faulty, conception of the epistemological landscape. Williams’ view therefore evades one strand of criticism that we saw levelled at the semantic contextualist account above. On the other hand, it is more demanding because, for related reasons, Williams does not believe that mere changes in the conversational context can suffice to bring about a different epistemic context. Instead, there must be an actual difference in the inferential structure that is employed, and thus, given his contextualism, a difference in what is being taken for granted relative to what. Nevertheless, inferential contextualism may well carry with it even more troubling problems of its own, not least the worry that this approach is allied to a general quietistic philosophical approach. Critical appraisal of this theory has been limited, however, since this variant of the contextualist thesis has tended to be obscured by its semantic counterpart (though see Putnam 1998). As the dust settles on the current wave of discussion of the semantic contextualist proposal, one would expect this distinctive thesis to gain a greater degree of attention.

5. Neo-Moorean Responses to Skepticism

Back, then, to Wright, or, more specifically, to what was absent in Wright’s account, viz., an analysis of knowledge that could account for the conclusions that he presents. In essence, what Wright is offering is a neo-Moorean response to skepticism in that he allows, with Moore, that if we do know everyday propositions then we must know the denials of radical skeptical hypotheses that are known to be entailed by them. Where Wright differs from Moore is in not allowing that one can coherently argue to this conclusion in any way that could secure rational conviction. Like Moore, however, Wright fails to supplement this account with an analysis of knowledge that would support it. In so doing, Wright is failing to properly engage with other proponents of the debate regarding radical skepticism – such as Dretske, Nozick and DeRose – who do supplement their anti-skeptical account with an analysis of knowledge (albeit, perhaps, only a partial one) that backs-up their theory. Although Wright does not offer such an account, however, there are analyses of knowledge in the literature that might provide support for his view, and it is to these analyses that we now turn.

Recall that the Dretskean line made Dretskean Sensitivity an essential component of knowledge, where this demanded that an agent should have a belief which is not only true, but which ‘tracks’ the truth of the proposition in question in the nearest possible world in which that proposition is false, no matter how ‘far-off’, modally speaking, that world is. It was this element of the thesis that secured the skeptic’s first premise, (S1), because no-one’s belief in the denial of a radical skeptical hypothesis could track the truth in this sense. Similarly, DeRose also made Dretskean Sensitivity relevant to knowledge, albeit only as regards those propositions that were at issue in that context. Accordingly, in skeptical conversational contexts where skeptical hypotheses were at issue agents lacked knowledge of these propositions. What both of these anti-skeptical approaches have in common is thus that they allow that, at least in some contexts, we can lack knowledge of the denials of ‘far-off’ skeptical error-possibilities (and thus that the first premise of the skeptical argument, (S1), is true, at least in some contexts).

In contrast to these lines of thought, Ernest Sosa (1999; 2000) has argued that we should instead regard what he terms “safety” as being central to knowledge rather than sensitivity. In essence, he characterises this notion as follows (Sosa 1999, 142):

Safety: In all near-by possible worlds, if an agent believes P, then P is true.

Similar proposals have also been put forward by Mark Sainsbury (1997), Williamson (2000a; 2000b, chapter 8), and Duncan Pritchard (2002c; cf. Pritchard 2001a; 2001b; 2002a). The anti-skeptical advantage that this kind of proposal offers over both the Dretskean line and either of the contextualist views that we have discussed is that it allows one to endorse a version of the Moorean proposal which neither issues in the denial of closure nor results in contextualism.

Take the former point first. What prompted the denial of closure was the fact that, if we take sensitivity as a necessary condition on knowledge, then we must allow that a subject can know everyday propositions whilst being unable to know all the known consequences of those everyday propositions – i.e., the denials of skeptical hypotheses. In contrast, on this view we can allow both that agents have knowledge of everyday propositions and that they can know the denials of radical skeptical hypotheses. Suppose, for example, that the agent does have a safe belief in an everyday proposition. Not only is this belief true in the actual world, but, across the range of near-by possible worlds where she believes this proposition, it is true there as well. Insofar as this belief really is safe, however, then there will not be any skeptical possible worlds in the realm of near-by possible worlds which determine that safety (henceforth, the “realm of safety”). For if there were such worlds present in the realm of safety, then this would suffice to undermine the agent’s knowledge of the everyday proposition since there would then be a near-by possible world in which the agent still believes the everyday proposition but where this proposition is false (because the skeptical hypothesis is true). But since skeptical possible worlds are now excluded from the realm of safety, it follows that the agent must also have a safe belief that she is not a BIV (or, indeed, the victim of any skeptical hypothesis). The reason for this is that there will be no possible world within the realm of safety in which this proposition is false, and thus, in every world in the realm of safety in which she believes this proposition (which, I take it, is all of them), her belief is true. Accordingly, skepticism is evaded and closure, as least as it functions in skeptical and anti-skeptical reasoning, is retained.

Moreover, the adoption of safety as a necessary condition on knowledge is also able to speak to the core relevant alternatives thought that we saw in §2. As expressed there, the thought was that I should be able to have knowledge without having to consider far-fetched, and therefore irrelevant, error-possibilities. This was supposed to be the intuition that Dretske was trying to accommodate with his modal account of knowledge, but, as we saw, he in fact ended up with a slightly different view which did make far-fetched error-possibilities relevant to knowledge, albeit only knowledge of the denials of skeptical hypotheses (note that it was this element of the view that resulted in the denial of closure). In contrast, a modal interpretation of the RA approach that is much closer to this core intuition is that knowledge (any knowledge) is only dependent upon one’s ability to track the truth in the relevant range of near-by possible worlds, not also in worlds far away. Accordingly, if the skeptical possibility is indeed far-fetched then it ought to be unable to influence my knowledge of everyday propositions or, for that matter, my knowledge of the denials of skeptical hypotheses. Safety captures this intuition by allowing agents to have knowledge in both cases provided skeptical possible worlds do not feature in the realm of safety. Dretskean Sensitivity, in contrast, violates this intuition by making knowledge dependent not just on the relevant circumstances in near-by worlds but also on the circumstances that obtain in far-off worlds (such as skeptical worlds) where the target proposition is false.

Furthermore, since the realm of safety does not vary in response to mere conversational factors, it follows that this is not a semantic contextualist thesis. If the agent does indeed know everyday propositions then, in line with the central Moorean contention, she will also know the denials of radical skeptical hypotheses, and this will be so no matter what conversational context the agent is in. We thus have a Moorean variety of anti-skepticism which, whilst keeping to the RA spirit of both the Dretskean and the semantic contextualist proposals, lacks the epistemological revisionism of either.

This is a compelling account of how a neo-Moorean proposal might run, and it certainly does seem to present one very plausible way of reading the core RA thesis. It is not quite as novel as it may at first seem, however, since one can trace the beginnings of such view in Gail C. Stine’s critical appraisal of the Dretskean thesis back in 1976. She noted that so long as one sticks to the core RA conception of relevance then the proper conclusion to be extracted is precisely that we shouldn’t concede a lack of knowledge of the denials of radical skeptical hypotheses, and thus reject closure. Instead, the conclusion we should draw is that, since such skeptical error-possibilities are indeed modally far-off, and thus irrelevant, it follows that we do know their denials after all (insofar as we know anything much) and thus that closure remains intact. Stine thus reaches a similar conclusion to Sosa’s, though without employing the technical modal machinery that Sosa adduces. It is interesting to note, however, that Stine recognised problems with this proposal that Sosa does not mention. In particular, she saw that the difficulty facing this brand of RA thesis is to explain how it can be that closure holds and thus that we do know the denials of anti-skeptical hypotheses after all, a problem that we also saw facing the semantic contextualist account above. As Stine herself admits, such a conclusion does indeed “sound odd”. In defence of her position she argues that this ‘oddness’ is not due to what is said being false, however (as the Dretske-Nozick line would suggest), but rather concerns the kind of false conversational implicatures that such a claim to know generate.

Although Stine does not develop this move, it is clearly a manœuvre that has a lot of mileage in it since it confronts head-on the worries about the lack of diagnostic appeal of the neo-Moorean approach. After all, one of the advantages of both the Dretskean and the semantic contextualist line is that they can explain the intuitive appeal of radical skepticism without succumbing to it. The neo-Moorean approach, in contrast, seems to make it a mystery as to why we were ever taken in by this fallacious line of reasoning in the first place. Thus, if it could be shown that the skeptic plays on pragmatic features of our language-games with epistemic terms in order to make her arguments superficially plausible, then we could supplement the neo-Moorean theory with a powerful diagnostic account which explains the phenomenology of our engagement with radical skepticism.

Just such an account is offered in Pritchard (2002c; cf. Pritchard 2001b; 2002a). Pritchard claims that we can strengthen Sosa’s account of knowledge whilst keeping true to the basic intuition that drives that notion (he offers an account of knowledge based on the notion of “super-safety”). Moreover, he goes on to show that the kind of mechanisms employed by the semantic contextualist account could just as well be regarded as mechanisms which govern the appropriate assertion of knowledge claims rather than as mechanisms which influence the truth-conditions of what is claimed. For example, the thought is that in skeptical conversational contexts it is the standards for correct assertion of knowledge claims that is raised (rather than the standards for knowledge), and that this fact explains why it is that we are reluctant to ascribe knowledge in skeptical contexts even though we are happy to ascribe such knowledge in quotidian contexts. Accordingly, the idea is that semantic contextualism, construed as a thesis about the fluctuating propriety conditions of knowledge claims, could actually be put into the service of the neo-Moorean view to offer the required diagnostic account. Indeed, elsewhere Pritchard (2001b) argues that a similar view can be extracted from some of Wittgenstein’s remarks on “hinge” propositions, so this view may well represent the beginnings of a thesis which integrates the two branches of recent work as regards skepticism. Moreover, Pritchard (2002a) also argues that Wright’s distinction between transmission and closure can be recast in terms of a distinction between the transference of knowledge across known entailments simpliciter (closure), and the transference of knowledge across known entailments where the knowledge retains a certain quality that makes it apt for proper assertion. Wright’s intuition about transmission is thus captured within this development of the neo-Moorean model by making use of the pragmatic features of our employment of epistemic terms.

This neo-Moorean approach is so recent that detailed critical assessment of it has not yet appeared. Nevertheless, we can note one possible avenue of discussion here, which is the possibly contentious use that the diagnostic element of this theory makes of the pragmatic/semantic distinction. If this element of the theory could be called into question then this would suffice to scupper the diagnostic component of the theory and thus drastically reduce its plausibility as an anti-skeptical thesis.

6. Epistemological Externalism and the New Skeptics

Before concluding, it is worthwhile to briefly dwell upon those influential figures in the recent epistemological debate who, in contrast to the current mood of optimism that can be found in epistemological discussion of the problem of radical skepticism, are deeply suspicious that any intellectually satisfactory solution could ever be given to this problem. The roots of this movement in the contemporary literature can be traced back to the work of three main figures – Unger (1971; 1975), Barry Stroud (1984; 1989) and Thomas Nagel (1986). We saw Unger’s infallibilist defence of skepticism earlier on, so here I will summarise Stroud’s and Nagel’s contribution, and highlight one way in which this variety of ‘meta-skepticism’ currently informs the skeptical debate, particularly as it figures in more recent work by Stroud (1994; 1996) and Richard Fumerton (1990; 1995).

For both Nagel and Stroud, the thought seems to be that there is something in our philosophical quest for objectivity that inexorably leads us to skeptical conclusions. Nagel argues, for instance, that objectivity involves attaining a completely impartial view of reality, one that is not tainted by any particular perspective. We must, he argues, “get outside of ourselves”, and thereby achieve the impossible task of being able to “view the world from nowhere from within it” (Nagel 1986, 76). We realise that the initial appearances present to a viewpoint can be unreliable guides to reality and therefore seek to modify our ‘subjective’ view with a more ‘objective’ perspective that is tempered by reason and reflection. As Nagel points out, however, the trouble with this approach is that:

[…] if initial appearances are not in themselves reliable guides to reality, [then] why should the products of detached reflection be any different? Why aren’t they […] equally doubtful […]? […] The same ideas that make the pursuit of objectivity seem necessary for knowledge make both objectivity and knowledge seem, on reflection, unattainable. (Nagel 1986, 76)

We can reconstruct the argument here as follows. We recognise that our initial unmodified ‘subjective’ experience of the world is unreliable and therefore should be adapted along ‘objective’ lines by eliminating the ‘subjective’ element. For instance, initial appearances tell us, falsely, that straight sticks suddenly become ‘bent’ when placed in water. Accordingly, we modify our initial ‘subjective’ view with the testimony of ‘objective’ scientific investigation which tells us that the stick in fact stays straight, it is just the light that is bending. However, and here is the crux of the matter as far as Nagel is concerned, why do we regard this modified view as being any more reliable than the completely ‘subjective’ perspective that it replaces? After all, we cannot eliminate every trace of ‘subjectivity’ and thus the problematic component of our conception of reality that engendered the pursuit of objectivity in the first place remains. Consequently, we are both aware of the need for objectivity whilst also recognising that such objectivity is impossible. As a result, according to Nagel, we are condemned to the following pessimistic evaluation of our epistemic capacities:

The search for objective knowledge, because of its commitment to a realist picture, is inescapably subject to skepticism and cannot refute it but must proceed under its shadow. […] Skepticism […] is a problem only because of the realist claims of objectivity. (Nagel 1986, 71)

That is, the problem of skepticism

[…] has no solution, but to recognise that is to come as near as we can to living in the light of truth. (Nagel 1986, 231)

Moreover, since these ‘realist’ truths concerning objectivity are meant to be inherent in our epistemic concepts, so it is held that this pessimism falls naturally out of any reflective analysis of our epistemic concepts.

Stroud makes similar claims. He writes:

The sceptical philosopher’s conception of our position and of his question for an understanding of it […] is a quest for an objective or detached understanding and explanation of the position we are objectively in. What is seen to be true from a detached ‘external’ standpoint might not correspond to what we take to be the truth about our position when we consider it ‘internally’, from within the practical contexts which give our words their social point. Philosophical scepticism says the two do not correspond; we never know anything about the world around us, although we say or imply that we do hundreds of times a day.

I think we do have a conception of things being a certain way quite independently of their being known or believed or said to be that way by anyone. I think that the source of the philosophical problem of the external world lies somewhere within just such a conception of an objective world or in our desire, expressed in terms of that conception, to gain a certain kind of understanding of our relation to the world. But in trying to describe that conception I think I have relied on nothing but platitudes we would all accept – not about specific ways we all now believe the world to be, but just the general idea of what an objective world or an objective state of affairs would be. If those platitudes about objectivity do indeed express the conception of the world and our relation to it that the sceptical philosopher relies on, and if I am right in thinking that scepticism can be avoided only if that conception is rejected, it will seem that in order to avoid scepticism we must deny platitudes we all accept. (Stroud 1984, 81-2)

And note that if responding to skepticism involves denying “platitudes that we would all accept”, then it follows that any adequate response to the problem of radical skepticism is bound to be intellectually unsatisfactory.

One might wonder, however, exactly how such epistemological pessimism is to impact on the kind of anti-skeptical proposals that we have considered in previous sections. After all, nearly all of them results in the denial of some key claim that the skeptic makes, and does so on motivated grounds. In what sense, then, must we accept that these proposals, whatever the details, are all going to be intellectually unsatisfactory?

In more recent discussion, one begins to see the emergence of a more definitive pessimistic line, however, which may well be able to give a more compelling expression to this worry. In general, although the point is not always put in these terms, the complaint is that these recent anti-skeptical approaches offer us, at best, an epistemologically externalist response to skepticism when what we wanted was one that functioned within an epistemologically internalist framework.

Simplifying somewhat, we can take epistemological internalism to consist in the claim that there is some substantive necessary condition for knowledge which depends upon facts that the agent is in a position to know by reflection alone. That is, the internalist insists that meeting an appropriate ‘internal’ epistemic condition is necessary for knowledge possession. Externalists, in contrast, demure from this claim and therefore allow that agents might know merely by meeting ‘external’ epistemic conditions. So, for example, externalists tend to allow that small children or unreflective subjects (such as the now notorious, and possibly non-existent, “chicken-sexer”) can have knowledge even though they fail to meet an internal epistemic condition. Internalists, in contrast, set the standards for knowledge higher and thus exclude these agents from possessing knowledge (for more on this distinction, see the essays collected in Kornblith (2001)).

It is notable that all of the main anti-skeptical accounts that we have discussed so far have tended to side with externalism. For both Dretske and Nozick, for example, the sensitivity condition is a condition that merely needs to be met by the agent for that agent to be a potential knower – it is not further demanded that the agent should have the relevant reflective access to the facts which determine that sensitivity. Similar remarks apply to the semantic contextualist account, with both DeRose and Lewis endorsing externalist views (though Cohen might be an exception in this respect). Finally, the neo-Moorean accounts offered by Sosa et al are all described in terms of an externalist epistemology. On closer reflection, it is unsurprising that externalism should be so widely endorsed in this way, though the reasons in each case are different.

The Dretskeans need to be externalists because it is far more problematic to deny closure if knowledge is given an internalist construal. If the denial of closure were not contentious enough, to argue that one could have the kind of ‘reflective’ knowledge at issue in the internalist account of both the antecedent and the entailment and yet lack it of the consequent just seems plain absurd.

Since both the neo-Mooreans and the contextualists retain closure, it follows that they need not be troubled by this particular motivation for externalism. The driving force behind their adoption of externalism is, in contrast, the fact that they allow (albeit, in the contextualist case, relative to certain contexts) that an agent can have knowledge of the denials of radical skeptical hypotheses. The problem is that this seems to be precisely the sort of knowledge that cannot be possessed under the internalist rubric because skeptical scenarios are, ex hypothesi, phenomenologically indistinguishable from everyday life. Accordingly, it is plausible to suppose that agents are unable to have the required reflective access to the relevant facts that determine the epistemic status of their beliefs when it comes to these propositions.

Despite the current popularity of externalist accounts of knowledge, however, one might be less sanguine about the prospects for an externalist response to the problem of radical skepticism. After all, the skeptical puzzle seems to be one that strikes against the prima facie attraction of an externalist account of knowledge. As we saw Craig in effect arguing in §2, if we cannot tell the difference between being in the world that we think we are in now and a skeptical possible world such as the BIV-world, then of what comfort is it to be told that, provided we are in the world we think we are, we know a great deal? Instead, it would seem that we want some sort of subjective assurance as regards our knowledge that externalist anti-skeptical accounts are not in a position to provide.

It is this line of thinking that ultimately motivates recent work by Stroud (1994; 1996) and Fumerton (1990; 1995). For example, Fumerton makes the following point:

It is tempting to think that externalist analyses of knowledge […] simply remove one level of the traditional problems of skepticism. When one reads the well-known externalists one is surely inclined to wonder why they are so sanguine about their supposition that our commonplace beliefs are, for the most part, […] knowledge. […] Perception, memory, and induction may be reliable processes (in Goldman’s sense) and thus given his metaepistemological position we may [… have knowledge of] the beliefs they produce but, the sceptic can argue, we have no reason to believe that these process are reliable and thus even if we accept reliabilism, we have no reason to think that the beliefs they produce [constitute knowledge]. (Fumerton 1990, 63)

In effect, the complaint that Fumerton is giving expression to here is that externalism allows that there are certain conditions on knowledge that we are unable to reflectively determine have obtained. Indeed, Fumerton is more explicit about the focus of his objection when he goes on to write that:

[…] the main problem with externalist accounts, it seems to me, just is the fact that such accounts […] develop concepts of knowledge that are irrelevant. […] The philosopher doesn’t just want true beliefs, or even reliably produced beliefs, or beliefs caused by the facts that make them true. The philosopher wants to have the relevant features of the world directly before consciousness. (Fumerton 1990, 64)

Presumably, to argue that externalist accounts of knowledge are problematic because they fail to demand that the relevant facts should be “directly before consciousness” is simply to complain that such theories make the satisfaction of non-reflectively accessible external epistemic conditions central to knowledge possession.

Fumerton is not the only one to put forward objections to externalism that run along these lines, though he is perhaps the most explicit about what the complaint that he is giving voice to amounts to. For example, a similar argument against externalism seems to be implicit in the following passages from Stroud:

[…] suppose there are truths about the world and the human condition which link human perceptual states and cognitive mechanisms with further states of knowledge and reasonable belief, and which imply that human beings acquire their beliefs about the physical world through the operation of belief-forming mechanisms which are on the whole reliable in the sense of giving them mostly true beliefs. […] If there are truths of this kind […] that fact alone obviously will do us no good as theorists who want to understand human knowledge in this philosophical way. At the very least we must believe some such truths; their merely being true would not be enough to give us any illumination or satisfaction. But our merely happening to believe them would not be enough either. We seek understanding of certain aspects of the human condition, so we seek more than just a set of beliefs about it; we want to know or have good reasons for thinking that what we believe about it is true. (Stroud 1994, 297)

It is difficult to understand Stroud’s objection here if it is not to be construed along similar lines to that found in the passages from Fumerton cited above. Stroud’s thought seems to be that it is not enough merely to meet the external epistemic conditions that give us knowledge, rather we should also have the special kind of internal access to those conditions that the internalist demands (and perhaps even more than that).

A new debate is thus emerging in the literature which is to some extent orthogonal to the key discussions that we have considered so far since it questions the very presuppositions of those discussions. Future work on the skeptical puzzle will thus enjoin participants to not only meet the skeptical argument in a motivated fashion, but also respond to this meta-epistemological challenge.

7. References and Further Reading

  • Austin, J. L. (1961). ‘Other Minds’, reprinted in his Philosophical Papers, (eds.) J. O. Urmson & G. J. Warnock, 44-84, Clarendon Press, Oxford, England.
  • Cohen, S. (1987). ‘Knowledge, Context, and Social Standards’, Synthese 73, 3-26.
  • Cohen, S. (1988). ‘How to be a Fallibilist’, Philosophical Perspectives 2, 91-123.
  • Cohen, S. (1991). ‘Skepticism, Relevance, and Relativity’, Dretske and his Critics, (ed.) B. McLaughlin, 17-37, Basil Blackwell, Oxford, England.
  • Cohen, S. (1999). ‘Contextualism, Skepticism, and the Structure of Reasons’, Philosophical Perspectives 13, 57-90.
  • Cohen, S. (2000). ‘Contextualism and Skepticism’, Philosophical Issues 10, 94-107.
  • Craig, E. (1989). ‘Nozick and the Sceptic: The Thumbnail Version’, Analysis 49, 161-2.
  • Craig, E. (1990). Knowledge and the State of Nature: An Essay in Conceptual Synthesis, Clarendon Press, Oxford, England.
  • Davies, M. (1998). ‘Externalism, Architecturalism, and Epistemic Warrant’, Knowing Our Own Minds: Essays on Self-Knowledge, (eds.) C. J. G. Wright, B. C. Smith & C. Macdonald, Oxford University Press, Oxford, England.
  • DeRose, K. (1995). ‘Solving the Skeptical Problem’, Philosophical Review 104, 1-52.
  • DeRose, K. (2000). ‘How Can We Know that We’re Not Brains in Vats?’, The Southern Journal of Philosophy 38, 121-48.
  • Dretske, F. (1970). ‘Epistemic Operators’, Journal of Philosophy 67, 1007-23.
  • Dretske, F. (1971). ‘Conclusive Reasons’, Australasian Journal of Philosophy 49, 1-22.
  • Dretske, F. (1981). ‘The Pragmatic Dimension of Knowledge’, Philosophical Studies 40, 363-78.
  • Dretske, F. (1991). ‘Knowledge: Sanford and Cohen‘, Dretske and his Critics, (ed.) B. McLaughlin, 185-96, Basil Blackwell, Oxford, England.
  • Fumerton, R. (1990). ‘Metaepistemology and Skepticism’, Doubting: Contemporary Perspectives on Skepticism, (eds.) M. D. Roth & G. Ross, 57-68, Kluwer Academic Publishers, Dordrecht, Holland.
  • Fumerton, R. (1995). Metaepistemology and Skepticism, Rowman & Littlefield, Lanham, Maryland.
  • Klein, P. (1981). Certainty, University of Minnesota Press, Minneapolis.
  • Klein, P. (1995). ‘Skepticism and Closure: Why the Evil Genius Argument Fails’, Philosophical Topics 23, 213-36.
  • Kornblith, H. (2001). Epistemology: Internalism and Externalism, (ed.) Basil Blackwell, Oxford, England.
  • Lewis, D. (1979). ‘Scorekeeping in a Language Game’, Journal of Philosophical Logic 8, 339-59.
  • Lewis, D. (1996). ‘Elusive Knowledge’, Australasian Journal of Philosophy 74, 549-67.
  • Moore, G. E. (1925). ‘A Defence of Common Sense’, Contemporary British Philosophy (2nd series), (ed.) J. H. Muirhead, Allen and Unwin, London, England; reprinted in his Philosophical Papers, Allen & Unwin, London, England (1959).
  • Moore, G. E. (1939). ‘Proof of an External World’, Proceedings of the British Academy 25; reprinted in his Philosophical Papers, Allen & Unwin, London, England (1959).
  • Nagel, T. (1986). The View from Nowhere, Oxford University Press, Oxford, England.
  • Nozick, R. (1981). Philosophical Explanations, Oxford University Press, Oxford, England.
  • Pritchard, D. H. (2001a). ‘Contextualism, Scepticism, and the Problem of Epistemic Descent’, Dialectica 55, 327-49.
  • Pritchard, D. H. (2001b). ‘Radical Scepticism, Epistemological Externalism, and “Hinge” Propositions’, Wittgenstein-Studien, 81-105.
  • Pritchard, D. H. (2001c). ‘Scepticism and Dreaming’, Philosophia 28, 373-90.
  • Pritchard, D. H. (2002a). ‘McKinsey Paradoxes, Radical Scepticism, and the Transmission of Knowledge across Known Entailments’, Synthese 130, 1-24.
  • Pritchard, D. H. (2002b). ‘Radical Scepticism, Epistemological Externalism, and Closure’, forthcoming in Theoria 69.
  • Pritchard, D. H. (2002c). ‘Resurrecting the Moorean Response to Scepticism’, forthcoming in International Journal of Philosophical Studies 10.
  • Putnam, H. (1992). Renewing Philosophy, Harvard University Press, Cambridge, Massachusetts.
  • Putnam, H. (1998). ‘Skepticism’, Philosophie in Synthetischer Absicht (Synthesis in Mind), (ed.) M. Stamm, 239-68, Klett-Cotta, Stuttguard, Germany.
  • Sainsbury, R. M. (1997). ‘Easy Possibilities’, Philosophy and Phenomenological Research 57, 907-19.
  • Sosa, E. (1999). ‘How to Defeat Opposition to Moore’, Philosophical Perspectives 13, 141-54.
  • Sosa, E. (2000). ‘Skepticism and Contextualism’, Philosophical Issues 10, 1-18.
  • Stine, G. C. (1976). ‘Skepticism, Relevant Alternatives, and Deductive Closure’, Philosophical Studies 29, 249-61.
  • Strawson, P. F. (1985). Skepticism and Naturalism: Some Varieties, Methuen, London.
  • Stroll, A. (1994). Moore and Wittgenstein on Certainty, Oxford University Press, Oxford, England.
  • Stroud, B. (1984). The Significance of Philosophical Scepticism, Oxford University Press, Oxford, England.
  • Stroud, B. (1989). ‘Understanding Human Knowledge in General’, Knowledge and Scepticism, (eds.) M. Clay & K. Lehrer, Westview, Boulder, Colorado.
  • Stroud, B. (1994). ‘Scepticism, ‘Externalism’, and the Goal of Epistemology’, Proceedings of the Aristotelian Society (supplementary vol.) 68, 290-307.
  • Stroud, B. (1996). ‘Epistemological Reflection on Knowledge of the External World’, Philosophy and Phenomenological Research 56, 345-58.
  • Unger, P. (1971). ‘A Defence of Skepticism’, Philosophical Review 80, 198-219.
  • Unger, P. (1975). Ignorance – A Case for Scepticism, Clarendon Press, Oxford, England.
  • Unger, P. (1984). Philosophical Relativity, Basil Blackwell, Oxford, England.
  • Unger, P. (1986). ‘The Cone Model of Knowledge’, Philosophical Topics 14, 125-78.
  • Williams, M. (1991). Unnatural Doubts: Epistemological Realism and the Basis of Scepticism, Basil Blackwell, Oxford, England.
  • Williams, M. (2001). ‘Contextualism, Externalism and Epistemic Standards’, Philosophical Studies 103, 1-23.
  • Williamson, T. (2000a). ‘Scepticism and Evidence’, Philosophy and Phenomenological Research 60, 613-28.
  • Williamson, T. (2000b). Knowledge and Its Limits, Oxford University Press, Oxford, England.
  • Williamson, T. (2001). ‘Comments on Michael Williams’ ‘Contextualism, Externalism and Epistemic Standards’’, Philosophical Studies 103, 24-33.
  • Wittgenstein, L. (1969). On Certainty, (eds.) G. E. M. Anscombe & G. H. von Wright, (tr.) D. Paul & G. E. M. Anscombe, Basil Blackwell, Oxford.
  • Wright, C. (1985). ‘Facts and Certainty’, Proceedings of the British Academy 71, 429-72.
  • Wright, C. (1991). ‘Scepticism and Dreaming: Imploding the Demon’, Mind 397, 87-115.
  • Wright, C. (2000). ‘Cogency and Question-Begging: Some Reflections on McKinsey’s Paradox and Putnam’s Proof’, Philosophical Issues 10, 140-63.

Author Information

Duncan Pritchard
Email: d.h.pritchard@stir.ac.uk
University of Stirling
United Kingdom

Abu Ya’qub al-Sijistani (fl. 971)

Abu Ya‘qub al-Sijistani was first and foremost a member of the Ismaili underground mission — the da‘wa, as it is known in Arabic — that operated in the Iranian province of Khurasan and Sijistan during the tenth century. In the later part of his life, al-Sijistani was or had become a supporter of the Fatimids imams, then ruling from their headquarters far away in North Africa.Al-Sijistani was deeply inspired by Neoplanotism. His cosmology and metaphysics develop a concept of God as the one beyond both being and non-being. God is not a substance, not intellect, nor within the categories that pertain to the created universe in any way. Intellect is the first existent being, originated by God as an indivisible whole.

In contrast to many other Islamic philosophers, al-Sijistani insists that intellect does not divide or separate. The intellect remains a whole and is universal. Only one intellect engenders by procession the soul. The soul falls therefore on its higher side within the lower horizon of intellect whereas its own lower aspect is nature, a semi-hypostatic being between the spiritual and the physical realm. The goal of religion and prophecy is to reorient the soul toward its true higher self and ultimately to return to its original state.

Table of Contents

  1. Life
  2. Neoplatonism
  3. References and Further Reading

1. Life

Abu Ya‘qub al-Sijistani was first and foremost a member of the Ismaili underground mission — the da‘wa, as it is known in Arabic — that operated in the Iranian province of Khurasan and Sijistan during the tenth century. His activities and the works he wrote must be seen in that context; he was a partisan of a specific religious and political cause that involved the restoration of Shi‘ism as the dominant force in the Islamic world of the time. In addition al-Sijistani was an important advocate of philosophical doctrines that drew heavily on a current of Neoplatonism then circulating in intellectual circles of various kinds in the major centers of Islamic scholarship. For the latter reason in general and for his clear attachment in his philosophical writings to a fairly pure form of this branch of ancient thought, he earned an important place in the history of philosophy, even though he himself would have insisted that he was not a philosopher.

Although he is mentioned both in Ismaili and non-Ismaili sources, the amount of information about his life that survives is scarcely adequate. Two important details emerge from one of his late works: he was in Baghdad in the year 934 having just then returned from the pilgrimage to Mecca, and in about 971 or 972 he composed that treatise itself. Somewhat later he died a martyr. The one additional fact about him is a nickname, ‘Cotton-seed,’ recorded by several observers both in its Arabic and its Persian forms. By the time he wrote (or revised) those works of his that are now extant, al-Sijistani was or had become a supporter of the Fatimids imams, then ruling from their headquarters far away in North Africa. Hints in his own works and other information suggests, however, that he may have earlier belonged to a dissident wing of the Ismaili movement, as was the case with at least two of his philosophical predecessors in Iran. Accordingly, the works he wrote prior to his acceptance of the Fatimids as imams, would have been considered doctrinally false and they, unless revised, were abandoned and thus did not survive.

2. Neoplatonism

Those now available are certainly not all complete and one exists solely in a later Persian paraphrase of its original (lost) Arabic. Critical editions and translations are few in number. Moreover, the philosophical content in some works far exceeds that of others. It was al-Sijistani’s custom to assemble his material in a series of, often disconnected, topical chapters and to mix Ismaili doctrinal teachings with philosophy in alternating, but most often not overlapping, short sections. Therefore, his Neoplatonism frequently appears in what he wrote separated — although not always — from his more specifically religious concerns. Thus his philosophical position becomes apparent only in portions of his works, in particular certain chapters of his The Wellsprings, The Keys, Prophecy’s Proof, and Revealing the Concealed. On these titles, their general contents, and the state of modern studies of them, see Paul E. Walker, Abu Ya‘qub al-Sijistani: Intellectual Missionary (London, 1998) especially the appendix.

The Neoplatonic background to al-Sijistani’s thought is fairly complex. Beginning as early as the middle of the preceding century several important texts, or portions of them, were translated from Greek into Arabic, including the widely circulated Theologia, sometimes called the Theology of Aristotle. Others were a longer version of this same Theologia, the Liber de causis, and a doxographical work that goes by the name of the Pseudo-Ammonius. The Theologia contains for the most part passages from Plotinus’s Enneads IV to VI; the Liber de causis depends ultimately on Proclus’s Element of Theology. All of these texts and others were available to the Ismaili philosophers —and other Islamic thinkers — by the beginning of the tenth century. The Islamic world had time by then to digest this material thoroughly and to begin an elaboration of various specific doctrines expressed in it. From his position a generation or so later, al-Sijistani came to Neoplatonism as much from within a nascent Islamic tradition of it as of his own raw confrontation with specific individual Greek (or pseudo-Greek) texts, which his own writings reflect therefore only secondarily.

Nevertheless, the major Neoplatonic influences in the thought of al-Sijistani comprise a cosmology and metaphysics that adhere closely to important doctrines of Plotinus, among them an austerely rigorous concept of God as the one beyond both being and non-being. God is not a substance, not intellect, nor within the categories that pertain to the created universe in any way. Intellect is the first existent being, originated by God as an indivisible whole. It is the source of all else that exists. In contrast to many other Islamic philosophers, al-Sijistani adamantly insists that intellect does not divide or separate. There is only one intellect. It does, however, engender by procession the soul and the latter again remains a whole and is a universal. It does, even so, descend in parts into individual creatures who are thus animated by it. The soul falls therefore on its higher side within the lower horizon of intellect whereas its own lower aspect is nature, a semi-hypostatic being at the point of transition from the spiritual into the physical realm. The goal of religion and of prophecy is to reorient the soul toward its true unblemished higher self and ultimately to have it regain its original sublime existence.

Although the outline of standard Neoplatonic ideas can be observed in al-Sijistani’s thought, there are curiosities that do not seem to belong. One is his doctrine that God creates by willful fiat — that is, by issuing a command to be. Another involves the notion that salvation — the restoration in the soul of its spirituality — is a historical development that runs upward step by step following the course of the cycles of prophetic revelations and the religious laws that each lawgiving-prophet establishes in turn.

3. References and Further Reading

  • H. Corbin, Trilogie ismaélienne (Tehran and Paris, 1961)
  • H. Corbin, ed., Kashf al-mahjub (Revealing the Concealed) (Tehran and Paris, 1949), French trans. Corbin, Le dévoilement des choses caches (Paris, 1988).
  • P. Walker, Early Philosophical Shiism: The Ismaili Neoplatonism of Abu Ya‘qub al-Sijistani (Cambridge, 1993).
  • P. Walker, The Wellsprings of Wisdom: A study of Abu Ya‘qub al-Sijistani’s Kitab al-yanabi‘ (Salt Lake City, 1994).

Author Information

Paul E. Walker
Email: info@iis.ac.uk
The Institute of Ismaili Studies
United Kingdom

Gustav Shpet (1879—1937)

Shpet, a professor of philosophy at the University of Moscow, introduced Husserlian transcendental phenomenology into Russia. Additionally, he wrote extensively on aesthetics, hermeneutics, the history of Russian philosophy and the philosophy of language. During the Stalinist years in Russia he was condemned as being an idealist in philosophy and a counter-revolutionary in politics. The depth and breadth of his numerous studies stand as a testament to the philosophic spirit in Russia during the waning years of tsarism.

Table of Contents

  1. Life
  2. Philosophy
  3. References and Further Reading

1. Life

Gustav Gustavovich Shpet was born in Kiev in April 1879. Late in life during the Stalinist period, he sought to emphasize his humble origins as the illegitimate son of a seamstress. In fact, his maternal grandfather appears to have been a member of the Polish gentry. No information is available on his father. Whether he had any religious upbringing is unclear. On his university registration form he gave his religion as Lutheran, although his mother was, based on family testimony, Catholic.

Upon finishing studies at a gymnasium (secondary school) in Kiev Shpet enrolled at the university there in 1898. Also at this time he became involved in a Marxist circle, although the degree of his active participation is unclear. In any case, his involvement resulted in expulsion from the university. After a relatively short time, however, he was permitted back to attend classes. From that time onward, Shpet always maintained a respectable distance from philosophical Marxism, while apparently retaining a measured sympathy for its socio-economic ideals. After finishing his studies in 1906 he taught for a time at a Kiev gymnasium but followed his former teacher Georgij Chelpanov to Moscow in 1907 upon the latter’s succession to the philosophy chair formerly held by Sergej Trubeckoj.

In Moscow Shpet continued his studies at the university and worked in Chelpanov’s newly established psychology institute. In addition, he taught at a number of educational institutions in the city. During the summer months of 1910 and 1911 Shpet went abroad to Paris, Edinburgh and various locales in Germany in connection with the psychology institute and his own research for a dissertation. During one of these trips he first encountered Husserl, but it was not until his stay in Goettingen during the 1912-13 academic year that he came firmly under Husserl’s influence. Attending Husserl’s lectures and seminars at this time, Shpet became acquainted with the nascent ideas of transcendental phenomenology and, in particular, with those that would eventually become known as Ideen II. When Ideen I was published in 1913 Shpet amazingly mastered in short order the change in Husserl’s orientation. The next several years were arguably the most philosophically productive of his life, producing in rapid succession a series of works on epistemology, the history of philosophy and the history of Russian philosophy. In 1915 he wrote a large study of the 19th century Moscow philosophy professor Pamfil Yurkevich, followed the next year by the defense and the publication of his dissertation Istorija kak problema logika (History as a Problem of Logic) and then the writing of Germenevtika i ee problemy (Hermeneutics and Its Problems), which languished in manuscript for decades.

His work, however, as the first propagandist, if you will, in Russia for Husserl’s transcendental phenomenology and philosophy as a rigorous science is perhaps that for which he is best known, at least in Western philosophical circles. Although the Husserlian influence waned over the years, due at least in part to his increasing isolation within Soviet Russia, Shpet produced within a few short months of its appearance in 1913 the first book-length study of Husserl’s Ideen I. In 1917 and 1918 he edited the philosophical yearbook Mysl’ i slovo, which also contained valuable contributions by Shpet himself and amplified his own position vis-a-vis Husserlian phenomenology. In 1918 he was appointed to a professorship at Moscow University and in the following year he succeeded to the chair held by Leo Lopatin, who had recently died.

Despite his varied intellectual activities on many fronts during the early years of the Bolshevik regime, Shpet, as an openly non-Marxist intellectual, could not be permitted to retain his teaching position long. His name appeared on Lenin’s August 1922 listing of those to be exiled from Russia, a list that included numerous prominent philosophers, such as Berdyaev, Lossky and Lapshin. Shpet, however, successfully appealed to Lunacharskij, the Soviet cultural minister, with whom he was acquainted from his student days in Kiev, to have his name removed.

In 1923 with the creation of the Russian–later State–Academy for Cultural Studies, Shpet was tapped to be its vice-president. There he continued his scholarly work, albeit slightly redirected or, perhaps more accurately, re-focused away from pure philosophy. Again despite his prolific output and that of his colleagues, the Academy, though at least nominally headed by a Marxist, was closed in 1929. Over the next several years he made his living chiefly by preparing translations from such authors as Dickens and Byron, and he also participated in the preparation of a Russian edition of Shakespeare.

On 14 March 1935 Shpet, along with several other former colleagues from the State Academy, was arrested, charged with anti-soviet activities and sentenced to five years internal exile. Later that year the place of exile was changed to Tomsk, a university city in Siberia, where Shpet prepared a new Russian translation of Hegel’s Phenomenology of Spirit. On 27 October 1937 he was again arrested and charged with belonging to a monarchist organization. Recently uncovered documents from the former KGB headquarters in Tomsk indicate that Shpet was executed on 16 November 1937.

2. Philosophy

The nascent secondary literature is still at a very early stage. Nevertheless, already three areas of disagreement exist concerning: a) the influences on Shpet’s philosophy; b) the number of stages in the development of his thought; and c) Shpet’s lasting contribution to philosophy. With regard to the first area, some have tended to emphasize the phenomenological aspect of his thought and, consequently, have stressed the Husserlian influence. Others have noted the influence of Hegel, while still others have sought to demonstrate Shpet’s indebtedness to the Russian metaphysical tradition. To a large degree, however, the depiction of the dominant influence on Shpet has been determined by one’s response to the third area, namely, his contribution to philosophy. During the Soviet era, Russian scholars saw Shpet almost exclusively as an historian of Russian philosophy. To the extent that his ideas at that time received recognition in the West he was viewed as the Russian disciple of Husserl. Today both inside Russia and in Western circles Shpet is receiving attention as a phenomenologist of language, if not the first to study language from within a broadly phenomenological perspective.

In any case, Shpet’s philosophical development can be broken into at least three periods. Although one contemporary scholar (A. Haardt) holds the first of these to range from 1898-1905, no writings have emerged from these very youthful years and certainly Shpet published nothing at this time. What little information we have comes from an autobiographical remark in his huge 1916 thesis. Thus, seeing his Marxist infatuation as a stage in Shpet’s thought serves no useful purpose.

Whatever was the nature of his Marxism, already by 1903 Shpet felt an affinity toward idealism and, in particular, saw the former as riddled with what he thought were epistemological and methodological errors. In his thesis for Kiev University, published under the title “The Problem of Causality in Hume and Kant: Did Kant Answer Hume’s Doubt?,” Shpet writing under the unmistakable influence of Chelpanov and the “Kiev School of Kant-Interpretation,” fundamentally sided with a phenomenalist reading of Kant. In addition, referring explicitly to the writings of the Baden School of neo-Kantianism, Shpet cautiously held that although Kant had demonstrated the “real necessity” of a priori cognitions, he had not proved their “logical necessity.”

“We must recognize, therefore, that Kant succeeded in proving the real necessity of a priori categories. Nevertheless, he did not prove their logical necessity. ” (1, p. 202)

That is, the Kantian a priori categories, including causality, must be postulated so as to account for objectively valid knowledge. In this way Shpet accords belief in the categories, and thus practical reason, a primacy in and over epistemology. Therefore, based simply on the textual evidence available to the contemporary scholar for analysis, the first period in Shpet’s thought is marked by a neo-Kantian phase extending from circa 1903-1912 and is the only period conceptually quite distinct from the others.

The exact evolution of Shpet’s ideas immediately after moving to Moscow is unclear. What is clear, however, is that he irrevocably distanced himself from neo-Kantianism and came under the influence of Lopatin and the works of the recently deceased S. Trubeckoj. From them, as well perhaps as through his reading of Vladimir Solovyov, Shpet began to employ the unmistakeable terminology and think philosophically in the categories and problems of Platonism, particularly that variant then dominant at Moscow University. In addition to criticizing psychologism–and, indeed, all “isms”– for its failure to grasp the psyche as a “living whole,” Shpet began to see philosophy itself as based on the immediate data of reflection.

“The spirit of our philosophy is that of a living,concrete and integral philosophy based on the reliable data of inner experience. ” (2, p.264.)

Despite the obvious pedigree of this conception in, on the one hand, the Moscow metaphysicians, and, on the other, James, Dilthey, Stumpf and the early Husserl–as Shpet himself acknowledged–we should not disregard the fact that Chelpanov also stressed the importance of introspection as a technique in psychology, albeit bereft of metaphysical interpretation.

The next period in Shpet’s philosophy is that for which he is best known. In Appearance and Sense, published in mid-1914, Shpet provided, on the one hand, a summarization of many points covered in Husserl’s Ideen I. Yet, on the other hand, Shpet sought to invoke Husserl’s transcendental turn for his own purposes, while cautiously noting what he saw as deficiencies in the latter. Like Husserl, Shpet was willing to characterize phenomenology as the fundamental science and, again like Husserl, Shpet made extensive use of eidetic intuition. This reliance on the Husserlian technique of “ideation” is one that Shpet continued to value years later even after coming under political attack for his idealism. Husserl and Shpet differed, however, on the goal of such procedures and methods. Whereas the former sought to construct a presuppositionless philosophy, a “science” of consciousness and cognition, Shpet saw philosophy as ultimately a study of being, of which cognizing is but one form among many. Modern philosophy’s error is found in its concentration on the forms of cognition, rather than on cognition as such. In modern parlance we could say philosophy has failed to distinguish the forest from the trees. The subject-matter of phenomenology, as Shpet conceived it, is the study of cognition, qua a mode of being. The major oversight of modern philosophy is not to have seen the non-empirical and non-actual nature of the cognizing subject.

Of the several articles Shpet published immediately subsequent to the appearance of Appearance and Sense two in particular stand out: “Consciousness and Its Proprietor” and “Wisdom or Reason.” In the first of these, which appeared in 1916, Shpet already addressed an issue that would later prove to be a major bone of contention among the next generation of phenomenologists. Developing ideas enunciated by Solovyov during the last years of his life, Shpet asked who “owns” or “possesses” the unity of consciousness. Whereas he is willing, pace Hume, to concede on the issue of such a unity, it is no one’s, i.e., it has no proprietor. We are led astray in seeking such a proprietor by an inaccurate analogy drawn from our everyday language.

“Ultimately, it is as impossible to say whose consciousness as it is to say whose space, whose air, even though everybody is convinced that the air which he breathes is his air, and the space which he occupies is his space. ” (4, p. 205)

In direct opposition to Husserl, whom he accuses of betraying the “principle of all principles,” stated in Ideen I, Shpet finds no “pure Ego.” What unity there is certainly cannot serve as an epistemological guarantee, and it certainly cannot be called a Self or an Ego.

In “Wisdom or Reason” from 1917 Shpet presents what may well be the first attempt to depict the phenomenological idea, or what we today often view as that idea, as the telos of Western philosophy. Noticeably, however, Shpet never mentions phenomenology as such; instead he uses the locution “philosophy as pure knowledge” and even “philosophy as knowledge.” In a precise manner, Parmenides established the proper object of philosophy and showed the path along which philosophy is directed to solve the problem posed by that object. (5, p. 7)

This itself can be seen as a distancing from the Husserlian influence in that Shpet traces his conception back to the Greeks and indeed to Parmenides. In any case, Shpet holds that philosophy proceeds through three stages (and as in Hegel’s Phenomenology whether these are purely logical or chronological as well is arguable): from wisdom then on to metaphysics before finally arriving at rigorous science or knowledge. Unlike positivistic “scientific philosophy,” which seeks to copy the methodology of an arbitrarily chosen natural science or bases itself on results attained in natural science, philosophy as pure knowledge grounds the specific sciences.

The recent emergence and publication of Shpet’s hitherto virtually inaccessible 1918 work Hermeneutics and Its Problems, in both the original Russian and a German translation, has drawn notable international attention. In it Shpet presents a history of hermeneutics ranging from the Greeks to the early 20th century, seeing the work of Dilthey and Husserl, as represented in the first “Logical Investigation,” as the highest point yet attained.

Throughout this period and later Shpet maintained that his work was a continuation of that direction in philosophy associated with Brentano and Husserl. Where they erred was in forgetting the social dimension. There can and do exist forms of collective or socio-cultural consciousness. An element of such consciousness is language, more specifically words. The understanding plays an analogous role in the grasping of sense, for which words act as the “material bearer,” as sense perception does in the individual’s representational consciousness. Shpet developed these themes at some length in his Aesthetic Fragments from 1922/23 and his Inner Form of the Word from 1927.

In addition, Shpet shortly before and after the Bolshevik Revolution devoted considerable attention to the history of Russian philosophy, publishing a number of valuable studies studded with numerous caustic comments on the poverty of philosophy in his homeland.

3. References and Further Reading

  • “Problema prichinosti u Juma i Kanta. Otvetil li Kant na somnenija Juma?” (“The Problem of Causality in Hume and Kant. Did Kant Answer Hume’s Doubt?”), Kievskie universitetskie izvestija, 1907, #5.
  • “Odin put’ psikhologii i kuda on vedet” (“One Path in Psychology and Where It Leads”), Filosofskij sbornik L. M. Lopatinu ot Moskovskogo Psikhologicheskogo Obshchestva, Moscow, 1912, pp. 245-264.
  • Javlenie i smysl, Moscow, 1914. [English translation: Appearance and Sense, trans. by Thomas Nemeth, Kluwer Academic Publishers: Dordrecht, 1991]
  • “Soznanie i ego sobstvennik” (“Consciousness and Its Proprietor”), Sbornik statej po filosofii, posvjashchennyj G. I. Chelpanovu, Moscow, 1916, pp. 156-210.
  • Istorija kak problema logiki. Kriticheskie i metodologicheskie issledovanija. Chast’ I: Materialy (History as a Problem of Logic. Critical and Methodological Investigations. Part I: Materials), Moscow, 1916.
  • “Mudrost’ ili razum” (“Wisdom or Reason”), Mysl’ i slovo, vyp. 1, 1917, pp. 1-69.
  • Ocherk razvitija russkoj filosofii. Chast 1. (An Outline of the Development of Russian Philosophy. Part 1.), Petrograd, 1922.
  • Esteticheskie fragmenty (Aesthetic Fragments), I. Petergrad 1922. II, III. Petrograd 1923.
  • Vnutrennjaja forma slova. Etjudy i variacii na temy Humbol’dta (Inner Form of the Word. Studies and Variations on a Humboldtian Theme), Moscow, 1927.

Author Information

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

Al-Shahrastānī (d. 1153 C.E.)

Al-Shahrastānī (d. A.H. 548 / C.E. 1153) was an influential historian of religions and a heresiographer. He was one of the pioneers in developing a scientific approach to the study of religions. Al-Shahrastānī’ distinguished himself by his desire to describe in the most objective way the universal religious history of humanity. He was wrongly recognized as an “Ash‘arite” theologian; this is why some scholars such as Muhammad Ridā Jalālī Nā’īnī, Muhammad Taqī Dānish-Pazhūh, Wilferd Madelung, Jean Jolivet, and Guy Monnot firmly believe that he was an Ismā‘īlī who was practicing taqiyya (religious dissimulation) since Ismā‘īlis were persecuted during that time. Very few things are known about al-Shahrastānī’s life. He was born in A.H. 479/ C.E. 1086 in the town of Shahristān (Republic of Turkmenistan) where he acquired his early traditional education. Later, he was sent to Nīshāpūr where he studied under different masters who were all disciples of the Ash‘arite theologian al-Juwaynī (d. A.H. 478 / C.E. 1085). At the age of 30, al-Shahrastānī went to Baghdad to pursue theological studies and taught for three years at the prestigious Ash‘arite school, the Nizāmiyya. Afterwards, he returned to Persia where he worked as Nā’ib (Deputy) of the chancellery for Sanjar, the Saljūq ruler of Khurāsān. At the end of his life, al-Shahrastānī went back to live in his native town.

Table of Contents

  1. The Man and His Works
  2. His Intricate Theosophy
  3. References and Further Reading

1. The Man and His Works

During the ‘Abbasid Caliphate (A.H. 132/ C.E. 750 – A.H. 656/ C.E. 1258), the golden age of Islamic literature, many schools elaborated their major works of medieval Islamic thought. Shi‘ism has particularly influenced the destiny of Islam in the political and, even more so, the philosophical domain. Isma‘ilism belongs to the Shi‘ite mainstream of Islam. From the beginning, Islam was divided mainly into two groups: the Sunnites and the Shi‘ites. The Sunnites believe that Prophet Muhammad did not explicitly name a Successor after his death. The Shi‘ites affirm, on the contrary, that Muhammad explicitly designated ‘Ali as the first Imam (divine Guide) and his direct descendants as successors. According to Muslim tenets, Muhammad was the last Prophet, the one who closed the Prophetic cycle. The Shi‘ites maintain that humanity still needs a spiritual Guide, therefore the cycle of Prophecy must be succeeded by the cycle of Imama. The prerogative of the Imam is to give the right interpretation of the Qur’an and to gradually reveal its esoteric meaning.

Al-Shahrastani was certainly not an Ash’arite theologian, as has often been argued, even if he borrows some basic concepts shared commonly by various Muslim thinkers. Al-Shahrastani is a difficult person to evaluate because he juggled many different philosophical and theological vocabularies. He was a clever thinker, demonstrated by the intricacies of many traditions and the Shi‘ite notion of the Guide found in his thoughts. Al-Shahrastani had many reasons to speak somewhat allegorically. He was a very subtle author who often spoke indirectly by means of symbols. He preferred his own personal vocabulary to the traditional one. For this reason, his position is hard to determine. It may well be that ideological considerations led him to speak indirectly; he perhaps assumed those familiar with the symbols would be able to unravel his elusive ideas. For all these reasons, many scholars who have studied al-Shahrastani were misled concerning his religious identity. (For an extensive discussion of al-Shahrastānī’s identity as Ash‘arite or Ismā‘īlī, cf. Steigerwald, 1997: 298-307.)

The richness and originality of al-Shahrastani’s philosophical and theological thought is manifested in his major works. The Kitab al-Milal wa al-Nihal (The Book of Sects and Creeds), a monumental work, presents the doctrinal points of view of all the religions and philosophies which existed up to his time. The Nihayat al-aqdam fi ‘ilm al-kalam (The End of Steps in the Science of Theology) presents different theological discussions and shows the limits of Muslim theology (kalam). The Majlis is a discourse, written during the mature period of his life, delivered to a Twelver Shi‘ite audience. The Musara‘at al-Falasifa (The Struggle with Philosophers) criticizes Avicenna’s doctrines by emphasizing some peculiar Isma‘ili arguments on the division of beings. The Mafatih al-Asrar wa-masabih al-abrar (The Keys of the Mysteries and the Lamps of the Righteous) introduces the Qur’an and gives a complete commentary of the first two chapters of the Qur’an.

2. His Intricate Theosophy

As opposed to Ash’arites, al-Shahrastani presents a gradation in the creation (khalq). He gives a definition of the Prophetic Impeccability (‘Isma) opposed to the Ash‘arite tradition, maintaining that it subsists in the Prophet as part of his real nature. As did al-Ghazzali, al-Shahrastani harshly criticizes Avicenna’s Necessary Being who knows the universal but not the particular. Al-Shahrastani, particularly in the Musara‘a al-Falasifa, has an Isma‘ili conception of the Originator (Mubdi‘) beyond Being and non-Being. He argues convincingly for the existence of Divine Attributes, but he does not ascribe them directly to God. True worship means Tawhid – declaring the Unicity of God. This includes the negation of all attributes which humans give to God, the Ultimate One who is totally transcendent. God is Unknowable, Indefinable, Unattainable, and above human comprehension.

As for the theory of creation, in the Nihaya, al-Shahrastani insists that God is the only Creator and the only Agent. He also develops a different interpretation of ex-nihilo creation which does not mean creation out of nothing, but creation made only by God. (al-Shahrastani, 1934: 18-9) But in the Majlis and the Mafatih al-Asrar, the angels play a dominant role in the physical creation. (al-Shahrastani, 1998: 82; 1989, vol. I: 109 verso line 24 to 110 recto line 1) His theory of the Divine Word (Kalima) has a convincing Isma’ili imprint; for example, his hierarchy of angels and Divine Words (Kalimat ) are conceived as being the causes of spiritual beings. Al-Shahrastani in the Nihaya writes:

“that his [Divine] Command (Amr) is pre-existent and his multiple Kalimat are eternal. By his Command, Kalimat become the manifestation of it. Spiritual beings are the manifestation of Kalimat and bodies are the manifestation of spiritual beings. The Ibda’ (Origination beyond time and space) and khalq (physical creation) become manifested [respectively in] spiritual beings and bodies. As for Kalimat and letters (huruf), they are eternal and pre-existent. Since his Command is not similar to our command, his Kalimat and his letters are not similar to our Kalimat . Since letters are elements of Kalimat which are the causes of spiritual beings who govern corporeal beings; all existence subsists in the Kalimat Allah preserved in his Command.” (al-Shahrastani, 1934: 316)

In the Majlis, al-Shahrastani divides the creation into two worlds: the spiritual world (i.e. the world of the Origination of spirits (Ibda’-i arwah)) in an achieved (mafrugh) state) and the world of physical creation (khalq) in becoming (musta’naf). He shares an Isma‘ili cosmology in which God has built his religion in the image of creation.

The conception of Prophecy developed in the Nihaya is closer to that of Isma’ilis and Falasifa (Islamic philosophers) than to Ash‘arites, because al-Shahrastani establishes a logical link between miracles and Prophetic Impeccability (‘Isma). For al-Shahrastani, the proof of veracity (sidq) of the Prophet is intrinsic to his nature and is related to his Impeccability. (Al-Shahrastani, 1934: 444-5) He develops the concept of cyclical time explicitly in the Milal, the Majlis, and the Mafatih and implicitly in the Nihaya. In the Majlis, his understanding of the dynamic evolution of humanity is similar to Isma‘ilism, in which each Prophet opens a new cycle. Al-Shahrastani recovers the mythical Qur’anic story of Moses and the Servant of God inspired by Al-Risala al-Mudhhiba of al-qadi al-Nu‘man (d. A.H. 363 / C.E. 974).

Al-Shahrastani was an able and learned man of great personal charm. The real nature of his thought is best referred to by the term theosophy, in the older sense of “divine wisdom”. However, al-Shahrastani was certainly not totally against theology or philosophy, even if he was very harsh against the theologians and the philosophers. As he explained in the Majlis, in order to remain on the right path, one must preserve a perfect equilibrium between intellect (‘aql) and audition (sam‘). A philosopher or a theologian must use his intellect until he reaches the rational limit. Beyond this limit, he must listen to the teaching of Prophets and Imams.

His works reflect a complex interweaving of intellectual strands, and his thought is a synthesis of this fruitful historical period. In his conception of God, Creation, Prophecy, and Imama, al Shahrastani adopted many doctrinal elements that are reconcilable with Nizari Isma’ilism. The necessity of a Guide, belonging both to the spiritual and the physical world, is primordial in his scheme since the Imam is manifested in this physical world.

3. References and Further Reading

  • Danish-Pazhuh, Muhammad Taqi
  • 1346HS/1968 “Da’i al-du‘at Taj al-din-i Shahrastana.” Nama-yi astan-i quds 7: 77-80
  • 1347HS/1969 “Da’i al-du‘at Taj al-din-i Shahrastana.” Nama-yi astan-i quds 8: 61-71.
  • Gimaret, Daniel, Monnot, Guy and Jolivet, Jean
  • 1986-1993 Livre des religions et des sectes. 2 vols. Belgium (Peeters): UNESCO.
  • Jolivet, Jean
  • 2000 “AL-SHAHRASTÂNÎ critique d’Avicenne Dans la Lutte contre les philosophes (quelques aspects),” Arabic Sciences and Philosophy, 10: 275-292.
  • Madelung, Wilferd
  • 1976 “Ash-Shahrastanis Streitschrift gegen Avicenna und ihre Widerlegung durch Nasir ad-din at.-Tusi.” Akten des VII. Kongresses für Arabistik und Islamwissenschaft, Abhandlungen der Akademie des Wissenschaften in Göttingen 98: 250-9.
  • Monnot, Guy
  • 1983-84 “Islam: exégèse coranique.” Annuaire de l’École Pratique des Hautes Études 92: 305-15.
  • 1986-1987 “Islam: exégèse coranique.” Annuaire de l’École Pratique des Hautes Études 95: 253-59.
  • 1987-1988 “Islam: exégèse coranique.” Annuaire de l’École Pratique des Hautes Études 96: 237-43.
  • 1996 “Shahrastani.” Encyclopédie de l’islam 9: 220-22.
  • 1999 Book review of La pensée philosophique et théologique de Shahrastani (m. 548/1153) by Diane Steigerwald in Bulletin critique des annales islamologiques 15: 79-81.
  • 2001 Book review of Majlis-i maktub-i Shahrastani-i mun’aqid dar Khwarazm. Ed. Muhammad Rida R. Jalali Na’ini and translated into French by Diane Steigerwald in Majlis: Discours sur l’ordre et la création. Sainte-Foy (Québec): Les Presses de l’Université Laval in Bulletin critique des annales islamologiques 17.
  • Na’ini, Jalali
  • 1343HS/1964 Sharh-i Hal wa Athar-i Hujjat al-Haqq Abu al-Fath Muhammad b. ‘Abd al-Karim b. Ahmad Shahrastani. Tehran.
  • al-Nu’man, Abu Hanifa
  • 1956 Al-Risala al-Mudhhiba. In Khams Rasa’il Isma’iliyya. Ed. ‘Arif Tamir, Beirut.
  • Al-Shahrastani, Abu al-Fath Ibn ‘Abd al-Karim
  • 1850 Kitab al-Milal wa al-Nihal. Trans. Theodor Haarbrücker in Religionspartheien und Philosophen-Schulen. Vol. 1 Halles.
  • 1923 Kitab al-Milal wa al-Nihal. Ed. William Cureton in Books of Religions and Philosophical Sects. 2 vols. Leipzig: Otto Harrassowitz (reprint of the edition of London 1846).
  • 1934 Nihayat al-Aqdam fi ‘Ilm al-Kalam. Ed. and partially trans. Alfred Guillaume in The Summa Philosophiae of Shahrastani. Oxford: Oxford University Press.
  • 1366-1375/1947-1955 Kitab al-Milal wa al-Nihal. Ed. Muhammad Fath Allah Badran, 2 vols. Cairo.
  • 1396/1976 Musara’at al-Falasifa. Ed. Suhayr M. Mukhtar. Cairo.
  • 1989 Mafatih al-Asrar wa-masabih al-abrar. Tehran.
  • 1998 Majlis-i maktub-i Shahrastani-i mun’aqid dar Khwarazm. Ed. Muhammad Rida R. Jalali Na’ini and translated into French by Diane Steigerwald in Majlis: Discours sur l’ordre et la création. Sainte-Foy (Québec): Les Presses de l’Université Laval.
  • 2001 Musara’at al-Falasifa. Ed. and translated by Wilferd Madelung and Toby Mayer in Struggling with the Philosopher: A Refutation of Avicenna’s Metaphysics. London: I.B. Tauris.
  • Steigerwald, Diana
  • 1995 “L’Ordre (Amr) et la création (khalq) chez Shahrastani.” Folia Orientalia 31: 163-75.
  • 1996 “The Divine Word (Kalima) in Shahrastani’s Majlis.” Studies in Religion/Sciences religieuses 25.3: 335-52.
  • 1997 La pensée philosophique et théologique de Shahrastani (m. 548/1153). Sainte-Foy (Québec): Les Presses de l’Université Laval.
  • 1998 “La dissimulation (taqiyya) de la foi dans le shi’isme ismaélien.” Studies in Religion/Sciences religieusesz, 27.1: 39-59.
  • 2001 Book review of al-Shahrastani, Kitab al-Musâra’at al-Falasifa (Struggling with the Philosopher: A Refutation of Avicenna’s Metaphysics), edited and translated by Wilferd Madelung and Toby Mayer, London, Tauris, 2001 in Studies in Religion/Sciences religieuses 30.2: 233-234.
  • 2004 “The Contribution of al-Shahrastani to Islamic Medieval Thought.” In Reason and Inspiration: Islamic Studies in Honor of Hermann A. Landolt. London: I.B. Tauris, (forthcoming).

Author Information

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

Alfred Schutz (1899—1959)

SchutzAlfred Schutz philosophized about social science in a broad signification of the word. He was deeply respectful of actual scientific practice, and produced a classification of the sciences; explicated methodological postulates for empirical science in general and the social sciences specifically; and clarified basic concepts for interpretative sociology in particular. His work shows how philosophy of the cultural sciences can be done phenomenologically.

He characterized his approach in terms of what Husserl called “constitutive phenomenology of the natural attitude.” Schutz appears to have considered this sufficient for his science-theoretical purposes, even though he also understood transcendental phenomenology clearly. His objections to positivism aside, there are three main themes to Schutz’s philosophy of the social sciences: defining their region, clarifying their categories, and articulating their postulates.

Table of Contents

  1. Life and Works
  2. Phenomenological Philosophy of the Social Sciences
  3. References and Further Reading

1. Life and Works

Alfred Schutz was born in Vienna in 1899. Like Ludwig Wittgenstein and Karl Popper, Edmund Husserl, Sigmund Freud, and Franz Brentano, Schutz came from the last phase of the Austro-Hungarian Empire. He was an only child in an upper-middle-class Austrian Jewish family and had a strong mother. In his youth he attended a classical Gymnasium in Vienna and developed a lifelong interest in music. After his serving in World War I, he received his doctorate in the philosophy of law at Vienna under Hans Kelsen in three years; studied marginal-utility economics; and became interested in the interpretative (verstehende) sociology of Max Weber. His initial attempt to ground the social sciences in the philosophy of Henri Bergson not proving satisfactory, he was led late in the 1920s by his friend Felix Kaufmann to study Edmund Husserl’s Vorlesungen zur Phänomenologie des inneren Zeitbewusstsein (1928) and Formale und transzendentale Logik (1929) and, on that basis, committed himself to phenomenology for the rest of his life.

Schutz completed Der sinnhafte Aufbau der sozialen Welt in 1932. On the recommendation of Tomoo Otaka as well as Kaufmann, he sent a copy to Husserl, who invited him to Freiburg and soon asked him to become his assistant. It was necessary, however, for Schutz to continue his career as a banking executive in order to support his family. Husserl called him an executive by day and a phenomenologist by night. He visited Husserl often until the latter’s death in 1938 and continued to write essays, especially in the philosophy of economics.

After the Nazi Anschluss, he helped many others flee the Nazis; he himself moved first to Paris and then to New York, where he continued to work in a private banking firm. Soon he also began teaching sociology and eventually philosophy in the evenings at the Graduate Faculty of Political and Social Science of the New School for Social Research.

His correspondence with Aron Gurwitsch well documents his thinking from 1939 until 1959, when he died. Schutz published dozens of essays in the United States and began working toward a second book during his last decade. Before his death, however, he was only able to outline an arrangement of passages from various essays, eventually fleshed out by Thomas Luckmann in two volumes. But Schutz had also managed to plan several volumes of Collected Papers that his widow and two other students quickly edited after his death. Moreover, translations of the Aufbau into English as well as it and volumes of papers into a number of Western and Asian languages began in the 1960s. His quite extensive, international, and multidisciplinary influence is still growing within and beyond philosophy. His oeuvre also continues to reward close study. Volume IV of his papers has been published, Volume V Phenomenology and the Social Sciences was published in 2011. A Werkausgabe has appeared in German, and there are Schutz archives at Yale University in the United States, Konstanz University in Germany, and Waseda University in Japan. Several international conferences were held in the centennial year of 1999, and there is a video of his life and work.

2. Phenomenological Philosophy of the Social Sciences

If phenomenology is comprehended in the strict signification now sometimes qualified as Husserlian, there can be no doubt that Alfred Schutz is the preeminent phenomenological philosopher of the social sciences. But such a characterization needs to be comprehended carefully. “Philosophy” in this connection as well as “social science” have somewhat distinctive significations for him.

In his 1932 book Schutz lists not only economics, jurisprudence, sociology, and political science, but also biography and the histories of art, economics, music, philosophy, and politics (and implicitly archaeology) as “Sozialwissenschaften.” This may reflect Austrian views early in the last century, but in his American period he similarly lists cultural anthropology, economics, history, law, linguistics, sociology, and the sciences of mythology and religion. This list can seem odd today because the historical sciences and jurisprudence are not usually considered social sciences, at least in the United States. A broader title seems necessary. In the Austrian writings, “Geisteswissenschaften” is used as an alternative for what can be called “the social sciences in the broad signification,” and this has been rendered as “human sciences” in recent translations. Another expression, “Kulturwissenschaften,” is, however, rather prominent in the original German of “Phenomenology and the Social Sciences” of 1940, the manifesto written at the time of his transition to his new country; it even occurs in the original title. “Cultural science” might be preferred as an alternative to “social science” in the broad signification. Moreover, “Wissenschaft,” usually translated as “science,” is not confined in German thought to explanatory disciplines based on experimentation and sensuous perception. One gets the most from studying Schutz if one bears in mind that his philosophy of the cultural sciences is concerned with all of the above listed disciplines. In Austria, Schutz used forms of “Wissenschaftstheorie,” including “Theorie der Sozialwissenschaften,” to characterize his work; in the United States he initially used “methodology and epistemology” to render “Wissenschaftslehre,” but later preferred “theory of the social sciences.” The expression “philosophy of the social sciences” does not occur in his oeuvre, perhaps because it had not yet been coined in his time.

In Schutz’s theory of science or “science theory,” as it might also be called (although this is not his expression), the concern is emphatically with the basic concepts and postulates of scientific thinking per se. What is particularly interesting about Schutz’s position, is, however, his recognition that the cultural or social scientists regularly reflect on those same themes, that is, that they too engage in science theory. This makes discussions of basic concepts and methodology between scientists and philosophers possible. Schutz was especially impressed by Max Weber’s science theory, he found some science-theoretical reflections in Hans Kelsen’s pure theory of law, and he unsuccessfully sought a discussion of science-theoretical issues with the sociologist Talcott Parsons. He did succeed in having such discussions with some “Austrian school” economists, including Fritz Machlup, Friedrich A. Hayek, and Ludwig von Mises. He recognized, however, that science-theoretical reflections by scientists tend to be limited by the needs of the particular disciplines and hence seldom reach a fully philosophical level. Schutz’s project as a philosopher was then to reflect on the practices of the cultural sciences, asking intelligent questions and learning from the scientists themselves, and then interpreting for them what they do, thereby possibly eliminating some difficulties in the foundations of the edifice of science that they seldom inspect. Schutz’s approach can be called a “gentle prescriptivism,” which may be why his thought has been very well received in a score of non-philosophical disciplines concerned with aspects of the sociocultural world. “Theory of science” can be an inclusionary title, while “philosophy” in this age of hyperspecialization is often exclusionary, with the consequence that efforts by cultural scientists to reflect on their own disciplines are not taken seriously by philosophers. Schutz’s Aufbau is a masterpiece in Wissenschaftslehre regarding interpretative sociology and begins with an examination of the sociologist Max Weber’s science-theoretical reflections on that science. Probably because he taught only sociology in the early years, had prominent students in that discipline (for example, Thomas Luckmann), and had a will to communicate with scientists,

Schutz is sometimes characterized as a “phenomenological sociologist.” But he also taught philosophy, including students such as Maurice Natanson, and nearly all of his publications are clearly philosophical scholarship or investigations. When his New School colleague Leo Strauss once praised him as “a philosophically sophisticated sociologist,” Schutz responded that he preferred to be considered “a sociologically sophisticated philosopher.” Finally, it is crucial to recognize that Schutz’s philosophy of the social sciences is phenomenological. This signifies that he reflectively analyzes how sociocultural objects are constructed with meaning in everyday life, largely with concepts found in ordinary language and thereby open to interpretation. More will be said about this presently, but it deserves mention at this point that he characterized his approach in terms of what Husserl called “constitutive phenomenology of the natural attitude.” Schutz appears to have considered this sufficient for his science-theoretical purposes, even though he also understood transcendental phenomenology clearly.

His objections to positivism aside, there are three main themes to Schutz’s philosophy of the social sciences: defining their region, clarifying their categories, and articulating their postulates. In the first place, there is the problem of the delimitations of the realm of the social sciences in both the broad and the narrow significations. Schutz held that all science is theoretical and requires entry into the preconstituted subuniverse of a discipline. “On Multiple Realities” (1945)—perhaps his most famous essay—is devoted to contrasting the theoretical and practical attitudes, phantasy and dream being considered along the way. In other texts he offers a taxonomy of the positive sciences. Except to agree with Husserl on the unification of all sciences by formal logic, Schutz has little to say about the formal sciences. This and his opposition to positivism may have led some to believe that he opposed mathematization in the cultural sciences, but he clearly accepted it in economics, arguably the most mathematized social science, and could easily have accepted it elsewhere as well.

On the assumption of an implicit distinction between sciences of content and sciences of form, the “contentual sciences,” as they might be called, are, for Schutz, of two kinds, the naturalistic and the cultural. Against much philosophy of science, especially in the Anglo-American world, Schutz agreed with Dilthey and Husserl before him, and later with others such as Gurwitsch, on the priority of the cultural over the naturalistic sciences. This is because when first theorized about, the world is concretely cultural, that is, it is always already interpreted on the common-sense level of everyday life and ordinary language. While one can then immediately engage in cultural science, a further type abstraction is needed in order to distinguish nature from the rest of the cultural world and engage in naturalistic science. The abstraction from the common-sense interpretation by which the subject matter of the naturalistic sciences is constituted can become deeply habitual and traditional in philosophers as well as scientists. But because of this abstraction, the nature obtained hardly “comes naturally” to us, and the sciences in which aspects of it are thematized can be called “naturalistic,” although Schutz did not use this expression. (It may also now be clearer why “cultural science” can be preferred for the sciences that thematize aspects of the original and concrete cultural world.) And Schutz believed, by the way, that there was more to be learned about human knowledge from the cultural than from the naturalistic sciences—behaviorists, for example, being unable to account for how they themselves ca even practice science. As might have been suspected when the broad signification of social or, better, cultural science was introduced above, some specification of this kind of science is called for.

Unfortunately, Schutz does not discuss psychology as a cultural science, but he does distinguish the social sciences in what can be called the narrow signification from the historical sciences. His position is that the world of others has three basic regions, that of “contemporaries,” who are alive at the same time with a given member or group, the scientist included, that of “predecessors,” who are dead; and that of “successors,” who are yet to be born. Predecessors can influence contemporaries by writing wills, for example, and successors can similarly be influenced by contemporaries (and predecessors). Successors cannot be understood, however, since there is nothing yet to understand, and predecessors can be understood through texts, traces, and oral tradition. Only for contemporaries is mutual influencing and understanding possible. “Consociates” make up a subset of contemporaries who can reciprocally as well as unilaterally understand and influence one another within a shared place as well as in the shared time of all contemporaries. The social sciences in the narrow signification are then about contemporaries and the historical sciences are about predecessors.

But the rise of “contemporary history” has made this division problematical. Since Schutz accepted the universes of the sciences as they are defined by the scientific communities concerned, it is likely that he would have accepted that contemporary history is history, although it is not clear how he might have corrected his original position on the difference of the historical from the social sciences in the narrow signification. Perhaps the historical sciences are different because they extend their explanations beyond the realm of contemporaries into that of predecessors, while social sciences confine their explanations to the realm of contemporaries, but Schutz does not state or imply this.

The second theme of Schutz’s theory of the cultural sciences is the clarification of the categories or “basic concepts” of the sciences. To show what this is about, it is most efficient merely to quote the list on the first page of Schutz’s Aufbau of the basic concepts of interpretative sociolology that he then attempts to clarify in his book: “the interpretation of one’s own and others’ experiences, meaning-establishment and meaning-interpretation, symbol and symptom, motive and project, meaning-adequacy and causal adequacy, and, above all, the nature of ideal-typical concept formation.” Investigation beyond Schutz’s work should pursue similar concepts in other disciplines, beginning from the science-theoretical reflections of the scientists themselves while always being prepared to go further.

The third theme of Schutz’s philosophy or theory of the social or cultural sciences is methodology in a narrow signification. It is about rules of procedure, which are articulated with “postulates.” These are to be obtained by reflective observation and analysis of actual scientific practice, then reported back to the scientists whose practice they explicate. A complete interpretation of Schutz’s thought in this respect has yet to be published. Besides those postulates included in the several lists, the moves, for example, of abstracting nature from the rest of the sociocultural world in the naturalistic sciences and of using individual action as a starting point in the cultural sciences are explicitly said to be postulates, while the requirement of adopting a theoretical attitude is only implicitly a postulate for all science.

Schutz recognized that there were many more postulates yet to be explicated from scientific practice. But five can be mentioned here, three for the empirical sciences in general and two for specifically social or cultural science. In all empirical sciences, naturalistic as well as cultural, (1) all terms are to be as clear and distinct as possible; (2) propositions are to be consistent and compatible within and between particular disciplines; and (3) all scientific thought is to be derived directly or indirectly from tested observation. (In the naturalistic sciences this observation is sensuous, but in the cultural sciences it is chiefly interpretation of statements by informants.) In the cultural sciences specifically,

(4) there is the postulate of subjective meaning or interpretation, which Schutz has from Max Weber. By this postulate, models of aspects of the sociocultural world, which are scientific constructs about common-sense constructs, must ultimately refer to the subjective meaning of the actor on the social scene. The actor alone knows her purpose, where her action begins and ends, what its stages are, and afterward how well she has succeeded. When a surgeon decides not to operate, that too is an action. The partner in an interaction is next most cognizant of but still not privy to what can also be called the “insider interpretation” of the action by the actor. Then come the other “outsider interpretation,” so to speak, those of the observer in everyday life, followed by that of the cultural scientist, and finally that of the science theorist, who is thus at four removes from the originally meaningful action.

(5) By the postulate of adequacy, the account produced by the cultural scientist must be understandable by the actor or group reflected on. This recourse to the informant(s) after the fact of scientific interpretation is similar to Schutz’s philosophical recourse to the science-theoretical analyses produced by the cultural scientists themselves, just as the attitude of the scientist is similar to that of the observer in everyday life.

There are subsidiary components to Schutz’s theory of the cultural sciences, such as the recognition of schools of thought within disciplines, but the foregoing should suffice to prepare the reader to study his oeuvre. But something can also be said about areas in which his thinking has been and/or needs to be extended. In the first place, while there is considerable focus on the particular sciences of economics and sociology, the scope of Schutz’s science theory is clearly much broader. If this is recognized, then it is also clear that philosophers inspired by his work could engage in discussions with scientists of other disciplines (for example, archaeologists), seeking to define the discipline, to clarify its basic concepts, and to explicate postulates for them. In the second place, while Schutz is emphatic that the constructs produced in the cultural sciences are constructs of a second level that are about the constructs of the first level, which is that of common sense and ordinary language, he did not ask what the constructs of the primary level are themselves about. This is undoubtedly because in everyday life a conceptualization of objects automatically occurs that is perhaps most obvious in how names come to mind (or awkwardly fail to do so) when one encounters objects. In addition, the words “meaning” and “significance” can shed more shadow than light. If one abstracts from such conceptualization, however, one can observe that cultural objects already have values and uses that are not conceptual meanings bestowed on sheerly physical things, but original determinations of the objects that such conceptual meanings are bestowed upon and that ordinary language refers to. Consequently, two abstractions are actually needed to reach the nature thematized in the naturalistic sciences. This is not to reject Schutz’s interpretationism, but it is to assert that cultural objects, situations, and worlds are cultural by virtue of values and uses that are not reducible to conceptual meaning-bestowal and categorial formation. In the third place,

Schutz’s great emphasis is on theoretical science, but there are also the so-called “applied sciences,” such as nursing and psychiatry, which are deserving of great attention from philosophers, and one can explore how Schutz’s science theory can be extended to include such disciplines. These practical disciplines are perhaps better characterized as “science-based” rather than “applied” because rarely is only one science applied in them; instead, the practitioners select what suits their purposes from various theoretical disciplines and unhesitatingly engage in theoretical research themselves where it is needed. Finally, a comparative study of Schutz’s theory of the cultural sciences, which does emphasize the social sciences in the narrow signification, with the theory of the interpretation and critique of texts and traces—that is, hermeneutics, which can be said to emphasize the historical sciences—should shed light on both and perhaps lead toward a more balanced and complete theory of the cultural sciences in general.

Overall, Alfred Schutz’s work is a model for the philosophical analysis of science that begins from reflective observation on scientific practices as relating to the objects of their provinces and, correlatively, on such objects as theorized about and observed in those practices.

3. References and Further Reading

  • Alfred Schutz Aron Gurwitsch Briefwechsel 1939-1959. Ed. Richard Grathoff. Munich: Wilhelm Fink, 1985. English translation: Philosophers in Exile: The Correspondence of Alfred Schutz and Aron Gurwitsch, 1939-1959. Trans. J. Claude Evans. Bloomington: Indiana University Press, 1989.
  • “Choice and the Social Sciences.” Ed. Lester E. Embree. In Life-World and Consciousness: Essays for Aron Gurwitsch. Ed. Lester E. Embree, Evanston, IL: Northwestern University Press, 1972, 565-90.
  • “Husserl and His Influence on Me.” Ed. Lester Embree. The Annals of Phenomenological Sociology 2 (1977), 40-44.
  • Collected Papers, Vol. I, The Problem of Social Reality. Ed. Maurice Natanson. The Hague: Martinus Nijhoff, 1962.
  • Collected Papers, Vol. II, Studies in Social Theory, Ed. Arvid Brodersen, The Hague: Martinus Nijhoff, 1964.
  • Collected Papers, Vol. III, Studies in Phenomenological Philosophy. Ed. Ilse Schutz. The Hague: Martinus Nijhoff, 1966.
  • Collected Papers, Vol. IV. Ed. Helmut Wagner, George Psathas, and Fred Kersten, Dordrecht: Kluwer Academic Publishers, 1996.
  • “Positivistic Philosophy and the Actual Approach of Interpretative Social Science: An Ineditum of Alfred Schutz from Spring 1953.” Ed. Lester Embree. Husserl Studies 14 (1997), 123-49.
  • Reflections on the Problem of Relevance. Ed. Richard M. Zaner. New Haven: Yale University Press, 1970.
  • Der sinnhafte Aufbau der sozialen Welt [1932]. Frankfurt am Main: Suhrkamp Taschenbuch, 1974. English translation: Phenomenology of the Social World. Trans. George Walsh and Frederick Lehnert. Evanston, IL: Northwestern University Press, 1967.
  • The Theory of Social Action. Ed. Richard Grathoff. Bloomington: Indiana University Press, 1978.
  • Alfred Schutz and Thomas Luckmann, Die Strukturen der Lebenswelt, 2 vols. Neuwied: Luchterhand, 1975; Frankfurt am Main: Suhrkamp, 1953. English translation: The Structures of the Lifeworld, Vol. I. Trans. Richard M. Zaner and H. Tristram Engelhardt, Jr.; Vol. II. Trans. Richard M. Zaner and David J. Parent. Evanston, Ill: Northwestern University Press, 1973, 1989.

Author Information

Lester Embree
Email: embree@fau.edu
Florida Atlantic University
U. S. A.

The Epistemology of Perception

EpisPercPerception is a central issue in epistemology, the theory of knowledge. At root, all our empirical knowledge is grounded in how we see, hear, touch, smell and taste the world around us. In section 1, a distinction is drawn between perception that involves concepts and perception that doesn’t, and the various epistemic relations that there are between these two types of perception are discussed–our perceptual beliefs and our perceptual knowledge. Section 2 considers the role of causation in perception and focuses on the question of whether perceptual experience justifies our beliefs or merely causes them. Sections 3 and 4 further investigate the epistemic role of perception and introduce two distinct conceptions of the architecture of our belief system: foundationalism and coherentism. It is shown how perceptual experience and perceptual beliefs are integrated into these systems. Finally, section 5 turns to the externalist view that thinkers need not be aware of what justifies their perceptual beliefs.

Table of Contents

  1. Perception and Belief
    1. Seeing That, Seeing As and Simple Seeing
    2. Perceptual Beliefs
  2. Perception, Justification and Causation
    1. Armstrong’s Causal Account of Perceptual Knowledge
  3. Perception and Foundationalism
    1. Traditional Foundationalism
    2. Sellars and the Myth of the Given
    3. Concepts and Experience
    4. Modest Foundationalism
  4. Perception and Coherentism
    1. The Basic Idea Behind Coherentism
    2. Bonjour and the Spontaneous Nature of Perceptual Beliefs
  5. Externalism
  6. References and Further Reading

1. Perception and Belief

a. Seeing That, Seeing As and Simple Seeing

Perception is the process by which we acquire information about the world around us using our five senses. Consider the nature of this information. Looking out of your window, you see that it is raining. Your perception represents the world as being like that. To perceive the world in this way, therefore, it is required that you possess concepts, that is, ways of representing and thinking about the world. In this case, you require the concept RAIN. Thus, seeing that your coffee cup is yellow and that the pencil is green involves the possession of the concepts COFFEE CUP, YELLOW, PENCIL and GREEN. Such perception is termed “perceiving that,” and is factive; that is, it is presupposed that you perceive the world correctly. To perceive that it is raining, it must be true that it is raining. You can also, though, perceive the world to be a certain way and yet be mistaken. This we can call, “perceiving as,” or in the usual case, “seeing as”. A stick partly submerged in water may not be bent but, nevertheless, you see it as bent. Your perception represents the stick as being a certain way, although it turns out that you are wrong. Much of your perception, then, is representational: you take the world to be a certain way, sometimes correctly, when you see that the world is thus and so, and sometimes incorrectly, when the world is not how you perceive it to be.

It also seems that there is a form of perception that does not require the possession of concepts (although this claim has been questioned). It is plausible to claim that cognitively unsophisticated creatures, those that are not seen as engaging in conceptually structured thought, can perceive the world, and that at times we can perceptually engage with the world in a non-conceptual way. You can tell that the wasp senses or perceives your presence because of its irascible behavior. When you are walking along the High Street daydreaming, you see bus stops, waste bins, and your fellow pedestrians. You must see them because you do not bump into them, but you do not see that the bus stop is blue or that a certain pedestrian is wearing Wrangler jeans. You can, of course, come to see the street in this way if you focus on the scene in front of you, but the claim here is that there is a coherent form of perception that does not involve such conceptual structuring. Let us call such baseline perceptual engagement with the world, “simple seeing”. This perception involves the acquisition of perceptual information about the world, information that enables us to visually discriminate objects and to successfully engage with them, but also information that does not amount to one having a conceptually structured representation of the world. (Dretske, 1969, refers to simple seeing as “non-epistemic” seeing, and refers to ‘seeing that’ as “epistemic” seeing).

You can, then, simply see the bus stop, or you can see that the bus stop is blue, or you can, mistakenly, see the bus stop as made of sapphire. These are all forms of perceptual experience, ways you have of causally engaging with the world using your sensory apparatus and ways that have a distinctive conscious or “phenomenological” dimension. Seeing in its various forms strikes your consciousness in a certain way, a way that you are now experiencing as you look at your computer screen. This article investigates the causal and epistemic roles of this perceptual experience.

A little more terminology: the term “sensation” can be used to refer to the conscious aspect of perception, but note that one can have such sensations even when one would not be said to be perceiving the world. When hallucinating, for example, one is having the sensations usually characteristic of perceptual experience, even though in such cases one’s experience would not be described as perceptual.

Consider how these various kinds of perceptual experience are related to our perceptual beliefs. Perceptual beliefs are those concerning the perceptible features of our environment, and they are beliefs that are grounded in our perceptual experience of the world. The content of such beliefs can be acquired in other ways: You could be told that the bus stop is blue, or you could remember that it is blue. Right now, though, waiting for the bus, you acquire this belief by looking straight at it, and, thus, you have a perceptual belief concerning this particular fact. Just how your perceptual beliefs are grounded in your perceptual experience is a contentious issue. There is certainly a causal relation between the two, but some philosophers also claim that it is perceptual experience that provides justification for our perceptual beliefs. This foundationalist claim is denied by the coherentist (see sections 3 and 4 below).

b. Perceptual Beliefs

First, one does not necessarily come to acquire perceptual beliefs in virtue of simply seeing the world. Simple seeing is something that cognitively unsophisticated creatures can do, creatures such as wasps that do not have more sophisticated beliefs, propositional beliefs. It is plausible, though, that if one sees a certain object as a bus stop, then one would also come to believe that there is a bus stop being seen. In many cases, this is, of course, true, but it is not in all. A famous example is the Muller-Lyer illusion:

muller-lyer

The two horizontal lines above look as though they are of different lengths, the upper line being longer than the lower. If we have seen the illusion before, then we do not believe our eyes. Instead, we believe that the lines are the same length (which they are). Here is another case: a habitual user of hallucinogenics may doubt the veracity of all his perceptions; he may not believe anything he sees. His perception, however, amounts to more than simply seeing; he sees the moon as being made of cheese and his cup of tea as grinning up at him. Yet, because of the doubt fostered by his frequent hallucinations, he does not move from seeing the world as being a certain way to believing that it is. In most cases, though, if one sees the world as being a certain way, then one also believes that it is that way. Last, let us return to the notion of “perceiving that.” Such perception has a closer relationship with the acquisition of perceptual belief. If one is described as perceiving that the world is a certain way, it is implied that one also believes that the world is so. Here, there isn’t room for perception to come apart from belief.

Thus, we have seen that we can be perceptually engaged with the world in various ways. Such engagement can amount to the mere acquisition of perceptual information, the experience of seeing the world as being a certain way, or the possession of the cognitive states of perceiving and believing that it is so. If all goes well, such perceptual beliefs may constitute perceptual knowledge of the world. According to the traditional account, this is when those beliefs are true and when they are justified. Perceptual knowledge consists in knowledge of the perceptible features of the world around us, and it is that which is grounded in our perceptual experience. Again, the nature of this grounding is controversial. Perceptual experience is certainly causally related to perceptual knowledge; foundationalists, however, make the further claim that such experience provides the justification that is constitutive of such knowledge (see section 3). Others, though, including Armstrong (section 2a) and the coherentists (section 4), do not believe perceptual experience plays this justificatory role with respect to perceptual knowledge. The next section considers this key issue of justification.

But consider the issue of skepticism. The skeptical arguments of Descartes (1641) have had an enormous influence on both the history and practice of epistemology. He suggests certain scenarios that threaten to undermine all of our empirical knowledge of the world. It could be that right now you are dreaming. If you were, everything might appear to you just as it currently does; dreams are sometimes very real. It is also possible that a powerful demon might be deliberately deceiving you; there may not be an external world at all, and all your perceptual experience and perceptual beliefs may be simply planted in your mind by this evil entity. Given such scenarios, it is not clear how our perceptual beliefs can be justified and thus, how we can have perceptual knowledge. Any reasons you have for thinking that such beliefs correctly represent the world are undermined by the fact that you could have such beliefs even if the external world did not exist. Since the seventeenth century, epistemology has been trying to find a solution to this Cartesian scepticism. This article simply assumes that we can have justification for our perceptual beliefs and that perceptual knowledge is possible. Given this assumption, the focus is on how we should conceive of such justification.

2. Perception, Justification and Causation

Perceptual experience provides both causal and justificatory grounding for our perceptual beliefs and for our knowledge of the passing show. In this section, we shall start to look at the causal and justificatory relations between perception, belief and knowledge. As was discussed above, our perceptual experience can be conceptually structured: we can see the world as being a certain way, or we can see that it is thus and so. Thus, such experience could be seen as providing justification for our perceptual knowledge in that you could be justified in taking things to have the properties you see them as having. The fact that perceptual experience is conceptual, however, is not sufficient to ensure that your perceptual beliefs are justified. Dave, a friend of yours, sees every tackle made against a player of West Ham United Football Club as a foul. He is not, however, justified in taking this to be true. Often these clashes are simply not fouls; Dave is wrong, and even when he is correct, when he really sees that a foul has been committed, it would seem that his prejudiced observation of the game entails that in these cases he only gets it right through luck, and thus, he is not justified in his belief. The fact, then, that our experience is conceptual does not entail that we have justified perceptual beliefs or knowledge. Section 3 considers what else needs to be said, and investigates an account of how perceptual experience is seen to provide epistemic justification. First, though, consider an account of perceptual knowledge that does not make use of the notion of justification.

a. Armstrong’s Causal Account of Perceptual Knowledge

Armstrong (1961 / 1973) claims that perceptual knowledge simply requires that one’s perceptual beliefs stand in lawlike relations to the world.

What makes…a belief a case of knowledge? My suggestion is that there must be a lawlike connection between the state of affairs Bap [that a believes p] and the state of affairs that makes ‘p’ true such that, given Bap, it must be the case that p. (Armstrong, 1973, p. 75)

Crudely, since causal relations are lawlike, if our perceptual and cognitive apparatus is such that it is buzzing flies that cause us to have perceptual beliefs about buzzing flies, then it will be the case that we will have perceptual knowledge of this annoying aspect of our environment when the bees cause the belief. Armstrong calls his account a “thermometer model” of knowledge. We can come to have knowledge of the world just as a thermometer can come to represent its own temperature. In both systems, there is simply a lawlike relation between a property of the world and a property of a representative device (the level of mercury in a thermometer or the state of certain internal cognitive mechanisms of a thinker).

Highlighting the role of perceptual experience, Armstrong claims that:

“perception is nothing but the acquiring of knowledge of, or, on occasions, the acquiring of an inclination to believe in, particular facts about the physical world, by means of our senses,” (Armstrong, 1961, p. 105)

He does, however, claim that there is a “contingent connection between perception and certain sorts of sensation,” and that this, “may help to explain the special ‘feel’ of perception,” (Armstrong, 1961, p. 112). Conscious sensation, then, is not essential to perception. I could be correctly said to see the road ahead as I drive late at night on the motorway, even though I have “switched off,” and appear to be driving on “autopilot.” I can see the road because I am still causally acquiring beliefs about the world in front of me by way of my senses. Similarly, cases of blindsight are also bonafide cases of perception. Blindsight patients claim to have a complete lack of visual experience on, for example, their left side, yet they can make reliable reports about shapes and objects that are presented to this side of their perceptual field (they themselves, however, claim that they are merely guessing). They do, then, seem to be acquiring correct beliefs about their environment via a causal engagement between the world and their senses, and thus, they perceive the world even though in such cases the contingent connections with sensation are lost. Thus, on Armstrong’s account, perceptual experience is not necessary for perceptual knowledge. When one does have conscious perceptual experiences, these do not play a justificatory role; they are simply causally related to perceptual belief and knowledge. Many, however, find such an account too sparse, in that one’s experience does not play any justificatory or epistemic role in the acquisition of perceptual beliefs or knowledge. It is claimed that a more satisfying theory of perception should include an account of why perceptual experience justifies our perceptual beliefs and that we should not be content with simply an account of why we are caused to acquire them. The following theory of perception attempts to include just such an account of justification.

3. Perception and Foundationalism

Foundationalists claim that the superstructure of our belief system inherits its justification from a certain subset of perceptual beliefs upon which the rest sits. These beliefs are termed “basic beliefs.” Our belief system, then, is seen as having the architecture of a building. Later, in section 4, we shall see that coherentists take our belief system to be more akin to an ecosystem, with our beliefs mutually supporting each other, rather than relying for their justification on certain crucial foundation stones. There are various versions of this foundationalist approach, two of which are discussed in the next two sections.

a. Traditional Foundationalism

Traditionally the foundations of knowledge have been seen as infallible (they cannot be wrong), incorrigible (they cannot be refuted), and indubitable (they cannot be doubted). For empiricists, these foundations consist in your beliefs about your own experience. Your beliefs are basic and non-basic. Your basic beliefs comprise such beliefs as that you are now seeing a red shape in your visual field, let us say, and that you are aware of a pungent smell. In order to justify your non-basic belief that Thierry Henry is the best striker in Europe, you must be able to infer it from other beliefs, say that he has scored the most goals. The traditional foundationalist claim, however, is that this sort of inferential justification is not required for your basic beliefs. There may not actually be a red object in the world because you may be hallucinating, but, nevertheless, you cannot be wrong about the fact that you now believe that you am seeing something red. Justification for such beliefs is provided by experiential states that are not themselves beliefs, that is, by your immediate apprehension of the content of your sensory, perceptual experience, or what is sometimes termed, “the Given”. It is, then, your experience of seeing red that justifies your belief that you are seeing red. Such experience is non-conceptual. It is, though, the raw material which you then go on to have conceptual thoughts about. This conception of the relation between knowledge and experience has had a distinguished history. It was advocated by the British empiricists–Locke, Berkeley and Hume–and by the important modern adherents C. I. Lewis (1946) and R. Chisholm (1989). However, this conception of how your perceptual beliefs are justified has been widely attacked, and the next two sections address the most influential arguments against traditional foundationalism.

b. Sellars and the Myth of the Given

Sellars (1956) provides an extended critique of the notion of the Given. There are two parts to Sellars’ argument: first, he claims that knowledge is part of the “logical space of reasons;” and second, he provides an alternative account of “looks talk,” or an alternative reading of such claims as “that looks red to me,” claims that traditionally have been seen as infallible and as foundations for our perceptual knowledge. According to Sellars, no cognitive states are non-inferentially justified. For him:

“The essential part is that in characterising an episode or a state as that of knowing, we are placing it in the logical space of reasons, of justifying and being able to justify what one says.” (Sellars, 1956, p. 76)

Whether we are talking about perceptual or non-perceptual knowledge, we must be able to offer reasons for why we take such claims to be true. To even claim appropriately that I have knowledge that I now seem to be seeing a red shape, I must be able to articulate such reasons as, “since my eyes are working fine, and the light is good, I am right in thinking that I am having a certain sensory experience.” As Rorty (1979, chapter 4) argues, justification is essentially a linguistic or “conversational” notion; it must consist in the reasoned recognition of why a particular belief is likely to be true or why one is rightly said to be having a certain experience. If such an account of justification is correct, then the notion of non-inferentially justified basic beliefs is untenable and non-conceptual perceptual experience cannot provide the justification for our perceptual beliefs.

Surely, though, “this looks red to me,” cannot be something that I can be wrong about. Such a foundationalist claim seems to be undeniable. Sellars, however, suggests that such wording does not indicate infallibility. One does not say, “This looks red to me,” to (infallibly) report the nature of one’s experience; rather, one uses such a locution in order to flag that one is unsure whether one has correctly perceived the world.

… when I say “X looks green to me”…the fact that I make this report rather than the simple report “X is green,” indicates that certain considerations have operated to raise, so to speak in a higher court, the question ‘to endorse or not to endorse.’ I may have reason to think that X may not after all be green. (Sellars, 1956, p. 41)

Thus, Sellars provides a two-pronged attack on traditional foundationalism. The way we describe our perceptual experience does indeed suggest that we have infallible access to certain private experiences, private experiences that we cannot be mistaken about. However, we should recognize the possibility that we may be being fooled by grammar here. Sellars gives an alternative interpretation of such statements as, “this looks red to me,” an interpretation that does not commit one to having such a privileged epistemological access to one’s perceptual experience. Further, a conceptual analysis of “knowledge” reveals that knowledge is essentially a rational state and, therefore, that one cannot claim to know what one has no reason for accepting as true. Such reasons must be conceived in terms of linguistic constructions that one can articulate, and thus, the bare presence of the Given cannot ground the knowledge we have of our own experience or, consequently, of the world. This, then, is a rejection of the traditional foundationalist picture, or what Sellars calls, “the Myth of the Given.”

One of the forms taken by the Myth of the Given is the idea that there is, indeed must be, a structure of particular matter of such fact that (a) each fact can not only be noninferentially known to be the case, but presupposes no other knowledge either of particular matters of fact, or of general truths; and (b) such that the noninferential knowledge of facts belonging to this structure constitutes the ultimate court of appeal for all factual claims, particular and general, about the world. (Sellars, 1956, pp. 68-9)

c. Concepts and Experience

According to traditional foundationalism, the content of perceptual experience, the Given, is not conceptual in nature. It has been argued, however, that experience should not be seen in this traditional way. The phenomenon of “seeing as,” suggests to some that experience should be interpreted as essentially conceptual in nature.

What is this a picture of?

duck-rabbit

You perhaps see a duck. I can, however, alter the character of your visual experience by changing the beliefs that you have about this picture. Think RABBIT looking upward. The picture now looks different to you even though you are seeing the same configuration of black marks on a white background. This picture is usually referred to as “the duck-rabbit.” Originally, you saw the drawing as a duck; now you see it as a rabbit (or, as Wittgenstein would say, you notice different “aspects” of the picture). You have, then, distinct perceptual experiences dependent on the particular concepts “through which” you see that picture. Some take this to prove that perceptual experience is not pre- or non-conceptual but that it is essentially a conceptual engagement with the world. Such experience does not only consist in our having certain retinal images: “There is more to seeing than meets the eyeball,” (Hanson, 1988, p. 294). It is, rather, the result of a necessary conceptual ordering of our perceptual engagement with the world. This is a theory of experience that is at odds with that of the traditional foundationalist.

The theory has Kantian roots. For Kant, one cannot experience the world without having a conceptual structure to provide the representational properties of such experience. In Kant’s terms, the intuitions received by the sensibility cannot be isolated from the conceptualization carried out by the understanding. As he states, “Intuitions without concepts are blind, concepts without intuitions are empty” (Kant, 1781, A51 / B75). Intuitions, or what we might call bare perceptual experience–that which does not have a conceptual structure–cannot be seen as experience of a world, and therefore, such a conception of our perceptual engagement with the world cannot be seen as experiential at all; it is “blind”. The second clause of Kant’s aphorism claims that concepts that are not based on information received through the senses can have no empirical content. The Kantian claim, then, is that thinking about the world and experiencing it are interdependent. This is an attack on the distinction drawn in section 1a between simple seeing and conceptually structured forms of perception such as seeing that and seeing as. Kant claims the notion of simple seeing is incoherent since such a non-conceptual engagement with the world isn’t experiential.

Not everyone accepts that the phenomenon of seeing as entails this picture of experience. Dretske (1969) argues that simple or non-epistemic seeing is independent of epistemic seeing; that is, it is independent of seeing that is conceptually structured. Non-epistemic seeing amounts to the ability to visually differentiate aspects of one’s environment such as the bus stop and the waste bin, and one can do this without seeing these items as anything in particular (although, of course, one usually does). Further, “seeing as” presupposes simple seeing. One has to have some bare experience to provide the raw materials for our conceptually structured experience or thought. We may be able to see the picture above as a duck or as a rabbit, but we can only do this if we have a non-conceptual experience of a certain configuration of black marks on a white background. One’s experience of the basic black and white lines in the figure is independent of any concepts one may have that may then allow one to see these lines in a certain more sophisticated way, that is, as a duck or as a rabbit. In reply, however, it could be claimed that even such a basic experience as this relies on the contingent fact that one has the concepts of, for example, BLACK and WHITE. Perhaps if one did not have these concepts, then one could not even see this basic figure.

We have, then, looked at two problems faced by the traditional foundationalist, both of which center on the alleged non-conceptual nature of perceptual experience. Two responses have been made by those who feel the force of these objections: some modify foundationalism in order to take account of some of the considerations above, and others reject it altogether. The first of these responses is the topic of the next section.

d. Modest Foundationalism

Some foundationalists agree that the Given is in some ways problematic, yet they still attempt to maintain a “modest” or “moderate” foundationalism. Audi (2003) and Plantinga (2000) promote this view. First, our perceptual beliefs concerning both the world and our own experience are not seen as infallible. You can believe that you see red or that you seem to see red, yet either belief could turn out to be unjustified. Second, non-conceptual perceptual experience does not play a justificatory role. Perceptual beliefs are simply self-justified; that is, it is reasonable to accept that they are true unless we have evidence to suggest that they may be untrustworthy. Such a view of perception remains foundationalist in nature because we still have basic beliefs, beliefs that are non-inferentially justified. Thus, the justification possessed by perceptual beliefs is defeasible. You may, for example, have good evidence that your cup of tea has been spiked with an hallucinogen, and, therefore, the justification for your perceptual belief that a pig has just flown past the window is defeated. More controversially, your belief that you seem to see red could be defeated by psychological evidence concerning your confused or inattentive state of mind. However, in the absence of any beliefs concerning such contravening evidence, your perceptual beliefs have prima facie justification.

Modest foundationalism avoids a dilemma that faces traditional foundationalism. It is certainly plausible that beliefs about your own perceptual experience are infallible and that you can’t be wrong when you claim that the cup looks red. It is not clear, however, how such beliefs can ground your perceptual knowledge since they are about your own mental states and not the world. The fact that the cup looks red to you does of course relate to the cup, but primarily it is a fact about how that cup strikes your experience. Recoiling from such a picture, you could claim that your foundational beliefs concern the color of the cup and not merely your experience of the cup. However, it is not plausible that your beliefs about the color of the cup are infallible, and therefore, such beliefs cannot play a foundational role according to the traditional account. The modest foundationalist can avoid this dilemma. For a perceptual belief to be justified, it does not have to be infallible. You can, therefore, have beliefs about the properties of objects in the world playing the requisite foundational role rather than those that are simply about your own experiences.

4. Perception and Coherentism

Modest foundationalists attempt to keep some of the features of the traditional foundationalist picture while conceding that their foundations aren’t infallible. There is, however, a distinct response to the problems associated with traditional foundationalism, and that is to reject its key feature, namely its reliance on foundational, non-inferential, basic beliefs. Coherentism presents an alternative. Coherentists such as Bonjour (1985) and Lehrer (1990) claim that beliefs can only be justified by other beliefs and that this is also true of our perceptual beliefs. Section 3.a described how Sellars argued for such a position in that, for him, perceptual beliefs must be supported by beliefs about the reliability of our experience. The next two sections explain the coherentist account of justifying perceptual claims.

a. The Basic Idea Behind Coherentism

For a coherentist, a particular belief is justified if one’s set of beliefs is more coherent with this belief as a member, and, conversely, a belief is unjustified if the coherence of one’s set of beliefs is increased by dropping that particular belief. The basic idea behind coherentism is that the better a belief system “hangs together,” the more coherent it is. How, though, should we conceive of “hanging together” or “coherence”? First, one requires consistency. Our beliefs should not clash; they must not be logically inconsistent: we should not believe p and believe that not p. However, more than mere logical consistency is required. One could imagine a set of beliefs that consisted of the belief that 2+2=4, the belief that Cher is a great actress, and the belief that yellow clashes with pink. Although these beliefs are logically consistent, they do not form a particularly coherent belief set since they do not have any bearing on each other at all. For coherence, therefore, some kind of positive connection between one’s beliefs is also required. Such a positive connection is that of inference. A maximally coherent belief set is one that is logically consistent and one within which the content of any particular belief can be inferred from the content of certain other beliefs that one holds. Conversely, the coherence of a set of beliefs is reduced if there are subgroups of beliefs that are inferentially isolated from the whole.

b. Bonjour and the Spontaneous Nature of Perceptual Beliefs

For a coherentist, perceptual beliefs are justified, as all beliefs are, if our acceptance of them leads to an increase in the overall coherence of our belief system. An account, though, is also required of how perceptual beliefs can be seen as correctly representing the external world, a world that is independent of our thinking. This is particularly pressing for the coherentist because the justification for our perceptual beliefs is provided by one’s other beliefs and not by one’s perceptual experience of one’s environment.

To account for the representational ability of perceptual beliefs, Bonjour focuses upon a class of beliefs that he calls “cognitively spontaneous.” These are beliefs we simply acquire without inference. Right now, on turning my head to the left, I spontaneously acquire the belief that the orange stapler is in front of the blue pen, and that my glass of water is half full. These perceptual beliefs are likely to be true when certain conditions obtain–that the light is good and that I am not too far away from what I am looking at (these Bonjour calls the “C-conditions”). My belief, then, that my glass is half full is only justified if I also have beliefs about the obtaining of C-conditions. However, for Bonjour’s account to be persuasive, he needs to provide some justification for this claim that beliefs acquired in the C-conditions are likely to be true representations of the world. This he does. First, we do not arrive at them via inference; they are spontaneous. Second, the beliefs that we acquire in this way exhibit a very high measure of coherence and consistency with each other and with the rest of our belief system. The question arises, then, as to why this should be so, since it is not obvious why such spontaneous beliefs should continue to cohere so well. If, for example, these beliefs were randomly produced by our perceptual mechanisms, then our set of beliefs would very soon be disrupted. Bonjour’s claim is that there is a good a priori explanation for the ongoing coherence and consistency of our set of beliefs, that is, that it is the result of our beliefs being caused by a coherent and consistent world. Thus, our perceptual beliefs correctly represent a world that is independent of our thinking. Non-conceptual perceptual experience does not play a justificatory role with respect to perception. This experience may cause us to acquire certain beliefs about our environment, but the justification for these perceptual beliefs is provided by the inferential relations that hold between these beliefs and the rest of our belief system.

There are important objections. Plantinga (1993) notes that in the Cartesian skeptical scenarios we also have a coherent set of beliefs, but in these cases they are caused not by a coherent and consistent world but by an evil demon or by a mad scientist who manipulates a brain that lies in a vat of nutrient fluid (see Descartes 1641 and Putnam 1981). Bonjour’s claim, however, is that it is a priori more probable that our beliefs are not caused by these creatures. Plantinga finds such reasoning “monumentally dubious.”

Even if such a hypothesis [that concerning the claim that our coherent belief system corresponds to a coherent world] and these skeptical explanations do have an a priori probability…it’s surely anyone’s guess what that probability might be. Assuming there is such a thing as a priori probability, what would be the a priori probability of our having been created by a good God who…would not deceive us? What would be the a priori probability of our having been created by an evil demon who delights in deception? And which, if either, would have the greater a priori probability?…how could we possibly tell? (Plantinga, 1993, p. 109)

5. Externalism

The varieties of foundationalism and coherentism examined so far share a certain approach to questions concerning epistemic justification. They ask whether the evidence available to you is sufficient to justify the beliefs that you hold. Questions of justification are approached from the first person perspective. Foundationalists claim that you have justified perceptual beliefs because of the fact that these beliefs are grounded in your perceptual experience, experience that is, of course, accessible to you; it is something of which you are aware, something that you can reflect upon. Coherentists find justification in the inferential relations that hold between your perceptual and non-perceptual beliefs, relations that are, again, something to which you have cognitive access. Epistemic practices can, however, also be assessed from the third person perspective. It can be asked whether a person’s methods do, in fact, lead him or her to have true beliefs about the world, whether or not such reliability is something of which they are aware. Externalists claim that it is this perspective with which epistemology should be concerned. A key notion for externalists is that of reliability. A belief is justified if it is acquired using a method that is reliable, with reliability being cashed out in terms of the probability that one’s thinking latches onto the truth.

The justificatory status of a belief is a function of the reliability of the processes that cause it, where (as a first approximation) reliability consists in the tendency of a process to produce beliefs that are true rather than false. (Goldman, 1979, p. 10)

One need not be able to tell by reflection alone whether or not one’s thinking is reliable in the required sense; a thinker does not have to be aware of what it is that justifies his or her beliefs.

According to a reliabilist, then, a perceptual belief is justified if it is the product of reliable perceptual processes. One strategy that reliabilists have adopted is to ground their account of reliability in terms of the causal connections that thinkers have to the world. Roughly, for one to have a justified perceptual belief that p, the fact that p should cause my belief that p. I am justified in believing that Frasier is on television because its presence on the screen causes my belief. Such accounts are developed by Goldman (1979 / 1986) and Dretske (1981). It is important to note the difference between this kind of account and that of Armstrong (section 2a). Armstrong eschews all talk of justification and provides a wholly causal account of perceptual knowledge. Many externalists, however, give an account of justification in causal terms.

It was assumed throughout this article, except during the discussion of scepticism, that we do have perceptual knowledge of the world, and the article explored the multifarious epistemic and causal relations that there are between the various modes of perception and perceptual knowledge. Justification is the key issue, and there are four basic stances. One stance is to agree with Armstrong and deny that perceptual experience plays any justificatory role. Foundationalists see perceptual experience as the justificatory basis for perceptual knowledge, and it is such experience that ultimately provides justification for all our knowledge of the world. Problems with the traditional form of this position urged us to explore a more modest form of foundationalism. Others reject foundationalism altogether. Coherentists claim that the justification for our perceptual beliefs is a function of how well those beliefs “hang together” with the rest of our belief system. They too reject the justificatory role of perceptual experience. Some externalists claim that justification is a matter of reliability and that so long as our perceptual beliefs are produced by mechanisms that reliably give us true beliefs, then those beliefs are justified. Therefore, perception is of prime epistemological importance, and it remains the focus of lively philosophical debate.

6. References and Further Reading

  • Armstrong, D. M. ‘The Thermometer Theory of Knowledge’ in S. Bernecker & F. Dretske, eds. Knowledge: Readings in Contemporary Epistemology, Oxford University Press, Oxford, pp. 72-85, 2000. Originally published in Armstrong, 1973, pp. 162-75, 178-83.
  • Armstrong, D. M. Belief, Truth and Knowledge, Cambridge University Press, Cambridge, 1973.
  • Armstrong, D. M. Perception and the Physical World, Routledge and Kegan Paul, London, 1961.
    • Included in the above is Armstrong’s causal account of perception.
  • Audi, R. “Contemporary Modest Foundationalism,” in Pojman, L. ed. The Theory of Knowledge: Classical and Contemporary Readings, Wadsworth, Belmont, CA. 3rd edition, 2003.
    • A useful paper in which it is argued that modest foundationalism has advantages over traditional foundationalism.
  • Bonjour, L. The Structure of Empirical Knowledge, Harvard University Press, Cambridge, Mass. 1985.
    • A well-developed coherentist theory of justification which includes an account of the role of perception within such a theory. (One should note, however, that Bonjour has recently abandoned coherentism in favour of a version of foundationalism.)
  • Chisholm, R. M. Theory of Knowledge, 3rd edition, Englewood Cliffs, New Jersey, 1989.
    • A wide ranging study of various epistemological issues including his version of traditional foundationalism.
  • Descartes, R. “First Meditation,” in Meditations on First Philosophy, 1641. Reprinted in The Philosophical Writings of Descartes, eds. J. Cottingham, R. Stoothoff & D. Murdoch, Cambridge University Press, Cambridge, 1983.
    • One of the most influential passages of epistemological writing in the history of Western philosophy in which various skeptical possibilities are raised that suggest that our perceptual beliefs may not be justified.
  • Dretske, F. Seeing and Knowing, Routledge and Kegan Paul, London, 1969.
    • Dretske defends the claim that seeing can be seen as non-conceptual (or non-epistemic).
  • Dretske, F. Knowledge and the Flow of Information, MIT Press, Cambridge, Mass. 1981.
    • Here he presents his sophisticated version of reliabilism.
  • Goldman, A. I. “What is Justified Belief?,” in G. Pappas, ed. Justification and Knowledge: New Studies in Epistemology, Reidel, pp. 1-23, 1979.
  • Goldman, A.I. Epistemology and Cognition, Harvard University Press, Cambridge, Mass. 1986.
    • In the above, Goldman forwards his reliabilist account of justification.
  • Grice, H. P. “The Causal Theory of Perception,” in Proceedings of the Aristotelian Society, Supplementary Volume 35, pp. 121-52, 1961.
    • A precursor to the various contemporary causal theories of perception, presented in the context of a sense datum theory of perception.
  • Hanson, N. R. “From Patterns of Discovery,” in Perception, R. Schwartz, ed. pp. 292- 305, 1988.
    • Hansen argues that the nature of our perceptual experience depends on the concepts we possess.
  • Kant, I. The Critique of Pure Reason, trans. N. Kemp Smith, 1929 edition, The Macmillan Press, Ltd. Basingstoke, Hampshire, 1781.
    • One of the greatest and most influential works of modern philosophy. Of relevance to this article are Kant’s thoughts concerning the relation between our conceptual framework and the nature of our perceptual experience.
  • Lehrer, K. Theory of Knowledge, Westview Press, Boulder, Colorado, 1990.
    • Lehrer provides a critique of foundationalism and his own developed version of coherentism.
  • Lewis, C. I. An Analysis of Knowledge and Evaluation, La Salle, Illinois, 1946.
    • Amongst various other important epistemological issues, one can find Lewis’s account of traditional foundationalism.
  • McDowell, J. Mind and World, Harvard University Press, Cambridge, Mass. 1994.
    • In this transcription of his Locke lectures, McDowell argues that perceptual experience is essentially conceptual in nature.
  • Plantinga, A. Warrant: The Current Debate, Oxford University Press, Oxford, 1993.
    • An excellent epistemology textbook which includes an in-depth critique of Bonjour’s coherentism.
  • Plantinga, A. Warranted Christian Belief, Oxford University Press, Oxford, 2000.
    • In the context of a sophisticated discussion of the philosophy of religion, Plantinga develops a version of modest foundationalism which he calls “reformed epistemology”.
  • Putnam, H. Reason, Truth and History, Cambridge University Press, Cambridge, 1981.
    • In chapter 1, Putnam presents his contemporary brain in a vat version of the Cartesian skeptical scenario.
  • Rorty, R. Philosophy and the Mirror of Nature, Princetown University Press, Princetown, 1979.
    • A historically informed and extended attack on traditional foundationalism.
  • Schwartz, R. Perception, Blackwell, Oxford, 1988.
    • A good collection of articles focused on the epistemology of perception.
  • Sellars, W. Empiricism and the Philosophy of Mind. Originally published in H. Feigl and M. Scrivens, eds. Minnesota Studies in the Philosophy of Science, vol. 1, University of Minnesota Press, Minneapolis, pp. 253-329, 1956. Page numbers here refer to 1997 reprint, Harvard University Press, Cambridge, Mass.
    • This includes Sellars’ influential attack on the Given.

Author Information

Daniel O’Brien
Email: D.Obrien@bham.ac.uk
The University of Birmingham
U. S. A.

Johann Christian Friedrich Hölderlin (1770—1843)

HolderlinAlthough J. C. F. Hölderlin has, since the beginning of the twentieth century, enjoyed the reputation of being one of Germany’s greatest poets, his recognition as an important philosophical figure is more recent. The revival of an interest in German Idealism, and the philosophical developments from Kant’s critical period to Hegel’s mature thought, have ensured that Hölderlin is given his due for his important philosophical insights. Hölderlin’s life was marked by theological training, together with Hegel and Schelling, followed by a period of simultaneous philosophical and poetic activity. Eventually, Hölderlin concentrated on poetry as a superior form of access to the truth. His theoretical philosophy is marked by an anti-foundationalist rebuttal of Fichte’s first principle. The key idea is that nothing can be said about what grounds the possibility of the subject-object relation, a primordial unity which Hölderlin calls Absolute Being. This central idea was crucial to the development of Schelling’s thought. Hölderlin’s ethical views emphasize an understanding of life as torn between two principles: a hankering after this original unity and freedom’s desire to constantly assert itself. His novel Hyperion illustrates this struggle and how the integration of these two principles is set as a goal for life. The superiority of poetry over philosophy in pointing to the truth is suggested through this novel plus several poems, and this theme was of particular interest for Heidegger’s later thought.

Table of Contents

  1. Overview
  2. Life and Philosophical Background
  3. Unity and Freedom
  4. The Self and Human Life
  5. Hölderlin’s Influence
  6. Conclusion
  7. References and Further Reading

1. Overview

Johann Christian Friedrich Hölderlin is well known as a key figure of German romantic poetry. This recognition was, however, late to come, and it is chiefly in the first half of the twentieth century that he acquires his status as one of Germany’s greatest poets, and, in particular, became a key figure in Heidegger’s later thought. Hölderlin’s own contribution to philosophy, both in theoretical and literary form, has taken much longer to be acknowledged. It is of great importance, however, both for an understanding of the development of German Idealism and in relation to contemporary philosophical issues. Although Hölderlin left little published material of direct philosophical relevance, his personal acquaintance with Schiller, Novalis, Fichte, Schelling and Hegel ensured the dissemination of his ideas among his immediate contemporaries. In the second half of the twentieth century, two factors have been decisive in the renewed interest in Hölderlin as a philosopher. On the one hand, there has been a striking growth of scholarship in the philosophy that marks the transition from Kant to Hegel, chiefly through philosophers such as Dieter Henrich and Manfred Frank. On the other, a short philosophical text came to light in 1961, which for the first time presented key central tenets of Hölderlin’s thought in a concise form.

2. Life and Philosophical Background

Hölderlin was born in 1770 in Swabia in South-Western Germany. He studied theology and was originally destined for a career in the Lutheran church. His studies eventually took him, at the age of eighteen, to the famous Tübingen seminary where he studied with Hegel, as well as with his old school friend Schelling. Hölderlin came to Jena in 1794, after Fichte had taken over the chair of philosophy from Reinhold. During that period, Hölderlin was a staunch supporter of the French Revolution, which was seen by many German intellectuals as a source of hope for the future. Hölderlin found a position as a private tutor and fell passionately in love with his pupils’ mother, Susette Gontard. She was to be the inspiration behind the Diotima of his novel Hyperion. The emotional upheaval caused by the end of the impossible liaison with Susette had a detrimental effect on his health. In 1800, after his disillusionment with philosophy that led him to abandon any plans to find an academic position, he spent a year recovering in Switzerland and decided to devote the rest of his life to writing poetry. In 1802, the news of Susette’s death, however, drove him to near insanity. Treatment enabled him to continue writing at intervals while working as a librarian in Homburg until 1807 when he became insane (though harmless). In 1805, he was one of a group of Jacobin militants, led by his friend Isaac von Sinclair, involved in a conspiracy against the Elector of Württemberg. Hölderlin was accused of high treason, but thereafter was released on grounds of diminished mental capacity. He was taken to Tübingen where he lived until his death in 1843. Some form of poetic output continued in Tübingen, although these later poems are significantly marked by Hölderlin’s mental illness.

Hölderlin’s original philosophical thought emerged before his move to Jena: the main poetic work of philosophical interest, Hyperion, was started in Tübingen in 1792, and after the publication of a fragment in Schiller’s review Thalia, the full work was later published in two volumes in Jena. It is, however, in Jena that Hölderlin’s philosophical ideas took their definitive form, partly as a result of its bustling intellectual climate.

The philosophical background to his philosophical ideas can be traced back to Reinhold’s lectures and publications on Kant’s philosophy in the late 1780’s and early 1790’s. Reinhold, who was one of the main expositors of Kantian critical thought of that period, developed a philosophical system essentially aimed at providing Kant’s critical philosophy with a first principle. The need to underpin Kant’s system with such a ground was to prove a fundamental, but contentious, issue for the philosophical developments of the 1790’s in Germany.

Fichte echoed some of the criticisms that were to be addressed in the specifics of Reinhold’s first principle, the principle of consciousness (e.g. in Schulze’s Aenesidemus, see Giovanni and Harris, 2000), but agreed with the need for such a grounding and set out to provide his own first principle instead. The resulting system, the Wissenschaftslehre (Doctrine of science), first published in 1794, was Fichte’s attempt to develop a philosophical doctrine that would respect the spirit, if not the letter, of Kant’s critical philosophy. The first principle of this philosophy expressed a relation of the I to itself: “The I posits its own being unconditionally” (Fichte, 1994). Against any such grounding attempts, the circle of Jena philosophers around Niethammer claimed, in line with earlier criticism of Kant by Jacobi, that such an enterprise was flawed in principle; since any principle requires justification beyond itself, an infinite regress ensues. As a result, philosophy, for Niethammer’s circle, is an unending enterprise that approaches the truth but can never reach it.

This anti-foundationalist line became Hölderlin’s when he rejected Fichte’s philosophy in the mid-1790s, but the philosophical ideas that Hölderlin developed during this period were also motivated by other concerns. To understand these, we must turn to moral philosophy. Kant’s ethics had a profound influence on many writers of the time, and Schiller’s response is particularly important. In 1793, Schiller showed enthusiasm for Kant’s ethics of duty while querying the rigorism which some Kantian statements strongly suggest. Hence, Schiller’s famous joke that it seems Kant prefers the agent who would do his duty with displeasure, to one whose inclinations are in line with the commands of the moral law. Schiller claimed that a harmony of duty and inclination represented the highest ideal of morality, while Kant found inclinations to be worthless. In his letters, “On the Aesthetic Education of Man” (Schiller, 1982), he argues for the moral value of the aesthetic ideal of grace (Anmut). For Schiller, “grace” describes the moral beauty of an agent whose emotions have been educated by reason. Given Schiller’s endorsement of the basic tenets of Kant’s ethics, this notion of the “beautiful soul” is problematic. Indeed, it implies a purported reconciliation between the sublimity that attaches to the dutiful agent who, in his freedom, places the moral law above all inclinations, and the beauty of a harmony of inclinations and duty. Since the moral law, however, requires that the agent act out of duty regardless of what inclines her, this is hardly compatible with an ideal of harmony between duty and inclinations. As a result of the tension between the freedom of the moral agent and this ideal of harmony, the cogency of the proposed moral value of the beautiful soul becomes questionable.

3. Unity and Freedom

Hölderlin, in fact, sees these two aspects of human life, the “all-desiring, all-subjugating dangerous side of man,” i.e. freedom, and the “most beautiful condition he can achieve,” i.e. unity (preface to Hyperion in Thalia, 1794) as representing the essence of the human condition. This accounts for his understanding of human life as man’s “eccentric path”: an unreflective unity constitutes the core of our existence, but we cannot remain within it. Rather, it becomes something we strive towards with our freedom.

With this bi-polarity in mind, we can now appreciate Hölderlin’s contribution to the theoretical debate around Fichte’s attempts to find a foundational principle for philosophy. Fichte had proposed to ground philosophy on the pure relation of the I to itself. In Über Urtheil und Seyn (On Judgment and Being), a short manuscript that was only first published in 1961 (Hölderlin, 1972), Hölderlin points out that subjectivity cannot provide the first principle of philosophy since the I is always defined in relation to an object of judgment. This criticism of Fichte’s system may appear unfair as, in the 1797 edition of the Doctrine of Knowledge, he does discuss the fact that there must be a pre-reflective form of self-awareness. However, Fichte does not draw all the consequences from this observation. Hölderlin’s point is that such self-consciousness cannot be accounted for in terms of the I of judgment. The ground for the I’s reflective self-consciousness must, thus, be sought beyond the division between the subject ‘I’ and an object which this presupposes. Such a ground, Hölderlin calls “absolute Being. This is, moreover, the ground for all judgments in which the subject ‘I’ is distinguished from an object.

An original unity of subject and object in Being is what underpins their separation in judgment. Hölderlin, thus, defines Being as follows: “Where Subject and Object are absolutely, not just partially united…there and not otherwise can we talk of an absolute Being, as is the case in intellectual intuition (ibid., p. 515).” He understands judgment as the original cleavage of object from subject: “Judgment: is in the highest and strictest sense the original sundering of Subject and Object most intimately united in intellectual intuition, the very sundering which first makes Object and Subject possible (ibid., p.516).” Of Being, no further knowledge is possible. It is only known as the original unity that underpins all judgments. It, therefore, functions as a postulated ground rather than as a first principle.

4. The Self and Human Life

In terms of the understanding of the self, there are two types of self-awareness. In one sense, when I reflect upon myself, I am distinct from the object of my awareness. In another, I must understand myself as belonging to an original pre-reflective unity. The first provides the ground for the freedom of the I to raise itself above anything that is given in the empirical world. The second provides the self with an ideal of unity characterised by a belonging to Being. The “eccentric path” of life is, therefore, torn between these two poles of unity and freedom. The latter takes us away from the original unity while being grounded in it. The task of integrating the two poles in one’s life is that of bringing freedom to recognize the greater unity of Being, but this can only be a progressive and never-ending enterprise.

The novel Hyperion presents different practical approaches to dealing with the bi-polarity of the “eccentric path.” This novel is a collection of letters, mostly written by the novel’s modern Greek hero, Hyperion, to his German friend, Bellarmin, in which he recounts his adventures, states of mind, and longings. The original unity which Hyperion was, from the outset, keen to recapture, is understood in different ways by Hyperion at different stages of his life. Ultimately, he will realize that none of these is satisfactory, but that they represented ways of approaching that which is the underlying unity, i.e. Being, throughout the course of his life.

These different representations of unity are of ancient Greece (also reflected in childhood), of modern Greece liberated from Turkish rule, and of aesthetic beauty. This trilogy is not random but corresponds to different temporal understandings of the idea of the fundamental unity of Being. It is first grasped as belonging to the past (Childhood/Ancient Greece), then the future (liberated Greece), and finally the present (immediacy of aesthetic beauty). Each way of life is exemplified by a character with whom Hyperion is connected, respectively through a master-pupil relationship (Adamas), friendship (Alabanda) and love (Diotima).

In each case, Hyperion attempts to fully adopt the corresponding way of being only to find its limitations and be confronted with the need to move on. Thus, with Adamas, Hyperion feels compelled to leave his master and seek another way of life because of man’s lack of contentment and constant desire to go beyond his current condition: “We delight in flinging ourselves into the night of the unknown, into the cold strangeness of any other world, and, if we could, we would leave the realm of the sun and rush headlong beyond the comet’s track” (Hölderlin, 1990, p. 10) [“Wir haben unsre Lust daran, uns in die Nacht des Unbekannten, in die kalte Fremde irgend einer andern Welt zu stürzen, und wär’ es möglich, wir verlieβen der Sonne Gebiet und stürmten über des Irrsterns Grenzen hinaus” (Hölderlin, 1999, p.492)]. After leaving home and learning about the world, his encounter with Alabanda is that of a soul-mate who has fought his way to freedom. Together, they plan noble and heroic deeds, but Hyperion’s world crumbles when he realizes the dark side of such purported moral ambition. Alabanda’s friends are ruthless revolutionaries who seek to overthrow the present powers by violent means: “The cold sword is forged from hot metal” (ibid., p.26) [“Aus heiβem Metalle wird das kalte Schwert geschmieden” (ibid., p. 510)]. Through this experience, Hyperion grasps something of the conflictual nature of human life: “If the life of the world consists in an alteration between opening and closing, between going forth and returning, why is it not even so with the heart of man” (ibid., p.29) [“Bestehet ja das Leben der Welt im Wechsel des Entfaltens und Vershlieβens, in Ausflug und in Rückkehr zu sich selbst, warum nicht auch das Herz des Menschen” (ibid., p.514)]? However, it is by encountering beauty in the person and life of Diotima (Book II of Volume I) that Hyperion believes he has found what he is looking for, i.e. the Unity he is after: “I have seen it once, the one thing that my soul sought, and the perfection that we put somewhere far away above the stars, that we put off until the end of time – I have felt it in its living presence” (ibid., p.41) [“Ich habe es Einmal gesehen, das Einzige, das meine Seele suchte, und die Vollendung die wir über die Sterne hinauf entfernen, die wir hinausscheben bis ans Ende der Zeit, die hab’ ich gegenwärtig gefühlt” (ibid., p.529)]. A period of bliss ensues, but Diotima understands that Hyperion is “born for higher things” (ibid., p.72) [“zu höhern Dingen geboren” (ibid., p.566)], that the simple harmony of her life is not for him. He must go out and bring beauty to those places where it is lacking. Having grasped this (Book I of Volume II), Hyperion answers Alabanda’s call to join him in battle to free Greece.

Hyperion’s departure for battle is followed by several letters addressed to Diotima and a couple of her replies. After initial success in the fight against the Turks, Hyperion’s men are delayed by the long siege of Mistra. Nonetheless, as they finally enter the town, they go on a]rampage, pillaging and killing indiscriminately. Rather than face the enemy, Hyperion’s army disperses once its lust for plunder is satisfied. This leads to the death of forty Russian soldiers who stood alone fighting the common foe. Hyperion takes his army’s dishonour to make him unworthy, in his eyes, for Diotima’s love: “I must advise you to give me up, my Diotima” (ibid., p.98) [“ich muβ dir raten, daβ du mich verlässest, meine Diotima” (ibid., p.597)]. In letters to Bellarmin, we discover more details of the battles fought by Hyperion and Alabanda. Their friendship flourished again, but Alabanda’s lust for battle eventually came to an end, thus pointing once more to the limits of his way of life. In a letter from Diotima that arrives later, it emerges that she lost her will to live as her lover did not return, and she finally let herself die. In a development which reflects Hölderlin’s understanding of human life, the effortless harmony of Diotima’s world of beauty, once disturbed by the fire of Hyperion’s free aspiration to noble deeds, could not simply return to its original form. Rather, it became something to aim for, something Diotima thought Hyperion could achieve for her: “You drew my life away from the Earth, but you would also have had power to bind me to the Earth” (ibid., p.122) [“Du entzogst main Leben der Erde, du hättest auch Macht gehabt, mich an die Erde zu fesseln” (ibid., p.626)]. It is, thus, through its very destruction, that Diotima’s way of life ceases to represent that which Hyperion could have sought to take refuge in. Diotima’s words illustrate the whole problem of life as an “eccentric path,” but her death, apparently, only leaves Hyperion confused: “as I am now, I have no names for things and all before me is uncertainty” (ibid., p.126) [“wie ich jetzt bin, hab ich keinen Namen für die Dinge, und es ist mir alles ungewiβ” (ibid., p.632)]. At the end of the novel, however, the beauty of Nature once again fills Hyperion with joy, and this poetic sense of oneness reaches beyond separation and death to Alabanda and Diotima. Somehow, he has made some sense of his experiences. Thus, after all these tragedies, an overall feeling of unity prevails: “You springs of earth! you flowers! and you woods and you eagles and you brotherly light! how old and new is our love!- We are free, we are not narrowly alike in outward semblance; how should the Mode of life not vary? yet we love the ether, all of us, and in the inmost of our inmost selves we are alike” (ibid., p.133) [“Ihr Quellen der Erd! Ihr Blumen! Und ihr Wälder und ihr Adler und du brüderliches Licht! Wie alt und neu ist unsere Liebe! – Frei sind wir, gleichen uns nicht ängstig von auβen; wie sollte nicht wechseln die Weise des Lebens? Wir lieben den Äther doch all und innigst im Innersten gleichen wir uns” (ibid., p.639-640)]. However, the last words of the novel suggest an open ending: “So I thought. More soon” (ibid., p.133) [“So dacht’ ich. Nächstens mehr” (ibid., p.640)]. Thus, after all the ordeals that he has worked through in these letters, Hyperion’s life goes on. This seems to point to new experiences and the possibility of revisiting his interpretation of his life thus far.

The poetic contemplation of our oneness with Nature, which is prominent in the novel’s final letter, points to an understanding which philosophy cannot reach. Hyperion hints at this when he complains about the Germans: “Is not the air that you drink in better than your chatter? Are not the sun’s rays nobler than all of you in your cleverness” (ibid., p.129) [“Ist besser, denn euer Geschwätz, die Luft nicht, die ihr trinkt? Der Sonne Strahlen, sind sie edler nicht, denn all’ ihr Klugen” (ibid., p.635)]? Hölderlin’s life confirms his endorsement of the superiority of poetry. After the Jena period, he finally followed the advice his friend Schiller had given him in 1796 and never returned to philosophical argumentation, rather seeking to show something of the greater unity of Being in poetic form.

In line with his understanding of Being as lying beyond our ken, Hölderlin developed a theory of tonal modulations (Wechseltonlehre) that is illustrated in much of his poetic output. According to this theory, there are three fundamental poetic tones: the naïve, the heroic and the ideal. A tone, however, cannot be expressed in its pure form but only through a tension with its medium, a tension created by the work of art. Thus, the poem becomes what Hölderlin calls an “extended metaphor” of what cannot be said directly (Hölderlin, 1990).

5. Hölderlin’s Influence

Because of his small philosophical output, it is important to indicate in what way Hölderlin’s ideas have influenced his contemporaries and later thinkers. It was Hölderlin whose ideas showed Hegel that he could not continue to work on the applications of philosophy to politics without first addressing certain theoretical issues. In 1801, this led Hegel to move to Jena where he was to write the Phenomenology of Spirit. It could be argued, however, that Hegel’s (1977) view of poetry as belonging to the past and his dismissal of the Romantic movement, show a lack of a grasp of the kind of point Hölderlin was making.

Schelling’s early work amounts to a development of Hölderlin’s concept of Being in terms of a notion of a prior identity of thought and object in his Philosophy of Identity (Schelling, 1994). This philosophy apparently makes knowledge of the Absolute (i.e. the absolute ground) impossible, and Schelling wrestles with the possibility of articulating how the Absolute amounts to knowledge of itself in Hegelian fashion. However, his later philosophy clearly distinguishes itself from Hegel’s in that it claims that the ground of the understanding contained in a philosophical system such as Hegel’s is “what is above all understanding” and can, therefore, “never become comprehensible” (ibid., p.162). This endorsement of a claim related to Hölderlin’s about the unknowability of the ultimate ground of conceptual discourse draws to a close the efforts of German Idealism to grasp the whole of reality in conceptual terms. Finally, we must note that Heidegger saw in Hölderlin a prophetic figure, but it was Hölderlin the poet, not the philosopher, whom Heidegger had in mind. In Being and Time, Heidegger first introduces his key idea of the forgetting of the question of Being. His later thought develops this idea which leads to the thought that poetry announces a new clearing of Being. This echoes Hölderlin’s privileging of poetry with respect to conceptual thought. For Heidegger, poetry cannot name the unnameable, but it can keep open the space for it (Heidegger, 1996, 2000). However, Heidegger understands Hölderlin as showing the way to a future clearing of Being. We note that Heidegger’s interpretation is controversial and has been criticised, in particular by Henrich (1992, 1997), for whom Hölderlin is a “recollective” poet. For Henrich, Hölderlin’s work is turned to the past, and to our longings, both for a sense of original unity and for the freedom of the self.

6. Conclusion

Hölderlin’s philosophically relevant output, although very small, is central to a proper understanding of the development of German Idealism from its source in the task of providing a ground for Kant’s critical system to its later attempts to give an all-encompassing philosophical account of reality. Hölderlin’s insights in his theoretical text On Judgment and Being can be seen as relevant to this development. The consequent privileging of poetry over philosophy, of which Hölderlin’s career provides a striking illustration, resonates into the twentieth century in Heidegger’s later thought, but central to Hölderlin’s philosophical contribution is also the practical correlate of his theoretical thought: his novel Hyperion provides a profound insight into his understanding of life’s “eccentric path” as a struggle between the harmony of a lost, original unity and the drive of human beings’ free spirit always to seek the overcoming of any given limits.

7. References and Further Reading

  • Adorno, T.W. (1992) Parataxis: On Hölderlin’s late poetry, in Adorno, Notes to Literature Vol. 2, transl. S.W.Nicholsen, Columbia University Press, New York, pp. 109-149.
  • Ameriks, K. (ed.) (2000) The Cambridge Companion to German Idealism, Cambridge University Press, Cambridge.
  • Constantine, D. (1988) Hölderlin, Clarendon Press, Oxford.
  • Donelan, J.H. (2002) Hölderlin’s poetic self-consciousness, Philosophy and Literature, 26, 125-142.
  • Fichte, J.G. (1994) Introductions to the Wissenschaftslehre and Other Writings (1797-1800), ed. and transl. D. Breazeale, Hackett, Indianapolis/Cambridge.
  • Förster, E. (1995) ‘To lend wings to physics once again’: Hölderlin and the ‘Oldest System Program of German Idealism’, European Journal of Philosophy, 3(2), 174-198.
  • di Giovanni, G. and Harris, H.S., editors, (2000) Between Kant and
    Hegel: Texts in the Development of Post- Kantian Idealism, Hackett, Indianapolis.
  • Hegel, G.W.F. (1977) Phenomenology of Spirit, transl. A.V.Miller, Oxford University Press, Oxford.
  • Heidegger, M. (2000) Elucidations of Hölderlin’s poetry, transl. K.Hoeller, Humanity Books, New York.
  • Heidegger, M. (1996) Holderlin’s Hymn “the Ister”, Indiana University Press, Indianapolis.
  • Henrich, D. (1992) Der Grund im Bewuβtsein: Untersuchungen zu Hölderlin’s Denken, 1794-1795, Klett-Cotta, Stuttgart.
  • Henrich, D. (1997) The Course of Remembrance and Other Essays on Hölderlin, ed. E. Förster, Stanford University Press, Stanford.
  • Hölderlin, F. (1972) Über Urtheil und Seyn (On Judgment and Being), in H.S. Harris: ‘Hegel’s Development: Toward the Sunlight 1770-1801’, Clarendon Press, Oxford.
  • Hölderlin, F. (1990) Hyperion and selected poems, ed. Eric L. Santner, Continuum, New York.
  • Hölderlin, F. (1999) Sämtliche Gedichte und Hyperion, Insel Verlag, Frankfurt-am-Main.
  • Ryan, L. (1960) Hölderlin’s Lehre vom Wechsel der Töne, Klett-Cotta, Stuttgart.
  • Schelling, F.W.J. (1994) On the History of Modern Philosophy, transl. A. Bowie, Cambridge University Press, Cambridge.
  • Schiller, F. (1982) On the Aesthetic Education of Man in a series of letters, ed. & transl. E.M.Wilkinson & L.A. Willoughby, Clarendon Press, Oxford.
  • Waibel, V. (2000) Hölderlin und Fichte: 1794-1800, Paderborn.

Author Information

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

Religious Epistemology

Belief in God, or some form of transcendent Real, has been assumed in virtually every culture throughout human history. The issue of the reasonableness or rationality of belief in God or particular beliefs about God typically arises when a religion is confronted with religious competitors or the rise of atheism or agnosticism. In the West, belief in God was assumed in the dominant Jewish, Christian and Islamic religions. God, in this tradition, is the omnipotent, omniscient, perfectly good and all-loving Creator of the universe (such a doctrine is sometimes called ‘bare theism’). This article considers the following epistemological issues: reasonableness of belief in the Judeo-Christian-Muslim God (“God,” for short), the nature of reason, the claim that belief in God is not rational, defenses that it is rational, and approaches that recommend groundless belief in God or philosophical fideism.

Is belief in God rational? The evidentialist objector says “No” due to the lack of evidence. Theists who say “Yes” fall into two main categories: those who claim that there is sufficient evidence and those who claim that evidence is not necessary. Theistic evidentialists contend that there is enough evidence to ground rational belief in God, while Reformed epistemologists contend that evidence is not necessary to ground rational belief in God (but that belief in God is grounded in various characteristic religious experiences). Philosophical fideists deny that belief in God belongs in the realm of the rational. And, of course, all of these theistic claims are widely and enthusiastically disputed by philosophical non-theists.

Table of Contents

  1. Reason/Rationality
  2. The Evidentialist Objection to Belief in God
  3. The Reasonableness of Belief in God
    1. Theistic Evidentialism
    2. Sociological Digression
    3. Moral Analogy
    4. Reformed Epistemology
    5. Religious Experience
    6. Internalism/Externalism
    7. The Rational Stance
    8. Objections to Reformed Epistemology
  4. Groundless Believing
  5. Conclusion
  6. References and Further Reading

1. Reason/Rationality

Reason is a fallible human tool for discovering truth or grasping reality. Although reason aims at the truth, it may fall short. In addition, rationality is more a matter of how one believes than what one believes. For example, one might irrationally believe something that is true: suppose one believed that the center of the earth is molten metal because one believes that he or she travels there every night (while it’s cool). And one might rationally believe what is false: it was rational for most people twenty centuries ago to believe that the earth is flat. And finally, rationality is person and situation specific: what is rational for one person at a particular socio-historical time and place might not be rational for another person at a different time and place; or, for that matter, what is rational for a person in the same time and place may be irrational for another person in the same time and place. This has relevance for a discussion of belief in God because “the rationality of religious belief” is typically discussed abstractly, independent of any particular believer and often believed to be settled once and for all either positively or negatively (say, by Aquinas or Hume respectively). The proper question should be, “Is belief in God rational for this person in that time and place?”

Rationality is a normative property possessed by a belief or a believer (although I’ve given reasons in the previous paragraph to suggest that rationality applies more properly to believers than to beliefs). Just precisely what this normative property is is a matter of great dispute. Some believe that we have intellectual duties (for example, to acquire true beliefs and avoid false beliefs, or to believe only on the basis of evidence or argument). Some deny that we have intellectual duties because, by and large, beliefs are not something we freely choose (e.g., look outside at a tree, consider the tree and try to choose not to believe that there’s a tree there; or, close your eyes and if you believe in God, decide not to believe or vice versa and now decide to believe in God again). Since we only have duties when we are free to fulfill or to not fulfill them (“Ought implies can”), we cannot have intellectual duties if we aren’t free to directly choose our beliefs. So, the normative property espoused by such thinkers might be intellectual permissibility rather than intellectual duty.

Since the time of the Enlightenment, reason has assumed a huge role for (valid or strong) inference: rationality is often a matter of assembling available (often empirical, typically propositional) evidence and assessing its deductive or inductive support for other beliefs; although some beliefs may and must be accepted without inference, the vast majority of beliefs or, more precisely, the vast majority of philosophical, scientific, ethical, theological and even common-sensical beliefs rationally require the support of evidence or argument. This view of reason is often taken ahistorically: rationality is simply a matter of timeless and non-person indexed propositional evidence and its logical bearing on the conclusion. If it can be shown that an argument is invalid or weak, belief in its conclusion would be irrational for every person in every time and place. This violates the viable intuition that rationality is person- and situation- specific. Although one argument for belief in God might be invalid, there might be other arguments that support belief in God. Or, supposing all of the propositional evidence for God’s existence is deficient, a person may have religious experience as the grounds of her belief in God.

Following Thomas Reid, we shall argue that ‘rationality’ in many of the aforementioned important cases need not, indeed cannot, require (valid or strong) inference. Our rational cognitive faculties include a wide variety of belief-producing mechanisms, few of which could or should pass the test of inference. We will let this view, and its significance for belief in God, emerge as the discussion proceeds.

2. The Evidentialist Objection to Belief in God

Belief in God is considered irrational for two primary reasons: lack of evidence and evidence to the contrary (usually the problem of evil, which won’t be discussed in this essay). Note that both of these positions reject the rationality of belief in God on the basis of an inference. Bertrand Russell was once asked, if he were to come before God, what he would say to God. Russell replied, “Not enough evidence God, not enough evidence.” Following Alvin Plantinga, we will call the claim that belief in God lacks evidence and is thus irrational the evidentialist objection to belief in God.

The roots of evidentialism may be found in the Enlightenment demand that all beliefs be subjected to the searching criticism of reason; if a belief cannot survive the scrutiny of reason, it is irrational. Kant’s charge is clear: “Dare to use your own reason.” Given increasing awareness of religious options, Hobbes would ask: “If one prophet deceive another, what certainty is there of knowing the will of God, by any other way than that of reason?” Although the Enlightenment elevation of Reason would come to be associated with a corresponding rejection of rational religious belief, many of the great Enlightenment thinkers were themselves theists (including, for example, Kant and Hobbes).

The evidentialist objection may be formalized as follows:

(1) Belief in God is rational only if there is sufficient evidence for the existence of God.

(2) There is not sufficient evidence for the existence of God.

(3) Therefore, belief in God is irrational.

The evidentialist objection is not offered as a disproof of the existence of God—that is, the conclusion is not “God does not exist.” Rather the conclusion is, even if God were to exist, it would not be reasonable to believe in God. According to the evidentialist objection, rational belief in God hinges on the success of theistic arguments. Prominent evidentialist objectors include David Hume, W. K. Clifford, J. L. Mackie, Bertrand Russell and Michael Scriven. This view is probably held by a large majority of contemporary Western philosophers. Ironically, in most areas of philosophy and life, most philosophers are not (indeed could not be) evidentialists. We shall treat this claim shortly.

The claim that there is not sufficient evidence for belief in God is usually based on a negative assessment of the success of theistic proofs or arguments. Following Hume and Kant, the standard arguments for the existence of God—cosmological, teleological and ontological—are judged to be defective in one respect or another.

The claim that rational belief in God requires the support of evidence or argument is usually rooted in a view of the structure of knowledge that has come to be known as ‘classical foundationalism.’ Classical foundationalists take a pyramid or a house as metaphors for their conceptions of knowledge or rationality. A secure house or pyramid must have secure foundations sufficient to carry the weight of each floor of the house and the roof. A solid, enduring house has a secure foundation with each of the subsequent floors properly attached to that foundation. Ultimately, the foundation carries the weight of the house. In a classical foundationalist conception of knowledge, the foundational beliefs must likewise be secure, enduring and adequate to bear “the weight” of all of the non-foundational or higher-level beliefs. These foundational beliefs are characterized in such a manner to ensure that knowledge is built on a foundation of certitudes (following Descartes). The candidates for these foundational certitudes vary from thinker to thinker but, broadly speaking, reduce to three: if a belief is self-evident, evident to the senses, or incorrigible, it is a proper candidate for inclusion among the foundations of rational belief.

What sorts of beliefs are self-evident, evident to the senses, or incorrigible? A self-evident belief is one that, upon understanding it, you see it to be true. While this definition is probably not self-evident, let’s proceed to understand it by way of example. Read the following fairly quickly:

(4) When equals are added to equals you get equals.

Do you think (4) is true? False? Not sure? Let me explain it. When equals (2 and 1+1) are added to equals (2 and 1+1) you get equals (4). Or, to make this clear 2 + 2 = 1 + 1 + 1 + 1. Now that you understand (4), you see it to be true. I didn’t argue for (4), I simply helped you to understand it, and upon understanding it, you saw it to be true. That is, (4) is self-evident. Typical self-evident beliefs include the laws of logic and arithmetic and some metaphysical principles like “An object can’t be red all over and blue all over at the same time.” A proposition is evident to the senses in case it is properly acquired by the use of one’s five senses. These sorts of propositions include “The grass is green,” “The sky is blue,” “Honey tastes sweet,” and “I hear a mourning dove.” Some epistemologists exclude propositions that are evident to the senses from the foundations of knowledge because of their lack of certainty [the sky may be colorless as a piece of glass but simply refracts blue light waves; we may be sampling artificial (and not real) honey; or someone may be blowing a bird whistle; etc.]. In order to ensure certainty, some have shifted to incorrigibility as the criterion of foundational beliefs. Incorrigible beliefs are first-person psychological states (seeming or appearance beliefs) about which I cannot be wrong. For example, I might be mistaken about the color of the grass or sky but I cannot be mistaken about the following: “The grass seems green to me” or “The sky appears to me to be blue.” I might be mistaken about the color of grass, and so such a belief is not certain for me, but I can’t be wrong about what the color of grass seems to be to me.

Now let us return to belief in God. Why do evidentialists hold (1), the claim that rational belief in God requires the support of evidence or argument? This is typically because they subscribe to classical foundationalism. A belief can be held without argument or evidence only if it is self-evident, evident to the senses, or incorrigible. Belief in God is not self-evident—it is not such that upon understanding the notion of God, you see that God exists. For example, Bertrand Russell understands the proposition “God exists” but does not see it to be true. So, belief in God is not a good candidate for self-evidence. Belief in God is not evident to the senses because God, by definition, transcends the sensory world. God cannot be seen, heard, touched, tasted or smelled. When people make claims such as “God spoke to me” or “I touched God,” they are using “spoke” and “touched” in a metaphorical sense, not a literal sense; literally, God is beyond the senses. So God’s existence is not evident to the senses. And finally, a person might be wrong about God’s existence and so belief in God cannot be incorrigible. Of course, “it seems to me that God exists” could be incorrigible but God’s seeming existence is a long way from God’s existence!

So, belief in God is neither self-evident, evident to the senses, nor incorrigible. Therefore, belief in God, according to classical foundationalism, cannot properly be included among the foundations of one’s rational beliefs. And, if it is not part of the foundations, it must be adequately supported by the foundational beliefs—that is, belief in God must be held on the basis of other beliefs and so must be argued to, not from. According to classical foundationalism, belief in God is not rational unless it is supported by evidence or argument. Classical foundationalism, as assumed in the Enlightenment, elevated theistic arguments to a status never held before in the history of Western thought. Although previous thinkers would develop theistic arguments, they seldom assumed that they were necessary for rational belief in God. After the period of the Enlightenment, thinkers in the grips of classical foundationalism would now hold belief in God up to the demand of rigorous proof.

3. The Reasonableness of Belief in God

There are two main strategies theists employ when responding to the evidentialist objection to belief in God. The first strategy is to argue against the second premise, the claim that there is insufficient evidence for the existence of God. The second strategy is to argue against the first premise, the claim that belief in God is rational only if it is supported by sufficient evidence.

a. Theistic Evidentialism

Consider first the claim that there is not sufficient evidence for the existence of God. This view has been historically rejected by Aristotle, Augustine, Anselm, Thomas Aquinas, John Duns Scotus, John Locke, William Paley and C. S. Peirce, to name but a few. But suppose we all agreed that the arguments offered by Aristotle and others for the existence of God were badly flawed. (“We know better now.”) Does that imply that earlier theists were irrational? Does the evidence have to support, in some timeless way—irrespective of any particular person—belief in God? Aristotle, Augustine, Aquinas, et al., were brilliant people doing the best they could with the most sophisticated belief-set available to them and judged, on the basis of their best lights, that the evidence supported belief in God. Are they nonetheless irrational? For example, suppose that, ignorant of the principle of inertia, Aquinas believed that God must be actively involved in the continual motion of the planets. That is, suppose that, using the best physics of his day, Aquinas believed in the scientific necessity of belief in God. According to his best lights, Aquinas thought that the evidence clearly supported belief in God. Would Aquinas be irrational? Evidentialist objectors might concede that Aquinas was not irrational, in spite of his bad arguments and, therefore, might not view rationality as being timeless. But, they would argue, it is no longer reasonable for anyone to believe in God because now we all see or should see that the evidence is clearly insufficient to support the conclusion that God exists. (This ‘we’ tends toward the princely philosophical.)

Some theists reject this conclusion, judging that there is adequate evidence to support God’s existence. Rejecting the idea that theistic arguments died along with Kant and Hume, these thinkers offer new evidence or refashion the old evidence for the existence of God. William Lane Craig (Craig and Smith 1993), for example, has developed a new version of the old Islamic Kalaam cosmological argument for the existence of God. This argument attempts to demonstrate the impossibility that time could have proceeded infinitely into the past so the universe must have had a beginning in time. In addition, both physicists and philosophers have argued that the apparent fine-tuning of the cosmological constants to permit human life is best explained by God’s intelligent superintendence. And some argue that irreducibly complex biological phenomena such as cells or kidneys could not have arisen by chance. Robert Merrihew Adams (1987) has revived moral arguments for the existence of God. Alvin Plantinga (1993b) has argued that naturalism and evolution are self-refuting. William Alston (1991) has defended religious experience as a source of justified belief in the existence of God. In addition, theistic arguments have been developed that are based on the existence of flavors, colors and beauty. And some thinkers, such as Richard Swinburne (1979, 1984), contend that the cumulative forces of these various kinds of evidence mutually reinforce the likelihood of God’s existence. Thus, there is an ample lot defending the claim that belief in God is rational based on the evidence (and an equal and opposite force opposing them). So the project of securing belief in God on the basis of evidence or argument is ongoing.

Many theists, then, concur with the evidentialist demand for evidence and seek to meet that demand by offering arguments that support the existence of God. Of course, these arguments have been widely criticized by atheistic evidentialists. But for better or for worse, many theistic philosophers have hitched the rationality of belief in God to the wagon of evidence.

Now suppose, as is the case, that the majority of philosophers believes that these attempts to prove God’s existence are feeble failures. Would that perforce make religious believers irrational? If one, by the best of one’s lights, judges that God exists given the carefully considered evidence, is one nonetheless irrational if the majority of the philosophical community happen to disagree? These questions suggest that judgments of rationality and irrationality are difficult to make. And, it suggests that rationality and irrationality may be more complicated than classical foundationalism assumes.

b. Sociological Digression

Very few philosophical positions (and this is an understatement) enjoy the kind of evidential support that classical foundationalism demands of belief in God; yet most of these are treated as rational. No philosophical position—belief in other minds, belief in the external world, the correspondence theory of truth or Quine’s indeterminacy of translation thesis—is properly based on beliefs that are self-evident, evident to the senses, or incorrigible. Indeed, we may question whether there is a single philosophical position that has been so amply justified (or could be). Why is belief in God held to a higher evidential standard than other philosophical beliefs? Some suggest that this demand is simply arbitrary at best or intellectually imperialist at worst.

c. Moral Analogy

Consider your moral beliefs. None of these beliefs will be self-evident, evident to the senses, or incorrigible. Now suppose you hold a moral belief that is not the philosophical fashion these days. Would you be irrational if the majority of contemporary philosophers disagreed with you? Perhaps you’d be irrational if moral beliefs contrary to yours could be established on the basis of widely known arguments from premises that are self-evident, evident to the senses, or incorrigible. But there may be no such arguments in the history of moral theory. Moral beliefs are not well-justified on the basis of argument or evidence in the classical foundationalist sense (or probably in any sense of “well-justified”). So, the fact that the majority of contemporary philosophers reject your moral beliefs (or belief in God for that matter) may have little or no bearing on the rationality of your beliefs. The sociological digression and moral analogy suggest that the philosophical emphasis on argument, certainty, and consensus for rationality might be misguided.

d. Reformed Epistemology

Let us now turn to those who reject the first premise of the evidentialist objection to belief in God, the claim that rational belief in God requires the support of evidence or argument. Recent thinkers such as Alvin Plantinga, Nicholas Wolterstorff and William Alston, in their so called Reformed Epistemology, have argued that belief in God does not require the support of evidence or argument in order for it to be rational (cf. Plantinga and Wolterstorff 1983). In so doing, they reject the evidentialist objector’s assumptions about rationality.

Reformed epistemologists argue that the first problem with the evidentialist objection is that the universal demand for evidence simply cannot be met in a large number of cases with the cognitive equipment that we have. No one has ever been able to offer proofs for the existence of other persons, inductive beliefs (e.g., that the sun will rise in the future), or the reality of the past (perhaps, as Bertrand Russell cloyingly puzzled, we were created five minutes ago with our memories intact) that satisfy classical foundationalist requirements for proof. So, according to classical foundationalism, belief in the past and inductive beliefs about the future are irrational. This list could be extended indefinitely.

There is also a limit to the things that human beings can prove. If we were required to prove everything, there would be an infinite regress of provings. There must be some truths that we can just accept and reason from. Thus, we can’t help but trust our cognitive faculties. Moreover, it seems that we will reach the limit of proof very quickly if, as classical foundationalism insists, the basis for inference includes only beliefs that are self-evident, evident to the senses, or incorrigible. For these reasons, reformed epistemologists doubt that classical foundationalists are correct in claiming that the proper starting point of reason is self-evidence, evidence to the senses, and incorrigibility.

A second criticism of classical foundationalism, first offered by Plantinga, is that it is self-referentially inconsistent. That is, classical foundationalism must be rejected by its own account. Recall classical foundationalism (CF):

A proposition p is rational if and only if p is self-evident, evident to the senses or incorrigible or if p can be inferred from a set of propositions that are self-evident, evident to the senses, or incorrigible.

Consider CF itself. Is it rational, given its own conditions, to accept classical foundationalism? Classical foundationalism is not self-evident: upon understanding it many people believe it false. If one can understand a proposition and reject it, that proposition cannot be self-evident. CF is also not a sensory proposition—one doesn’t see, taste, smell, touch or hear it. So, classical foundationalism is not evident to the senses. And even if one should accept classical foundationalism, one might be wrong; so classical foundationalism is not incorrigible. Since classical foundationalism is neither self-evident, evident to the senses nor incorrigible, it can only be rationally maintained if it can be inferred from propositions that (ultimately) are self-evident, evident to the senses or incorrigible. Is that possible? Consider a representative set of evidential propositions, E, that are self-evident, evident to the senses or incorrigible:

Evidence (E):

 

    • When equals are added to equals you get equals.
    • 2 + 2 = 4
    • Grass is green.
    • The sky is blue.
    • Grass seems green to me.
    • The sky appears to me to be blue.

 

Limiting yourself to propositions that are self-evident, evident to the senses or incorrigible, you can expand this list as exhaustively as you like. We have enough in E to make our case. Given E as evidence, can CF be inferred? Is E adequate evidence for CF? It’s hard to imagine how it could be. Indeed all of the propositions in E are irrelevant to the truth of CF. E simply cannot logically support CF. So, CF is not self-evident, evident to the senses or incorrigible, nor can CF be inferred from a set of propositions that are self-evident, evident to the senses or incorrigible. So, CF, by its own account, is irrational. If CF were true, it would be irrational to accept it. Better simply to reject it!

Thomas Reid (1710-1796), whom Plantinga and Wolterstorff follow, was an early critic of classical foundationalism. Reid argued that we have been outfitted with a host of cognitive faculties that produce beliefs that we can reason from (the foundations of believings). Plantinga calls these basic beliefs. The kinds of beliefs that we do and must reason to is a small subset of the kinds of beliefs that we do and must reason from. The latter must be accepted without the aid of proof. In most cases we must rely on our intellectual equipment to produce beliefs in the appropriate circumstances, without evidence or argument. For example, we simply find ourselves believing in other persons. A person is a center of self-conscious thoughts and feelings and first-person experience. While we can see a human face or a body, we can’t see another’s thoughts or feelings. Consider a person, Emily, whose leg is poked with a needle. We can see Emily recoil and her face screw up, and we can hear her yelp. So we can see Emily’s pain-behavior, but we cannot see her pain. The experience of pain is just the sort of inner experience that is typical of persons. For all we can know from Emily’s pain-behavior, she might be a cleverly constructed automaton (like Data of Star Trek fame or an exact human replica all the way down to the neurons). Or, for all we know, Emily might be a person just like us with the characteristic interior life and experience of persons. The point is, you can’t tell, just from Emily’s pain behavior, if she has any inner experience of pain. So you can’t tell by the things to which you have evidential access if Emily is a person. No one has ever been able to develop a successful argument to prove that there are other persons. So if classical foundationalism were true, it would not be reasonable to believe in the existence of other persons. But surely there are other persons whose existence it is reasonable to accept. So much the worse for classical foundationalism, Reidians say. Similar problems arise for classical foundationalism concerning beliefs in the past, the future, and the external world. No justification-conferring inference is or could be involved. Yet, the Reidian claims, we are perfectly within our epistemic rights in holding these basic beliefs. Thus, we should conclude that these beliefs are properly basic (that is, non-inferential but justified beliefs) and should reject classical foundationalism’s claim to the contrary.

Granting that a great many of our important beliefs are non-inferential, could one reasonably find oneself believing in God without evidence or argument? ‘Evidence’ is to be understood here as most evidentialists understand it, namely as the kind of propositional evidence one might find in a theistic argument and not the kind of experiential evidence typically thought to ground religious belief. Could belief in God be properly basic?

There are at least two reasons to believe that it might be rational for a person to accept belief in God without the support of an argument. The first is a parity argument. We must, by our nature, accept the deliverances of our cognitive faculties, including those that produce beliefs in the external world, other persons, that the future will be like the past, the reality of the past, and what other people tell us—just to name a few. For the sake of parity, we should trust the deliverances of the faculty that produces in us belief in the divine (what Plantinga (2000), following John Calvin, calls the sensus divinitatus, the sense of the divine). Of course, some philosophers deny that we have a sensus divinitatus and so reject the parity argument. The second reason is that belief in God is more like belief in a person than belief in a scientific hypothesis. Human relations demand trust, commitment, and faith. If belief in God is more like belief in other persons than belief in atoms, then the trust that is appropriate to persons will be appropriate to God. William James offers a similar argument in “The Will to Believe.”

Reformed epistemologists hold that one can reasonably believe in God—immediately and basically—without the support of an argument. One’s properly functioning cognitive faculties can produce belief in God in the appropriate circumstances with or without argument or evidence.

e. Religious Experience

Although Plantinga contends that belief in God does not require the support of propositional evidence or argument (like a theistic proof) in order to be rational, he does contend that belief in God is not groundless. According to Plantinga, belief in God is grounded in characteristic religious experiences such as beholding the divine majesty on the top of a mountain or the divine creativity when noticing the articulate beauty of the flower. Other sorts of alleged religious experiences involve a sense of guilt (and forgiveness), despair, the inner testimony of the Holy Spirit, or direct contact with the divine (mysticism). The experience of many believers is so vivid that they describe it with sensory metaphors: they claim to see, hear or be touched by God.

It is important to note that people who believe on the basis of religious experience do not typically construe their belief in God as based on an argument (any more than belief in other persons is based on an argument). They believe they have seen or heard God directly and find themselves overwhelmed by belief in God. Religious experience is typically taken as self-authenticating. In good Reidian fashion, one might simply take it that one has a cognitive faculty that can be trusted when it produces belief in God when induced by the appropriate experiences; that is, one is permitted to trust one’s initial alleged religious experience as veridical, just as one must trust that others of one’s cognitive faculties are veridical. (It should be noted that Reid himself does not make this claim. He believes that God’s existence can and should be supported by argument.) Richard Swinburne alleges that it is also reasonable to trust what others tell us unless and until we have good reason to believe otherwise. So, it would be reasonable for someone who did not have a religious experience to trust the veridicality of someone who did claim to have a religious experience. That is, it would be reasonable for everyone, not just the subject of the alleged religious experience, to believe in God on the basis of that alleged religious experience.

Some philosophers reject religious experience as a proper ground for religious belief. While not denying that some people have had powerful, so-called mystical experiences, they deny that one can reliably infer from that experience that the source or cause of that experience was God. Even the most enthusiastic mystics contend that some mystical experiences are illusory. So, how does one sort out the veridical from the illusory without begging the question? And if other evidence must be brought in to assess the validity of religious experience, is not then religious belief based more on that evidence than on the immediate experience? William Alston (1991) responds to these sorts of challenges by noting that perceptual experience, which is seldom questioned, is afflicted with precisely the same problems. Yet we do not take perceptual beliefs to be suspect. Alston argues that if religious experiences and the beliefs they produce relevantly resemble perceptual experiences and the beliefs they produce, then we should not hold beliefs based upon religious experience to be suspect either.

f. Internalism/Externalism

Some of the most important issues concerning the rationality of religious belief are framed in terms of the distinction between internalism and externalism in epistemology. Philosophers who are internalists with respect to rationality argue that we can tell, from the inside so to speak, if our beliefs are rationally justified. The language used by the classical foundationalist to describe basic beliefs is thoroughly internalist. ‘Self-evident’ and ‘evident to the senses’ are suggestive of beliefs that have a certain inner, compelling and unquestionable luminosity; one can simply inspect one’s beliefs and “see” if they are evident in the appropriate respects. And since deductive inference transfers rational justification from lower levels to higher levels, by carefully checking the inferential relations among one’s beliefs, one can see this luminosity passing from basic to non-basic beliefs. So internalists believe that rationality is something that can be discerned by the mental inspection of one’s own beliefs, items to which one has direct cognitive access.

Plantinga, on the other hand, argues that modern foundationalism has misunderstood the nature of rational justification. Plantinga calls the special property that turns true belief into knowledge “warrant.” According to Plantinga, a belief has warrant for one if and only if that belief is produced by one’s properly functioning cognitive faculties in circumstances to which those faculties are designed to apply; in addition, those faculties must be designed for the purpose of producing true beliefs. So, for instance, my belief that ‘there is a computer screen in front of me’ is warranted only if it is produced by my properly functioning perceptual faculties (and not by weariness or dreaming), if no one is tricking me, say, by having removed my computer and replaced it with an exact painting of my computer (thereby messing up my cognitive environment), and if my perceptual faculties have been designed (by God) for the purpose of producing true beliefs. Only if all of these conditions are satisfied is my belief that there is a computer screen in front of me warranted.

Note the portions of Plantinga’s definition which are not within one’s internal or direct purview: whether or not one’s faculties are functioning properly, whether or not one’s faculties are designed by God, whether or not one’s faculties are designed for the production of true beliefs, whether or not one is using one’s faculties in the environment intended for their use (one might be seeing a mirage and taking it for real). According to Plantinga’s externalism we cannot acquire warrant simply by attending to our beliefs. Warranted belief (knowledge) depends on circumstances external to the believing agent and so is not entirely up to us. Warrant depends crucially upon whether or not conditions that are not under our direct rational purview or conscious control are satisfied. If externalism is correct, then classical foundationalism has completely misunderstood the nature of epistemic warrant.

g. The Rational Stance

Because of the possibility of error, those who accept belief in God as a basic belief should nonetheless be concerned with evidence for and against belief in God. Following Reid, Reformed epistemologists contend that belief begins with trust (not suspicion, as the evidentialist apparently claims). Beliefs are, in their terms, innocent until proven guilty rather than guilty until proven innocent. In order to grasp reality, we must use and trust our cognitive faculties or capacities. But we also know that we get things wrong. The deliverances of our cognitive faculties are not infallible. Reid, Plantinga and Wolterstorff are keenly aware of human fallibility and recognize the need for a deliberative (reasoning) faculty that helps us adjudicate apparent conflicts among beliefs delivered innocently by our cognitive faculties. Reid’s general approach to rational belief is this: trust the beliefs produced by your cognitive faculties in the appropriate circumstances, unless you have good reason to reject them.

Let’s press the problem of error. As shown by widespread disagreement, our cognitive faculties seem less reliable in matters of fundamental human concern such as the nature of morality, the nature of persons, social and political thought, and belief in God. Given that rationality is truth-aimed, Reformed epistemologists should be willing to do two things to make the attainment of that goal more likely. First, they ought to seek, as best they can, supporting evidence for immediately produced beliefs of fundamental human concern. Because evidence is truth-conducive, it can lend credence to a basic belief. It doesn’t follow that basic beliefs about morality, God, etc. are irrational until such evidence is adduced; but perhaps one’s epistemic status on these matters can be improved by obtaining confirming evidence. This would make Reformed epistemology a paradigmatic example of the Augustinian view of faith and reason: fides quaerens intellectum (faith seeking understanding). Second, they ought to be open to contrary evidence to root out false beliefs. Given the likelihood that they could be wrong about these matters, they ought not close themselves off to the possibility of epistemic correction. If Reformed epistemologists are sincere truth-seekers, they should take the following stance:

The Rational Stance: Trust the deliverances of reason, seek supporting evidence, and be open to contrary evidence.

According to Reformed epistemology, evidence may not be required for belief in God to be rational. But, given the problem of error, it should nonetheless continue to play an important role in the life of the believer. Fides quaerens intellectum.

h. Objections to Reformed Epistemology

Reformed epistemology has been rejected for three primary reasons. First, some philosophers deny that we have a sensus divinitatus and so reject the parity argument. Second, some philosophers argue that Reformed epistemology is too latitudinarian, permitting the rational acceptability of virtually any belief. Gary Gutting calls this ‘the Great Pumpkin Objection’ because Charlie Brown could have written a defense of the sensus pumpkinus that is parallel to Plantinga’s defense of the sensus divinitatus. Finally, Reformed epistemology has been rejected because it has been perceived to be a form of fideism. Fideism is the view that belief in God should be held in the absence of or even in opposition to reason. According to this traditional definition of fideism, Reformed epistemology does not count as a form of fideism because it goes to great lengths to show that belief in God is rational. However, if one defines fideism as the view that belief in God may be rightly held in the absence of evidence or argument, then Reformed epistemology will be a kind of fideism.

4. Groundless Believing

With their emphasis on reason, very few philosophers aspire to fideism. Nonetheless, some major thinkers have denied that reason plays any significant role in the life of the religious believer. Tertullian’s rhetorical question, “What has Jerusalem to do with Athens?”, is meant to elicit the view that faith (the Jerusalem of Jesus) has little or nothing to do with reason (the Athens of Socrates, Plato and Aristotle). Tertullian would go on to say, “I believe because it’s absurd.” Pascal (1623-1662), Kierkegaard (1813-1855) and followers of Wittgenstein (late 20th C.) have all been accused of fideism (which is the philosophical equivalent of calling a US citizen a “commie” in the 1950s). Let us consider their positions.

Pascal’s wager brings costs and benefits into the analysis of the rationality of religious belief. Given the possibility that God exists and that the unbeliever will be punished with eternal damnation and the believer rewarded with eternal bliss, Pascal argues that it is rational to wager that God exists. Using a rational, prudential decision procedure he asks us to consider placing a bet on God’s existence. If one bets on God, then either God exists and one enjoys an eternity of bliss or God does not exist and one loses very little. On the other hand, if one bets against God and wins, one gains very little, but if one loses that bet, then the one will suffer in hell forever. Prudence demands that one should believe in God’s existence. Pascal concludes: “Wager, then, that God exists.”

Pascal’s wager has been widely criticized, but we shall only consider here the relevance of the wager to Pascal’s view of faith and reason. The wager is just one of his many tools for shocking people into caring about their eternal destinies. After arguing that our desires affect our abilities to discern the truth, he tries to get our desires appropriately oriented toward the truth. The wager can stimulate the desire to seek the truth about God and, after one’s desires are changed, the ability to judge the evidences for Christianity properly. So, in spite of the prominence of the wager and its apparent disregard for evidence, Pascal appears to be a kind of evidentialist after all (but not a classical foundationalist).

Søren Kierkegaard’s emphasis on the role of inwardness or subjective appropriation has played a role in his being understood as a fideist. His reaction against both rationalism and dogmatism led him to view faith as a certain madness, a “leap” one makes beyond what is reasonable (a leap into the absurd). Some philosophers argue that Kierkegaard is simply emphasizing that faith is more than rational assent to the truth of a proposition, involving more fundamentally the passionate commitment of the heart.

Finally, followers of the enigmatic Ludwig Wittgenstein have defended the groundlessness of belief in God, a view that has been called “Wittgensteinian fideism.” Wittgenstein’s later works both noticed and affirmed the tremendous variety of our beliefs that are not held because of reasons—such beliefs are, according to Wittgenstein, groundless. Many of Wittgenstein’s most prominent students are religious believers, some of whom took his general insights into the structure of human belief and applied them to religious belief. Norman Malcolm, for example, favorably compares belief in God to the belief that things don’t vanish into thin air. Both are part of the untested and untestable framework of human belief. These frameworks form the system of beliefs within which testing of other beliefs can take place. While we can justify beliefs within the framework, we cannot justify the framework itself. The giving of reasons must come to an end. And then we believe, groundlessly.

5. Conclusion

Is belief in God rational? The evidentialist objector says “No” due to the lack of evidence. Theists who say “Yes” fall into two main categories: those who claim that there is sufficient evidence and those who claim that evidence is not necessary. Theistic evidentialists contend that there is enough evidence to ground rational belief in God, while Reformed epistemologists contend that evidence is not necessary to ground rational belief in God (but that belief in God is grounded in various characteristic religious experiences). Philosophical fideists deny that belief in God belongs in the realm of the rational. And, of course, all of these theistic claims are widely and enthusiastically disputed by philosophical non-theists.

In Western European countries, religious belief has waned since the time of the Enlightenment. Yet there are counter trends. Today over 90% of Americans profess belief in a higher power. In China, after decades of institutionally enforced atheism, religious belief is dramatically on the rise. And even though religious belief has waned among professional Anglo-American philosophers since the Enlightenment, many prominent Anglo-American philosophers are theists. What conclusions can be drawn from these sociological observations? That Reason will eventually triumph over superstition as all countries eventually follow Western Europe’s lead? That irrational religious belief is so stubbornly tenacious that Reason is incapable of wiping it out? That the natural tendency to believe in God is overlaid by various forms of sin (such as greed in the West or wicked Communism in the East)? That once the evidence is made clear to a deprived peoples, rational belief in God will flourish? Of course, these sociological facts are irrelevant to discussions of rational belief in God. Yet they are relevant to this: the persistence of religious belief in various contexts will continue to spur discussions of and developments in the epistemology of the religious for succeeding generations.

See also the article “Religious Disagreement.”

6. References and Further Reading

  • Adams, Robert Merrihew. The Virtue of Faith and Other Essays. Oxford: Oxford University Press, 1987.
  • Adams, Marilyn McCord and Robert Merrihew Adams, eds. The Problem of Evil. Oxford: Oxford University Press, 1990.
  • Alston, William. Perceiving God. Ithaca: Cornell University Press, 1991.
  • Brockelman, Paul T. Cosmology and Creation: The Spiritual Significance of Contemporary Cosmology. New York: Oxford University Press, 1999.
  • Clark, Kelly James. Return to Reason: A Critique of Enlightenment Evidentialism and a Defense of Reason and Belief in God. Grand Rapids: Eerdmans, 1990.
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Author Information

Kelly James Clark
Email: kclark84@yahoo.com
Ibn Haldun University
Turkey

Truth

Philosophers are interested in a constellation of issues involving the concept of truth. For example, what makes an assertion be true? Surely the assertion has grounds and does not float in mid-air, so to speak. The grounds might involve a variety of things: our evidence, or the assertion’s correspondence with the world beyond the assertion, or the meanings of the concepts involved in the assertion, or the nature of mind, or our social conventions about making assertions, or some combination of these. A preliminary issue, although somewhat subsidiary, is to decide what sorts of things can be true. Is truth a property of assertions, or of sentences (which are linguistic entities in some language or other), or of propositions (nonlinguistic, abstract and timeless entities)? Is truth even a property? The principal issue is: What is truth? It is the problem of being clear about what you are saying, implying, and presupposing when you say some claim or other is true. The most important theories of truth are the Correspondence Theory, the Semantic Theory, the Deflationary Theory, the Coherence Theory, and the Pragmatic Theory. They are explained and compared here. Whichever theory of truth is advanced to settle the principal issue, there are a number of additional issues to be addressed:

  1. Can claims about the future be true now?
  2. Can there be some algorithm for finding truth – some recipe or procedure for deciding, for any claim in the system of, say, arithmetic, whether the claim is true?
  3. Can the predicate “is true” be completely defined in other terms so that it can be eliminated, without loss of meaning, from any context in which it occurs?
  4. To what extent do theories of truth avoid paradox?
  5. Is the goal of scientific research to achieve truth?

Table of Contents

  1. The Principal Problem
  2. What Sorts of Things are True (or False)?
    1. Ontological Issues
    2. Constraints on Truth and Falsehood
    3. Which Sentences Express Propositions?
    4. Problem Cases
  3. Correspondence Theory
  4. Tarski’s Semantic Theory
    1. Extending the Semantic Theory Beyond “Simple” Propositions
    2. Can the Semantic Theory Account for Necessary Truth?
    3. The Linguistic Theory of Necessary Truth
  5. Coherence Theories
    1. Postmodernism: The Most Recent Coherence Theory
  6. Pragmatic Theories
  7. Deflationary Theories
    1. Redundancy Theory
    2. Performative Theory
    3. Prosentential Theory
  8. Related Issues
    1. Beyond Truth to Knowledge
    2. Algorithms for Truth
    3. Can “is true” be Eliminated?
    4. Can a Theory of Truth Avoid Paradox?
    5. Is The Goal of Scientific Research to Achieve Truth?
  9. References and Further Reading

1. The Principal Problem

The principal problem is to offer a viable theory as to what truth itself consists in, or, to put it another way, “What is the nature of truth?” To illustrate with an example—the problem is not: Is it true that there is extraterrestrial life? The problem is: What does it mean to say that it is true that there is extraterrestrial life? Astrobiologists study the former problem; philosophers, the latter.

This philosophical problem of truth has been with us for a long time. In the first century AD, Pontius Pilate (John 18:38) asked “What is truth?” but no answer was forthcoming. The problem has been studied more since the turn of the twentieth century than at any other previous time. In the last one hundred or so years, considerable progress has been made in solving the problem. There is now light where there was darkness.

Here are two prominent philosophical positions about truth. We do not revise the truth’ we revise our beliefs about what is true. Also, ideally good inferences are truth-preserving.

The most widely accepted contemporary theories of truth are [i] the Correspondence Theory ; [ii] the Semantic Theory of Tarski and Davidson; [iii] the Deflationary Theory of Frege and Ramsey, [iv] the Coherence Theory , and [v] the Pragmatic Theory . These five theories are examined after addressing the following question.

2. What Sorts of Things are True (or False)?

Although we do speak of true friends and false identities, philosophers believe these are derivative uses of “true” and “false”. The central use of “true”, the more important one for philosophers, occurs when we say, for example, it’s true that Montreal is north of Pittsburgh. Here,”true” is contrasted with “false”, not with “fake” or “insincere”. When we say that Montreal is north of Pittsburgh, what sort of thing is it that is true? Is it a statement or a sentence or something else, a “fact”, perhaps? More generally, philosophers want to know what sorts of things are true and what sorts of things are false. This same question is expressed by asking: What sorts of things have (or bear) truth-values?

The term “truth-value” has been coined by logicians as a generic term for “truth or falsehood”. To ask for the truth-value of P, is to ask whether P is true or whether P is false. “Value” in “truth-value” does not mean “valuable”. It is being used in a similar fashion to “numerical value” as when we say that the value of “x” in “x + 3 = 7” is 4. To ask “What is the truth-value of the statement that Montreal is north of Pittsburgh?” is to ask whether the statement that Montreal is north of Pittsburgh is true or whether it is false. (The truth-value of that specific statement is true.)

There are many candidates for the sorts of things that can bear truth-values:

  • statements
  • sentence-tokens
  • sentence-types
  • propositions
  • theories
  • facts
  • assertions
  • utterances
  • beliefs
  • opinions
  • doctrines
  • etc.

a. Ontological Issues

What sorts of things are these candidates? In particular, should the bearers of truth-values be regarded as being linguistic items (and, as a consequence, items within specific languages), or are they non-linguistic items, or are they both? In addition, should they be regarded as being concrete entities, that is, things which have a determinate position in space and time, or should they be regarded as abstract entities, that is, as being neither temporal nor spatial entities?

Sentences are linguistic items: they exist in some language or other, either in a natural language such as English or in an artificial language such as a computer language. However, the term “sentence” has two senses: sentence-token and sentence-type. These three English sentence-tokens are all of the same sentence-type:

  • Saturn is the sixth planet from the Sun.
  • Saturn is the sixth planet from the Sun.
  • Saturn is the sixth planet from the Sun.

Sentence-tokens are concrete objects. They are composed of ink marks on paper, or sequences of sounds, or patches of light on a computer monitor, etc. Sentence-tokens exist in space and time; they can be located in space and can be dated. Sentence-types cannot be. They are abstract objects. (Analogous distinctions can be made for letters, for words, for numerals, for musical notes on a stave, indeed for any symbols whatsoever.)

Might sentence-tokens be the bearers of truth-values?

One reason to favor tokens over types is to solve the problems involving so-called “indexical” (or “token reflexive”) terms such as “I” and “here” and “now”. Is the claim expressed by the sentence-type “I like chocolate” true or false? Well, it depends on who “I” is referring to. If Jack, who likes chocolate, says “I like chocolate”, then what he has said is true; but if Jill, who dislikes chocolate, says “I like chocolate”, then what she has said is false. If it were sentence-types which were the bearers of truth-values, then the sentence-type “I like chocolate” would be both true and false – an unacceptable contradiction. The contradiction is avoided, however, if one argues that sentence-tokens are the bearers of truth-values, for in this case although there is only one sentence-type involved, there are two distinct sentence-tokens.

A second reason for arguing that sentence-tokens, rather than sentence-types, are the bearers of truth-values has been advanced by nominalist philosophers. Nominalists are intent to allow as few abstract objects as possible. Insofar as sentence-types are abstract objects and sentence-tokens are concrete objects, nominalists will argue that actually uttered or written sentence-tokens are the proper bearers of truth-values.

But the theory that sentence-tokens are the bearers of truth-values has its own problems. One objection to the nominalist theory is that had there never been any language-users, then there would be no truths. (And the same objection can be leveled against arguing that it is beliefs that are the bearers of truth-values: had there never been any conscious creatures then there would be no beliefs and, thus, no truths or falsehoods, not even the truth that there were no conscious creatures – an unacceptably paradoxical implication.)

And a second objection – to the theory that sentence-tokens are the bearers of truth-values – is that even though there are language-users, there are sentences that have never been uttered and never will be. (Consider, for example, the distinct number of different ways that a deck of playing cards can be arranged. The number, 8×1067 [the digit “8” followed by sixty-seven zeros], is so vast that there never will be enough sentence-tokens in the world’s past or future to describe each unique arrangement. And there are countless other examples as well.) Sentence-tokens, then, cannot be identified as the bearers of truth-values – there simply are too few sentence-tokens.

Thus both theories – (i) that sentence-tokens are the bearers of truth-values, and (ii) that sentence-types are the bearers of truth-values – encounter difficulties. Might propositions be the bearers of truth-values?

To escape the dilemma of choosing between tokens and types, propositions have been suggested as the primary bearers of truth-values.

The following five sentences are in different languages, but they all are typically used to express the same proposition or statement.

Saturn is the sixth planet from the Sun. [English]
Saturn je šestá planeta od slunce. [Czech]
Saturne est la sixième planète la plus éloignée du soleil. [French]
[Hebrew]
Saturn er den sjette planeten fra solen. [Norwegian]

The truth of the proposition that Saturn is the sixth planet from the Sun depends only on the physics of the solar system, and not in any obvious way on human convention. By contrast, what these five sentences say does depend partly on human convention. Had English speakers chosen to adopt the word “Saturn” as the name of a different particular planet, the first sentence would have expressed something false. By choosing propositions rather than sentences as the bearers of truth-values, this relativity to human conventions does not apply to truth, a point that many philosophers would consider to be a virtue in a theory of truth.

Propositions are abstract entities; they do not exist in space and time. They are sometimes said to be “timeless”, “eternal”, or “omnitemporal” entities. Terminology aside, the essential point is that propositions are not concrete (or material) objects. Nor, for that matter, are they mental entities; they are not “thoughts” as Frege had suggested in the nineteenth century. The theory that propositions are the bearers of truth-values also has been criticized. Nominalists object to the abstract character of propositions. Another complaint is that it’s not sufficiently clear when we have a case of the same propositions as opposed to similar propositions. This is much like the complaint that we can’t determine when two sentences have exactly the same meaning. The relationship between sentences and propositions is a serious philosophical problem.

Because it is the more favored theory, and for the sake of expediency and consistency, the theory that propositions – and not sentences – are the bearers of truth-values will be adopted in this article. When we speak below of “truths”, we are referring to true propositions. But it should be pointed out that virtually all the claims made below have counterparts in nominalistic theories which reject propositions.

b. Constraints on Truth and Falsehood

There are two commonly accepted constraints on truth and falsehood:

Every proposition is true or false. [Law of the Excluded Middle.]
No proposition is both true and false. [Law of Non-contradiction.]

These constraints require that every proposition has exactly one truth-value. Although the point is controversial, most philosophers add the further constraint that a proposition never changes its truth-value in space or time. Consequently, to say “The proposition that it’s raining was true yesterday but false today” is to equivocate and not actually refer to just one proposition. Similarly, when someone at noon on January 15, 2000 in Vancouver says that the proposition that it is raining is true in Vancouver while false in Sacramento, that person is really talking of two different propositions: (i) that it rains in Vancouver at noon on January 15, 2000 and (ii) that it rains in Sacramento at noon on January 15, 2000. The person is saying proposition (i) is true and (ii) is false.

c. Which Sentences Express Propositions?

Not all sentences express propositions. The interrogative sentence “Who won the World Series in 1951?” does not; neither does the imperative sentence “Please close the window.” Declarative (that is, indicative) sentences – rather than interrogative or imperative sentences – typically are used to express propositions.

d. Problem Cases

But do all declarative sentences express propositions? The following four kinds of declarative sentences have been suggested as not being typically used to express propositions, but all these suggestions are controversial.

1. Sentences containing non-referring expressions

In light of the fact that France has no king, Strawson argued that the sentence, “The present king of France is bald”, fails to express a proposition. In a famous dispute, Russell disagreed with Strawson, arguing that the sentence does express a proposition, and more exactly, a false one.

2. Predictions of future events

What about declarative sentences that refer to events in the future? For example, does the sentence “There will be a sea battle tomorrow” express a proposition? Presumably, today we do not know whether there will be such a battle. Because of this, some philosophers (including Aristotle who toyed with the idea) have argued that the sentence, at the present moment, does not express anything that is now either true or false. Another, perhaps more powerful, motivation for adopting this view is the belief that if sentences involving future human actions were to express propositions, that is, were to express something that is now true or false, then humans would be determined to perform those actions and so humans would have no free will. To defend free will, these philosophers have argued, we must deny truth-values to predictions.

This complicating restriction – that sentences about the future do not now express anything true or false – has been attacked by Quine and others. These critics argue that the restriction upsets the logic we use to reason with such predictions. For example, here is a deductively valid argument involving predictions:

We’ve learned there will be a run on the bank tomorrow.
If there will be a run on the bank tomorrow, then the CEO should be awakened.


So, the CEO should be awakened.

Without assertions in this argument having truth-values, regardless of whether we know those values, we could not assess the argument using the canons of deductive validity and invalidity. We would have to say – contrary to deeply-rooted philosophical intuitions – that it is not really an argument at all. (For another sort of rebuttal to the claim that propositions about the future cannot be true prior to the occurrence of the events described, see Logical Determinism.)

3. Liar Sentences

“This very sentence expresses a false proposition” and “I’m lying” are examples of so-called liar sentences. A liar sentence can be used to generate a paradox when we consider what truth-value to assign it. As a way out of paradox, Kripke suggests that a liar sentence is one of those rare declarative sentences that does not express a proposition. The sentence falls into the truth-value gap. See the article Liar Paradox.

4. Sentences that state moral, ethical, or aesthetic values

Finally, we mention the so-called “fact/value distinction.” Throughout history, moral philosophers have wrestled with the issue of moral realism. Do sentences such as “Torturing children is wrong” – which assert moral principles – assert something true (or false), or do they merely express (in a disguised fashion) the speaker’s opinions, or feelings or values? Making the latter choice, some philosophers argue that these declarative sentences do not express propositions.

3. Correspondence Theory

We return to the principal question, “What is truth?” Truth is presumably what valid reasoning preserves. It is the goal of scientific inquiry, historical research, and business audits. We understand much of what a sentence means by understanding the conditions under which what it expresses is true. Yet the exact nature of truth itself is not wholly revealed by these remarks.

Historically, the most popular theory of truth was the Correspondence Theory. First proposed in a vague form by Plato and by Aristotle in his Metaphysics, this realist theory says truth is what propositions have by corresponding to a way the world is. The theory says that a proposition is true provided there exists a fact corresponding to it. In other words, for any proposition p,

p is true if and only if p corresponds to a fact.

The theory’s answer to the question, “What is truth?” is that truth is a certain relationship—the relationship that holds between a proposition and its corresponding fact. Perhaps an analysis of the relationship will reveal what all the truths have in common.

Consider the proposition that snow is white. Remarking that the proposition’s truth is its corresponding to the fact that snow is white leads critics to request an acceptable analysis of this notion of correspondence. Surely the correspondence is not a word by word connecting of a sentence to its reference. It is some sort of exotic relationship between, say, whole propositions and facts. In presenting his theory of logical atomism early in the twentieth century, Russell tried to show how a true proposition and its corresponding fact share the same structure. Inspired by the notion that Egyptian hieroglyphs are stylized pictures, his student Wittgenstein said the relationship is that of a “picturing” of facts by propositions, but his development of this suggestive remark in his Tractatus Logico-Philosophicus did not satisfy many other philosophers, nor after awhile, even Wittgenstein himself.

And what are facts? The notion of a fact as some sort of ontological entity was first stated explicitly in the second half of the nineteenth century. The Correspondence Theory does permit facts to be mind-dependent entities. McTaggart, and perhaps Kant, held such Correspondence Theories. The Correspondence theories of Russell, Wittgenstein and Austin all consider facts to be mind-independent. But regardless of their mind-dependence or mind-independence, the theory must provide answers to questions of the following sort. “Canada is north of the U.S.” can’t be a fact. A true proposition can’t be a fact if it also states a fact, so what is the ontological standing of a fact? Is the fact that corresponds to “Brutus stabbed Caesar” the same fact that corresponds to “Caesar was stabbed by Brutus”, or is it a different fact? It might be argued that they must be different facts because one expresses the relationship of stabbing but the other expresses the relationship of being stabbed, which is different. In addition to the specific fact that ball 1 is on the pool table and the specific fact that ball 2 is on the pool table, and so forth, is there the specific fact that there are fewer than 1,006,455 balls on the table? Is there the general fact that many balls are on the table? Does the existence of general facts require there to be the Forms of Plato or Aristotle? What about the negative proposition that there are no pink elephants on the table? Does it correspond to the same situation in the world that makes there be no green elephants on the table? The same pool table must involve a great many different facts. These questions illustrate the difficulty in counting facts and distinguishing them. The difficulty is well recognized by advocates of the Correspondence Theory, but critics complain that characterizations of facts too often circle back ultimately to saying facts are whatever true propositions must correspond to in order to be true. Davidson has criticized the notion of fact, arguing that “if true statements correspond to anything, they all correspond to the same thing” (in “True to the Facts”, Davidson [1984]). Davidson also has argued that facts really are the true statements themselves; facts are not named by them, as the Correspondence Theory mistakenly supposes.

Defenders of the Correspondence Theory have responded to these criticisms in a variety of ways. Sense can be made of the term “correspondence”, some say, because speaking of propositions corresponding to facts is merely making the general claim that summarizes the remark that

(i) The sentence, “Snow is white”, means that snow is white, and (ii) snow actually is white,

and so on for all the other propositions. Therefore, the Correspondence theory must contain a theory of “means that” but otherwise is not at fault. Other defenders of the Correspondence Theory attack Davidson’s identification of facts with true propositions. Snow is a constituent of the fact that snow is white, but snow is not a constituent of a linguistic entity, so facts and true statements are different kinds of entities.

Recent work in possible world semantics has identified facts with sets of possible worlds. The fact that the cat is on the mat contains the possible world in which the cat is on the mat and Adolf Hitler converted to Judaism while Chancellor of Germany. The motive for this identification is that, if sets of possible worlds are metaphysically legitimate and precisely describable, then so are facts.

4. Tarski’s Semantic Theory

tarskiTo more rigorously describe what is involved in understanding truth and defining it, Alfred Tarski created his Semantic Theory of Truth. In Tarski’s theory, however, talk of correspondence and of facts is eliminated. (Although in early versions of his theory, Tarski did use the term “correspondence” in trying to explain his theory, he later regretted having done so, and dropped the term altogether since it plays no role within his theory.) The Semantic Theory is the successor to the Correspondence Theory.

For an illustration of the theory, consider the German sentence “Schnee ist weiss” which means that snow is white. Tarski asks for the truth-conditions of the proposition expressed by that sentence: “Under what conditions is that proposition true?” Put another way: “How shall we complete the following in English: ‘The proposition expressed by the German sentence “Schnee ist weiss” is true …’?” His answer:

T: The proposition expressed by the German sentence “Schnee ist weiss” is true if and only if snow is white.

We can rewrite Tarski’s T-condition on three lines:

  1. The proposition expressed by the German sentence “Schnee ist weiss” is true
  2. if and only if
  3. snow is white

Line 1 is about truth. Line 3 is not about truth – it asserts a claim about the nature of the world. Thus T makes a substantive claim. Moreover, it avoids the main problems of the earlier Correspondence Theories in that the terms “fact” and “correspondence” play no role whatever.

A theory is a Tarskian truth theory for language L if and only if, for each sentence S of L, if S expresses the proposition that p, then the theory entails a true “T-proposition” of the bi-conditional form:

(T) The proposition expressed by S-in-L is true, if and only if p.

In the example we have been using, namely, “Schnee ist weiss”, it is quite clear that the T-proposition consists of a containing (or “outer”) sentence in English, and a contained (or “inner” or quoted) sentence in German:

T: The proposition expressed by the German sentence “Schnee ist weiss” is true if and only if snow is white.

There are, we see, sentences in two distinct languages involved in this T-proposition. If, however, we switch the inner, or quoted sentence, to an English sentence, e.g. to “Snow is white”, we would then have:

T: The proposition expressed by the English sentence “Snow is white” is true if and only if snow is white.

In this latter case, it looks as if only one language (English), not two, is involved in expressing the T-proposition. But, according to Tarski’s theory, there are still two languages involved: (i) the language one of whose sentences is being quoted and (ii) the language which attributes truth to the proposition expressed by that quoted sentence. The quoted sentence is said to be an element of the object language, and the outer (or containing) sentence which uses the predicate “true” is in the metalanguage.

Tarski discovered that in order to avoid contradiction in his semantic theory of truth, he had to restrict the object language to a limited portion of the metalanguage. Among other restrictions, it is the metalanguage alone that contains the truth-predicates, “true” and “false”; the object language does not contain truth-predicates.

It is essential to see that Tarski’s T-proposition is not saying:

X: Snow is white if and only if snow is white.

This latter claim is certainly true (it is a tautology), but it is no significant part of the analysis of the concept of truth – indeed it does not even use the words “true” or “truth”, nor does it involve an object language and a metalanguage. Tarski’s T-condition does both.

a. Extending the Semantic Theory Beyond “Simple” Propositions

Tarski’s complete theory is intended to work for (just about) all propositions, expressed by non-problematic declarative sentences, not just “Snow is white.” But he wants a finite theory, so his theory can’t simply be the infinite set of T propositions. Also, Tarski wants his truth theory to reveal the logical structure within propositions that permits valid reasoning to preserve truth. To do all this, the theory must work for more complex propositions by showing how the truth-values of these complex propositions depend on their parts, such as the truth-values of their constituent propositions. Truth tables show how this is done for the simple language of Propositional Logic (e.g. the complex proposition expressed by “A or B” is true, according to the truth table, if and only if proposition A is true, or proposition B is true, or both are true).

Tarski’s goal is to define truth for even more complex languages. Tarski’s theory does not explain (analyze) when a name denotes an object or when an object falls under a predicate; his theory begins with these as given. He wants what we today call a model theory for quantified predicate logic. His actual theory is very technical. It uses the notion of Gödel numbering, focuses on satisfaction rather than truth, and approaches these via the process of recursion. The idea of using satisfaction treats the truth of a simple proposition such as expressed by “Socrates is mortal” by saying:

If “Socrates” is a name and “is mortal” is a predicate, then “Socrates is mortal” expresses a true proposition if and only if there exists an object x such that “Socrates” refers to x and “is mortal” is satisfied by x.

For Tarski’s formal language of predicate logic, he’d put this more generally as follows:

If “a” is a name and “Q” is a predicate, then “a is Q” expresses a true proposition if and only if there exists an object x such that “a” refers to x and “Q” is satisfied by x.

The idea is to define the predicate “is true” when it is applied to the simplest (that is, the non-complex or atomic) sentences in the object language (a language, see above, which does not, itself, contain the truth-predicate “is true”). The predicate “is true” is a predicate that occurs only in the metalanguage, that is, in the language we use to describe the object language. At the second stage, his theory shows how the truth predicate, when it has been defined for propositions expressed by sentences of a certain degree of grammatical complexity, can be defined for propositions of the next greater degree of complexity.

According to Tarski, his theory applies only to artificial languages – in particular, the classical formal languages of symbolic logic – because our natural languages are vague and unsystematic. Other philosophers – for example, Donald Davidson – have not been as pessimistic as Tarski about analyzing truth for natural languages. Davidson has made progress in extending Tarski’s work to any natural language. Doing so, he says, provides at the same time the central ingredient of a theory of meaning for the language. Davidson develops the original idea Frege stated in his Basic Laws of Arithmetic that the meaning of a declarative sentence is given by certain conditions under which it is true—that meaning is given by truth conditions.

As part of the larger program of research begun by Tarski and Davidson, many logicians, linguists, philosophers, and cognitive scientists, often collaboratively, pursue research programs trying to elucidate the truth-conditions (that is, the “logics” or semantics for) the propositions expressed by such complex sentences as:

“It is possible that snow is white.” [modal propositions]
“Snow is white because sunlight is white.” [causal propositions]
“If snow were yellow, ice would melt at -4°C.” [contrary-to-fact conditionals]
“Napoleon believed that snow is white.” [intentional propositions]
“It is obligatory that one provide care for one’s children.” [deontological propositions]
etc.

Each of these research areas contains its own intriguing problems. All must overcome the difficulties involved with ambiguity, tenses, and indexical phrases.

b. Can the Semantic Theory Account for Necessary Truth?

Many philosophers divide the class of propositions into two mutually exclusive and exhaustive subclasses: namely, propositions that are contingent (that is, those that are neither necessarily-true nor necessarily-false) and those that are noncontingent (that is, those that are necessarily-true or necessarily-false).

On the Semantic Theory of Truth, contingent propositions are those that are true (or false) because of some specific way the world happens to be. For example all of the following propositions are contingent:

Snow is white. Snow is purple.
Canada belongs to the U.N. It is false that Canada belongs to the U.N.

The contrasting class of propositions comprises those whose truth (or falsehood, as the case may be) is dependent, according to the Semantic Theory, not on some specific way the world happens to be, but on any way the world happens to be. Imagine the world changed however you like (provided, of course, that its description remains logically consistent). Even under those conditions, the truth-values of the following (noncontingent) propositions will remain unchanged:

Truths Falsehoods
Snow is white or it is false that snow is white. Snow is white and it is false that snow is white.
All squares are rectangles. Not all squares are rectangles.
2 + 2 = 4 2 + 2 = 7

However, some philosophers who accept the Semantic Theory of Truth for contingent propositions, reject it for noncontingent ones. They have argued that the truth of noncontingent propositions has a different basis from the truth of contingent ones. The truth of noncontingent propositions comes about, they say—not through their correctly describing the way the world is—but as a matter of the definitions of terms occurring in the sentences expressing those propositions. Noncontingent truths, on this account, are said to be true by definition, or – as it is sometimes said, in a variation of this theme – as a matter of conceptual relationships between the concepts at play within the propositions, or—yet another (kindred) way—as a matter of the meanings of the sentences expressing the propositions.

It is apparent, in this competing account, that one is invoking a kind of theory of linguistic truth. In this alternative theory, truth for a certain class of propositions, namely the class of noncontingent propositions, is to be accounted for – not in their describing the way the world is, but rather – because of certain features of our human linguistic constructs.

c. The Linguistic Theory of Necessary Truth

Does the Semantic Theory need to be supplemented in this manner? If one were to adopt the Semantic Theory of Truth, would one also need to adopt a complementary theory of truth, namely, a theory of linguistic truth (for noncontingent propositions)? Or, can the Semantic Theory of Truth be used to explain the truth-values of all propositions, the contingent and noncontingent alike? If so, how?

To see how one can argue that the Semantic Theory of Truth can be used to explicate the truth of noncontingent propositions, consider the following series of propositions, the first four of which are contingent, the fifth of which is noncontingent:

  1. There are fewer than seven bumblebees or more than ten.
  2. There are fewer than eight bumblebees or more than ten.
  3. There are fewer than nine bumblebees or more than ten.
  4. There are fewer than ten bumblebees or more than ten.
  5. There are fewer than eleven bumblebees or more than ten.

Each of these propositions, as we move from the second to the fifth, is slightly less specific than its predecessor. Each can be regarded as being true under a greater range of variation (or circumstances) than its predecessor. When we reach the fifth member of the series we have a proposition that is true under any and all sets of circumstances. (Some philosophers – a few in the seventeenth century, a very great many more after the mid-twentieth century – use the idiom of “possible worlds”, saying that noncontingent truths are true in all possible worlds [that is, under any logically possible circumstances].) On this view, what distinguishes noncontingent truths from contingent ones is not that their truth arises as a consequence of facts about our language or of meanings, etc.; but that their truth has to do with the scope (or number) of possible circumstances under which the proposition is true. Contingent propositions are true in some, but not all, possible circumstances (or possible worlds). Noncontingent propositions, in contrast, are true in all possible circumstances or in none. There is no difference as to the nature of truth for the two classes of propositions, only in the ranges of possibilities in which the propositions are true.

An adherent of the Semantic Theory will allow that there is, to be sure, a powerful insight in the theories of linguistic truth. But, they will counter, these linguistic theories are really shedding no light on the nature of truth itself. Rather, they are calling attention to how we often go about ascertaining the truth of noncontingent propositions. While it is certainly possible to ascertain the truth experientially (and inductively) of the noncontingent proposition that all aunts are females – for example, one could knock on a great many doors asking if any of the residents were aunts and if so, whether they were female – it would be a needless exercise. We need not examine the world carefully to figure out the truth-value of the proposition that all aunts are females. We might, for example, simply consult an English dictionary. How we ascertain, find out, determine the truth-values of noncontingent propositions may (but need not invariably) be by nonexperiential means; but from that it does not follow that the nature of truth of noncontingent propositions is fundamentally different from that of contingent ones.

On this latter view, the Semantic Theory of Truth is adequate for both contingent propositions and noncontingent ones. In neither case is the Semantic Theory of Truth intended to be a theory of how we might go about finding out what the truth-value is of any specified proposition. Indeed, one very important consequence of the Semantic Theory of Truth is that it allows for the existence of propositions whose truth-values are in principle unknowable to human beings.

And there is a second motivation for promoting the Semantic Theory of Truth for noncontingent propositions. How is it that mathematics is able to be used (in concert with physical theories) to explain the nature of the world? On the Semantic Theory, the answer is that the noncontingent truths of mathematics correctly describe the world (as they would any and every possible world). The Linguistic Theory, which makes the truth of the noncontingent truths of mathematics arise out of features of language, is usually thought to have great, if not insurmountable, difficulties in grappling with this question.

5. Coherence Theories

The Correspondence Theory and the Semantic Theory account for the truth of a proposition as arising out of a relationship between that proposition and features or events in the world. Coherence Theories (of which there are a number), in contrast, account for the truth of a proposition as arising out of a relationship between that proposition and other propositions.

Coherence Theories are valuable because they help to reveal how we arrive at our truth claims, our knowledge. We continually work at fitting our beliefs together into a coherent system. For example, when a drunk driver says, “There are pink elephants dancing on the highway in front of us”, we assess whether his assertion is true by considering what other beliefs we have already accepted as true, namely,

  • Elephants are gray.
  • This locale is not the habitat of elephants.
  • There is neither a zoo nor a circus anywhere nearby.
  • Severely intoxicated persons have been known to experience hallucinations.

But perhaps the most important reason for rejecting the drunk’s claim is this:

  • Everyone else in the area claims not to see any pink elephants.

In short, the drunk’s claim fails to cohere with a great many other claims that we believe and have good reason not to abandon. We, then, reject the drunk’s claim as being false (and take away the car keys).

Specifically, a Coherence Theory of Truth will claim that a proposition is true if and only if it coheres with ___. For example, one Coherence Theory fills this blank with “the beliefs of the majority of persons in one’s society”. Another fills the blank with “one’s own beliefs”, and yet another fills it with “the beliefs of the intellectuals in one’s society”. The major coherence theories view coherence as requiring at least logical consistency. Rationalist metaphysicians would claim that a proposition is true if and only if it “is consistent with all other true propositions”. Some rationalist metaphysicians go a step beyond logical consistency and claim that a proposition is true if and only if it “entails (or logically implies) all other true propositions”. Leibniz, Spinoza, Hegel, Bradley, Blanshard, Neurath, Hempel (late in his life), Dummett, and Putnam have advocated Coherence Theories of truth.

Coherence Theories have their critics too. The proposition that bismuth has a higher melting point than tin may cohere with my beliefs but not with your beliefs. This, then, leads to the proposition being both “true for me” but “false for you”. But if “true for me” means “true” and “false for you” means “false” as the Coherence Theory implies, then we have a violation of the law of non-contradiction, which plays havoc with logic. Most philosophers prefer to preserve the law of non-contradiction over any theory of truth that requires rejecting it. Consequently, if someone is making a sensible remark by saying, “That is true for me but not for you,” then the person must mean simply, “I believe it, but you do not.” Truth is not relative in the sense that something can be true for you but not for me.

A second difficulty with Coherence Theories is that the beliefs of any one person (or of any group) are invariably self-contradictory. A person might, for example, believe both “Absence makes the heart grow fonder” and “Out of sight, out of mind.” But under the main interpretation of “cohere”, nothing can cohere with an inconsistent set. Thus most propositions, by failing to cohere, will not have truth-values. This result violates the law of the excluded middle.

And there is a third objection. What does “coheres with” mean? For X to “cohere with” Y, at the very least X must be consistent with Y. All right, then, what does “consistent with” mean? It would be circular to say that “X is consistent with Y” means “it is possible for X and Y both to be true together” because this response is presupposing the very concept of truth that it is supposed to be analyzing.

Some defenders of the Coherence Theory will respond that “coheres with” means instead “is harmonious with”. Opponents, however, are pessimistic about the prospects for explicating the concept “is harmonious with” without at some point or other having to invoke the concept of joint truth.

A fourth objection is that Coherence theories focus on the nature of verifiability and not truth. They focus on the holistic character of verifying that a proposition is true but don’t answer the principal problem, “What is truth itself?”

a. Postmodernism: The Most Recent Coherence Theory

In recent years, one particular Coherence Theory has attracted a lot of attention and some considerable heat and fury. Postmodernist philosophers ask us to carefully consider how the statements of the most persuasive or politically influential people become accepted as the “common truths”. Although everyone would agree that influential people – the movers and shakers – have profound effects upon the beliefs of other persons, the controversy revolves around whether the acceptance by others of their beliefs is wholly a matter of their personal or institutional prominence. The most radical postmodernists do not distinguish acceptance as true from being true; they claim that the social negotiations among influential people “construct” the truth. The truth, they argue, is not something lying outside of human collective decisions; it is not, in particular, a “reflection” of an objective reality. Or, to put it another way, to the extent that there is an objective reality it is nothing more nor less than what we say it is. We human beings are, then, the ultimate arbiters of what is true. Consensus is truth. The “subjective” and the “objective” are rolled into one inseparable compound.

These postmodernist views have received a more sympathetic reception among social scientists than among physical scientists. Social scientists will more easily agree, for example, that the proposition that human beings have a superego is a “construction” of (certain) politically influential psychologists, and that as a result, it is (to be regarded as) true. In contrast, physical scientists are – for the most part – rather unwilling to regard propositions in their own field as somehow merely the product of consensus among eminent physical scientists. They are inclined to believe that the proposition that protons are composed of three quarks is true (or false) depending on whether (or not) it accurately describes an objective reality. They are disinclined to believe that the truth of such a proposition arises out of the pronouncements of eminent physical scientists. In short, physical scientists do not believe that prestige and social influence trump reality.

6. Pragmatic Theories

A Pragmatic Theory of Truth holds (roughly) that a proposition is true if it is useful to believe. Peirce and James were its principal advocates. Utility is the essential mark of truth. Beliefs that lead to the best “payoff”, that are the best justification of our actions, that promote success, are truths, according to the pragmatists.

The problems with Pragmatic accounts of truth are counterparts to the problems seen above with Coherence Theories of truth.

First, it may be useful for someone to believe a proposition but also useful for someone else to disbelieve it. For example, Freud said that many people, in order to avoid despair, need to believe there is a god who keeps a watchful eye on everyone. According to one version of the Pragmatic Theory, that proposition is true. However, it may not be useful for other persons to believe that same proposition. They would be crushed if they believed that there is a god who keeps a watchful eye on everyone. Thus, by symmetry of argument, that proposition is false. In this way, the Pragmatic theory leads to a violation of the law of non-contradiction, say its critics.

Second, certain beliefs are undeniably useful, even though – on other criteria – they are judged to be objectively false. For example, it can be useful for some persons to believe that they live in a world surrounded by people who love or care for them. According to this criticism, the Pragmatic Theory of Truth overestimates the strength of the connection between truth and usefulness.

Truth is what an ideally rational inquirer would in the long run come to believe, say some pragmatists. Truth is the ideal outcome of rational inquiry. The criticism that we don’t now know what happens in the long run merely shows we have a problem with knowledge, but it doesn’t show that the meaning of “true” doesn’t now involve hindsight from the perspective of the future. Yet, as a theory of truth, does this reveal what “true” means?

7. Deflationary Theories

What all the theories of truth discussed so far have in common is the assumption that a proposition is true just in case the proposition has some property or other – correspondence with the facts, satisfaction, coherence, utility, etc. Deflationary theories deny this assumption.

a. Redundancy Theory

The principal deflationary theory is the Redundancy Theory advocated by Frege, Ramsey, and Horwich. Frege expressed the idea this way:

It is worthy of notice that the sentence “I smell the scent of violets” has the same content as the sentence “It is true that I smell the scent of violets.” So it seems, then, that nothing is added to the thought by my ascribing to it the property of truth. (Frege, 1918)

When we assert a proposition explicitly, such as when we say “I smell the scent of violets”, then saying “It’s true that I smell the scent of violets” would be redundant; it would add nothing because the two have the same meaning. Today’s more minimalist advocates of the Redundancy Theory retreat from this remark about meaning and say merely that the two are necessarily equivalent.

Where the concept of truth really pays off is when we do not, or can not, assert a proposition explicitly, but have to deal with an indirect reference to it. For instance, if we wish to say, “What he will say tomorrow is true”, we need the truth predicate “is true”. Admittedly the proposition is an indirect way of saying, “If he says tomorrow that it will snow, then it will snow; if he says tomorrow that it will rain, then it will rain; if he says tomorrow that 7 + 5 = 12, then 7 + 5 = 12; and so forth.” But the phrase “is true” cannot be eliminated from “What he will say tomorrow is true” without producing an unacceptable infinite conjunction. The truth predicate “is true” allows us to generalize and say things more succinctly (indeed to make those claims with only a finite number of utterances). In short, the Redundancy Theory may work for certain cases, say its critics, but it is not generalizable to all; there remain recalcitrant cases where “is true” is not redundant.

Advocates of the Redundancy Theory respond that their theory recognizes the essential point about needing the concept of truth for indirect reference. The theory says that this is all that the concept of truth is needed for, and that otherwise its use is redundant.

b. Performative Theory

The Performative Theory is a deflationary theory that is not a redundancy theory. It was advocated by Strawson who believed Tarski’s Semantic Theory of Truth was basically mistaken.

The Performative Theory of Truth argues that ascribing truth to a proposition is not really characterizing the proposition itself, nor is it saying something redundant. Rather, it is telling us something about the speaker’s intentions. The speaker – through his or her agreeing with it, endorsing it, praising it, accepting it, or perhaps conceding it – is licensing our adoption of (the belief in) the proposition. Instead of saying, “It is true that snow is white”, one could substitute “I embrace the claim that snow is white.” The key idea is that saying of some proposition, P, that it is true is to say in a disguised fashion “I commend P to you”, or “I endorse P”, or something of the sort.

The case may be likened somewhat to that of promising. When you promise to pay your sister five dollars, you are not making a claim about the proposition expressed by “I will pay you five dollars”; rather you are performing the action of promising her something. Similarly, according to the Performative Theory of Truth, when you say “It is true that Vancouver is north of Sacramento”, you are performing the act of giving your listener license to believe (and to act upon the belief) that Vancouver is north of Sacramento.

Critics of the Performative Theory charge that it requires too radical a revision in our logic. Arguments have premises that are true or false, but we don’t consider premises to be actions, says Geach. Other critics complain that, if all the ascription of “is true” is doing is gesturing consent, as Strawson believes, then, when we say

“Please shut the door” is true,

we would be consenting to the door’s being shut. Because that is absurd, says Huw Price, something is wrong with Strawson’s Performative Theory.

c. Prosentential Theory

The Prosentential Theory of Truth suggests that the grammatical predicate “is true” does not function semantically or logically as a predicate. All uses of “is true” are prosentential uses. When someone asserts “It’s true that it is snowing”, the person is asking the hearer to consider the sentence “It is snowing” and is saying “That is true” where the remark “That is true” is taken holistically as a prosentence, in analogy to a pronoun. A pronoun such as “she” is a substitute for the name of the person being referred to. Similarly, “That is true” is a substitute for the proposition being considered. Likewise, for the expression “It is true.” According to the Prosentential Theory, all uses of “true” can be reduced to uses either of “That is true” or “It is true” or variants of these with other tenses. Because these latter prosentential uses of the word “true” cannot be eliminated from our language during analysis, the Prosentential Theory is not a redundancy theory.

Critics of the theory remark that it can give no account of what is common to all our uses of the word “true,” such as those in the unanalyzed operators “it-will-be-true-that” and “it-is-true-that” and “it-was-true-that”.

8. Related Issues

a. Beyond Truth to Knowledge

For generations, discussions of truth have been bedeviled by the question, “How could a proposition be true unless we know it to be true?” Aristotle’s famous worry was that contingent propositions about the future, such as “There will be a sea battle tomorrow”, couldn’t be true now, for fear that this would deny free will to the sailors involved. Advocates of the Correspondence Theory and the Semantic Theory have argued that a proposition need not be known in order to be true. Truth, they say, arises out of a relationship between a proposition and the way the world is. No one need know that that relationship holds, nor – for that matter – need there even be any conscious or language-using creatures for that relationship to obtain. In short, truth is an objective feature of a proposition, not a subjective one.

For a true proposition to be known, it must (at the very least) be a justified belief. Justification, unlike truth itself, requires a special relationship among propositions. For a proposition to be justified it must, at the very least, cohere with other propositions that one has adopted. On this account, coherence among propositions plays a critical role in the theory of knowledge. Nevertheless it plays no role in a theory of truth, according to advocates of the Correspondence and Semantic Theories of Truth.

Finally, should coherence – which plays such a central role in theories of knowledge – be regarded as an objective relationship or as a subjective one? Not surprisingly, theorists have answered this latter question in divergent ways. But the pursuit of that issue takes one beyond the theories of truth.

b. Algorithms for Truth

An account of what “true” means does not have to tell us what is true, nor tell us how we could find out what is true. Similarly, an account of what “bachelor” means should not have to tell us who is a bachelor, nor should it have to tell us how we could find out who is. However, it would be fascinating if we could discover a way to tell, for any proposition, whether it is true.

Perhaps some machine could do this, philosophers have speculated. For any formal language, we know in principle how to generate all the sentences of that language. If we were to build a machine that produces one by one all the many sentences, then eventually all those that express truths would be produced. Unfortunately, along with them, we would also generate all those that express false propositions. We also know how to build a machine that will generate only sentences that express truths. For example, we might program a computer to generate “1 + 1 is not 3”, then “1 + 1 is not 4”, then “1 + 1 is not 5”, and so forth. However, to generate all and only those sentences that express truths is quite another matter.

Leibniz (1646-1716) dreamed of achieving this goal. By mechanizing deductive reasoning he hoped to build a machine that would generate all and only truths. As he put it, “How much better will it be to bring under mathematical laws human reasoning which is the most excellent and useful thing we have.” This would enable one’s mind to “be freed from having to think directly of things themselves, and yet everything will turn out correct.” His actual achievements were disappointing in this regard, but his dream inspired many later investigators.

Some progress on the general problem of capturing all and only those sentences which express true propositions can be made by limiting the focus to a specific domain. For instance, perhaps we can find some procedure that will produce all and only the truths of arithmetic, or of chemistry, or of Egyptian political history. Here, the key to progress is to appreciate that universal and probabilistic truths “capture” or “contain” many more specific truths. If we know the universal and probabilistic laws of quantum mechanics, then (some philosophers have argued) we thereby indirectly (are in a position to) know the more specific scientific laws about chemical bonding. Similarly, if we can axiomatize an area of mathematics, then we indirectly have captured the infinitely many specific theorems that could be derived from those axioms, and we can hope to find a decision procedure for the truths, a procedure that will guarantee a correct answer to the question, “Is that true?”

Significant progress was made in the early twentieth century on the problem of axiomatizing arithmetic and other areas of mathematics. Let’s consider arithmetic. In the 1920s, David Hilbert hoped to represent the sentences of arithmetic very precisely in a formal language, then to generate all and only the theorems of arithmetic from uncontroversial axioms, and thereby to show that all true propositions of arithmetic can in principle be proved as theorems. This would put the concept of truth in arithmetic on a very solid basis. The axioms would “capture” all and only the truths. However, Hilbert’s hopes would soon be dashed. In 1931, Kurt Gödel (1906-1978), in his First Incompleteness Theorem, proved that any classical self-consistent formal language capable of expressing arithmetic must also contain sentences of arithmetic that cannot be derived within that system, and hence that the propositions expressed by those sentences could not be proven true (or false) within that system. Thus the concept of truth transcends the concept of proof in classical formal languages. This is a remarkable, precise insight into the nature of truth.

c. Can “is true” be Eliminated?

Can “is true” be defined so that it can be replaced by its definition? Unfortunately for the clarity of this question, there is no one concept of “definition”. A very great many linguistic devices count as definitions. These devices include providing a synonym, offering examples, pointing at objects that satisfy the term being defined, using the term in sentences, contrasting it with opposites, and contrasting it with terms with which it is often confused. (For further reading, see Definitions, Dictionaries, and Meanings.)

However, modern theories about definition have not been especially recognized, let alone adopted, outside of certain academic and specialist circles. Many persons persist with the earlier, naive, view that the role of a definition is only to offer a synonym for the term to be defined. These persons have in mind such examples as: “‘hypostatize’ means (or, is a synonym for) ‘reify’“.

If one were to adopt this older view of definition, one might be inclined to demand of a theory of truth that it provide a definition of “is true” which permitted its elimination in all contexts in the language. Tarski was the first person to show clearly that there could never be such a strict definition for “is true” in its own language. The definition would allow for a line of reasoning that produced the Liar Paradox (recall above) and thus would lead us into self contradiction. (See the discussion, in the article The Liar Paradox, of Tarski’s Udefinability Theorem of 1936.)

Kripke has attempted to avoid this theorem by using only a “partial” truth-predicate so that not every sentence has a truth-value. In effect, Kripke’s “repair” permits a definition of the truth-predicate within its own language but at the expense of allowing certain violations of the law of excluded middle.

d. Can a Theory of Truth Avoid Paradox?

The brief answer is, “Not if it contains its own concept of truth.” If the language is made precise by being formalized, and if it contains its own so-called global truth predicate, then Tarski has shown that the language will enable us to reason our way to a contradiction. That result shows that we do not have a coherent concept of truth (for a language within that language). Some of our beliefs about truth, and about related concepts that are used in the argument to the contradiction, must be rejected, even though they might seem to be intuitively acceptable.

There is no reason to believe that paradox is to be avoided by rejecting formal languages in favor of natural languages. The Liar Paradox first appeared in natural languages. And there are other paradoxes of truth, such as Löb’s Paradox, which follow from principles that are acceptable in either formal or natural languages, namely the principles of modus ponens and conditional proof.

The best solutions to the paradoxes use a similar methodology, the “systematic approach”. That is, they try to remove vagueness and be precise about the ramifications of their solutions, usually by showing how they work in a formal language that has the essential features of our natural language. The Liar Paradox and Löb’s Paradox represent a serious challenge to understanding the logic of our natural language. The principal solutions agree that – to resolve a paradox – we must go back and systematically reform or clarify some of our original beliefs. For example, the solution may require us to revise the meaning of “is true”. However, to be acceptable, the solution must be presented systematically and be backed up by an argument about the general character of our language. In short, there must be both systematic evasion and systematic explanation. Also, when it comes to developing this systematic approach, the goal of establishing a coherent basis for a consistent semantics of natural language is much more important than the goal of explaining the naive way most speakers use the terms “true” and “not true”. The later Wittgenstein did not agree. He rejected the systematic approach and elevated the need to preserve ordinary language, and our intuitions about it, over the need to create a coherent and consistent semantical theory.

e. Is The Goal of Scientific Research to Achieve Truth?

Except in special cases, most scientific researchers would agree that their results are only approximately true. Nevertheless, to make sense of this, philosophers need adopt no special concept such as “approximate truth.” Instead, it suffices to say that the researchers’ goal is to achieve truth, but they achieve this goal only approximately, or only to some approximation.

Other philosophers believe it’s a mistake to say the researchers’ goal is to achieve truth. These “scientific anti-realists” recommend saying that research in, for example, physics, economics, and meteorology, aims only for usefulness. When they aren’t overtly identifying truth with usefulness, the instrumentalists Peirce, James and Schlick take this anti-realist route, as does Kuhn. They would say atomic theory isn’t true or false but rather is useful for predicting outcomes of experiments and for explaining current data. Giere recommends saying science aims for the best available “representation”, in the same sense that maps are representations of the landscape. Maps aren’t true; rather, they fit to a better or worse degree. Similarly, scientific theories are designed to fit the world. Scientists should not aim to create true theories; they should aim to construct theories whose models are representations of the world.

9. References and Further Reading

  • Bradley, Raymond and Norman Swartz . Possible Worlds: an Introduction to Logic and Its Philosophy, Hackett Publishing Company, 1979.
  • Davidson, Donald. Inquiries into Truth and Interpretation, Oxford University Press, 1984.
  • Davidson, Donald. “The Structure and Content of Truth”, The Journal of Philosophy, 87 (1990), 279-328.
  • Horwich, Paul. Truth, Basil Blackwell Ltd., 1990.
  • Mates, Benson. “Two Antinomies”, in Skeptical Essays, The University of Chicago Press, 1981, 15-57.
  • McGee, Vann. Truth, Vagueness, and Paradox: An Essay on the Logic of Truth, Hackett Publishing, 1991.
  • Kirkham, Richard. Theories of Truth: A Critical Introduction, MIT Press, 1992.
  • Kripke, Saul. “Outline of a Theory of Truth”, Journal of Philosophy, 72 (1975), 690-716.
  • Quine, W. V. “Truth”, in Quiddities: An Intermittently Philosophical Dictionary, The Belknap Press of Harvard University Press, 1987.
  • Ramsey, F. P. “Facts and Propositions”, in Proceedings of the Arisotelian Society, Supplement, 7, 1927.
  • Russell, B. The Problems of Philosophy, Oxford University Press, 1912.
  • Strawson, P. F. “Truth”, in Analysis, vol. 9, no. 6, 1949.
  • Tarski, Alfred, “The Semantic Conception of Truth and the Foundations of Semantics”, in Philosophy and Phenomenological Research, 4 (1944).
  • Tarski, Alfred. “The Concept of Truth in Formalized Languages”, in Logic, Semantics, Metamathematics, Clarendon Press, 1956.

Author Information

Bradley Dowden
Email: dowden@csus.edu
California State University Sacramento
U. S. A.

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

Toleration

The heart of tolerance is self-control. When we tolerate an activity, we resist our urge to forcefully prohibit the expression of activities that we find unpleasant.  More abstractly, toleration can be understood as a political practice aiming at neutrality, objectivity, or fairness on the part of political agents. These ideas are related in that the goal of political neutrality is deliberate restraint of the power that political authorities have to negate the life activities of its citizens and subjects. Related to toleration is the virtue of tolerance, which can be defined as a tendency toward toleration. Toleration is usually grounded upon an assumption about the importance of the autonomy of individuals. This assumption and the idea of toleration are central ideas in modern liberal theory and practice.

The virtue of toleration is implicit in Socrates’ method of allowing many diverse perspectives to be expressed. In  seventeenth century Europe, the concept of tolerance was developed as liberal thinkers sought to limit the coercive actions of government and the Church. They argued that human beings are fallible and should have epistemic modesty. Further, an individual know his or her interests best  and requires tolerance by others in order to find the best way to live.

The following article provides a conceptual and historical overview of the concept of toleration, surveying thinkers such as Socrates, John Locke, John Stuart Mill, Immanuel Kant, John Rawls and other contemporary political philosophers who have weighed in on this important yet problematic idea.

 

Table of Contents

  1. Conceptual Analysis
  2. Historical Development
    1. Early History
    2. The 17th Century
    3. The 18th Century
    4. The 19th Century
    5. The 20th Century
  3. Epistemological Toleration
    1. Socrates
    2. Milton
    3. Locke
    4. Mill
    5. The Problem of Relativism
  4. Moral Toleration
    1. The Paradox of Toleration
    2. Tolerance vs. Indifference
  5. Political Toleration
    1. John Rawls
    2. Risks and Benefits
  6. References and Further Reading

1. Conceptual Analysis

The English words, ‘tolerate’, ‘toleration’, and ‘tolerance’ are derived from the Latin terms tolerare and tolerantia, which imply enduring, suffering, bearing, and forbearance. Ancient Greek terms, which may also have influenced philosophical thinking on toleration, include: phoretos which means bearable, endurable, or phoreo, literally ‘to carry’; and anektikos meaning bearable, sufferable, tolerable, from anexo, ‘to hold up’.

Today, when we say that someone has a ‘high tolerance for pain,’ we mean that he or she is able to endure pain. This ordinary way of thinking is useful for understanding the idea of toleration and the virtue of tolerance: it underscores the fact that toleration is directed by an agent toward something perceived as negative. It would be odd to say, for example, that someone has a high tolerance for pleasure.

With this in mind, we can formulate a general definition of toleration that involves three interrelated conditions. When an agent tolerates something:

(1) the agent holds a negative judgment about this thing;

(2) the agent has the power to negate this thing; and

(3) the agent deliberately refrains from negation.

The first condition requires a negative judgment, which can be anything from disapproval to disgust. Judgment here is meant to be a broad concept that can include emotions, dispositions, tastes, and reasoned evaluations. This negative judgment inclines the agent toward a negative action toward the thing that is perceived as being negative. This broadly Stoic conception of judgment is a common assumption in discussions of toleration. Defenders of toleration assume that we can, to a certain extent, voluntarily control the expression of our negative reactions by opposing them with different, countervailing, judgments. Although judgments and emotions are both thought to have motivating force, they can be resisted by some other judgment, habit or virtue.

The entity toward which an agent has a negative judgment can be an event, an object, or a person, although with regard to tolerance as a moral and political disposition, the entity is usually thought to be a person. Although we speak of tolerating pain, for example, the moral and political emphasis is on tolerating some other person, a group of people, or their activities.

The second condition states that the agent has the power to negate the entity in question. Toleration is concerned with resisting the temptation to actively negate the thing in question. To distinguish toleration from cowardice or weakness of will the agent must have some capacity to enact his negative judgment. Toleration occurs when the agent could actively negate or destroy the person or object in question, but chooses not to.

The word negate is used here in a broad sense that allows for a variety of negative reactions. Negative actions can include: expressions of condemnation, acts of avoidance, or violent attacks. The continuum of negations is decidedly vague. It is not clear, for example, whether condemnation and avoidance are negations of the same sort as violent action. Despite the vagueness of the continuum of negative activities, the focal point of the second criterion is the power to negate: toleration is restraint of the power to negate.

The third condition states that the agent deliberately refrains from exercising his power to negate. Tolerant agents deliberately choose not to negate those things they view negatively. The negative formulation, ‘not negating,’ is important because toleration is not the same thing as positive evaluation, approbation, or approval.

Tolerant restraint of the negative judgment is supposed to be free and deliberate: one refrains from negating the thing because one has a reason not to negate it and is free to act. Good reasons for toleration are plural. They include: respect for autonomy; a general commitment to pacifism; concern for other virtues such as kindness and generosity; pedagogical concerns; a desire for reciprocity; and a sense of modesty about one’s ability to judge the beliefs and actions of others. Each of these provides us with a reason for thinking that it is good not to negate the thing in question. As mentioned already, there also may be other non-tolerant reasons for refraining from negation: fear, weakness of will, profit motive, self-interest, arrogance, and so forth.

Although there are many reasons to be tolerant, traditional discussions have emphasized respect for autonomy and pedagogical concerns. Underlying both of these approaches is often a form of self-conscious philosophical modesty that is linked to the value of respect for autonomy. As John Stuart Mill and others have argued, individuals ought to be left to pursue their own good in their own way in part because each individual knows himself and his own needs and interests best. This view does, however, leave us with a lingering problem as toleration can easily slip toward moral skepticism and relativism. It is important to note then that toleration is a positive value that is not based upon total moral skepticism. Proponents of toleration think that toleration is good not because they are unsure of their moral values but, rather, because toleration fits within a scheme of moral values that includes values such as autonomy, peace, cooperation, and other values that are thought to be good for human flourishing.

2. Historical Development

a. Early History

The spirit of tolerance is evident in Socrates’ dialogical method as a component of his search for truth. Throughout the early Platonic dialogues, Socrates tolerantly allows his interlocutors to pursue the truth wherever this pursuit might lead. And he encourages his interlocutors to offer refutations so that the truth might be revealed. Sometimes Socrates’ tolerance can appear to go too far. The Euthyrphro concludes, for example, with Socrates allowing Euthyphro to proceed in the prosecution of a questionable court case. And Socrates’ relationship with Alcibiades, as discussed in the Symposium, shows Socrates as perhaps too tolerant toward this reckless Athenian youth. In the Gorgias (at 458a) Socrates describes himself in terms that establish a link between philosophical method and a form of toleration. Socrates says,

And what kind of man am I? One of those who would gladly be refuted if anything I say is not true, and would gladly refute another who says what is not true, but would be no less happy to be refuted myself than to refute, for I consider that a greater benefit, inasmuch as it is a greater boon to be delivered from the worst of evils oneself than to deliver another.

For Socrates, then, the pursuit of truth is linked to an open mind, although of course this form of dialogical toleration is supposed to lead to a unitary vision of the truth.

One can see a more developed form of tolerance celebrated in the Stoicism of Epictetus (55-135 C.E.) and Marcus Aurelius (121-180 C.E.). The Stoic idea is that we should focus on those things we can control—our own opinions and behaviors—while ignoring those things we cannot control, especially the opinions and behaviors of others. The Stoic idea is linked to resignation and apathy, as is clear in the case of Epictetus, whose social position—raised as a Roman slave—might explain his advice about bearing and forbearing. Of course, the problem here is that slavish forbearance is not the same as tolerance: it seems clear that tolerance properly requires the power to negate, which the slave does not possess. With the Emperor Marcus Aurelius, however, tolerance is seen as a virtue of power. Tolerance might be linked to other virtues of power such as mercy and benevolence, as suggested, for example by Seneca. However, it is important to note that the Stoic approach to tolerance was not explicitly linked to a general idea about political respect for autonomy and freedom of conscience, as it is in the modern liberal tradition. Moreover, Roman political life was not nearly as tolerant as modern political life. For example, although Marcus’ Meditations contain many passages invoking the spirit of tolerance, Marcus was responsible for continuing the persecution of Christians.

Religious traditions provide further historical background for the idea of toleration. For example, the spirit of tolerance can be discovered in the Christian Gospel’s message of loving enemies, forgiving others, and refraining from judging others. Christian tolerance is linked to other virtues such as charity and self-sacrifice. Furthermore, it seems to go beyond tolerance toward a self-abnegating type of love and acceptance. Christ’s command to love your enemies is one example of this attempt to go beyond tolerance. It should be noted that other religious traditions also contain resources for developing toleration. For example, Buddhist compassion can be linked to the idea of toleration. Indeed, in the third century B.C.E., the Buddhist emperor of India, Ashoka, called for official religious toleration. Likewise, in the 16th Century C.E., the Islamic emperor Akhbar made a similar attempt at establishing religious toleration on the Indian subcontinent.

Despite these antecedents, toleration does not become a serious subject of philosophical and political concern in Europe until the 16th and 17th Centuries. During the Renaissance and Reformation of the 15th and 16th Centuries, humanists such as Erasmus (1466-1536), De Las Casas (1484-1566), and Montaigne (1533-1592) asserted the autonomy of human reason against the dogmatism of the Church. Although religious authorities reacted with the formation of the Inquisition and the Index of Forbidden Books, by the 17th Century philosophers were seriously considering the question of toleration.

b. The 17th Century

Following the divisions created by the Lutheran Reformation and the Counter-Reformation, Europe was decimated by war and violence fomented in the name of religion, which culminated in the Thirty Years War (1618-1648). Through events such as these scholars became acutely aware of the destructive power of intolerance and sought to limit this destructive force by re-examining the biblical roots of toleration and by re-considering the relation between religious belief and political power. Additional influences on the cultural landscape of Europe during this time include the struggle to define sovereignty and to “purify” religion in Britain during the British Civil Wars (1640-1660), as well as increased information about cultural differences with the beginning of global exploration. Among the thinkers of this period, those who defended tolerance were Milton (1608-1674), Bayle (1647-1706), Spinoza (1634-1677), and Locke (1632-1704).

One of the worries of the humanist thinkers of the Reformation was whether it was possible to have infallible knowledge of the Divine Will such that one could justify the persecution of heretics. This concern with human fallibility lies at the heart of what will be described subsequently as “epistemological toleration.” When recognition of human fallibility is combined with critique of political and ecclesiastical power, more robust forms of political toleration develop.

In this vein, Spinoza concluded his Theological-Political Treatise (1670) with an argument for freedom of thought. It is not surprising that Spinoza should have written this treatise, for he was himself a product of a tolerant society: he was a Portuguese Jew living in Holland. Indeed, the 17th Century saw the rise of toleration in practice in certain parts of Europe, perhaps as a result of increased trade and social mobility. Spinoza’s argument for toleration focuses on three claims: first, he claims that it is impossible for the state to effectively curtail liberty of thought; second, he claims that liberty of thought can in fact be allowed without detriment to state power; and finally, Spinoza argues that political authority should focus on controlling actions and not on restricting thought. This emphasis on the difference between thought and action is crucial for subsequent discussions of toleration in Locke, Mill, and Kant.

Somewhat different versions of Spinoza’s basic insights can be found in Locke’s famous Letter Concerning Toleration (1689), an essay that was written during Locke’s exile in Holland. Locke’s argument focuses specifically on the conflict between political authority and religious belief. He articulated a view of toleration based on the epistemological claim that it is impossible for the state to coerce genuine religious belief. He argued that the state should refrain from interfering in the religious beliefs of its subjects, except when these religious beliefs lead to behaviors or attitudes that run counter to the security of the state. This exception allowed him to conclude that the state need not tolerate Catholics who were loyal to a foreign authority or atheists whose lack of religious conviction left them entirely untrustworthy.

c. The 18th Century

In the 18th Century, discussion of toleration was tied to the problem of skepticism and to a more sustained critique of absolutism in politics. Voltaire (1694-1778), who expressed his admiration for the development of religious tolerance in England in his Philosophical Letters (1734), was extremely worried about the tendency of religion to become violent and intolerant. Moreover, he suffered under the intolerant hands of the French authorities: he was thrown in jail for his views and his books were censored and publicly burned. Religious tolerance forms the theme of his Treatise on Tolerance (1763), which argues vigorously for tolerance even though it retains a bias toward Christianity. A concise summary of Voltaire’s argument for tolerance can be found in the entry on Tolerance in his Philosophical Dictionary (1764). Voltaire’s claim is that toleration follows from human frailty and error. Since none of us has perfect knowledge, and since we are all weak, inconsistent, liable to fickleness and error, we should pardon one another for our failings. Voltaire’s approach focuses on tolerance at the level of personal interaction and risks slipping toward moral skepticism and relativism: like his contemporary David Hume (1711-1777), Voltaire presented a skeptical challenge to orthodox belief.

Immanuel Kant (1724-1804), in response to skeptics such as Voltaire and Hume, tried to avoid skepticism while focusing on the limits of human knowledge and the limits of political power. In his essay, “What is Enlightenment?” (1784), Kant argues for an enlightened form of political power that would allow subjects to argue among themselves, so long as they remained obedient to authority. This position is further clarified by Kant’s claim in Perpetual Peace (1795) that philosophers should be allowed and encouraged to speak publicly. Kant’s point in this later essay is that public debate and discussion lead to the truth, and that kings should have nothing to fear from the truth. Kant’s views on religious toleration are clarified in his Religion within the Limits of Reason Alone (1793). Here Kant argues against religious intolerance by pointing out that although we are certain of our moral duties, human beings do not have apodictic certainty of God’s commands. Thus a religious belief that demands a contravention of morality (such as the burning of a heretic) can never be justified.

Bridging the gap between the Old World and the New World, the writings of Thomas Paine (1737-1809) and Thomas Jefferson (1743-1826) express a theory of toleration that is tied directly to political practice. Paine’s and Jefferson’s ideas followed Locke’s. Not only were they critical of unrestrained political power but they were also committed to an ecumenical approach to religious belief known as deism. Paine makes it clear in his Rights of Man (1791) that toleration for religious diversity is essential because political and ecclesiastical authorities do not have the capacity to adjudicate matters of conscience. “Mind thine own concerns. If he believes not as thou believest, it is a proof that thou believest not as he believeth, and there is no earthly power can determine between you.”

At the end of the 18th Century, we see tolerant ideas embodied in practice in the U.S. Constitution’s Bill of Rights—the first 10 Amendments to the Constitution (ratified in 1791). Collectively these amendments serve to restrain political power. Specifically, the First Amendment states that there can be no law, which prohibits freedom of religion, freedom of speech, freedom of the press, freedom of assembly, and freedom to petition to the government. Subsequent developments in U.S. Constitutional law have led to a tradition of respect for citizens’ freedom of thought, speech, and action.

d. The 19th Century

In the 19th Century, the idea of toleration was developed further in line with the liberal, enlightenment idea that moral autonomy is essential to human flourishing. The most famous argument for toleration in the 19th Century was made by John Stuart Mill in On Liberty (1859). Mill argues here that the only proper limit of liberty is harm: one is entitled to be as free as possible, except where one’s liberty poses a threat to the well-being of someone else: “the only purpose for which power can rightfully be exercised over any member of a civilized community, against his will, is to prevent harm to others.”

Mill expands the notion of privacy that was implicit in Locke and Kant to argue that political power should have no authority to regulate those activities and interests of individuals that are purely private and have no secondary effects on others. Mill also vigorously argues that freedom of thought is essential for the development of knowledge. Mill’s general approach is utilitarian: he claims that individuals will be happier if their private differences are tolerated and that society in general will be better off if individuals are left to pursue their own good in their own way.

In the 19th Century and into the early 20th Century, religious toleration was also a subject of consideration for thinkers such as Soren Kierkegaard (1813-1855), Ralph Waldo Emerson (1803-1882), and William James (1842-1910), who emphasized the subjective nature of religious faith. For example, in his Varieties of Religious Experience (1902), James argued that religious experience was diverse and not subject to a definitive interpretation. Although this fits with James’s larger metaphysical commitment to pluralism, his point is that religious commitment is personal—a matter of what he calls in another essay, “the will to believe.” It is up to each individual to decide for himself what he will believe: if we properly understand the nature of religious belief, we should respect the religious liberty of others and learn to tolerate our differences.

e. The 20th Century

In the 20th Century, toleration has become an important component of what is now known as liberal theory. The bloody history of the 20th Century has led many to believe that toleration is needed to end political and religious violence. Toleration has been defended by liberal philosophers and political theorists such as John Dewey, Isaiah Berlin, Karl Popper, Michael Walzer, Ronald Dworkin, and John Rawls. It has been criticized by Herbert Marcuse and others such as Iris Young who worry that toleration and its ideal of state neutrality is merely another hegemonic Western ideology. Toleration has been the explicit subject of many recent works in political philosophy by Susan Mendus, John Horton, Preston King, and Bernard Williams. Much of the current discussion focuses on responding to John Rawls, whose theory of “political liberalism” conceives of toleration as a pragmatic response to the fact of diversity (see “Political Toleration” below). A recurring question in the current debate is whether there can be a more substantive commitment to toleration that does not lead to the paradoxical consequence that the tolerant must tolerate those who are intolerant.

Further recent discussion, by David Heyd, Glenn Newey, and others, has attempted to re-establish the link between tolerance and virtue. These writers wonder whether tolerance is in fact a virtue and if so, what sort of a virtue it is. A concern for racial equality, gender neutrality, an end of prejudice, respect for cultural and ethnic difference, and a general commitment to multiculturalism has fueled ongoing debates about the nature of toleration in our age of globalization and homogenization. Finally, in the U.S., First Amendment Law has developed to allow for a broad idea of freedom of speech, freedom of the press, and freedom of religion. And under the influence of an interpretation of the equal protection clause of the 14th Amendment, mechanisms to ensure equality have given support to those minority groups who were once the victims of political intolerance.

3. Epistemological Toleration

An epistemological argument for toleration can be traced to Socrates. However, this ideal becomes explicit in the thinking of Milton, Locke, and Mill. The epistemological claim is that one should tolerate the opinions and beliefs of the other because it is either impossible to coerce belief or because such coercion is not the most useful pedagogical approach. This idea can be developed into a claim about the importance of diversity, dialogue, and debate for the establishment of truth. Finally, this approach might lead to a form of relativism or skepticism that puts the idea of toleration itself at risk.

a. Socrates

Socratic tolerance is discovered if we take seriously Socrates’ claims to ignorance. Socratic ignorance is linked to virtues, such as sophrosyne (self-control), modesty and tolerance. These virtues are essential components in the formation of the philosophical community and the pursuit of philosophical truth. Throughout Plato’s dialogues, Socrates restrains himself deliberately—he modestly claims ignorance and allows others to develop their own positions and make their own mistakes—out of recognition that this is the best, perhaps the only, way to proceed in the communal pursuit of truth. Socrates’ main goal is to discover the truth through open-minded debate. But there would be no dialogue and indeed no education without tolerance. Socrates’ commitment to tolerance is part of his epistemological faith in the autonomy of reason. We each must discover the truth for ourselves by way of disciplined, modest, and tolerant dialogue.

b. Milton

Centuries later, John Milton’s Areopagitica (1644) offers a similar defense of the truth. Milton vigorously defended freedom of speech in response to a censorship decree of the English parliament. His argument relies upon the epistemological claim that open dialogue supported by a tolerant government fosters the development of truth. Milton’s basic assumption is that the truth is able to defend itself in a free debate. “Let truth and falsehood grapple; who ever knew truth put to the worse, in a free and open encounter?” Milton further argues that outward conformity to orthodoxy is not the same as genuine belief.

c. Locke

These ideas were developed further by Locke in his Letter Concerning Toleration. Locke argues that the civil and ecclesiastical authorities ought to tolerate diversity of belief because one cannot force another human being to have faith. In a claim that is reminiscent of Milton, Locke claims “the truth certainly would do well enough if she were left to shift for herself… She is not taught by laws, nor has she any need of force to procure her entrance into the minds of men.” This is so because the authority of judgment resides within the free individual. It is impossible to force someone to believe something for external reasons. Rather, truth must be arrived at and believed for internal reasons.

This epistemological claim is the focal point of Jeremy Waldron’s recent critique of Locke’s account. Waldron claims that Locke’s argument is weak because it relies upon the false assumption that beliefs cannot be coerced. The point is that we often believe things quite sincerely without any good reason whatsoever. Moreover, Waldron argues that the epistemological argument is too weak to provide a moral limitation on coercion. Even though coercion cannot produce genuine belief, an intolerant regime may not be interested in producing genuine belief. It may simply be interested in guaranteeing conformity. Waldron’s point is important: the epistemological critique is useful only if one is committed to the claim that genuine belief in the truth is an important political or moral value. An epistemological argument for toleration must claim not only that it is impractical or impossible to impose belief upon others, but also that we ought to value genuine commitment over mere conformity.

d. Mill

Mill’s epistemological argument is quite similar to Locke’s, although Mill goes farther in advocating freedom of speech as essential for the discovery of truth. Mill’s epistemological argument begins with the assumption that individuals know best what is good for them. This claim runs counter to the traditional Platonic claim that often individuals do not know what is in their own best interest. Mill supports his claim by pointing out that the individual always has the best access to his/her own interests and desires: others do not have access to the kinds of internal evidence that would allow them to judge for the individual. It is important to note that Mill does not equate this access problem with relativism. Indeed, in his essay Utilitarianism (1863), he famously defends a hierarchy of goods based on the fact that those who have experienced both “lower” and “higher” goods will prefer the higher ones (for example, “it is better to be Socrates dissatisfied than a fool satisfied”). The epistemological point remains the same here, however: it is up to the individual to judge for himself about what is good for him.

Mill’s general argument for freedom of thought is based upon a recognition of human fallibility and on the need for dialogue and debate. Mill’s argument for freedom of thought in On Liberty contains the following claims. (1) Silenced opinions may be true. To assume they are not is to assume that we are infallible. (2) Even false opinions may contain valid points of contention and parts of the truth. To know the whole of truth we might have to weave together parts of truth from different sources. (3) To claim to know the truth means that we are able to defend it against all vigorous opposition. Thus we need to be able to hear and respond to false opinions in order to know all of the arguments for a proposition. (4) Truth that is not continuously and vigorously contested becomes mere superstition. Such dogmatically held superstitions may thus crumble before even weak opposition and will not be heartily believed or defended.

e. The Problem of Relativism

Like Socrates, Mill and Locke both arrive at the notion of toleration from a non-relativistic understanding of belief and truth. However, under the general rubric of epistemological toleration we might also include the sort of toleration that follows from skepticism or relativism. For the relativist or skeptic, since we cannot know the truth or since all truths are relative, we ought to be tolerant of those who hold different points of view. Contemporary American philosopher, Richard Rorty has articulated an argument something like this. The problem with this approach is the same problem with all sorts of skepticism and relativism: either the claim self-referentially undermines itself or it provides us with no compelling reason to believe it. If we are skeptical about knowledge, then we have no way of knowing that toleration is good. Likewise, if truth is relative to a system of thought, then the claim that toleration is required is itself merely a relatively justified claim. The form of epistemological toleration espoused by Mill, at least, attempts to avoid these problems by appealing to a form of fallibilism that is not completely skeptical or relativistic. Mill’s point is not that there is no truth but, rather, that toleration is required for us to come to know the truth.

4. Moral Toleration

We have seen that epistemological concerns can lead us to toleration. Moral concerns can also bring us to toleration. Tolerance as a moral virtue might be linked to other moral virtues such as modesty and self-control. However, the most common moral value that is thought to ground toleration is a concern for autonomy. We ought to refrain from negating the other when concern for the other’s autonomy provides us with a good reason not to act. Toleration that follows from a commitment to autonomy should not be confused with moral relativism. Moral relativism holds that values are relative to culture or context. A commitment to autonomy, in opposition to this, holds that autonomy is good in a non-relative sense. A commitment to autonomy might require that I allow another person to do something that I find abhorrent, not because I believe that values are relative, but because I believe that autonomy is so important that it requires me to refrain from negating the autonomous action of another free agent. Of course, there are limits here. Autonomous action that violates the autonomy of another cannot be tolerated.

Mill’s account of the principle of liberty is helpful for understanding this idea of toleration. Mill tells us that we should be given as much liberty as possible, as long as our liberty does not harm others. This is in fact a recipe for toleration. Mill’s argument follows from certain basic assumptions about individuals.

1. Each individual has a will of his own.
2. Each individual is better off when not compelled to do better.
3. Each individual knows best what is good for him.
4. Each individual is motivated to attain his own good and to avoid actions that are contrary to his self-interest.
5. Self-regarding thought and activity can be distinguished from its effects upon others.

Some of these claims (for example, #3) are linked to epistemological toleration. However, the point here is not only that individuals know what is in their own self-interest but also that it is good for individuals to be able to pursue their own good in their own way. Such an approach makes several important metaphysical assumptions about the nature of human being: that autonomy is possible and important, that individuals do know their own good, that there is a distinction between self-regarding action and actions that effects others. Moral toleration follows from these sorts of claims about human being.

a. The Paradox of Toleration

Of course, toleration and respect for autonomy are not simple ideas. Much has been made about the so-called “paradox of toleration”: the fact that toleration seems to ask us to tolerate those things we find intolerable. Toleration does require that we refrain from enacting the negative consequences of our negative judgments. This becomes paradoxical when we find ourselves confronting persons, attitudes, or behaviors, which we vigorously reject: we then must, paradoxically, tolerate that which we find intolerable. This becomes especially difficult when the other who is to be tolerated expresses views or activities that are themselves intolerant.

One way of resolving this paradox is to recognize that there is a distinction between first-order judgments and second-order moral commitments. First-order judgments include emotional reactions and other practical judgments that focus on concrete and particular attitudes and behaviors. Second-order moral commitments include more complicated judgments that aim beyond emotion and particularity toward rational universal principles. With regard to the paradox of toleration there is a conflict between a first-order reaction against something and a second-order commitment to the principle of respecting autonomy or to the virtues of modesty or self-control. The paradox is resolved by recognizing that this second-order commitment trumps the first-order reaction: principle is supposed to outweigh emotion. Thus we might have good reasons (based upon our second-order commitments) to refrain from following through on the normal consequences of negative first-order judgments. However, when there is a genuine conflict of second-order commitments, that is, when the tolerant commitment to autonomy runs up against an intolerant rejection of autonomy, then there is no need to tolerate. In other words the paradox is resolved when we realize that toleration is not a commitment to relativism but, rather, that it is a commitment to the value of autonomy and to the distinction between first-order judgments and second-order moral commitments.

b. Tolerance vs. Indifference

Of course, the ideal of toleration is a difficult one to enact. This difficulty is related to the tension between first-order reactions and second-order commitments that is found within the spiritual economy of an individual. This is why the idea of tolerance as a virtue is important. Virtues are tendencies or habits toward good action. In the case of the virtue of tolerance, the tendency is toward respect for the autonomy of others and toward the self-discipline necessary for deliberately restraining first-order reactions. Virtues are usually thought to be integrated into a system of virtues. Tolerance is no exception. The virtue of tolerance is closely related to other virtues such as self-control, modesty, generosity, kindness, mercy, and forgiveness. One must be careful, however, not to conclude that the virtue of tolerance is a tendency toward indifference or apathy. Tolerance demands that we moderate and control our passions in light of some larger good, whether that good be respect for autonomy or an interest in self-control; tolerance does not demand that we completely refrain from judging another free agent.

Moral toleration asks us to restrain some of our most powerful first-order reactions: negative reactions to persons, attitudes, and behaviors which we find repugnant. Without the tension between first-order reactions and second-order commitment, toleration is merely indifference. Indifference usually indicates a failure at the level of first-order judgment: when we are indifferent, we do not have any reaction, negative or positive, to the other. Such a state of indifference is not virtuous. Indeed, it would be vicious and wrong not to react strongly against injustice or violations of autonomy.

We often confuse indifference with toleration. However, indifference is flawed as a human response for two reasons. First, it rejects the truth of first-order reactions. First-order reactions should not be ignored. Our emotional responses are important ways in which we connect with the world around us. When we react negatively to something, this emotional reaction provides important information about the world and ourselves. Tolerance does not ask us to deaden our emotional responses to others; rather it asks us to restrain the negative consequences of our negative emotional responses out of deference to a more universal set of commitments. Second, indifference is often closely related to general skepticism about moral judgment. The moral skeptic claims that no set of values is true. From this perspective, both first-order reactions and second-order commitments are mere tastes or preferences without any final moral significance. From this skepticism, indifference with regard to any moral evaluation is cultivated because all of our moral values are thought to be equally groundless. The difficulty here is that moral skepticism cannot lead to the conclusion that it is good to be tolerant, since the skeptic holds that no moral value can be justified. If we claim that toleration is good and that tolerance is a virtue, toleration cannot be the same thing as indifference.

This distinction between tolerance and indifference is important for explaining the spiritual disruption that occurs when we strive to become tolerant. Indeed, the difficulty of toleration can be understood in terms of the difficulty of the middle path between indifference and dogmatism. Indifference is easy and satisfying because it sets us free, as it were, from the difficult human task of judging. Likewise, dogmatism is easy and satisfying because it follows from a seamless synthesis of first-order reaction and second-order commitment. Toleration is the middle path in which there is a conflict between first-order reaction and second-order commitment. Toleration thus requires self-consciousness and self-control in order to coordinate conflicting parts of the spiritual economy. The discipline required for toleration is part of any idea of education: we must learn to distance ourselves from first-order reactions in order to move toward universal principles. First-order reactions are often wrong or incomplete, as are immediate sense perceptions. And yet, education does not ask us to give up on first-order reactions or sense perceptions. Rather, it asks us to be disciplined and self-critical, so that we might control first-order reactions in order to uphold more important principles.

5. Political Toleration

Moral toleration emphasizes a moral commitment to the value of autonomy. Although it is linked, by Mill, for example to a political idea about restraint of state power, moral toleration is ultimately concerned with clarifying the second-order principle that is supposed to lead to toleration.

While moral toleration is about relations between agents, political toleration is about restraint of political power. The modern liberal state is usually not thought to be a moral agent. Rather, the state is supposed to be something like a third party referee: it is not thought to be one of the parties engaged directly in the process of judgment and negation. Political toleration is thus an ideal that holds that the political referee should be impartial and unbiased. The term toleration has been used, since Locke, in this political context to describe a principle of state neutrality. The connection between moral and political toleration can be understood in terms of the history of the pre-modern era when the state was an agent—a monarch, for example—who had particular judgments and the power to negate. As the idea of the state has evolved since the 17th Century toward liberal democratic notions of self-government and civil rights, the notion of political toleration has evolved to mean something like state indifference. Political toleration is now thought to entail respect for privacy, separation of church and state, and a general respect for human rights.

a. John Rawls

In the 20th Century, the idea of political toleration has developed, especially under the influence of John Rawls (1921-2002) and his books, Theory of Justice (1971) and Political Liberalism (1995). Rawls’ approach attempts to be neutral about moral values in order to establish political principles of toleration. Rawls argues for toleration in a pragmatic fashion as that which works best to achieve political unity and an idea of justice among diverse individuals. Although the idea of political toleration has been most vigorously defended by Rawls, it also forms the basis of other pragmatic and political accounts of toleration, including those of John Dewey, Jürgen Habermas, Michael Walzer, and Richard Rorty. The danger with this approach is that it tends toward relativism by self-consciously limiting itself from articulating a metaphysical defense of autonomy and toleration. The difficulty is that the idea of state neutrality can become paradoxical: a state that is neutral about everything will undermine its own existence.

The idea of political toleration begins from the claim that diverse individuals will come to tolerate one another by developing what Rawls called “overlapping consensus”: individuals and groups with diverse metaphysical views or comprehensive schemes will find reasons to agree about certain principles of justice that will include principles of toleration. This is in part an empirical or historical argument about the way in which diverse individuals or groups eventually resolve their differences by way of a pragmatic commitment to toleration as a modus vivendi, or means of life. One could trace this idea back to Hobbes’ idea of the social contract as a peace treaty. Diverse individuals in the state of nature will, according to Hobbes’s argument in The Leviathan (1651), engage in the war of all against all. This war is ultimately unsatisfying and so individuals relinquish their warring power and create the social contract. The problem is that this pragmatic account leaves us without a metaphysical justification of the principles of toleration. Rather it comes to toleration from the pragmatic assumption that diverse individuals motivated by self-interest will agree to support the neutral state, which is then supposed to act as a referee in their disputes. Of course, Hobbes’ account of the absolute sovereignty of the Leviathan calls into question the idea that a social contract view will always lead to a tolerant liberal state.

Rawls’ idea of “justice as fairness” attempts to set limits to political power without trying to evaluate the relative merits of different conceptions of the good. Rawls clarified his approach by insisting that the principles of justice are political and not moral principles. They are based upon what he called “reasonable pluralism.” What he means by this is that the principles of toleration will be agreed to by individuals from diverse perspectives because these principles will appear reasonable to each individual despite their differences. The idea of toleration results from a political consensus that is developed by way of the ideal social contract that Rawls describes at length in Theory of Justice. Like Mill, Rawls theory of justice claims that the first principle of justice is the liberty principle: “Each person has an equal right to a fully adequate scheme of equal basic liberties which is compatible with a similar scheme of liberties for all.” These basic civil liberties form the basis for political toleration.

b. Risks and Benefits

Political liberalism focuses on the problem of diversity without appealing to a larger metaphysical theory. This problem is exacerbated when political liberalism takes up the question of international human rights and the problem of intolerant groups or individual who demand to be tolerated. Political liberalism aims at the creation of a global human rights regime that is supposed to support politically tolerant states and that is sensitive to the issue of group rights. From the perspective of political liberalism, human rights—basic defenses against the intolerant expansion of state power—are thought to be the result of overlapping political consensus. From this perspective, human rights, such as the right to autonomy that forms the basis of moral toleration, are thought to be, not metaphysical givens, but the conditions for the possibility of political consensus building.

The idea of a developing “overlapping consensus” in international affairs was articulated in the 1950’s by Jacques Maritain and was developed in practice by international agencies such as the United Nations.  In the final decade of the twentieth century, Jürgen Habermas’ approach linked principles of toleration to the very nature of political argument: for us to have a political argument, we must agree to certain principles of fair argumentation. The difficultly here is that diversity is even more of a problem on the international scene, where discussions of human rights are essential. At the local or national level, the point of liberalism is that the neutral state ought not interfere or comment on the quality of individual lives unless the lives and actions of private individuals become a menace to the rights and privacy of other individuals. Internationally, Rawls follows Kant in specifying the Law of Peoples that is supposed to maintain order among diverse mutually tolerant nations.

A further complication arises at the level of group rights (both within national and international politics), where groups and their members claim the right to be tolerated by larger political organizations. Here the idea of tolerating the practices and identities of groups may paradoxically result in toleration for intolerant groups. This is the case for example, when tolerant governments consider groups who advocate violence, discrimination, and other intolerant practices. Such groups can be intolerant toward their own members, toward the tolerant liberal societies in which they subside, and indeed toward those international organizations who support toleration throughout the globe.

The risk of political liberalism is that it hovers uneasily between pluralism and relativism, while seeking to avoid metaphysical dogmatism or political imperialism. The basic pluralism of political liberalism supports political toleration by recognizing that conflicting comprehensive doctrines can each be justified as reasonable according to the standards internal to them. This leaves us with the conflicts of reasonable pluralism: each of the conflicting comprehensive doctrines is reasonable on its own terms and to the extent that it recognizes the reasonableness of other comprehensive doctrines. Thus, for Rawls, cooperation between reasonable comprehensive doctrines is a practical political task. The state should refrain from entering into a discussion of which comprehensive doctrine is better morally, epistemologically, or metaphysically quite simply because such a discussion would be unjust for a neutral state confronted with the fact of diversity. By defining his account of state neutrality as political, Rawls wants to distance his account of reasonable pluralism from a more robust form of philosophical skepticism. This is reminiscent of Locke’s approach to epistemological toleration: since we cannot in practice force individuals to agree about moral or metaphysical truths, we should tolerate diversity at the political level.

Rawls does, however, hold that there is a best political arrangement, even if the truth about the best political arrangement is arrived at by way of pragmatic concerns for what works politically in light of the fact of diversity. And thus his idea of political consensus tries to avoid the slide toward skepticism and relativism. It seems that for political toleration, there is at least one non-relative value—that of toleration and peaceful coexistence—even if this is merely pragmatically justified by the concrete historical need for peaceful coexistence among those who cannot arrive at consensus about their views of the good.

The approach of political liberalism has appeared to succeed in practice. One could argue that the idea of the neutral state and of political consensus about the need for toleration has been gradually developing in Constitutional Law in the U.S. and in international law by way of the U.N.’s Declaration of Human Rights. Article 26 of the U.N. Declaration states explicitly that education is a universal right and that education should aim to “promote understanding, tolerance and friendship among all nations, racial or religious groups.” We are still far from actualizing the idea of a tolerant international community. However, it is fairly clear that in the last several decades the idea of political toleration has succeeded in the United States and in other Western countries.

Despite this success, critics such as Michael Sandel, in his Democracy’s Discontent (1998), have argued that the tolerant attitude of what he calls “the procedural republic” must be grounded in a more comprehensive moral theory. Without such a ground, Sandel worries that the tolerant neutral state will ultimately lose its connection with the moral lives of individuals. Sandel claims in his arguments against Rawls and against certain developments in Constitutional Law that the approach of political liberalism cannot ultimately take account of the depth of commitment that most individuals have to their own comprehensive doctrines. Rawls admits that for his idea of overlapping consensus to work, he must assume a weakening of private faith in comprehensive doctrines. The problem here is that it argues for toleration by underestimating the power of those forms of private faith that must be tolerated.

A further problem of the political approach to toleration is that it struggles to define the nature of privacy. Moral toleration claims that there are certain private activities which are only of concern to the individual and that the state would be unjustified in interfering with these private activities. A merely political approach to toleration is however unable to draw the line dividing public and private in a metaphysical fashion. Rather, the sphere of privacy is itself defined only as a result of the process of building political consensus. Thus the worry is that the principles of political liberalism are not clearly defined and that toleration, as a mere modus vivendi, could be violated if the political consensus were to shift. In other words, if there is no metaphysical basis for a sphere of privacy, then it is not exactly clear what the politically grounded idea of liberal toleration is supposed to tolerate.

6. References and Further Reading

  • Beiner, Ronald. What’s the Matter with Liberalism (Berkeley: University of California Press, 1992).
  • Berlin, Isaiah. “Two Concepts of Liberty” in Four Essays on Liberty(Oxford: Oxford University Press, 1969).
  • Cook, John W. Morality and Cultural Differences (Oxford: Oxford University Press, 1999).
  • Dworkin, Ronald. Sovereign Virtue (Cambridge, MA: Harvard University Press, 2000).
  • Dworkin, Ronald. Taking Rights Seriously (Cambridge: Harvard, 1977).
  • Fiala, Andrew. “Toleration and Pragmatism” in Journal of Speculative Philosophy, 16: 2, (2002), 103-116.
  • Habermas, Jürgen. Moral Consciousness and Communicative Action (Cambridge, Mass.: MIT Press, 1990).
  • Heyd, David, ed. Toleration: An Elusive Virtue (Princeton: Princeton University Press, 1996).
  • Horton, John and Peter Nicholson, eds. Toleration: Philosophy and Practice (London: Ashgate Publishing, 1992).
  • King, Preston. Toleration (London: Frank Cass, 1998).
  • Kymlicka, Will. Liberalism, Community, and Culture (Oxford: Clarendon Press, 1989).
  • Laursen, John Christian. “Spinoza on Toleration” in Difference and Dissent: Theories of Tolerance in Medieval and Early Modern Europe, edited by Nederman and Laursen (Lanham, Maryland: Rowman and Littlefield, 1996).
  • Locke, John. Letter Concerning Toleration in Steven M. Cahn ed. Classics of Modern Political Theory (New York: Oxford University Press, 1997).
  • Mara, Gerald M. “Socrates and Liberal Toleration” in Political Theory, 16:3 (1988).
  • Marcuse, Herbert. “Repressive Tolerance” in Wolff, Moore, and Marcuse, eds., A Critique of Pure Tolerance (Boston: Beacon Press, 1969).
  • Maritain, Jacques. Man and the State (Chicago: University of Chicago Press, 1951).
  • Mendus, Susan and David Edwards, eds. On Toleration (Oxford: Clarendon Press, 1987).
  • Mendus, Susan. “Locke: Toleration, Morality, and Rationality” in John Horton and Susan Mendus, eds., John Locke: A Letter Concerning Toleration in Focus (London: Routledge, 1991).
  • Mendus, Susan. Toleration and the Limits of Liberalism (Atlantic Highlands, NJ: Humanities Press International, 1989).
  • Mill, John Stuart. On Liberty and Other Essays (Oxford: Oxford World Classics, 1998).
  • Milton, John. Aereopogatica in Encyclopedia Britannica’s Great Books of the Western World, vol. 29 (Chicago: University of Chicago Press, 1991).
  • Newey, Glen. Virtue, Reason, and Toleration (Edinburgh: University of Edinburgh Press, 1999).
  • Oberdiek, Hans. Tolerance: Between Forbearance and Acceptance (Lanham, MD: Rowman and Littlefield, 2001).
  • Paine, Thomas. The Complete Writings of Thomas Paine ed. by Philip Foner (New York: The Citadel Press, 1945).
  • Popper, Karl. The Open Society and its Enemies (Princeton: Princeton University Press, 1971).
  • Rawls, John. A Theory of Justice (Cambridge, Mass.: Harvard University Press, 1971).
  • Rawls, John. Justice as Fairness: A Restatement (Cambridge: Harvard University Press, 2001).
  • Rawls, John. Political Liberalism (New York: Columbia University Press, 1995).
  • Rawls, John. The Law of Peoples (Cambridge: Harvard University Press, 2001).
  • Razavi, Mehdi Amin and David Ambuel, eds. Philosophy, Religion, and the Question of Intolerance (Albany: State University of New York Press, 1997).
  • Ricoeur, Paul, ed. Tolerance Between Intolerance and the Intolerable (an edition of Diogenes, No. 176, Vol. 44/4, Winter 1996).
  • Rorty, Richard. Contingency, Irony, Solidarity (Cambridge: Cambridge University Press, 1989).
  • Rosenthal, Michael A. “Tolerance as a Virtue in Spinoza’s Ethics” in Journal of the History of Philosophy 39:4 (2001), 535-557.
  • Sandel, Michael. Democracy’s Discontent (Cambridge: Harvard, 1998).
  • Sandel, Michael. Liberalism and the Limits of Justice (Cambridge: Cambridge University Press, 1982).
  • Sen, Amartya. “Human Rights and Asian Values” in The New Republic 217: 2-3 (1997), 33-40.
  • Spinoza, Baruch. Theological-Political Treatise and Political Treatise (New York: Dover Publications, 1951).
  • Tan, Kok-Chor. Toleration, Diversity, and Global Justice (University Park, PA: Pennsylvania State University Press, 2000).
  • Voltaire. Philosophical Dictionary (Cleveland: World Publishing Co., 1943).
  • Waldron, Jeremy. “Locke: Toleration and the Rationality of Persecution” in John Horton and Susan Mendus eds., John Locke: A Letter Concerning Toleration in Focus (London: Routledge, 1991).
  • Walzer, Michael. On Toleration (New Haven: Yale University Press, 1997).

Author Information

Andrew Fiala
Email: fialaa@uwgb.edu
University of Wisconsin — Green Bay
U. S. A.

Time Travel

time-traTime travel is commonly defined with David Lewis’ definition: An object time travels if and only if the difference between its departure and arrival times as measured in the surrounding world does not equal the duration of the journey undergone by the object. For example, Jane is a time traveler if she travels away from home in her spaceship for one hour as measured by her own clock on the ship but travels two hours as measured by the clock back home, assuming both clocks are functioning properly.

Before the twentieth century, scientists and philosophers rarely investigated time travel, but now it is an exciting and deeply studied topic. There are investigations into travel to the future and travel to the past, although travel to the past is more problematical and receives more attention.   There are also investigations of the logical possibility of time travel, the physical possibility of time travel, and the technological practicality of time travel. The most attention is paid to time travel that is consistent with current physical theory such as Einstein’s general theory of relativity. In science, different models of the cosmos and the laws of nature governing the universe imply different possibilities for time travel. So, theories about time travel have changed radically as the dominant cosmological theories have evolved from classical, Newtonian conceptions to modern, relativistic and quantum mechanical conceptions. Philosophers were quick to note some of the implications of the new physics for venerable issues in metaphysics: the nature of time, causation and personal identity, to name just a few. The subject continues to produce a fruitful cross-fertilization of ideas between scientists and philosophers as theorists in both fields struggle to resolve confounding paradoxes that emerge when time travel is pondered seriously. This article discusses both the scientific and philosophical issues relevant to time travel.

Table of Contents

  1. Introduction
  2. Definition
  3. Time in Philosophy
  4. Time in Physics
    1. Newtonian Cosmology
    2. Special Relativity
    3. General Relativity
    4. Quantum Interpretations
  5. Causation
    1. The Grandfather Paradox
    2. Causal Loops
  6. Personal Identity
  7. References and Further Reading

1. Introduction

Time travel stories have been a staple of the science fiction genre for the past century. Good science fiction stories often pay homage to the fundamentals of scientific knowledge of the time. Thus, we see time travel stories of the variety typified by H. G. Wells as set within the context of a Newtonian universe: a three-dimensional Euclidean spatial manifold that changes along an inexorable arrow of time. By the early to mid-twentieth century, time travel stories evolved to take into account the features of an Einsteinian universe: a four-dimensional spacetime continuum that curves and in which time has the character of a spatial dimension (that is, there can be local variations or “warps”). More recently, time travel stories have incorporated features of quantum theory: phenomena such as superposition and entanglement suggest the possibility of parallel or many universes, many minds, or many histories. Indeed, the sometimes counter-intuitive principles and effects of quantum theory have invigorated time travel stories. Bizarre phenomena like negative energy density (the Casimir effect) lend their strangeness to the already odd character of time travel stories.

In this article, we make a distinction between time travel stories that might be possible within the canon of known physical laws and those stories that contravene or go beyond known laws. The former type of stories, which we shall call natural time travel, exploit the features or natural topology of spacetime regions. Natural time travel tends to severely constrain the activities of a time traveler and entails immense technological challenges. The latter type of stories, which we shall call Wellsian time travel, enable the time traveler more freedom and simplify the technological challenges, but at the expense of the physics. For example, in H. G. Wells’ story, the narrator is a time traveler who constructs a machine that transports him through time. The time traveler’s journey, as he experiences it, occurs over some nonzero duration of time. Also, the journey is through some different nonzero duration of time in the world. It is the latter condition that distinguishes the natural time travel story from the Wellsian time travel story. Our laws of physics do not allow travel through a nonzero duration of time in the world (in a sense that will be made clearer below). Wellsian time travel stories are mortgaged on our hope or presumption that more fundamental laws of nature are yet to be discovered beyond the current horizon of scientific knowledge. Natural time travel stories can be analyzed for consistency with known physics while Wellsian time travel stories can be analyzed for consistency with logic. Finally, time travel stories implicate themselves in a constellation of common philosophical problems. Among these philosophically related issues we will address in this article are the metaphysics of time, causality, and personal identity.

2. Definition

What is time travel? One standard definition is that of David Lewis’s: an object time travels iff the difference between its departure and arrival times in the surrounding world does not equal the duration of the journey undergone by the object. This definition applies to both natural and Wellsian time travel. For example, Jane might be a time traveler if she travels for one hour but arrives two hours later in the future (or two hours earlier in the past). In both types of time travel, the times experienced by a time traveler are different from the time undergone by their surrounding world.

But what do we mean by the “time” in time travel? And what do we mean by “travel” in time travel? As the definition for time travel presently stands, we need to clarify what we mean by the word “time” (see the next section). While philosophical analysis of time travel has attended mostly to the difficult issue of time, might there also be vagueness in the word “travel”? Our use of the word “travel” implies two places: an origin and a destination. “I’m going to Morocco,” means “I’m departing from my origination point here and I plan to arrive eventually in Morocco.” But when we are speaking of time travel, where exactly does a time traveler go? The time of origin is plain enough: the time of the time traveler and the time traveler’s surrounding world coincide at the beginning of the journey. But “where” does the time traveler arrive? Are we equivocating in our use of the word ‘travel’ by simply substituting a when for a where? In truth, how do we conceive of a “when”—as a place, a locale, or a region? Different scientific ontologies result in different ideas of what travel through time might be like. Also, different metaphysical concepts of time result in different ideas of what kinds of time travel are possible. It is to the issue of time in philosophy that we now turn.

3. Time in Philosophy

How is time related to existence? Philosophy offers three primary answers to this metaphysical question: eternalism, possibilism, and presentism. The names of these views indicate the ontological status given to time. The eternalist thinks that time, correctly understood, is a fourth dimension essentially constitutive of reality together with space. All times, past, present and future, are actual times just like all points distributed in space are actual points in space. One cannot privilege any one moment in the dimension of time as “more” real than any other moment just like one cannot privilege any point in space as “more” real than any other point. The universe is thus a spacetime “block,” a view that has philosophical roots at least as far back as Parmenides. Everything is one; the appearance of things coming to be and ceasing to be, of time passing or flowing, is simply phenomenal, not real. Objects from the past and future have equal ontological status with present objects. Thus, a presently extinct individual dodo bird exists as equably as a presently existing individual house finch, and the dodo bird and the house finch exist as equably as an individual baby sparrow hatched next Saturday. Whether or not the dodo bird and the baby sparrow are present is irrelevant ontologically; they simply aren’t in our spacetime region right now. The physicist typically views the relation of time to existence in the way that the eternalist does. The life of an object in the universe can be properly shown as:

timetravel1

This diagram shows the spatial movement (in one dimension) of an object through time. The standard depiction of an object’s spacetime “worldline” in Special Relativity, the Minkowski diagram (see below), privileges this block view of the universe. Many Wellsian time travel stories assume the standpoint of eternalism. For example, in Wells’ The Time Machine, the narrator (the time traveler) explains: “There is no difference between Time and any of the three dimensions of Space except that our consciousness moves along it.” Eternalism fits easily into the metaphysics of time travel.

The second view is possibilism, also known as the “growing block” or “growing universe” view. The possibilist thinks that the eternalist’s picture of the universe is correct except for the status of the future. The past and the present are fixed and actual; the future is only possible. Or more precisely, the future of an object holds the possibility of many different worldlines, only one of which will become actual for the object. If eternalism seems overly deterministic, eliminating indeterminacies and human free choice, then possibilism seems to retain some indeterminacy and free choice, at least as far as the future is concerned. For the possibilist, the present takes on a special significance that it does not have for the eternalist. The life of an object according to possibilism might be shown as:

timetravel2

This diagram shows that the object’s worldline is not yet fixed or complete. (It should be pointed out that the necessity of illustrating the time axis with a beginning and end should not be construed as an implicit claim that time itself has a beginning and end.) Some Wellsian time travel stories make use of possibilism. Stories like Back to the Future and Terminator suggest that we can change the outcome of historical events in our world, including our own personal future, through time travel. The many different possible histories of an object introduce other philosophical problems of causation and personal identity, issues that we will consider in greater depth in later sections of the article.

The third view is presentism. The presentist thinks that only temporally present objects are real. Whatever is, exists now. The past was, but exists no longer; the future will be, but does not exist yet. Objects are scattered throughout space but they are not scattered throughout time. Presentists do not think that time is a dimension in the same sense as the three spatial dimensions; they say the block universe view of the eternalists (and the intermediate view of the possibilists) gets the metaphysics of time wrong. If eternalism has its philosophical roots in Parmenides, then presentism can be understood as having its philosophical roots in Heraclitus. Presently existing things are the only actuality and only what is now is real. Each “now” is unique: “You cannot step twice into the same river; for fresh waters are ever flowing in upon you.” The life of an object according to presentism might be shown as:

timetravel3

Many presentists account for the continuity of time, the timelike connection of one moment to the next moment, by appealing to the present intrinsic properties of the world (Bigelow). To fully describe some of these present intrinsic properties of the world, you need past- and future-tensed truths to supervene on those properties. For example, in ordinary language we might make the claim that “George Washington camped at Valley Forge.” This sentence has an implicit claim to a timeless truth, that is, it was true 500 years ago, it was true when it was happening, it is true now, and it will be true next month. But, according to presentism, only presently existing things are real. Thus, the proper way to understand the truth of this sentence is to translate it into a more primitive form, where the tense is captured by an operator. So in our example, the truth of the sentence supervenes on the present according to the formulation “WAS(George Washington camps at Valley Forge).” In this way, presentists can describe events in the past and future as truths that supervene on the present. It is the basis for their account of persistence through time in issues like causality and personal identity.

4. Time in Physics

Since the use of the term ‘time’ in our definition of time travel remains ambiguous, we may further distinguish external, or physical time from personal, or inner time (again, following Lewis). In the ordinary world, external time and one’s personal time coincide with one another. In the world of the time traveler, they do not. So, with these two senses of time, we may further clarify time travel to occur when the duration of the journey according to the personal time of the time traveler does not equal the duration of the journey in external time. Most (but not all) philosophy of time concerns external time (see the encyclopedia entry Time). For the purpose of natural time travel, we need to examine the scientific understanding of external time and how it has changed.

a. Newtonian Cosmology

Newton argued that space, time and motion were absolute, that is, that the entire universe was a single, uniform inertial frame and that time passed equably throughout it according to an eternally fixed, immutable and inexorable rate, without relation to anything external. Natural time travel in the Newtonian universe is impossible; there are no attributes or topography of space or time that can be exploited for natural time travel stories. Only time travel stories that exceed the bounds of Newtonian physics are possible and scenarios described by some Wellsian time travel stories (most notably like the one Wells himself wrote) are examples of such unscientific time travel.

Several philosophers and scientists objected to the notion of absolute space, time and motion, most notably Leibniz, Berkeley and Mach. Mach rejected Newton’s implication that there was anything substantive about time: “It is utterly beyond our power to measure the changes of things by time. Quite the contrary, time is an abstraction, at which we arrive by means of the changes of things” (The Science of Mechanics, 1883). For Mach, change was more fundamental than the concept of time. We talk about time “passing” but what we’re really noticing is that things move and change around us. We find it convenient to talk as if there were some underlying flowing substance like the water of a river that carries these changes along with it. We abstract time to have a standard measuring tool by which we can quantify change. These views of Mach’s were influential for the young Albert Einstein. In 1905, Einstein published his famous paper on Special Relativity. This theory began the transformation of our understanding of space, time and motion.

b. Special Relativity

The theory of Special Relativity has two defining principles: the principle of relativity and the invariance of the speed of light. Briefly, the principle of relativity states that the laws of physics are the same for any inertial observer. An observer is an inertial observer if the observer’s trajectory has a constant velocity and therefore is not under the influence of any force. The second principle is the invariance of the speed of light. All inertial observers measure the speed c of light in a vacuum as 3 x 108 m/s, regardless of their velocities relative to one another. This principle was implied in Maxwell’s equations of electromagnetism (1873) and the constancy of c was verified by the Michelson-Morley interferometer experiment (1887).

This second principle profoundly affected the model of the cosmos: the constancy of c was inconsistent with Newtonian physics. The invariance of the speed of light according to Special Relativity replaces the invariance of time and distance in the Newtonian universe. Intervals of space, like length, and intervals of time (and hence, motion) are no longer absolute quantities. Instead of speaking of an object in a particular position independently of a particular time, we now speak of an event in which position and time are inseparable. We can relate two events with a new quantity, the spacetime interval. For any pair of events, the spacetime interval is an absolute quantity (that is, has the same value) for all inertial observers. To visualize this new quantity, one constructs spacetime diagrams (Minkowski diagrams) in which an event is defined by its spatial position (usually restricted to one dimension, x) and its time (ct). Thus, a spacetime interval might be null (parallel to the trajectory of light, which, because of the y-axis units, is shown at a 45° angle), spacelike (little or no variation in time), or timelike (little or no variation in spatial position). The following figure shows a Minkowski diagram depicting the flat spacetime of Special Relativity and three different spacetime intervals, or worldlines.

timetravel4

What are the consequences of Special Relativity for time travel? First, we lose the common sense meaning of simultaneity. For example, the same event happens at two different times if one observer’s inertial frame is stationary relative to another observer’s inertial frame moving at some velocity. Furthermore, an observer in the stationary inertial frame may determine two events to have happened simultaneously, but an observer in the second moving inertial frame would see the same two events happening at different times. Thus, there is no universal or absolute external time; we can only speak of external time within one’s own frame of reference. The lack of simultaneity across frames of reference means that we might experience the phenomenon of time dilation. If your frame of reference is moving at some fraction of the speed of light, your external time passes more slowly than the external time in a frame of reference that is stationary relative to yours. If we imagine that someone in the stationary frame of reference could peek at a clock in your frame of reference, they would see your clock run very slowly. So in Special Relativity, we can find a kind of natural time travel. An example of Special Relativity time travel is of an astronaut who travels some distance in the universe at a velocity near the speed of light. The astronaut’s personal time elapses at the same rate it always has. He travels to his destination and then returns home to find that external time has passed there quite differently. Everyone he knew has aged more than he, or perhaps has even been dead for hundreds or thousands of years.

Such stories are physically consistent with the Einsteinian universe of Special Relativity, but of course they remain technologically beyond our present capability. Nevertheless, they are an example of a natural time travel story—adhering to the known laws of physics—which do not require exceptions to fundamental scientific principles (for example, the invariant and inviolable speed of light). But as a time travel story, they require that the time traveler also be an ordinary traveler, too, that is, that he travel some distance through space at extraordinary speeds. Furthermore, this sort of natural time traveler can only time travel into the future. (Conversely, from the perspective of those in the originating frame of reference, when the astronaut returns, they witness the effects of time travel to the past perhaps because they have a person present among them who was alive in their distant past.) So natural time travel according to Special Relativity is perhaps too limited for what we normally mean by time travel since it requires (considerable) spatial travel in order to work.

In addition, there are other limitations, not least of which is mass-energy equivalence. This principle was published by Einstein in his second paper of 1905, entitled “Does the Inertia of a Body Depend Upon Its Energy Content?” Mass-energy equivalence was implied by certain consequences of Special Relativity (other theorists later discovered that it was suggested by Maxwell’s electromagnetism theory). Mass-energy equivalence is expressed by the famous formula, E = mc2. It means that there is an energy equivalent to the mass of a particle at rest. When we harmonize mass-energy equivalence with the conservation law of energy, we find that if a mass ceases to exist, its equivalent amount of energy must appear in some form. Mass is interchangeable with energy. Now only mass-less objects, like photons, can actually move at the speed of light. They have kinetic energy but no mass energy. Indeed, all objects with mass at rest, like people and spaceships cannot, in principle, attain the speed of light. They would require an infinite amount of energy.

c. General Relativity

In Special Relativity, all inertial frames are equivalent, and while this is a useful approximation, it does not yet suggest how inertial frames are to be explained. Mach had stated that the distribution of matter determines space and time. But how? This was the question answered by Einstein in his theory of General Relativity (1916). Special Relativity is actually a subset of General Relativity. General Relativity takes into account accelerating frames of reference (that is, non-inertial frames) and thus, the phenomenon of gravity. The topography of spacetime is created by the distribution of mass. Spacetime is dynamic, it curves, and matter “tells” a region of spacetime how to curve. Likewise, the resultant geometry of a spacetime region determines the motion of matter in it.

The fundamental principle in General Relativity is the equivalence principle, which states that gravity and acceleration are two names designating the same phenomenon. If you are accelerating upwards at a rate g in an elevator located in a region of spacetime without a gravitational field, the force you would feel and the motion of objects in the elevator with you would be indistinguishable from an elevator that is stationary within a downward uniform gravitational field of magnitude g. To be more precise, there is no “force” of gravity. When we observe astronauts who are in orbit over the Earth, it is not true to say that they are in an environment with no gravity. Rather, they are in free fall within the Earth’s gravitational field. They are in a local inertial frame and thus do not feel the weight of their own mass.

One curious effect of General Relativity is that light bends when it travels near objects. This may seem strange when we remember that light has no mass. How can light be affected by gravity? Light always travels in straight lines. Light bends because the geometry of spacetime is non-Euclidean in the vicinity of any mass. The curved path of light around a massive body is only apparent; it is simply traveling a geodesic straight line. If we draw the path of an airplane traveling the shortest international route in only two dimensions (like on a flat map), the path appears curved; however, because the earth itself is curved and not flat, the shortest distance, a straight line, must always follow a geodesic path. Light travels along the straight path through the various contours of spacetime. Another curious effect of General Relativity is that gravity affects time. Imagine a uniformly accelerating frame, like a rocket during an engine burn. General Relativity predicts that, depending on one’s location in the rocket, one will measure time differently. To an observer at the bottom or back of the rocket (depending on how you want to visualize its motion), a clock at the top or front of the rocket will appear to run faster. According to the principle of equivalence, then, a clock at sea level on the Earth runs a little slower than a clock at the top of Mount Everest because the strength of the field is weaker the further you are from the center of mass.

Are natural time travel stories possible in General Relativity? Yes, they are, and some of them are quite curious. While most of spacetime seems to be flat or gently rolling contours, physicists are aware of spacetime regions with unusual and severe topologies such as rotating black holes. Black holes are entities that remain from the complete collapse of stars. Black holes are the triumph of gravity over all other forces and are predicted by a solution to Einstein’s General Relativity equations (Kerr, 1963). When they rotate, the singularity of the black hole creates a ring or torus, which might be traversable (unlike the static black hole, whose singularity would be an impenetrable point). If an intrepid astronaut were to position herself near the horizon of the rapidly spinning center of a black hole (without falling into its center and possibly being annihilated), she would be treated to a most remarkable form of time travel. In a brief period of her personal time she would witness an immensely long time span in the universe beyond the black hole horizon; her spacetime region would be so far removed from the external time of the surrounding cosmos that she conceivably could witness thousands, millions, or billions of years elapse. This is a kind of natural time travel; however, it severely restricts the activity of the astronaut/time traveler and she is limited to “travel” into the future. Are there solutions to General Relativity that allow natural time travel into the past? Yes, but unlike rotating black holes, they remain only theoretical possibilities.

Einstein’s neighbor in Princeton, Kurt Gödel, developed one such solution. In 1949, Gödel discovered that some worldlines in closed spacetime could curve so severely that they curved back onto themselves, forming a loop in spacetime. These loops are known as closed timelike curves (CTCs). If you were an object on a CTC worldline, you would eventually arrive at the same spacetime position from which you started, that is, your older self would appear at one of its own earlier spacetime points. Gödel’s CTC spacetime describes a rotating universe; thus, it is an extreme case for a CTC because it is globally intrinsic to the structure of the universe. It is not considered a realistic solution since current cosmological theory states that the universe is expanding, not rotating.

One type of spacetime region that a natural time traveler might exploit is a wormhole: two black holes whose throats are linked by a tunnel. Wormholes would connect two regions of space and two regions of time as well. Physicist Kip Thorne speculated that if one could trap one of the black holes that comprise the mouths of the wormhole it would be conceivable to transport it, preferably at speeds near the speed of light. The moving black hole would age more slowly than the stationary black hole at the other end of the wormhole because of time dilation. Eventually, the two black holes would become unsynchronized and exist in different external times. The natural time traveler could then enter the stationary black hole and emerge from the wormhole some years earlier than when he departed. Unfortunately for our time traveler, if wormholes exist naturally many scientists think that they are probably quite unstable (particularly if quantum effects are taken into account). So, any natural wormhole would require augmentation from exotic phenomena like negative energy in order to be useful as a time machine.

Another type of CTC suggested by Gott (1991) employs two infinitely long and very fast moving cosmic “strings” of extremely dense material. The atom-width strings would have to travel parallel to one another in opposite directions. As they rush past one another, they would create severely curved spacetime such that spacetime curved back on itself. The natural time traveler would be prepared to exploit these conditions at just the right moment and fly her spaceship around the two strings. If executed properly, she would return to her starting point in space but at an earlier time.

One common feature of all CTCs, whether it is the global Gödelian rotating universe or the local regions of rolled-up spacetime around a wormhole or cosmic strings, is that they are solutions to General Relativity that would describe CTCs as already built into the universe. The natural time traveler would have to seek out these structures through ordinary travel and then exploit them. So far, we are not aware of any solution to General Relativity that describes the evolution of a CTC in a spacetime region where time travel had not been possible previously; however, it is usually assumed that there are such solutions to the equations. These solutions would entail particular physical constraints. One constraint would be the creation of a singularity in a finite region of spacetime. To enter the region where time travel might be possible, one would have to cross the Cauchy horizon, the hourglass-shaped (for two crossing cosmic strings) boundary of the singularity in which the laws of physics are unknown. Were such a CTC constructed, a second constraint would limit the external time that would be accessible to the time traveler. You could not travel to a time prior to the inception date of the CTC. (For more on this sort of time travel, see Earman, Smeenk, and Wüthrich, 2002.)

Natural time travel according to General Relativity faces daunting technological challenges especially if you want to have some control over the trajectory of your worldline. One problem already mentioned is that of stability. But equally imposing is the problem of energy. Fantastic amounts of exotic matter (or structures and conditions similar to the early moments of the Big Bang, like membranes with negative tension boundary layers, or gravitational vacuum polarization) would be needed to construct and manage a usable wormhole; infinitely long tubes of hyperdense matter would be needed for cosmic strings. Despite these technological challenges, it should be pointed out that the possibility of natural time travel into the past is consistent with General Relativity. But Hawking and other physicists recognize another problem with actual time travel into the past along CTCs: maintaining a physically consistent history within causal loops (see Causation below). One advantage of some interpretations of relativistic quantum theory is that the logical requirement for a consistent history in a time travel story is seemingly avoided by postulating alternative histories (or worlds) instead of one history of the universe.

d. Quantum Interpretations

Certain aspects of quantum theory are relevant to time travel, in particular the field of quantum gravity. The fundamental forces of nature (strong nuclear force, electromagnetic force, weak nuclear force, and gravitation) have relativistic quantum descriptions; however, attempts to incorporate gravity in quantum theory have been unsuccessful to date. On the current standard model of the atom, all forces are carried by “virtual” particles called gauge bosons (corresponding to the order given above for the forces: mesons and gluons, photons, massive W and Z particles, and the hypothetical graviton). A physicist might say that the photon “carries” electromagnetic force between “real” particles. The graviton, which has eluded attempts to detect it, “carries” gravity. This particle-characterization of gravity in quantum theory is very different from Einstein’s geometrical characterization in General Relativity. Reconciling these two descriptions is a robust area of research and many hope that gravity can be understood in the same way as the other fundamental forces. This might eventually lead to the formulation of a “theory of everything.”

Scientists have proposed several interpretations of quantum theory. The central issue in interpretations of quantum theory is entanglement. When two quantum systems enter into temporary physical interaction, mutually influencing one another through known forces, and then separate, the two systems cannot be described again in the same way as when they were first brought together. Microstate and macrostate entanglement occurs when an observer measures some physical property, like spin, with some instrumentation. The rule, according to the orthodox (or Copenhagen) interpretation, is that when observed the state vector (the equation describing the entangled system) reduces or jumps from a state of superposition to one of the actually observed states. But what happens when an entangled state “collapses?” The orthodox interpretation states that we don’t know; all we can say about it is to describe the observed effects, which is what the wave equation or state vector does.

Other interpretations claim that that the state vector does not “collapse” at all. Instead, some no-collapse interpretations claim that all possible outcomes of the superposition of states become real outcomes in one way or another. In the many-worlds version of this interpretation (Everett, 1957), at each such event the universe that involves the entangled state exfoliates into identical copies of the universe, save for the values of the properties included in the formerly entangled state vector. Thus, at any given moment of “collapse” there exist two or more nearly identical universes, mutually unobservable yet equally real, that then each divide further as more and more entangled events evolve. On this view, it is conceivable that you were both born and not born, depending on which world we’re referring to; indeed, the meaning of ‘world’ becomes problematic. The many universes are collectively designated as the multiverse. There are other variations on the many-worlds interpretation, including the many minds version (Albert and Loewer, 1988) and the many histories version (Gell-Mann and Hartle, 1989); however, they all share the central claim that the state vector does not “collapse.”

Many natural time travel stories make use of these many-worlds conceptions. Some scientists and storytellers speculate that if we were able to travel through a wormhole that we would not be traversing a spacetime interval in our own universe, but instead we would be hopping from “our” universe to an alternative universe. A natural time traveler in a many-worlds universe would, upon their return trip, enter a different world history. This possibility has become quite common in Wellsian time travel stories, for example, in Back to the Future and Terminator. These types of stories suggest that through time travel we can change the outcome of historical events in our world. The idea that the history of the universe can be changed is why many of the inconsistencies with causation and personal identity arise. We now turn to these topics to examine the philosophical implications of time travel stories.

5. Causation

Inconsistencies and incoherence in time travel stories often result from spurious applications of causation. Causation describes the connected continuity of events that change. The nature of this relation between events, for example, whether it is objective or subjective, is a subject of debate in philosophy. But for our purposes, we need only notice that events generally appear to have causes. The distinction made between external and personal time is crucial now for the difficulties of causation in some time travel stories.

Imagine Heloise is a time traveler who travels 80 years in the past to visit Harold. They have a fight and Heloise knocks out one of Harold’s teeth. If we follow the progression of Heloise’s personal time (or of Harold’s), the story is consistent; indeed, time travel seems to have little effect upon the events described. The difficulty arises when we test the consistency of the story in external time, because it involves an earlier event being affected by a later event. The ordinary forward progress of events related to Harold 80 years ago requires a schism in the connectivity and continuity of those events to allow the entry of a later event, namely, Heloise’s time travel journey. The activity of Heloise is causally continuous with respect to her personal time but not with respect to external time (assuming that the continuity of her personal identity is not in question, as we shall discuss in the next section). With respect to external time, this story describes reversed causation, for later events produce changes in earlier events. How does the story change if Heloise is homicidal and encounters her own grandfather 80 years ago? This is a scenario many think show that time travel into the past is inconsistent and thus impossible.

a. The Grandfather Paradox

Heloise despises her paternal grandfather. Heloise is homicidal and has been trained in various lethal combat techniques. Despite her relish at the thought of murdering her grandfather, time has conspired against her, for her grandfather has been dead for 30 years. As a crime investigator might say, she has motive and means, but lacks the opportunity; that is, until she fortuitously comes into the possession of a time machine. Now Heloise has the opportunity to fulfill her desire. She makes the necessary settings on the machine and plunges back into time 80 years. She emerges from the machine and begins to stalk her grandfather. He suspects nothing. She waits for the perfect moment and place to strike so that she can enjoy the full satisfaction of her hatred. At this point, we might pause to observe: “If Heloise murders her grandfather, she will have prevented him from fathering any children. That means that Heloise’s own father will not be born. And that means that Heloise will not be born. But if she never comes into existence, then how is she able to return…?” And so we have the infamous grandfather paradox. Before we examine what happens next, let’s consider the possible outcomes of her impending action.

First, let’s assume that the many-worlds hypothesis correctly describes the universe. If so, then we avoid the paradox. If Heloise succeeds in killing her grandfather before her father is conceived, then the state of the world includes quantum entanglement of the events involved in Heloise’s mind, body, surrounding objects, etc., such that when she succeeds in killing her grandfather (or willing his death just prior to the physical accomplishment of it), the universe at that moment divides into one universe in which she succeeded and a second universe in which she did not. So the paradox of causal continuity in external time does not arise; causation presumably connects events in the different universes without any inconsistency. But as we shall see in the next section this quantum interpretation trades-off a causation paradox for a personal identity paradox.

Next, let’s assume that we do not have the many-worlds quantum interpretation available to us, nor for that matter, any theory of different worlds. Can Heloise murder her grandfather? As David Lewis famously remarked, in one sense she can, and in another sense she can’t. The sense in which she can murder her grandfather refers to her ability, her willingness, and her opportunity to do so. But the sense in which she cannot murder her grandfather trumps the sense in which she can. In fact, she does not murder her grandfather because the moments of external time that have already passed are no longer separable. Assuming that events 80 years ago did not include Heloise murdering her grandfather, she cannot create another moment 80 years ago that does. A set of facts is arranged such that it is perfectly appropriate to say that, in one sense, Heloise can murder her grandfather. However, this set of facts is enclosed by the larger set of facts that include the survival of her grandfather. Were Heloise to actually succeed in carrying out her murderous desire, this larger set of facts would contain a contradiction (that her grandfather both is murdered and is not murdered 80 years ago), which is impossible. History remains consistent.

This is also related to Stephen Hawking’s view (1992). According to his so-called Chronology Protection Conjecture, he claims that the laws of physics conspire to prevent macroscopic inconsistencies like the grandfather paradox. A “Chronology Protection Agency” works through events like vacuum fluctuations or virtual particles to prevent closed trajectories of spacetime curvature in the negative direction (CTCs). If Hawking is right and many-worlds quantum interpretations are not available, then is time travel to the past still possible? Hawking’s view about consistent history then takes us to the special case of causation paradoxes: the causal loop.

b. Causal Loops

A causal loop is a chain of causes that closes back on itself. A causes B, which causes C,…which causes X, which causes A, which causes B…and so on ad infinitum. This sequence of events is exploited in some natural and Wellsian time travel stories. It is a point of debate whether all time travel stories involving travel to the past include causal loops. As we have seen, causal loops can occur when extraordinary cosmic structures curve spacetime in a negative direction. Wellsian time travel stories with causal loops describe scenarios like the following one by Keller and Nelson (2001).

Jennifer, a young teenager, is visited by an old woman who materializes in her bedroom. The old woman describes intimate details that only Jennifer would know and thus convinces Jennifer to pursue a professional tennis career. Jennifer does exactly as the old woman suggested and eventually retires, successful and happy. One day she comes into the possession of a time machine and decides to use it to travel back in time so that she might try to make her teenage years happier. Jennifer travels back into the past and stands before a person she recognizes as her younger self. Jennifer begins to talk to the teenager about her hidden talents and the bright future before her as a tennis professional. At the end of their conversation, Jennifer activates the time machine and returns to her original time. We can describe the causal loop in Keller and Nelson’s story as follows. The story contained within in the causal loop is presented on the left side. At event C, the story splits, with the causal loop continuing along C1, and the exit from the loop beginning at C2. At C2, the worldline of Jennifer continues outside the causal loop events. Thus:

timetravel5

The events of Jennifer’s life include a causal loop: some of those events have no beginning and no end. What is the problem with the story? Each moment of the causal sequence is explicable in terms of the prior events. But where (or when) did the crucial information that Jennifer would have a successful tennis career come from originally? While each part of the causal sequence makes sense, the causal loop as a whole is surprising because it includes information ex nihilo. It is controversial whether such uncaused causes are possible. Some philosophers (for example, Mellor, 1998) think that causal loop time travel stories are impossible because causal loops are themselves impossible. They argue that time and causality must progress in the same direction. Other philosophers (for example, Horwich, 1987) argue that while causal loops are not impossible, they are highly implausible, and thus spacetime does not permit time travel into the “local” past (like one’s own life) because fantastic amounts of energy would be required. Still other philosophers (for example, Lewis) think that causal loops are possible because at least some events, like the Big Bang, appear to be events without causes, introducing information ex nihilo.

According to Hawking, causal loop stories that employ CTCs are like grandfather paradox stories. While backwards causation might be logically possible, it is not physically possible. The “Chronology Protection Agency” actively prevents them from occurring. The laws of physics conspire such that natural time travel into the past thwarts backwards or reverse causation. In closed spacetime, the Cauchy horizon of a CTC acts as an impenetrable barrier to a timelike worldline for objects. If a time traveler could travel to the past, whether or not that past included their younger self, they are prevented from interacting with the events of the past.

If causal loops are possible, then the objects may interact with the events of the past, but only in a consistent way, that is, only in a way that preserves the already established events of the past. Perhaps we could call it the CTC prime directive (see Ray Bradbury’s short story “A Sound of Thunder”). Causal loops, like any other aporia of uncaused causes, occupy the inexplicable perimeter of philosophical thought about causation. Nevertheless, causal loop stories like that of Jennifer raise another issue: personal identity.

6. Personal Identity

The old Jennifer travels back in time to talk with her younger self. Are there two Jennifers or just one Jennifer at event A? At the same moment in external time, a young Jennifer and an old Jennifer are separated by a distance of a few feet. At that moment, is there one person or two? Identity theory involves the relationships between the mind and the body that attempts to show the connection between mental states and physical states (see the entry Personal Identity). It tries, for example, to describe and explain the connection (if any) between mind and the brain. For Lewis, the mental/physical distinction is crucial for explaining how a time traveler like Jennifer is one person, even when she travels back to talk with her younger self. Our cognitions change according to the requirement of causal continuity. These mental states occur in personal time. For everyday purposes, we can ignore the distinction between personal time and external time; personal time and external time coincide. But for a time traveler like Jennifer, identity is maintained only by virtue of the traveler’s personal time; their mental states continue like anyone else’s and at any given point in personal time, later mental states do not cause earlier ones.

In the case of Jennifer, it is therefore proper to say that at event A in her life, there is only one person, even though it is also true to say from an external perspective, that she has two different bodies present at event A. Lewis’s distinction between the sense in which you can and the sense in which you can’t has its coda in the subject of personal identity. In the sense of personal time, Jennifer is one person who is perceiving another person (from either Jennifer’s perspective). The older Jennifer’s materialization into the presence of the younger Jennifer is strange, to be sure, but in a time travel story, it is explicable. Regardless, in her personal time, the causal continuity of her perception (and thus mental states) is consistent. In the sense of external time, from the perspective of their surrounding world, there are two Jennifers at event A. The mental state of the younger Jennifer is not identical to the mental state of the older Jennifer. But these mental states, these stages of Jennifer’s life are not duplicates of the same stage; rather, two moments of personal time overlap at one moment of external time. So is it still proper to say that there are two of her? Lewis argues no, it is not. In the strange case of a time traveler like Jennifer, her stages are scattered in such a way that they do not connect in a continuously forward direction through external time, but they do connect continuously forward through her personal time. The time traveler who meets up with her younger self gives the appearance to an outside observer that she is two different people, but in reality, there is only one person.

The question of how objects persist through time is the subject of the endurance and perdurance debate in philosophy. An endurantist is someone who thinks that objects are wholly present at each moment of an interval of time. A perdurantist is someone who thinks that objects only have a temporal part present at each moment of an interval of time. The perdurantist claims that the identity of the whole object is identified as the sum of these temporal parts over the lifetime of the object. It seems that it is impossible for an endurantist to believe the story about Jennifer because she would have to be wholly present in two different spatial locations at the same time. The endurantist can avoid this problem by appealing to the distinction between personal time and external time. If Jennifer is wholly present at different locations “at the same time,” which kind of time do we mean? We mean external time. The endurantist can claim that two different temporal stages in her personal time just so happen to coincide because she is a time traveler at different locations at a single moment of external time. For those of us who are not time travelers, our different temporal stages are also distinct moments in external time. But in either case, whether time traveler or not, a person is wholly present at any moment of their personal time.

The perdurantist seems to have an easier way with the problem of personal identity in time travel stories. Since a person is only partially present at each moment of external time, it is readily conceivable that different temporal parts might coincide, but we still need to appeal to the distinction between personal time and external time. The two temporal parts of Jennifer’s life that occur when the young and old Jennifer meet and have a conversation are each elements among many others that in toto form the whole person.

Personal identity is especially problematic in a many-worlds hypothesis. Consider the case of Heloise and her desire to murder her grandfather. According to the many-worlds hypothesis, she travels back in time but by doing so also skips into another universe. Heloise is free to kill her grandfather because she would not be killing “her” grandfather, that is, the same grandfather that she knew about before her time travel journey. Indeed, Heloise herself may have split into two different persons. Whatever she does after she travels into the past would be consistent with the history of the alternative universe. But the question of who exactly Heloise or her grandfather is becomes problematic, especially if we assume that her actions in the different universes are physically distinct. Is Heloise the sum of her appearances in the many worlds? Or is each appearance of Heloise a unique person?

Also, see the related article Time in this Encyclopedia.

7. References and Further Reading

  • Albert, David and Barry Loewer. 1988. Interpreting the many worlds interpretation. Synthese 77:195-213.
  • Bigelow, John. Time travel fiction. In Gerhard Preyer and Frank Siebelt, eds., Reality and Humean Supervenience. Lanham, MD: Rowan & Littlefield, 2001. 58-91.
  • Bigelow, John. Presentism and properties. In James E. Tomberlin, ed., Philosophical Perspectives 10. Cambridge, MA: Blackwell Publishers, 1996. 35-52.
  • Bradbury, Ray. 1952. A Sound of Thunder. In R is for Rocket. New York: Doubleday.
  • Earman, John. 1995. Outlawing Time Machines: chronology protection theorems. Erkenntnis 42(2):125-139.
  • Earman, John, Smeenk, Christopher and Wüthrich, Christian. 2002. Take a ride on a time machine. In R. Jones and P. Ehrlich, eds., Reverberations of the Shaky Game: Festschrift for Arthur Fine. Oxford: Oxford University Press.
  • Everett, Hugh. 1957. Relative state formulation of quantum mechanics. Review of Modern Physics 29:454-62.
  • Gell-Mann, Murray and James B. Hartle. 1989. Quantum mechanics in the light of quantum cosmology. In Proceedings of the 3rd International Symposium on the Foundations of Quantum Mechanics. Tokyo, Japan. 321-43.
  • Gott, J. Richard. Time Travel in Einstein’s Universe: The Physical Possibilities of Travel Through Time. Boston: Houghton Mifflin, 2001.
  • Hawking, S. W. 1992. Chronology protection conjecture. Physical Review D 46(2):603-11.
  • Horwich, Paul. 1987. Asymmetries in Time: Problems in the Philosophy of Science. Cambridge, MA: MIT Press.
  • Keller, Simon and Michael Nelson. 2001. Presentists should believe in time-travel. Australasian Journal of Philosophy 79:333-45.
  • Lewis, David. 1976. The paradoxes of time travel. American Philosophical Quarterly 13:145-52.
  • Mellor, D. H. Real Time II. London: Routledge, 1998.
  • Monton, Bradley. 2003. Presentists can believe in closed timelike curves. Analysis 63(3).
  • Smith, Nicholas J. J. 1997. Bananas enough for time travel? British Journal of Philosophy 48:363-389.

Author Information

Joel Hunter
Email: jhunter@tmcc.edu
Truckee Meadows Community College
U. S. A.

Thales of Miletus (c. 620 B.C.E.—c. 546 B.C.E.)

thalesThe ancient Greek philosopher Thales was born in Miletus in Greek Ionia. Aristotle, the major source for Thales’s philosophy and science, identified Thales as the first person to investigate the basic principles, the question of the originating substances of matter and, therefore, as the founder of the school of natural philosophy. Thales was interested in almost everything, investigating almost all areas of knowledge, philosophy, history, science, mathematics, engineering, geography, and politics. He proposed theories to explain many of the events of nature, the primary substance, the support of the earth, and the cause of change. Thales was much involved in the problems of astronomy and provided a number of explanations of cosmological events which traditionally involved supernatural entities. His questioning approach to the understanding of heavenly phenomena was the beginning of Greek astronomy. Thales’ hypotheses were new and bold, and in freeing phenomena from godly intervention, he paved the way towards scientific endeavor. He founded the Milesian school of natural philosophy, developed the scientific method, and initiated the first Western enlightenment. Many anecdotes are closely connected to Thales’ investigations of the cosmos. When considered in association with his hypotheses they take on added meaning and are most enlightening. Thales was highly esteemed in ancient times, and a letter cited by Diogenes Laertius, and purporting to be from Anaximenes to Pythagoras, advised that all our discourse should begin with a reference to Thales (D.L. II.4).

Table of Contents

  1. The Writings of Thales
  2. Possible Sources for Aristotle
  3. Thales says Water is the Primary Principle
  4. Thales and Mythology
  5. Thales’s Primary Principle
  6. New Ideas about the Earth
    1. The Earth Floats on Water
    2. Thales’s Spherical Earth
    3. Earthquake Theory
  7. All Things are Full of God
  8. Thales’s Astronomy
    1. The Eclipse of Thales
    2. Setting the Solstices
    3. Thales’s Discovery of the Seasons
    4. Thales’s Determination of the Diameters of the Sun and the Moon
    5. Ursa Minor
    6. Falling into a Well
  9. Mathematics
    1. The Theorems Attributed to Thales
  10. Crossing the Halys
  11. The Possible Travels of Thales
  12. The Milesian School
  13. The Seven Sages of Ancient Greece
  14. Corner in Oil
  15. The Heritage of Thales
  16. References and Further Reading
  17. Abbreviations

1. The Writings of Thales

Doubts have always existed about whether Thales wrote anything, but a number of ancient reports credit him with writings. Simplicius (Diels, Dox. p. 475) specifically attributed to Thales authorship of the so-called Nautical Star-guide. Diogenes Laertius raised doubts about authenticity, but wrote that ‘according to others [Thales] wrote nothing but two treatises, one On the Solstice and one On the Equinox‘ (D.L. I.23). Lobon of Argus asserted that the writings of Thales amounted to two hundred lines (D.L. I.34), and Plutarch associated Thales with opinions and accounts expressed in verse (Plutarch, De Pyth. or. 18. 402 E). Hesychius, recorded that ‘[Thales] wrote on celestial matters in epic verse, on the equinox, and much else’ (DK, 11A2). Callimachus credited Thales with the sage advice that navigators should navigate by Ursa Minor (D.L. I.23), advice which may have been in writing.

Diogenes mentions a poet, Choerilus, who declared that ‘[Thales] was the first to maintain the immortality of the soul’ (D.L. I.24), and in De Anima, Aristotle’s words ‘from what is recorded about [Thales]’, indicate that Aristotle was working from a written source. Diogenes recorded that ‘[Thales] seems by some accounts to have been the first to study astronomy, the first to predict eclipses of the sun and to fix the solstices; so Eudemus in his History of Astronomy. It was this which gained for him the admiration of Xenophanes and Herodotus and the notice of Heraclitus and Democritus’ (D.L. I.23). Eudemus who wrote a History of Astronomy, and also on geometry and theology, must be considered as a possible source for the hypotheses of Thales. The information provided by Diogenes is the sort of material which he would have included in his History of Astronomy, and it is possible that the titles On the Solstice, and On the Equinox were available to Eudemus. Xenophanes, Herodotus, Heraclitus and Democritus were familiar with the work of Thales, and may have had a work by Thales available to them.

Proclus recorded that Thales was followed by a great wealth of geometers, most of whom remain as honoured names. They commence with Mamercus, who was a pupil of Thales, and include Hippias of Elis, Pythagoras, Anaxagoras, Eudoxus of Cnidus, Philippus of Mende, Euclid, and Eudemus, a friend of Aristotle, who wrote histories of arithmetic, of astronomy, and of geometry, and many lesser known names. It is possible that writings of Thales were available to some of these men.

Any records which Thales may have kept would have been an advantage in his own work. This is especially true of mathematics, of the dates and times determined when fixing the solstices, the positions of stars, and in financial transactions. It is difficult to believe that Thales would not have written down the information he had gathered in his travels, particularly the geometry he investigated in Egypt and his measuring of the height of the pyramid, his hypotheses about nature, and the cause of change.

Proclus acknowledged Thales as the discoverer of a number of specific theorems (A Commentary on the First Book of Euclid’s Elements 65. 8-9; 250. 16-17). This suggests that Eudemus, Proclus’s source had before him the written records of Thales’s discoveries. How did Thales ‘prove’ his theorems if not in written words and sketches? The works On the Solstice, On the Equinox, which were attributed to Thales (D.L. I.23), and the ‘Nautical Star-guide, to which Simplicius referred, may have been sources for the History of Astronomy of Eudemus (D.L. I.23).

2. Possible Sources for Aristotle

There is no direct evidence that any written material of Thales was available to Plato and Aristotle, but there is a surprisingly long list of early writers who could have known Thales, or had access to his works, and these must be considered as possible sources for Plato, Aristotle, and the philosophers and commentators who followed them. Aristotle’s wording, ‘Thales says’, is assertive wording which suggests a reliable source, perhaps writings of Thales himself. Anaximander and Anaximenes were associates of Thales, and would have been familiar with his ideas. Both produced written work. Anaximander wrote in a poetical style (Theophr. ap. Simpl. Phys. fr. 2), and the writing of Anaximenes was simple and unaffected (D.L. II.3). Other philosophers who were credited with written works, who worked on topics similar to those of Thales, and who may have provided material for later writers, are Heraclitus of Ephesus, Anaxagoras of Clazomenae, Alcmaeon, Hippo of Samos, and Hippias of Elis.

3. Thales says Water is the Primary Principle

Aristotle defined wisdom as knowledge of certain principles and causes (Metaph. 982 a2-3). He commenced his investigation of the wisdom of the philosophers who preceded him, with Thales, the first philosopher, and described Thales as the founder of natural philosophy (Metaph. 983 b21-22). He recorded: ‘Thales says that it is water’. ‘it’ is the nature, the archê, the originating principle. For Thales, this nature was a single material substance, water. Despite the more advanced terminology which Aristotle and Plato had created, Aristotle recorded the doctrines of Thales in terms which were available to Thales in the sixth century B.C.E., Aristotle made a definite statement, and presented it with confidence. It was only when Aristotle attempted to provide the reasons for the opinions that Thales held, and for the theories that he proposed, that he sometimes displayed caution.

4. Thales and Mythology

Those who believe that Thales inherited his views from Greek or Near-Eastern sources are wrong. Thales was esteemed in his times as an original thinker, and one who broke with tradition and not as one who conveyed existing mythologies. Aristotle unequivocally recorded Thales’s hypothesis on the nature of matter, and proffered a number of conjectures based on observation in favour of Thales’s declaration (Metaph. 983 b20-28). His report provided the testimony that Thales supplanted myth in his explanations of the behaviour of natural phenomena. Thales did not derive his thesis from either Greek or non-Greek mythological traditions.

Thales would have been familiar with Homer’s acknowledgements of divine progenitors but he never attributed organization or control of the cosmos to the gods. Aristotle recognized the similarity between Thales’s doctrine about water and the ancient legend which associates water with Oceanus and Tethys, but he reported that Thales declared water to be the nature of all things. Aristotle pointed to a similarity to traditional beliefs, not a dependency upon them. Aristotle did not call Thales a theologian in the sense in which he designated ‘the old poets’ (Metaph. 1091 b4) and others, such as Pherecydes, as ‘mixed theologians’ who did not use ‘mythical language throughout’ (Metaph. 1091 b9). To Aristotle, the theories of Thales were so obviously different from all that had gone before that they stood out from earlier explanations. Thales’s views were not ancient and primitive. They were new and exciting, and the genesis of scientific conjecture about natural phenomena. It was the view for which Aristotle acknowledged Thales as the founder of natural philosophy.

5. Thales’s Primary Principle

The problem of the nature of matter, and its transformation into the myriad things of which the universe is made, engaged the natural philosophers, commencing with Thales. For his hypothesis to be credible, it was essential that he could explain how all things could come into being from water, and return ultimately to the originating material. It is inherent in Thales’s hypotheses that water had the potentiality to change to the myriad things of which the universe is made, the botanical, physiological, meteorological and geological states. In Timaeus, 49B-C, Plato had Timaeus relate a cyclic process. The passage commences with ‘that which we now call “water” ‘, and describes a theory which was possibly that of Thales. Thales would have recognized evaporation, and have been familiar with traditional views, such as the nutritive capacity of mist and ancient theories about spontaneous generation, phenomena which he may have ‘observed’, just as Aristotle believed he, himself had (Hist. An. 569 b1; Gen. An. 762 a9-763 a34), and about which Diodorus Siculus (I.7.3-5; 1.10.6), Epicurus (ap. Censorinus, D.N. IV.9), Lucretius (De Rerum Natura , V.783-808) and Ovid (Met. I.416-437) wrote.

When Aristotle reported Thales’s pronouncement that the primary principle is water, he made a precise statement: ‘Thales says that it [the nature of things] is water’ (Metaph. 983 b20), but he became tentative when he proposed reasons which might have justified Thales’s decision: ‘[Thales’s] supposition may have arisen from observation . . . ‘ (Metaph. 983 b22). It was Aristotle’s opinion that Thales may have observed, ‘that the nurture of all creatures is moist, and that warmth itself is generated from moisture and lives by it; and that from which all things come to be is their first principle’ (Metaph. 983 b23-25). Then, in the lines 983 b26-27, Aristotle’s tone changed towards greater confidence. He declared: ‘Besides this, another reason for the supposition would be that the semina of all things have a moist nature . . . ‘ (Metaph. 983 b26-27). In continuing the criticism of Thales, Aristotle wrote: ‘That from which all things come to be is their first principle’ (Metaph. 983 b25).

Simple metallurgy had been practised long before Thales presented his hypotheses, so Thales knew that heat could return metals to a liquid state. Water exhibits sensible changes more obviously than any of the other so-called elements, and can readily be observed in the three states of liquid, vapour and ice. The understanding that water could generate into earth is basic to Thales’s watery thesis. At Miletus it could readily be observed that water had the capacity to thicken into earth. Miletus stood on the Gulf of Lade through which the Maeander river emptied its waters. Within living memory, older Milesians had witnessed the island of Lade increasing in size within the Gulf, and the river banks encroaching into the river to such an extent that at Priene, across the gulf from Miletus the warehouses had to be rebuilt closer to the water’s edge. The ruins of the once prosperous city-port of Miletus are now ten kilometres distant from the coast and the Island of Lade now forms part of a rich agricultural plain. There would have been opportunity to observe other areas where earth generated from water, for example, the deltas of the Halys, the Ister, about which Hesiod wrote (Theogony, 341), now called the Danube, the Tigris-Euphrates, and almost certainly the Nile. This coming-into-being of land would have provided substantiation of Thales’s doctrine. To Thales water held the potentialities for the nourishment and generation of the entire cosmos. Aëtius attributed to Thales the concept that ‘even the very fire of the sun and the stars, and indeed the cosmos itself is nourished by evaporation of the waters’ (Aëtius, Placita, I.3).

It is not known how Thales explained his watery thesis, but Aristotle believed that the reasons he proposed were probably the persuasive factors in Thales’s considerations. Thales gave no role to the Olympian gods. Belief in generation of earth from water was not proven to be wrong until A.D. 1769 following experiments of Antoine Lavoisier, and spontaneous generation was not disproved until the nineteenth century as a result of the work of Louis Pasteur.

6. New Ideas about the Earth

Thales proposed answers to a number of questions about the earth: the question of its support; its shape; its size; and the cause of earthquakes; the dates of the solstices; the size of the sun and moon.

a. The Earth Floats on Water

In De Caelo Aristotle wrote: ‘This [opinion that the earth rests on water] is the most ancient explanation which has come down to us, and is attributed to Thales of Miletus (Cael. 294 a28-30). He explained his theory by adding the analogy that the earth is at rest because it is of the nature of wood and similar substances which have the capacity to float on water, although not on air (Cael. 294 a30-b1). In Metaphysics (983 b21) Aristotle stated, quite unequivocally: ‘Thales . . . declared that the earth rests on water’. This concept does appear to be at odds with natural expectations, and Aristotle expressed his difficulty with Thales’s theory (Cael. 294 a33-294 b6).

Perhaps Thales anticipated problems with acceptance because he explained that it floated because of a particular quality, a quality of buoyancy similar to that of wood. At the busy city-port of Miletus, Thales had unlimited opportunities to observe the arrival and departure of ships with their heavier-than-water cargoes, and recognized an analogy to floating logs. Thales may have envisaged some quality, common to ships and earth, a quality of ‘floatiness’, or buoyancy. It seems that Thales’s hypothesis was substantiated by sound observation and reasoned considerations. Indeed, Seneca reported that Thales had land supported by water and carried along like a boat (Sen. QNat. III.14). Aristotle’s lines in Metaphysics indicate his understanding that Thales believed that, because water was the permanent entity, the earth floats on water.

Thales may have reasoned that as a modification of water, earth must be the lighter substance, and floating islands do exist. Herodotus (The Histories, II.156) was impressed when he saw Chemmis, a floating island, about thirty-eight kilometres north-east of Naucratis, the Egyptian trading concession which Thales probably visited. Seneca described floating islands in Lydia: ‘There are many light, pumice-like stones of which islands are composed, namely those which float in Lydia’ (Sen. QNat., III.25. 7-10). Pliny described several floating islands, the most relevant being the Reed Islands, in Lydia (HN, II.XCVII), and Pliny (the Younger) (Ep. VIII.XX) described a circular floating island, its buoyancy, and the way it moved. Thales could have visited the near-by Reed Islands. He might have considered such readily visible examples to be models of his theory, and he could well have claimed that the observation that certain islands had the capacity to float substantiated his hypothesis that water has the capacity to support earth.

Again it is understood that Thales did not mention any of the gods who were traditionally associated with the simple bodies; we do not hear of Oceanus or Gaia: we read of water and earth. The idea that Thales would have resurrected the gods is quite contrary to the bold, new, non-mythical theories which Thales proposed.

b. Thales’s Spherical Earth

Modern commentators assume that Thales regarded the earth as flat, thin, and circular, but there is no ancient testimony to support that opinion. On the contrary, Aristotle may have attributed knowledge of the sphericity of the earth to Thales, an opinion which was later reported by Aëtius (Aët. III. 9-10) and followed by Ps.-Plutarch (Epit. III.10). Aristotle wrote that some think it spherical, others flat and shaped like a drum (Arist. Cael. 293 b33-294 a1), and then attributed belief in a flat earth to Anaximenes, Anaxagoras, and Democritus (Arist. Cael. 294 b14-15). If following chronological order, Aristotle’s words, ‘some think it spherical’, referred to the theory of Thales. Aristotle then followed with the theory of Thales’s immediate Milesian successor, Anaximander, and then reported the flat earth view of Anaximenes, the third of the Milesian natural philosophers.

There are several good reasons to accept that Thales envisaged the earth as spherical. Aristotle used these arguments to support his own view (Arist. Cael. 297 b25-298 a8). First is the fact that during a solar eclipse, the shadow caused by the interposition of the earth between the sun and the moon is always convex; therefore the earth must be spherical. In other words, if the earth were a flat disk, the shadow cast during an eclipse would be elliptical. Second, Thales, who is acknowledged as an observer of the heavens, would have observed that stars which are visible in a certain locality may not be visible further to the north or south, a phenomena which could be explained within the understanding of a spherical earth. Third, from mere observation the earth has the appearance of being curved. From observation, it appears that the earth is covered by a dome. When observed from an elevated site, the sky seems to surround the earth, like a dome, to meet the apparently curved horizon. If observed over the seasons, the dome would appear to revolve, with many of the heavenly bodies changing their position in varying degrees, but returning annually to a similar place in the heavens. Through his work in astronomy Thales would almost certainly have become familiar with the night sky and the motion of the heavenly bodies. There is evidence that he gave advice to navigate by Ursa Minor, and was so involved in observation of the stars that he fell into a well. As a result of observations made over a long period of time, Thales could have realized that the motions of the fixed stars could not be explained within the idea of the observable hemispherical dome. During the determination of the size of the rising sun, and again while watching its risings and settings during his work on fixing the solstices, Thales may have realized that much natural phenomena could be explained only within the understanding of the earth as a sphere.

From the shore, a ship can be seen to be descending, gradually, below the horizon, with the hull disappearing from view first, to be followed by masts and sails. If one had a companion observing from a higher point, the companion would see the ship for a long period before it disappeared from view.

Aëtius recorded the different opinions of the shape of the earth that were held by Thales, Anaximander and Anaximenes (III.9-10; III.10; and III.10). Cicero attributed to Thales the earliest construction of a solid celestial globe (Rep. I.XIII.22). Thales’s immediate successors proposed theories about the shape of the earth which were quite different from each other, but that is no reason to reject the view that Thales hypothesized a spherical earth. It is not the only occasion on which Anaximander and Anaximenes failed to follow the theories of Thales. That they did not do so is the main argument in favour of accepting that the scientific method commenced in the Milesian School. There is testimony that Thales knew the earth to be spherical, but no evidence to suggest that he proposed any other shape.

c. Earthquake Theory

Thales’s theory about the cause of earthquakes is consistent with his hypothesis that earth floats upon water. It seems that he applied his floating on water simile to the natural phenomena of earthquakes. Aëtius recorded that Thales and Democritus found in water the cause of earthquakes (Aët. III.15), and Seneca attributed to Thales a theory that on the occasions when the earth is said to quake it is fluctuating because of the roughness of oceans (QNat. III.14; 6.6). Although the theory is wrong, Thales’s hypothesis is rational because it provides an explanation which does not invoke hidden entities. It is an advance upon the traditional Homeric view that they resulted from an angry supernatural god, Poseidon, shaking the earth through his rapid striding.

7. All Things are Full of God

The question of whether Thales endowed the gods with a role in his theories is fundamental to his hypotheses. The relevant text from Aristotle reads: ‘Thales, too, to judge from what is recorded of his views, seems to suppose that the soul is in a sense the cause of movement, since he says that a stone [magnet, or lodestone] has a soul because it causes movement to iron’ (De An. 405 a20-22); ‘Some think that the soul pervades the whole universe, whence perhaps came Thales’s view that everything is full of gods’ (De An. 411 a7-8). In reference to the clause in the first passage ‘to judge from what is recorded of his views’, Snell convincingly argued that Aristotle had before him the actual sentence recording Thales’s views about the lodestone (Snell, 1944, 170). In the second passage the ‘some’ to whom Aristotle refers are Leucippus, Democritus, Diogenes of Apollonia, Heraclitus, and Alcmaeon, philosophers who were later than Thales. They adopted and adapted the earlier view of Thales that soul was the cause of motion, permeating and enlivening the entire cosmos. The order in which Aristotle discussed Thales’s hypothesis obscures the issue.

The source for Aristotle’s report that Thales held all things to be full of gods is unknown, but some presume that it was Plato. Thales is not mentioned in the relevant lines in Plato, but there is a popular misconception that they refer to the belief of Thales. This is wrong. Thales had rejected the old gods. In a passage in Apology(26 C) Socrates identified the heavenly bodies as gods, and pointed out that that was the general understanding. In Cratylus(399 D-E) Plato had Socrates explain a relationship between soul as a life-giving force, the capacity to breathe, and the reviving force. In Timaeus 34B) Plato had Timaeus relate a theory which described soul as pervading the whole universe. Then, in Laws Plato has the Athenian Stranger say: ‘Everyone . . . who has not reached the utmost verge of folly is bound to regard the soul as a god. Concerning all the stars and the moon, and concerning the years and months and all seasons, what other account shall we give than this very same, – namely, that, inasmuch as it has been shown that they are all caused by one or more souls . . . we shall declare these souls to be gods . . .? Is there any man that agrees with this view who will stand hearing it denied that ‘all things are full of gods’? The response is: ‘No man is so wrong-headed as that’ (Laws, 899 A-B). Plato had the Athenian Stranger extend his ideas into a theological theory. He used a sleight of hand method to express his own ideas about divine spiritual beings. With the exception of gods in the scheme of things, these passages reflect the beliefs which formed the Thalean hypothesis, but Plato did not have the Athenian Stranger attribute the crucial clause ‘all things are full of gods’ to Thales. Thales is not mentioned.

Aristotle’s text not the earliest extant testimony. Diogenes preserved a report from Hippias: ‘Aristotle and Hippias affirm that, arguing from the magnet and from amber, [Thales] attributed a soul or life even to inanimate objects’ (D.L. I.24). This early report does not mention godly entities. The later commentators, Cicero (Nat. D. I.X.25), and Stobaeus (Ecl. I.1.11) included gods in Thales’s theory. However, their views post-date Stoicism and are distorted by theistic doctrines.

Plato converted the idea of soul into a theory that ‘all things are full of gods’, and this may have been Aristotle’s source, but the idea of gods is contrary to Thales’s materialism. When Thales defined reality, he chose an element, not a god. The motive force was not a supernatural being. It was a force within the universe itself. Thales never invoked a power that was not present in nature itself, because he believed that he had recognized a force which underpinned the events of nature.

8. Thales’s Astronomy

a. The Eclipse of Thales

Thales is acclaimed for having predicted an eclipse of the sun which occurred on 28 May 585 B.C.E. The earliest extant account of the eclipse is from Herodotus: ‘On one occasion [the Medes and the Lydians] had an unexpected battle in the dark, an event which occurred after five years of indecisive warfare: the two armies had already engaged and the fight was in progress, when day was suddenly turned into night. This change from daylight to darkness had been foretold to the Ionians by Thales of Miletus, who fixed the date for it within the limits of the year in which it did, in fact, take place’ (Hdt. I.74). The vital points are: Thales foretold a solar eclipse; it did occur within the period he specified. How Thales foretold the eclipse is not known but there is strong opinion that he was able to perform this remarkable feat through knowledge of a cycle known as the Saros, with some attributing his success to use of the Exeligmos cycle. It is not known how Thales was able to predict the Eclipse, if indeed he did, but he could not have predicted the Eclipse by using the Saros or the Exeligmos cycles.

In addition to Herodotus, the successful prediction of the eclipse was accepted by Eudemus in his History of Astronomy and acknowledged by a number of other writers of ancient times (Cicero, Pliny, Dercyllides, Clement, Eusebius). This is how Diogenes Laertius recorded the event: ‘[Thales] seems by some accounts to have been the first to study astronomy, the first to predict eclipses of the sun, and to fix the solstices; so Eudemus in his History of Astronomy. It was this which gained for him the admiration of Xenophanes and Herodotus and the notice of Heraclitus and Democritus’ (D.L. I.23). Diogenes asserted that Herodotus knew of Thales’s work, and in naming Xenophanes, Heraclitus, and Democritus, he nominated three of the great pre-Socratics, eminent philosophers who were familiar with the work of Thales.

Modern astronomy confirms that the eclipse did occur, and was total. According to Herodotus’s report, the umbra of the eclipse of Thales must have passed over the battle field. The “un-naturalness” of a solar eclipse is eerie and chilling. All becomes hushed and there is a strong uncanny sensation of impending disaster, of being within the control of some awful power. In ancient times, the awesome phenomenon must have aroused great fear, anxiety and wonder. The combatants saw the eclipse as disapproval of their warfare, and as a warning. They ceased fighting and a peace agreement was reached between the two kings.

It is not known why Thales turned away from the traditional beliefs which attributed all natural events and man’s fortunes and misfortunes to the great family of Olympian gods, but Miletus was the most prosperous of the Ionian cities, and it cannot be doubted that the flourishing merchants believed that their prosperity resulted from their own initiative and endeavours. Thales’s great philosophical pronouncement that water is the basic principle shows that Thales gave no acknowledgement to the gods as instigators and controllers of phenomena. Thales’s hypotheses indicate that he envisaged phenomena as natural events with natural causes and possible of explanation. From his new perspective of observation and reasoning, Thales studied the heavens and sought explanations of heavenly phenomena.

It is widely accepted that Thales acquired information from Near-Eastern sources and gained access to the extensive records which dated from the time of Nabonassar (747 B.C.E.) and which were later used by Ptolemy (Alm. III.7. H 254). Some commentators have suggested that Thales predicted the solar eclipse of 585 B.C.E. through knowledge of the Saros period, a cycle of 223 lunar months (18 years, 10-11 days plus 0.321124 of a day) after which eclipses both of the sun and moon repeat themselves with very little change, or through knowledge of the Exeligmos cycle which is exactly three times the length of the Saros (Ptolemy, Alm. IV.2. H270). The ancients could not have predicted solar eclipses on the basis of those periodic cycles because eclipses of the sun do not repeat themselves with very little change. The extra 0.321124 of a day means that each recurring solar eclipse will be visible to the west, just under one-third of the circumference of the earth, being a period of time of almost 7.7 hours. This regression to the west could not have been known to the ancient astrologers, a fact which seems not to have been taken into account by the philosophers who attribute Thales’s success to application of one of those two cycles.

The following important fact should be noted. Some commentators and philosophers believe that Thales may have witnessed the solar eclipse of 18th May 603 B.C.E. or have had heard of it. They accepted that he had predicted the solar eclipse of 28 May 585 B.C.E. and reasoned from the astronomical fact of the Saros cycles and the fact that the two solar eclipses had been separated by the period of 18 years, 10 days, and 7.7 hours, and concluded that Thales had been able to predict a solar eclipse based upon the knowledge of that cycle. Two facts discount rebut those claims. First, recent research shows that the solar eclipse of 18th May 603 B.C.E. would not have been visible in Egypt, nor in the Babylonian observation cities where the astronomers watched the heavens for expected and unusual heavenly events. The eclipse of 603 passed over the Persian Gulf, too far to the south for observation (Stephenson, personal communication, March 1999; and Stephenson, “Long-term Fluctuations”, 165-202). Even if the eclipse of 603 had been visible to the Near-Eastern astronomers, it is not possible to recognize a pattern from witnessing one event, or indeed, from witnessing two events. One may suggest a pattern after witnessing three events that are separated by equal periods of time, but the eclipse which preceded that of 603, and which occurred on 6th May 621, was not visible in Near-Eastern regions. Consequently, it could not have been recorded by the astrologer/priests who watched for unusual heavenly phenomena, and could not have been seen as forming a pattern.

It is quite wrong to say that eclipses repeat themselves with very little change, because each solar eclipse in a particular Saros occurs about 7.7 hours later than in the previous eclipse in the same Saros, and that is about 1/3 of the circumference of the earth’s circumference. Adding to the difficulty of recognizing a particular cycle is the fact that about forty-two periodic cycles are in progress continuously, and overlapping at any time. Every series in a periodic cycle lasts about 1,300 years and comprises 73 eclipses. Eclipses which occur in one periodic cycle are unrelated to eclipses in other periodic cycles.

The ancient letters prove that the Babylonians and Assyrians knew that lunar eclipses can occur only at full moon, and solar eclipses only at new moon, and also that eclipses occur at intervals of five or six months. However, while lunar eclipses are visible over about half the globe, solar eclipses are visible from only small areas of the earth’s surface. Recent opinion is that, as early as 650 B.C.E. the Assyrian astronomers seem to have recognized the six months-five months period by which they could isolate eclipse possibilities (Steele, “Eclipse Prediction”, 429).

In other recent research Britton has analysed a text known as Text S, which provides considerable detail and fine analysis of lunar phenomena dating from Nabonassar in 747 B.C.E. The text points to knowledge of the six-month five month periods. Britton believes that the Saros cycle was known before 525 B.C.E. (Britton, “Scientific Astronomy”, 62) but, although the text identifies a particular Saros cycle, and graphically depicts the number of eclipse possibilities, the ancient commentary of Text S does not attest to an actual observation (Britton, “An Early Function”, 32).

There is no evidence that the Saros could have been used for the prediction of solar eclipses in the sixth century B.C.E., but it remains possible that forthcoming research, and the transliteration of more of the vast stock of ancient tablets will prove that the Babylonians and Assyrians had a greater knowledge of eclipse phenomena than is now known.

The Babylonian and Assyrian astronomers knew of the Saros period in relation to lunar eclipses, and had some success in predicting lunar eclipses but, in the sixth century B.C.E. when Thales lived and worked, neither the Saros nor the Exeligmos cycles could be used to predict solar eclipses.

It is testified that Thales knew that the sun is eclipsed when the moon passes in front of it, the day of eclipse – called the thirtieth by some, new moon by others (The Oxyrhynchus Papyri, 3710). Aëtius (II.28) recorded: [Thales] says that eclipses of the sun take place when the moon passes across it in a direct line, since the moon is earthy in character; and it seems to the eye to be laid on the disc of the sun’.

There is a possibility that, through analysis of ancient eclipse records, Thales identified another cycle, the lunar eclipse-solar eclipse cycle of 23 1/2 months, the fact that a solar eclipse is a possibility 23 1/2 months after a lunar eclipse. However, lunar eclipses are not always followed by solar eclipses. Although the possibility is about 57% it is important to note that the total solar eclipse of 28th May, 585, occurred 23 1/2months after the total lunar eclipse of 4th July, 587. The wording of the report of the eclipse by Herodotus: ‘Thales . . . fixed the date for the eclipse within the limits of the year’ is precise, and suggests that Thales’s prediction was based upon a definite eclipse theory.

b. Setting the Solstices

A report from Theon of Smyrna ap. Dercyllides states that: ‘Eudemus relates in the Astronomy that Thales was the first to discover the eclipse of the sun and that its period with respect to the solstices is not always constant’ (DK, 11 A 17). Diogenes Laertius (I.24) recorded that [Thales] was the first to determine the sun’s course from solstice to solstice, and also acknowledged the Astronomy of Eudemus as his source.

Solstices are natural phenomena which occur on June 21 or 22, and December 21 or 22, but the determination of the precise date on which they occur is difficult. This is because the sun seems to ‘stand still’ for several days because there is no discernible difference in its position in the sky. It is the reason why the precise determination of the solstices was so difficult. It was a problem which engaged the early astronomers, and more than seven centuries later, Ptolemy acknowledged the difficulty (Alm. III.1. H203).

It is not known how Thales proceeded with his determination, but the testimony of Flavius Philostratus is that: ‘[Thales] observed the heavenly bodies . . . from [Mount] Mycale which was close by his home’ (Philostratus, Life of Apollonius , II.V). This suggests that Thales observed the rising and setting of the sun for many days at mid-summer and mid-winter (and, necessarily, over many years). Mount Mycale, being the highest point in the locality of Miletus, would provide the perfect vantage point from which to make observations. Another method which Thales could have employed was to measure the length of the noon-day sun around mid-summer and mid-winter. Again this would require observations to be made, and records kept over many days near the solstice period, and over many years.

c. Thales’s Discovery of the Seasons

From Diogenes Laertius we have the report: ‘[Thales] is said to have discovered the seasons of the year and divided it into 365 days’ (D.L. I.27). Because Thales had determined the solstices, he would have known of the number of days between say, summer solstices, and therefore have known the length of a solar year. It is consistent with his determination of the solstices that he should be credited with discovering that 365 days comprise a year. It is also a fact that had long been known to the Egyptians who set their year by the more reliable indicator of the annual rising of the star Sirius in July. Thales may have first gained the knowledge of the length of the year from the Egyptians, and perhaps have attempted to clarify the matter by using a different procedure. Thales certainly did not ‘discover’ the seasons, but he may have identified the relationship between the solstices, the changing position during the year of the sun in the sky, and associated this with seasonal climatic changes.

d. Thales’s Determination of the Diameters of the Sun and the Moon

Apuleius wrote that ‘Thales in his declining years devised a marvellous calculation about the sun, showing how often the sun measures by its own size the circle which it describes’. (Apul. Florida, 18). Following soon after Apuleius, Cleomedes explained that the calculation could be made by running a water-clock, from which the result was obtained: the diameter of the sun is found to be one seven-hundred-and-fiftieth of its own orbit (Cleomedes, De Motu circulari corporum caelestium, II.75). The third report is from Diogenes: ‘According to some [Thales was] the first to declare the size of the sun to be one seven hundred and twentieth part of the solar circle, and the size of the moon to be the same fraction of the lunar circle’ (D.L. I.24). Little credence can be given to the water-clock method for reaching this determination, because there is an inbuilt likelihood of repeated errors over the 24 hour period. Even Ptolemy, who flourished in the second century A.D., rejected all measurements which were made by means of water-clocks, because of the impossibility of attaining accuracy by such means (Alm. V.14. H416).

In his work in geometry, Thales was engaged in circles and angles, and their characteristics, and he could have arrived at his solution to the problem by applying the geometrical knowledge he had acquired. There is no evidence to support a suggestion that Thales was familiar with measurements by degrees but he could have learnt, from the Babylonians, that a circle is divided into 3600. The figure of 720, which was given by Diogenes for Thales, is double 360, and this is related to the Babylonian sexagesimal system. To establish the dates of the solstices, Thales probably made repeated observations of the risings and settings of the sun. From such experiments he could have observed that the angle which was subtended by the elevation of the rising sun is 1/20 and with 3600 in a circle, the ratio of 1:720 is determined.

Of the report from Diogenes Laertius (D.L. I.24) that Thales also determined the orbit of the moon in relation to the size of its diameter, Thales would repeat the method to calculate the orbit of the moon.

e. Ursa Minor

Callimachus (D.L. I.22) reported that Thales ‘discovered’ Ursa Minor. This means only that he recognized the advantages of navigating by Ursa Minor, rather than by Ursa Major, as was the preferred method of the Greeks. Ursa Minor, a constellation of six stars, has a smaller orbit than does the Great Bear, which means that, as it circles the North Pole, Ursa Minor changes its position in the sky to a lesser degree than does the Great Bear. Thales offered this sage advice to the mariners of Miletus, to whom it should have been of special value because Miletus had developed a maritime trade of economic importance.

f. Falling into a Well

In Theaetetus (174 A) Plato had Socrates relate a story that Thales was so intent upon watching the stars that he failed to watch where he was walking, and fell into a well. The story is also related by Hippolytus (Diels, Dox. 555), and by Diogenes Laertius (D.L. II.4-5). Irony and jest abound in Plato’s writing and he loved to make fun of the pre-Socratics, but he is not likely to have invented the episode, especially as he had Socrates relate the event. Aristotle wrote that viewing the heavens through a tube ‘enables one to see further’ (Gen. An. 780 b19-21), and Pliny (HN, II.XI) wrote that: ‘The sun’s radiance makes the fixed stars invisible in daytime, although they are shining as much as in the night, which becomes manifest at a solar eclipse and also when the star is reflected in a very deep well’. Thales was renowned and admired for his astronomical studies, and he was credited with the ‘discovery’ of Ursa Minor (D.L. I.23). If Thales had heard that stars could be viewed to greater advantage from wells, either during day or night, he would surely have made an opportunity to test the theory, and to take advantage of a method that could assist him in his observations. The possibility that the story was based on fact should not be overlooked. Plato had information which associated Thales with stars, a well, and an accident. Whether Thales fell into a well, or tripped when he was getting in or out of a well, the story grew up around a mishap.

9. Mathematics

The practical skill of land measurement was invented in Egypt because of the necessity frequently to remeasure plots of land after destructive inundations. The phenomena is well described by Herodotus (II.93-109). Egypt was believed to be the source of much wisdom and reports tell us that many Greeks, including Thales, Pythagoras, Solon, Herodotus, Plato, Democritus, and Euclid, visited that ancient land to see the wonders for themselves.

The Egyptians had little to offer in the way of abstract thought. The surveyors were able to measure and to calculate and they had outstanding practical skills. In Egypt Thales would have observed the land surveyors, those who used a knotted cord to make their measurements, and were known as rope-stretchers. Egyptian mathematics had already reached its heights when The Rhind Mathematical Papyrus was written in about 1800 B.C.E. More than a thousand years later, Thales would have watched the surveyors as they went about their work in the same manner, measuring the land with the aid of a knotted rope which they stretched to measure lengths and to form angles.

The development of geometry is preserved in a work of Proclus, A Commentary on the First Book of Euclid’s Elements (64.12-65.13). Proclus provided a remarkable amount of intriguing information, the vital points of which are the following: Geometry originated in Egypt where it developed out of necessity; it was adopted by Thales who had visited Egypt, and was introduced into Greece by him

The Commentary of Proclus indicates that he had access to the work of Euclid and also to The History of Geometry which was written by Eudemus of Rhodes, a pupil of Aristotle, but which is no longer extant. His wording makes it clear that he was familiar with the views of those writers who had earlier written about the origin of geometry. He affirmed the earlier views that the rudiments of geometry developed in Egypt because of the need to re-define the boundaries, just as Herodotus stated.

a. The Theorems Attributed to Thales

Five Euclidean theorems have been explicitly attributed to Thales, and the testimony is that Thales successfully applied two theorems to the solution of practical problems.

Thales did not formulate proofs in the formal sense. What Thales did was to put forward certain propositions which, it seems, he could have ‘proven’ by induction: he observed the similar results of his calculations: he showed by repeated experiment that his propositions and theorems were correct, and if none of his calculations resulted in contrary outcomes, he probably felt justified in accepting his results as proof. Thalean ‘proof’ was often really inductive demonstration. The process Thales used was the method of exhaustion. This seems to be the evidence from Proclus who declared that Thales ‘attacked some problems in a general way and others more empirically’.

DEFINITION I.17: A diameter of the circle is a straight line drawn through the centre and terminated in both directions by the circumference of the circle; and such a straight line also bisects the circle (Proclus, 124). >

PROPOSITION I.5: In isosceles triangles the angles at the base are equal; and if the equal straight lines are produced further, the angles under the base will be equal (Proclus, 244). It seems that Thales discovered only the first part of this theorem for Proclus reported: We are indebted to old Thales for the discovery of this and many other theorems. For he, it is said, was the first to notice and assert that in every isosceles the angles at the base are equal, though in somewhat archaic fashion he called the equal angles similar (Proclus, 250.18-251.2).

PROPOSITION I.15: ‘If two straight lines cut one another, they make the vertical angles equal to one another’ (Proclus, 298.12-13). This theorem is positively attributed to Thales. Proof of the theorem dates from the Elements of Euclid (Proclus, 299.2-5).

PROPOSITION I.26: ‘If two triangles have the two angles equal to two angles respectively, and one side equal to one side, namely, either the side adjoining the equal angles, or that subtending one of the equal angles, they will also have the remaining sides equal to the remaining sides and the remaining angle equal to the remaining angle’ (Proclus, 347.13-16). ‘Eudemus in his history of geometry attributes the theorem itself to Thales, saying that the method by which he is reported to have determined the distance of ships at sea shows that he must have used it’ (Proclus, 352.12-15). Thales applied this theorem to determine the height of a pyramid. The great pyramid was already over two thousand years old when Thales visited Gizeh, but its height was not known. Diogenes recorded that ‘Hieronymus informs us that [Thales] measured the height of the pyramids by the shadow they cast, taking the observation at the hour when our shadow is of the same length as ourselves’ (D.L. I.27). Pliny (HN, XXXVI.XVII.82) and Plutarch (Conv. sept. sap. 147) also recorded versions of the event. Thales was alerted by the similarity of the two triangles, the ‘quality of proportionality’. He introduced the concept of ratio, and recognized its application as a general principle. Thales’s accomplishment of measuring the height of the pyramid is a beautiful piece of mathematics. It is considered that the general principle in Euclid I.26 was applied to the ship at sea problem, would have general application to other distant objects or land features which posed difficulties in the calculation of their distances.

PROPOSITION III.31: ‘The angle in a semicircle is a right angle’. Diogenes Laertius (I.27) recorded: ‘Pamphila states that, having learnt geometry from the Egyptians, [Thales] was the first to inscribe a right-angled triangle in a circle, whereupon he sacrificed an ox’. Aristotle was intrigued by the fact that the angle in a semi-circle is always right. In two works, he asked the question: ‘Why is the angle in a semicircle always a right angle?’ (An. Post. 94 a27-33; Metaph. 1051 a28). Aristotle described the conditions which are necessary if the conclusion is to hold, but did not add anything that assists with this problem.

It is testified that it was from Egypt that Thales acquired the rudiments of geometry. However, the evidence is that the Egyptian skills were in orientation, measurement, and calculation. Thales’s unique ability was with the characteristics of lines, angles and circles. He recognized, noticed and apprehended certain principles which he probably ‘proved’ through repeated demonstration.

10. Crossing the Halys

Herodotus recorded ‘the general belief of the Greeks’ that Thales assisted Croesus in transporting his troops across the Halys river (Hdt. I.75) on his advance into Capadoccia to engage the great Persian conqueror, Cyrus who threatened from the east. Herodotus provided a detailed description of the reported crossing which many of the Greeks supposed had been accomplished through Thales’s engineering skills and ingenuity (Hdt. I.75). Herodotus had been told that Thales advised Croesus to divide the river into two parts. The story is that Thales directed the digging so that the river was diverted into two smaller streams, each of which could then be forded. The story from Herodotus describes a formation similar to an oxbow lake. The work could have been undertaken by the men of Croesus’s army, and directed by Thales. With both channels then being fordable, Croesus could lead his army across the Halys. This description complies with ‘the general belief of the Greeks’ which Herodotus related.

However, Herodotus did not accept that story, because he believed that bridges crossed the river at that time (I.74). Herodotus’s misgivings were well founded. There is considerable support for the argument that Croesus and his army crossed the Halys by the bridge which already existed and travelled by the Royal Road which provided the main access to the East. Herodotus explained that at the Halys there were gates which had to be passed before one crossed the river, which formed the border, with the post being strongly guarded (Hdt. V.52).

The town of Cesnir Kopru, or Tcheshnir Keupreu, is a feasible site for a crossing. Before the industrialization of the area, a mediaeval bridge was observed, underneath which, when the river was low, could be seen not only the remains of its Roman predecessor but the roughly hewn blocks of a much earlier bridge (Garstang, 1959, 2). Any clues that may have helped to provide an answer to the question of whether there were bridges in the time of Croesus are now submerged by the hydroelectric plants which have been built in the area. Herodotus recorded the details that he had obtained, but used his own different understanding of the situation to discount the report.

11. The Possible Travels of Thales

Establishing whether or not Thales travelled and what countries he visited is important because we may be able to establish what information he could have acquired from other sources. In Epinomis 987 E) Plato made the point that the Greeks took from foreigners what was of value and developed their notions into better ideas.

Eudemus, who was one of Aristotle’s students, believed that Thales had travelled to Egypt (Eudemus ap. Proclus, 65.7). A number of ancient sources support that opinion, including Pamphila who held that he spent time with the Egyptian priests (D.L. I.24), Hieronymus from whose report we learn that Thales measured the height of the pyramids by the shadow they cast (D.L. I.27), and Plutarch (De Is. et Os. 131). Thales gave an explanation for the inundation (D.L. I.37). He may have devised this explanation after witnessing the phenomena, which Herodotus later described (Hdt. II.97).

By 620 B.C.E., and perhaps earlier, Miletus held a trading concession at Naucratis (Hdt. II.178, Strab. 17.1.18) on the Canopic mouth of the Nile, and it is possible that Thales visited Egypt on a trading mission. Travel to Egypt would not have been difficult. Homer had Ulysses sailing from Crete to the Nile in five days, and Ernle Bradford recently made a similar journey, proving the trip to be feasible (Bradford, Ulysses Found, 26, and passim). The wealth of Miletus was the result of its success as a trading centre, and there would have been no difficulty in arranging passage on one of the many vessels which traded through of Miletus.

Josephus (Contra Apionem I.2) wrote that Thales was a disciple of the Egyptians and the Chaldeans which suggests that he visited the Near-East. It is thought that Thales visited the Babylonians and Chaldeans and had access to the astrological records which enabled him to predict the solar eclipse of 585 B.C.E.

Miletus had founded many colonies around the Mediterranean and especially along the coasts of the Black Sea. Pliny (HN, V.31.112) gives the number as ninety. The Milesians traded their goods for raw materials, especially iron and timber, and tunny fish. Strabo made mention of ‘a sheep-industry’, and the yield of ‘soft wool’ (Strabo, 12.3.13), and Aristophanes mentioned the fine and luxurious Milesian wool (Lysistrata, 729; Frogs, 543). The Milesian traders had access to the hinterland. The land around the mouth of the Halys was fertile, ‘productive of everything . . . and planted with olive trees’ (Strabo, 12.3.12-13). Thales was associated with a commercial venture in the production of olive oil in Miletus and Chios, but his interests may have extended beyond those two places. Olive oil was a basic item in the Mediterranean diet, and was probably a trading commodity of some importance to Milesian commerce.

It is likely that Thales was one of the ‘great teachers’ who, according to Herodotus, visited Croesus in the Lydian capital, Sardis (Hdt. I.30). From Sardis, he could have joined a caravan to make the three-month journey along the well used Royal Road (Hdt. V.53), to visit the observatories in Babylonia, and seek the astronomical knowledge which they had accumulated over centuries of observation of heavenly phenomena. In about 547 B.C.E. late in his life, Thales travelled into Cappadocia with Croesus, and, according to some belief, devised a scheme by which the army of Croesus was able to cross the River Halys. Milesian merchantmen continually plied the Black Sea, and gaining a passage could have been easily arranged. From any number of ports Thales could have sought information, and from Sinope he may have ventured on the long journey to Babylonia, perhaps travelling along the valley of the Tigris, as Xenophon did in 401-399 B.C.E.

In a letter purported to be from Thales to Pherecydes, Thales stated that he and Solon had both visited Crete, and Egypt to confer with the priests and astronomers, and all over Hellas and Asia (D.L. I.43-44). All that should be gleaned from such reports, is that travel was not exceptional, with many reports affirming the visits of mainly notable people to foreign lands. Alcaeus visited Egypt’ (Strabo, 1.2.30), and his brother, Antimenidas, served in Judaea in the army of the Babylonian monarch, King Nebuchadrezzar. Sappho went into exile in Sicily, her brother,Charaxus, spent some time in Egypt, and a number of friends of Sappho visited Sardis where they lived in Lydian society. There must have been any number of people who visited foreign lands, about whom we know nothing.

Very little about the travels of Thales may be stated with certainty, but it seems probable that he would have sought information from any sources of knowledge and wisdom, particularly the centres of learning in the Near-East. It is accepted that there was ample opportunity for travel.

12. Milesian School

Thales was the founder of a new school of philosophy (Arist. Metaph. 983 b20). His two fellow Milesians who also engaged in the new questioning approach to the understanding of the universe, were Anaximander, his disciple (D.L. I.13), and Anaximenes, who was the disciple of Anaximander (D.L. II.2). Anaximander was about ten years younger than Thales, but survived him by only a year, dying in about 545. Anaximenes was born in 585 and died in about 528. Their lives all overlapped. Through their association they comprised the Milesian School: They all worked on similar problems, the nature of matter and the nature of change, but they each proposed a different material as the primary principle, which indicates that there was no necessity to follow the master’s teachings or attribute their discoveries to him. Each proposed a different support for the earth. Thales was held in high regard for his wisdom, being acclaimed as the most eminent of the Wise Men of Ancient Greece, but he was not regarded as a god, as Pythagoras was. Anaximander and Anaximenes were free to pursue their own ideas and to express them in writing. This surely suggests that they engaged in critical discussion of the theories of each other. The Greeks are a sociable people, and their willingness to converse brought rewards in knowledge gained, as Plato remarked (Epinomis, 987E). Critical discussion implies more than familiarity with other views, and more than mere disagreement with other theories. It is the adoption, or in this case, the development, of a new style of discussion. It is a procedure which encourages questioning, debate, explanation, justification and criticism. There was a unique relationship between the three Milesians and it is highly probable that the critical method developed in the Milesian School under the leadership of Thales.

13. The Seven Sages of Ancient Greece

The earliest reference to the Seven Sages of Ancient Greece is in Plato’s Protagoras in which he listed seven names: ‘A man’s ability to utter such remarks [notable, short and compressed] is to be ascribed to his perfect education. Such men were Thales of Miletus, Pittacus of Mitylene, Bias of Priene, Solon of our city [Athens], Cleobulus of Lindus, Myson of Chen, and, last of the traditional seven, Chilon of Sparta. . . . and you can recognize that character in their wisdom by the short memorable sayings that fell from each of them’ (Protagoras, 342 E-343 A).

Diogenes recorded that ‘Thales was the first to receive the name of Sage in the archonship of Damasias at Athens, when the term was applied to all the Seven Sages, as Demetrius of Phalerum [born. ca. 350 B.C] mentions in his List of Archons (D.L. I.22). Demetrius cannot have been the source for Plato, who died when Demetrius was only three years old. Perhaps there was a source common to both Plato and Demetrius, but it is unknown.

Damasias was archon in 582/1. It may be significant that at this time the Pythian Games were re-organized. More events were added and, for the first time, they were to be held at intervals of four years, in the third year of the Olympiad, instead of the previous eight-yearly intervals. Whether there is an association between the re-organization of the Pythian Games and the inauguration of the Seven Sages in not known but, as Pausanias indicates, the Seven were selected from all around Greece: ‘These [the sages] were: from Ionia, Thales of Miletus and Bias of Priene; of the Aeolians in Lesbos, Pittacus of Mitylene; of the Dorians in Asia, Cleobulus of Lindus; Solon of Athens and Chilon of Sparta; the seventh sage, according to the list of Plato, the son of Ariston is not Periander, the son of Cypselus, but Myson of Chenae, a village on Mount Oeta’ (Paus. 14.1). The purpose of Damasias may have been aimed at establishing unity between the city-states.

It is difficult to believe that the Seven all assembled at Delphi, although the dates just allow it. Plato wrote that their notable maxims were featured at Delphi: ‘They [the Sages], assembled together and dedicated these [short memorable sayings] as the first-fruits of their lore to Apollo in his Delphic temple, inscribing there those maxims which are on every tongue – “Know thyself’ and “Nothing overmuch” ‘ (Pl. Prt. 343 A-B).

Plato regarded wise maxims as the most essential of the criteria for a sage, and associated them with wisdom and with good education, but he has Socrates say: ‘Think again of all the ingenious devices in arts or other achievements, such as you might expect in one of practical ability; you might remember Thales of Miletus and Anacharsis the Scythian’ (Respublica , 600 A). Practical ability was clearly important.

Several other lists were compiled: Hippobotus (D.L. I.42); Pittacus (D.L. I.42); and Diogenes (D.L. I.13. They omitted some names and adding others. In his work On the Sages, Hermippus reckons seventeen, which included most of the names listed by other compilers.

Many commentators state that Thales was named as Sage because of the practical advice he gave to Miletus in particular, and to Ionia in general. The earlier advice was to his fellow Milesians. In 560, the thirty-five year old Croesus (Hdt. I.25) succeeded his father Alyattes and continued the efforts begun by his father to subdue the Milesians, but without success. Diogenes tells us that ‘when Croesus sent to Miletus offering terms of alliance, [Thales] frustrated the plan’ (D.L. I.25). The second occasion was at an even later date, when the power of Cyrus loomed as a threat from the east. Thales’s advice to the Ionian states was to unite in a political alliance, so that their unified strength could be a defence against the might of Cyrus. This can hardly have been prior to 550 B.C.E. which is thirty years later than the promulgation of the Seven Sages. Thales was not named as a Sage because of any political advice which is extant.

One of the few dates in Thales’s life which can be known with certainty is the date of the Eclipse of 585 B.C.E. It brought to a halt the battle being fought between Alyattes and the Mede, Cyaxares and, in addition, brought peace to the region after ‘five years of indecisive warfare’ (Hdt. I.74). The Greeks believed that Thales had predicted the Eclipse, and perhaps even regarded him as being influential in causing the phenomenon to occur. This was reason enough to declare Thales to be a man of great wisdom and to designate him as the first of the Seven Sages of Ancient Greece.

14. Corner in Oil

Thales’s reputation for wisdom is further enhanced in a story which was related by Aristotle. (Politics, 1259 a 6-23). Somehow, through observation of the heavenly bodies, Thales concluded that there would be a bumper crop of olives. He raised the money to put a deposit on the olive presses of Miletus and Chios, so that when the harvest was ready, he was able to let them out at a rate which brought him considerable profit. In this way, Thales answered those who reproached him for his poverty. As Aristotle points out, the scheme has universal application, being nothing more than a monopoly. There need not have been a bumper harvest for the scheme to have been successful. It is quite likely that Thales was involved in commercial ventures, possibly the export of olive oil, and Plutarch reported that Thales was said to have engaged in trade (Plut. Vit. Sol. II.4).

15. The Heritage of Thales

Thales is the first person about whom we know to propose explanations of natural phenomena which were materialistic rather than mythological or theological. His theories were new, bold, exciting, comprehensible, and possible of explanation. He did not speak in riddles as did Heraclitus, and had no need to invent an undefined non-substance, as Anaximander did. Because he gave no role to mythical beings, Thales’s theories could be refuted. Arguments could be put forward in attempts to discredit them. Thales’s hypotheses were rational and scientific. Aristotle acknowledged Thales as the first philosopher, and criticized his hypotheses in a scientific manner.

The most outstanding aspects of Thales’s heritage are: The search for knowledge for its own sake; the development of the scientific method; the adoption of practical methods and their development into general principles; his curiosity and conjectural approach to the questions of natural phenomena – In the sixth century B.C.E., Thales asked the question, ‘What is the basic material of the cosmos?’ The answer is yet to be discovered.

16. References and Further Reading

  • Ernle Bradford. Ulysses Found. London: Hodder and Stoughton, 1964.
  • Britton, John P. “An Early Function for Eclipse Magnitudes in Babylonian Astronomy.” Centaurus, 32 (1989): 32.
  • Britton, John P. “Scientific Astronomy in Pre-Seleucid Babylon.” Chapter in H.D. Galter, Die Rolle der Astronomy in den Kulteren Mesopotamiens. Graz: 1993.
  • Garstang, John and O.R. Gurney. The Geography of the Hittite Empire. Occasional Publications of The British Institute of Archaeology in Ankara, no. 5. London: The British Institute of Archaeology at Ankara, 1959.
  • Proclus. A Commentary on the First Book of Euclid’s Elements. Translated with an Introduction and Notes by Glenn R Morrow. Princeton: Princeton University Press, 1970.
  • Ptolemy. Ptolemy’snAlmagest. Translated and Annotated by G.J. Toomer. London: Duckworth, 1984.
  • Snell, Bruno. “Die Nachrichten über die Lehren des Thales und die Anfänge der griechischen Philosophie – und Literaturgeschichte.” [The News about the Teachings of Thales and the Beginnings of the Greek History of Philosophy and Literature], Philologus 96 (1944): 170-182.
  • Steele, John M.”Eclipse Prediction in Mesopotamia.” Archive for History of Exact Science 54 (5) (2000):421-454.
  • Stephenson, F. Richard, and L.V. Morrison. “Long-term fluctuations in the Earth’s rotation: 700 BC to AD 1990.” Philosophical Transactions of the Royal Society of London351 (1995): 165-202.

17. Abbreviations

  • Aristotle, An. Post., Analytica Posteriora; Cael., De Caelo; De An., De Anima; Gen An., De Generatione Animalium; Hist. An., Historia Animalium; Metaph., Metaphysics; Pol., Politics; Hist. An.; Historia Animalium
  • Cicero, Rep., De Republica; Nat. D., De Natura Deorum
  • D.L., Diogenes Laertius, Lives of Eminent Philosophers
  • Diels,Dox., H. Diels, Doxographi Graeci
  • DK, Diels, Hermann and Walther Kranz.Die Fragmente der Vorsokratiker. Zurich: Weidmann, 1985.
  • Epicurus, ap.Censorinus, D.N.; Censorinus, De die natali
  • Ovid,Met., Metamorphoses
  • Plutarch,Plut. De Is. et Os., De Iside et Osiride; De Pyth. or., De Pythiae oraculis; Conv. sept. sap., Convivium septem sapientium, [The Dinner of the Seven Wise Men];; Vit. Sol., Vitae Parallelae, Solon
  • Pliny (the Elder), HN: Naturalis Historia
  • Pliny (the Younger), Ep: Epistulae
  • Ps.-Plutarch, Epit;Pseudo-Plutarch, Epitome
  • Seneca, QNat., Quaestiones Naturales
  • Stobaeus, Ecl., jEklogaiv [‘Selections‘]
  • Theophr. ap. Simpl. Phys., Theophrastus, ap. Simplicius, in Physics

Author Information

Patricia O’Grady
Email: Patricia.OGrady@flinders.edu.au
The Flinders University of South Australia
Australia

Prosentential Theory of Truth

Prosentential theorists claim that sentences such as “That is true” are prosentences that function analogously to their better known cousins—pronouns. For example, just as we might use the pronoun ‘he’ in place of ‘James’ to transform “James went to the supermarket” into “He went to the supermarket,” so we might use the prosentence-forming operator ‘is true’ to transform “Snow is white” into “‘Snow is white’ is true.” According to the prosentential theory of truth, whenever a referring expression (for example, a definite description or a quote-name) is joined to the truth predicate, the resulting statement contains no more content than the sentence(s) picked out by the referring expression. To assert that a sentence is true is simply to assert or reassert that sentence; it is not to ascribe the property of truth to that sentence. The prosentential theory is one kind of deflationary theory of truth. Like all deflationary theories, it provides an alternative to explanations of truth that analyze truth in terms of reference, predicate satisfaction or a correspondence relation.

Table of Contents

  1. What is a Prosentence?
  2. Quantificational Prosentences
  3. Why the Prosentential Theory is Deflationary
  4. The Recognition-Transcendence of Truth
  5. A Prosentential Theory of Falsity
  6. The Liar Paradox
  7. Objections
  8. Prosentential Theory vs. Other Deflationary Theories
  9. References and Further Reading

1. What is a Prosentence?

The prosentential theory was first developed by Dorothy Grover, Joseph Camp, Jr., and Nuel Belnap, Jr. (1975) and Grover (1992) and has received renewed attention due to the work of Robert Brandom (1994). The central claim of the prosentential theory is that ‘x is true’ functions as a prosentence-forming operator rather than a property-ascribing locution. Perhaps the best way to begin an explication of the prosentential theory is by looking at the more familiar proforms found in ordinary English usage. ‘Proform’ is the generic name for the linguistic category of expressions that ‘stand in’ for other expressions—pronouns being the most familiar variety.

Most uses of pronouns are lazy—the antecedents of the pronouns could have easily been used instead of the pronouns. For example,

(1) Mary wanted to buy a car, but she could only afford a motorbike.

(2) If she can afford it, Jane will go.

(3) John visited us. It was a surprise.

(4) Mary said that the moon is made of green cheese, but I didn’t believe it.

‘She’ simply stands in for ‘Mary’ in (1), and ‘she’ stands in for ‘Jane’ in (2), even though ‘she’ appears before ‘Jane.’ In (3) ‘it’ refers to the event of John’s having visited us, while in (4) ‘it’ refers to Mary’s statement. Lazy uses of pronouns are convenient but perhaps not essential linguistic conventions.

In addition to lazy uses of pronouns, there are also ‘quantificational uses,’ as in:

(5) If any car overheats, don’t buy it.

(6) Each positive integer is such that if it is even, adding 1 to it yields an odd number.

In these cases, the pronouns do not pick up their referents from their antecedents in the same straightforward way as pronouns of laziness do. Replacing the ‘it’ in (5) by the apparent antecedent ‘any car’ or the ‘it’ in (6) by ‘each positive integer’ yields the following.

(5′) If any car overheats, don’t buy any car.

(6′) Each positive integer is such that if each positive integer is even, adding 1 to each positive integer yields an odd number.

(5′) and (6′) obviously do not express the sense of the original sentences. ‘Any car’ and ‘each positive integer’ cannot be construed as referring expressions; rather, they pick out families of admissible expressions that can be substituted into the claims. (5) and (6) should be represented as

(5″) (x)[(x is a car & x overheats) → don’t buy x].

(6″) (x)[(x is a positive integer & x is even) → adding 1 to x yields an odd number].

More will be said about quantificational proforms below.

There are also many commonly used proforms that are not often recognized as proforms. These include proverbs:

(7) Dance as we do

(8) Mary ran quickly, so Bill did too

proadjectives:

(9) We must strive to make men happy and to keep them so

and proadverbs:

(10) She twitched violently, and while so twitching, expired.

Most importantly, defenders of the prosentential theory of truth claim that English also contains prosentences. For example,

(11) Bill: There are people on Mars. Mary: That is true.

(12) John: Bill claims that there are people on Mars but I don’t believe that it is true.

In these examples, ‘that is true’ and ‘it is true’ serve as ‘prosentences of laziness.’ They inherit their content from antecedent statements, just as pronouns inherit their reference from antecedent singular terms. John’s use of ‘it is true’ is lazy because he could have easily repeated the content of Bill’s claim without using a prosentence. John could have said the following.

(12′) John: Bill claims that there are people on Mars but I don’t believe that there are people on Mars.

The relation between a proform and its antecedent is called a relation of ‘anaphora.’ Defenders of the prosentential theory claim that prosentences such as ‘it is true’ and ‘that is true’ do not have any content of their own. Whatever content they have is inherited from their anaphoric antecedents. Because prosentences simply stand in for other sentences, prosentential theorists claim that utterances of ‘p’ and ‘p is true’ always have the same content.

There are many more kinds of prosentences than ‘that is true’ or ‘it is true.’ Each of the following sentences, for example, is also a prosentence.

(13) Goldbach’s conjecture is true.

(14) ‘Snow is white’ is true.

(15) The claim that grass is green is true.

According to the prosentential theory, sentences (13), (14) and (15) say no more than sentences (16), (17) and (18), respectively.

(16) Every even number is the sum of two primes.

(17) Snow is white.

(18) Grass is green.

Each prosentence is formed by conjoining some expression that refers to a sentence to the truth predicate.

Although the semantic content of prosentences and their antecedents is the same, prosentences often differ in pragmatic respects from their antecedents. Consider the difference between the following cases:

(11) Bill: There are people on Mars. Mary: That is true.

(11′) Bill: There are people on Mars. Mary: There are people on Mars.

Although Mary’s utterance in (11′) asserts no more than her utterance in (11), her utterance in (11′) does not acknowledge that Bill has said anything. By acknowledging Bill’s previous statement, Mary’s utterance of ‘that is true’ avoids a kind of assertional plagiarism and has the effect of expressing agreement. Mary could have uttered her statement in (11′) without ever having heard Bill say anything and without, therefore, expressing any kind of agreement. Thus, the prosentential theory takes up the point emphasized by F. P. Ramsey’s redundancy theory of truth that assertions of truth do not assert anything new. Unlike redundancy theories, however, the prosentential theory does not take the truth predicate to be always eliminable without loss. What would be lost in (11′) is Mary’s acknowledgment that Bill had said something.

One of the prosentential theory’s most important claims about the truth predicate is that it is not used to ascribe a substantive property to propositions. Grover (1992, p. 221) writes,

Many other truth theories assume that a sentence containing a truth predication, e.g., ‘That is true,’ is about its antecedent sentence (‘Chicago is large’) or an antecedent proposition. By contrast, the prosentential account is that ‘That is true’ does not say anything about its antecedent sentence (e.g., ‘Chicago is large’) but says something about an extralinguistic subject (e.g., Chicago).

The truth predicate is not used to say something about sentences or propositions. It is used to say something about the world. As Grover (1992, p. 221) puts it, prosentences function “at the level of the object language.” Even when someone makes an utterance such as “John’s last claim is true”—which uses a referring expression that explicitly mentions an antecedent utterance token—the prosentential theory still denies that it is the utterance that is being talked about. The person uttering this sentence “expresses an opinion about whatever (extralinguistic thing) it was that John expressed an opinion about” (Grover, 1992, p. 19). W. V. Quine (1970, pp. 10-11) makes a similar claim, stating that the truth predicate serves “to point through the sentence to reality; it serves as a reminder that though sentences are mentioned, reality is still the whole point.” The prosentential theory uses the notion of the anaphoric inheritance of content to explain how reality remains the focus in such cases.

2. Quantificational Prosentences

In addition to lazy uses of prosentences, there are also ‘quantificational’ uses. For example,

(19) Everything John said is true

is a quantificational prosentence. A first attempt to translate (19) into a language containing bound propositional variables might read

(20) (p)(If John said that p, then p is true).

A natural language paraphrase of (20) which exhibits ‘it is true’ as a quantificationally dependent prosentence would be

(21) For anything one can say, if John said it, then it is true. (Grover, 1992, p. 130)

Since, according to the prosentential theory, the statement ‘p is true’ says no more than the statement ‘p,’ the truth predicate in (20) can be dropped to yield

(20′) (p)(If John said that p, then p).

If the variable ‘p’ ranges over objects and take names of objects as its substitution instances—i.e., if ‘(p)’ and ‘p’ are given their ordinary interpretations—then the consequent of the conditional inside (20′) will not be a grammatical expression. The antecedents and consequents of conditionals must be complete sentences. In order for (20′) to be a grammatical expression, two modifications in the standard interpretation of variables and quantifiers must be made. First, the variable ‘p’ must be understood to be a propositional variable, taking entire propositions instead of names of propositions as its substitution instances. Secondly, the universal quantifier ‘(p)’ must be understood substitutionally, since the traditional, objectual interpretation of the quantifiers does not square well with the use of propositional variables. A statement using the particular (or existential) substitutional quantifier is true just in case the open sentence following the quantifier has at least one true substitution instance; while a statement using the universal substitutional quantifier is true in case every substitution instance is true (cf. David, 1994, p. 85). In order to avoid confusion between the objectual and substitutional interpretations of the quantifiers, I shall use ‘∀p’ to designate the universal substitutional quantifier. (20′), then, should read

(20″) ∀p(If John said that p, then p).

If, however, we interpret the conditional in (20″) as a material conditional, (20″) will still misrepresent the content of (19).

To see why this is so, consider the fact that universally quantified statements can be understood as conjunctions of all their possible substitution instances. For example, (20″) is equivalent to

(22) (If John said that p1, then p1 is true) & (If John said that p2, then p2 is true) & (If John said that p3, then p3 is true) & … & (If John said that pn, then pn is true).

How many conjuncts make up the content of (22) will depend upon the size of the domain of discourse in question. That is, it will depend upon how many possible values of p there are. If the domain of the variable ‘p’ is the set of all things that can be said, then (22) will consist of an indefinitely large conjunction of substitution instances. Most of the conjuncts will be vacuously true by virtue of having false antecedents—i.e., there will be indefinitely many things that John did not say. This means that each of the indefinitely many conditionals formed from things that John did not say is just as much part of the content of (19) as each of the conditionals formed from things John did say. That seems counterintuitive and contrary to the meaning of (19). Suppose that John made only the following three statements on the occasion in question.

(23) Gas prices are too high.

(24) Taxes are too high.

(25) Professional baseball players’ salaries are too high.

It is plausible to think that (19) says something about (23), (24) and (25) but not about (26), (27) and (28)—statements John never made.

(26) Gas prices are too low.

(27) Taxes are too low.

(28) Professional baseball players’ salaries are too low.

Yet if the quantification in (20″) remains unrestricted, then its content consists of a conjunction of conditionals having (26), (27), (28) and countless other statements John did not say in their antecedents.

If quantificational prosentences such as ‘Everything John said is true’ are to refer to only finite classes of claims, their quantifiers must be restricted in some way. One way to trim down the domain of ‘p’ in (20″) is to limit the universe of discourse to the set of all statements made by John. Let ‘UJ’ represent some particular universe of discourse, and let ‘{p|Øp}’ mean ‘the set of all propositions such that ‘Øp’ is true.’ If we limit the universe of discourse to all and only the things that John said, then we have

(29) ∀p(If John said that p, then p). UJ = {p|John said p}

‘∀p(If John said that p, then p)’ will then consist of a finite conjunction of true conditionals, one for each thing said by John on the occasion in question. This arrangement, however, has the unusual feature that, for every grammatical subject of such a universally quantified sentence, there will be a different universe of discourse. For every x, there will be a unique universe of discourse for each statement of the form

(30) ∀p(If x said that p, then p). Ux = {p|x said p}

Other quantificational prosentences that would be instances of (30) include

(31) Everything the Pope says about theological doctrine is true.

(32) Everything Henry Kissinger says about foreign policy is true.

Following the current suggestion, (31) could be symbolized as either

(33) ∀p(If the Pope said that p, then p). UP = {p|the Pope said p & p is a matter of theological doctrine}

or

(33′) ∀p(If the Pope said that p & p is a matter of theological doctrine, then p). UP = {p|the Pope said p}

The symbolization for (32) would be analogous. It is not clear that we will be able to capture what is common to all of these cases if each quantificational prosentence is tied to a distinct universe of discourse. Perhaps there is another way to limit the domain of ‘p’ in (20″).

Nuel Belnap, Jr. (1973), one of the founders of the prosentential theory of truth, introduced the notion of ‘conditional assertion’ to solve the problem of restricted quantification—i.e., where one wants to quantify over only a limited domain. All prosentential theorists now rely upon Belnap’s model to explicate the logical structure of quantificational prosentences. Belnap introduced the notation ‘(A/B)’ to stand for conditional assertion. Conditional assertion occurs when someone does not assert the conditional ‘If A then B’ as much as conditionally assert B—that is, assert B on the condition that A. Belnap formulates the following principle to capture this idea:

(B1) If A is true, then what (A/B) asserts is what B asserts. If A is false, then (A/B) is nonassertive. (Belnap, 1973, p. 50)

Quantifying into conditional assertions yields a restricted form of quantification, regarding which Belnap offers the following principle.

(B2) Part 1. (x)(Cx/Bx) is assertive just in case ∃xCx is true. Part 2. (x)(Cx/Bx) is the conjunction of all the propositions (Bt) such that Ct is true. (ibid., p. 66)

Applying Belnap’s conditional assertion notation to (20″) yields

(34) ∀p(John said that p/p).

The content of (34), then, is a finite conjunction of claims. But notice that it is not a conjunction of conditionals of the form ‘If John said that p, then p,’ each with a true antecedent. Rather, it is a conjunction of claims p1, p2,…, pn, each of which satisfies the condition that John said it. The focus of such a claim is on what John said and only derivatively on the fact that it was John who did the saying. If the only statements John made were (23), (24) and (25), then the content of an assertion of (34) is exhausted by the conjunction of (23), (24) and (25). As a result, Belnap’s principle of restricted quantification solves the problem of how to interpret ‘Everything John said is true.’ Applying Belnap’s principles to (31) and (32) yields

(35) ∀p(the Pope said that p & p is a matter of theological doctrine/p).

(36) ∀p(Kissinger said that p & p is a matter of foreign policy/p).

Following Belnap’s interpretation of conditional assertion and restricted quantification, prosentential theorists can explain how quantificational prosentences have as their content finite conjunctions of claims rather than infinite conjunctions of conditionals, most of which are trivially true. Prosentential theorists thereby show that quantificational prosentences contain no more content than the anaphoric antecedents of those prosentences. Although quantificational prosentences may contain no more explicit content than their anaphoric antecedents, they can also be used as implicit attributions of reliability, where such attributions do not clearly appear in their antecedents. Cf. Beebe (forthcoming).

3. Why the Prosentential Theory is Deflationary

The prosentential theory of truth counts as a deflationary theory because it denies that any analysis of truth of the form

(37) (x)(x is true iff x is F)

can be given, where ‘x is F’ expresses a property that is conceptually or explanatorily more fundamental than ‘x is true.’ An analysis of truth would be appropriate if the truth predicate were a property-ascribing locution and the property that is ascribed could be broken down into more fundamental properties. However, prosentential theorists deny that uses of the truth predicate ascribe any property to sentences or propositions.

A common anti-deflationist approach to truth analyzes truth in terms of reference and predicate satisfaction. Stephen Stich (1990, ch. 5), for example, takes the proper analysis of truth to be

(38) ‘a is F’ is true iff there exists an object x such that ‘a’ refers to x and ‘F’ is satisfied by x.

Instead of denying the truth of statements such as (38), deflationists merely deny that they constitute analyses of truth (cf., e.g., Horwich, 1998, p. 10). Deflationists claim that the most fundamental facts about truth are the instances of the various truth schemata used by deflationary theorists. Consider the equivalence schemata employed by Quine’s (1970) disquotationalism:

(D) ‘p’ is true iff p

and Paul Horwich’s (1998) minimalism:

(MT) The proposition that p is true iff p.

Nominalizations of descriptive items are substituted on the left-hand sides of each biconditional schema, while the right-hand sides contain either descriptive items themselves or appropriate translations of them. Each of these theorists claims that there is no more to truth than what is expressed by the substitution instances of these equivalence schemata. Truth is not analyzed as a relation and the instances of the equivalence schemata are taken to be the most fundamental facts about truth. The prosentential theory claims that each of the favored examples of these deflationary theorists is simply a special case of the more general phenomenon of anaphora. Regardless of the points of disagreement among deflationary theorists, they all agree that instances of the truth schemata represent facts about truth that are more fundamental vis-à-vis truth than any fact given in an analysis such as (38).

Some theories, such as the correspondence theory of truth, take truth to be a relation between propositions and the world. Where ‘C’ expresses the correspondence relation, ‘y’ ranges over segments of reality, and ‘x’ is used—for the sake of convenience—as a placeholder for both descriptive items and the contents of descriptive items, we can represent a common version of the correspondence theory as

(39) (x)[x is true iff (∃y)(Cxy)].

(39) should read ‘For any (descriptive item) x, x is true if and only if there is a (segment of reality) y such that x corresponds to y.’ If truth cannot be analyzed at all, then it obviously cannot be analyzed as a relation. If, however, truth can be analyzed, then perhaps it would be appropriate to analyze it as a relation between descriptive items and segments of the world. How should one go about deciding between the correspondence theory and the prosentential theory?

Prosentential theorists respond by inviting readers to consider the following facts. The correspondence theory claims that snow’s being white is necessary but not sufficient for the truth of ‘snow is white.’ In addition to snow’s being white, the proposition that snow is white must stand in a relation of correspondence to the fact that snow is white. The prosentential theory, by contrast, claims that snow’s being white is both necessary and sufficient for the truth of ‘snow is white.’ As Alston (1996, p. 209) puts it, “Nothing more is required for its being true that p than just the fact that p; and nothing less will suffice.” One of the hallmarks of deflationism is the claim that the truth of a descriptive item depends only upon the meaning or content expressed by that item and how things actually stand in the world. Prosentential theorists and other deflationists hope that their readers will see that further constraints on truth are unnecessary.

The prosentential theorist’s claim that no analysis of truth can be given should not be confused with the claim that no explanation of truth can be given. The prosentential theory explains the function of the truth predicate by showing how ‘x is true’ functions as a prosentence-forming operator. (Because the prosentential explanation of truth makes the story about truth depend upon a story about how we use words and concepts, the prosentential explanation of the function of “true” generally leads theorists to adopt a version of the ‘use theory of meaning.’)

Deflationary theorists also claim that truth never performs any real explanatory work. Suppose, for example, that Smith successfully performs the action of attending a concert on Friday and that his action was in part based upon his belief that the concert is on Friday. If Smith succeeds in arriving at the concert on Friday, what best explains the success of his action? The non-deflationist answers that it is the truth of Smith’s belief that explains his success. His action succeeds because his belief is true. In other words, there is an important property of his belief (or perhaps a property of the proposition expressed by his belief)—namely, truth—that is central to any adequate explanation of Smith’s successful action. Deflationists disagree. They reply that the reason that Smith succeeded in performing an action based upon the belief that the concert is on Friday is that the concert is on Friday. There is no need to implicate a special truth property in this explanation. Why do actions based upon the belief that oxygen is necessary for combustion generally succeed (other things being equal)? Because oxygen is necessary for combustion. And so on. Because prosentences never have any content of their own, whatever explanatory burden one may wish for them to shoulder will always fall to their anaphoric antecedents.

4. The Recognition-Transcendence of Truth

Unlike some alternatives to the correspondence theory (e.g., the epistemic theories of truth of C. S. Peirce, Hilary Putnam, and Michael Dummett), the prosentential theory accepts that truth can be recognition-transcendent. Epistemic theories of truth always have epistemic operators (e.g., ‘justifiably believes that…,’ ‘warrantedly asserts that…’) of some sort on the right-hand side of their analyses of truth. For example,

(CSP) p is true iff the unlimited communication community in the long run would believe that p.

(HP) p is true iff one would be warranted in asserting that p in ideal epistemic circumstances.

(IJC) p is true iff it would be justifiable to believe that p in a situation in which all relevant evidence (reasons, considerations) is readily available. (due to Alston, 1996, p. 194)

Unlike correspondence and prosentential theories, epistemic theories always mention the knowledge, assertions or justified beliefs of particular people. Subjects and their beliefs do not figure into correspondence and prosentential theories in any way.

Truth theories such as (CSP), (HP) and (IJC) have the implication that there could not be any true propositions “such that nothing that tells for or against their truth is cognitively [in]accessible to human beings, even in principle” (Alston, 1996, p. 200). Summarizing a common thread of epistemic theories of truth, Alston (1996, pp. 189-190) writes,

The truth of a truth bearer consists not in its relation to some “transcendent” state of affairs, but in the epistemic virtues the former displays within our thought, experience, and discourse. Truth value is a matter of whether, or the extent to which, a belief is justified, warranted, rational, well grounded, or the like.

According to prosentential theorists, truth theories like (CSP), (HP) and (IJC) that focus on epistemic virtues are incompatible with the various truth schemata used by deflationists to explicate the concept of truth. Schemata such as

(40) p is true iff p

represent facts about truth that are so fundamental and obvious that the uninitiated often have difficulty seeing beyond their triviality to the significance of the deflationary thesis.

According to (IJC), snow’s being white is neither necessary nor sufficient for the truth of ‘snow is white’ or the proposition that snow is white. If it is possible for all relevant evidence to be readily available and yet for this evidence to be unable to make a belief that snow is white justifiable, then ‘snow is white’ will not be true—even if snow is, in fact, white. Since this seems clearly possible, snow’s being white is not sufficient for the truth of ‘snow is white.’ Moreover, if it is possible for all relevant evidence to be readily available and for this evidence to make the belief that snow is white justifiable even when snow is not white, then (since this seems clearly possible) snow’s being white is not necessary for the truth of ‘snow is white’ either. Similar considerations apply to (CSP) and (HP). Prosentential theorists claim that any theory which makes snow’s being white neither necessary nor sufficient for the truth of ‘snow is white’ is inadequate. The equivalence schemata simply do not allow any room for the epistemic status of a proposition (or a belief or statement) being both necessary and sufficient for that proposition’s truth. In the eyes of prosentential theorists, epistemic theories of truth are incompatible with the equivalence schemata and their instances.

By contrast, the prosentential theory embraces the recognition-transcendence of truth. Truth schemata such as

(40) p is true iff p

do not require that anyone be able to tell whether p is the case in order for p to be true. In order for p to be true, nothing more is required than p. No one has to be able to verify or warrantedly assert it. The right-hand side of (40), then, does not limit truth to what falls within our thought, experience and discourse. As a result, the prosentential theory of truth is compatible with (though it neither entails nor is entailed by) a robustly realist metaphysics. It is a mistake to think that the correspondence theory is the only truth theory a metaphysical realist can buy into and that any critic of the correspondence theory will be an antirealist.

5. A Prosentential Theory of Falsity

The prosentential theory of truth can be extended to account for uses of the predicate ‘x is false.’ The prosentential theory of falsity will be strongly analogous to the prosentential theory of truth. The prosentential theorist can claim that, just as the predicate ‘x is true’ functions as a prosentence-forming operator, so does ‘x is false.’ When an expression referring to an antecedent utterance is substituted for ‘x’ in ‘x is true,’ the resulting claim will have the same content as its anaphoric antecedent. By parity, when a referring expression that denotes some antecedent utterance is substituted for ‘x’ in ‘x is false,’ the resulting claim will have the same content as the denial of its anaphoric antecedent. Consider the following example.

(41) Joe: The sky is cloudy. Jane: That’s true. Mark: That’s false.

Jane’s utterance has the same content as Joe’s, namely, that the sky is cloudy. Mark’s utterance, on the other hand, has the same content as the denial of Joe’s utterance, namely,

(42) The sky is not cloudy.

Mark’s utterance inherits part of its content from its anaphoric antecedent (that is, Joe’s utterance), but his utterance includes an extra bit of content not found in that antecedent: negation. Instances of the prosentence-forming operator ‘x is false,’ then, will have the same content as the negations of their antecedents.

6. The Liar Paradox

The prosentential theory of truth implies a solution to the liar paradox. Consider the following sentence.

(43) This sentence is false.

Is (43) true or false? If (43) says something true, then—since it says that (43) itself is false—it says something false. However, if (43) says something false, then—since it says that (43) is false—it says something true, namely, that (43) is false. We are thus confronted with a paradox.

Some attempts to solve the liar paradox involve extreme measures. Tarski, for example, thought that the paradox could be avoided only by eschewing ‘semantically closed languages’—i.e., languages which contain semantic terms that are applicable to sentences of that same language. He maintained that a theory of truth for a language should not be formulated within that same language. So, a theory of truth-in-L1 must be formulated in some meta-language, L2. If we allow the predicate ‘x is true-in-L1’ to be part of L1, paradoxes will result. The predicate ‘x is true-in-L1,’ then, must be part of the meta-language, L2. Since no well-formed sentence of L1 can be used to talk about the truth value of any sentence in L1, there is no chance for the liar paradox to arise because the basic liar sentence makes a claim about its own truth value. Tarski succeeds in avoiding the basic form of the liar paradox—but only at a very high price. He must content himself with providing an account of ‘true-in-Li’ rather than an account of truth. And, since natural languages like English are semantically closed, Tarski’s theory also has the weakness of applying only to artificial languages.

Defenders of the prosentential theory claim that they can provide a solution to the liar paradox that is more natural and comes with a significantly lower price tag. According to the prosentential theory, (43) is neither true nor false because it fails to pick up an anaphoric antecedent. Just as I cannot inherit my own wealth, a prosentence cannot inherit its content from itself. Anaphoric inheritance is a non-reflexive relation that holds between two distinct things. A prosentence has content only when content has been passed to it from a content-bearing antecedent. Consequently, (43) will have content only if its anaphoric antecedent does. But if (43) is its own antecedent, (43) will have content only if (43) does. Since prosentences do not have their own independent content, (43) fails to have any content. Since it does not succeed in expressing a proposition, the liar sentence is neither true nor false and the paradox is avoided.

7. Objections

Philosophical objections to the prosentential theory of truth can be divided into two main groups. One set of objections is directed against Grover, Camp and Belnap’s (1975) original version of the theory; the other is directed against Brandom’s (1994) updated version. Originally, Grover, Camp and Belnap claimed that each prosentence—e.g., ‘it is true’ or ‘that is true’—referred as a whole to an antecedent sentence token. Each occurrence of ‘it’ or ‘that’ in a prosentence, they claimed, should not be interpreted as a referring expression. In fact, ‘it,’ ‘that’ and ‘…is true’ should not be treated as having independent meanings at all. Grover, Camp and Belnap were trying to undermine the idea that the truth predicate is a property-ascribing locution. They thought that if ‘it’ and ‘that’ were taken to be referring expressions, it would seem only too natural to conclude that ‘…is true’ ascribed a predicate to their referents.

One consequence of Grover, Camp and Belnap’s commitment to the non-composite nature of prosentences is that they are forced to find non-composite prosentences in places where there do not seem to be any. Consider, for example,

(13) Goldbach’s conjecture is true

and

(14) ‘Snow is white’ is true.

Grover, Camp and Belnap must argue that, despite appearances, (13) and (14) are not really composed of the referring expressions ‘Goldbach’s conjecture’ and ‘’Snow is white’’ conjoined to the predicate ‘…is true.’ According to the original version of the prosentential theory, the logical form of (13) is actually something like

(13′) For any sentence, if it is Goldbach’s conjecture, then it is true

or

(13″) There is a unique sentence, such that Goldbach conjectured that it is true, and it is true.

The logical form of (14) would be either

(14′) For any sentence, if it is ‘Snow is white,’ then it is true

or

(14″) Consider: snow is white. That is true. (Grover, Camp and Belnap, p. 103)

(Each of these interpretations has been suggested by some prosentential theorist.) In three of the four interpretations, quantifiers are introduced so that the prosentence ‘it is true’ can remain an unbroken unit. Universal quantifiers are used in (13() and (14(), and an existential quantifier is used in (13″).

An obvious objection to Grover, Camp and Belnap’s strategy is that it seems quite unlikely that (13′) and (14′) or (13″) and (14″) reveal the true logical structure of (13) and (14). There is no good reason to suppose that the surface structure of (13) and (14) hides genuine quantifiers below the surface. Furthermore, there are simply too many uses of the truth predicate outside of the phrases ‘it is true’ and ‘that is true’ for Grover, Camp and Belnap’s interpretation to be plausible. (Cf. Brandom (1994, pp. 303-305) and Kirkham (1992, pp. 325-329) for more critical discussion of Grover, Camp and Belnap’s early version of the prosentential theory.)

Brandom (1994, pp. 303-305) has argued that prosentential theorists do not need to treat ‘it is true’ and ‘that is true’ as non-composite units. Instead, he claims that ‘…is true’ should be treated as a prosentence-forming operator. When it is conjoined to any kind of referring expression, the resulting expression will have the same content as the antecedent sentence or utterance denoted by the referring expression. (This is the version of the prosentential theory that I have been assuming throughout.) However, a different set of problems confronts this version of the prosentential theory. Consider the following example inspired by Wilson’s (1990) criticisms of the prosentential theory.

(44) Steve: Boudreaux won the mayoral election. Kate: What that conniving, good-for-nothing bum said was true.

If Brandom’s version of the prosentential theory is correct, Kate’s utterance should have no more content than Steve’s. Clearly, however, Kate’s remark does more than simply reassert the content of Steve’s remark. It casts aspersions on Steve’s character. According to Brandom’s seemingly more defensible version of the prosentential theory, a referring expression used at the head of a prosentence serves only to pick out an antecedent from which the prosentence can inherit its content. But referring expressions can be naughty or nice, informative or dull. Once Brandom opens the door for prosentences to be formed by conjoining any referring expression to the prosentence-forming operator ‘…is true,’ it seems that he can no longer maintain that prosentences never have any more content than their anaphoric antecedents. Referring expressions are not all like proper names. Very often they bring with them a great deal more content than is strictly necessary for them to succeed in referring. A proper interpretation of prosentences cannot ignore this extra content. (Cf. Wilson (1990) for more criticisms that apply to both versions of the prosentential theory.)

8. Prosentential Theory vs. Other Deflationary Theories

According to F. P. Ramsey’s redundancy theory, one of the earliest deflationary theories, sentences such as

(45) The earth is round

and

(46) It is true that the earth is round

say exactly the same thing. The phrase “It is true” is a superfluous addition. Ramsey did not, however, explain why phrases like “It is true that…” or “…is true” exist at all if they serve no real purpose. The prosentential theory incorporates Ramsey’s claim about redundancy of content in its account of the function of prosentences. Since prosentences inherit their content from their anaphoric antecedents, they will say the same thing as their antecedents. However, the prosentential theory goes beyond the redundancy theory by providing an explanation of why we have the truth predicate in our language. Prosentences of laziness (e.g., “That’s true” spoken after someone utters “It’s very humid in Louisiana”), it is argued, give us a way of expressing agreement without having to repeat what has been said while at the same time acknowledging that an assertion has been made. Also, quantificational prosentences (e.g., “Everything Henry Kissinger says is true”) enable us to state generalizations when we might be unable to state each individual instance of any such generalization.

The prosentential theory also tries to incorporates some of the central claims of P. F. Strawson’s performative theory of truth. According to Strawson, statements such as “That’s true” (uttered after someone says that the sun is bright) or “It is true that the sun is bright” are nonassertoric performative utterances. An utterance is nonassertoric if it does not make an assertion. Commands (e.g., “Clean your room”) are examples of nonassertoric utterances because they do not purport to state or describe any facts. Similarly, according to Strawson, “It is true” (uttered after someone says that the sun is bright) and “It is true that the sun is bright” do not assert that some sentence or proposition has the property of being true. Rather, these are performative utterances, which do not so much say something as do something. In these cases the truth predicate is being used to express agreement or to endorse some claim.

The prosentential theory follows Strawson’s performative theory in denying that the truth predicate ascribes a truth property to propositions or statements. However, the prosentential theory does not deny that prosentences—while they may very well be used to express agreement—also assert something in the act of expressing this agreement. In addition, the prosentential theory can accommodate one type of case that causes trouble for the performative theory. Many embedded uses of the truth predicate do not seem to be expressions of agreement, as in “If what he said is true, we’ll be out of this building before winter.” Such a use of the truth predicate may very well not express agreement. The speaker may be unsure whether he should endorse the claim and may be merely thinking hypothetically. The prosentential theory does not require that every use of the truth predicate be an expression of agreement—although they can be used to do so. It explains that prosentences—even those that are embedded in the antecedents of conditionals (e.g., “what he said is true”)—inherit their content from their anaphoric antecedents.

W. V. Quine’s (1970) disquotational theory of truth views the truth predicate as a convenient device of ‘semantic ascent.’ When, for example,

we want to generalize on ‘Tom is mortal or Tom is not mortal,’ ‘Snow is white or snow is not white,’ and so on, we ascend to talk of truth and of sentences, saying ‘Every sentence of the form ‘p or not p’ is true,’ or ‘Every alternation of a sentence with its negation is true.’ What prompts this semantic ascent is not that ‘Tom is mortal or Tom is not mortal’ is somehow about sentences while ‘Tom is mortal’ and ‘Tom is Tom’ are about Tom. All three are about Tom. We ascend only because of the oblique way in which the instances over which we are generalizing are related to one another. (Quine, 1970, p. 11)

The truth predicate, then, exists because it enables us to form certain generalizations that would otherwise quite difficult to state without some such device of semantic ascent. When, however, the truth predicate is used with single sentences (e.g., “‘Snow is white’ is true”), it is superfluous.

Defenders of the prosentential theory agree with Quine (1970, p. 12) that, “despite a technical ascent to talk of sentences, our eye is on the world” when we use the truth predicate. In other words, both Quine’s disquotationalism and the prosentential theory deny that the truth predicate is used to ascribe a property to propositions. The truth predicate, they claim, is used to say something about the world. The prosentential theory also acknowledges the important role the truth predicate plays in forming generalizations that might otherwise be difficult or impossible to state (cf. the discussion of quantificational prosentences above). Furthermore, both theories explain truth by explaining the role of certain linguistic items (e.g., devices of semantic ascent, prosentences) rather than focusing on language-independent propositions and properties.

However, unlike disquotationalism, the prosentential theory recognizes that there are many uses of the truth predicate in which there is nothing to disquote. For example, in the sentence “Goldbach’s conjecture is true,” there are no quotation marks to be removed. Instead of being used in connection with an entire sentence, here the truth predicate is joined to an expression (‘Goldbach’s conjecture’) referring to an antecedent sentence. It is not clear how the disquotational theory might be extended to cover this kind of case. The prosentential theory explains that any referring expression (e.g., a name, definite description, etc.) inherits its content from its anaphoric antecedent(s) and, when such an expression is conjoined to the truth predicate, a prosentence with the same content as the antecedent(s) results.

Paul Horwich’s minimalist theory of truth (1998)—unlike the prosentential theory and some other deflationary theories—takes the primary bearers of truth to be propositions rather than sentences or utterances. Horwich claims that the conjunction of all the instances of the schema

(MT) The proposition that p is true iff p

yields an implicit definition of truth. Each instance is an axiom of his theory. How many instances are there? There’s one for every possible proposition, including propositions no human being understands and maybe even a few that no human being could ever understand. In other words, there are infinitely many. Horwich claims that there is nothing more to our concept of truth than our disposition to assent to each of the instances of (MT).

Horwich and defenders of the prosentential theory agree in thinking that no analysis of truth can be given. Horwich, however, thinks that the truth predicate does expresses a property, since he believes that all predicates express properties in some minimal sense. Although the prosentential theory is typically described as denying that “true” expresses a property of any sort (see, for example, Lynch, 2001, p. 4), the writings of Dorothy Grover (1992)—the primary defender of the prosentential theory—are far from clear on the issue of predicates and properties. Grover claims that the truth predicate is not used to ascribe a property to propositions, but this is compatible with the truth predicate expressing a property in a minimal sense (à la Horwich) nonetheless. The fact that a certain Rolex is not used as a paperweight does not mean that it lacks the property of being able to weigh down papers. Grover also claims that truth is not a substantive or naturalistic property, but this claim is compatible with truth being an insubstantial or nonnaturalistic property (also à la Horwich). Since Grover does not sufficiently explain her remarks about substantive or naturalistic properties, it is difficult to tell how close her prosentential theory actually is to Horwich on this issue. Brandom’s (1994, ch. 5) discussion of the prosentential theory does not even broach the issue.

What is clear is that Horwich and defenders of the prosentential theory disagree about the virtues of the substitution interpretation of the quantifiers. Horwich recognizes that if he used substitutional quantifiers, his theory would be finitely statable. He explains, however, that substitutional quantifiers would be too costly an addition to our language: “The advantage of the truth predicate is that it allows us to say what we want without having to employ any new linguistic apparatus of this sort” (Horwich, 1998, p. 4, n. 1). Horwich also harbors doubts about whether we can spell out the notion of substitutional quantification without circularly relying upon the notion of truth (Horwich, 1998, pp. 25-26). In making this last remark, Horwich is thinking of Grover, Camp and Belnap’s unusual thesis that every use of a prosentence—even “‘Snow is white’ is true”—implicitly contains a quantifier. (Cf. section VII for more discussion of this point.) Since substitutional quantifiers must be brought in to explain every use of a prosentence, Grover, Camp and Belnap cannot explain substitutional quantification in terms of truth. However, Brandom’s (1994) version of the prosentential theory does not use substitutional quantification to explain the function of the truth predicate. He argues that, although quantificational prosentences employ substitutional quantification, lazy uses of prosentences—which are more fundamental than their quantificational cousins—do not (cf. section II above). Brandom, thus, avoids the problem of circularity.

9. References and Further Reading

  • Alston, W. P. (1996). A Realist Conception of Truth. Ithaca, NY: Cornell University Press.
  • Beebe, J. R. (2003). Attributive uses of prosentences. Ratio, 02/2003; 16(1), 1 – 15.
  • Belnap, Jr., N. D. (1973). Restricted quantification and conditional assertion. In H. Leblanc (Ed.), Truth, syntax and modality (pp. 48-75). Amsterdam: North Holland Publishing Co.
  • Brandom, R. B. (1994). Making it explicit: Reasoning, representing, and discursive commitment. Cambridge, Mass.: Harvard University Press.
  • David, M. (1994). Correspondence and disquotation. New York: Oxford University Press.
  • Grover, D. (1992). A prosentential theory of truth. Princeton, NJ: Princeton University Press.
  • Grover, D., Camp, Jr., J., & Belnap, Jr., N. D. (1975). A prosentential theory of truth. Philosophical Studies, 27, 73-124.
  • Horwich, P. (1998). Truth (2nd ed.). New York: Oxford University Press.
  • Kirkham, R. L. (1992). Theories of truth: A critical introduction. Cambridge, MA: MIT Press.
  • Lynch, M. P. (2001). Introduction: The mystery of truth. In M. P. Lynch (Ed.), The nature of truth: Classic and contemporary perspectives (pp. 1-6). Cambridge, MA: MIT Press.
  • Quine, W. V. (1970). Philosophy of logic. Englewood Cliffs, NJ: Prentice-Hall.
  • Stich, S. P. (1990). The fragmentation of reason: Preface to a pragmatic theory of cognitive evaluation. Cambridge, MA: MIT Press.
  • Wilson, W. K. (1990). Some reflections on the prosentential theory of truth. In J. M. Dunn & A. Gupta (Eds.), Truth or consequences (pp. 19-32). Dordrecht: Kluwer Academic Publishers.

Author Information

James R. Beebe
Email: beebe “at” yahoo “dot” com
University at Buffalo
U. S. A.

Sengzhao (Seng-Chao c. 378—413 C.E.)

Sengzhao (Seng-Chao) was a Buddhist monk who lived during China’s “Period of Disunity” between the stability of the Han and Tang dynasties.  His Zhaolun (Treatises of [Seng]zhao) is perhaps the most significant text for the study of early Mādhyamika (“middle-ist”) or Sanlun (“Three-Treatise”) Buddhism in China.  His work may be the only extensive compilation of early Chinese Mādhyamika treatises available, although no Mādhyamika “school” is likely to have existed in China until Jizang (549-623 C.E.) projected such a lineage back to the time of Sengzhao.  Mādhyamika, a philosophical development that arose within Mahāyāna Buddhism in India during the first few centuries CE, concentrates on distinguishing between concepts and ideas as necessary but insubstantial tools for functioning within the world of conventional reality and the false sense of duality between subject and object that they often engender.  As Sengzhao puts it in his Commentary to the Vimalakīrtinirdesha Sūtra: “Those things which are find their genesis in the mind; [those things] which originate in the mind arise from things. That region of affirmation and negation is a place of illusion.”  Considered to have been a brilliant young monk who was the principal person responsible for the transmission of  Mādhyamika teaching in China, Sengzhao has received a great deal of attention from scholars interested in resolving the question of the extent to which the Chinese fully understood the Indian religio-philosophical system and its relationship to the indigenous Daoist and Confucian traditions.

Table of Contents

  1. Life
    1. Traditional Biography
    2. Other Accounts
  2. Works
  3. Background
    1. Indian Mdhyamika
    2. Chinese Mdhyamika
  4. The Treatises
    1. Overview
    2. Things Do Not Shift
    3. Non Absolute Emptiness
    4. Prajn Is Without Dichotomizing Knowledge
    5. Correspondence with Liu Yimin
    6. Nirvna Is Without Conceptualization
    7. The Treatises as a Whole
  5. References and Further Reading

1. Life

a. Traditional Biography

The Gaoseng Zhuan (Biographies of Eminent Monks), contains the following traditional account of Sengzhao’s life: The monk Sengzhao was a man from Jingzhao. His family being impoverished, Zhao hired himself out as a copyist in order to make a living. As such, he successively went through the Classics and History, in the process becoming proficient in writing. Zhao’s interests inclined towards the subtle and profound, having always considered Lao[zi] and Zhuang[zi] as particularly important in terms of the mind. After studying Laozi’s Daodejing, Zhao declared, “It is indeed beautiful, but I have not yet discovered the region where my spirit can settle down and my worldly ties be completely severed.” After a time, Zhao read the old [version] of the Vimalakrtinirdesha Stra and was overcome with happiness and pleasure. Opening it repeatedly, he relished its flavor and exclaimed, “At last I know where I should be!” Because of this, Zhao became a learned monk, studying both the Vaipulya Stra and the Tripitaka.

Having reached the age for capping [coming of age], Zhao’s reputation had become widespread through the Passes and in the administrative capital. In time, however, quarrelsome people doubted the fame that had come to him primarily because of his youth. Coming from as far away as one thousand li, they entered the Passes and engaged Zhao in debate. However, since Zhao had a talent for profound thinking and was also an expert in pure conversation, he seized whatever openings he had and pointedly crushed his opponents, who could not obstruct him. In time, respected scholars from Jingzhao and from outside the Passes wondered at his discriminating arguments and considered trying to challenge him.

At the time when Kumrajva [a famous Central Asian Buddhist missionary to China, c. 344-413 CE] arrived in Gecang, Zhao followed him in order to become a disciple. Kumrajva highly praised him without limit. When Kumrajva moved to Chang’an, Zhao also followed him there. Yao Xing placed Zhao, Sengrui and other monks in the Xiaoyao pavilion, where they assisted in the examination and editing of the Buddhist treatises.

Zhao, being aware that the Sage [the Buddha] had passed on long ago, that the literature had come to take on numerous mixed interpretations, and that earlier translations of the texts had certain mistakes in them, regularly consulted with Kumrajva and greatly increased his comprehension. Therefore, following the translation of the Pancavimshatisahsrik prajnpramit Stra (Twenty-Five Thousand Stanza Perfection of Wisdom Stra), Zhao wrote the treatise entitled Prajn Is Without Dichotomizing Knowledge in over two thousand words. Upon its completion, Zhao presented it to Kumrajva. After reading it, the master declared it to be beautiful and said to Zhao, “My explanations are on par with yours, but your wording and expression is far better!”

In time, the retired Lushan scholar Liu Yimin saw a copy of Zhao’s Prajn Is Without Dichotomizing Knowledge. He also praised it, saying, “I did not think that among your monks there would be another Bingshu.” In turn, Liu Yimin presented it to his superior, Huiyuan, who also cherished it. Huiyuan exclaimed that he had never seen another like it. Accordingly, the entire community opened and savored the treatise, passing it from one to another repeatedly.

Liu Yimin also composed a letter to Zhao.  Following this, Zhao wrote treatises on Non Absolute Emptiness, Things Do Not Shift and others. In addition, he commented on the Vimalakrtinirdesha Stra and composed numerous prefaces, all of which remain extant. Following the death of Kumrajva, Zhao reflected on his teacher’s untimely death and eternal departure, feeling his longing desires and hopes vanquished. At this time, Zhao wrote the treatise Nirvna Is Without Conceptualization.  This essay consists of ten explanations and nine arguments in approximately one thousand words. When the treatise was completed, Zhao presented it to his superior, Yao Xing….

Yao Xing’s response to Zhao’s work was very attentive to various details about the meaning and included praise for its completeness. He then ordered by decree that it be copied and distributed to all the members of his family. This action demonstrates how highly Zhao was regarded at this time. In the tenth year of the yixi period [c. 413-414 CE], Zhao died in Chang’an, having reached the autumn of his thirty first year. (Taishô shinsh daizokyô L; No. 2509; 365a-366b.1)

b. Other Accounts

A number of other accounts exist concerning the life of Sengzhao, though they rarely shed any new light on his work or activities. The Weishou [a collection of canonical texts] accords Sengzhao preeminence among the eight hundred or so scholars gathered at Chang’an: “Daorong and his fellows were of knowledge and learning all-pervasive, and Sengzhao was the greatest of them. When Kumrajva made a translation, Sengzhao would always take pen in hand and define the meanings of words. He annotated the Vimalakrtinirdesha Stra and also published several treatises. They all have subtle meaning, and scholars venerate them.” (Hurvitz 54)

While adding nothing substantively new, this version highlights Sengzhao’s importance as a liaison between the Indian Kumrajva and the Chinese language. All indications point to the foreign master’s reliance on Sengzhao’s ability to “translate” the Indian terminology into stylistically acceptable Chinese. The gong’an (meditation puzzle) collection known as the Biyen lu (Blue Cliff Records) contains a tale concerning Sengzhao’s death which by all accounts is apocryphal. Despite its spurious legend regarding Zhao’s demise, within the gongan commentary supplied by the Chan (“meditation”; Japanese Zen) master Yunmen, we find another reference to his life that provides some insight into his correspondence with Liu Yimin. According to the Biyen lu, Sengzhao not only took Kumrajva as his teacher, but “he also called upon the bodhisattva Buddhabhadra at the Temple of the Tile Coffin, who had come from India to transmit the mind-seal of the twenty-seventh Patriarch. Sengzhao then entered deeply into the inner sanctum.” (Cleary and Cleary 1977:401)

2. Works

In terms of literary output, Sengzhao’s major extant work is the Zhaolun. This text is a product of the formative years of the Chinese Mdhyamika tradition, and consists of a preface, introduction, four treatises and a set of correspondence between Sengzhao and Liu Yimin, a lay monk from the nearby Lushan monastery. The Zhaolun represents one of the earliest and most comprehensive examples of the embryonic thought of the Chinese Mdhyamika school.

In fact, it may be the only extensive compilation of early Chinese Mdhyamika treatises available. Not only do we possess most of the works ascribed to Sengzhao, but the extant texts are full-length, internally logical discourses. By comparing the preface, internal evidence and Sengzhao’s biography, the following order of composition emerges:

c. 405: Prajn Is Without Dichotomizing Knowledge
c. 409: Non-Absolute Emptiness
c. 410: Correspondence with Liu Yimin
c. 410-411: Things Do Not Shift
c. 412-413: Nirvna Is Without Conceptualization
c. 412-413: Introduction (if genuinely composed by Sengzhao, as tradition asserts)

In its completed form, as found in the Taishô shinsh daizokyô (Taishô XLV, No. 1858), the text is rearranged into the following order:

Things Do Not Shift
Non-Absolute Emptiness
Prajn Is Without Dichotomizing Knowledge
Correspondence with Liu Yimin

Nirvna Is Without Conceptualization

In addition, Sengzhao is credited with a commentary on the Vimalakrtinirdesha Stra, an obituary of Kumrajva, an afterword to the Saddharmapundrika Stra, and prefaces to four Mahyna texts: the Drghgama, the Shata Shstra, the Brahmajla Stra, and the Vimalakrtinirdesha Stra.

The Chan tradition also attributes another treatise to the hand of Sengzhao, the Baozang lun (Treasure Store Treatise) (Taishô XLV, No. 1857: 143b-150a), though most scholars regard the work as spurious. Another work, entitled On the Identity of the Buddha’s Two Bodies, has been attributed to Sengzhao; this essay, however, is lost and no corroborating evidence of its existence can be found, either in Sengzhao’s other work or that of later commentators.

In his writing, Sengzhao routinely employs the standard tools of Mdhyamika discourse (see Ngrjuna). Thus, we find Sengzhao engaging in dialectical arguments in which he resorts to the tetralemma (four-cornered negation) as a “solution.” According to this formula, any proposition x entails four logical possibilities:

  1. X is
  2. X is not
  3. X both is and is not
  4. X neither is nor is not

Two of his treatises (Prajn Is Without Dichotomizing Knowledge and Nirvna Is Without Conceptualization) follow the debate-like format of Ngrjuna’s Mulamadhyamakakrik (Verses on the Fundamentals of the Middle Way) [MMK]. In addition, Sengzhao became famous for his artful use of paradox, often reminiscent of the Daoist classic, Zhuangzi. This stylistic trait would make him a favorite of the later Chan school, which regarded Sengzhao as one of its unofficial patriarchs.

3. Background

a. Indian Mdhyamika

Mdhyamika, a philosophical development that arose within Mahyna Buddhism during the first few centuries CE, concentrates on breaking down the reliance on ordinary means of apprehending the world around us. While concepts and ideas are a necessary part of functioning within the world of conventional reality, our tendency to substantialize those concepts into metaphysical realities leads to behavior generating the basic problems of dis-ease (duhkha) and therefore becoming.

Indian Mdhyamika targets the mind’s natural disposition toward conceptualization, a tendency that both creates and fosters a false sense of duality ensuing between the perceiving subject and observed objects. By assigning distinctive names and characteristics to things, we unwittingly create a false dichotomy, particularly in terms of linguistic conventions. Ngrjuna (c. 150-250 CE) referred to this process as the proliferation of conceptual and verbal hair-splitting, or prapanca. He articulated the concept of “emptiness” (shnyat) – the view that neither subject nor object exist independently — as a soteriological device, a deconstructive tool to rid the mind of delusional prapanca. Defined in varying ways by Western scholars, prapanca refers to the mind’s natural tendency to both create elaborate networks of interrelated mental constructions and to cling to those constructs as real.

One who grasps the view that the Tathgata exists,
Having seized the Buddha,
Constructs conceptual fabrications [prapanca]
About one who has achieved nirvna.

Those who develop mental fabrications with regard to the Buddha,
Who has gone beyond all fabrications,
As a consequence of those cognitive fabrications,
Fail to see the Tathgata. (Garfield 1995:62)

These mental fabrications inevitably arise from the mind’s predilection for naming things. In trying to distinguish between things and their respective functions, we assign names as a means of identification. The process of naming itself involves the picking out of abstracted characteristics unique to an entity and declaring it to be the “essence” of the thing.

What human beings perceive as reality is nothing more than artificially manufactured distinctions between things which in turn re-combine into a sense of “I” and “it/them.” From the practical standpoint of everyday living and functioning within the confines of the mundane, these constructs are absolutely necessary. As conventional designations, however, their provisional descriptions have no bearing whatsoever on Ultimate Reality. When taken for the real, they become objects of clinging and therefore fuel for rebirth. Clinging to these fabrications both fuels the cycle of becoming and gives rise to quarrels and disputations.

Common people take their stand on their own points of view . . . and hence there arise all the contentions. Prapanca is the root of all contentions and prapanca arises from the mind. (Dazhi Dulun; Taishô XXV, No. 1509; 61a)

Dissensions abound as a result of the mind’s constant pursuit of what it mistakes for the real. Clinging to the ephemeral, the mind generates ignorance, following its own fantasies in contempt for the way things truly are.

As Ngrjuna goes to great pains to point out, his opponents and the common person continually misinterpret emptiness. One takes it to mean complete annihilationism while another understands it in a newly reified manner. In addressing his opponents’ contention that his emptiness leads to the utter destruction of the Buddhist doctrines of co-dependent origination, karma, the four noble truths and all conventional activity, Ngrjuna retorts:

You understand neither emptiness nor the reasons behind emptiness nor the meaning of emptiness. Therefore you create these problems for yourself. (MMK 24.7)

In his later commentary, Candrakrti (c. 600s CE) elaborates on this verse by connecting the opponents’ position to a misapprehension of the entire Mdhyamika program. Mdhyamika does not advocate a nihilistic position as alleged, nor does it take on ontological status within Ngrjuna’s philosophy. Rather, the purport of emptiness lies in its capacity as a soteriological device intended to calm the excesses of prapanca.

Emptiness is taught in order to calm conceptual diffusion completely; therefore, its purpose is the calming of all conceptual diffusion [prapanca]. (Huntington 1989:205)

Having pacified conceptualization and destroyed the proliferation of mental constructs, a state of equanimity is reached. No longer drawing artificial distinctions between things, no longer reifying the conventional, the one who grasps the real meaning of emptiness ceases apprehending mistaken perceptions of the self, and thereby realizes the ultimate soteriological goal of release.

When views of “I”and “mine” are extinguished, whether with respect to the inner or outer, the appropriator ceases. This having ceased, arising comes to an end.Activity and dis-ease having come to an end, there is nirvna. Activity and dis-ease arise out of conceptualization. Conceptualization arises out of conceptual hair-splitting [prapanca]. Conceptual hair-splitting ceases through emptiness. (MMK XVIII. 4-5)

b. Chinese Mdhyamika

Although Mdhyamika is known in Chinese as the Sanlun Zong (Three Treatise School), most scholars acknowledge that no such “school” existed until Jizang (549-623), who projected such a lineage back to the time of Sengzhao and the disciples of Kumrajva. The Sanlun Zong derives its name from its identification of three major texts as the focal point of study: the Zhonglun (Verses on the Fundamentals of the Middle Way) and Shi’er Menlun (Twelve Topic Treatise) by Ngrjuna (c. 150-250), and the Bailun (Hundred Treatises) by Aryadeva. In addition to these primary texts, the Chinese Mdhyamika concentrated on a number of secondary texts, as evidenced by the commentaries and prefaces to other Mahayanist texts, including the Vimalakrtinirdesha Stra, Bodhisattva dhyna and the Brahmajla Stra.

Chinese Mdhyamika emphasizes the ontological, epistemological and soteriological qualities of emptiness. From this perspective, the main problem facing the unenlightened revolves around their reliance on conceptualization or naming for their understanding and apprehension of the world. In discussing false views concerning the nature of nirvna, Sengzhao points out that “the way of nirvna cannot be understood by grasping at either existence or nonexistence…. These seemingly objective mental projections of existence and nonexistence are merely regions of vain hope.”

Sengzhao elaborates on this point using the concept of “the emptiness of emptiness” (shnyatshnyat) in his Commentary to the Vimalakrtinirdesha Stra:

Those things which are find their genesis in the mind; [those things] which originate in the mind arise from things. That region of affirmation and negation is a place of illusion. (Taishô XXXVIII, NO. 1775; 372c.17-26)

Thus, neither object nor subject exist independently. Mind depends upon the conventionally real and the conventionally real in turn depends upon the mind.

4. The Treatises

a. Overview

Each treatise begins with a basic statement of the problem as understood by Sengzhao. In every instance, the fallacious interpretation of either an object or doctrinal position is immediately linked to the discriminatory activity of prapanca. Understood both in the sense of verbal argumentation and conceptual hair-splitting, prapanca plays a critical role in Sengzhao’s philosophy of religion. While rarely addressing the issue of prapanca directly, he alludes to the question throughout the treatises. Bringing these activities to an end represents the heart of not only the individual treatises but also the text taken as a whole.

Sengzhao traces the genesis of mistaken apprehensions to the interplay and co-dependency of words, concepts and existent things. One without the others proves untenable. Built upon the matrix of observing the phenomenal world (whose mundane existence is never questioned by Sengzhao), ordinary perception functions by assigning a name to individual manifestations and then conceptualizing the conjunction of that name and phenomenon into a self-existent entity with distinctive own-marks. Once the concept has been created and an appropriate name assigned, knowledge of that object is generated. With the presumed knowledge of the thing in hand, the unenlightened believe that they have grasped reality and therefore attained soteriological release.

Sengzhao relentlessly undermines the conventional practice of naming and conceptualizing, believing that the process lead to the delusions and contentions plaguing his day. While never concerned with language as such, he at the same time recognizes the fact that the continuous inter-generational usage of words establishes a common perception that the things so named and discussed possess discrete own-being. Sengzhao certainly does not believe that from the standpoint of the ordinary person this is a well-thought-out “philosophical” system. On the contrary, he continually bemoans the fact that most people simply do not take the time to reflect upon their everyday assumptions.

By opposing the worldly [perception], our words appear insipid and flavorless, which then prevents the common person from deciding between either accepting or rejecting [the correct perspective]. The inferior person simply washes their hands of it and forgets about these matters. . . . It is indeed grievous to me that people’s affections have been led astray for so long, that the truth lies in front of them and yet they remain unaware of its existence. (Things Do Not Shift)

Truth is under our feet, in front of our eyes and yet we lack either the ability or will to apprehend reality. While displaying a sense of compassion for the ordinary person, Sengzhao at the same time roundly criticizes those who argue and dispute over the nature of reality. Those philosophers and religious practitioners who embark on the spiritual journey but get waylaid by mind games and conceptual elaboration are held accountable for their misapprehensions. Sengzhao immediately takes the contentious, the quarrelsome and the polemical to task in the introductory remarks of each treatise. This practice serves as one indication of his primary objective in dismantling the propagation of conceptual and verbal hair-splitting.

b. Things Do Not Shift

Accordingly, the first treatise begins with Sengzhao’s characterization of the commonplace perception of reality. Life, death, the seasons and all things seemingly rotate and change position in a continuous round of movement. In actual fact, however, no motion exists because the concept of motion presupposes a separation and distinction between things which does not ultimately obtain. Motion and its presumed opposite, rest, are nothing more than one and the same thing from the perspective of absolute truth (paramrthasatya).

Those who remain deceived, however, cannot comprehend their concurrence, giving rise to “quarrels and the drawing of distinctions. [Thus], the ancient pathways are overrun by lovers of difference.” The multiplication of conceptual distinctions and the resulting attachments to those differences generate a multitude of arguments among the unenlightened, hopelessly complicating the apprehension of the truth. If we neglect presenting the correct perspective, we merely “allow deceptive views about the nature of things to arise and then are unable to recover [the truth].” Sengzhao clearly has prapanca in mind when he criticized the lovers of difference, even though he never explicitly mentions it by name.

c. Non Absolute Emptiness

Similarly, Non-Absolute Emptiness begins with an eloquent description of the relationship between the enlightened sage’s wisdom and emptiness Apprehending the truth concerning the nature of emptiness, the sage engages the world while at the same time remaining unattached to its snares. Through his enlightened mind, he comprehends the absolute unity of all things in their suchness and deals with them accordingly. By way of contrast, the masses cannot possibly penetrate to the truth due to their reliance on ordinary understanding. As a result, numerous arguments arose concerning the nature of emptiness.

Conversations today all end up disagreeing when they arrive at the fundamentals of emptiness. Because they insist on disagreeing in order to come to some type of agreement, how will they ever settle anything? Hence, in their public quarrels they are unable to arrive at an understanding.

After describing three such misinterpretations of emptiness, Sengzhao underscores his contention that delusion arises through the compounding of things and names. Talk has done nothing but lead the masses to misapprehension and confusion, diverting them from the truth concerning the actual nature of things. Sengzhao therefore alludes to the co-dependent relationship between phenomenal things, naming, thought and reification.

A thing is a thing with reference to things, and so you might call it a thing; however, a thing which is a thing with reference to things is not [truly] a thing, even though we call it [a thing]. Hence, things are not identical with their names, which [do not] complete the thing’s actuality; names are not identical with the thing and are therefore incapable of leading one to the Ultimate.

The correct apprehension of the true nature of things lies completely outside of the morass of words and conceptualizations. Again, Sengzhao is not taking an anti-linguistic stance as such; he does not argue that language constitutes the root of all evil. However, he recognizes that we form our perceptions of the world based on the mind’s tendency to discriminate, distinguish and assign names to things presumed to possess own-being. His acknowledgement of language’s relative importance is reflected in the fact that despite its problems, he “cannot remain silent . . . [and f]or the time being . . . will utilize words . . . [in an attempt] to elucidate” the meaning of emptiness.

In the end, false conceptualizations are done away with and the arbitrariness of names established. Similes and metaphors function only to dislodge the mind from its discriminatory activity. For this reason, the sage engages the world of the phenomenal while remaining detached and identifies with the essential unity of the ultimate and mundane.

d. Prajn Is Without Dichotomizing Knowledge

Prajn (wisdom) is likewise undifferentiated from the One True Ultimate. With correct perception, the emptiness and subtlety of enlightened wisdom represents the culmination of all three vehicles. In ultimacy, neither distinction nor contradiction exists between the paths. Once again, however, “contentious arguments have recently led to confusion and differentiated theories” over the nature of prajn. The proliferation of prapanca has generated speculation that wisdom operates through discriminatory and dichotomizing knowledge. Therefore, Sengzhao feels compelled to dispel the falsehoods and illuminate the correct viewpoint.

After an introductory survey chronicling prajn’s arrival in China, the third treatise opens its substantive argument by depicting sagely wisdom as “subtle, its mysteries profound and [infinite depths] difficult to plumb. Markless and without conceptualization, it cannot be apprehended through either words or symbols.” In attempting to define it or use words to illustrate its nature, we inevitably dissect and create differentiations in regard to the sage’s mind and its functioning. Nevertheless, Sengzhao once again feels that he has no choice but to use words in discussing the matter.

e. Correspondence with Liu Yimin

Unfortunately, having committed description to the inadequacies of language, difficulties and new contentions arise when Sengzhao’s treatise arrives at Lushan. In his correspondence with Sengzhao, Liu Yimin, following his salutary remarks, acknowledges that while erudite, Sengzhao’s consignment of insight to the vagaries of language has produced disagreement and contention within the assembly.

To resign such a subtle principle to mere words is indeed dangerous; those who sing out in this manner find few who can comprehend. Those who cannot cut themselves off from clinging to manifested words and symbols will not grasp the meaning . . . [therefore] I wish to tell you of the doubts which your lofty treatise has raised in those seeking out differences in the mind of the sage.

Sengzhao responds by chastising Liu Yimin and his fellows for fixating on the mere form of words. Looking to the finger as though it were the moon, the scholar-monks at Lushan have equated the discriminative nature of concepts and words with the non-dual functioning of the sage’s mind:

Those participating in the discussions have become fixated on mere words. “In your investigation of the great space you search out the corners.” True understanding again lies outside the parameters of speech and conceptualization. You true gentlemen trained in the profound should know this teaching and understand.

One should abandon the search for the mere traces of truth and embrace the meaning behind the words. “Once one sets his mind to think about it, he begins to err; even more so if one attempts to use words.” Sengzhao advises the learned monks to desist from their reliance on the mundane perspective in favor of the non-dual apprehension of the enlightened.

f. Nirvna Is Without Conceptualization

Finally, in the case of Nirvna is Without Conceptualization, Sengzhao again defends orthodox teachings against those who would constrain the goal of final release to words and concepts. Misunderstanding the basic import of nirvna, the deluded believe it to be a substantive state, one to which they can attain while escaping the phenomenal world. Subtle and mysterious, the expansive, infinite void is unapproachable by the ordinary modes of sight and hearing, and therefore incomprehensible for the banal multitudes.

While the masses lack the capability to apprehend the nuances of nirvna, the philosophically minded have engaged in fruitless disputations which in the end have turned them against the very truth they sought. Inasmuch as they “care only for the words” describing the indescribable, they are “unable to comprehend superior thinking.” Hence, the purpose behind this treatise was to “silence the heretical discussions concerning that vast space.”

For those tied to words, the “one who does not name/conceptualize” [wu ming] proceeds to disabuse them of their views. As Sengzhao insists at the outset, while nirvna is unnameable and non-conceptual,

it is [nevertheless] spoken of as either having or lacking a remainder. These words surely only refer to the different signs of its emergence and remaining. They are simply false thought constructions applied to their corresponding manifestations.

Unattainable through either words or conceptualizations, nirvna consistently eludes reification. Seeking it by means of the worldly reduces the philosopher to stupidity, the rhetorician to silence and the materialists to despair. Accordingly,

the Buddha practiced silence while at Magadha; Vimalakrti refused to speak at Vaishli; Subhti taught the doctrine of no speech and Sakra, King of the Devas, heard nothing and yet it rained flowers.

Only when understood through the non-conceptualizing, non-grasping and non-discriminatory faculty of perfected wisdom does the soteriological take on its true character.

g. The Treatises as a Whole

Another important key to understanding Sengzhao’s thought lies in recognizing the pattern established between the Treatises and the logic inherent in their arrangement, a logic which ties the separate treatises together into a coherent demonstration of the path toward enlightenment. While never explicitly identified within the text itself, this design effectively discloses the logic of religious illumination and soteriological awakening. In following the development of the text itself, we can approximate Sengzhao’s vision concerning the path to enlightenment.

Through the emptying of emptiness, the text progressively moves the reader along a systematic presentation of the mutual relationships which ensue between the objects of cognition [Things Do Not Shift and Non-Absolute Emptiness], their subject [Prajn Is Without Dichotomous Knowing and The Correspondence with LiuYimin] and the ultimate result of correct perception into the nature of that relationship [Nirvna Is Without Conceptualization].

In following the text’s design, the reader is successively led through four interrelated steps:

  1. The realization that things are devoid of an intrinsic self and therefore empty;
  2. That the emptiness of things is not in itself an absolute to be grasped by the conceptualizing mind, in spite of the fact that it represents the ultimate perspective concerning the nature of all things;
  3. Although without graspable, and therefore obtainable, characteristics, emptiness can nevertheless be realized through the medium of perfect wisdom, representing the subject of a knowledge that goes beyond conceptualization and the subject/object duality;
  4. Inasmuch as wisdom illuminates emptiness, its knowing through non-knowing serves as the effective cause for the illumination of the non-conceptual, unnameable effect of the beginningless and endless nirvna.

As reflected within the text and already noted, Sengzhao and the early Chinese Buddhists recognize that conceptualization represents the principal obstacle facing the unenlightened. Fundamentally tied to the conception of an independently existing self, human beings consistently engage the world from the perspective of the ego, viewing the inner self as subject and all other things as objects. Granting existence to both self and others, we naturally create a disjuncture that results in clinging to some things while simultaneously rejecting others, unavoidably fueling the continued round of becoming. Breaking the cycle, for the Mdhyamika, begins with dislodging the mind’s attachment to logically absurd distinctions and its creation of erroneous oppositional categories such as existent/nonexistent, subject/object, nirvna/samsra.

In the final analysis, Mdhyamika sets out to demonstrate the logical absurdity of the cognitive process’ internal structure and the way it expresses itself verbally. In terms of the twelve links in the chain of becoming:

The root of cyclic existence is action.
Therefore the wise one does not act….
With the cessation of ignorance Action will not arise.
The cessation of ignorance occurs through Meditation and wisdom. (MMK XXVI.10-11)

To bring the proliferation of mental fabrications to an end is to put a stop to self-centered action and the refueling of samsra (the cycle of rebirth and suffering). Therefore, the mind represents the principal obstacle to full enlightenment while simultaneously possessing the greatest potential for attaining final release. Ngrjuna cites the Buddha in defense of his assertion that “the power of mind is greatest. By practicing the perfection of wisdom, [an aspirant] can shatter the great mound into tiny particles. . . . Insofar as the mind possesses none of the four qualities [form, scent, taste and density], its power is the greatest.” (Dazhi dulun 299c.5) Kumrajva likewise points to the mind as the root of human troubles and advocates a transcendence of all discursive thought.

[The Dazhi dulun] says that dissociation from all verbalism and quenching all workings of thought is termed the real-mark of all the dharmas. The real-mark of the dharmas is conventionally termed suchness, dharma-nature, and reality-limit. In this [suchness] even the not-existent-and-not-inexistent cannot be found, much less the existent and the inexistent. It is only because of fantasy-conceptions that each one has difficulties about existence and inexistence. If you will conform to the cessation-mark of the Buddha’s Dharma, then you will have no discursive fictions [prapanca]. If you figment fictions about existence and inexistence, then you depart from the Buddha’s Dharma. (Robinson 1978:184-185)

Sengzhao’s primary concern as a Mdhyamikan, therefore, revolves around the mind’s proclivity for naming and absolutizing. A natural operation of the “knowing” faculty, conceptualization functions through the cause and effect relationship of “knowing” arising as an effect generated by the “known” acting as cause. The known therefore function as the objects of knowledge’s knowing and so long as the objects are considered real or substantive, “knowing” represents the proper avenue for realizing the real. Activity and suffering arise as a result of conceptualization, which itself arises from mental fabrications located within the discriminative mind. Bringing to cessation the activity of the knowing mind represents the starting point for the self-realization of reality.

As Nishitani Keiji describes it, religion itself constitutes the “real self-awareness of reality,” by which he means that

our ability to perceive reality means that reality realizes (actualizes) itself in us; that this in turn is the only way that we can realize (appropriate through understanding) the fact that reality is so realizing itself in us; and that in so doing the self-realization of reality itself takes place. (Nishitani 1982:5)

In the end, Sengzhao and the Zhaolun take the reader full circle. Just as the mundane object of knowledge (things) is inherently empty, so too is the ultimate goal toward which things are striving. Unified in their emptiness, each is completely fulfilled and established in their home-ground. The sage has awakened to the wondrous mystery of self-realization, locating reality right where he stands. By following the design of the unified text, the reader can also attain to the attainable as Sengzhao gradually guides us through a thorough-going analysis of the factors of existence and core teachings of the Mdhyamika school.

Beginning with the establishment of the provisional nature of the myriad things and their inherent emptiness, Sengzhao systematically dismantles delusional conceptions concerning emptiness, wisdom and nirvna. In each case, the reliance on mental fabrications and reification of the inherently empty are shown to be logically inconsistent and therefore wrong-headed views about the nature of things as they truly are. Realizing through the power of wisdom and employment of skillful means that emptiness constitutes the true nature of all things, created as well as uncreated, the aspirant attains to the knowledge that ultimate reality is not an absolute lying outside the bounds of the phenomenal, but rather the absolute within the phenomenal. Immanent and yet inaccessible to the ordinary mind, only prajnpramit can bridge the chasm separating the common person from nirvna. Its use, however, within the context of and following the pattern established by the Zhaolun, will eventually end with the realization that

the one who follows after the Genuine becomes the same as the Genuine, while those who go after illusion become the same as illusion . . . [and] liberation exists in the midst of non-liberation.

5. References and Further Reading

  • Chang, Chung-yuan. “Nirvna is Nameless.” Journal of Chinese Philosophy 1 (1974): 247-274.
  • Cheng, Hsueh-li. “Zen and San-lun Mdhyamika Thought: Exploring the Theoretical Foundation of Zen Teachings and Practices.” Religious Studies 15 (1979): 343-363.
  • Cheng, Hsueh-li. “Motion and Rest in the Middle Treatises.” Journal of Chinese Philosophy 7 (1980): 229-244.
  • Cheng, Hsueh-li. “Truth and Logic in San-lun Mdhyamika Buddhism.” International Philosophical Quarterly 21 (1981): 261-276.
  • Cheng, Hsueh-li. Empty Logic: Mdhyamika Buddhism from Chinese Sources. New York: Philosophical Library, 1984; reprint ed., Delhi: Motilal Banarsidass, 1991.
  • Cleary, Thomas, and J.C. Cleary, trans. The Blue Cliff Records. Boulder, CO: Shambala, 1978.
  • Garfield, Jay L., trans. The Fundamental Wisdom of the Middle Way: Ngrjuna’s Mulamadhyamakakrik. New York: Oxford University Press, 1995.
  • Huntington, C. W. The Emptiness of Emptiness: An Introduction to Early Indian Mdhyamika. Honolulu: University of Hawaii Press, 1989.
  • Hurvitz, Leon, trans. “Wei Shou, Treatise on Buddhism and Taoism.” In Yun-kang: The Buddhist Cave Temples of the Fifth Centruy A.D. in North China, Vol. 16 (supplement), 25-103. Kyoto: Kyoto University, Institute of Humanistic Studies, 1956.
  • Ichimura, Shohei. “A Study on the Mdhyamika Method of Refutation and its Influence on Buddhist Logic.” Journal of the International Association of Buddhist Studies 4.1 (1981): 87-95.
  • Ichimura, Shohei. “A Determining Factor that Differentiated Indian and Chinese Mdhyamika Methods of Dialectic as Reductio-ad-absurdum and Paradoxical Argument Respectively.” Journal of Indian and Buddhist Studies 33 (March, 1985): 841-834.
  • Ichimura, Shohei. “On the Dialectical Meaning of Instantiation in terms of Maya-Drstanta in the Indian and Chinese Mdhyamikas.” Journal of Indian and Buddhist Studies 36.2 (March, 1988): 977-971.
  • Ichimura, Shohei. “On the Paradoxical Method of the Chinese Mdhyamika: Seng-chao and the Chao-lun Treatise.” Journal of Chinese Philosophy 19 (1992): 51-71.
  • Liebenthal, Walter. The Chao Lun: The Treatises of Seng-Chao. 2nd rev. ed. Hong Kong: Hong Kong University Press, 1968.
  • Liu, Ming-wood. “Seng-chao and the Mdhyamika Way of Refutation.” Journal of Chinese Philosophy 14 (1987): 97-110.
  • Liu, Ming-wood. Mdhyamaka Thought in China. Sinica Leidensia, Vol. XXX. Leiden: E.J. Brill, 1994.
  • Nishitani, Keiji. Religion and Nothingness. Trans. Jan Van Bragt. Berkeley: University of California Press, 1982.
  • Robinson, Richard H. “Mysticism and Logic in Seng-chao’s Thought.” Philosophy East and West 8.3-4 (1958-1959): 99-120.
  • Robinson, Richard H. Early Mdhyamika in India and China. New York: Samuel Weiser, 1965; reprint ed., Delhi: Motilal Banarsidass, 1978.
  • Sharf, Robert. Coming to Terms with Chinese Buddhism: A Reading of the Treasure Store Treatise. Honolulu: University of Hawaii, 2001.
  • Tsukamoto Zenry. A History of Early Chinese Buddhism: From Its Introduction to the Death of Hui-yüan. 2 vols. Trans. Leon Hurvitz. Tokyo, New York, San Francisco: Kodansha International, 1985.

Author Information

Jeffrey Dippmann
Email: Jeffrey.Dippmann@cwu.edu
Central Washington University
U. S. A.

Nasir al-Din Tusi (1201—1274)

TusiNasir al-Din Tusi was the most celebrated scholar of the 13th century in Islamic lands. Thomas Aquinas and Roger Bacon were his contemporaries in the West.

The ensemble of Tusi’s writings amounts to approximately 165 titles on astronomy, ethics, history, jurisprudence, logic, mathematics, medicine, philosophy, theology, poetry and the popular sciences.

Tusi was born in Tus in 1201 and died in Baghdad in 1274. Very little is known about his childhood and early education, apart from what he writes in his autobiography, Contemplation and Action (Sayr wa suluk).

He was apparently born into a Twelver Shi‘i family and lost his father at a young age. Fulfilling the wish of his father, he took learning and scholarship very seriously and travelled far and wide to attend the lectures of renowned scholars and acquire the knowledge which guides people to the happiness of the next world. As a young boy, Tusi studied mathematics with Kamal al-Diin Hasib about whom we have no authentic knowledge. In Nishabur he met Farid al-Din ‘Attar, the legendary Sufi master who was later killed in the hand of Mongol invaders and attended the lectures of Qutb al-Din Misri and Farid al-Din Damad. In Mawsil he studied mathematics and astronomy with Kamal al-Din Yunus (d. 1242). Later on he corresponded with Qaysari, the son-in-law of Ibn al-‘Arabi, and it seems that mysticism, as propagated by Sufi masters of his time, was not appealing to his mind ,and once the occasion was suitable, he composed his own manual of philosophical Sufism in the form of a small booklet entitled The Attributes of the Illustrious (Awsaf al-ashraf).

His ability and talent in learning enabled Tusi to master a number disciplines in a relatively short period. At the time when educational priorities leaned towards the religious sciences, especially in his own family who were associated with the Twelver Shi‘i clergy, Tusi seems to have shown great interest in mathematics, astronomy and the intellectual sciences. At the age of twenty-two or a while later, Tusi joined the court of Nasir al-Din Muhtashim, the Ismaili governor of Quhistan, Northeast Iran, where he was accepted into the Ismaili community as a novice (mustajib). A sign of close personal relationship with Muhtashim’s family is to be seen in the dedication of a number of his scholarly works such as Akhlaq-i Nasiri and Akhlaq-i Muhtashimi to Nasir al-Din himself and Risala-yi Mu‘iniyya to his son Mu‘in al-Din.

Around 1236, he was in Alamut, the centre of Nizari Ismaili government. The scholarly achievements of Tusi in the compilation of Akhlaq-i Nasiri in 633/1235, seems, among other factors, to have paved the way for this move which was a great honou and opportunity for a scholar of his caliber, especially since Alamut was the seat of the Ismaili imam and housed the most important library in the Ismaili state.

In Alamut, apart from teaching, editing, dictating and compiling scholarly works, Tusi climbed the ranks of the Ismaili da‘wat ascending to the position of chief missionary (da‘i al-du‘at). Through constant visits with scholars and tireless correspondence, Tusi kept his contact with the academic world outside Ismaili circles and was addressed as ‘the scholar’ (al-muhaqiq) from a very early period in his life.

The Mongol invasion and the turmoil it caused in the eastern Islamic territories hardly left the life of any of its citizens untouched. The collapse of Ismaili political power and the massacre of the Ismaili population, who were considered to be a serious threat to the Mongols, left no choice for Tusi except the exhibition of some sort of affiliation to Twelver Shi‘ism, and he denounced his Ismaili allegiances.

Although under Mongol domination, Tusi’s allegiance to any particular community or persuasion could not have been of any particular importance, the process itself paved the ground for Tusi to write on various aspects of Shi‘ism, both from Ismaili and Twelver Shi‘i viewpoints, with scholarly vigour and enthusiasm. The most famous of his Ismaili compilations are Rawda-yi taslim, Sayr wa suluk, Tawalla wa tabarra, Akhlaq-i Muhtashimi and Matlub al-mu’minin. Tajrid al-i‘tiqad, al-Risala fi’l-imama and Fusul-i Nasiriyya are among his works dedicated to Twelver Shi‘ism.

In the Mongol court, Tusi witnessed the fall of the ‘Abbasid caliphate and after a while he secured the trust of Hulegu, the Mongol chief. He was given the full authority of administering the finances of religious foundations (awqaf). During this period of his life, Tusi’s main concern was combating Mongol savagery, saving the life of innocent scholars and the establishing one of the most important centers of learning in Maragha, Northwest Iran. The compilation of Musari‘at al-musari, the Awsaf al-ashraf and Talkis al-muhassal are the scholarly writings of Tusi in the final years of his life.

The ensemble of Tusi’s writings amounts to approximately 165 titles on a wide variety of subjects. Some of them are simply a page or even half a page, but the majority with few exceptions, are well prepared scholarly works on astronomy, ethics, history, jurisprudence, logic, mathematics, medicine, philosophy, theology, poetry and the popular sciences. Tusi’s fame in his own lifetime guaranteed the survival of almost all of his scholarly output. The adverse effect of his fame is also the attribution of a number of works which neither match his style nor have the quality of his writings.

Tusi’s major works are the following: (1) Astronomy: al-Tadhkira fi ‘ilm al-hay’a; Zij Ilkhani; Risala-yi Mu‘iniyya and its commentary. (2) Ethics: Gushayish-nama; Akhlaq-i Muhtashami; Akhlaq-i Nasiri, ‘Deliberation 22’ in Rawda-yi taslim and a Persian translation of Ibn Muqaffa‘’s al-Adab al-wajiz. (3) History: Fath-i Baghdad which appears as an appendix to Tarikh-i Jahan-gushay of Juwayni (London, 1912-27), vol. 3, pp. 280-92. (4) Jurisprudence: Jawahir al-fara’id. (5) Logic: Asas al-iqtibas. (6) Mathematics: Revision of Ptolemy’s Almagest; the epistles of Theodosius, Hypsicles, Autolucus, Aristarchus, Archimedes, Menelaus, Thabit b. Qurra and Banu Musa. (7) Medicine: Ta‘liqa bar qunun-i Ibn Sina and his correspondences with Qutb al-Din Shirazi and Katiban Qazwini. (8) Philosophy: refutation of al-Shahrastani in Musara‘at al-musari‘; his commentary on Ibn Sina’s al-Isharat wa’l-tanbihat which took him almost 20 years to complete; his autobiography Sayr wa suluk; Rawda-yi taslim and Tawalla wa tabarra. (9) Theology: Aghaz wa anjam; Risala fi al-imama and Talkhis al-muhassal and (10) Poetry: Mi‘yar al-ash‘ar.

References and Further Reading

  • Badakhchani, S. J. Contemplation and Action: The Spiritual Autobiography of a Muslim Scholar (London, I. B. Tauris in association with The Institute of Ismaili Studies, 1998).
  • Mudarris Radawi, Muhammad. Ahwal wa athar-i Abu Ja‘far Muhammad b. Muhammad b. Hasan al-Tusi. Tehran, Intisharat-i Danishgah-i Tehran, 1345s/1975.
  • Mudarrisi Zanjani, Muhammad. Sargudhasht wa ‘aqa‘id-i falsafi-yi Khwaja Nasir al-Din Tusi. Tehran, Intisharat-i Danishgah-i Tehran, 1363s/1984.
  • Madelung, Wilferd. ‘Nasir al-Din Tusi’s Ethics Between Philosophy, Shi‘ism and Sufism,’ in Ethics in Islam, ed. R. G. Hovannisian, Malibu, CA, 1985, pp. 85-101.

Author Information

S. J. Badakhchani
Email: info@iis.ac.uk
The Institute of Ismaili Studies
United Kingdom

Evidentialism

Evidentialism in epistemology is defined by the following thesis about epistemic justification:

(EVI) Person S is justified in believing proposition p at time t if and only if S’s evidence for p at t supports believing p.

As evidentialism is a thesis about epistemic justification, it is a thesis about what it takes for one to believe justifiably, or reasonably, in the sense thought to be necessary for knowledge. Particular versions of evidentialism can diverge in virtue of their providing different claims about what sorts of things count as evidence, what it is for one to have evidence, and what it is for one’s evidence to support believing a proposition. Thus, while (EVI) is often referred to as the theory of epistemic justification known as evidentialism, it is more accurately conceived as a kind of epistemic theory. In this light, (EVI) can be seen as the central, guiding thesis of evidentialism. All evidentialist theories conform to (EVI), but various divergent theories of evidentialism can be formulated.

Before turning to these issues, it is worth noting that evidentialism is also a prominent theory in the philosophy of religion. Evidentialism in the philosophy of religion has its own set of controversies, but this entry will not cover them. On evidentialism in the philosophy of religion, see Alvin Plantinga’s classic article, “Reason and Belief in God.” For a more extended discussion, see Plantinga’s Warranted Christian Belief.

Table of Contents

  1. A Brief Prima Facie Case
  2. Developing the Theory
    1. The Justification of Propositions v. The Justification of Beliefs
    2. Evidence
    3. Having Evidence
    4. Support
  3. Objections
    1. Forgotten Evidence
    2. Against a Probabilistic-Deductive Understanding of Support
    3. Essential Appeals to Deontology
      1. Ought Implies Can
      2. An Evidence-Gathering Requirement
      3. Duties Not to Follow One’s Evidence
    4. A Pragmatic Reply
    5. Rationally Believing Skepticism is False
  4. Conclusion
  5. References and Further Reading
    1. More Advanced Studies

1. A Brief Prima Facie Case

When we think about what it takes for one to believe reasonably or justifiably, we think that one has to have good reasons (or, more accurately, adequate reason for thinking the proposition in question is true). We think that one is not believing as one should when one believes something for no reason whatsoever or for very weak reasons. This dependence on reasons seems to be central to the very concept of justified belief. It should be no surprise, then, that the traditional view holds that one is justified only if one has adequate reasons for belief. Thus, evidentialism can be thought of as the default, or commonsense, conception of epistemic justification. Indeed, we can see the centrality of this conception of justification throughout the history of philosophy, especially in its grappling with the problem of skepticism. In order to justify denying skeptical claims, we want to know what reason we have for believing that skepticism is false. Traditional accounts have looked to one’s available evidence or reasons for an answer.

Naturally, then, we see this traditional conception reflected in the writings of many influential philosophers. David Hume, for example, writes that the “wise man. . . proportions his belief to the evidence,” and he proceeds with this as his epistemic ideal (73). Bertrand Russell endorses the view that “[p]erfect rationality consists . . . in attaching to every proposition a degree of belief corresponding to its degree of credibility,” credibility functionally depending on evidence (397-398). W.K. Clifford writes that “it is wrong always, everywhere, and for anyone to believe anything upon insufficient evidence” (518). Such quotations help to illustrate the dominance of the view that justified belief depends upon one’s having good reasons or evidence. Though this by no means settles the issue, it does provide reason to try to work out a theory of justification that appeals solely to evidence. The remainder of this entry turns toward a detailed consideration of the theory itself.

2. Developing the Theory

Richard Feldman and Earl Conee, two leading defenders of evidentialism, have explicitly defined evidentialism as a thesis about the justificatory status of all of the doxastic attitudes: belief, disbelief, and suspension of judgment. They write that doxastic attitude, d, toward p is justified for one at t if and only if one’s evidence at t supports one’s taking d towards p (15). So understood, evidentialism is not just a thesis about justified belief, it is also a thesis about justified disbelief and the justified withholding of belief. Only one doxastic attitude towards a proposition is justified for a person at a time, and this is a function of one’s evidence. Here, I focus on the core of evidentialism—the thesis about justified belief given in (EVI)—both for simplicity and because most treatments and criticisms of evidentialism focus on it. What is said about (EVI) can be extended naturally to the rest of the doxastic attitudes and thereby applied to Feldman and Conee’s explicit thesis.

a. The Justification of Propositions v. The Justification of Beliefs

Before proceeding, it is crucial to nail down more exactly what evidentialism is a theory of. As I have defined it in (EVI), evidentialism is the thesis that one is justified in believing a proposition at a time if and only if one’s evidence at that time supports believing that proposition. (EVI) does not entail that whenever one has adequate evidence for p one believes p justifiably. This is for two reasons. First, one can be justified in believing p even if one fails to believe it. For example, one might not believe p simply because one fails to consider whether or not p is true, yet one may nevertheless have good enough reason to think p is true and so be justified in believing p.

Second, one can have good enough reason to believe p and still believe it as a result of something other than this good reason. One might believe it as a result of wishful thinking, for example. In such a case, the evidentialist holds that the person is justified in believing the proposition in question but, nevertheless, believes it unjustifiably. One believes it for or because of the wrong reasons. One way of putting the difference here is by saying that evidentialism is a thesis regarding propositional justification, not a thesis about doxastic justification. That is, evidentialism is a thesis about when one is justified in believing a proposition, not a thesis about when one’s believing is justified. The latter requires not just that one have good reason to believe but also that one believe for those good reasons.

b. Evidence

As introduced above, evidentialism is a kind of theory of epistemic justification; one can formulate various divergent evidentialist theories by providing different analyses of its constituent concepts. The present section focuses on the central notion of evidence and explicates the various ways that one can restrict the sorts of things that count as evidence. Sections 2c. and 2d. turn to complexities in other parts of (EVI). Together, these three sections illustrate the diversity of possible evidentialist theories.

Evidence for or against p is, roughly, any information relevant to the truth or falsity of p. This is why we think that fingerprints and DNA left at the scene of the crime, eye-witness testimony, and someone’s whereabouts at the time the crime was committed all count as evidence for or against the hypothesis that the suspect committed the crime. The sort of evidence that interests the evidentialist, however, is not just anything whatsoever that is relevant to the truth of the proposition in question. The evidentialist denies that such facts about mind-independent reality are evidence in the sense relevant to determining justification. According to (EVI) only facts that one has are relevant to determining what one is justified in believing, and in order for one to have something in the relevant sense, one has to be aware of, to know about, or to, in some sense, “mentally possess” it. The sort of evidence the evidentialist is interested in, therefore, is restricted to mental entities (or, roughly, to mental “information”). In addition, it is only one’s own mental information that is relevant to determining whether one is justified in believing that p. For example, my belief that Jones was in Buffalo at the time the crime was committed is not relevant to determining whether you are justified in believing that Jones committed the crime.

Evidentialist theories can agree on this much while still providing differing accounts of evidence. For example, one might think that only one’s own beliefs can provide one with reason to believe something, as many coherentists do. An evidentialist might then hold that only belief states are evidential states. One’s experiences (that is, experiential states) then would not be evidentially or justificatorily relevant. The standard view of evidentialism, however, is that at least beliefs and perceptual states are evidential states. Not only what you believe but also what you experience can provide you with reason to believe that something is the case. Yet one does not have to stop there. One, for example, might also count memories, apparent memories, or seemings-to-be-true as kinds of evidence. In the end, what sorts of states one takes to be evidential will depend both on one’s intuitions about what sorts of things can provide one with genuine reason to believe and also on one’s strategy for responding to objections.

It is worth noting that while evidentialists have available many options about what to count as kinds of evidence, not just anything mental can properly be classified as evidence. In general, only those states or properties that are themselves informational (or at least can directly and on their own “communicate” information to the subject) can properly be classified as evidential states or properties. Regardless of whether one’s feeling of pain is an informational state, it does, so to speak, directly or on its own “communicate” information to one; so it is open to the evidentialist to classify it as an evidential state. By contrast, one’s ability to, e.g., identify complex geometrical shapes in one’s visual field is not itself a kind of evidence. (Even though this ability will undoubtedly provide one with evidence one would otherwise not possess.) The ability to identify complex geometrical shapes in one’s visual field is not a kind of evidence because it is neither an informational state, nor is it a state that directly and on its own “communicates” information to one. Instead, it is always something else that gets “communicated” to one via that ability. In general, therefore, cognitive abilities are not properly considered as part of one’s evidence. As we will see below, though, this is not to say that one’s cognitive abilities are completely irrelevant to justification on every evidentialist view.

c. Having Evidence

As alluded to above, not just any evidence whatsoever is relevant to determining whether one’s belief is justified; it is only the evidence that one has that is so relevant. The obvious restriction this imposes is that one’s evidence includes only one’s own mental states. One option, then, is to hold that one’s evidence at a time (or, alternatively, the evidence one has at a time) consists in all of the evidential mental states that obtain in the person at that time, including both occurrent and nonoccurrent mental states. On this view, one’s evidence includes not only one’s present experiences and those beliefs presently “before one’s mind” but also stored or standing beliefs, even if one is not presently able to recall or consciously consider them.

To see how this account of having evidence affects the consequences of the theory, consider the following example. Suppose that I believe that most television newscasters reliably report the day’s news. I find that television newscasters almost always report the day’s stories in ways consistent with that reported by other news outlets. For example, if the newscaster were to report that a fire occurred on Elm Street, I would also be able to find a report in the newspaper confirming that a fire did, indeed, occur on Elm Street. When I discuss this topic with people, they tend to agree that this is the case, and I have no strong evidence against this belief. It seems, then, that I justifiably believe that most television newscasters reliably report the news. Also suppose that fifteen years ago I heard reliable testimony that one newscaster, Mick Stuppagin, almost always provides incorrect reports. At the time, I believed that Mick was a very unreliable newscaster. Suppose, however, that although my belief that Mick’s reports are unreliable and the testimony that such is the case are still stored in my long-term memory, I am presently unable to recall them. If someone mentions Mick Stuppagin and asks whether I think he is a reliable newscaster, I may form the belief that he is a reliable newscaster on the basis of my justified belief that most newscasters are reliable.

On the view developed above, I would be believing unjustifiably, since I have outweighing evidence against p. I would not be justified in believing that Mick is a reliable newscaster even though I may be utterly unable to recall my evidence against this belief, even though my so believing may be completely blameless, and even though it may seem to me on deep reflection that I am believing as I should. Some may find this counterintuitive and, as a result, may want to formulate a more restricted account of having evidence.

One such option is to hold that the evidence one has at a time is restricted to one’s occurrent evidential states—i.e., those states involving one’s current assent, those presently “before one’s mind,” so to speak. On this account of having evidence, my stored memory belief that Mick Stuppagin is an unreliable newscaster is not evidence that I have at the present time. Furthermore, it is also not clearly true that I have as evidence my belief that most television newscasters reliably report the day’s news, and it is doubtful that my testimonial and inductive evidence for this belief is properly considered evidence that I presently have. The justificatory status of my present belief about Mick Stuppagin will depend solely on my occurrent evidential states. (The details of the case would need to be filled in order to determine whether or not the theory implies that belief is justified.)

The difficulty for this view is to show how such a restricted view of one’s having evidence can account for the justification of all of the beliefs we think are justified. For instance, we think we have some non-occurrent beliefs that are justified. We need an explanation of this. Similarly, it seems that as soon as I occurrently entertain the proposition that George Washington was the first president of the United States, I am justified in believing it, and its being so justified does not depend upon my consciously recalling anything. Those who restrict the evidence one has to one’s occurrent states need either to provide an explanation of this or to in some way explain away these common intuitions.

Other accounts of having evidence lie between these two extremes. A more typical “internalist” account might hold, for example, that the evidence one has at a time is that which is easily available to one upon reflection, so not all of one’s beliefs count as evidence that one has at a time. On this account, I am presently justified in believing that Mick is a reliable newscaster if and only if my stored memory belief that Mick is an unreliable newscaster (and its supporting evidence) is not easily available to me upon reflection. Various other accounts of having evidence can be developed that allow for varying degrees of availability or varying amounts of reflection. Guiding each account of having evidence are intuitions regarding cases similar to that above and intuitions regarding the extent to which justification is deontological.

We can conclude from the above that evidentialist theories can be formulated so as to account for widely divergent intuitions regarding cases. Furthermore, without a specific account of what it is for one to have evidence, it is not clear which proposed cases are to count as counterexamples to the theory.

d. Support

Recall that on the evidentialist view, S is justified in believing p at t if and only if S’s evidence for p at t supports believing p. We have already seen how evidentialists can provide different accounts of evidence and having evidence. The present section focuses on complexities with the notion of support.

Perhaps the most obvious issue that needs to be addressed in order to understand what it is for one’s evidence to support believing a proposition is the degree to which one’s evidence must support that proposition in order for one to be justified in believing it. Again, this will vary from account to account. One standard account understands it as follows: one is justified in believing a proposition only if the evidence that one has makes it more likely to be true than not. The likelihood of truth given one’s evidence has to be greater than 0.5 in order for one to be justified in believing the proposition, but the threshold required for knowledge might be much higher. In order to know that p, one might not merely have to justifiably believe that p; one might have to justifiably believe it to a certain degree.

This way of understanding the degree of support required in order for one to be justified in believing p is absolute, or we might say non-contextual. The degree required is the same across all possible cases. By contrast, Stewart Cohen presents a contextualist version of evidentialism. On his account, the degree to which one’s evidence must support a proposition in order for one to be justified in believing it will fluctuate with the conversationally determined standards that govern attributions of justification and knowledge. An immediate result is that one’s evidence for p may be enough to make believing p justified in one context (where the conversationally-determined standards for justification are relatively low) while failing to make believing p justified in another context (where the standards for justification are much higher). Evidentialism is, therefore, consistent with both contextualist theories of justification and non-contextualist theories of justification.

A further, more central epistemological issue regarding support has to do with the structure of justification. Evidentialism may be combined with foundationalism, coherentism, a “mixed” view such as Susan Haack’s foundherentism, or any other theory of the structure of justification. Each theory may be incorporated into evidentialism by understanding them as providing an account of the proper nature of epistemic support. Since foundationalism is far more dominant than the other theories, in what follows I will present one way of developing evidentialism with regard to it.

According to foundationalism, a belief is justified if and only if: either it is a foundational belief or it is supported by beliefs which either are themselves foundational beliefs or are ultimately supported by foundational beliefs. From the previous section, we have seen that it is only the evidence one has that is relevant to determining whether a belief is justified. Of all of this, foundationalism implies that only that evidence which is non-doxastic, foundational, or ultimately supported by a foundational belief is capable of supporting (or conferring positive justificatory status on) a belief. (Non-doxastic evidential states may include appearance states, direct apprehensions, rational intuitions, and seemings-to-be-true. For the foundationalist, some such evidential states are crucial as only they can justify the foundational beliefs.)

Assuming this framework, we can proceed as follows. In order to determine whether one is justified in believing that p, first isolate the portion of the evidence that is non-doxastic, foundational, or ultimately supported by a foundational belief. Only this is capable of justifying a proposition. Next, if the proposition under consideration is believed, subtract that belief and anything else whose support essentially depends on (or traces back to) that belief. (This last modification is intended to accommodate the foundationalist thesis that only the more basic can justify the less basic. See, for example, the discussion in section 3e. below.) Finally, determine whether this portion of one’s evidence makes the proposition more likely true than not. If so, then it is prima facie supported by one’s evidence (and thus prima facie justified). If not, it is unjustified, for it is not supported by the evidence one has that is able to justify one’s believing the proposition.

Note that I have had to add a prima facie qualification here. This is due to the, at least, apparent possibility of one’s support for a belief being defeated by other evidence one has that is neither non-doxastic, nor foundational, nor ultimately supported by foundational beliefs. An unjustified belief may be able to defeat the positive justification one has for believing p, but such unjustified beliefs have so far been excluded from consideration. In such a case, we may want to say that one would not be justified in believing p.

3. Objections

The aim in this section is to provide a sampling of objections that have been raised against evidentialist theories of justification. The aim is not to respond to these objections on behalf of the evidentialist nor to evaluate their strength. While the following are not objections to all possible versions of evidentialism, together they illustrate the difficulty in formulating a complete and adequate evidentialist theory. The chief difficulty for the evidentialist is to develop the theory in a way that avoids all such objections and does so in an independently motivated and principled way.

a. Forgotten Evidence

One kind of objection stems from the widespread occurrence of one’s forgetting the evidence that one once had for some proposition. We can distinguish between two sorts of cases here. According to the first sort, though one once had good evidence for believing, one has since forgotten it. Nevertheless, one may continue to believe justifiably, even without coming to possess any additional evidence. Evidentialism appears unable to account for this. According to the second sort of case, when one originally came to believe p, one had no evidence to support believing p. Perhaps one originally came to believe p for very bad reasons. Consequently, just after one formed the belief, one was not believing justifiably as one’s total evidence did not support believing that p. Suppose, though, that one has since forgotten why it is that one originally formed the belief and also has forgotten all of the evidence one had against it. Since it doesn’t seem as though in the interim one has to have gained some additional evidence for p, one might think that the subject of the second case remains unjustified in believing p. The relevant beliefs in both cases appear to be on an evidential par: neither belief seems to be supported by adequate evidence. The objection is that there, nevertheless, is a justificatory difference between the two cases, and evidentialism is unable to account for this.

The details of the cases proposed along these lines are crucial, for evidentialists may be able to motivate a denial of the critic’s justificatory assessment of one of the cases. This, however, is only of help when combined with an explanation for the justification of memory beliefs in general and memory beliefs involving forgotten evidence in particular.

Here evidentialists can appeal to the notion of evidence and to what sorts of states or properties are properly classified as evidential. For example, one may argue that the “felt impulse” to believe the proposition recalled from memory or its “seeming to be true” is itself a kind of evidence. On this account, in the first case one is justified in believing p because one does have evidence that supports believing p. The supporting evidence is the proposition’s “seeming to be true” or the “felt impulse” that accompanies the belief, but this very same evidence is present in the second case as well. Furthermore, this “felt impulse” or “seeming to be true” will necessarily accompany any memory belief, so there will be no cases along the lines of the second sort in which one has no evidence to support believing p. As a result, the critic’s appraisal of the second case is mistaken. In the absence of overriding counter-evidence, one’s memory belief is justified, so the correct appraisal of the second case holds that one is justified in believing p. In short, the critic’s justificatory assessment of the second case is mistaken.

b. Against a Probabilistic-Deductive Understanding of Support

A second objection targets the notion of one’s evidence supporting a proposition. As I have developed the notion of support above, part of it is given by some theory of probability. A body of evidence, e, supports believing some proposition p only if e makes p probable. If we suppose for simplicity that all of the beliefs that constitute e are themselves justified, we can say that e supports believing p if and only if e makes p probable. However, one might argue that, even with this assumption, one’s evidence e can make p probable without one being justified in believing that p. If this is so, the resulting evidentialist thesis is false.

Alvin Goldman, for example, has argued that the possession of reasons that make p probable, all things considered, is not sufficient for p to be justified (Epistemology and Cognition, 89-93). The crux of the case he considers is as follows. Suppose that while investigating a crime a detective has come to know a set of facts. These facts do establish that it is overwhelmingly likely that Jones has committed the crime, but it is only an extremely complex statistical argument that shows this. Perhaps the detective is utterly unable to understand how the evidence he has gathered supports this proposition. In such a case, it seems wrong to say that the detective is justified in believing the proposition, since he does not even have available to him a way of reasoning from the evidence to the conclusion that Jones did it. He has no idea how the evidence makes the proposition that Jones did it likely. Thus, the evidentialist thesis, so understood, is false.

The appeal to probability and statistics here is not essential to this sort of objection, so it would be a mistake to focus solely on this feature of the case in attempting to respond. Richard Feldman has presented an example which is supposed to demonstrate exactly this point. His example of the beginning logic student is supposed to show that being necessitated by one’s evidence is not sufficient for one’s evidence to support believing a proposition (“Authoritarian Epistemology,” 150). Feldman asks us to consider a logic student who is just learning to identify valid arguments. She has learned a set of rules by which one can distinguish between valid arguments and invalid arguments, but she has not yet become proficient at applying them to particular argument forms. She looks at an exercise in her text that asks her to determine whether some argument forms are valid. She looks at one problem and comes to believe that it is, indeed, a valid argument. As the argument is valid, she believes exactly as her evidence entails she should believe, but she is presently unable to see how it is that the rules show the argument is, indeed, valid. Despite her evidence necessitating the proposition that the argument is valid, it seems she is not justified in believing it.

Various responses are available to the evidentialist. One may here appeal to the distinction between propositional justification and doxastic justification in an effort to motivate the claim that the detective is justified in believing that Jones did it and the student is justified in believing that the argument is valid. When combined with a fully developed and well-motivated theory of evidential support, this may provide a response to these examples. Note, however, that this reply depends crucially on being able to hold that the logic student is justified in believing p but not justifiably believing p. This is a tenuous position, at least for standard accounts of the basing relation—i.e., for standard accounts of that which, when added to an instance of propositional justification, yields an instance of doxastic justification. The dominant view is that the basing relation is causal, and the student’s evidence for believing that the argument is valid is causing her belief, and it is not doing so in some non-standard, deviant way. The reply to the objection that appeals to the distinction between propositional and doxastic justification demands, therefore, that one also provide a satisfactory account of the basing relation, and none have so far been formulated.

An alternative response to these examples is simply to accept their lesson. One might just accept that such examples show that we need to develop a notion of evidential support that does not appeal solely to logical relations between one’s evidence and those propositions under consideration. For example, one might hold that one must, in some sense, grasp or appreciate the logical or probabilistic connection between one’s evidence and the proposition in question in order for that evidence to support it. Evidentialism allows for such possibilities.

c. Essential Appeals to Deontology

The view that justification is, in some substantive way, a deontological concept motivates the following three objections. According to a deontological conception of epistemic justification, one has an intellectual duty, requirement, or obligation to believe justifiably. Deontologists commonly hold that people are rightly praised for believing or blamed for failing to believe in accordance with this duty or obligation.

i. Ought Implies Can

Many believe that this deontological conception of epistemic justification entails that one ought to believe a proposition only if one can believe it. Put differently, one might think that one has to be able to believe p in order for one to be justified in believing p. (This second statement of the issue is more perspicuous, as I here set aside issues regarding doxastic voluntarism.) Some propositions are too complicated and complex for a given person to entertain given his or her actual abilities, and other propositions are too complex for humans to even possibly entertain. It seems wrong to say that one is justified in believing that these extremely complex propositions are true. (EVI), however, appears to imply that one can be justified in believing such extremely complex propositions, especially given the theories of evidence and evidential support sketched in section 2d. above. If, however, (EVI) does have this consequence, then one might conclude that evidentialism is false.

The argument here has two main premises. The first premise is that (EVI) entails that one can be justified in believing a proposition that it is impossible for one to entertain. The second premise is that if this first premise is true, then (EVI) is false. Because evidentialism neither rules out nor entails the motivating deontological conception of epistemic justification, evidentialists can plausibly deny either premise.

Standard accounts of evidentialism deny the first premise. According to these accounts, the proper nature of evidential support rules out the possibility that one’s evidence can support a proposition that one cannot entertain. Evidential support is, in this sense, restricted. Whether or not such evidentialist theories are acceptable depends crucially on whether evidentialism is able to accommodate this restriction in a principled way. Here evidentialists can appeal to meta-epistemological considerations regarding the nature of epistemic justification, as well as to intuitions about a sufficiently varied set of cases. For instance, the deontological conception of justification itself can motivate and help explain a companion deontological conception of evidential support. In addition, one can appeal to cases like Feldman’s logic student example (in section 3b. above) in order to illustrate how the notion of evidential support should be restricted. Together, these considerations can help to motivate one’s evidentialist theory. In this way, one can formulate a version of evidentialism that clearly does not have the consequence that one can be justified in believing a proposition that one cannot entertain.

By contrast, an evidentialist who rejects a deontological conception of justification may accept that one can be justified in believing propositions too complex even to consider and as a result may reject the second premise of the argument. Again, the theory of evidentialism itself allows this. This second response to the argument would need to be strengthened by considerations against the motivating deontological conception of epistemic justification, but considering these in this entry would take us too far astray. The crucial point to emphasize here is that evidentialism neither rules out nor entails this conception of epistemic justification, so both responses are consistent with the theory.

ii. An Evidence-Gathering Requirement

Some argue that the justification of a belief depends, at least in part, on the inquiry that led to the belief. Two ways this can get fleshed out are as follows. One might argue that only beliefs that result from “epistemically responsible behavior” can be justified. In order to be justified on such a view, one must not only follow one’s evidence but also gather evidence in an epistemically responsible way. Alternatively, one might argue that one is not justified in believing a proposition if one could have easily discovered (or should have discovered) evidence that defeated one’s present justification for it. Here, we focus primarily on the latter.

When developing evidentialism in his introductory textbook, Epistemology, Richard Feldman presents the following example.

A professor and his wife are going to the movies to see Star Wars, Episode 68. The professor has in his hand today’s newspaper which contains the listings of movies at the theater and their times. He remembers that yesterday’s paper said that Star Wars, Episode 68 was showing at 8:00. Knowing that movies usually show at the same time each day, he believes that it is showing today at 8:00 as well. He does not look in today’s paper. When they get to the theater, they discover that the movie started at 7:30. When they complain at the box office about the change, they are told that the correct time was listed in the newspaper today. The professor’s wife says that he should have looked in today’s paper and he was not justified in thinking it started at 8:00. (47)

The professor has good evidence to believe that the movie starts at 8:00, but the claim is that he is not justified in believing this because he should have (and could have very easily) gathered defeating evidence. Evidentialism does not take into account one’s evidence-gathering and, thus, cannot account for this intuition.

Evidentialism is a theory about the present justificatory status of propositions and beliefs for subjects. It provides an account of what one should now believe, given one’s actual situation. Feldman claims that this is the central epistemological question; it alone determines the justificatory status of one’s beliefs. There are other questions about when one ought to gather more evidence, but these, Feldman claims, should be carefully distinguished from questions regarding epistemic justification (Epistemology, 48). As it is, the professor is believing exactly as he ought to believe as he is driving to the theater. As a result, Feldman concludes, evidentialism provides the correct answer about this case.

iii. Duties Not to Follow One’s Evidence

The previous objection to evidentialism attempted to demonstrate that having evidence that supports believing p is not sufficient for being justified in believing p. One might also attempt to demonstrate this by providing examples that do not appeal to evidence gathering requirements. The following is one such example.

Suppose that Bill comes to possess overwhelming evidence that his recently deceased wife was having multiple affairs throughout their marriage. If he were to come to believe what his evidence supports, he would blame his children and himself. We can further suppose that he is presently so unstable as a result of his loss that believing that his wife was having affairs would cause him to seriously harm his children before committing suicide. In such a case, it is very clear that Bill ought not to believe that his wife was having affairs. Indeed, we might say that he has a duty not to believe exactly what his evidence supports. Since evidentialism implies that he really ought to believe that his wife was having affairs, evidentialism is false.

The standard response to these types of examples is to distinguish between different kinds of demands, oughts, and duties and to hold that sometimes these conflict. For example, we have an epistemic duty to follow our evidence, we have a practical duty to not always seek out more evidence for each of the propositions we consider, and we may also have moral duties to believe or disbelieve certain propositions. While these duties can conflict, nevertheless, the epistemic, moral, and practical demands on us remain. Thus, the response is that Bill does have an epistemic duty to believe what his evidence supports, even though he has overriding moral and prudential duties to believe that his wife was not having affairs. While this response is fairly uncontroversial, the crucial point to emphasize here is that such a move is itself a substantial thesis that is in need of support. We need to be shown in an independently motivated way why we should believe that matters should be understood in this way rather than in some other.

d. A Pragmatic Reply

William James has famously argued that having adequate evidence is not necessary for one to believe justifiably. James notes that our fears, hopes, and desires (in short, our “passions”) do influence what we believe. We do not proceed in conformance with Clifford’s evidentialist thesis, nor should we. Furthermore, when we are confronted with an option to do or not to do something, we cannot help but choose one or the other; the choice is forced. By failing to decide, we embrace one of the options. In such situations, it can be permissible for one to believe a proposition in the absence of sufficient evidence. More specifically, James argues that whenever we are confronted with a live, forced, momentous option to believe or not to believe a proposition that cannot be decided on “intellectual grounds” alone, it is permissible for us to decide on the basis of our “passional nature” (522).

Consider, for example, the proposition that God exists. Believing or failing to believe that God exists is a forced and momentous option. It is forced because we cannot help but choose one or the other; a failure to decide is, in effect, to choose to not believe that God exists. It is momentous since it is a unique opportunity to gain something supremely significant and only one of the options, belief, will deliver this supreme good. Contrary to the evidentialist, James argues that one can justifiably believe that God exists in the absence of supporting evidence if both believing that God exists and failing to believe that God exists are live options for one.

Here, again, evidentialists can respond by appealing to a distinction between different kinds of justification. One may be pragmatically or morally justified in believing against one’s evidence, but this is not to say that one is epistemically justified in so believing. For example, evidentialists can begin by noting that it is in some sense very reasonable to let our “passions” influence our actions and beliefs. It may be in one’s own interest to believe that one’s wife is not having an affair, for instance. We might put this point by saying that one is pragmatically justified in believing that one’s wife is not having an affair. Furthermore, the stakes might be so high that such pragmatic considerations outweigh any epistemic considerations we might have. Hence, even though one’s evidence does not support believing p (and one is therefore not epistemically justified in believing p), it may be, all things considered, more rational for one to believe p than to not believe p. Of course, nothing here turns on the content of the belief in question. Similar cases can be constructed for religious beliefs as well, and some evidentialists might want to focus on the particular nature of religious beliefs in order to directly respond to the religious case James considers. In summary, while it is true that non-epistemic considerations can outweigh epistemic considerations, the epistemic considerations remain. While it is not epistemically permissible to flout our evidentialist duties, we do think that in certain cases it is in some sense permissible to violate them. In this way, evidentialists can try to utilize a distinction between different kinds of justification in order to try to explain away the intuitions that appear to support James’ general thesis, as well as his claims about religious belief in particular.

e. Rationally Believing Skepticism is False

Keith DeRose has presented a more recent objection that has its roots in the philosophical challenge posed by skepticism. Two separate arguments are distinguishable here. First, DeRose argues that evidentialism appears unable to account for the degree to which he is justified in believing that particular skeptical scenarios are false (703-706). The specific argument DeRose presents makes reference to his contextualist intuitions. In the context of discussing theories of evidentialism in general, it is important to note this contextualist dimension of his argument, and I’ll make reference to it below.

DeRose thinks people are justified in believing, to a fairly substantial degree, that they are not brains in vats, and he thinks that any correct theory of epistemic justification must account for the substantial degree to which people are so justified in believing. In order to be an adequate theory of justification, therefore, evidentialism must show how the evidence people normally possess substantially supports believing that they are not brains in vats. DeRose claims that this has not yet been done, and he doubts that evidentialism can accomplish it adequately.

Second, DeRose claims that this difficulty highlights a fundamental complexity in the notion of evidence. In short, he thinks that at any given time we don’t have “one simple body of evidence that constitutes” the evidence that we have (704). For instance, it seems as though my belief that I have hands is evidence that I have and can use to support various other propositions—the proposition that I did not lose them in recent combat, for example. If, though, it is good evidence that I in fact have and can use, then it seems I should be able to appeal to it in order to argue that I am not a (handless) brain in a vat. It seems it should be uncontroversial that one’s evidence justifies one in believing that this skeptical scenario is false, yet justifying the denial of such skeptical scenarios is much more difficult than this implies. My belief that I have hands appears not to be able to justify the proposition that I am not a (handless) brain in a vat. In summary, when some issues are being discussed, my belief that I have hands is evidence I can appeal to, but when other issues are being discussed it appears not to be evidence that I can use. Evidentialism owes us an explanation of this.

As with most of the objections here considered, the force of DeRose’s points will vary with each proposed version of evidentialism. The central notions of evidence and evidential support do have to be explained, and they have to be explained in a way that allows reasonable conclusions about people’s typical appraisals of skeptical scenarios. As I have developed evidentialism in section 2 above, one can develop both contextualist and non-contextualist versions. This is especially important to note because exactly the sorts of considerations regarding skepticism DeRose invokes motivate contextualism in general and contextualist versions of evidentialism in particular. A contextualist version of evidentialism will hold that when skeptical scenarios are not being discussed, people are justified in believing to a very high degree that skeptical scenarios do not obtain. As a result, DeRose’s first argument is much more interesting and intuitively plausible when applied to non-contextualist versions of evidentialism.

The traditional responses to skepticism are exactly the responses that non-contextualist evidentialists have available. For example, non-contextualist evidentialists can utilize some closure principle or inference to the best explanation to try to account for the degree to which we think we are justified in believing that skeptical hypotheses are false. Whether these strategies succeed is controversial, but the problem of skepticism is a difficult and serious one, and no proposed solution is uncontroversial. It should be no surprise, then, that one may object to the consequences any version of evidentialism has for the skeptical challenge. The fundamental lesson here is that the evidentialist needs to develop these consequences and defend them.

The second of DeRose’s arguments is best understood as a demand for a fully developed and adequate theory of evidential support. We want to know how it is that evidence works so as to justify beliefs. This demand is wholly appropriate, of course, since evidence and evidential support are concepts central to evidentialism. On one standard account, I can appeal to the proposition that I have hands in order to come to believe justifiably that I did not lose them in combat precisely because I am justified in believing propositions about the external world (including, of course, the proposition that I have hands). Although, when one is trying to show how it is that one is justified in believing that one has hands, one obviously cannot appeal to the fact that one is justified in believing the proposition that one has hands. One needs to appeal to other propositions, propositions whose justification is prior to (or does not depend on) the justification of the proposition in question. All of this seems to be uncontroversial, but this is just to explain how evidence works so as to justify one in believing that certain propositions are true. The structure of justification is part of evidential support, and it is because some propositions are more basic than other propositions that we cannot appeal to those less basic propositions in order to justify the more basic ones. There is no unclarity here, but the explanation does help to illustrate why a response to DeRose’s first argument is so crucial. The story depends on one’s already being justified in believing some fundamental external world propositions. It is here that the evidentialist has to confront the skeptic and somehow explain how it is that we are justified in believing that skeptical hypotheses are false.

4. Conclusion

This brief treatment of evidentialism explains it as a type of theory of epistemic justification. All evidentialist theories are united in understanding justification as being a function of one’s present evidence as formalized in (EVI), yet many widely divergent options are available to one who seeks to develop the theory. There are competing ideas about which mental states count as evidence, different understandings of the notion of having evidence, various ways of understanding the crucial notion of support, and also various ways of relating these three central concepts. Many of the objections developed above apply only to some of these ways of developing the theory. This highlights the role they can play in one’s attempting to develop a complete evidentialist thesis. As is the case with theories in all areas of philosophy, objections such as those developed above help to guide philosophers towards more promising formulations of the theory. It remains to be seen whether evidentialism can be formulated in a way that not only overcomes each of these objections but also helps us to provide reasonable answers to other central epistemological questions.

5. References and Further Reading

  • W. K. Clifford. “The Ethics of Belief.” The Theory of Knowledge. 3rd. ed. Ed. Louis P. Pojman. Belmont, CA: Wadsworth, 2003. 515-518.
  • Cohen, Stewart. “How to be a Fallibilist.” Philosophical Perspectives, 2. Ed. James E. Tomberlin. Atascadero, CA: Ridgeview Publishing Co., 1988. 91-123.
  • DeRose, Keith. “Ought We to Follow Our Evidence?” Philosophy and Phenomenological Research 60 (2000): 697-706.
  • Feldman, Richard. “Authoritarian Epistemology.” Philosophical Topics 23.1 (1995): 147-169.
  • Feldman, Richard. Epistemology. Upper Saddle River, NJ: Prentice Hall, 2003.
  • Feldman, Richard and Earl Conee. “Evidentialism.” Philosophical Studies 48 (1985): 15-34.
  • Goldman, Alvin. Epistemology and Cognition. Cambridge, MA: Harvard University Press, 1986.
  • Hume, David. An Enquiry Concerning Human Understanding. 2nd ed. Ed. Eric Steinberg. Indianapolis, IN: Hackett Publishing Co., 1993.
  • James, William. “The Will To Believe.” The Theory of Knowledge. 3rd. ed. Ed. Louis P. Pojman. Belmont, CA: Wadsworth, 2003. 519-526.
  • Plantinga, Alvin. “Reason and Belief in God.” Faith and Rationality. Eds. Alvin Plantinga and Nicholas Wolterstorff. Notre Dame, IN: University of Notre Dame Press: 1983. 16-93.
  • Plantinga, Alvin. Warranted Christian Belief. New York: Oxford University Press, 2000.
  • Russell, Bertrand. Human Knowledge: Its Scope and Limits. New York: Simon and Schuster, 1948.

a. More Advanced Studies

While this list in no way approximates comprehensiveness, the following are some additional helpful works on evidentialism in epistemology.

  • Conee, Earl and Richard Feldman. Evidentialism: Essays in Epistemology. Oxford: Clarendon Press, 2004.
    • This is, perhaps, the best single work available for exploring these issues in more detail, and it is by all accounts an excellent place to start. It includes their article, “Evidentialism,” which has come to be viewed as the definitive article on the theory. It also contains other previously published articles that not only examine particular aspects of the theory but also defend favored versions as well as new, previously unpublished articles on the topic.
  • Feldman, Richard and Earl Conee. “Internalism Defended.” Epistemology: Internalism and Externalism. Ed. Hilary Kornblith. Malden, MA: Blackwell Publishers, 2001. 231-260.
    • Much that has been written on the internalism and externalism debate in epistemology is very relevant to evidentialism. I choose to include only one such article here. “Internalism Defended,” argues that evidentialism is one internalist theory of justification that is able to overcome all of the common objections raised to internalist theories of justification. Both a version of this paper and an “afterward” is included in Conee and Feldman’s book Evidentialism: Essays in Epistemology.
  • Feldman, Richard. “Having Evidence.” Philosophical Analysis. Ed. David Austin. Boston: Kluwer Academic Publishers: 1988. 83-104.
    • This is a sustained examination of the crucial notion of having evidence. Feldman demonstrates just how vital it is, clearly lays out the complications and difficulties involved, and defends one particular interpretation. Reprinted with an “afterward” in Evidentialism: Essays in Epistemology.
  • Haack, Susan. Evidence and Inquiry: Towards Reconstruction in Epistemology. Cambridge, MA: Blackwell Publishers, 1993.
    • This is a sustained explication and defense of a novel evidentialist theory of the structure of epistemic justification. Haack terms this theory, “foundherentism,” as it blends elements of coherentism and foundationalism. This book is helpful reading for those who want to gain a more complete understanding of competing theories of the nature of evidential support.

Author Information

Daniel M. Mittag
Email: dlmt@mail.rochester.edu
University of Rochester
U. S. A.

Objectivity

The terms “objectivity” and “subjectivity,” in their modern usage, generally relate to a perceiving subject (normally a person) and a perceived or unperceived object. The object is something that presumably exists independent of the subject’s perception of it. In other words, the object would be there, as it is, even if no subject perceived it. Hence, objectivity is typically associated with ideas such as reality, truth and reliability.

The perceiving subject can either perceive accurately or seem to perceive features of the object that are not in the object. For example, a perceiving subject suffering from jaundice could seem to perceive an object as yellow when the object is not actually yellow. Hence, the term “subjective” typically indicates the possibility of error.

The potential for discrepancies between features of the subject’s perceptual impressions and the real qualities of the perceived object generates philosophical questions. There are also philosophical questions regarding the nature of objective reality and the nature of our so-called subjective reality. Consequently, we have various uses of the terms “objective” and “subjective” and their cognates to express possible differences between objective reality and subjective impressions. Philosophers refer to perceptual impressions themselves as being subjective or objective. Consequent judgments are objective or subjective to varying degrees, and we divide reality into objective reality and subjective reality. Thus, it is important to distinguish the various uses of the terms “objective” and “subjective.”

Table of Contents

  1. Terminology
  2. Epistemological Issues
    1. Can We Know Objective Reality?
    2. Does Agreement Among Subjects Indicate Objective Knowledge?
    3. Primary and Secondary Qualities: Can We Know Primary Qualities?
    4. Skepticism Regarding Knowledge of Objective Reality
    5. Defending Objective Knowledge
    6. Is There No Escape From the Subjective?
  3. Metaphysical Issues
  4. Objectivity in Ethics
    1. Persons in Contrast to Objects
    2. Objectivism, Subjectivism and Non-Cognitivism
    3. Objectivist Theories
    4. Can We Know Moral Facts?
  5. Major Historical Philosophical Theories of Objective Reality
  6. References and Further Reading

1. Terminology

Many philosophers would use the term “objective reality” to refer to anything that exists as it is independent of any conscious awareness of it (via perception, thought, etc.). Common mid-sized physical objects presumably apply, as do persons having subjective states. Subjective reality would then include anything depending upon some (broadly construed) conscious awareness of it to exist. Particular instances of colors and sounds (as they are perceived) are prime examples of things that exist only when there are appropriate conscious states. Particular instances of emotions (e.g., my present happiness) also seem to be a subjective reality, existing when one feels them, and ceasing to exist when one’s mood changes.

“Objective knowledge” can simply refer to knowledge of an objective reality. Subjective knowledge would then be knowledge of any subjective reality.

There are, however, other uses of the terminology related to objectivity. Many philosophers use the term “subjective knowledge” to refer only to knowledge of one’s own subjective states. Such knowledge is distinguished from one’s knowledge of another individual’s subjective states and from knowledge of objective reality, which would both be objective knowledge under the present definitions. Your knowledge of another person’s subjective states can be called objective knowledge since it is presumably part of the world that is “object” for you, just as you and your subjective states are part of the world that is “object” for the other person.

This is a prominent distinction in epistemology (the philosophical study of knowledge) because many philosophers have maintained that subjective knowledge in this sense has a special status. They assert, roughly, that knowledge of one’s own subjective states is direct, or immediate, in a way that knowledge of anything else is not. It is convenient to refer to knowledge of one’s own subjective states simply as subjective knowledge. Following this definition, objective knowledge would be knowledge of anything other than one’s own subjective states.

One last prominent style of usage for terms related to objectivity deals with the nature of support a particular knowledge-claim has. “Objective knowledge” can designate a knowledge-claim having, roughly, the status of being fully supported or proven. Correspondingly, “subjective knowledge” might designate some unsupported or weakly supported knowledge-claim. It is more accurate to refer to these as objective and subjective judgments, rather than knowledge, but one should be on guard for the use of the term “knowledge” in this context. This usage fits with the general connotation for the term “objectivity” of solidity, trustworthiness, accuracy, impartiality, etc. The general connotation for many uses of “subjectivity” includes unreliability, bias, an incomplete (personal) perspective, etc.

“Objective judgment or belief” refers to a judgment or belief based on objectively strong supporting evidence, the sort of evidence that would be compelling for any rational being. A subjective judgment would then seem to be a judgment or belief supported by evidence that is compelling for some rational beings (subjects) but not compelling for others. It could also refer to a judgment based on evidence that is of necessity available only to some subjects.

These are the main uses for the terminology within philosophical discussions. Let’s examine some of the main epistemological issues regarding objectivity, presuming the aforementioned definitions of “objective reality” and “subjective reality.”

2. Epistemological Issues

a. Can We Know Objective Reality?

The subjective is characterized primarily by perceiving mind. The objective is characterized primarily by physical extension in space and time. The simplest sort of discrepancy between subjective judgment and objective reality is well illustrated by John Locke’s example of holding one hand in ice water and the other hand in hot water for a few moments. When one places both hands into a bucket of tepid water, one experiences competing subjective experiences of one and the same objective reality. One hand feels it as cold, the other feels it as hot. Thus, one perceiving mind can hold side-by-side clearly differing impressions of a single object. From this experience, it seems to follow that two different perceiving minds could have clearly differing impressions of a single object. That is, two people could put their hands into the bucket of water, one describing it as cold, the other describing it as hot. Or, more plausibly, two people could step outside, one describing the weather as chilly, the other describing it as pleasant.

We confront, then, an epistemological challenge to explain whether, and if so how, some subjective impressions can lead to knowledge of objective reality. A skeptic can contend that our knowledge is limited to the realm of our own subjective impressions, allowing us no knowledge of objective reality as it is in itself.

b. Does Agreement Among Subjects Indicate Objective Knowledge?

Measurement is allegedly a means to reach objective judgments, judgments having at least a high probability of expressing truth regarding objective reality. An objective judgment regarding the weather, in contrast to the competing subjective descriptions, would describe it as, say, 20°C (68°F). This judgment results from use of a measuring device. It is unlikely that the two perceiving subjects, using functioning thermometers, would have differing judgments about the outside air.

The example of two people giving differing reports about the weather (e.g., “chilly” vs. “pleasant”) illustrates that variation in different subjects’ judgments is a possible indicator of the subjectivity of their judgments. Agreement in different subjects’ judgments (20°C) is often taken to be indicative of objectivity. Philosophers commonly call this form of agreement “intersubjective agreement.” Does intersubjective agreement prove that there is objective truth? No, because having two or three or more perceiving subjects agreeing, for example, that it is very cold does not preclude the possibility of another perceiving subject claiming that it is not at all cold. Would we have a high likelihood of objective truth if we had intersubjective agreement among a large number of subjects? This line of reasoning seems promising, except for another observation from Locke about the possible discrepancies between subjective impressions and objective reality.

c. Primary and Secondary Qualities: Can We Know Primary Qualities?

According to Locke’s distinction between primary and secondary qualities, some of our subjective impressions do not correspond to any objective reality in the thing perceived. Our perception of sound, for example, is nothing like the actual physical vibrations that we know are the real cause of our subjective experience. Our perception of color is nothing like the complex combinations of various frequencies of electromagnetic radiation that we know cause our perception of color. Locke asserts that we can, through science, come to know what primary characteristics the object has in itself. Science teaches us, he says, that sound as we perceive it is not in the object itself whereas spatial dimensions, mass, duration, motion, etc. are in the object itself.

In response to this point, one can assert that, through science, we discover that those subjective impressions corresponding to nothing in the object are nonetheless caused by the truly objective features of the object. Thus, Locke’s approach leads to optimism regarding objective knowledge, i.e., knowledge of how things are independent of our perceptions of them.

d. Skepticism Regarding Knowledge of Objective Reality

In response to Locke’s line of thinking, Immanuel Kant used the expression “Ding an sich” (the “thing-in-itself”) to designate pure objectivity. The Ding an sich is the object as it is in itself, independent of the features of any subjective perception of it. While Locke was optimistic about scientific knowledge of the true objective (primary) characteristics of things, Kant, influenced by skeptical arguments from David Hume, asserted that we can know nothing regarding the true nature of the Ding an sich, other than that it exists. Scientific knowledge, according to Kant, is systematic knowledge of the nature of things as they appear to us subjects rather than as they are in themselves.

Using Kant’s distinction, intersubjective agreement would seem to be not only the best evidence we can have of objective truth but constitutive of objective truth itself. (This might require a theoretically perfect intersubjective agreement under ideal conditions.) Starting from the assumption that we can have knowledge only of things as they appear in subjective experience, the only plausible sense for the term “objective” would be judgments for which there is universal intersubjective agreement, or just for which there is necessarily universal agreement. If, alternately, we decide to restrict the term “objective” to the Ding an sich, there would be, according to Kant, no objective knowledge. The notion of objectivity thus becomes useless, perhaps even meaningless (for, say, a verificationist).

Facing any brand of skepticism regarding knowledge of objective reality in any robust sense, we should note that the notion of there being an objective reality is independent of any particular assertion about our prospects for knowing that reality in any objective sense. One should, in other words, agree that the idea of some objective reality, existing as it is independent of any subjective perception of it, apparently makes sense even for one who holds little hope for any of us knowing that there is such a reality, or knowing anything objectively about such a reality. Perhaps our human situation is such that we cannot know anything beyond our experiences; perhaps we are, each one of us individually, confined to the theater of our own minds. Nonetheless, we can conceive what it means to assert an objective reality beyond the stream of our experiences.

e. Defending Objective Knowledge

Opposing skepticism regarding objective reality, it is conceivable that there are “markers” of some sort in our subjective experiences distinguishing the reliable perceptions of objective truth from the illusions generated purely subjectively (hallucinations, misperceptions, perceptions of secondary qualities, etc.). Descartes, for example, wrote of “clear and distinct impressions” as having an inherent mark, as it were, attesting to their reliability as indicators of how things are objectively. This idea does not have many defenders today, however, since Descartes asserted certainty for knowledge derived from clear and distinct ideas. More acceptable among philosophers today would be a more modest assertion of a high likelihood of reliability for subjective impressions bearing certain marks. The marks of reliable impressions are not “clear and distinct” in Descartes’ sense, but have some connection to common sense ideas about optimal perceptual circumstances. Thus, defenders of objective knowledge are well advised to search for subjectively accessible “marks” on impressions that indicate a high likelihood of truth.

A defender of the prospects for objective knowledge would apparently want also to give some significance to intersubjective agreement. Assertions of intersubjective agreement are based, of course, on one’s subjective impressions of other perceiving subjects agreeing with one’s own judgments. Thus, intersubjective agreement is just one type of “mark” one might use to identify the more likely reliable impressions. This is simple common-sense. We have much more confidence in our judgments (or should, anyway) when they are shared by virtually everyone with whom we discuss them than when others (showing every sign of normal perceptual abilities and a sane mind) disagree. A central assumption behind this common pattern of thought, however, is that there are indeed many other perceiving subjects besides ourselves and we are all capable, sometimes at least, of knowing objective reality. Another assumption is that objective reality is logically consistent. Assuming that reality is consistent, it follows that your and my logically incompatible judgments about a thing cannot both be true; intersubjective disagreement indicates error for at least one of us. One can also argue that agreement indicates probable truth, because it is unlikely that you and I would both be wrong in our judgment regarding an object and both be wrong in exactly the same way. Conversely, if we were both wrong about some object, it is likely that we would have differing incorrect judgments about it, since there are innumerable ways for us to make a wrong judgment about an object.

f. Is There No Escape From the Subjective?

Despite plausible ways of arguing that intersubjective disagreement indicates error and agreement indicates some probability of truth, defenses of objective knowledge all face the philosophically daunting challenge of providing a cogent argument showing that any purported “mark” of reliability (including apparent intersubjective agreement) actually does confer a high likelihood of truth. The task seems to presuppose some method of determining objective truth in the very process of establishing certain sorts of subjective impressions as reliable indicators of truth. That is, we require some independent (non-subjective) way of determining which subjective impressions support knowledge of objective reality before we can find subjectively accessible “markers” of the reliable subjective impressions. What could such a method be, since every method of knowledge, judgment, or even thought seems quite clearly to go on within the realm of subjective impressions? One cannot get out of one’s subjective impressions, it seems, to test them for reliability. The prospects for knowledge of the objective world are hampered by our essential confinement within subjective impressions.

3. Metaphysical Issues

In metaphysics, i.e., the philosophical study of the nature of reality, the topic of objectivity brings up philosophical puzzles regarding the nature of the self, for a perceiving subject is also, according to most metaphysical theories, a potential object of someone else’s perceptions. Further, one can perceive oneself as an object, in addition to knowing one’s subjective states fairly directly. The self, then, is known both as subject and as object. Knowledge of self as subject seems to differ significantly from knowledge of the self as object.

The differences are most markedly in evidence in the philosophy of mind. Philosophers of mind try to reconcile, in some sense, what we know about the mind objectively and what we know subjectively. Observing minded beings as objects is central to the methods of psychology, sociology, and the sciences of the brain. Observing one minded being from the subjective point of view is something we all do, and it is central to our ordinary notions of the nature of mind. A fundamental problem for the philosophy of mind is to explain how any object, no matter how complex, can give rise to mind as we know it from the subjective point of view. That is, how can mere “stuff” give rise to the rich complexity of consciousness as we experience it? It seems quite conceivable that there be creatures exactly like us, when seen as objects, but having nothing like our conscious sense of ourselves as subjects. So there is the question of why we do have subjective conscious experience and how that comes to be. Philosophers also struggle to explain what sort of relationship might obtain between mind as we see it embodied objectively and mind as we experience it subjectively. Are there cause-and-effect relationships, for example, and how do they work?

The topic of seeing others and even oneself as an object in the objective world is a metaphysical issue, but it brings up an ethical issue regarding the treatment of persons. There are, in addition, special philosophical issues regarding assertions of objectivity in ethics.

4. Objectivity in Ethics

a. Persons in Contrast to Objects

First, the dual nature of persons as both subjects (having subjective experience) and objects within objective reality relates to one of the paramount theories of ethics in the history of philosophy. Immanuel Kant’s ethics gives a place of central importance to respect for persons. One formulation of his highly influential Categorical Imperative relates to the dual nature of persons. This version demands that one “treat humanity, in your own person or in the person of any other, never simply as a means, but always at the same time as an end” (Groundwork, p. 96). One may treat a mere object simply as a means to an end; one may use a piece of wood, for example, simply as a means of repairing a fence. A person, by contrast, is marked by subjectivity, having a subjective point of view, and has a special moral status according to Kant. Every person must be regarded as an end, that is as having intrinsic value. It seems that the inherent value of a person depends essentially on the fact that a person has a subjective conscious life in addition to objective existence.

This ethical distinction brings out an aspect of the term “object” as a “mere object,” in contrast to the subjectivity of a person. The term “objectivity” in this context can signify the mere “object-ness” of something at its moral status.

Despite widespread agreement that being a person with a subjective point of view has a special moral status, there is a general difficulty explaining whether this alleged fact, like all alleged moral facts, is an objective fact in any sense. It is also difficult to explain how one can know moral truths if they are indeed objective.

b. Objectivism, Subjectivism and Non-Cognitivism

Philosophical theories about the nature of morality generally divide into assertions that moral truths express subjective states and assertions that moral truths express objective facts, analogous to the fact, for example, that the sun is more massive than the earth.

So-called subjectivist theories regard moral statements as declaring that certain facts hold, but the facts expressed are facts about a person’s subjective states. For example, the statement “It is wrong to ignore a person in distress if you are able to offer aid” just means something like “I find it offensive when someone ignores a person in distress….” This is a statement about the subject’s perceptions of the object, not about the object itself (that is, ignoring a person in distress). Objectivist theories, in contrast, regard the statement “It is wrong to ignore….” as stating a fact about the ignoring itself.

Subjectivist theories do not have to regard moral statements as statements about a single subject’s perceptions or feelings. A subjectivist could regard the statement “Torture is immoral,” for example, as merely expressing the feeling of abhorrence among members of a certain culture, or among people in general.

In addition to objectivism and subjectivism, a third major theory of morality called non-cognitivism asserts that alleged moral statements do not make any claim about any reality, either subjective or objective. This approach asserts that alleged moral statements are just expressions of subjective feelings; they are not reports about such feelings. Thus the statement “Torture is immoral” is equivalent to wincing or saying “ugh” at the thought of torture, rather than describing your feelings about torture.

c. Objectivist Theories

Among objectivist theories of morality, the most straightforward version declares that is it an objective fact, for example, that it is wrong to ignore a person in distress if you are able to offer aid. This sort of theory asserts that the wrongness of such behavior is part of objective reality in the same way that the sun’s being more massive than the earth is part of objective reality. Both facts would obtain regardless of whether any conscious being ever came to know either of them.

Other objectivist theories of morality try to explain the widespread feeling that there is an important difference between moral assertions and descriptive, factual assertions while maintaining that both types of assertion are about something other than mere subjective states. Such theories compare moral assertions to assertions about secondary qualities. The declaration that a certain object is green is not merely a statement about a person’s subjective state. It makes an assertion about how the object is, but it’s an assertion that can be formulated only in relation to the states of perceiving subjects under the right conditions. Thus, determining whether an object is green depends essentially on consulting the considered judgments of appropriately placed perceivers. Being green, by definition, implies the capacity to affect perceiving humans under the right conditions in certain ways. By analogy, moral assertions can be assertions about how things objectively are while depending essentially on consulting the considered judgments of appropriately placed perceivers. Being morally wrong implies, on this view, the capacity to affect perceiving humans under the right conditions in certain ways.

d. Can We Know Moral Facts?

For either sort of objectivist approach to morality, it is difficult to explain how people come to know the moral properties of things. We seem not to be able to know the moral qualities of things through ordinary sense experience, for example, because the five senses seem only to tell us how things are in the world, not how they ought to be. Nor can we reason from the way things are to the way they ought to be, since, as David Hume noted, “is” does not logically imply an “ought.” Some philosophers, including Hume, have postulated that we have a special mode of moral perception, analogous to but beyond the five ordinary senses, which gives us knowledge of moral facts. This proposal is controversial, since it presents problems for verifying moral perceptions and resolving moral disputes. It is also problematic as long as it provides no account of how moral perception works. By contrast, we have a good understanding of the mechanisms underlying our perception of secondary qualities such as greenness.

Many people assert that it is much less common to get widespread agreement on moral judgments than on matters of observable, measurable facts. Such an assertion seems to be an attempt to argue that moral judgments are not objective based on lack of intersubjective agreement about them. Widespread disagreement does not, however, indicate that there is no objective fact to be known. There are many examples of widespread disagreement regarding facts that are clearly objective. For example, there was once widespread disagreement about whether the universe is expanding or in a “steady state.” That disagreement did not indicate that there is no objective fact concerning the state of the universe. Thus, widespread disagreement regarding moral judgments would not, by itself, indicate that there are no objective moral facts.

This assertion is apparently an attempt to modify the inference from widespread intersubjective agreement to objective truth. If so, it is mistaken. Assuming that the inference from intersubjective agreement to probable objective truth is strong, it does not follow that one can infer from lack of intersubjective agreement to probable subjectivity. As previously indicated, intersubjective disagreement logically supports the assertion that there is an error in at least one of the conflicting judgments, but it does not support an assertion of the mere subjectivity of the matter being judged. Further, the vast areas of near-universal agreement in moral judgments typically receives too little attention in discussions of the nature of morality. There are seemingly innumerable moral judgments (e.g., it is wrong to needlessly inflict pain on a newborn baby) that enjoy nearly universal agreement across cultures and across time periods. This agreement should, at least prima facie, support an assertion to objectivity as it does for, say, judgments about the temperature outside.

5. Major Historical Philosophical Theories of Objective Reality

Any serious study of the nature of objectivity and objective knowledge should examine the central metaphysical and epistemological positions of history’s leading philosophers, as well as contemporary contributions. The following very brief survey should give readers some idea of where to get started.

Plato is famous for a distinctive view of objective reality. He asserted roughly that the greatest reality was not in the ordinary physical objects we sense around us, but in what he calls Forms, or Ideas. (The Greek term Plato uses resembles the word “idea,” but it is preferable to call them Forms, for they are not ideas that exist only in a mind, as is suggested in our modern usage of the term “idea.”) Ordinary objects of our sense experience are real, but the Forms are a “higher reality,” according to Plato. Having the greatest reality, they are the only truly objective reality, we could say.

Forms are most simply described as the pure essences of things, or the defining characteristics of things. We see many varied instances of chairs around us, but the essence of what it is to be a chair is the Form “chair.” Likewise, we see many beautiful things around us, but the Form “beauty” is the “what it is to be beautiful.” The Form is simply whatever it is that sets beautiful things apart from everything else.

In epistemology, Plato accordingly distinguishes the highest knowledge as knowledge of the highest reality, the Forms. Our modern usage of the terms “objective knowledge” and “objective reality” seem to fit in reasonably well here.

Aristotle, by contrast, identifies the ordinary objects of sense experience as the most objective reality. He calls them “primary substance.” The forms of things he calls “secondary substance.” Hence, Aristotle’s metaphysics seems to fit better than Plato’s with our current understanding of objective reality, but his view of objective knowledge differs somewhat. For him, objective knowledge is knowledge of the forms, or essences, of things. We can know individual things objectively, but not perfectly. We can know individuals only during occurrent perceptual contact with them, but we can know forms perfectly, or timelessly.

Descartes famously emphasized that subjective reality is better known than objective reality, but knowledge of the objective reality of one’s own existence as a non-physical thinking thing is nearly as basic, or perhaps as basic, as one’s knowledge of the subjective reality of one’s own thinking. For Descartes, knowledge seems to start with immediate, indubitable knowledge of one’s subjective states and proceeds to knowledge of one’s objective existence as a thinking thing. Cogito, ergo sum (usually translated as “I think, therefore I am”) expresses this knowledge. All knowledge of realities other than oneself ultimately rests on this immediate knowledge of one’s own existence as a thinking thing. One’s existence as a non-physical thinking thing is an objective existence, but it appears that Descartes infers this existence from the subjective reality of his own thinking. The exact interpretation of his famous saying is still a matter of some controversy, however, and it may not express an inference at all.

We have already looked at some of John Locke’s most influential assertions about the nature of objective reality. Bishop Berkeley followed Locke’s empiricism in epistemology, but put forth a markedly different view of reality. Berkeley’s Idealism asserts that the only realities are minds and mental contents. He does, however, have a concept of objective reality. A table, for example, exists objectively in the mind of God. God creates objective reality by thinking it and sustains any objective reality, such as the table, only so long as he continues to think of it. Thus the table exists objectively for us, not just as a fleeting perception, but as the totality of all possible experiences of it. My particular experience of it at this moment is a subjective reality, but the table as an objective reality in the mind of God implies a totality of all possible experiences of it. Berkeley asserts there is no need to postulate some physical substance underlying all those experiences to be the objective reality of the table; the totality of possible experiences is adequate.

We have looked briefly at some of Kant’s claims about the nature of objective reality. More recent philosophy continues these discussions in many directions, some denying objectivity altogether. Detailed discussion of these movements goes beyond the purview of this essay, but interested readers should specially investigate Hegel’s idealism, as well as succeeding schools of thought such as phenomenology, existentialism, logical positivism, pragmatism, deconstructionism, and post-modernism. The philosophy of mind, naturally, also continually confronts basic questions of subjectivity and objectivity.

6. References and Further Reading

  • Alston, William P. “Yes, Virginia, There is a Real World.” Proceedings and Addresses of the American Philosophical Association 52 (1979): 779-808.
  • Descartes, Rene. Meditations (1641). In The Philosophical Writings of Descartes, eds. J. Cottingham, R. Stoothoff and D. Murdoch (Cambridge: Cambridge University Press, 1975).
  • Kant, Immanuel. Prolegomena to any Future Metaphysics (1783). Trans. James W. Ellington (Indianapolis: Hackett, 1977).
  • Locke, John. Essay Concerning Human Understanding (1689). Ed. Peter Nidditch (Oxford: Clarendon Press, 1975).
  • Moser, Paul. Philosophy After Objectivity. (New York: Oxford University Press, 1993).
  • Nagel, Thomas. The View From Nowhere. (New York: Oxford University Press, 1986).
  • Quine, W. V. Word and Object. (Cambridge, MA: MIT Press, 1960).
  • Rorty, Richard. Philosophy and the Mirror of Nature. (Princeton: Princeton University Press, 1979).
  • Rorty, Richard. Objectivity, Relativism, and Truth: Philosophical Papers, Vol. 1. (Cambridge: Cambridge University Press, 1991).
  • Wright, Crispin. Realism, Meaning, and Truth. (Oxford: Blackwell, 1987).

Author Information

Dwayne H. Mulder
Email: mulderd@sonoma.edu
Sonoma State University
U. S. A.

Zhuangzi (Chuang-Tzu, 369—298 B.C.E.)

zhuangziThe Zhuangzi (also known in Wade-Giles romanization romanization as Chuang-tzu), named after “Master Zhuang” was, along with the Laozi, one of the earliest texts to contribute to the philosophy that has come to be known as Daojia, or School of the Way. According to traditional dating, Master Zhuang, to whom the first seven chapters of the text have traditionally been attributed, was an almost exact contemporary of the Confucian thinker Mencius, but we have no record of direct philosophical dialogue between them.  The text is ranked among the greatest of literary and philosophical masterpieces that China has produced.  Its style is complex—mythical, poetic, narrative, humorous, indirect, and polysemic.

Much of the text espouses a holistic philosophy of life, encouraging disengagement from the artificialities of socialization, and cultivation of our natural “ancestral” potencies and skills, in order to live a simple and natural, but full and flourishing life. It is critical of our ordinary categorizations and evaluations, noting the multiplicity of different modes of understanding between different creatures, cultures, and philosophical schools, and the lack of an independent means of making a comparative evaluation. It advocates a mode of understanding that is not committed to a fixed system, but is fluid and flexible, and that maintains a provisional, pragmatic attitude towards the applicability of these categories and evaluations.

The Zhuangzi text is an anthology, in which several distinctive strands of Daoist thought can be recognized. The Jin dynasty thinker and commentator, Guo Xiang (Kuo Hsiang, d. 312 CE), edited and arranged an early collection, and reduced what had been a work in fifty-two chapters down to thirty-three chapters, excising material that he considered to be repetitious or spurious.  The versions of Daoist philosophy expressed in this text were highly influential in the reception, interpretation, and transformation of Buddhist philosophies in China.

Table of Contents

  1. Historical Background
  2. The Zhuangzi Text
  3. Central Concepts in the “Inner Chapters”
    1. Chapter 1: Xiao Yao You (Wandering Beyond)
    2. Chapter 2: Qi Wu Lun (Discussion on Smoothing Things Out)
    3. Chapter 3: Yang Sheng Zhu (The Principle of Nurturing Life)
    4. Chapter 4: Ren Jian Shi (The Realm of Human Interactions)
    5. Chapter 5: De Chong Fu (Signs of the Flourishing of Potency)
    6. Chapter 6: Da Zong Shi (The Vast Ancestral Teacher)
    7. Chapter 7: Ying Di Wang (Responding to Emperors and Kings)
  4. Key Interpreters of Zhuangzi
  5. References and Further Reading

1. Historical Background

According to the Han dynasty historian, Sima Qian, Zhuangzi was born during the Warring States (403-221 BCE), more than a century after the death of Confucius. During this time, the ostensibly ruling house of Zhou had lost its authority, and there was increasing violence between states contending for imperial power. This situation gave birth to the phenomenon known as the baijia, the hundred schools: the flourishing of many schools of thought, each articulating its own conception of a return to a state of harmony. The first and most significant of these schools was that of Confucius, who became the chief representative of the Ruists (Confucians), the scholars and propagators of the wisdom and culture of the tradition. Their great rivals were the Mohists, the followers of Mozi (“Master Mo”), who were critical of what they perceived to be the elitism and extravagance of the traditional culture. The archaeological discovery at Guo Dian in 1993 of an early Laozi manuscript suggests that the philosophical movement associated with the text also began to emerge during this period. The strands of Daoist philosophy expressed in the earliest strata of the Zhuangzi developed within a context infused with the ideas of these three schools. Master Zhuang is usually taken to be the author of the first seven chapters, but in recent years a few scholars have found reason to be skeptical not just of his authorship of any of the text, but also of his very existence.

According to early evidence compiled by Sima Qian, Zhuangzi was born in a village called Meng, in the state of Song; according to Lu Deming, the Sui-Tang dynasty scholar, the Pu River in which Zhuangzi was said to have fished was in the state of Chen which, as Wang Guowei points out, had become a territory of the southern state of Chu. We might say that Zhuangzi was situated in the borderlands between Chu, centered around the Yangzi River, and the central plains—which centered around the Yellow River and which were the home of the Shang and Zhou cultures. Some scholars, especially in China, maintain that there is a connection between the philosophies of the Daoist texts and the culture of Chu. The diversity of regions and cultures in early China has increasingly been acknowledged, and most interest has been directed to the state of Chu, in large part because of the wealth of archaeological evidence that is being unearthed there. As one develops a sensitivity for the culture of Chu, one senses deep resonances with the aesthetic sensibility of the Daoists, and with Zhuangzi’s style in particular. The silks and bronzes of Chu, for example, are rich and vibrant; the patterns and images on fabrics and pottery are fanciful and naturalistic. However, while the evidence is persuasive, it is far from decisive.

If the traditional dating is reliable, then Zhuangzi would have been an almost exact contemporary of the Ruist thinker Mencius, though there is no clear evidence of communication between them. There are a few remarks in the Zhuangzi that could possibly be alluding to Mencius’ philosophy, but there is nothing in the Mencius that shows any interest in Zhuangzi. The philosopher and statesman Hui Shi, or Huizi (“Master Hui,” 380-305 BCE), is represented as a close friend of Zhuangzi, though decidedly unconvinced by his philosophical musings. There appears to have been a friendly rivalry between the broad and mythic-minded Zhuangzi and the politically motivated Huizi, who is critiqued in the text as a shortsighted paradox-monger. Despite their very deep philosophical distance, and Huizi’s perceived limitations, Zhuangzi expresses great appreciation both for his linguistic abilities and for his friendship. The other “logician,” Gongsun Longzi, would also have been a contemporary of Zhuangzi, and although Zhuangzi does not, unfortunately, engage in any direct philosophical discussion with him, one does find what appears to be an occasional wink in his direction.

2. The Zhuangzi Text

The currently extant text known as the Zhuangzi is the result of the editing and arrangement of the Jin dynasty thinker and commentator Guo Xiang (Kuo Hsiang, d. 312 CE). He reduced what was then a work in fifty-two chapters to the current edition of thirty-three chapters, excising material that he considered to be spurious. His commentary on the text provides an interpretation that has been one of the most influential over the subsequent centuries.

Guo Xiang’s thirty-three chapter edition of the text is divided into three collections, known as the Inner Chapters (Neipian), the Outer Chapters (Waipian), and the Miscellaneous Chapters (Zapian). The Inner Chapters are the first seven chapters and are generally considered to be the work of Zhuangzi himself. Because the evidence for this attribution is sparse and because of the miscellaneous nature of the editing, some scholars (McCraw, Klein) express skepticism that we can be sure which were the earliest passages or who they were written by. The Outer Chapters are chapters 8 to 22, and the Miscellaneous Chapters are chapters 23 to 33. The Outer and Miscellaneous Chapters can be further subdivided into different strands of Daoist thought. Much modern research has been devoted to a sub-classification of these chapters according to philosophical school. Kuan Feng made some scholarly breakthroughs early in the twentieth century; A. C. Graham continued his classification in the tradition of Kuan Feng. Harold Roth has also taken up a consideration of this issue and come up with some very interesting results. What follows is a simplified version of the results of the research of Liu Xiaogan.

According to Liu, chapters 17 to 27 and 32 can be considered to be the work of a school of Zhuangzi’s followers, what he calls the Shu Zhuang Pai, or the “Transmitter” school. Graham, following Kuan Feng, considers chapters 22 to 27 and 32 not to be coherent chapters, but merely random “ragbag” collections of fragments. In fact, this miscellaneous character is characteristic of many, if not most, of the rest of the chapters, and complicates any simplistic classification of chapters as a whole. Liu considers chapters 8 to 10, chapters 28 to 31, and the first part of chapter 11 to be from a school of Anarchists whose philosophy is closely related to that of Laozi. Graham, again following Kuan Feng, sees these as two separate but related schools: the first he attributes to a writer he calls the “Primitivist,” the second he considers to be a school of followers of Yang Zhu. Liu classifies chapters 12 to 16, chapter 33, and the first part of chapter 11 as belonging to the Han dynasty school known as Huang-Lao. Graham refers to them as the Syncretist chapters. Graham finds the classification of chapter 16 to be problematic. Chapter 30 does not seem to have any distinctively Daoist content at all. Though Graham thinks that it is consistent with the Yangist emphasis on preserving life, it is also consistent with Confucian and Mohist critiques of aggression.

In the following chart the further to the right the chapters are listed, the further away they are from the central ideas of the Zhuangzian philosophy of the Inner Chapters:

The Inner Chapters School of Zhuang Anarchist Utopianism Huang-Lao Syncretism
1. Wandering Beyond 17. Autumn Floods 8. Webbed Toes 11. Let it Be, Leave it Alone
2. Discussion on Smoothing Things Out 18. Utmost Happiness 9. Horse’s Hooves 12. Heaven and Earth
3. The Principle of Nurturing Life 19. Mastering Life 10. Rifling Trunks 13. The Way of Heaven
4. In the Human Realm 20. The Mountain Tree 11. Let it Be, Leave it Alone 14. The Turning of Heaven
5. Signs of Abundant Potency 21. Tian Zi Fang 15. Constrained in Will
6. The Vast Ancestral Teacher 22. Knowledge Wandered North (16?. Mending the Inborn Nature) (16?. Mending the Inborn Nature)
7. Responding to Emperors and Kings 23. Geng Sang Chu
24. Xu Wugui 28. Yielding the Throne 33. The World
25. Ze Yang 29. Robber Zhi
26. External Things (30. Discoursing on Swords?)
27. Imputed Words 31. The Old Fisherman
32. Lie Yukou

3. Central Concepts in the “Inner Chapters”

The following is an account of the central ideas of Zhuangzian philosophy, going successively through each of the seven Inner Chapters. This discussion is not confined to the content of the particular chapters, but rather represents a fuller articulation of the inter-relationships of the ideas between the Inner Chapters, and also between these ideas and those expressed in the Outer and Miscellaneous Chapters, where these appear to be related. References to “Zhuangzi” below should not be taken as referring to a historical person, but rather as shorthand for the overall philosophy as articulated in the text of the Inner Chapters and related passages.

a. Chapter 1: Xiao Yao You (Wandering Beyond)

The title of the first chapter of the Zhuangzi has also been translated as “Free and Easy Wandering” and “Going Rambling Without a Destination.” Both of these reflect the sense of the Daoist who is in spontaneous accord with the natural world, and who has retreated from the anxieties and dangers of social life, in order to live a healthy and peaceful natural life. In modern Mandarin, the word xiaoyao has thus come to mean “free, at ease, leisurely, spontaneous.” It conveys the impression of people who have given up the hustle and bustle of worldly existence and have retired to live a leisurely life outside the city, perhaps in the natural setting of the mountains.

But this everyday expression is lacking a deeper significance that is expressed in the classical Chinese phrase: the sense of distance, or going beyond. As with all Zhuangzi’s images, this is to be understood metaphorically. The second word, ‘yao,’ means ‘distance’ or ‘beyond,’ and here implies going beyond the boundaries of familiarity. We ordinarily confine ourselves within our social roles, expectations, and values, and with our everyday understandings of things. But this, according to Zhuangzi, is inadequate for a deeper appreciation of the natures of things, and for a more successful mode of interacting with them. We need at the very least to undo preconceptions that prevent us from seeing things and events in new ways; we need to see how we can structure and restructure the boundaries of things. But we can only do so when we ourselves have ‘wandered beyond’ the boundaries of the familiar. It is only by freeing our imaginations to reconceive ourselves, and our worlds, and the things with which we interact, that we may begin to understand the deeper tendencies of the natural transformations by which we are all affected, and of which we are all constituted. By loosening the bonds of our fixed preconceptions, we bring ourselves closer to an attunement to the potent and productive natural way (dao) of things.

Paying close attention to the textual associations, we see that wandering is associated with the word wu, ordinarily translated ‘nothing,’ or ‘without.’ Related associations include: wuyou (no ‘something’) and wuwei (no interference). Roger Ames and David Hall have commented extensively on these wu expressions. Most importantly, they are not to be understood as simple negations, but have a much more complex function. The significance of all of these expressions must be traced back to the wu of Laozi: a type of negation that does not simply negate, but places us in a new kind of relation to ‘things’—a phenomenological waiting that allows them to manifest, one that acknowledges the space that is the possibility of their coming to presence, one that appreciates the emptiness that is the condition of the possibility of their capacity to function, to be useful (as the hollow inside a house makes it useful for living). The behavior of one who wanders beyond becomes wuwei: sensitive and responsive without fixed preconceptions, without artifice, responding spontaneously in accordance with the unfolding of the inter-developing factors of the environment of which one is an inseparable part.

But it is not just the crossing of horizontal boundaries that is at stake. There is also the vertical distance that is important: one rises to a height from which formerly important distinctions lose what appeared to be their crucial significance. Thus arises the distinction between the great and the small, or the Vast (da) and the petty (xiao). Of this distinction Zhuangzi says that the petty cannot come up to the Vast: petty understanding that remains confined and defined by its limitations cannot match Vast understanding, the expansive understanding that wanders beyond. Now, while it is true that the Vast loses sight of distinctions noticed by the petty, it does not follow that they are thereby equalized, as Guo Xiang suggests. For the Vast still embraces the petty in virtue of its very vastness. The petty, precisely in virtue of its smallness, is not able to reciprocate.

Now, the Vast that goes beyond our everyday distinctions also thereby appears to be useless. A soaring imagination may be wild and wonderful, but it is extremely impractical and often altogether useless. Indeed, Huizi, Zhuangzi’s friend and philosophical foil, chides him for this very reason. But Zhuangzi expresses disappointment in him: for his inability to sense the use of this kind of uselessness is a kind of blindness of the spirit. The useless has use, only not as seen on the ordinary level of practical affairs. It has a use in the cultivation and nurturing of the ‘shen‘ (spirit), in protecting the ancestral and preserving one’s life, so that one can last out one’s natural years and live a flourishing life. Now, this notion of a flourishing life is not to be confused with a ‘successful’ life: Zhuangzi is not impressed by worldly success. A flourishing life may indeed look quite unappealing from a traditional point of view. One may give up social ambition and retire in relative poverty to tend to one’s shen and cultivate one’s xing (nature, or life potency).

To summarize: When we wander beyond, we leave behind everything we find familiar, and explore the world in all its unfamiliarity. We drop the tools that we have been taught to use to tame the environment, and we allow it to teach us without words. We imitate its spontaneous behavior and we learn to respond immediately without fixed articulations.

b. Chapter 2: Qi Wu Lun (Discussion on Smoothing Things Out)

If the Inner Chapters form the core of the Zhuangzi collection, then the Qi Wu Lun may be thought of as forming the core of the Inner Chapters. It is, at any rate, the most complex and intricate of the chapters of the Zhuangzi, with allusions and allegories, highly condensed arguments, and baffling metaphors juxtaposed without explanation. It appears to be concerned with the deepest and most ‘abstract’ understanding of ourselves, our lives, our world, our language, and indeed of our understanding itself. The most perplexing sections concern language and judgment, and are filled with paradox, sometimes even contradiction. But the contradictions are not easy to dismiss: their context indicates that they have a deep significance. In part, they appear to attempt to express an understanding about the limits of understanding itself, about the limits of language and thought.

This creates a problem for the interpreter, and especially for the translator. How do we deal with the contradictions? The most common solution is to paraphrase them so as to remove the direct contradictoriness, under the presupposition that no sense can be made of a contradiction. The most common way to remove the contradictions is to insert references to points of view. Those translators, such as A. C. Graham, who do this are following the interpretation of the Jin dynasty commentator Guo Xiang, who presents the philosophy as a form of relativism: apparently opposing judgments can harmonized when it is recognized that they are made from different perspectives.

According to Guo Xiang’s interpretation, each thing has its own place, its own nature (ziran); and each thing has its own value that follows from its own nature. If so, then nothing should be judged by values appropriate to the natures of other things. According to Guo Xiang, the vast and the small are equal in significance: this is his interpretation of the word “qi” in the title, “equalization of all viewpoints”. Now, such a radical relativism may have the goal of issuing a fundamental challenge to the status quo, arguing that the established values have no more validity than any of the minority values, no matter how shocking they may seem to us. In this way, its effect would be one of destabilization of the social structure. Here, however, we see another of the possible consequences of such a position: its inherent conservativeness. Guo Xiang’s purpose in asserting this radical uniqueness and necessity of each position is conservative in this way. Indeed, it appears to be articulated precisely in response to those who oppose the traditional Ruist values of humanity and rightness (ren and yi) by claiming to have a superior mystical ground from which to judge them to be lacking. Guo Xiang’s aim in asserting the equality of every thing, every position, and every function, is to encourage each thing, and each person, to accept its own place in the hierarchical system, to acknowledge its value in the functioning of the whole. In this way, radical relativism actually forestalls the possibility of radical critique altogether!

According to this reading, the Vast perspective of the giant Peng bird is no better than the petty perspectives of the little birds who laugh at it. And indeed, Guo Xiang, draws precisely this conclusion. But there is a problem with taking this reading too seriously, and it is the kind of problem that plagues all forms of radical relativism when one attempts to follow them through consistently. Simply put, Zhuangzi would have to acknowledge that his own position is no better than those he appears to critique. He would have to acknowledge that his Daoist philosophy, indeed even this articulation of relativism, is no improvement over Confucianism after all, and that it is no less short-sighted than the logic-chopping of the Mohists. This, however, is a consequence that Zhuangzi does not recognize. This is surely an indication that the radical relativistic interpretation is clearly a misreading.

Recently, some western interpreters (Lisa Raphals and Paul Kjellberg, for example) have focused their attention on aspects of the text that express affinities with the Hellenistic philosophy of Skepticism. Now, it is important not to confuse this with what in modern philosophy is thought of as a doctrine of skepticism, the most common form of which is the claim that we cannot ever claim to know anything, for at least the reason that we might always be wrong about anything we claim to know—that is, because we can never know anything with absolute certainty. This is not quite the claim of the ancient Skeptics. Arguing from a position of fallibilism, these latter feel that we ought never to make any final judgments that go beyond the immediate evidence, or the immediate appearances. We should simply accept what appears at face value and have no further beliefs about its ultimate consequences, or its ultimate value. In particular, we should refrain from making judgments about whether it is good or bad for us. We bracket (epoche) these ultimate judgments. When we see that such things are beyond our ability to know with certainty, we will learn to let go of our anxieties and accept the things that happen to us with equanimity. Such a state of emotional tranquility they call ‘ataraxia.’

Now, the resonances with Zhuangzi’s philosophy are clear. Zhuangzi also accepts a form of fallibilism. While he does not refrain from making judgments, he nevertheless acknowledges that we cannot be certain that what we think of as good for us may not ultimately be bad for us, or that what we now think of as something terrible to be feared (death, for example) might not be an extraordinarily blissful awakening and a release from the toils and miseries of worldly life. When we accept this, we refrain from dividing things into the acceptable and the unacceptable; we learn to accept the changes of things in all their aspects with equanimity. In the Skeptical reading, the textual contradictions are also resolved by appealing to different perspectives from which different judgments appear to be true. Once one has learnt how to shift easily between the perspectives from which such different judgments can be made, then one can see how such apparently contradictory things can be true at the same time—and one no longer feels compelled to choose between them.

There is, however, another way to resolve these contradictions, one that involves recognizing the importance of continuous transformation between contrasting phenomena and even between opposites. In the tradition of Laozi’s cosmology, Zhuangzi’s worldview is also one of seasonal transformations of opposites. The world is seen as a giant clod (da kuai) around which the heavens (tian) revolve about a polar axis (daoshu). All transformations have such an axis, and the aim of the sage is to settle into this axis, so that one may observe the changes without being buffeted around by them.

Now, the theme of opposites is taken up by the Mohists, in their later Mohist Canon, but with a very different understanding. The later Mohists present a detailed analysis of judgments as requiring bivalence: that is judgments may be acceptable (ke) (also, ‘affirmed’ shi) or unacceptable (buke) (also ‘rejected’fei); they must be one or the other and they cannot be both. There must always be a clear distinction between the two. It is to this claim, I believe, that Zhuangzi is directly responding. Rejecting also the Mohist style of discussion, he appeals to an allusive, aphoristic, mythological style of poetic writing to upset the distinctions and blur the boundaries that the Mohists insist must be held apart. The Mohists believe that social harmony can only be achieved when we have clarity of distinctions, especially of evaluative distinctions: true/false, good/bad, beneficial/harmful. Zhuangzi’s position is that this kind of sharp and rigid thinking can result ultimately only in harming our natural tendencies (xing), which are themselves neither sharp nor rigid. If we, on the contrary, learn to nurture those aspects of our heart-minds (xin), our natural tendencies (xing), that are in tune with the natural (tian) and ancestral (zong) within us, then we will eventually find our place at the axis of the way (daoshu) and will be able to ride the transformations of the cosmos free from harm. That is, we will be able to sense and respond to what can only be vaguely expressed without forcing it into gross and unwieldy verbal expressions. We are then able to recognize the paradoxes of vagueness and indeterminacy that arise from infinitesimal processes of transformation.

Put another way, our knowledge and understanding (zhi, tong, da) are not just what we can explicitly see before us and verbalize: in modern terms, they are not just what is ‘consciously,’ ‘conceptually,’ or ‘linguistically’ available to us. Zhuangzi also insists on a level of understanding that goes beyond such relatively crude modes of dividing up our world and experiences. There are hidden modes of knowing, not evident or obviously present, modes that allow us to live, breathe, move, understand, connect with others without words, read our environments through subtle signs; these modes of knowing also give us tremendous skill in coping with others and with our environments. These modes of knowing Zhuangzi calls “wuzhi”, literally ‘without knowing,’ or ‘unknowing’. What is known by such modes of knowing, when we attempt to express it in words, becomes paradoxical and appears contradictory. It seems that bivalent distinctions leave out too much on either side of the divide: they are too crude a tool to cope with the subtlety and complexity of our non-conceptual modes of knowing. Zhuangzi, following a traditional folk psychology of his time, calls this capacity shenming: “spirit insight.”

When we nurture that deepest and most natural, most ancestral part of our pysches, through psycho-physical meditative practices, we at the same time nurture these non-cognitive modes of understanding, embodied wisdoms, that enable us to deal successfully with our circumstances. It is then that we are able to cope directly with what from the limited perspective of our ‘socialized’ and ‘linguistic’ understanding seems to be too vague, too open, too paradoxical.

c. Chapter 3: Yang Sheng Zhu (The Principle of Nurturing Life)

This chapter, like the Anarchist Utopian chapters, deals with the way to nurture and cultivate one’s ‘life tendencies’ (sheng, xing) so as to enable one to live skillfully and last out one’s natural years (zhong qi tian nian). There is a ‘potency’ within oneself that is a source of longevity, an ancestral place from which the phenomena of one’s life continue to arise. This place is to be protected (bao), kept whole (quan), nurtured and cultivated (yang). The result is a sagely and skillful life. We must be careful how we understand this word, ‘skill.’ Zhuangzi takes pains to point out that it is no mere technique. A technique is a procedure that may be mastered, but the skill of the sage goes beyond this. One might say that it has become an ‘art,’ a dao. With Zhuangzi’s conception, any physical activity, whether butchering a carcass, making wooden wheels, or carving beautiful ceremonial bell stands, becomes a dao when it is performed in a spiritual state of heightened awareness (‘attenuation’ xu).

Zhuangzi sees civic involvement as particularly inimical to the preservation and cultivation of one’s natural life. In order to cultivate one’s natural potencies, one must retreat from social life, or at least one must retreat from the highly complex and artificially structured social life of the city. One undergoes a psycho-physical training in which one’s sensory and physical capacities become honed to an extraordinary degree, indicating one’s attunement with the transformations of nature, and thus highly responsive to the tendencies (xing) of all things, people, and processes. The mastery achieved is demonstrated (both metaphorically, and literally) by practical embodied skill. That is, practical embodied skill is also a metaphor representing the mastery of the life of the sage, and so it is also a sign of sagehood (though not all those who are skillful are to be reckoned as sages). Thus, we see many examples of individuals who have achieved extraordinary levels of excellence in their achievements—practical, aesthetic, and spiritual. Butcher Ding provides an example of a practical, and very lowly skill; Liezi’s teacher, Huzi, in chapter 7, provides an example of skill in controlling the very forces responsible for life themselves. Chapter 19, Mastering Life, is replete with examples: a cicada catcher, a ferryman, a carpenter, a swimmer, and Woodcarver Qing, whose aesthetic skill reaches ‘magical’ heights.

d. Chapter 4: Ren Jian Shi (The Realm of Human Interactions)

In this chapter, Zhuangzi continues the theme broached in the last chapter, but now takes on the problem of how to maintain and preserve one’s life and last out one’s years while living in the social realm, especially in circumstances of great danger: a life of civic engagement in a time of social corruption.

The Daoists, especially the authors of the anarchistic utopian chapters, are highly critical of the artificiality required to create and sustain complex social structures. The Daoists are skeptical of the ability of deliberate planning to deal with the complexities of the world within which our social structures have their place. Even the developments of the social world when left to themselves are ‘natural’ developments, and as such escape the confines of planned, structured thinking. The more we try to control and curtail these natural meanderings, the more complicated and unwieldy the social structures become. According to the Daoists, no matter how complex we make our structures, they will never be fully able to cope with the fluid flexibility of natural changes. The Daoists perceive the unfolding of the transformations of nature as exhibiting a kind of natural intelligence, a wisdom that cannot be matched by deliberate artificial thinking, thinking that can be articulated in words. The result is that phenomena guided by such artificial structures quickly lose their course, and have to be constantly regulated, re-calibrated. This need gives rise to the development and articulation of the artificial concepts of ren and yi for the Ruists, and shi and fei for the Mohists.

The Ruists emphasize the importance of cultivating the values of ren ‘humanity’ and yi ‘appropriateness/rightness.’ The Mohists identify a bivalent structure of preference and evaluation, shifei. Our judgments can be positive or negative, and these arise out of our acceptance and rejection of things or of judgments, and these in turn arise out of our emotional responses to the phenomena of benefit and harm, that is, pleasure and pain. Thus, we set up one of two types of systems: the intuitive renyi morality of the Ruists, or the articulated structured shifei of the Mohists.

Zhuangzi sees both of these as dangerous. Neither can keep up with the complex transformations of things and so both will result in harm to our shen and xing. They lead to the desire of rulers to increase their personal profit, their pleasure, and their power, and to do so at the expense of others. The best thing is to steer clear of such situations. But there are times when one cannot do so: there is nothing one can do to avoid involvement in a social undertaking. There are also times—if one has a Ruist sensibility—when one will be moved to do what one can and must in order to improve the social situation. Zhuangzi makes up a story about Confucius’ most beloved and most virtuous follower, Yen Hui, who feels called to help ‘rectify’ the King of a state known for his selfishness and brutality.

Zhuangzi thinks that such a motivation, while admirable, is ultimately misguided. There is little to nothing one can do to change things in a corrupt world. But if you really have to try, then you should be aware of the dangers, be aware of the natures of things, and of how they transform and develop. Be on the lookout for the ‘triggers’: the critical junctures at which a situation can explode out of hand. In the presence of danger, do not confront it: always dance to one side, redirect it through skilled and subtle manipulations, that do not take control, but by adding their own weight appropriately, redirect the momentum of the situation. One must treat all dangerous social undertakings as a Daoist adept: one must perform xinzhai, fasting of the heart-mind. This is a psycho-physical discipline of attenuation, in which one nurtures one’s inner potencies by thinning out one’s personal preferences and keeping one’s emotions in check, so that one may achieve a heightened sensitivity to the tendencies of things. One then responds with the skill of a sage to the dangerous moods and intentions of one’s worldly ruler.

e. Chapter 5: De Chong Fu (Signs of the Flourishing of Potency)

This chapter is populated with a collection of characters with bodily eccentricities: criminals with amputated feet, people born with ‘ugly’ deformities, hunchbacks with no lips. Perhaps some of these are moralistic advisors, like those of chapter 4, who were unsuccessful in bringing virtue and harmony to a corrupt state, and instead received the harsh punishment of their offended ruler. But it is also possible that some were born with these physical ‘deformities.’ As the Commander of the Right says in chapter 3, “When tian (nature) gave me life, it saw to it that I would be one footed.” These then are people whose natural capacity (de) has been twisted somehow, redirected, so that it gives them a potency (de) that is beyond the normal human range. At any rate, this out of the ordinary appearance, this extraordinary physical form, is a sign of something deeper: a potency and a power (de) that connects them more closely to the ancestral source. These are the sages that Zhuangzi admires: those whose virtue (de) is beyond the ordinary, and whose signs of virtue indicate that they have gone beyond.

But what goes beyond is also the source of life. To hold fast to that which is beyond both living and dying, is perhaps also to hold fast to something more primordial that is beyond human and inhuman. To identify with and nurture this source is to nurture that which is at the root of our humanity. If so, then one does not necessarily become inhuman. Indeed, one might argue that this creates the possibility of deepening one’s most genuine humanity, insofar as this is a deeper nature still.

f. Chapter 6: Da Zong Shi (The Vast Ancestral Teacher)

The first part of this chapter is devoted to a discussion of the zhenren: the “genuine person,” or “genuine humanity,” (or in older translations, “True Man”). It begins by asking about the relation between tian and ren, the natural/heaven and the human, and suggests that the greatest wisdom lies in the ability to understand both. Thus, to be forced to choose between being natural or being human is a mistake. A genuinely flourishing human life cannot be separated from the natural, but nor can it on that account deny its own humanity. Genuine humanity is natural humanity.

There are several sections devoted to explicating this genuine humanity. We find that the genuinely human person, the zhen ren, is in tune with the cycles of nature, and is not upset by the vicissitudes of life. The zhenren like Laozi’s sage is somehow simultaneously unified with things, and yet not tied down by them. The zhenren is in tune with the cycles of nature, and with the cycles of yin yang, and is not disturbed or harmed by them. In fact, the zhenren is not harmed by them either in what appears to us to be their negative phases, nor are their most extreme phases able to upset the balance of the zhenren. This is sometimes expressed with what I take to be the hyperbole that the sage or zhenren can never be drowned by the ocean, nor burned by fire.

In the second part of the chapter, Zhuangzi hints at the process by which we are to cultivate our genuine and natural humanity. These are meditative practices and psycho-physical disciplines—”yogas” perhaps—by which we learn how to nourish the ancestral root of life that is within us. We learn how to identify with that center which functions as an axis of stability around which the cycles of emotional turbulence flow. By maintaining ourselves as a shifting and responding center of gravity we are able to maintain an equanimity without giving up our feelings altogether. We enjoy riding the dragon without being thrown around by it. Ordinarily, we are buffeted around like flotsam in a storm, and yet, by holding fast to our ancestral nature, and by following the nature of the environment—by “matching nature with nature”—we free ourselves from the mercy of random circumstances.

In this chapter we see a mature development of the ideas of life and death broached in the first three chapters. Zhuangzi continues musing on the significance of our existential predicament as being inextricably tied into interweaving cycles of darkness and light, sadness and joy, living and dying. In chapter two, it was the predicament itself that Zhuangzi described, and he tried to focus on the inseparability and indistinguishability of the two aspects of this single process of transformation. In this chapter, Zhuangzi tries to delve deeper to reach the center of balance, the ‘axis of the way,’ that allows one to undergo these changes with tranquility, and even to accept them with a kind of ‘joy.’ Not an ecstatic affirmation, to be sure, but a tranquil appreciation of the richness, beauty, and “inevitability” of whatever experiences we eventually will undergo. Again, not that we must experience whatever is ‘fated’ for us, or that we ought not to minimize harm and suffering where we can do so, but only that we should acknowledge and accept our situatedness, our thrownness into our situation, as the ‘raw materials’ that we have to deal with.

There are mystical practices hinted at that enable the sage to identify with the datong, the greater flow, not with the particular arisings of these particular emotions, or this particular body, but with what lies within (and below and above) as their ancestral root. These meditative and yogic practices are hinted at in this chapter, and also in chapter 7, but nothing in the text reveals what they are. It is not unreasonable to believe that similar techniques have been handed down by the practitioners of religious Daoism. It is clear, nonetheless, that part of the change is a change in self-understanding, self-identification. We somehow learn to expand, to wander beyond, our boundaries until they include the entire cosmic process. This entire process is seen as like a potter’s wheel, and simultaneously as a whetstone and as a grindstone, on which things are formed, and arise, sharpened, and are ground back down only to be made into new forms. With each ‘birth’ (sheng) some ‘thing’ (wu) new arises, flourishes, develops through its natural (tian) tendencies (xing), and then still following its natural tendencies, responding to those of its natural environment, it winds down: enters (ru) back into the undifferentiated (wu) from which it emerged (chu). The truest friendship arises when members of a community identify with this unknown undifferentiated process in which they are embedded, “forgotten” differences between self and other, and spontaneously follows the natural developments of which they are inseparable “parts.”

g. Chapter 7: Ying Di Wang (Responding to Emperors and Kings)

The last of the Inner Chapters does not introduce anything new, but closes by returning to a recurring theme from chapters 1, 3, 5, and 6: that of withdrawing from society. This ‘withdrawal’ has two functions: the first is to preserve one’s ‘life’; the second is to allow society to function naturally, and thus to bring itself to a harmonious completion. Rather than interfering with social interactions, one should allow them to follow their natural course, which, Zhuangzi believes, will be both imaginative and harmonious.

These themes resonate with those of the Anarchist chapters in the Outer (and Miscellaneous) chapters: 8 to 11a and 28 to 32. These encourage a life closer to nature in which one lets go of deliberate control and instead learns how to sense the tendencies of things, allowing them to manifest and flourish, while also adding one’s weight to redirect their momentum away from harm and danger. Or, if harm and danger are unavoidable, then one learns how to minimize them, and how to accept whatever one does have to suffer with equanimity.

4. Key Interpreters of Zhuangzi

The earliest of the interpreters of Zhuangzi’s philosophy are of course his followers, whose commentaries and interpretations have been preserved in the text itself, in the chapters that Liu Xiaogan ascribes to the “Shu Zhuang Pai,” chapters 17 to 27. Most of these chapters constitute holistic developments of the ideas of the Inner Chapters, but some of them concentrate on particular issues raised in particular chapters. For example, the author of Chapter 17, the Autumn Floods, elaborates on the philosophy of perspective and overcoming boundaries that is discussed in the first chapter, Xiao Yao You. This chapter develops the ideas in several divergent directions: relativism, skepticism, pragmatism, and even a kind of absolutism. Which of these, if any, is the overall philosophical perspective is not easy to discern. The author of chapter 19, Da Sheng, Mastering Life, takes up the theme of the cultivation of the wisdom of embodied skill that is introduced in chapter 3, Yang Sheng Zhu, The Principle of Nurturing Life. The author of chapter 18, Zhi Le, Utmost Happiness, and chapter 22, Zhi Bei You, Knowledge Wanders North, continues the meditations on life and death, and the cultivation of meditative practice, that are explored in chapter 6, Da Zong Shi, The Vast Ancestral Teacher.

The next group of interpreters have also become incorporated into the extant version of the text. They are the school of philosophers inclined towards anarchist utopias, that Graham identifies as a “Primitivist” and a school of “Yangists,” chapters 8 to 11, and 28 to 31. These thinkers appear to have been profoundly influenced by the Laozi, and also by the thought of the first and last of the Inner Chapters: “Wandering Beyond,” and “Responding to Emperors and Kings.” There are also possible signs of influence from Yang Zhu, whose concern was to protect and cultivate one’s inner life-source. These chapters combine the anarchistic ideals of a simple life close to nature that can be found in the Laozi with the practices that lead to the cultivation and nurturing of life. The practice of the nurturing of life in chapter 3, that leads to the “lasting out of one’s natural years,” becomes an emphasis on maintaining and protecting xing ming zhi qing “the essentials of nature and life’s command” in these later chapters.

The third main group, whose interpretation has been preserved in the text itself, is the Syncretist school, an eclectic school whose aim to is promote an ideal of mystical rulership, influenced by the major philosophical schools of the time, especially those that recommend a cultivation of inner potency. They may or may not be exemplary of the so-called ‘Huang-Lao’ school. They scoured the earlier philosophers in order to extract what was valuable in their philosophies, the element of the dao that is to be found in each philosophical claim. In particular, they sought to combine the more ‘mystically’ inclined philosophies with the more practical ones to create a more complete dao. The last chapter, Tian Xia, The World, considers several philosophical schools, and comments on what is worthwhile in each of them. Zhuangzi’s philosophy is here characterized as “vast,” “vague,” “outrageous,” “extravagant,” and “reckless”; he is also recognized for his encompassing modes of thought, his lack of partisanship, and his recklessness is acknowledged to be harmless. Nevertheless, it is stated that he did not succeed in getting it all.

Perhaps the most important of the pre-Qin thinkers to comment on Zhuangzi is Xunzi. In his “Dispelling Obsessions” chapter, anticipating the eclecticism of the Huang-Lao commentators of chapter 33, he considers several philosophical schools, mentions the corner of ‘truth’ that each has recognized, and then goes on to criticize them for failing to understand the larger picture. Xunzi mentions Zhuangzi by name, describes him as a philosopher who recognizes the value of nature and of following the tendencies of nature, but who thereby fails to recognize the value of the human ‘ren’. Indeed, Zhuangzi seems to be aware of this kind of objection, and even delights in it. He revels in knowing that he is one who wanders off into the distance, far from human concerns, one who is not bound by the guidelines. Perhaps in doing so he corroborates Xunzi’s fears.

Another text that reveals what might be a development of Zhuangzi’s philosophy is the Liezi. This is a philosophical treatise that clearly stands in the same tradition as the Zhuangzi, dealing with many of the same issues, and on occasion with almost identical stories and discussions. Although the Daoist adept, Liezi, to whom the text is attributed is said to have lived before Zhuangzi, the text clearly dates from a later period, perhaps compiled as late as the Eastern Han, though in terms of linguistic style the material appears to date from around the same period as Zhuangzi. The Liezi continues the line of philosophical thinking of the Xiao Yao You, and the Qiu Shui, taking up the themes of transcending boundaries, and even cosmic realms, by spirit journeying. The leaving behind and overturning of human values is a theme that is repeated in this text, though again not without a certain paradoxical tension: after all, the purpose of such journeying and overturning of values is ultimately to enable us in some sense to live ‘better’ lives. While Zhuangzi’s own philosophy exerted a significant influence on the interpretation of Buddhism in China, theLiezi appears to provide a possible converse case of Mahayana Buddhist influence on the development of the ideas of Zhuangzi.

The Jin dynasty scholar, Guo Xiang, is one of the most influential of the early interpreters. His “relativistic” reading of the text has become the received interpretation, and his own distinctive style of philosophical thinking has in this way become almost inseparable from that of Zhuangzi. The task of interpreting Zhuangzi independently of Guo Xiang’s reading is not easy to accomplish. His contribution and interpretation have already been discussed in the body of the entry (See sections above: The Zhuangzitext, and Chapter 2: Qi Wu Lun (Discussion on Smoothing Things Out) ). The Sui dynasty scholar, Lu Deming, produced an invaluable glossary and philological commentary on the text, enabling later generations to benefit from his vast linguistic expertise. The Ming dynasty Buddhist poet and scholar, Han Shan, wrote a commentary on the Zhuangzi from a Chan Buddhist perspective. In a similar vein, the Qing dynasty scholar, Zhang Taiyan, constructed a masterful interpretation of the Zhuangzi in the light of Chinese Buddhist Idealism, or Weishilun. Guo Qingfan, a late Qing, early twentieth century scholar, collected and synthesized the work of previous generations of commentators. The scholarly work of Takeushi Yoshio in Japan has also been of considerable influence. Qian Mu is a twentieth century scholar who has exerted considerable efforts with regard to historical scholarship. Currently, in Taiwan, Chen Guying is the leading scholar and interpreter of Zhuangzi, and he uses his knowledge of western philosophy, particularly western epistemology, cosmology, and metaphysics, to throw new light on this ancient text.

In the west, probably the most important and influential scholar was A. C. Graham, whose pioneering work on this text, and on the later Mohist Canon, has laid the groundwork and set an extraordinarily high standard for future western philosophical scholarship. Graham, following the reading of Guo Xiang, develops a relativistic reading based on a theory of the conventional nature of language. Chad Hansen is a current interpreter who sees the Daoists as largely theorists of language, and he interprets Zhuangzi’s own contribution as a form of “linguistic skepticism.” Recently, there has been a growth of interest in the aspects of Zhuangzi’s philosophy that resonate with the Hellenistic school of Skepticism. This was proposed by Paul Kjellberg, and has been pursued by other scholars such as Lisa Raphals.

5. References and Further Reading

  • Ames, Roger, ed. Wandering at Ease in the Zhuangzi. Albany: State University of New York Press, 1998.
  • Ames, Roger, and Takahiro Nakajima. Zhuangzi and the Happy Fish. Honolulu: University of Hawai`i Press, 2015.
  • Chai, David. Early Zhuangzi Commentaries: On the Sounds and Meanings of the Inner Chapters. Sarrbrucken: VDM Publishing, 2008.
  • Chuang Tzu. Basic Writings. Translated by Burton Watson. New York: Columbia University Press, 1964.
  • Chuang Tzu. The Complete Works of Chuang Tzu. Translated by Burton Watson. New York: Columbia University Press, 1968.
  • Chuang Tzu. Chuang-Tzu The Inner Chapters: A Classic of Tao. Translated by A. C. Graham. London: Mandala, 1991.
  • Chuang Tzu. Chuang tzu. Translated by James Legge, Sacred Books of the East, volumes 39, 40. Oxford: Oxford University Press, 1891.
  • Cook, Scott. Hiding the World Within the World: Ten Uneven Discourses on Zhuangzi. Albany: State University of New York Press, 2003.
  • Coutinho, Steve. An Introduction to Daoist Philosophies. New York: Columbia University Press, 2014.
  • Coutinho, Steve. “Conceptual Analyses of the Zhuangzi”. Dao Companion to Daoist Philosophy. Springer, 2014.
  • Coutinho, Steve. “Zhuangzi”. Berkshire Dictionary of Chinese Biography, pp. 149-162. 2014.
  • Coutinho, Steve. Zhuangzi and Early Chinese Philosophy: Vagueness, Transformation, and Paradox. London: Ashgate Press, forthcoming, December, 2004.
  • Fung, Yu-Lan. Chuang-Tzu: A New Selected Translation with an Exposition of the Philosophy of Kuo Hsiang. 2nd ed. New York: Paragon Book Reprint Corporation, 1964.
  • Graham, Angus Charles. Later Mohist Logic, Ethics and Science. London: School of Oriental and African Studies, 1978.
  • Graham, Angus Charles. Disputers of the Tao: Philosophical Argument in Ancient China. La Salle: Open Court, 1989.
  • Graham, A. C. “Chuang-tzu’s Essay on Seeing things as Equal.” History of Religions 9 (1969/1970), pp. 137—159. Reproduced in Roth, 2003.
  • Graham, A. C. “Chuang-tzu: Textual Notes to a Partial Translation.” London: School of Oriental and African Studies, 1982. Reproduced in Roth, 2003.
  • Hansen, Chad. A Daoist Theory of Chinese Thought: A Philosophical Interpretation. New York, Oxford University Press, 1992.
  • Ivanhoe, P. J. & Paul Kjellberg, ed. Essays on Skepticism, Relativism, and Ethics in the Zhuangzi. Albany: State University of New York Press, 1996.
  • Kaltenmark, Max. Lao Tzu and Taoism. Translated by Roger Greaves. Stanford: Stanford University Press, 1969.
  • Kjellberg, Paul. Zhuangzi and Skepticism. PhD dissertation, Department of Philosophy, Stanford University, 1993.
  • Klein, Esther. (2010). Were there “Inner Chapters” in the Warring States? A new examination of evidence about the Zhuangzi. T’oung Pao, 4/5, pp. 299–369.
  • Kohn, Livia. Zhuangzi: Text and Context. Three Pines Press, 2014.
  • Kohn, Livia. New Visions of the Zhuangzi. Three Pines Press, 2015.
  • Lawton, Thomas, ed. New Perspectives on Chu Culture During the Eastern Zhou Period. Washington, D.C.: Smithsonian Institution, 1991.
  • Li, Xueqin. Eastern Zhou and Qin Civilizations. Translated by Kwang-chih Chang. New Haven: Yale University Press, 1985.
  • Liu, Xiaogan. Classifying the Zhuangzi Chapters. Translated by Donald Munro. Michigan Monographs in Chinese Studies, no. 65. Ann Arbor, Michigan: The University of Michigan, 1994.
  • Mair, Victor H., ed. Experimental Essays on Chuang-tzu. Honolulu: University of Hawaii Press, 1983.
  • Mair, Victor. ed. Chuang-tzu: Composition and Interpretation. Symposium issues, Journal of Chinese Religions 11, 1983.
  • Mair, Victor. Wandering on the Way: Early Taoist Tales and Parables of Chuang Tzu. New York: Bantam Books, 1994.
  • Maspero, Henri. Le Taoïsme. Vol. II, Mélanges Posthumes sur les Religions et l’histoire de la Chine. Paris: Civilisations du Sud S.A.E.P., 1950.
  • McCraw, David. Stratifying Zhuangzi: Rhyme and other quantitative evidence. Language and Linguistics Monograph Series, 41. Taipei, Taiwan: Institute of Linguistics, Academia Sinica, 2010.
  • Roth, Harold. “Who Compiled the Chuang-tzu?” in Chinese Texts and Philosophical Contexts. edited by Henry Rosemont. La Salle: Open Court, 1991.
  • Roth, Harold. A Companion to A. C. Graham’s Chuang Tzu: The Inner Chapters. Honolulu: University of Hawai’i Press, 2003.
  • Wang, Bo. Thinking Through the Inner Chapters. Three Pines Press, 2014.
  • Wu, Kuang-ming. The Butterfly as Companion: Meditations on the First Three Chapters of the Chuang Tzu. Albany: State University of New York Press, 1990.
  • Ziporyn, Brook. Zhuangzi: The Essential Writings: With Selections from Traditional Comentaries. Hackett, 2009.

Author Information

Steve Coutinho
Email: coutinho@muhlenberg.edu
Muhlenberg College
U. S. A.

Zhang Zai (Chang Tsai, 1020—1077)

Chang_TsaiZhang Zai was one of the pioneers of the Song dynasty philosophical movement called “Study of the Way,” often known as Neo-Confucianism. One of the most distinctive features of many of these new ways of thought being formulated at the time was an increased interest in metaphysics, usually influenced by the Classic of Changes (Yijing). Zhang’s most significant contributions to Chinese philosophy were primarily in the area of metaphysics, where he came up with a new theory of qi that was very influential. He is also credited with differentiating original nature and physical nature, which was to become a key concept in the most prominent Song philosophers, the Cheng brothers and Zhu Xi (Chu Hsi). Ethically, his most influential doctrines were found in the brief essay “Western Inscription,” where he propounded the ideas of being one body with all things and universal caring. After his death, most of his disciples were absorbed into the Cheng brothers’ school and his thought become known primarily through the efforts of the Cheng brothers and Zhu Xi, who honored Zhang as one of the founders of the Study of the Way.

Table of Contents

  1. Life and Work
  2. Metaphysics
  3. Human Nature and Ethics
  4. Moral Education and the Heart
  5. References and Further Reading

1. Life and Work

Zhang Zai is also known as Zhang Hengqu, after the town where he grew up and later did much of his teaching. He was born in 1020 and died in 1077. As a youth he was interested in military affairs, but began studying the Confucian texts on the recommendation of an important official who was impressed with Zhang’s abilities. Like most of the Song philosophers, Zhang was initially dissatisfied with Confucian thought and studied Buddhism and Daoism for several years. Eventually, however, he decided that the Way was not to be found in Buddhism or Daoism and returned to Confucian texts. This acquaintance with the other major ways of thought was to have significant influence on Zhang’s own views. According to tradition, around 1056 Zhang sat on a tiger skin in the capital and lectured on the Classic of Changes. It may have been during this period that he first became acquainted with the Cheng brothers, who were actually his younger cousins. After passing the highest level of the civil service examinations, he held a series of minor government posts.

In 1069 Zhang was recommended to the emperor and given a position in the capital, but not long after he ran into conflict with the prime minister and retired home to Hengqu, where he spent his time in retirement studying and teaching. This was probably his most productive period for developing and spreading his own philosophy. In 1076 he completed his most important work, Correcting Ignorance, and presented it to his disciples. “Western Inscription” was originally part of this longer work. That same year he was summoned back to the capital and restored to an important position. However, in the winter he became ill and resigned again to try to convalesce at home. He never reached home, dying on the road in 1077. Zhang was awarded a posthumous title in 1220 and enshrined in the Confucian temple in 1241. Many of Zhang’s writings have been lost. Zhu Xi collected selections of Zhang’s writings in his anthology of Song Study of the Way known as Reflections on Things at Hand. His most important surviving works are probably his commentary on the Changes and Correcting Ignorance.

2. Metaphysics

Zhang Zai’s metaphysics is largely based on the Classic of Changes, especially one of the commentaries, “Appended Remarks,” traditionally attributed to Confucius. According to Zhang, all things of the world are composed of a primordial substance called qiQi is sometimes translated as “substance,” “matter,” or “material force, but there is really no term in English that can capture its meaning for Zhang. Qi originally meant “breath” and is a very old concept in Chinese culture, particularly medicine. For Zhang, qi includes matter and the forces that govern interactions between matter, yin and yang. In its dispersed, rarefied state, qi is invisible and insubstantial, but when it condenses it becomes a solid or liquid and takes on new properties. All material things are composed of condensed qi: rocks, trees, even people. There is nothing that is not qi. Thus, in a real sense, everything has the same essence, an idea which has important ethical implications.

Zhang believed that qi is never created or destroyed; the same qi goes through a continuous process of condensation and dispersion. He compared it to water: water in liquid form or frozen into ice is still the same water. Similarly, condensed qi which forms things or dispersed qi is still the same substance. Condensation is theyin force of qi and dispersion is the yang force. In its wholly dispersed state, Zhang refers to qi as the Great Vacuity, a term he adopted from the Zhuangzi. He emphasized that though this qi is insubstantial, it still exists, and thus is very different from the Buddhist concept of emptiness. Whereas Buddhists argued that the fact that everything changes shows it has no essence and is unreal, Zhang argued that the very fact that it changes proves it is real. Everything that is real is composed of qi, and since qi always changes, anything real must change. Although the Great Vacuity always exists, the particular qi that is dispersed into the Great Vacuity at any time is not the same, which allows Zhang to assert both that qi always changes and the Great Vacuity always remains. There is no such thing as creation ex nihilo for Zhang, an idea he attributes to both Buddhists and Daoists.

Qi begins dispersed and undifferentiated in the Great Vacuity and through condensation forms material things. When these material things pass away, their qi disperses and rejoins the Great Vacuity to begin the process again. What looks like creation and destruction is just the never-ending movements of qi. These processes of condensation and dispersion have no outside cause; they are just part of the nature of qi. Zhang wholly naturalized the workings of qi and rejected any idea of an anthropomorphic Heaven that controlled things. While the Classic of Changes talked of the workings of ghosts and spirits, he reinterpreted these terms to mean the extending and receding of qi from and back to the Great Vacuity. It is all a naturally occurring process.

Unlike later thinkers like the Cheng brothers and Zhu Xi, the concept of pattern (li, also translated as “principle”) is not that important in Zhang’s philosophy. While in the thought of Cheng Yi and Zhu Xi, pattern is a transcendental universal that exists outside of qi, Zhang denied there was anything outside of qi. He seems to use pattern to describe the actions of qi condensing and dispersing, and for the pattern actions should fit to be moral. It certainly has none of the importance for Zhang that it did for some of his successors. Zhu Xi criticized Zhang for this, saying that qi was not enough to explain the workings of the universe without pattern as well.

3. Human Nature and Ethics

Mencius‘s belief that human nature is good, and his theory of qi allowed him to come up with what became the definitive Song answer to a classic problem in Mencius’ thought: if human nature is good, what makes people bad? Zhang’s solution involved positing two ways of looking at nature: the original nature and nature embodied in qi. Zhang claimed original nature exists forever in unchanging perfection, as opposed to material things which decay and die. This raises the question of what original nature consists of, since Zhang has claimed that everything is qi and qi always changes. He is not very clear on this point, but he apparently identified original nature with the undifferentiated qi of the Great Vacuity. When qi condenses to form human beings, each somehow retains some of the character of the unity of the Great Vacuity (or Great Harmony, as he sometimes calls it). This is the original nature, and that is what is good.

However, human beings also have a nature embodied in qi, which Zhang calls physical nature. Being ordinary qi, physical nature changes, eventually dissipating upon death. Zhang theorized that the physical nature obscures the original nature, preventing it from being fulfilled, and this is what causes people to stray from the path of goodness. At one point, he stated that if clear yang qi formed the greater part of physical nature one’s moral capacities would function, but if turbid yin qi dominated, material desires would hold sway. However, it is unclear whether he meant all yang qi was clear and all yin qi was turbid, and he often seems to attach no particular moral weight to whether qi is primarily yang (dispersed) or yin (condensed). As we are all different individuals, we all have slightly different physical natures. Some people are naturally bigger and stronger, some are more generous, some are wiser. This is all a result of the particular endowment of qi that makes up the individual, and since qi condenses into things without cause or direction, there is no reason an individual has the particular physical nature he starts out with: it is just a matter of chance. What is important in terms of moral cultivation is there is also the potential to transform one’s physical nature and fulfill one’s original nature.

Zhang had a deep faith in the potential for human improvement. Like earlier Confucian thinkers such as Mencius and Xunzi, he believed that moral development was a matter of effort, not ability. In a departure from his metaphysical views, where he held that qi changes naturally with no particular rhyme or reason, he claimed that the human heart has the capacity to alter one’s own qi. One can change one’s physical nature in order to fulfill one’s original nature. If that were not possible, goodness would be a matter of chance, being born with the right kind of qi. Zhang said that only the qi of life span, which determines whether one dies young or lives to an old age, cannot be changed. This was Zhang’s attack on longevity-oriented Daoists, who taught techniques that promised to increase one’s life span or even confer immortality. Undoubtedly, part of the goal of Zhang’s theory of qi and physical nature was to refute Buddhist and Daoist teachings.Many Song and Ming thinkers, such as Zhu Xi and Wang Yangming, identified desires as one of the main obstacles to moral development. Zhang Zai was no exception to this trend, which was also probably due to Buddhist influence. The issue of how to moderate or channel desires had been discussed in Chinese philosophy at least since Mencius and Xunzi, but while the earlier Confucian tradition had emphasized finding the proper outlet to express desires and not letting them entirely control one’s actions, eliminating desires entirely never seemed to be a real option. In Xunzi’s case, at least, he clearly denied it was possible to get rid of desires. Eliminating desires was a main focus of Buddhism, on the other hand, and this view of desires was adopted by many of these Study of the Way philosophers. These thinkers focused mainly on what we might call sensual desires. The desire to be a good person was naturally not a cause for concern, but desires for fine clothes, good food, and sex were seen as interfering with one’s original nature. Zhang used the term “material desires,” identifying them with physical nature, so they had to be overcome to return to one’s original nature. Desires somehow arise from the interaction of yin and yang that produces material objects, though Zhang is none too clear exactly what this process is. The fundamental point is that following one’s desires is giving into physical nature and regressing farther and farther away from original goodness.

Overcoming the desires of physical nature, one progresses toward original nature, or the heavenly within, as Zhang also put it. In “Western Inscription” Zhang illustrated this ideal state. Putting aside selfishness, one comes to understand the essential unity of all things. All things are formed from the same qi, and ultimately we all share the same substance. This was to become Zhang’s most famous ethical doctrine, the idea of forming one body with all things. As Zhang wrote in “Western Inscription, “That which fills the universe I regard as my body.” Everyone has Heaven and Earth as their father and mother, and thus everyone are brothers and sisters. Caring for others is like caring for one’s own family. Zhang further wrote, “Even those who are tired, infirm, crippled, or sick; those who have no brothers or children, wives, or husbands, are all my brothers who are in distress and have no one to turn to.” Though there are some precedents for this idea of brotherhood in earlier Confucianism, it sounds much more like the great compassion of Buddhism or the Mohist idea of universal caring—Zhang even uses the same term (jian’ai). In response to a question about this apparent slide into Mohism, Cheng Yi admitted that “Western Inscription” went a little too far, but still defended it as going beyond what previous sages had discussed and being as meritorious as Mencius’ idea of the goodness of human nature. Later thinkers recognized “Western Inscription” as Zhang’s greatest contribution to the Study of the Way.

4. Moral Education and the Heart

Presaging Zhu Xi, Zhang emphasized the role of education in moral development. Education was the way one transformed one’s qi and overcame physical nature. Following earlier philosophers such as Confucius and Xunzi, Zhang insisted that learning should always be directed toward moral cultivation, which in his case meant returning to one’s original nature. Knowledge was not important for its own sake, but for its contributions to moral character. Despite this, Zhang’s own interests were fairly wide-ranging, and he was especially interested in observing and explaining natural phenomena such as the movements of the stars and planets. Nevertheless, he tended not to emphasize this kind of scientific study in his writings on education, which focused on ritual and the classical Confucian texts. Compared with his contemporaries, Zhang placed more importance on the study of ritual. He believed ritual derived from original nature, and following it helps one hold onto original nature and overcome the obstructions of physical nature. Zhang’s interest in the Classic of Changes has already been mentioned, and he also recommended studying the other Confucian classics, the Analects, and Mencius. In contrast to some later Study of the Way philosophers, he did not put a lot of weight on histories, considering them inferior to the classics for helping people transform their qi.

Though Zhang recommended reciting and memorizing these books, he still believed that books were a means to returning to one’s original nature, not an end in themselves. Books functioned like a set of directions: they could tell you how to get to the destination, but they should be not confused with the destination. He felt close reading and textual criticism was not necessary, and getting too caught up in the meaning of a word or sentence could detract from understanding the overall meaning. And even in the classics, not everything should be accepted. Zhang recalled Mencius’ criticism of literal readings of the Classic of Documents and pointed out the necessity for understanding the classics in light of one’s own sense of what is right. This seems to set up a paradox: a student needs to study the classics to return to his original nature and know what is right, but he needs to know what is right to properly understand the classics.

Zhang resolved this contradiction by positing an innate moral sense in everyone that he called “this heart,” a term he apparently adopted from the Mencius. “This heart” presumably belongs to the original nature, and is still present even when embodied in qi, but it can be obstructed and blocked by the physical nature. Zhang referred to this situation as the problem of the “fixed heart” blocking “this heart.” The fixed heart means having intentions, certainty, inflexibility, and egotism. Under these conditions, “this heart” will not function properly and one will have difficulty understanding the classics. The learner must get rid of the fixed heart to let “this heart” free. At times, Zhang suggests that reading books itself helps preserve “this heart,” and it is this heart itself that understands the Way. Ritual is perhaps more important than books. Zhang once suggested that even the illiterate could still develop “this heart,” but apparently ritual was indispensable in overcoming the fixed heart.

Zhang also talked of “expanding the heart” and “making the heart vast.” Both these phrases mean eliminating the obstructions of the fixed heart and putting the heart in a state where it is ready to understand. He tended to value knowledge apprehended directly through the heart over knowledge from sense perception. Zhang did not deny the validity of empirical knowledge, but he believed its scope was limited. Knowledge gained from sense perception is just knowledge of things, not knowledge of the Way. Knowledge of the Way is knowledge gained through the virtuous nature, not through sense perception. “Knowledge gained through the virtuous nature” is another way of saying knowledge apprehended directly by the heart, though Zhang seems to be talking more about a kind of mystic experience than rationalism: he wrote that understanding of the Way is not something thought and consideration can bring about.

The goal of moral cultivation was fulfilling one’s original nature. This was Zhang Zai’s definition of becoming a sage, the term in Chinese philosophy for a perfected person. Another term common in philosophical discourse of the time was integrity or authenticity (cheng). Integrity figured in some important passages in the Doctrine of the Mean, which was one of the most important Confucian texts in Song Study of the Way. Zhang emphasized “integrity resulting from clarity,” which he explained as first coming to understanding through study and inquiry and then fulfilling one’s nature. This could be a long and difficult process, but if one could persist and make the necessary effort, one could fulfill one’s nature and become a sage. There was no greater goal for Zhang.

5. References and Further Reading

Very little is available in English on Zhang Zai. The reader is encouraged to look into general histories of Chinese philosophy, especially those dealing with neo-Confucianism, in addition to the works listed here.

  • Chan, Wing-tsit. A Sourcebook in Chinese Philosophy. Princeton: Princeton University Press, 1963.
    • Translates a selection of Zhang’s works, focusing on Correcting Ignorance.
  • Chan, Wing-tsit, trans. Reflections on Things at Hand: The Neo-Confucian Anthology Compiled by Chu Hsi and Lü Tsu-chien. New York: Columbia University Press, 1967.
    • This probably contains the most extensive collection of Zhang’s writings in English. Chan includes a finding list to help the reader find the selections of a particular philosopher.
  • Chow, Kai-wing. “Ritual, Cosmology, and Ontology: Chang Tsai’s Moral Philosopy.” Philosophy East and West 43.2 (April 1993): 201-28.
    • Emphasizes the importance of ritual in moral development.
  • Huang, Siu-chi. “Chang Tsai’s Concept of Ch’i.” Philosophy East and West 18.4 (October 1968): 247-60.
  • Huang, Siu-chi. “The Moral Point of View of Chang Tsai.” Philosophy East and West 21.2 (April 1971): 141-56.
  • Kasoff, Ira. The Thought of Chang Tsai. Cambridge: Cambridge University Press, 1984.
    • This is the only English-language monograph on Zhang’s philosophy.
  • T’ang, Chün-i. “Chang Tsai’s Theory of Mind and Its Metaphysical Basis.” Philosophy East and West 6.2 (July 1956): 113-36.

Author Information

David Elstein
Email: davidelstein@world.oberlin.edu
State University of New York at New Paltz
U. S. A.

Foreknowledge and Free Will

Suppose it were known, by someone else, what you are going to choose to do tomorrow. Wouldn’t that entail that tomorrow you must do what it was known in advance that you would do? In spite of your deliberating and planning, in the end, all is futile: you must choose exactly as it was earlier known that you would. The supposed exercise of your free will is ultimately an illusion.

Historically, the tension between foreknowledge and the exercise of free will was addressed in a religious context. According to orthodox views in the West, God was claimed to be omniscient (and hence in possession of perfect foreknowledge) and yet God was supposed to have given humankind free will. Attempts to solve the apparent contradiction often involved attributing to God special properties, for example, being “outside” of time.

However, the trouble with such solutions is that they are generally unsatisfactory on their own terms. Even more serious is the fact that they leave untouched the problem posed not by God’s foreknowledge but that of any human being. Do human beings have foreknowledge? Certainly, of at least some events and behaviors. Thus we have a secular counterpart of the original problem. A human being’s foreknowledge, exactly as would God’s, of another’s choices would seem to preclude the exercise of human free will.

In this article, various ways of trying to solve the problem—for example, by putting constraints on the truth-conditions for statements, or by “tightening” the conditions necessary for knowledge—are examined and shown not to work. Ultimately the alleged incompatibility of foreknowledge and free will is shown to rest on a subtle logical error. When the error, a modal fallacy, is recognized and remedied, the problem evaporates.

Table of Contents

  1. Introduction: The Problem of Foreknowledge and Free Will
  2. Three Kinds of Determinism
  3. The Relationship Between Epistemic and Logical Determinism
  4. Attacking the Premises of Deterministic Arguments
    1. Can a Future Contingent be true prior to the event it refers to?
    2. Can a Future Contingent be known prior to the event it refers to?
  5. Possibility, Necessity, and Contingency
  6. The Modal Fallacy
    1. The Modal Fallacy in Logical Determinism
    2. The Modal Fallacy in Epistemic Determinism
  7. Residual concerns – Changing the past; Changing the future
  8. Concluding Remarks
  9. References and Further Reading
  10. Notes

1. Introduction: The Problem of Foreknowledge and Free Will

Moses Maimonides (1135-1204) has set out the problem in the traditional manner:

…”Does God know or does He not know that a certain individual will be good or bad? If thou sayest ‘He knows’, then it necessarily follows that [that] man is compelled to act as God knew beforehand he would act, otherwise God’s knowledge would be imperfect.…” (1966, pp. 99-100)

The argument can be extended. The thrust of the argument does not apply only to doing good or ill, but indeed to every human act, from the most mundane to the most significant. The argument could just as well read:

“Does God know or does He not know that a certain individual (let’s say the Prime Minister of Canada), on Feb. 3, 2081, will put on brown shoes when dressing in the morning? If thou sayest ‘He knows’, then it necessarily follows that the Prime Minister is compelled to act (that is, to put on brown shoes) as God knew beforehand he/she would, otherwise God’s knowledge would be imperfect. …”

The argument for the seeming impossibility of both God’s having foreknowledge and our having free will has troubled religious thinkers, philosophers, and jurists for centuries.

It is clear why theologians are troubled by the challenge of foreknowledge and free will. For most religions insist that God has given human beings free will and thus human beings can choose right from wrong, and that (in some religions at least) wrongful acts are sinful and worthy of divine punishment, while good acts are righteous and worthy of divine reward. But many of these same religions will also insist that God is omniscient, that is, God knows everything (and thus has perfect foreknowledge).[1] To deny either of these claims – that human beings have free will or that God is omniscient – amounts to heresy. Yet, on the face of it, each of these two claims appears to contradict the other.

But why should secular philosophers and jurists also be concerned with this conundrum? For two reasons.

First is that many, perhaps most, contemporary philosophers and jurists are keen to preserve the viability of the concept of free will. Our legal institutions, our very sense of what is praiseworthy and what is blameworthy, turn on the notion of free will. It is at the conceptual bedrock of our civilization that persons are creatures having the capacity of deliberation, that we have the ability to recognize right from wrong, that we have the ability to choose (to a large extent) what we do (and what we do not do), and – most especially – we are responsible for what we choose to do (and responsible for what we choose not to do).

Second is that the challenge to the existence of free will is posed not just by God’s foreknowledge but by any foreknowledge whatsoever. The religious version of the puzzle arises because God is said to have omniscience, that is, knowledge of everything. But the problem would arise if anyone at all (that is, anyone whatsoever) were to have knowledge of our future actions. This generalized version of the problem has come to be known as the problem of Epistemic Determinism (“epistemic” because it involves knowledge; see Epistemology). For example, if my wife were to know today that I would choose tea (rather than coffee) for my breakfast tomorrow, then one could argue (paralleling Maimonides’s argument) that it would be impossible for me not to choose tea tomorrow at breakfast.

The two concepts – (i) foreknowledge and (ii) human freedom – seem to be utterly incompatible. The challenge, then, (that is, the problem posed by epistemic determinism) is to find a way to show that

either (1) foreknowledge (of human beings’ future actions) does not exist;
or (2) free will does not exist;
or (3) the alleged logical relation between foreknowledge and the exercise of free will is mistaken (that is, foreknowledge is not incompatible with the exercise of free will).

Historically, some theologians have tried to solve the puzzle by invoking unique properties of God. For example, some have argued that God is ‘outside of time’ (or that ‘His knowledge is timeless’) and thus His knowledge is not foreknowledge at all, that is, God’s knowledge does not occur before (or during, or after, for that matter) any events in the world. The trouble with such solutions is (a) they leave non-theistic versions of the puzzle untouched (for example, my wife’s knowing that I will drink tea tomorrow), and (b) we can construct a revised version of the puzzle explicitly invoking God’s timelessness, for example:

God is omniscient and His knowledge is timeless—that is, God knows timelessly all that has happened, is happening, and will happen. Therefore, if He knows timelessly that a person will perform such-and-such an action, then it is impossible for that person not to perform that action.

Some other theologians have argued that God has a ‘special way’ of knowing. Unlike human beings (and other sentient creatures) who must causally interact with the world (for example, read a report, see an event, examine evidence [such as ashes, skid marks, etc.]), God is said to “know directly“—that is, without the need of sensory data or of physical interaction with the world. Such a notion of ‘direct knowledge’ is problematic in itself; but more importantly, it is hard to see how it solves the problem at hand, indeed how it even addresses the problem. For, again, as was the case with arguing that God’s knowledge is outside of time, the same two objections can be raised to this putative solution: (a’) this latter attempted solution leaves the non-theistic version of the puzzle untouched; and (b’) we can construct a revised version of the puzzle explicitly invoking God’s “direct knowledge,” for example:

God knows directly (that is, without sensory data) all that has happened, is happening, and will happen. Therefore, if He knows directly that a person will perform such-and-such an action, then it is impossible for that person not to perform that action.

Contemporary philosophers, especially secular ones, seek a solution elsewhere. We are disinclined to pursue solutions that call upon special properties of God, especially since any such solution leaves the ‘secular’ version of the problem untouched.

The focus of attention has shifted dramatically. Secular philosophers argue that the supposed incompatibility arises out of a very subtle but seductive logical fallacy. So unobvious is this fallacy that it escaped detection by Maimonides and hundreds (perhaps even countless thousands) of other persons. The error has come to bear the name “The Modal Fallacy.”

However, before we examine the Modal Fallacy, we need to delve deeper into the notions of determinism, truth, and knowledge.

2. Three Kinds of Determinism

There are three distinct versions of determinism: logical, epistemic, and causal. Each has been alleged to pose a threat to the exercise of free will, indeed it has been claimed of each version that its existence is incompatible with the existence of free will.

1. Logical determinism is most frequently couched as the problem of “future contingents.” The threat to the exercise of free will arises from the thesis that the truth-value (that is, the truth or falsity) of any proposition is timeless (that is, those propositions that are true are always true, and those propositions that are false are always false). (Note that the term “proposition” is being used strictly, as is common in philosophy, to refer roughly to the meanings of (indicative or declarative) sentences; see sec. 2 of Truth.) Thus:

If a proposition about some future action you undertake (let’s say tomorrow) is true, then it is true now. But if it is true now, then tomorrow you must undertake that action, that action must occur, you are powerless to prevent yourself from undertaking that action.

(Note that “logical” in the phrase “logical determinism” is not meant to contrast with “illogical”, but instead refers to a particular concept of logic, namely truth itself.)

2. Epistemic determinism has a strikingly similar formulation. Instead of simply attributing truth (or falsity) to propositions about the future, epistemic determinism concerns such propositions’ being known prior to the times of the occurrences they refer to. We then get this argument, parallel to the preceding one:

If a proposition about some future action you undertake is known (in advance), then (when the time comes) you must undertake that action, that action must occur, you are powerless to prevent yourself from undertaking that action.

3. Causal determinism is the thesis that all events (occurrences, processes, etc.) are the result of Laws of Nature and of antecedent conditions and of nothing else. Thus (to cite an example made famous by Carl Hempel), when a car radiator cracks overnight, it is the consequence of laws pertaining to the tensile strength of iron, of laws pertaining to the expansion of water upon freezing, to the structure of the radiator, to its being filled with water without anti-freeze, and to the temperature’s falling well below freezing for several hours (Hempel, 1942). In the case of human beings’ acting, the same scenario is said to obtain.

If whatever one does is the result of Laws of Nature and of one’s physical and genetic makeup and one’s personal history, then – since all these ‘factors’ are ‘set’ (or ‘in place’) at the moment of one’s acting – you must undertake the action you perform, that action must occur, you are powerless to prevent yourself from undertaking that action.

Three arguments all with the same conclusion, namely that your actions are ‘determined’ (in one of three different ways) and thus your actions are “unfree.” Free will is an illusion.

Of the three deterministic arguments, the most difficult to engage is the third, that of causal determinism. Indeed, so knotted is that argument, and so contentious are the issues surrounding its presuppositions, it is treated separately in this Encyclopedia. (See, for example, “Laws of Nature.”)

Note: From this point on, this article will examine only Epistemic Determinism and Logical Determinism.

3. The Relationship Between Epistemic and Logical Determinism

Since the ground-breaking work of Plato (427?-347? B.C.E.) most philosophers have agreed that there are (at least) three conditions that must be satisfied for a human being, let’s say “x”, to have knowledge of matters of fact, let’s say “P”:

  1. P (is true)
  2. x has good evidence, e, that P (and has little, or no, countervailing evidence)[2]
  3. x believes, on the basis of e, that P

In the case of God, one may want to drop the second condition, the evidential requirement, allowing that God knows directly without the need of evidence. The third condition, the belief-condition, poses certain problems as well. In the case of human beings, this condition captures the ‘mental’ or ‘cognitive’ aspect of knowledge. But the beliefs of an omniscient God are unlike those of human beings. The beliefs of human beings are finite, shifting, fallible, and corrigible. Those of an omniscient God are infinite, unchanging, infallible, and incorrigible. Perhaps, then, “believes” is not quite the right word to use when speaking of God’s knowledge, but no other is ready at hand.

Be this as it may, there remains one common element (at least) in the case of a human being’s having knowledge and God’s having knowledge, namely what is known is true. Neither God nor any human being can literally know anything that is in fact false. Put another way, truth is a prerequisite of knowledge (or using the vocabulary of logic, truth is a necessary condition for knowledge). (In the case of God, truth is not only a necessary condition for His knowledge, it is also sufficient. If we let “g” stand for “God”, “K” for “knows”, then gKP implies P, and P implies gKP.) Someone may believe strongly that some proposition is true, indeed he may insist that he knows, he may insist that he has incontrovertible evidence that that proposition is true, but if that proposition is in fact false, then he does not know. (This is not to say that he must have some way of finding out that he is mistaken. We are here divorcing truth from belief.) Every proposition that is genuinely known (that is, to be true) is true; but the converse – namely that every proposition that is true is known – certainly does not hold for less-than-omniscient human beings.

The upshot is that the premises of the argument for Epistemic Determinism (that is, that there can be knowledge of some [at least] of a person’s future actions) presuppose the premises of the argument for Logical Determinism. For, simply, if there is knowledge now (that is, prior to the occurrence) of some future actions, then there are propositions about the future that are true now. If one were able to reject the premises of the argument for Logical Determinism, one would thereby render the argument for Epistemic Determinism unsound.

4. Attacking the Premises of Deterministic Arguments

As is the case with any argument, four responses are possible.

  1. One can accept the argument. In effect, this is to say that one regards the argument as being sound, that is, as having true premises and as being valid.
  2. One can argue that although the argument is valid, its premise-set is false (and thus its conclusion is unsupported).
  3. One can reject the validity of the argument, in particular by arguing that although the premise-set is true, the conclusion does not follow from that premise-set.
  4. Finally, one can adopt both of the immediately preceding two strategies, that is, argue that not only is the premise-set false, the argument is invalid to boot.

Some religious groups (for example, the early Calvinists) have adopted the first option. They accept the soundness of the deterministic arguments and – giving primacy to God’s knowledge over human beings’ free will – argue that free will does not exist.

Needless to say, very few others have been inclined to adopt such a view, indeed most persons who are familiar with the deterministic arguments are strongly motivated to rebut such a view. Such persons will, therefore, examine the possibility of adopting option 2 or 3. We turn, then, first, to see whether one can cogently rebut the premises of the argument for Logical Determinism.

a. Can a Future Contingent be true prior to the event it refers to?

Propositions about future events, or, if one prefers, about future matters of fact, are known as future contingents. The earliest discussion of future contingents, and the attendant problem of logical determinism, occurs in Aristotle‘s De Interpretatione 9 (1963, Chapter 9, pp. 50-53). There, Aristotle discusses the case of “Tomorrow’s Sea Battle.” His argument, reconstructed and embellished, is this:

Two warring admirals, A and B, are preparing their fleets for a decisive sea battle tomorrow. The battle will be fought until one side is victorious. But the “logical laws (or principles)” of the excluded middle (every proposition is either true or false) and of noncontradiction (no proposition is both true and false), require that one of the propositions, “A wins” and “it is false that A wins,” is true and the other is false. Suppose “A wins” is (today) true. Then whatever A does (or fails to do) today will make no difference: A must win; similarly, whatever B does (or fails to do) today will make no difference: the outcome is already settled (that is, A must win). Or again, suppose “A wins” is (today) false. Then no matter what A does today (or fails to do), it will make no difference: A must lose; similarly, no matter what B does (or fails to do), it will make no difference: the outcome is already settled (that is, A must lose). Thus, if every proposition is either true or false (and not both), then planning, or as Aristotle put it ‘taking trouble’, is futile. The future will be what it will be, irrespective of our planning, intentions, etc.

How might one try to rebut the premises of Aristotle’s argument?

Proposal One: One might argue that propositions are not true in advance of the events described. Propositions ‘become’ true when the events described occur.

First objection to Proposal One: (i) Sirhan Sirhan killed Robert F. Kennedy. But when did it ‘become true’ that Sirhan Sirhan killed Kennedy? At the moment of his pulling the trigger? But the bullet was not yet lodged in Kennedy’s body. At the time of the bullet’s entering Kennedy’s body? But Kennedy did not die immediately. He was rushed to a hospital where he died some hours later. At the moment of Kennedy’s death? But at that moment Sirhan Sirhan was in the custody of police in a building remote from the hospital where Kennedy was. (This conundrum is the handiwork of Judith Jarvis Thomson (1971).) The point is that although it is clearly true that Sirhan Sirhan killed Kennedy, it is problematic to pin down an exact time (or even a candidate for the exact time) when Sirhan killed Kennedy and, by extension, when it ‘became true’ that Sirhan killed Kennedy. (ii) When did Germany lose World War II? When the Allies’ invasion force landed on the beaches of Normandy? When British scientists and engineers invented and were able to use radar against the German Luftwaffe? When Alan Turing and his team broke the German secret code? When …?

The issues in the preceding paragraph strongly suggest that it will prove problematic in the extreme to try to put precise times on the (supposed) occurrence of a proposition’s “becoming true.” Moreover, propositions are supposed to be abstract entities, entities which do not exist in space and time; but if they do not exist in time, how can their properties change – from being neither true nor false to being true (or to being false as the case may be) – at some particular time?

Second objection to Proposal One: We do, in a great many cases, routinely ascribe truth to propositions about future events. (iii) Each year the Children’s Hospital in Vancouver has a lottery in which the grand prize is a new “prestige home.” Persons buy tickets on the firm belief that some winning ticket will be drawn. If the Hospital deliberately failed to draw a ticket, on the scheduled date, from the pool of purchased tickets, all those who had purchased a ticket could rightly claim that the hospital had been lying (that is, had been asserting false propositions). The ticket-holders had all assumed that the proposition “Some winning ticket will be drawn on the scheduled date” was true, weeks before the scheduled date. (iv) It is true today that there will a US presidential election in 2048. And (v) it is demonstrably true now that there will be a total solar eclipse, over parts of Libya and Turkey, on 30 April 2060 (Brunier & Luminet, 2000, pp.154-5).

Third objection to Proposal One: To argue that propositions about the future acquire a truth-value only when the described event occurs (that is, in the future) will entail abandoning the logical law (/principle) of the excluded middle: propositions about the future will not, then, have truth-values now (that is, prior to the occurrence of the predicted event). Adopting Proposal One would require our creating a far more complicated logic. This is not to say that this proposed solution is completely without merit; but it is to say that we ought to try to find some other solution before resorting to such a major revision of logic. [For more discussion of these objections, see Time: Is Only the Present Real?.]

What other way might one, then, propose to avoid the conclusion of the argument about tomorrow’s sea battle?

Proposal Two: Disjunctions (that is, propositions of the form “P or Q” [in this particular case “A wins or it is false that A wins”]) are true, but not the individual disjuncts (components, that is, “A wins” and “it is false that A wins”).

Objection to Proposal Two: The proposal is terribly peculiar. We are inclined to say that a disjunction is true just because (at least) one of its disjuncts is true. If neither P is true nor Q is true, how can “P or Q” be true? And, further, just as in the previous proposal, this one, too, entails abandoning the law of the excluded middle: while “A wins or it is false that A wins” has a truth-value now, neither of the two propositions “A wins” and “it is false that A wins” has a truth-value now. So, once again, we would prefer a less radical solution.

Interim Conclusion #1: It emerges, then, that challenging the premises of the argument for logical determinism – namely that a proposition about an event can be true prior to the occurrence of that event – is not a promising approach to solving the problem of the threat posed to the existence of free will. (We will return to a further examination of Logical Determinism in due course.) Since truth is a necessary condition for knowledge, if we had been able to reject the premises of the argument for logical determinism, we would, thereby, at a stroke have undercut the argument for epistemic determinism. But, at this point in our discussions, we are allowing that future contingents can be true (or false) now, prior to the events referred to. Thus we must next examine whether the premises of the argument for epistemic determinism can be true.

b. Can a Future Contingent be known prior to the event it refers to?

How might one try to rebut the premises of the argument for epistemic determinism?

Proposal One: One might argue that factual propositions are knowable only through a causal chain linking the event to the would-be knower. One can know, for example, that Mount St. Helens erupted within the last one hundred years: by hearing the reports of eyewitnesses, by seeing the event on television, by reading newspaper accounts, and by viewing the very considerable damage to the environs of the mountain. In short, we know of events by their causal remnants and since there apparently are no cases of ‘backwards causation’, knowledge of future contingents is impossible.

Objection to Proposal One: Even if it is granted that there are no causal remnants of future events, the conclusion that there can be no knowledge of future events is false. Examining their remnants is not the only way to have knowledge of future events. In the case of Mount St. Helens, for example, ample warning was given (a month earlier) by the US Forestry Service of the imminent cataclysm. Some of those who choose to ignore the danger signals did not live long to regret their folly.

And it is not only of impending large-scale disasters that we often have foreknowledge. Throughout our normal, even humdrum, days we depend on our knowledge of future contingents in order to maintain our lives and to avert death. When we see a bus traveling at a high speed along a highway on whose curb we are standing, we know full well that that bus is going to pass in front of us and that it would kill us if we were to be foolhardy enough to step in front of it just as it approached. None of us expects the bus suddenly, as it approaches, to turn into a slow-moving marshmallow. We know that the bus will retain its ‘integrity’ as a bus. Even such a simple, commonplace, act as unceremoniously opening and drinking a bottle of cola requires our knowing that it will not poison us, that it is, and will remain, potable.

Simply put, our knowledge of how the world has behaved up till now provides powerful evidence of how it will behave. That is why we teach our children not to play in the street, why we teach our children not to put their fingers into electrical outlets, why we (try to) teach our children not to drive while intoxicated, etc. Our daily behavior provides abundant and powerful evidence that we do, to a very great extent, know perfectly well what the future will be.

Proposal Two: The examples offered in the objection (immediately above) are not bona fide cases of foreknowledge; they are cases merely of strong beliefs. We may believe we know, but something ‘could go wrong’ between now and the predicted event. We cannot rule out our making a mistake. There is always the ineliminable possibility of error. For example, the person who opens and drinks a bottle of cola doesn’t really know that it is safe to drink, that someone hasn’t in fact tampered with the drink and poisoned it. Because of the possibility of unforeseen circumstances, even if they are very improbable, one cannot have genuine knowledge of the future.

First Objection to Proposal Two: Knowing a future contingent does not require that there be no possibility of our making a error. Yes, we could make a mistake, yes, something might happen that will make our prediction turn out false, but that is no reason to claim that we cannot know the future. What is required is that we have good grounds to make our prediction and that they be true, not that there be no possibility of error.

At the dawn of the ‘modern’ era in philosophy, René Descartes (1595-1649) began his Meditations by asking what could be known for certain. He sets as his program the elimination from his belief-system all that is not, or cannot be, known for certain.

My reason tells me that as well as withholding assent from propositions that are obviously false, I should also withhold it from ones that are not completely certain and indubitable. (Descartes, 1641, p. 1)

Given the tenor of his time, with the extraordinary success of the ‘new’ science, the headiness of such a claim is perhaps understandable (and forgivable). But it was, in the end, a colossal error. It was the pursuit of an impossible goal, the philosophical equivalent of placing the goalposts in an unreachable place.

The two phrases “x knows” and “x knows for certain” are no more equivalent than “x sees the distant mountain” and “x sees the distant mountain perfectly (for example, from miles away x can see the veins in the leaves on the trees)”. Persons who do not have perfect pitch may, nonetheless, know when a pianist has hit a wrong note. One doesn’t have to hear perfectly to hear. Two mathematicians may prove the same theorem; one of these proofs may be ‘elegant’, the other ‘circuitous’; but both are proofs. A proof need not be elegant in order to be proof.

Similarly with knowledge. What one knows need not be certain; some, probably most, things that we know fall short of certainty, but it is arbitrary and stultifying to refuse to acknowledge these cases as genuine cases of knowledge. By setting the standards too high, as did Descartes and as do many of his intellectual heirs even today, is to rob the concept of “knowledge” of its utility.

To know the future, it is not required that we be infallible (that is, incapable of making a mistake). The person who sees a bus fast approaching knows that it will not (miraculously) turn into a marshmallow. And she is right: it does not. Realistically, few of us (unless corrupted by a bad introductory philosophy course), would be tempted to say, “She didn’t know. After all, the bus could have turned into a marshmallow.” True enough, there is one sensein which the bus could have turned into a marshmallow, and that sense is that such an eventuality is a logical possibility (that is, is not logically self-contradictory). Indeed it is a matter of the very definition of “matter of fact” or “contingency” that such propositions are both possibly true and possibly false. Every true contingency is (as a matter of the very definition of “contingency”) possibly false; and likewise every false contingency is (as a matter of the very definition of “contingency”) possibly true. [More on this in section 5 below.] But nothing of particular significance follows from these latter facts.

One must be careful not to ‘slide’ from “possible” to “probable”. Just because an event is possible does not justify the inference that it is probable. The proposition that the US Congress will adopt Swedish as the country’s sole national language certainly is a logical possibility (that is, is not self-contradictory). But that proposition has a probability, for all intents and purposes, of zero. Every contingent proposition is both possibly true and possibly false. And some propositions that are possibly false have a reasonably high probability of being actually true; while some (other) possibly false propositions have a (nearly) zero probability (/zero likelihood) of being true. The essential point for our knowing a contingent proposition is (a) our having a well-founded belief that it is true and (b) that it is true. Its being possibly false is irrelevant. Its being probably false is quite another matter, but whether it is probably false or is not probably false is not entailed by its being possibly false.

Every true contingency whatsoever, not just those about the future, is possibly false. It is truth that counts, not possible falsehood. Actual truth ‘trumps’ possible falsehood in the matter of a proposition’s being known.

Second Objection to Proposal Two: One must be careful not to set the requirements, for knowing the future, unrealistically high. For such standards can rebound and make it impossible to know the past as well.

In the first decade of the Twentieth Century, the conductor and musicologist, Friedrich Wilhelm Stein, discovered in Jena, Germany, a copyist’s version of a formerly unknown symphony. The copyist had annotated it as having been written by Beethoven. It was published in 1911 as Beethoven’s “Jena Symphony”. However, in 1957, H.C. Robbins Landon uncovered the original manuscript and established that the composition had in fact been written by Friedrich Witt (1770-1837), a contemporary of Beethoven’s.

Clearly those who believed, in the years 1911 through 1947, that the “Jena Symphony” had been composed by Beethoven had a well-grounded belief. But, as it was to turn out, their belief was mistaken. And this little piece of history demonstrates how what we take to be knowledge of past events can be mistaken. But what moral should one draw from this story?

Although we can never eliminate entirely the possibility of our having mistaken beliefs about past events, or misleading (or incorrect) evidence for those beliefs, it does not follow that we do not have knowledge of a great many past events. There is, to cite just one instance, simply too much evidence, indeed overwhelming evidence, that Mount St. Helens erupted on 18 May 1980 for anyone to have a rational belief that we do not know that historical fact. To be sure, it is logically possible that we should be mistaken. But the probability that we are mistaken is effectively zero.

If we are to be skeptical about the possibility of knowing any future events, we would have to be equally skeptical of our knowledge of the past. And if we are not unduly skeptical about our knowledge of the past, we ought not to be unduly skeptical about the possibility of our knowing certain future events. (And as for the claim that we know far more about the past than we do of the future, one must bear in mind that we know only an infinitesimal part of what has happened in the past. Do you know, or indeed have any way of finding out, for example, the names of Leif Ericson’s shipmates?)

Understand that I am not being especially skeptical about the past. All I am trying to do is to draw a parallel between knowledge of the past and knowledge of the future. The parallels are these: in both sorts of cases it is possible to have very strong evidence; in both sorts of cases it is possible to be mistaken. Possibly being mistaken is not a condition unique to claims about knowing the future; it applies equally to claims about knowing the past. But in neither case does the possibility of error undermine truth.

Proposal Three: The examples that have been given of foreknowledge (for example, of a solar eclipse) of an imminent volcanic eruption, of a US presidential election, etc., are cases of naturally occurring phenomena or of legislatively mandated events. Such events have an overwhelmingly high probability of occurring. But when we turn to cases of human beings making choices, the situation is vastly different.

Many, perhaps most, human choices and behaviors are the product of free will. Some of these choices and behaviors are conscious and deliberative considerations; others are subject to whim, to irrational desires, to spur-of-the-moment decisions, etc. None of us can know, in advance, what another person’s free choice will be.

Objections to Proposal Three: This latter way of trying to undercut the premises of the argument for Epistemic Determinism works, if at all, only for the secular version. It does nothing to diminish the sting of the version capitalizing on God’s omniscience.

But even if this objection is confined to the secular version, it hardly addresses the alleged conundrum. For the secular version of the argument for Epistemic Determinism does not, in the slightest, require that we human beings be able to foresee all the actions and behavior of other persons. The argument has its dreadful bite even if we are able to foresee only some of the free choices of others. And being able to do that is something that is familiar to everyone.

In the case of persons whom we know well, especially family members, we are able to know, in certain circumstances, what they are about to say or do. If my wife and I go to dinner at one particular restaurant, I know beforehand, without her telling me, what she will order for dessert (lemon pie). If I happen to glance at her shopping list before she leaves home, I can know in advance that she will return with some 60-watt light bulbs. All of these are free choices on her part; none of them is coerced or forced in any way. Yet, I do know them.

In the case of predicting the behavior of groups of persons, entire industries have grown up in the last 100 years devoted to such inquiries: professional pollsters, of course, but also economists, psychologists, political commentators, planning departments of large corporations, marketing advisers, pension-fund managers, etc., operating under a number of context-relevant constraints (for example, to minimize losses) to maximize gains, etc. Perhaps nowhere is such research of greater consequence than in planning military maneuvers (as in World War II). On that occasion, it became a matter of life and death for countless numbers of troops that their commanders correctly predicted the actions of their enemies.

Interim Conclusion #2:

Earlier we saw that there are no good reasons to reject the claim that future contingents are true (or false as the case may be) prior to the occurrence of the events they refer to. And now we see that, similarly, there are no good reasons to reject the claim that many future contingents (all future contingents in the case of God) can be, and more especially are, known prior to the events they refer to.

Thus, if we are, finally, to remove the sting of the deterministic arguments, we will have to do so by arguing that these arguments, although having true premises, are – appearances to the contrary – invalid. Each of these arguments harbors a logical slip between their premises and their conclusions. The rest of this article is given over to revealing the nature of the logical error.

5. Possibility, Necessity, and Contingency

To expose the mistakes in the deterministic arguments, we will need some tools of modern logic. Some elementary symbols will help to illuminate the concepts at play in the deterministic arguments. However, all the formulas that will be used, which incorporate these symbols, will also be expressed in English prose.

Symbol Its meaning Explanation
P, Q, R, … propositions See (see Sec. 2 of Truth)
~P it is not the case that P Example: It is not the case that copper conducts
electricity. (Note: “P” and “~P” have opposite
truth-values – whichever is true, the other is
false.)
P ⊃ Q if P, then Q Example: If she is late, (then) the meeting will be
delayed.
gKP God knows that P Example: God knows that the Mississippi River flows
north to south.

Next we need three concepts at the heart of modern modal logic. The symbols are:

Symbol Its meaning Explanation
◊P it is (logically) possible that P Example: It is (logically) possible that the United
States was defeated in World War II. (Note: Whatever
is not self-contradictory is logically possible.)
☐P It is (logically) necessary that P Example: It is logically necessary that every number has
a double. (Note: If Q is not logically possible, then
~Q is logically necessary.)
∇P It is contingent that P Example: It is contingent that the United States
purchased Alaska from Russia.
(Note: A proposition, Q, is contingent if and only if
◊Q and~Q.)

These latter three concepts require further elaboration.

P is possible (symbolized “◊P”). A proposition, P, is possible if and only if it is not self-contradictory. All propositions that are true are possibly true. In addition, some false propositions are also possibly true, namely those that are false but are not self-contradictory. Some philosophers like to explicate “P is possible” in this way: “There are some possible circumstances in which P is true”. And some philosophers, adopting the terminology popularized by Leibniz (1646-1716), will substitute “worlds” for “circumstances”, yielding “P is true in some possible worlds”. Examples of possibly true propositions include:

  1. Ottawa, Canada, is north of Washington, DC.
  2. The Great Salt Lake is saltier than the Dead Sea.
  3. The Dead Sea is saltier than the Great Salt Lake.
  4. John Lennon was the first songwriter to travel in a space capsule.
  5. There are three times as many species of insect as there are species of mollusk.
  6. 2 + 2 = 4
  7. All aunts are female.
  8. Some pigs can levitate.

Understand that prefacing a proposition, P, with “◊” does not ‘make’ P possible. What it does is to create a new, different, proposition, namely ◊P, which, in effect, says that P is possible. If P is possible (for example, suppose “P” stands for “Gold was first discovered in California in 1990”), then (although P is false), ◊P is true. Or, suppose “Q” stands for “2 + 2 = 7”. Then prefacing “Q” with “◊” does not ‘make’ Q possible. It produces a new proposition, “◊Q”, which is false. Q is, and remains, impossible whether or not it is prefaced with “◊”.

Everything that is actual (or actually true) is possible (that is, possibly true). But if a proposition is actually false, then it is impossible only if it is self-contradictory; otherwise it is a false contingency, and all contingencies, whether true or false, are possible.

We may ask “What color did Sylvia paint the lawn chair?” We look at the chair and see that she has painted it yellow. Thus it is demonstrable that it is possible that she painted the chair yellow. And its being yellow implies it is false that she painted the chair blue. But the falsity of the proposition that she painted the lawn chair blue in no way precludes that she could have done so. Even though false, it still remains possible that she painted the chair blue.

P is necessary (symbolized “☐P”). Necessarily true propositions are those that are true in all possible circumstances (/worlds)—that is, are not false in any. Necessary truth can be defined in terms of possibility, namely P is necessary if and only if its negation (that is, “~P”) is impossible. In symbols (where “=df” stands for “is by definition”):

☐P =df ~~P

Examples of necessarily true propositions:

  1. 2 + 2 = 4
  2. All aunts are female.
  3. Whatever is blue is colored.
  4. There are either fewer than 20 million stars or there are more than 12 million. (This statement may be unobvious; but if you think about it you may come to see that it cannot be false.)
  5. It is false that some triangle has exactly four sides.

P is contingent (symbolized “∇P”). A proposition, P, is contingent if and only if it is both possibly true andpossibly false. Contingent propositions are those that are true in some possible circumstances (/worlds) and are false in some possible circumstances (/worlds). Contingency can be defined in terms of possibility, namely:

∇P =df ◊P & ◊~P

It is essential to understand that “◊P & ◊~P” does not mean “P is true and false in some possible circumstances (worlds)”. No proposition whatsoever is both true and false in the same set of circumstances (law of non-contradiction). To say that a proposition is contingent is to say that it is true in some possible circumstances and is false in some (other!) circumstances.

Examples:

  1. The Boston Red Sox won the World Series in 2002.
  2. It is false that the Boston Red Sox won the World Series in 2002.
  3. Steel-clad ships can float in the ocean.
  4. It is false that steel-clad ships can float in the ocean.

Modal terms and modal status

Terms such as “must”, “has to”, “cannot”, “is necessary”, “is impossible”, “could not be otherwise”, “has to be”, “might”, “could be”, “contingent”, and the like, are known as “modal” terms. All of these are definable in terms of “possibility”.

Every proposition is either logically possible or logically impossible. And no proposition is both.

Drawing the net a bit finer, and dividing the class of logically possible propositions into those that are necessarily true and those that are contingent, we have three exclusive categories. Every proposition is exclusively either necessarily true, necessarily false, or contingent. That is, every proposition falls into one of these latter three categories, and no proposition falls into more than one.

Just as the expression “truth-value” is a generic term encompassing “truth” and “falsity”, the expression “modal status” is a generic term encompassing “contingent”, “necessarily true”, and “necessarily false”.

Finally, no proposition ever changes its modal status. We will call this principle “The Principle of the Fixity of Modal Status“. And for the purposes of assessing the deterministic arguments we note especially: no contingent proposition ever ‘becomes’ necessary or impossible.

6. The Modal Fallacy

From a mathematical point of view, if we arbitrarily pick any two propositions, truth and falsity can be attributed to them in four different combinations, specifically

  • the first is true, and the second is true
  • the first is true, and the second is false
  • the first is false, and the second is true
  • the first is false, and the second is false

However, it sometimes happens that two propositions will have certain logical relationships between them such as to make one or more of these four combinations impossible. For example, consider the two propositions α and β.

α: Diane planted only six rosebushes.

β: Diane planted fewer than eight rosebushes.

While each of these propositions, by itself, could be true and could be false, there are – as it turns out – only three, not four, possible combinations of truth and falsity that can be attributed to this particular pair of propositions. On careful thought, we can see that the second combination – that is, the one which attributes truth to α and falsity to β – is impossible. For if α is true (that is, if it is true that Diane has planted only six rosebushes) then β is also true. Put another way: the truth of α guarantees the truth of β. This is to say

(1) It is impossible (for α to be true and for β to be false).

Unfortunately, ordinary English does not lend itself easily to express the quasi-symbolic sentence (1). In symbols we can express the sentence this way:

(1a) ~◊(α & ~β)

About the best we can do in English is to create the following unidiomatic, extremely clumsy sentence:

(1b) The compound sentence, α and not-β, is impossible (that is, is necessarily false).

English prose is a poor tool for expressing fine logical distinctions (just as it is an unsuitable tool for expressing fine mathematical distinctions[3] ). But, as it turns out, the situation is worse than just having to make do with awkward sentences. For it is a curious fact about most natural languages – English, French, Hebrew, etc. – that when we use modal terms in ordinary speech, we often do so in logically misleading ways. Just see how natural it is to try to formulate the preceding point [namely proposition (1)] in this fashion:

(2) If α is true, then it is impossible for β to be false.

Or, in symbols:

(2a) α ⊃ ~~β

In ordinary speech, the latter sentence, (2), is natural and idiomatic; the former sentence (1b) is unnatural and unidiomatic. But – and this is the crucial point – the propositions expressed by (1)-(1b) are not equivalent to the propositions expressed by sentences (2)-(2a). The former set, that is (1)-(1b), are all true. The latter, (2)-(2a)are false and commit the modal fallacy. The fallacy occurs in its assigning the modality of impossibility, not to the relationship between the truth of α and falsity of β as is done in (1)-(1b), but to the falsity of β alone. Ordinary grammar beguiles us and misleads us. It makes us believe that if α is true, then it is impossible for β to be false. But it is possible for β to be false. β is a contingent proposition. Recall the principle of the fixity of modal status. Even if the falsity of β is guaranteed by the truth of some other proposition [in this case α], β does not ‘become’ impossible: it ‘remains’ contingent, and thereby possible.

Whatever impossibility there is lies in jointly asserting α and denying β. (See (1b) above.) The proposition “it is false that β” does not ‘become’ impossible if one asserts α.[4]

a. The Modal Fallacy in Logical Determinism

Some persons have been deceived by the following (fallacious) argument to the effect that there are no contingent propositions:

“(By the Law of Non-contradiction), if a proposition is true (/false), then it cannot be false (/true). If a proposition cannot be false (/true), then it is necessarily true (/false). Therefore if a proposition is true (/false), it is necessarily true (/false). That is, there are no contingent propositions. Every proposition is either necessarily true or necessarily false. (If we could see the world from God’s viewpoint, we would see the necessity of everything. Contingency is simply an artifact of ignorance. Contingency disappears with complete knowledge.)”

The fallacy arises in the ambiguity of the first premise. If we interpret it close to the English, we get:

P ⊃ ~~P
~~P ⊃ ☐P
——————
∴ P ⊃ ☐ P

However, if we regard the English as misleading, as assigning a necessity to what is simply nothing more than a necessary condition, then we get instead as our premises:

~◊(P & ~P) [equivalently: ☐(P ⊃ P)]
~◊~P ⊃ ☐P

From these latter two premises, one cannot validly infer the conclusion:

P ⊃ ☐P.

In short, the argument to the effect that there are no contingent propositions is unsound. Its very first premise commits the
modal fallacy.

The identical error occurs in the argument for logical determinism. Recall (the expanded version of) Aristotle’s sea battle:

Two warring admirals, A and B, are preparing their fleets for a decisive sea battle tomorrow. The battle will be fought until one side is victorious. But the “logical laws (or principles)” of the excluded middle (every proposition is either true or false) and of noncontradiction (no proposition is both true and false), require that one of the propositions, “A wins” and “it is false that A wins,” is true and the other is false. Suppose “A wins” is (today) true. Then whatever A does (or fails to do) today will make no difference: A must win; similarly, whatever B does (or fails to do) today will make no difference: the outcome is already settled (that is, A must win). Or again, suppose “A wins” is (today) false. Then no matter what A does today (or fails to do), it will make no difference: A must lose; similarly, no matter what B does (or fails to do), it will make no difference: the outcome is already settled (that is, A must lose). Thus, if every proposition is either true or false (and not both), then planning, or as Aristotle put it “taking trouble,” is futile. The future will be what it will be, irrespective of our planning, intentions, etc.

If we let “A” stand for “Admiral A wins” and let “B” stand for “Admiral B wins”, the core of this argument can be stated in symbols this way:

A or B [one or the other of these two propositions is true]
~◊(A & B) [it is not possible that both A and B are true]

A ⊃ ☐A
A ⊃ ~~A
} If A is true, then A must be true.

If A is true, then A cannot be false.

A ⊃ ☐~B
A ⊃ ~◊B
} If A is true, then B must be
false.If A is true, then B cannot be true.
B ⊃ ☐B
B ⊃ ~~B
} If B is true, then B must be true.

If B is true, then B cannot be false.

B ⊃ ☐~A
B ⊃ ~◊A
} If B is true, then A must be
false.If B is true, then A cannot be true.

In this argument, by hypothesis, either A is true or B is true, and since they cannot both be true, the second premise may be accepted as true. But none of the conclusions is true. A is contingent, and B is contingent. Yet the conclusions state that from the assumed truth of either of (the two contingencies) A or B, it follows that A and B are each either necessarily true or necessarily false. Each of these eight conclusions violates the principle of the fixity of modal status. What, then, are the conclusions one may draw validly from the premises? These:

☐(A ⊃ ~B) or, equivalently, ~(A & B)
☐(B ⊃ ~A) or, equivalently, ~(B & A)

So long as we remain mindful of the fact that “~◊(P & Q)” is logically equivalent to “☐(P ⊃ ~Q)” but is not equivalent to “P ⊃ ☐~Q”, the argument for logical determinism will be seen to be invalid. Our ordinary language treats “it is impossible for both P and Q to be true” as if it were logically equivalent to “if P is true, then Q is necessarily false”. But the profound difference between these two assertions is that the former preserves the principle of the fixity of modal status, the latter violates that principle. The proposition, “Admiral A wins”, is contingent, and if true, then it “remains” true. Indeed this is a trivial logical truth:

(i) ☐(P ⊃ P) alternatively, ~◊(P & ~P)

The argument for logical determinism illicitly treats this logical truth as if it were equivalent to the false proposition

(ii) P ⊃ ☐P alternatively, P ⊃ ~~P

If you do not let yourself be beguiled by the invalid ‘move’ (inference) from (i) to (ii), the argument for logical determinism collapses. The truth of a proposition concerning your future behavior does not make that future behavior necessary. What you choose to do in the future was, is, and will remain contingent, even if a proposition describing that choice is timelessly true.

b. The Modal Fallacy in Epistemic Determinism

Let’s recall Maimonides’s argument:

… “Does God know or does He not know that a certain individual will be good or bad? If thou sayest ‘He knows’, then it necessarily follows that [that] man is compelled to act as God knew beforehand he would act, otherwise God’s knowledge would be imperfect.”

We can symbolize the core of this argument, using “∴” for “it necessarily follows”; and “☐” for “compelled”; and “D” for the proposition describing what some particular person does tomorrow.

gKD
———
∴ ☐D

There seems to be (at least) one missing premise. [In the terminology of logicians, the argument is enthymematic.] One tacit assumption of this argument is the necessary truth, “it is not possible both for God to know that D and for D to be false”, or, in symbols, “~◊(gKD & ~D)”. So the argument becomes:

gKD
~◊(gKD & ~D)
————————
∴ ☐D

But even with this repair, the argument remains invalid. The conclusion does not follow from the two premises. To derive the conclusion, a third premise is needed, and it is easy to see what it is. Most persons, with hardly a moment’s thought, virtually as a reflex action, will tacitly assume that the second premise is logically equivalent to:

gKD ⊃ ☐D

and will tacitly (/unconsciously) add this further premise, so as to yield, finally:

gKD
~◊(gKD & ~D)
gKD ⊃ ☐D
————————
∴ ☐D

But this third premise, we have seen above, is false; it commits the modal fallacy. Without this premise, Maimonides’ argument is invalid; with it, the argument becomes valid but unsound (that is, has a false and essential premise [namely the third one]). Either way, the argument is a logical botch.

Once the logical error is detected, and removed, the argument for epistemic determinism simply collapses. If some future action/choice is known prior to its occurrence, that event does not thereby become “necessary”, “compelled”, “forced”, or what have you. Inasmuch as its description was, is, and will remain forever contingent, both it and its negation remain possible. Of course only one of the two was, is, and will remain true; while the other was, is, and will remain false. But truth and falsity, per se, do not determine a proposition’s modality. Whether true or false, each of these propositions was, is, and will remain possible. Knowing – whether by God or a human being – some future event no more forces that event to occur than our learning that dinosaurs lived in (what is now) South Dakota forced those reptiles to take up residence there.

7. Residual concerns – Changing the past; Changing the future

It will sometimes happen that persons will painstakingly follow each of the steps of the preceding arguments that expose the modal fallacy in logical and epistemic determinism and still harbor lingering worries that the truth or knowledge of future contingents precludes the very possibility of free will

“Look”, they might say, “if it is already true today (Monday) that I will do Z tomorrow (Tuesday), then surely tomorrow, try as I might, I will end up doing Z. Were I do something else instead, in effect not do Z on Tuesday, then I would change, from true to false, the truth-value that a proposition had on Monday. But that is impossible. Thus, tomorrow, my considering the alternatives – my deliberating over my course of action, my trying to make up my mind what I will choose, my trying to exercise free will – is really just an illusion. Since I can’t change the past, and since it is already true before I act that I will do Z, it clearly follows that I cannot exercise free will.”

To tackle this last deterministic argument, we need to discuss two matters: (1) what might be meant by the expressions “change the past” and “change the future”, and (2) whether changing the future involves retroactively changing the truth-value of a proposition.

Changing the past, present, or future: The past is fixed. One cannot undo what has happened (although one can, of course, try to mitigate the consequences of wrongful acts – by apologizing, making amends, etc.)

Not even an omnipotent God can ‘undo’ or ‘redo’ the past, for to do so would per impossible actualize a self-contradiction (for example, “x occurred at such-and-such a time and x did not occur at such and such a time”).

Jewish sages warn against ‘prayer in vain’ (where “in vain” does not mean “futile” but “contemptuously” or “profanely” [as in the Third Commandment, “Thou shalt not take the Lord’s name in vain”]):

… to cry over the past is to utter a vain prayer. If a man’s wife is [already] pregnant and he says, “[God] grant that my wife bear a male child”, this is a vain prayer. If he is coming home from a journey and he hears cries of distress in the town and says, “[God] grant that this is not in my house”, this is a vain prayer. (Epstein, 1948, pp. 327-8)

Such prayers were regarded as blasphemous since they were taken to be supplications to God that He change the past from the way it was. But not even an omnipotent God can violate the logical principle of the (law of) non-contradiction.

And yet, God-fearing persons frequently do utter such prayers. How natural it is, for example, for Believers, when knowing that their child was on board a particular ship, and learning that the ship has met a terrible calamity and sunk – with some passengers being lost and some others being rescued – to pray to God that their child is among the survivors. Is there any way to rationalize such behavior and render it non-blasphemous?

Modern modal logic again comes to the rescue. Remember, on traditional accounts, God is (along with being all-good) omniscient and omnipotent. God, being omniscient, will have known, since the beginning of time, that the parents would pray (at such and such a time) for the survival of their child. In particular, God would have known at the time of the ship’s sinking that the parents would pray sometime later, and God could have chosen to answer those prayers in advance of their being uttered. On this view, God is not changing the past at all; God is making the past one particular way among the infinite number of different ways it could have been. One must attend to the modalities. Under this view, God does not change the past from the way it was (which activity would be a violation of the principle of non-contradiction), but rather God makes one possibility (the child’s surviving) actual, and makes another possibility (the child’s perishing) nonactual. There is no violation of the principle of non-contradiction, and the parents’ prayers are not blasphemous.

And it bears emphasizing that it is not God’s knowing beforehand that the parents would pray in a certain manner that ‘brings it about’ (‘necessitates’, ‘forces’) their praying that way. It is, quite the contrary: it is the parents praying of their own free will that God have saved their child from death that moves God to do (have done) as he did.

Similar freedoms and constraints apply to the present. On pain of inconsistency, one cannot change what is happening at this very moment. In some circumstances, and in a certain sense, one can change what is about to happen next (that is, in the immediate future). But one cannot change what is happening now (that is, at this very moment).

What about the future? Most of us believe that we can, to a certain extent, change (or affect) the future. But then we recall the proverb, “Que sera, sera” (“What will be, will be”), and we begin to have doubts. If the future will be what it is going to be, how can we change it?

Not surprisingly, the response is: “It all depends on what you mean by ‘change'”.

“I cannot change the future – by anything I have done, am doing, or will do – from what it is going to be. But I can change the future from what it might have been. I may carefully consider the appearance of my garden, and after a bit of thought, mulling over a few alternatives, I decide to cut down the apple tree. By so doing, I change the future from what it might have been. But I do not change it from what it will be. Indeed, by my doing what I do, I contribute – in a small measure – to making the future the very way it will be.”Similarly, I cannot change the present from the way it is. I can only change the present from the way it might have been, from the way it would have been were I not doing what I am doing right now. And finally, I cannot change the past from the way it was. In the past, I changed it from what it might have been, from what it would have been had I not done what I did.

“We can change the world from what it might have been; but in doing that we contribute to making the world the way it was, is, and will be. We cannot – on pain of logical contradiction – change the world from the way it was, is, or will be.” (Swartz, 2001, pp. 226-227)

Suppose that tomorrow, by the exercise of my free will, I wash the family car. In doing so, I make the future just what it was to be. But it was to be (that way rather than some other) just because I will exercise my free will tomorrow. It is tomorrow’s exercise of my free will that makes it the way it will be.

In exercising my free will tomorrow (to wash the family car) have I retroactively changed the past? Have I changed the truth-value of some proposition from true to false and of some other proposition from false to true?

Semantic relations are not causal relations: Again, the English language confuses us. We say that what we willchoose to do tomorrow ‘makes‘ some proposition true. And we might add, what I choose to do tomorrow (namely wash the family car) ‘makes‘ the car clean.

But these are two radically different senses of “makes”. The first use of “makes” refers to the semantic relation of “truth-conferring”. My washing the car tomorrow ‘confers’ truth on the proposition that on such-and-such a day, I wash the family car. But an event’s ‘conferring truth’ on a proposition is not a causal relation. Causal relations occur between two events (or occurrences, or states). The event of my washing the car brings about the state (or the event that lasts several days) of my car being clean.

The event of my washing the car tomorrow doesn’t retroactively cause the proposition that I wash the car tomorrow to become true, nor does it change the truth-value of that proposition. The proposition that I wash the car tomorrow (that is, on such-and-such a date) simply describes what happens tomorrow. If I do wash the car tomorrow, then that proposition was, is, and forever will be, true. If I do not wash the car tomorrow, then that same proposition was, is, and always will be false.

Some persons find it easier to understand the concept of the semantic relation of ‘truth-making’ if the example concerns a past event rather than a future one. Consider the proposition (which is still being debated by scientists) that the dinosaurs on earth perished as a result of an impact of a huge meteor at Chicxulub, on the Yucatan Peninsula in Mexico, about 65 million years ago. If there was such an impact, and if it caused the demise of the dinosaurs, then the proposition is true (or, more specifically, always was, is, and always will be true). If, however, there was no such impact, or if there was an impact but it didn’t cause the death of the dinosaurs, then the proposition always was, is, and forever will be false.

Every actual event has a timelessly true description. It is what happens (that is, what events occur)—including those that are the free choices of human beings—that “accounts for” the truth of their descriptions. The truth (today) of the proposition that John Wilkes Booth assassinated Abraham Lincoln neither ‘accounts for’ nor ’caused’ that criminal act.

In the next few hours I will make any number of free choices. Tomorrow there will be true propositions describing those choices. But none of my choices today is ‘forced’ or ’caused by’ my actual choices having true descriptions tomorrow. And we can generalize:

In the next few hours you will exercise your free will and make any number of free choices. Yesterday there were, today there are, and tomorrow there will be, true propositions describing those choices. But none of your choices today (whatever they are) is ‘forced’ or ’caused by’ your actual choices having had a true description yesterday, having a true description today, or continuing to have a true description tomorrow.

8. Concluding Remarks

The argument (Logical Determinism) that a proposition’s being true prior to the occurrence of the event it describes logically precludes free will ultimately rests on a modal fallacy. And the ancillary argument that a proposition’s being true prior to the occurrence of the event it describes causes the future event to occur turns on a confusion (i) of the truth-making (semantic) relation between an event and its description with (ii) the causal relation between two events.

The argument (Epistemic Determinism) that a proposition’s being known prior to the occurrence of the event it describes logically precludes free will, as in the case of logical determinism, ultimately rests on a modal fallacy. And the arguments that it is impossible to know the future are refuted by two facts. One is that we do in fact know a very great deal about the future, indeed our managing to keep ourselves alive from hour to hour, from day to day, depends to a very great extent on such knowledge. Two is that the objection that we cannot have knowledge of the future – because our beliefs about the future ‘might’ (turn out to) be false – turns on a mistaken account of the role of ‘the possibility of error’ in a viable account of knowledge. Beliefs about future actions, insofar as they are contingent, and – by the very definition of “contingency” – are possibly false. But “possibly false” does not mean “probably false”, and possibly false beliefs, so long as they are also actually true, can constitute bona fide knowledge of the future.

9. References and Further Reading

a. References

  • Aristotle (1963). Categories and De Interpretatione, translated with notes by J.L. Ackrill (Oxford: Clarendon Press), Chapter 9 (pp. 50-53).
  • Bradley, Raymond and Norman Swartz (1979). Possible Worlds, (Indianapolis: Hackett Publishing Co.).
  • Brunier, Serge and Jean-Pierre Luminet (2000). Glorious Eclipses: Their Past, Present and Future, translated by Storm Dunlop (Cambridge: Cambridge University Press), pp.154-5.
  • Descartes, René (1641/1966). Meditations on First Philosophy (1641). Re-written (2004) by Jonathan Bennett, for readability by students in the 21st century, from the translation by John Cottingham (Cambridge University Press), 1996.
  • Epstein, Isidore (trans.) (1948). The Babylonian Talmud, Tractate Berakoth, Chapter IX., (London: The Soncino Press [Oxford]). (Reprinted in 1978.)
  • Gettier, Edmund L. (1963). “Is Knowledge Justified True Belief?” Analysis 23, pp. 121-123.
  • Hempel, Carl (1942). “The Function of General Laws in History,” The Journal of Philosophy 39, pp. 35-48.
    • Reprinted in Aspects of Scientific Explanation, (NY: The Free Press), 1965,pp. 231-243.
  • Maimonides, Moses (1996). The Eight Chapters of Maimonides on Ethics (Semonah Perak.im), edited, annotated, and translated with an Introduction by Joseph I. Gorfinkle (New York: AMS Press).
  • Nagel, Ernest (1956). “Symbolic Notation, Haddocks’ Eyes and the Dog-Walking Ordinance” The World of Mathematics, vol. 3, edited by James R. Newman (NY: Simon and Schuster), pp. 1878-1900. (Reissued by Dover Publications, ISBN: 0486432688.)
  • Scriven, Michael (1965). “An Essential Unpredictability in Human Behavior,” in Scientific Psychology: Principles and Approaches, edited by Ernest Nagel and Benjamin Wolman, (New York: Basic Books), pp. 411-25.
  • Swartz, Norman (2001). Beyond Experience, 2nd edition.
  • Thomson, Judith Jarvis (1971). “The Time of a Killing,” Journal of Philosophy, 68 (1971), pp. 115-32.

b. Further Reading

Complementary

  • Craig, William Lane (1987). The Only Wise God: The Compatibility of Divine Foreknowledge and Human Freedom, (Grand Rapids, MI: Baker Book House).
  • Rowe, William L. (1993). Philosophy of Religion: An Introduction, 2nd edition (Belmont, CA: Wadsworth Publishing Co.), esp. Chapter 11, “Predestination, Divine Foreknowledge, and Human Freedom,” pp. 141-154.

Dissenting

Nelson Pike has argued that if one adopts a particular notion of omniscience [different from the one presupposed in this article], God’s omniscience does preclude the existence of human free will. Alvin Plantinga responds to Pike, arguing that God’s omniscience is compatible with human free will. Finally, Pike tries to defend his position against Plantinga. The three papers are:

  • Pike, Nelson (1965). “Divine Omniscience and Voluntary Action,” The Philosophical Review, 74 (Jan.) pp. 27-46.
    • Reprinted as “God’s Foreknowledge and Human Free Will Are Incompatible,” in Philosophy of Religion: An Anthology, 2nd edition, edited by Louis P. Pojman, (Belmont, CA: Wadsworth Publishing Co.), 1994, pp. 250-60.
  • Pike, Nelson (1977). “Divine Foreknowledge, Human Freedom and Possible Worlds,” The Philosophical Review, 86 (April), pp. 209-216.
  • Plantinga, Alvin (1974). “God’s Foreknowledge and Human Free Will are Compatible,” God, Freedom, and Evil, (New York: Harper & Row), pp. 66-72.
    • Reprinted in Philosophy of Religion: An Anthology, 2nd edition, edited by Louis P. Pojman, (Belmont, CA: Wadsworth Publishing Co.), 1994, pp. 261-4.

Supplementary: Causal Determinism

Throughout this article we have examined two alleged threats to the claim that human beings have free will, namely, the threat posed by Logical Determinism and that posed by Epistemic Determinism. Early we hived off the discussion of Causal Determinism. For many thinkers, causal determinism poses a far greater threat to the existence of free will than does either logical or epistemic determinism. Again, as a starting point, consider reading the article, “Laws of Nature” in this Encyclopedia.

Advanced

All three deterministic arguments are challenges to the thesis that human beings have free will. And enormous efforts have been expended over the last millennium, by countless philosophers and theologians, to rebut these arguments. All these efforts have been, as it were, defensive moves. And thus the question naturally arises: Is there, or can there even be, arguments to the effect that free will does exist? Is there any empirical evidence that human beings have the capacity to exercise free choice? Is the claim demonstrable that we can, at least on occasion, make free choices?

In his article, “An Essential Unpredictability in Human Behavior” (1965), Michael Scriven describes a thought-experiment which strongly supports the claim that we have free will. (See especially Section I., pp. 419-20.) Most persons will need to read this paper several times, and without a dismissive attitude, to plumb its cogency and depth. The paper is undeniably tough going, but, in the end, worth the effort needed to grasp its insights.

10. Notes

  1. Although contemporary (twentieth- and twenty-first-century) secular philosophers continue the historical tradition of talking about God as a (/the) omniscient being, one should not thereby infer that these philosophers are assuming that God exists. For contemporary secular philosophers, “God” may be regarded as shorthand for “omniscient being.” Their interest is in the consequences of positing an omniscient being, not in promoting a belief that such a being exists. The latter is a quite different matter, not touched upon in this article. [ Return ]
  2. This second condition is stated loosely. Indeed, ever since Gettier (1963), a number of philosophers have tried “tightening” the conditions that are necessary for knowledge. However, for our purposes, we need not settle on whether these conditions are sufficient for knowledge. For the present discussion, we need only insist upon the first condition (namely P is true), a condition that has been little challenged in late-twentieth- and early twenty-first-century theory of knowledge. [ Return ]
  3. Just as an exercise, try to state the following formula solely in English prose:

    x = [√(y2 + z√w)] / [2.7w (a3 + log(y – 0.5z))]

    For further illustrations of the difficulty on occasion of expressing fine logical points in ordinary prose, see Ernest Nagel’s celebrated “Symbolic Notation, Haddocks’ Eyes and the Dog-Walking Ordinance” (1956), especially the latter section. [ Return ]

  4. The modal fallacy is hardly the only case of human beings’ susceptibility to logical error. Another logical error, this one drawn from mathematics, which – like the modal fallacy – took centuries to be corrected, has to do with the number of numbers. If one were to ask most persons, “Are there more even and odd positive integers (1, 2, 3, 4, …) than there are even positive integers (2, 4, 6, 8, …) alone?”, one would likely get as an answer, “Yes, of course.” There are twice as many even and odd positive integers together as there are even positive integers alone.” But contrary to our untutored intuitions, this is the wrong answer. It turns out, as was discovered and proved in the 19th century (by Georg Cantor [1845-1918]), there are exactly as many even positive integers as there are even and odd together. The two classes, that of all the positive integers and that of the even positive integers are said to be “equinumerous,” that is, both classes contain the same number (cardinality) of members, namely an infinite number. That there are as many even positive integers as there are positive integers can be demonstrated by the fact that the members of the two classes can be uniquely ‘paired off’, or putting the point in more technical jargon, the members of the two classes can be put into a “one-to-one correspondence”:
    1 2 3 4 . . . .
    | | | | | | etc.
    2 4 6 8 . . . .

    Every positive integer has a unique double; and every even positive integer has a unique half which is also an integer. Clearly, there are instances when some of our untutored, deeply ingrained, logical (and mathematical) “intuitions” need to be reformed.[ Return ]

Author Information

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

Ludwig Wittgenstein (1889—1951)

WittgensteinLudwig Wittgenstein is one of the most influential philosophers of the twentieth century, and regarded by some as the most important since Immanuel Kant. His early work was influenced by that of Arthur Schopenhauer and, especially, by his teacher Bertrand Russell and by Gottlob Frege, who became something of a friend. This work culminated in the Tractatus Logico-Philosophicus, the only philosophy book that Wittgenstein published during his lifetime. It claimed to solve all the major problems of philosophy and was held in especially high esteem by the anti-metaphysical logical positivists. The Tractatus is based on the idea that philosophical problems arise from misunderstandings of the logic of language, and it tries to show what this logic is. Wittgenstein’s later work, principally his Philosophical Investigations, shares this concern with logic and language, but takes a different, less technical, approach to philosophical problems. This book helped to inspire so-called ordinary language philosophy. This style of doing philosophy has fallen somewhat out of favor, but Wittgenstein’s work on rule-following and private language is still considered important, and his later philosophy is influential in a growing number of fields outside philosophy.

Table of Contents

  1. Life
  2. Tractatus Logico-Philosophicus
  3. Ethics and Religion
  4. Conception of Philosophy
  5. Meaning
  6. Rules and Private Language
  7. Realism and Anti-Realism
  8. Certainty
  9. Continuity
  10. Wittgenstein in History
  11. References and Further Reading
    1. Wittgenstein’s Main Works
    2. Some Biographies of Wittgenstein
    3. Secondary Works

1. Life

Ludwig Josef Johann Wittgenstein, born on April 26th 1889 in Vienna, Austria, was a charismatic enigma. He has been something of a cult figure but shunned publicity and even built an isolated hut in Norway to live in complete seclusion. His sexuality was ambiguous but he was probably gay; how actively so is still a matter of controversy. His life seems to have been dominated by an obsession with moral and philosophical perfection, summed up in the subtitle of Ray Monk’s excellent biography Wittgenstein: The Duty of Genius.

His concern with moral perfection led Wittgenstein at one point to insist on confessing to several people various sins, including that of allowing others to underestimate the extent of his ‘Jewishness’. His father Karl Wittgenstein’s parents were born Jewish but converted to Protestantism and his mother Leopoldine (nee Kalmus) was Catholic, but her father was of Jewish descent. Wittgenstein himself was baptized in a Catholic church and was given a Catholic burial, although between baptism and burial he was neither a practicing nor a believing Catholic.

The Wittgenstein family was large and wealthy. Karl Wittgenstein was one of the most successful businessmen in the Austro-Hungarian Empire, leading the iron and steel industry there. The Wittgensteins’ home attracted people of culture, especially musicians, including the composer Johannes Brahms, who was a friend of the family. Music remained important to Wittgenstein throughout his life. So did darker matters. Ludwig was the youngest of eight children, and of his four brothers, three committed suicide.

As for his career, Wittgenstein studied mechanical engineering in Berlin and in 1908 went to Manchester, England to do research in aeronautics, experimenting with kites. His interest in engineering led to an interest in mathematics which in turn got him thinking about philosophical questions about the foundations of mathematics. He visited the mathematician and philosopher Gottlob Frege (1848-1925), who recommended that he study with Bertrand Russell (1872-1970) in Cambridge. At Cambridge Wittgenstein greatly impressed Russell and G.E. Moore (1873- 1958), and began work on logic.

When his father died in 1913 Wittgenstein inherited a fortune, which he quickly gave away. When war broke out the next year, he volunteered for the Austrian army. He continued his philosophical work and won several medals for bravery during the war. The result of his thinking on logic was the Tractatus Logico-Philosophicus which was eventually published in English in 1922 with Russell’s help. This was the only book Wittgenstein published during his lifetime. Having thus, in his opinion, solved all the problems of philosophy, Wittgenstein became an elementary school teacher in rural Austria, where his approach was strict and unpopular, but apparently effective. He spent 1926-28 meticulously designing and building an austere house in Vienna for his sister Gretl.

In 1929 he returned to Cambridge to teach at Trinity College, recognizing that in fact he had more work to do in philosophy. He became professor of philosophy at Cambridge in 1939. During World War II he worked as a hospital porter in London and as a research technician in Newcastle. After the war he returned to university teaching but resigned his professorship in 1947 to concentrate on writing. Much of this he did in Ireland, preferring isolated rural places for his work. By 1949 he had written all the material that was published after his death as Philosophical Investigations, arguably his most important work. He spent the last two years of his life in Vienna, Oxford and Cambridge and kept working until he died of prostate cancer in Cambridge in April 1951. His work from these last years has been published as On Certainty. His last words were, “Tell them I’ve had a wonderful life.”

2. Tractatus Logico-Philosophicus

Wittgenstein told Ludwig von Ficker that the point of the Tractatus was ethical. In the preface to the book he says that its value consists in two things: “that thoughts are expressed in it” and “that it shows how little is achieved when these problems are solved.” The problems he refers to are the problems of philosophy defined, we may suppose, by the work of Frege and Russell, and perhaps also Schopenhauer. At the end of the book Wittgenstein says “My propositions serve as elucidations in the following way: anyone who understands me eventually recognizes them as nonsensical” [emphasis added]. What to make of the Tractatus, its author, and the propositions it contains, then, is no easy matter.

The book certainly does not seem to be about ethics. It consists of numbered propositions in seven sets. Proposition 1.2 belongs to the first set and is a comment on proposition 1. Proposition 1.21 is about proposition 1.2, and so on. The seventh set contains only one proposition, the famous “What we cannot speak about we must pass over in silence.”

Some important and representative propositions from the book are these:

1 The world is all that is the case.
4.01 A proposition is a picture of reality.
4.0312 …My fundamental idea is that the ‘logical constants’ are not representatives; that there can be no representatives of the logic of facts.
4.121 …Propositions show the logical form of reality. They display it.
4.1212 What can be shown, cannot be said.
4.5 …The general form of a proposition is: This is how things stand.
5.43 …all the propositions of logic say the same thing, to wit nothing.
5.4711 To give the essence of a proposition means to give the essence of all description, and thus the essence of the world.
5.6 The limits of my language mean the limits of my world.

Here and elsewhere in the Tractatus Wittgenstein seems to be saying that the essence of the world and of life is: This is how things are. One is tempted to add “–deal with it.” That seems to fit what Cora Diamond has called his “accept and endure” ethics, but he says that the propositions of the Tractatus are meaningless, not profound insights, ethical or otherwise. What are we to make of this?

Many commentators ignore or dismiss what Wittgenstein said about his work and its aims, and instead look for regular philosophical theories in his work. The most famous of these in the Tractatus is the “picture theory” of meaning. According to this theory propositions are meaningful insofar as they picture states of affairs or matters of empirical fact. Anything normative, supernatural or (one might say) metaphysical must, it therefore seems, be nonsense. This has been an influential reading of parts of the Tractatus. Unfortunately, this reading leads to serious problems since by its own lights the Tractatus’ use of words like “object,” “reality” and “world” is illegitimate. These concepts are purely formal or a priori. A statement such as “There are objects in the world” does not picture a state of affairs. Rather it is, as it were, presupposed by the notion of a state of affairs. The “picture theory” therefore denies sense to just the kind of statements of which the Tractatus is composed, to the framework supporting the picture theory itself. In this way the Tractatus pulls the rug out from under its own feet.

If the propositions of the Tractatus are nonsensical then they surely cannot put forward the picture theory of meaning, or any other theory. Nonsense is nonsense. However, this is not to say that the Tractatus itself is without value. Wittgenstein’s aim seems to have been to show up as nonsense the things that philosophers (himself included) are tempted to say. Philosophical theories, he suggests, are attempts to answer questions that are not really questions at all (they are nonsense), or to solve problems that are not really problems. He says in proposition 4.003 that:

Most of the propositions and questions of philosophers arise from our failure to understand the logic of our language. (They belong to the same class as the question whether the good is more or less identical than the beautiful.) And it is not surprising that the deepest problems are in fact not problems at all.

Philosophers, then, have the task of presenting the logic of our language clearly. This will not solve important problems but it will show that some things that we take to be important problems are really not problems at all. The gain is not wisdom but an absence of confusion. This is not a rejection of philosophy or logic. Wittgenstein took philosophical puzzlement very seriously indeed, but he thought that it needed dissolving by analysis rather than solving by the production of theories. The Tractatus presents itself as a key for untying a series of knots both profound and highly technical.

3. Ethics and Religion

Wittgenstein had a lifelong interest in religion and claimed to see every problem from a religious point of view, but never committed himself to any formal religion. His various remarks on ethics also suggest a particular point of view, and Wittgenstein often spoke of ethics and religion together. This point of view or attitude can be seen in the four main themes that run through Wittgenstein’s writings on ethics and religion: goodness, value or meaning are not to be found in the world; living the right way involves acceptance of or agreement with the world, or life, or God’s will, or fate; one who lives this way will see the world as a miracle; there is no answer to the problem of life–the solution is the disappearance of the problem.

Certainly Wittgenstein worried about being morally good or even perfect, and he had great respect for sincere religious conviction, but he also said, in his 1929 lecture on ethics, that “the tendency of all men who ever tried to write or talk Ethics or Religion was to run against the boundaries of language,” i.e. to talk or write nonsense. This gives support to the view that Wittgenstein believed in mystical truths that somehow cannot be expressed meaningfully but that are of the utmost importance. It is hard to conceive, though, what these ‘truths’ might be.

An alternative view is that Wittgenstein believed that there is really nothing to say about ethics. This would explain why he wrote less and less about ethics as his life wore on. His “accept and endure” attitude and belief in going “the bloody hard way” are evident in all his work, especially after the Tractatus. Wittgenstein wants his reader not to think (too much) but to look at the “language games” (any practices that involve language) that give rise to philosophical (personal, existential, spiritual) problems. His approach to such problems is painstaking, thorough, open-eyed and receptive. His ethical attitude is an integral part of his method and shows itself as such.

But there is little to say about such an attitude short of recommending it. In Culture and Value p.29e Wittgenstein writes:

Rules of life are dressed up in pictures. And these pictures can only serve to describe what we are to do, not justify it. Because they could provide a justification only if they held good in other respects as well. I can say: “Thank these bees for their honey as though they were kind people who have prepared it for you”; that is intelligible and describes how I should like you to conduct yourself. But I cannot say: “Thank them because, look, how kind they are!”–since the next moment they may sting you.

In a world of contingency one cannot prove that a particular attitude is the correct one to take. If this suggests relativism, it should be remembered that it too is just one more attitude or point of view, and one without the rich tradition and accumulated wisdom, philosophical reasoning and personal experience of, say, orthodox Christianity or Judaism. Indeed crude relativism, the universal judgement that one cannot make universal judgements, is self- contradictory. Whether Wittgenstein’s views suggest a more sophisticated form of relativism is another matter, but the spirit of relativism seems far from Wittgenstein’s conservatism and absolute intolerance of his own moral shortcomings. Compare the tolerance that motivates relativism with Wittgenstein’s assertion to Russell that he would prefer “by far” an organization dedicated to war and slavery to one dedicated to peace and freedom. (This assertion, however, should not be taken literally: Wittgenstein was no war-monger and even recommended letting oneself be massacred rather than taking part in hand-to-hand combat. It was apparently the complacency, and perhaps the self-righteousness, of Russell’s liberal cause that Wittgenstein objected to.)

With regard to religion, Wittgenstein is often considered a kind of Anti-Realist (see below for more on this). He opposed interpretations of religion that emphasize doctrine or philosophical arguments intended to prove God’s existence, but was greatly drawn to religious rituals and symbols, and considered becoming a priest. He likened the ritual of religion to a great gesture, as when one kisses a photograph. This is not based on the false belief that the person in the photograph will feel the kiss or return it, nor is it based on any other belief. Neither is the kiss just a substitute for a particular phrase, like “I love you.” Like the kiss, religious activity does express an attitude, but it is not just the expression of an attitude in the sense that several other forms of expression might do just as well. There might be no substitute that would do. The same might be said of the whole language-game (or games) of religion, but this is a controversial point. If religious utterances, such as “God exists,” are treated as gestures of a certain kind then this seems not to be treating them as literal statements. Many religious believers, including Wittgensteinian ones, would object strongly to this. There is room, though, for a good deal of sophisticated disagreement about what it means to take a statement literally. For instance, Charles Taylor’s view, roughly, is that the real is whatever will not go away. If we cannot reduce talk about God to anything else, or replace it, or prove it false, then perhaps God is as real as anything else.

4. Conception of Philosophy

Wittgenstein’s view of what philosophy is, or should be, changed little over his life. In the Tractatus he says at 4.111 that “philosophy is not one of the natural sciences,” and at 4.112 “Philosophy aims at the logical clarification of thoughts.” Philosophy is not descriptive but elucidatory. Its aim is to clear up muddle and confusion. It follows that philosophers should not concern themselves so much with what is actual, keeping up with the latest popularizations of science, say, which Wittgenstein despised. The philosopher’s proper concern is with what is possible, or rather with what is conceivable. This depends on our concepts and the ways they fit together as seen in language. What is conceivable and what is not, what makes sense and what does not, depends on the rules of language, of grammar.

In Philosophical Investigations Sect. 90 Wittgenstein says:

Our investigation is a grammatical one. Such an investigation sheds light on our problem by clearing misunderstandings away. Misunderstandings concerning the use of words, caused, among other things, by certain analogies between the forms of expression in different regions of language.

The similarities between the sentences “I’ll keep it in mind” and “I’ll keep it in this box,” for instance, (along with many others) can lead one to think of the mind as a thing something like a box with contents of its own. The nature of this box and its mental contents can then seem very mysterious. Wittgenstein suggests that one way, at least, to deal with such mysteries is to recall the different things one says about minds, memories, thoughts and so on, in a variety of contexts.

What one says, or what people in general say, can change. Ways of life and uses of language change, so meanings change, but not utterly and instantaneously. Things shift and evolve, but rarely if ever so drastically that we lose all grip on meaning. So there is no timeless essence of at least some and perhaps all concepts, but we still understand one another well enough most of the time.

When nonsense is spoken or written, or when something just seems fishy, we can sniff it out. The road out of confusion can be a long and difficult one, hence the need for constant attention to detail and particular examples rather than generalizations, which tend to be vague and therefore potentially misleading. The slower the route, the surer the safety at the end of it. That is why Wittgenstein said that in philosophy the winner is the one who finishes last. But we cannot escape language or the confusions to which it gives rise, except by dying. In the meantime, Wittgenstein offers four main methods to avoid philosophical confusion, as described by Norman Malcolm: describing circumstances in which a seemingly problematic expression might actually be used in everyday life, comparing our use of words with imaginary language games, imagining fictitious natural history, and explaining psychologically the temptation to use a certain expression inappropriately.

The complex, intertwined relationship between a language and the form of life that goes with it means that problems arising from language cannot just be set aside–they infect our lives, making us live in confusion. We might find our way back to the right path, but there is no guarantee that we will never again stray. In this sense there can be no progress in philosophy.

In 1931 Wittgenstein described his task thus:

Language sets everyone the same traps; it is an immense network of easily accessible wrong turnings. And so we watch one man after another walking down the same paths and we know in advance where he will branch off, where walk straight on without noticing the side turning, etc. etc. What I have to do then is erect signposts at all the junctions where there are wrong turnings so as to help people past the danger points.

But such signposts are all that philosophy can offer and there is no certainty that they will be noticed or followed correctly. And we should remember that a signpost belongs in the context of a particular problem area. It might be no help at all elsewhere, and should not be treated as dogma. So philosophy offers no truths, no theories, nothing exciting, but mainly reminders of what we all know. This is not a glamorous role, but it is difficult and important. It requires an almost infinite capacity for taking pains (which is one definition of genius) and could have enormous implications for anyone who is drawn to philosophical contemplation or who is misled by bad philosophical theories. This applies not only to professional philosophers but to any people who stray into philosophical confusion, perhaps not even realizing that their problems are philosophical and not, say, scientific.

5. Meaning

Sect. 43 of Wittgenstein’s Philosophical Investigations says that: “For a large class of cases–though not for all–in which we employ the word “meaning” it can be defined thus: the meaning of a word is its use in the language.”

It is quite clear that here Wittgenstein is not offering the general theory that “meaning is use,” as he is sometimes interpreted as doing. The main rival views that Wittgenstein warns against are that the meaning of a word is some object that it names–in which case the meaning of a word could be destroyed, stolen or locked away, which is nonsense–and that the meaning of a word is some psychological feeling–in which case each user of a word could mean something different by it, having a different feeling, and communication would be difficult if not impossible.

Knowing the meaning of a word can involve knowing many things: to what objects the word refers (if any), whether it is slang or not, what part of speech it is, whether it carries overtones, and if so what kind they are, and so on. To know all this, or to know enough to get by, is to know the use. And generally knowing the use means knowing the meaning. Philosophical questions about consciousness, for example, then, should be responded to by looking at the various uses we make of the word “consciousness.” Scientific investigations into the brain are not directly relevant to this inquiry (although they might be indirectly relevant if scientific discoveries led us to change our use of such words). The meaning of any word is a matter of what we do with our language, not something hidden inside anyone’s mind or brain. This is not an attack on neuroscience. It is merely distinguishing philosophy (which is properly concerned with linguistic or conceptual analysis) from science (which is concerned with discovering facts).

One exception to the meaning-is-use rule of thumb is given in Philosophical Investigations Sect.561, where Wittgenstein says that “the word “is” is used with two different meanings (as the copula and as the sign of equality)” but that its meaning is not its use. That is to say, “is” has not one complex use (including both “Water is clear” and “Water is H2O”) and therefore one complex meaning, but two quite distinct uses and meanings. It is an accident that the same word has these two uses. It is not an accident that we use the word “car” to refer to both Fords and Hondas. But what is accidental and what is essential to a concept depends on us, on how we use it.

This is not completely arbitrary, however. Depending on one’s environment, one’s physical needs and desires, one’s emotions, one’s sensory capacities, and so on, different concepts will be more natural or useful to one. This is why “forms of life” are so important to Wittgenstein. What matters to you depends on how you live (and vice versa), and this shapes your experience. So if a lion could speak, Wittgenstein says, we would not be able to understand it. We might realize that “roar” meant zebra, or that “roar, roar” meant lame zebra, but we would not understand lion ethics, politics, aesthetic taste, religion, humor and such like, if lions have these things. We could not honestly say “I know what you mean” to a lion. Understanding another involves empathy, which requires the kind of similarity that we just do not have with lions, and that many people do not have with other human beings.

When a person says something what he or she means depends not only on what is said but also on the context in which it is said. Importance, point, meaning are given by the surroundings. Words, gestures, expressions come alive, as it were, only within a language game, a culture, a form of life. If a picture, say, means something then it means so to somebody. Its meaning is not an objective property of the picture in the way that its size and shape are. The same goes of any mental picture. Hence Wittgenstein’s remark that “If God had looked into our minds he would not have been able to see there whom we were speaking of.” Any internal image would need interpretation. If I interpret my thought as one of Hitler and God sees it as Charlie Chaplin, who is right? Which of the two famous contemporaries of Wittgenstein’s I mean shows itself in the way I behave, the things I do and say. It is in this that the use, the meaning, of my thought or mental picture lies. “The arrow points only in the application that a living being makes of it.”

6. Rules and Private Language

Without sharing certain attitudes towards the things around us, without sharing a sense of relevance and responding in similar ways, communication would be impossible. It is important, for instance, that nearly all of us agree nearly all the time on what colors things are. Such agreement is part of our concept of color, Wittgenstein suggests. Regularity of the use of such concepts and agreement in their application is part of language, not a logically necessary precondition of it. We cannot separate the life in which there is such agreement from our concept of color. Imagine a different form or way of life and you imagine a different language with different concepts, different rules and a different logic.

This raises the question of the relation between language and forms or ways of life. For instance, could just one person have a language of his or her own? To imagine an individual solitary from birth is scarcely to imagine a form of life at all, but more like just imagining a life- form. Moreover, language involves rules establishing certain linguistic practices. Rules of grammar express the fact that it is our practice to say this (e.g. “half past twelve”) and not that (e.g. “half to one”). Agreement is essential to such practices. Could a solitary individual, then, engage in any practice, including linguistic ones? With whom could he or she agree? This is a controversial issue in the interpretation of Wittgenstein. Gordon Baker and P.M.S. Hacker hold that such a solitary man could speak his own language, follow his own rules, and so on, agreeing, over time, with himself in his judgements and behavior. Orthodoxy is against this interpretation, however.

Norman Malcolm has written that “If you conceive of an individual who has been in solitude his whole life long, then you have cut away the background of instruction, correction, acceptance–in short, the circumstances in which a rule is given, enforced, and followed.” Mere regularity of behavior does not constitute following rules, whether they be rules of grammar or any other kind. A car that never starts in cold weather does not follow the rule “Don’t start when it’s cold,” nor does a songbird follow a rule in singing the same song every day. Whether a solitary-from-birth individual would ever do anything that we would properly call following a rule is at least highly doubtful. How could he or she give himself or herself a rule to follow without language? And how could he or she get a language? Inventing one would involve inventing meaning, as Rush Rhees has argued, and this sounds incoherent. (The most famous debate about this was between Rhees and A.J. Ayer. Unfortunately for Wittgenstein, Ayer is generally considered to have won.) Alternatively, perhaps the Crusoe-like figure just does behave, sound, etc. just like a native speaker of, say, English. But this is to imagine either a freakish automaton, not a human being, or else a miracle. In the case of a miracle, Wittgenstein says, it is significant that we imagine not just the pseudo- Crusoe but also God. In the case of the automatic speaker, we might adopt what Daniel Dennett calls an “intentional stance” towards him, calling what he does “speaking English,” but he is obviously not doing what the rest of us English-speakers–who learned the language, rather than being born speaking it, and who influence and are influenced by others in our use of the language–do.

The debate about solitary individuals is sometimes referred to as the debate about “private language.” Wittgenstein uses this expression in another context, however, to name a language that refers to private sensations. Such a private language by definition cannot be understood by anyone other than its user (who alone knows the sensations to which it refers). Wittgenstein invites us to imagine a man who decides to write ‘S’ in his diary whenever he has a certain sensation. This sensation has no natural expression, and ‘S’ cannot be defined in words. The only judge of whether ‘S’ is used correctly is the inventor of ‘S’. The only criterion of correctness is whether a sensation feels the same to him or her. There are no criteria for its being the same other than its seeming the same. So he writes ‘S’ when he feels like it. He might as well be doodling. The so-called ‘private language’ is no language at all. The point of this is not to show that a private language is impossible but to show that certain things one might want to say about language are ultimately incoherent. If we really try to picture a world of private objects (sensations) and inner acts of meaning and so on, we see that what we picture is either regular public language or incomprehensible behavior (the man might as well quack as say or write ‘S’).

This does not, as has been alleged, make Wittgenstein a behaviorist. He does not deny the existence of sensations or experiences. Pains, tickles, itches, etc. are all part of human life, of course. At Philosophical Investigations Sect. 293 Wittgenstein says that “if we construe the grammar of the expression of sensation on the model of ‘object and designation’ the object drops out of consideration as irrelevant.” This suggests not that pains and so on are irrelevant but that we should not construe the grammar of the expression of sensation on the model of ‘object and designation’. If we want to understand a concept like pain we should not think of a pain as a private object referred to somehow by the public word “pain.” A pain is not “a something,” just as love, democracy and strength are not things, but it is no more “a nothing” than they are either (see Philosophical Investigations Sect. 304). Saying this is hardly satisfactory, but there is no simple answer to the question “What is pain?” Wittgenstein offers not an answer but a kind of philosophical ‘therapy’ intended to clear away what can seem so obscure. To judge the value of this therapy, the reader will just have to read Wittgenstein’s work for herself.

The best known work on Wittgenstein’s writings on this whole topic is Saul A. Kripke’s Wittgenstein on Rules and Private Language. Kripke is struck by the idea that anything might count as continuing a series or following a rule in the same way. It all depends on how the rule or series is interpreted. And any rule for interpretation will itself be subject to a variety of interpretations, and so on. What counts as following a rule correctly, then, is not determined somehow by the rule itself but by what the relevant linguistic community accepts as following the rule. So whether two plus two equals four depends not on some abstract, extra-human rule of addition, but on what we, and especially the people we appoint as experts, accept. Truth conditions are replaced by assertability conditions. To put it crudely, what counts is not what is true or right (in some sense independent of the community of language users), but what you can get away with or get others to accept.

Kripke’s theory is clear and ingenious, and owes a lot to Wittgenstein, but is doubtful as an interpretation of Wittgenstein. Kripke himself presents the argument not as Wittgenstein’s, nor as his own, but as “Wittgenstein’s argument as it struck Kripke” (Kripke p.5). That the argument is not Wittgenstein’s is suggested by the fact that it is a theory, and Wittgenstein rejected philosophical theories, and by the fact that the argument relies heavily on the first sentence of Philosophical Investigations Sect. 201: “This was our paradox: no course of action could be determined by a rule, because every course of action can be made out to accord with the rule.” For Kripke’s theory as a reading of Wittgenstein, it is not good that the very next paragraph begins, “It can be seen that there is a misunderstanding here…” Still, it is no easy matter to see just where Wittgenstein does diverge from the hybrid person often referred to as ‘Kripkenstein’. The key perhaps lies later in the same paragraph, where Wittgenstein writes that “there is a way of grasping a rule which is not an interpretation“. Many scholars, notably Baker and Hacker, have gone to great lengths to explain why Kripke is mistaken. Since Kripke is so much easier to understand, one of the best ways into Wittgenstein’s philosophy is to study Kripke and his Wittgensteinian critics. At the very least, Kripke introduces his readers well to issues that were of great concern to Wittgenstein and shows their importance.

7. Realism and Anti-Realism

Wittgenstein’s place in the debate about philosophical Realism and Anti-Realism is an interesting one. His emphasis on language and human behavior, practices, etc. makes him a prime candidate for Anti-Realism in many people’s eyes. He has even been accused of linguistic idealism, the idea that language is the ultimate reality. The laws of physics, say, would by this theory just be laws of language, the rules of the language game of physics. Anti-Realist scepticism of this kind has proved quite popular in the philosophy of science and in theology, as well as more generally in metaphysics and ethics.

On the other hand, there is a school of Wittgensteinian Realism, which is less well known. Wittgenstein’s views on religion, for instance, are often compared with those of Simone Weil, who was a Platonist of sorts. Sabina Lovibond argues for a kind of Wittgensteinian Realism in ethics in her Realism and Imagination in Ethics and the influence of Wittgenstein is clear in Raimond Gaita’s Good and Evil: An Absolute Conception. However, one should not go too far with the idea of Wittgensteinian Realism. Lovibond, for instance, equates objectivity with intersubjectivity (universal agreement), so her Realism is of a controversial kind.

Both Realism and Anti-Realism, though, are theories, or schools of theories, and Wittgenstein explicitly rejects the advocacy of theories in philosophy. This does not prove that he practiced what he preached, but it should give us pause. It is also worth noting that supporters of Wittgenstein often claim that he was neither a Realist nor an Anti-Realist, at least with regard to metaphysics. There is something straightforwardly unWittgensteinian about the Realist’s belief that language/thought can be compared with reality and found to ‘agree’ with it. The Anti-Realist says that we could not get outside our thought or language (or form of life or language games) to compare the two. But Wittgenstein was concerned not with what we can or cannot do, but with what makes sense. If metaphysical Realism is incoherent then so is its opposite. The nonsensical utterance “laubgefraub” is not to be contradicted by saying, “No, it is not the case that laubgefraub,” or “Laubgefraub is a logical impossibility.” If Realism is truly incoherent, as Wittgenstein would say, then so is Anti-Realism.

8. Certainty

Wittgenstein’s last writings were on the subject of certainty. He wrote in response to G.E. Moore’s attack on scepticism about the external world. Moore had held up one hand, said “Here is one hand,” then held up his other hand and said “and here is another.” His point was that things outside the mind really do exist, we know they do, and that no grounds for scepticism could be strong enough to undermine this commonsense knowledge.

Wittgenstein did not defend scepticism, but questioned Moore’s claim to know that he had two hands. Such ‘knowledge’ is not something that one is ever taught, or finds out, or proves. It is more like a background against which we come to know other things. Wittgenstein compares this background to the bed of a river. This river bed provides the support, the context, in which claims to know various things have meaning. The bed itself is not something we can know or doubt. In normal circumstances no sane person doubts how many hands he or she has. But unusual circumstances can occur and what was part of the river bed can shift and become part of the river. I might, for instance, wake up dazed after a terrible accident and wonder whether my hands, which I cannot feel, are still there or not. This is quite different, though, from Descartes’s pretended doubt as to whether he has a body at all. Such radical doubt is really not doubt at all, from Wittgenstein’s point of view. And so it cannot be dispelled by a proof that the body exists, as Moore tried to do.

9. Continuity

Wittgenstein is generally considered to have changed his thinking considerably over his philosophical career. His early work culminated in the Tractatus Logico-Philosophicus with its picture theory of language and mysticism, according to this view. Then there came a transitional middle period when he first returned to philosophical work after realizing that he had not solved all the problems of philosophy. This period led to his mature, later period which gave us the Philosophical Investigations and On Certainty.

There certainly are marked changes in Wittgenstein’s work, but the differences between his early and late work can be exaggerated. Two central discontinuities in his work are these: whereas the Tractatus is concerned with the general form of the proposition, the general nature of metaphysics, and so on, in his later work Wittgenstein is very critical of “the craving for generality”; and, in the Tractatus Wittgenstein speaks of the central problems of philosophy, whereas the later work treats no problems as central. Another obvious difference is in Wittgenstein’s style. The Tractatus is a carefully constructed set of short propositions. The Investigations, though also consisting of numbered sections, is longer, less clearly organized and more rambling, at least in appearance. This reflects Wittgenstein’s rejection of the idea that there are just a few central problems in philosophy, and his insistence on paying attention to particular cases, going over the rough ground.

On the other hand, the Tractatus itself says that its propositions are nonsense and thus, in a sense (not easy to understand), rejects itself. The fact that the later work also criticizes the Tractatus is not, therefore, proof of discontinuity in Wittgenstein’s work. The main change may have been one of method and style. Problems are investigated one at a time, although many overlap. There is not a full-frontal assault on the problem or problems of philosophy. Otherwise, the Tractatus and the Philosophical Investigations attack much the same problems; they just do so in different ways.

10. Wittgenstein in History

Wittgenstein’s place in the history of philosophy is a peculiar one. His philosophical education was unconventional (going from engineering to working first-hand with one of the greatest philosophers of his day in Bertrand Russell) and he seems never to have felt the need to go back and make a thorough study of the history of philosophy. He was interested in Plato, admired Leibniz, but was most influenced by the work of Schopenhauer, Russell and Frege.

From Schopenhauer (perhaps) Wittgenstein got his interest in solipsism and in the ethical nature of the relation between the will and the world. Schopenhauer’s saying that “The world is my idea,” (from The World as Will and Idea) is echoed in such remarks as “The world is my world” (from Tractatus 5.62). What Wittgenstein means here, where he also says that what the solipsist means is quite correct, but that it cannot be said, is obscure and controversial. Some have taken him to mean that solipsism is true but for some reason cannot be expressed. H.O. Mounce, in his valuable Wittgenstein’s Tractatus: An Introduction, says that this interpretation is surely wrong. Mounce’s view is that Wittgenstein holds solipsism itself to be a confusion, but one that sometimes arises when one tries to express the fact that “I have a point of view on the world which is without neighbours.” (Mounce p.91) Wittgenstein was not a solipsist but he remained interested in solipsism and related problems of scepticism throughout his life.

Frege was a mathematician as well as a logician. He was interested in questions of truth and falsehood, sense and reference (a distinction he made famous) and in the relation between objects and concepts, propositions and thoughts. But his interest was in logic and mathematics exclusively, not in psychology or ethics. His great contribution to logic was to introduce various mathematical elements into formal logic, including quantification, functions, arguments (in the mathematical sense of something substituted for a variable in a function) and the value of a function. In logic this value, according to Frege, is always either the True or the False, hence the notion of truth-value. Both Frege and Russell wanted to show that mathematics is an extension of logic. Undoubtedly both men influenced Wittgenstein enormously, especially since he worked first-hand with Russell. Some measure of their importance to him can be seen in the preface to the Tractatus, where Wittgenstein says that he is “indebted to Frege’s great works and to the writings of my friend Mr Bertrand Russell for much of the stimulation of my thoughts.” For some insight into whether Frege or Russell had the greater influence one can consider whether one would rather be recognized for his or her great works or for simply being a friend.

In turn Wittgenstein influenced twentieth century philosophy enormously. The Vienna Circle logical positivists were greatly impressed by what they found in the Tractatus, especially the idea that logic and mathematics are analytic, the verifiability principle and the idea that philosophy is an activity aimed at clarification, not the discovery of facts. Wittgenstein, though, said that it was what is not in the Tractatus that matters most.

The other group of philosophers most obviously indebted to Wittgenstein is the ordinary language or Oxford school of thought. These thinkers were more interested in Wittgenstein’s later work and its attention to grammar.

Wittgenstein is thus a doubly key figure in the development and history of analytic philosophy, but he has become rather unfashionable because of his anti-theoretical, anti-scientism stance, because of the difficulty of his work, and perhaps also because he has been little understood. Similarities between Wittgenstein’s work and that of Derrida are now generating interest among continental philosophers, and Wittgenstein may yet prove to be a driving force behind the emerging post-analytic school of philosophy.

11. References and Further Reading

A full bibliographical guide to works by and on Wittgenstein would fill a whole book, namely Wittgenstein: A Bibliographical Guide by Guido Frongia and Brian McGuinness (Basil Blackwell, Oxford 1990). Obviously this is already out of date. Instead of a complete guide, therefore, what follows is a list of some of Wittgenstein’s main works, some of the best secondary material on his work, and a few other works chosen for their accessibility and entertainment value, for want of a better expression.

a. Wittgenstein’s Main Works

  • Tractatus Logico-Philosophicus, translated by D.F. Pears and B.F. McGuinness (Routledge and Kegan Paul, London 1961).
    • His early classic.
  • The Blue and Brown Books, (Basil Blackwell, Oxford 1969).
    • From his middle period, these are preliminary studies for his later work.
  • Philosophical Investigations, translated by G.E.M. Anscombe (Basil Blackwell, Oxford 1963).
    • His late classic.
  • On Certainty, edited by G.E.M. Anscombe and G.H. von Wright, translated by Denis Paul and G.E.M. Anscombe (Basil Blackwell, Oxford 1979).
    • Like many of Wittgenstein’s works, this was compiled after his death from notes he had made. In this case the notes come from the last year and a half of his life.Works of more general interest by Wittgenstein include these:
  • Culture and Value, translated by Peter Winch (Basil Blackwell, Oxford 1980).
    • These are notes from throughout Wittgenstein’s life dealing with all kinds of topics hinted at by its title, including music, literature, philosophy, religion and the value of silliness.
  • Lectures and Conversations on Aesthetics, Psychology and Religious Belief, edited by Cyril Barrett (Basil Blackwell, Oxford 1966).
    • For ‘psychology’ read ‘Freud’, otherwise the title is explanation enough. Hilary Putnam has recommended the section on religion as a valuable introduction to Wittgenstein’s philosophy as a whole.

b. Some Biographies of Wittgenstein

  • Ray Monk Ludwig Wittgenstein: The Duty of Genius (Jonathan Cape, London 1990).
    • Full of enlightening detail.
  • Norman Malcolm Ludwig Wittgenstein: A Memoir (Oxford University Press, Oxford and New York 1984).
    • Shorter and includes material from G.H. von Wright as well. Two of the best books on the Tractatus are:
  • G.E.M. Anscombe An Introduction to Wittgenstein’s Tractatus (University of Pennsylvania Press, Philadelphia 1971).
    • Emphasizes the importance of Frege and is notoriously difficult
  • H.O. Mounce Wittgenstein’s Tractatus: An Introduction (Basil Blackwell, Oxford 1981).
    • Lighter but more reader-friendly.

c. Secondary Works

A good rule of thumb for picking secondary material on Wittgenstein is to trust Wittgenstein’s own judgement. He chose G.E.M. Anscombe, Rush Rhees and G.H. von Wright to understand and deal with his unpublished writings after his death. Anything by one of these people should be fairly reliable. More contentiously, I would say that the best people writing on Wittgenstein today are James Conant and Cora Diamond. Other books referred to in the text above or of special note are these:

  • O.K. Bouwsma Wittgenstein: Conversations 1949-1951, edited by J.L. Craft and Ronald E. Hustwit (Hackett, Indianapolis 1986).
    • A seemingly little read slim volume that includes records of Wittgenstein’s comments on such diverse and interesting topics as Descartes, utilitarianism and the word ‘cheeseburger’.
  • Stanley Cavell The Claim of Reason: Wittgenstein, Skepticism, Morality, and Tragedy (Oxford University Press, Oxford and New York 1979).
    • A long, rich, challenging classic.
  • Cora Diamond The Realistic Spirit: Wittgenstein, Philosophy, and the Mind (MIT, Cambridge, Massachusetts 1991).
    • A collection of essays of varying degrees of accessibility on Frege, Wittgenstein and ethics, united by their Wittgensteinian spirit.
  • M.O’C. Drury The Danger of Words (Thoemmes Press, Bristol, U.K. and Washington, D.C. 1996).
    • A classic, including discussions of issues in psychiatry and religion by a friend of Wittgenstein’s.
  • Paul Engelmann Letters from Wittgenstein with a memoir (Basil Blackwell, Oxford 1967).
    • Includes discussions by Wittgenstein and his friend Engelmann on the Tractatus, religion, literature and culture.
  • Saul A. Kripke Wittgenstein on Rules and Private Language (Harvard University Press, Cambridge, Massachusetts 1982).
    • See the section on rules and private language above.
  • Norman Malcolm Wittgenstein: Nothing is Hidden (Basil Blackwell, Oxford 1986).
    • One of the best accounts of Wittgenstein’s philosophy from the disreputable point of view that the Tractatus advanced theses which are then attacked in the later work.
  • Norman Malcolm Wittgenstein: A Religious Point of View?, edited with a response by Peter Winch (Cornell University Press, Ithaca, New York 1994).
    • Malcolm basically summarizes Wittgenstein’s philosophy, as he understands it, with a special emphasis on religion. Winch then responds, correcting Malcolm’s account where necessary. The result is a highly accessible composite overview of Wittgenstein’s work from the religious point of view, which is how Wittgenstein himself said that he saw every problem.

Author Information

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

Xunzi (Hsün Tzu, c. 310—c. 220 B.C.E.)

xunziXunzi, along with Confucius and Mencius, was one of the three great early architects of Confucian philosophy. In many ways, he offers a more complete and sophisticated defense of Confucianism than Mencius. Xunzi lived toward the end of the Warring States period (453-221 BCE), generally regarded as the formative era for most later Chinese philosophy. It was a time of great variety of thought, comparable to classical Greece, so Xunzi was acquainted with many competing ideas. In reaction to some of the other thinkers of the time, he articulated a systematic version of Confucianism that encompasses ethics, metaphysics, political theory, philosophy of language, and a highly developed philosophy of education. Xunzi is known for his belief that ritual is crucial for reforming humanity’s original nature. Human nature lacks an innate moral compass, and left to itself falls into contention and disorder, which is why Xunzi characterizes human nature as bad. Ritual is thus an integral part of a stable society. He focused on humanity’s part in creating the roles and practices of an orderly society, and gave a much smaller role to Heaven or Nature as a source of order or morality than most other thinkers of the time. Although his thought was later considered to be outside of Confucian orthodoxy, it was still very influential in China and remains a source of interest today. (See Romanization systems for Chinese terms.)

Table of Contents

  1. Life and Work
  2. The Way and Heaven
  3. Human Nature, Education, and the Ethical Ideal
    1. Human Nature
    2. Education
    3. The Ethical Ideal
    4. Discovering the Way
    5. The Heart
  4. Logic and Language
  5. Social and Political Thought
    1. Government structure
    2. Ritual and Music
    3. Moral Power
  6. References and Further Reading

1. Life and Work

Xunzi (“Master Xun”) is the common appellation for the philosopher whose full name was Xun Kuang. He is also known as Xun Qing, “Minister Xun,” after an office he held. He was born in the state of Zhao in north-central China around 310 BCE. As a young man he studied in the state of Qi in the northeast, which had the greatest concentration of philosophers of the age. Xunzi’s writings show him to be well acquainted with all the doctrines current at the time, which he probably came in contact with during this period of his life. Leaving Qi, he traveled to many of the other states that made up China at the time, and was briefly employed by some of them. His last post ended when his patron was assassinated in 238 BCE, ending his chances to put his theories of government into practice. Xunzi may have lived to see China unified by the authoritarian state of Qin in 221 BCE. If so, he certainly must have been disappointed that two of his former students, Li Si and Han Feizi, helped counsel Qin to victory when the Qin government was steadfastly opposed to Xunzi’s ideas of government through moral power. The Qin dynasty was long remembered as a time of strict laws and draconian punishments, and Xunzi’s association with two of its architects probably was one factor in the later marginalization of his thought.

Like most philosophical works of the time, the Xunzi that we have today is a later compilation of writings associated with him, not all of which were necessarily written by Xunzi himself. The current version of the Xunzi is divided into thirty-two books, about twenty-five of which are considered mostly or wholly authentic and others of which are considered representative of his thought, if not his actual writings. This is probably the largest collection of early Chinese philosophical writings that can be plausibly attributed to one author. The Xunzi is also notable for its style. Comparatively little of it is written in the dialogue format of works like the Mencius, and there are none of the fanciful parables of the Zhuangzi. Most books normally attributed to Xunzi are sustained essays on one topic that appear to have be written as more or less unified pieces, though there are often sections of verse and two books that are merely compilations of poetry. In these writings, Xunzi carefully defines his own position and raises objections to rival thinkers in a way that renders his work more recognizable as philosophy than that of many other early Chinese thinkers.

2. The Way and Heaven

The most important concept in Xunzi’s philosophy is the Way (dao). This is one of the most common terms of Chinese philosophy, though all thinkers define it somewhat differently. Though the term originally referred to a road or path, it became extended to a way of doing things, a way of acting, or as it was used in philosophy, the right way to live. In Xunzi’s case, he means the human way, the way of good government and the proper way of behaving, not the Way of Heaven or Nature as Laozi and Zhuangzi define it, and as Mencius often suggests. In fact, Xunzi is notable for having probably the most rationalistic view of Heaven and the supernatural in the early period. Xunzi claims that the Way was first pointed out by particularly wise and gifted people he calls sages (a common term for an exemplar in early Chinese thought), and following the Way as it has been handed down from the past will result in a stable, prosperous, peaceful society, while going against it will have the opposite results. While certain aspects of the Way, such as particular rituals, are certainly created by humanity, whether the Way as a whole is created or discovered remains a matter of scholarly debate.

Unlike many other early philosophers, Xunzi does not believe Heaven gets involved in human affairs. Heaven was sometimes considered to be an anthropomorphic god, sometimes an impersonal force that automatically rewarded the good and punished the bad, but in Xunzi’s view Heaven is much like Nature: it acts as it always does, neither helping the good or harming the bad. The Way is not the Way because Heaven approves of it, it is the Way because it is good for people. In the chapter “Discourse on Heaven” (chapter 17, also translated as “Discourse on Nature”), Xunzi devotes himself to refuting these other views of Heaven, most prominently that of the Mohists. Heaven does not reward good kings with peace and prosperity, nor punish tyrants by having them deposed. These results come about through their own good or bad decisions. Having a good harvest and sufficient food is not a sign of Heaven’s favor, it is the result of wise agricultural policy. Similarly, events like eclipses and floods are not signs of Heaven’s displeasure: they are simply things that sometimes happen. One might wonder at them as unusual occurrences, but it is not right to be afraid of them or consider them ominous. Worrying about Heaven’s favor is a waste of time; it is better to be prepared for whatever might happen. There will be some natural disasters, but if one is prepared they will not cause harm.

Interestingly, though Xunzi has this rational view of Nature, which extends to spirits and gods as well, he never suggests eliminating religious rituals that are directed toward them, such as sacrifices and divination. One must perform them as part of the ritual system that binds society together, but one does not perform expecting any results. In “Discourse on Heaven,” Xunzi wrote, “You pray for rain and it rains. Why? For no particular reason, I say. It is just as though you had not prayed for rain and it rained anyway.” When it rains after you pray for rain, it is just like when it rains when you didn’t pray for it. Yet during a drought, officials must still pray for rain—not because it has any effect on the natural world, but because of its effect on people. What Xunzi believes ritual does will be examined later.

In Xunzi’s view, the best thing to do is understand what Nature does and what humanity does, and concentrate on the latter. Not only is it wrong to believe that Heaven intervenes in human affairs, it is useless to speculate about why Nature is the way it is or to try to help it along. Xunzi is interested in practical knowledge, and speculation about Nature is not useful. In this respect, he could be considered anti-metaphysical, since he has no interest in how the world works or what it is. His concern is what people should do, and anything that might confuse or detract from that is a waste of time. We know that Nature is invariable, and we know the Way to get what we need from Nature to live, and that is all we need to know. This kind of division between knowledge of the human world and knowledge of Heaven may have been partially influenced by Zhuangzi, but while Zhuangzi considers knowing Heaven to be important, Xunzi does not.

3. Human Nature, Education, and the Ethical Ideal

a. Human Nature

As Mencius is known for the slogan “human nature is good,” Xunzi is known for its opposite, “human nature is bad.” Mencius viewed self-cultivation as developing natural tendencies within us. Xunzi believes that our natural tendencies lead to conflict and disorder, and what we need to do is radically reform them, not develop them. Both shared an optimism about human perfectability, but they viewed the process quite differently. Xunzi envisioned that humanity was once in a state of nature reminiscent of Hobbes. Without study of the Way, people’s desires will run rampant, and they will inevitably find themselves in conflict in trying to satisfy their desires. Left to themselves, people will fall into disorder, poverty and conflict, living a life that would be, as Hobbes put it, “poor, nasty, brutish, and short.” It was this insistence that human nature is bad that was most often condemned by later thinkers, who rejected Xunzi’s view in favor of the idea, traced to Mencius, that people are naturally good.

Xunzi offers several arguments against Mencius’s position. He defines human nature as what is inborn and does not need to be learned. He argues that if people were good by nature, there would be no need for ritual and social norms. The sages would not have had to create them, and they would not need to have been handed down through the generations. They were created precisely because people do not act in accordance with them naturally. He also notes that people desire the good, and on the principle that one desires what one doesn’t already have, this shows that people are not good. He gives several illustrations of what life is like in the state of nature, without any education on ritual and morality. Xunzi does not believe that people are evil, that they deliberately violate the rules of morality, taking a perverse pleasure in doing so. They have no natural conception of morality at all: they are morally blind by nature. Their desires bring them into conflict because they don’t know any better, not because they enjoy conflict. In fact, Xunzi believes people do not enjoy it at all, which is why they desire the kind of life that results from good order brought about through the rituals of the sages.

Like Mencius, Xunzi believed human nature is the same in everyone: no one starts off with moral principles. The original nature of Yao (a legendary sage king) and Jie (a legendary tyrant) was the same. The difference was in how they cultivated themselves. Yao reformed his original nature, Jie did not. In this way, Xunzi emphasizes the essential perfectability of everyone. Human nature is bad, but it is not incorrigible, and in fact Xunzi was rather optimistic about the possibility of overcoming the demands of desires that result in the state of nature. Though Confucius suggests that some people are better off by nature than others, Mencius and Xunzi seem to agree that everyone starts out the same, though they differ on the content of that original state. Though Xunzi believes that it is always possible to reform oneself, he recognizes that in reality this will not always happen. In most cases, the individual himself has to make the first step in attempting to reform, and Xunzi is rather pessimistic about people actually doing this. They cannot be forced to do so, and they may in practice be unable to make the choice to improve, but for Xunzi, this does not mean that in principle it is impossible for them to change.

b. Education

Like Confucius and Mencius, Xunzi is much more concerned with what kind of person to be than with rules of moral behavior or duty, and in this respect his view is similar to Western virtue ethics. The goal of Xunzi’s ethics is to become a person who knows and acts according to the Way as if it were second nature. Because human nature is bad, Xunzi emphasizes the importance of study to learn the Way. He compares the process of reforming one’s nature to making a pot out of clay or straightening wood with a press-frame. Without the potter, the clay would never become a pot on its own. Similarly, people will not be able to reform their nature without a teacher showing them what to do. Xunzi’s concern is primarily moral education; he wants people to develop into good people, not people who know a lot of facts. He emphasizes the transformative aspect of education, where it changes one’s basic nature. Xunzi laid out a program of study based on the works of the sages of the past that would teach proper ritual behavior and develop moral principles. He was the first to offer an organized Confucian curriculum, and his curriculum became the blueprint for traditional education in China until the modern period.

Practice was an important aspect of Xunzi’s course of education. A student did not simply study ritual, he performed it. Xunzi recognized that this performative aspect was crucial to the goal of transforming one’s nature. It was only through practice that one could realize the beauty of ritual, ideally coming to appreciate it for itself. Though this was the end of education, Xunzi appealed to more utilitarian motives to start the student on the program of study. As noted above, he discussed how desires would inevitably be frustrated in the state of nature. Organizing society through ritual was the only way people could ever satisfy even some of their desires, and study of ritual was the best way to achieve satisfaction on a personal level. Through study and practice, one could learn to appreciate ritual for its own sake, not just as a means to satisfy desires. Ritual has this power to transform someone’s motives and character. The beginning student of ritual is like a child learning to play the piano. Maybe she doesn’t enjoy playing the piano at first, but her parents take her out for ice cream after each lesson, so she goes along with it because she gets what she wants. After years of study and practice, she might learn to appreciate playing the piano for its own sake, and will practice even without any reward. This is what Xunzi imagines will happen to the dedicated student of ritual: he starts out studying ritual as a means, but it becomes an end in itself as part of the Way.

c. The Ethical Ideal

Xunzi often distinguishes three stages of progress in study: the scholar, the gentlemen, and the sage, though sometimes the sage and the gentleman seem to be equivalent for him. These were all terms in common use in philosophical discourse of the time, especially in Confucian thought, but Xunzi gives them a unique twist. He describes the achievements of each stage slightly differently in several places, but what he seems to mean is that a scholar is someone who has taken the first step of wishing to study the Way of the ancient sages and adopts them as the model for correct conduct; the gentleman has acquired a good deal of learning, but still must think about what the right thing to do is in a situation; and the sage has wholly internalized the principles of ritual and morality so that his action flows spontaneously without the need for thought, yet never goes beyond the bounds of what is proper. Using the piano analogy, the scholar has made up his mind to study the piano and is practicing basic scales. The gentleman is fairly skilled, but still needs to look at the music in front of him to know what to play. The sage is like a concert pianist who not only plays with perfect technique, but also adds his own style and unique interpretation of the music, accomplishing all this without ever consciously thinking about what notes to play. As the pianist is still playing someone else’s music, the sage does not make up new standards of conduct; he still follows the Way, but he makes it his own. Yet even then, at this highest stage, Xunzi believes there is still room for learning. Study is a lifelong process that only ends at death, much as concert pianists must still practice to maintain their skills.

The teacher plays an extremely important role in the course of study. A good teacher does not simply know the rituals, he embodies them and practices them in his own life. Just as one would not learn piano from someone who had just read a book on piano pedagogy but never touched an actual instrument, one should not study from someone who has only learned texts. A teacher is not just a source of information; he is a model for the student to look up to and a source of inspiration of what to become. A teacher who does not live up to the Way of the sages in his own life is no teacher at all. Xunzi believes there is no better method of study than learning from such a teacher. In this way, the student has a model before of him of how to live ritual principles, so his learning does not become simple accumulation of facts. In the event that such a teacher is unavailable, the next best method is to honor ritual principles sincerely, trying to embody them in oneself. Without either of these methods, Xunzi believes learning degenerates into memorizing a jumble of facts with no impact on one’s conduct.

d. Discovering the Way

Given Xunzi’s insistence on the importance of teachers to transmit the Way of the sages of the past and his belief that people are all bad by nature, he must face the question of how the first sages discovered the Way. Xunzi uses the metaphor of a river ford for the true Way: without the people who have gone before to leave markers, those coming after would have no way of knowing where the deep places are, and they would be in danger of drowning. The question is, how did the first people get across safely, when there were no markers? Xunzi does not address the question in precisely this way, but we can piece together an answer from his writings.

Examining the analogies Xunzi uses is instructive here. He talks about cultivating moral principles as a process of crafting, using the metaphors of a potter shaping and firing clay into a pot, or using a press-frame to straighten a bent piece of wood. Just as the skill of making pottery was undoubtedly accumulated through generations of refining, Xunzi appears to think that the Way of the sages was also a product of generations of development. According to Xunzi’s definition of human nature, no one could say people know how to make pots by nature: this is not something we can do without study and practice, like walking and talking are. Nevertheless, some people, through a combination of perseverance, talent, and luck, were able to discover how to make pots, and then taught that skill to others. Similarly, through generations of observing humanity and trying different ways of regulating society, the sages hit upon the correct Way, the best way to order society in Xunzi’s view. David Nivison has suggested that different sages of the past contributed different aspects of the Way: some discovered agriculture, some discovered fire, some discovered the principles of filiality and respect between husband and wife, and so on.

Xunzi views these achievements as products of the sage’s acquired nature, not his original nature. This is another way of saying these are not products of people’s natural tendencies, but the results of study and experimentation. Accumulation of effort is an important concept for Xunzi. The Way of the sages was created through accumulation of learning what worked and benefited society. The sages built on the accomplishments of previous sages, added their own contributions, and now Xunzi believes the process is basically complete: we know the ritual principles that will produce a harmonious society. Trying to govern or become a moral person without studying the sages of the past is essentially trying to re-invent the wheel, or discover how to make pots on one’s own without learning from a potter. It is conceivable (though Xunzi is very skeptical about anyone actually being able to do it), but it is much more difficult and time-consuming, when all one has to do is study what has already been created.

e. The Heart

In addition to having a teacher, a critical requirement for study is having the proper frame of mind, or more precisely, heart, since early Chinese thought considered cognition to be located in the heart. Xunzi’s philosophy of the heart draws from other contemporary views as well as Confucian philosophy. Like Mencius, Xunzi believed that the heart should be the lord of the body, and using the heart to direct desires and decide on right and wrong accords with the Way. However, like Zhuangzi, Xunzi emphasizes that the heart must be tranquil and concentrated to be able to learn. In the view of the heart basically shared by Xunzi and Mencius, desires are not wholly voluntary. Desires are part of human nature, and can be activated without our necessarily being conscious of them. The function of the heart is to regulate the sense faculties and parts of the body, so that though one may have desires, the heart only acts on those desires when it is right to do so. The heart controls itself and directs the other parts of the body. This ability of the heart is what allows humanity to create ritual and moral principles and escape the state of nature.

In the chapter “Dispelling Blindness” Xunzi discusses the right way to develop the heart to avoid falling into error. For study, the heart needs to be trained to be receptive, focused, and calm. These qualities of the heart allow it to know the Way, and knowing the Way, the heart can realize the benefits of the Way and practice it. This receptivity Xunzi calls emptiness, meaning the ability of the heart to continually store new information without becoming full. Focus is called unity, by which Xunzi means the ability to be aware of two aspects of a thing or situation without allowing them to interfere with each other. “Being of two hearts” was a common problem in Chinese philosophical writings: it could mean being confused or perplexed about something, as well as what we would call being two-faced. Xunzi addresses the first aspect with his discussion of unity, a focus that keeps the heart directed and free from perplexity. The final quality the heart needs is stillness, the quality of moving freely from task to task without disorder, remaining unperturbed while processing new information. A heart that has the qualities of emptiness, unity, and stillness can understand the Way. Without these qualities, the heart is liable to fall into various kinds of “blindness” or obsessions that Xunzi attributes to his philosophical rivals. Their hearts focus too much on just one aspect of the Way, so they are unable to see the big picture. They become obsessed with this one part and mistake it for the entirety of the Way. Only with the proper attitudes and control of one’s heart can one perceive and grasp the Way as a whole.

4. Logic and Language

One subject that was certainly not part of Xunzi’s program of study is logic. Other philosophers, particularly the Mohist school, were developing sophisticated views on logic and the principles of argumentation around Xunzi’s time, and other thinkers were known for their paradoxes that played with language to show its limits. Though Xunzi was undoubtedly influenced by the principles of argument developed by the Mohists, he had no patience for the dialectical games and disputation for its own sake that were popular at the time. According to one story, a philosopher, having just convinced a king through his arguments, then took the other side and persuaded the king that his earlier arguments were wrong. Such exercises in argument and rhetoric were a waste of time for Xunzi; the only correct use of argument was to convince someone of the truth. Even the work of trying to distinguish logical categories was not productive in his view. According to Xunzi, such work can accomplish something, but it is still not the province of the gentlemen, much as wondering about the workings of nature are not the gentlemen’s concern, either. The only proper object of study is the Way of the sages; anything else is at best useless and at worst detrimental to the Way.

Despite his professed disinterest in logic, Xunzi came up with the most detailed philosophy of language in early Confucian thought. Again, however, his primary concern was preserving the Way in the face of attacks, which in Xunzi’s view included questions about the nature of language that were arising at the time. He defended a modified conventionalism concerning language: names were not intrinsically appropriate for the objects they referred to, but once usage was determined by convention, to depart from it is wrong. It would be a mistake to think of Xunzi’s view as a kind of nominalism, however, since he is very clear that there is an objective reality that names refer to. The particular phonemes used to make the word “cat” in language are conventionally determined, but the fact that a cat is a kind of feline is real. One of the fundamental principles of Confucianism was that the reality must match the name. Confucian thinkers were most concerned about the names of social roles: a father must act like a father should, a ruler must act like a ruler should. Not fulfilling the demands of one’s role means that one does not deserve the title, hence Mencius defined the removal of a tyrant as the killing of a commoner, not regicide. Xunzi defended this view, yet he objected to the Mohists, who claimed that a robber is not a person, so that killing a robber is not killing a person. This kind of usage violated the principles of correct naming and departed from the Way, though Xunzi is not entirely clear why. In Xunzi’s view, the reality represented by a name is objective, even if the name is merely conventional. Because of the objectivity of referent, he distinguishes appropriate (following convention) and inappropriate (violating convention) uses of names. In addition, he believes there are good and bad names. Good names are simple and direct and readily bring the referent to mind. Using names in a way that the referents are clear is using names correctly. The chief function of language is to communicate, and anything that interferes with communication, such as the word games and paradoxes of other philosophers, should be eliminated.

5. Social and Political Thought

a. Government structure

The Warring States period, during which Xunzi lived, was a time of great social change and instability. As the name implies, it was a period of disunity, when several different states were warring with each other to determine who would gain control of all of China and found a new dynasty. Under the pressure of competition, the old ways and political systems were being abandoned in the search for greater control over human and material resources and increased military power. The central question for most philosophers of the time was how to respond to this time of instability and achieve a greater measure of order and safety. For the Confucian philosophers, the answer was found in a revival of the ways of the past, and for Xunzi in particular, the most important aspect of that was the ritual system. In this sense, the ethical and political aspects of Xunzi’s philosophy are the core areas, and in fact were not sharply distinguished in most Confucian thought. Metaphysics and philosophy of language serve to further the goal of restoring social stability.

All of the Warring States philosophers assumed that the government should be a monarchy. The king was the ultimate authority in all areas of government, having full power to hire and dismiss (and execute) any other government official. There was no idea of democracy in early China. The ruler could lose his state through failing in his duties as a sovereign, but he could not be replaced at the whim of the people. The political thinkers of the time instead tried to impose checks through tradition and thought, rather than law. The Mohists made Heaven the watchdog over the ruler: if a ruler offended Heaven by mistreating the people, Heaven would have him removed through war or revolt. The Confucians also emphasized the duties of the ruler to the people, though in Xunzi’s case there was no personified Heaven watching over things. One of the functions of ritual was to try to put limits on the power of the ruler and emphasize his obligation to the people. Confucian thinkers, including Xunzi often viewed the state as a family. Just as a father must take care of his children, the ruler must take care of the people, and in return, the people will respond with loyalty. The Confucians also offered a very practical motive to care for the people: if the people were dissatisfied with the ruler, they would not fight on his behalf, and the state would be ripe for annexation by its neighbors.

b. Ritual and Music

Xunzi diagnosed the main cause of disorder as a breakdown of the social hierarchy. When hierarchical distinctions are confused and people do not follow their proper roles, they compete indiscriminately to satisfy their desires. The way to put limits on this competition is to clarify social distinctions: such as between ruler and subject, between older brother and younger brother, or between men and women. When everyone knows their place and what obligations and privileges they have, they will not contend for goods beyond their status. Not only will this result in order and stability, it actually will allow for greater satisfaction of everyone’s desires than the competition of the state of nature. This is the primary purpose of ritual: to clarify and enforce social distinctions, which will bring an end to contention for limited resources and improve social order. This, in turn, will ensure greater prosperity. The ritual tradition not only emphasized reciprocal obligations between people of different status, it had extremely precise regulations concerning who was allowed to own what kind of luxuries. There were rules concerning what colors of clothing different people could wear, who was allowed to ride in carriages, and what grave goods they could be buried with. The point of all these rules is to enforce the distinctions necessary for social harmony and prevent people from reaching beyond their station.

Without the benefit of ritual principles to enforce the social hierarchy, the identity of human nature makes conflict inevitable. By nature we all desire the same things: fine food, beautiful clothing, wealth, and comfort. Xunzi believes desires are inevitable. When most people see something beautiful, they will desire it: only the sage can control his desires. Because of limited resources, it is impossible for everyone to satisfy their desires for material goods. What people can do is decide whether to act on a desire or not. Ritual teaches people to channel, moderate, and in some cases transform their desires so they can satisfy them in appropriate ways. When it is right to do so one satisfies them, and when that is not possible one moderates them. This allows both the partial satisfaction of desires and the maintenance of social harmony. All of this is made possible by the ritual principles of the Way, when the alternative is the chaos of the state of nature. Hence, Xunzi wrote that Confucian teachings allow people to satisfy both the demands of ritual and their desires, when the alternative is satisfying neither.

Another important part of governing is music. The ancient Chinese believed that music was the most direct and effective way of influencing the emotions. Hence, only allowing the correct music to be played was crucial to governing the state. The right kinds of music, those attributed to the ancient sages, could both give people an outlet for emotions that could not be satisfied in other ways, like aggression, and channel their emotions and bring them in line with the Way. The wrong kind of music would instead encourage wanton, destructive behavior and cause a breakdown of social order. Because of its powerful effect on the emotions, music is as important a tool as ritual in moral education and in governing. Much as Plato suggested in the Republic, Xunzi believes regulating music is one of the duties of the state. It must promulgate the correct music to give people a legitimate source of emotional expression and ban unorthodox music to prevent it from upsetting the balance of society.

c. Moral Power

As he does with virtuous people, Xunzi distinguishes different levels of rulers. The lowest is the ruler who relies on military power to expand his territory, taxes excessively without regard for whether his people have enough to sustain themselves, and keeps them in line with laws and punishments. According to Xunzi, such a ruler is sure to come to a bad end. A ruler who governs efficiently, does not tax the people too harshly, gathers people of ability around him, and makes allies of the neighboring states can become a hegemon. The institution of the hegemon existed briefly about three hundred years before Xunzi’s time, but he often uses the term to connote an effective ruler who is still short of the highest level. The highest level is that of the true king who wins the hearts of the people through his rule by ritual principles. The moral power of the true king is so great that he can unify the whole country without a single battle, since the people will come to him of their own accord to live under his beneficent rule. According to Xunzi, this is how the sage kings of the past were able to unify the country even though they began as rulers of small states. The best kind of government is government through the moral power acquired by following the Way.

This concept of moral power was quite old in China even in Xunzi’s time, though initially it referred to the power gained from the spirits through sacrifice. Beginning with Confucius, it become ethicized into a kind of power or charisma that anyone who cultivated virtue and followed the Way developed. Through this moral power, a king could rule effectively without having to personally attend to the day-to-day business of governing. Following his example, the people would become virtuous as well, so crime would be minimal, and the ruler’s subordinates could carry out the necessary administrative tasks to run the state. In Confucian thought, the most important role of the ruler is that of moral example, which is why the best government was that of a sage who followed the ritual principles of the Way. Confucius seemed to believe that the moral power of a sage king would render laws and punishments completely unnecessary: the people would be transformed by the ruler’s moral power and never transgress the boundaries of what is right. Xunzi, while still believing in the efficacy of rule through moral force, is not quite as optimistic, which is likely related to his view on human nature. He thinks punishments will still be necessary because some people will break the law, but a sage king will only rarely need to employ punishments to keep the people in line, while a lord-protector or ordinary ruler will have to resort to them much more. This increased acceptance of the necessity for punishments may have influenced Xunzi’s student Han Feizi, to whom is attributed the most developed theory of government through a strict system of rewards and punishments that was employed by the short-lived Qin dynasty.

6. References and Further Reading

  • Cua, Antonio S. Ethical Argumentation: A Study in Hsün Tzu’s Moral Epistemology. Honolulu: University of Hawaii Press, 1985.
  • Dubs, Homer H. Hsüntze: Moulder of Ancient Confucianism. London: Arthur Probsthain, 1927. The first English-language monograph on Xunzi’s thought.
  • Goldin, Paul. Rituals of the Way. Chicago: Open Court, 1999. A good overview of the essentials of Xunzi’s thought.
  • Ivanhoe, Philip J. Confucian Moral Self Cultivation. Indianapolis: Hackett, 2000. An introduction to Confucian thought, focusing on the theme of self cultivation. Includes a chapter on Xunzi.
  • Kline, T.C. III and Philip J. Ivanhoe, eds. Virtue, Nature, and Moral Agency in the Xunzi. Indianapolis: Hackett, 2000. An excellent anthology bringing together much of the recent important work on Xunzi. The bibliography includes virtually every English publication related to Xunzi.
  • Knoblock, John, trans. Xunzi: A Translation and Study of the Complete Works, 3 vols. Stanford: Stanford University Press, 1988, 1990, 1994. The only complete English translation of the Xunzi, with extensive introductory material.
  • Machle, Edward. Nature and Heaven in the Xunzi: A Study of the Tian Lun. Albany: SUNY Press, 1993. A translation and study of chapter seventeen, “Discourse on Heaven.”
  • Watson, Burton, trans. Hsün Tzu: Basic Writings. New York: Columbia University Press, 1964. An excerpted translation, including many of the more philosophically interesting chapters. It is easier for non-specialists than Knoblock.

Author Information

David Elstein
Email: davidelstein@world.oberlin.edu
State University of New York at New Paltz
U. S. A.

Xuanzang (Hsüan-tsang) (602—664)

xuanzangXuanzang, world-famous for his sixteen-year pilgrimage to India and career as a translator of Buddhist scriptures, is one of the most illustrious figures in the history of scholastic Chinese Buddhism. Born into a scholarly family at the outset of the Tang (T’ang) Dynasty, he enjoyed a classical Confucian education. Under the influence of his elder brother, a Buddhist monk, however, he developed a keen interest in Buddhist subjects and soon became a monk himself at the age of thirteen. Upon his return to Chang’an in 645, Xuanzang brought back with him a great number of Sanskrit texts, of which he was able to translate only a small portion during the remainder of his lifetime. In addition to his translations of the most essential Mahayana scriptures, Xuanzang authored the Da tang xi yu ji (Ta-T’ang Hsi-yu-chi or Records of the Western Regions of the Great T’ang Dynasty) with the aid of Bianji (Bian-chi). It is through Xuanzang and his chief disciple Kuiji (K’uei-chi) (632-682) that the Faxiang (Fa-hsiang or Yogacara/Consciousness-only) School was initiated in China. In order to honor the famous Buddhist scholar, the Tang Emperor Gaozong (Gao-tsung) cancelled all audiences for three days after Xuanzang’s death. (See Romanization systems for Chinese terms.)

Table of Contents

  1. Xuanzang’s Beginnings (602-630)
  2. Pilgrimage to India (630-645)
  3. His Return to China and Career as Translator (645-664)
  4. The Faxiang School
    1. The Development of Yogacara
    2. Metaphysics of Mere-Consciousness
    3. Some Objections Answered
    4. The Vijnaptimatratasiddhi-sastra
    5. Faxiang Doctrines
  5. Conclusion
  6. References and Further Reading

1. Xuanzang’s Beginnings (602-630)

Born of a family possessing erudition for generations in Yanshi prefecture of Henan province, Xuanzang, whose lay name was Chenhui, was the youngest of four children. His great-grandfather was an official serving as a prefect, his grand-father was appointed as Professor in the National College at the capital, and his father was a Confucianist of the rigid conservative type who gave up office and withdrew into seclusion to escape the political turmoil that gripped China at that time. According to traditional biographies, Xuanzang displayed a precocious intelligence and seriousness, amazing his father by his careful observance of the Confucian rituals at the age of eight. Along with his brothers and sister, he received an early education from his father, who instructed him in classical works on filial piety and several other canonical treatises of orthodox Confucianism.

After the death of Xuanzang’s father in 611, his older brother Chensu, later known as Changjie, became the primary influence on his life. As a result, he commenced visiting the monastery of Jingtu at Luoyang where his brother dwelled as a Buddhist monk, and studying sacred texts of the faith with all the ardor of a young convert. When Xuanzang requested to take Buddhist orders at the age of thirteen, the abbot Zheng Shanguo made an exception in his case because of his precocious sapience.

In 618, due to the civil war breaking out in Henan, Xuanzang and his brother sought refuge in the mountains of Sichuan, where he spent three years or so in the monastery of Kong Hui plunging into the study of various Buddhist texts, such as the Abhidharmakosa-sastra (Abhidharma Storehouse Treatise. In 622, he was fully ordained as a monk. Deeply confused by myriad contradictions and discrepancies in the texts, and not receiving any solutions from his Chinese masters, Xuanzang decided to go to India and study in the cradle of Buddhism.

2. Pilgrimage to India (630-645)

An imperial decree by the Emperor Taizong (T’ai-tsung) forbade Xuanzang’s proposed visit to India on the grounds on preserving national security. Instead of feeling deterred from his long-standing dream, Xuanzang is said to have experienced a vision that strengthened resolve. In 629, defying imperial proscription, he secretly set out on his epochal journey to the land of the Buddha from Chang’an.

Xuanzang reports that he travelled by night, hiding during the day, enduring many dangers, and bereft of a guide after being abandoned by his companions. After some time in the Gobi Desert, he arrived in Liangzhou in modern Gansu province, the westernmost extent of the Chinese frontier at that time and the southern terminus of the Silk Road trade route connecting China with Central Asia. Here he spent approximately a month preaching the Buddhist message before being invited to Hami by King Qu Wentai (Ch’u Wen-tai) of Turfan, a pious Buddhist of Chinese extraction.

It soon became apparent to Xuanzang that Qu Wentai, although most hospitable and respectful, planned to detain him for life in his Court as its ecclesiastical head. In response, Xuanzang undertook a hunger strike until the king relented, extracting from Xuanzang a promise to return and spend three years in the kingdom upon his return. After remaining there for a month more for the sake of the dharma, Xuanzang resumed his journey in 630, well provided with introductions to all the kings on his itinerary, including the formidable Turkish Khan whose power extended to the very gates of India. Having initially left China against the will of the Emperor, he was no longer an unknown fugitive fleeing in secret, but an accredited pilgrim with official standing.

At long last, Xuanzang reached his ultimate destination, where his strongest personal interest in Buddhism was located and the principal portion of his time abroad was spent: the Nalanda monastery, located southwest of the modern city of Bihar in northern Bihar state. As a far-famed metropolis of Buddhist monastic education, Nalanda was a veritable monastic city consisting of some ten huge temples with spaces between divided into eight compounds, surrounded by a high wall. There were over ten thousand Mahayana monks there engaged in the study of the orthodox Buddhist canon as well as the Vedas, arithmetic, and medicine. According to legend, Silabhadra (529-645), abbot of Nalanda, was considering suicide after years of wasting illness when he received instructions from deities in a dream, commanding him to endure and await the arrival of a Chinese monk in order to guarantee the preservation of the Mahayana tradition abroad. Indeed, Xuanzang became Silabhadra’s disciple in 636 and was initiated into the Yogacara lineage of Mahayana learning by the venerable abbot. While at Nalanda, Xuanzang also studied Sanskrit and Brahmana philosophy. Subsequent studies in India included hetu-vidya (logic), the exegesis of Mahayana texts such as the Mahayana-sutralamkara (Treatise on the Scripture of Adorning the Great Vehicle), and Madhyamika (“Middle-ist”) doctrines.

The name of the Madhyamika School, founded by Nagarjuna (2nd century CE), derives from its having sought a middle position between the realism of the Sarvastivada (Doctrine That All Is Real) School and the idealism of the Yogacara (Mind Only) School. Xuanzang appears to have combined these two systems into each other in a more eclectic and comprehensive Mahayanism. With the approval of his Nalanda mentors, Xuanzang composed a treatise, Hui zong lun (Hui-tsüng-lun or On the Harmony of the Principles), which articulates his synthesis.

At Nalanda, Xuanzang became a critic of two major philosophical systems of Hinduism opposed to Buddhism: the Samkhya and the Vaiseshika. The former was based upon a dualism of Nature and Spirit. The latter was a realist system, immediate and direct in its realism, resting upon the acceptance of the data of consciousness and experience as such: in brief, it was a melding of monism and atomism. Such beliefs were in absolute contradiction to the acosmic idealism of the Buddhist Yogacara, which evenly repelled the substantial entity of the ego and the objective existence of matter. Xuanzang also critiqued the atheistic monism of the Jains, especially inveighing against what he saw as their caricature of Buddhism in terms of Jain monastic garb and iconography.

Xuanzang’s success in religious and philosophical disputes evidently aroused the attention of some Indian potentates, including the King of Assam and the poet-cum-dramatist king Harsha (r. 606-647), who was regarded as a Buddhist patron saint upon the throne like Ashoka and Kanishka of old. An eighteen-day religious assembly was convoked in Harsha’s capital of Kanauj during the first week of the year 643, during which Xuanzang allegedly defeated five hundred Brahmins, Jains, and heterodox Buddhists in spirited debate.

Following these public successes in India, Xuanzang resolved to return to China by way of Central Asia. He followed the caravan-track that led across the Pamirs to Dunhuang. In the spring of 644, he reached Khotan and awaited a reply to his request for return addressed to the Emperor Taizong. In the month of November, Xuanzang left for Dunhuang by a decree of the Emperor, and arrived in the Chinese capital Chang’an the first month of the Chinese Lunar Year 645.

3. His Return to China and Career as Translator (645-664)

Traditional sources report that Xuanzang’s arrival in Chang’an was greeted with an imperial audience and an offer of official position (which Xuanzang declined), followed by an assembly of all the Buddhist monks of the capital city, who accepted the manuscripts, relics, and statues brought back by the pilgrim and deposited them in the Temple of Great Happiness. It was in this Temple that Xuanzang devoted the rest of his life to the translation of the Sanskrit works that he had brought back out of the wide west, assisted by a staff of more than twenty translators, all well-versed in the knowledge of Chinese, Sanskrit, and Buddhism itself. Besides translating Buddhist texts and dictating the Da tang xi yu ji in 646, Xuanzang also translated the Dao de jing (Tao-te Ching) of Laozi (Lao-tzu) into Sanskrit and sent it to India in 647.

His translations may, by and large, be divided into three phases: the first six years (645-650), focusing on the Yogacarabhumi-sastra; the middle ten years (651-660), centering on the Abhidharmakosa-sastra; and the last four years (661-664), concentrating upon the Maha-prajnaparamita-sutra. In each phase of his career as a translator, Xuanzang saw his task as introducing Indian Buddhist texts to Chinese audiences in all their integrity. According to Thomas Watters, the total number of texts brought by Xuanzang from India to China is six hundred and fifty seven, enumerated as follows:

Mahayanist sutras: 224 items
Mahayanist sastras: 192
Sthavira sutras, sastras and Vinaya: 14
Mahasangika sutras, sastras and Vinaya: 15
Mahisasaka sutras, sastras and Vinaya: 22
Sammitiya sutras, sastras and Vinaya: 15
Kasyapiya sutras, sastra and Vinaya: 17
Dharmagupta sutras, Vinaya, sastras: 42
Sarvastivadin sutras, Vinaya, sastras: 67
Yin-lun (Treatises on the science of Inference): 36
Sheng-lun (Etymological treatises): 13

4. The Faxiang School

a. The Development of Yogacara

The Chinese Faxiang School, derived from the Indian Yogacara (yoga practice) School, is based upon the writings of two brothers, Asanga and Vasubandhu, who explicated a course of practice wherein hindrances are removed according to a sequence of stages, from which it gets its name. The appellation of the school originated with the title of an important fourth- or fifth-century CE text of the school, the Yogacarabhumi-sastra. Yogacara attacked both the provisional practical realism of the Madhyamika School of Mahayana Buddhism and the complete realism of Theravada Buddhism. Madhyamika is regarded as the nihilistic or Emptiness School, whereas Yogacara is seen as the realistic or Existence School. While the former is characterized as Mahayana due to its central theme of emptiness, the latter might be considered to be semi-Mahayana to a point for three basic reasons: (1) the Yogacara remains realistic like the Abhidharma School; (2) it expounds the three vehicles side by side without being confined to the Bodhisattvayana; and (3) it does not accent the doctrine of Buddha nature.

The other name of the school, Vijnanavada (Consciousness-affirming/Doctrine of Consciousness), is more descriptive of its philosophical position, which in short is that the reality a human being perceives does not exist. Yogacara becomes much better known, nevertheless, not for its practices, but for its rich development in psychological and metaphysical theory. The Yogacara thinkers took the theories of the body-mind aggregate of sentient beings that had been under development in earlier Indian schools such as the Sarvastivada, and worked them into a more fully articulated scheme of eight consciousnesses, the most weighty of which was the eighth, or store consciousness — the alaya-vijnana.

The Yogacara School is also known for the development of other key concepts that would hold great influence not merely within their system, but within all forms of later Mahayana to come. They embody the theory of the three natures of the dependently originated, completely real, and imaginary, which are understood as a Yogacara response to the Madhyamika’s truth of emptiness. Yogacara is also the original source for the theory of the three bodies of the Buddha, and greatly expands the notions of categories of elemental constructs.

Yogacara explored and propounded basic doctrines that were to be fundamental in the future growth of Mahayana and that influenced the rise of Tantric Buddhism. Its central doctrine is that only consciousness (vijnanamatra; hence the name Vijnanavada) is real, and that mind is the ultimate reality. In other words, external objects do not exist; nothing exists outside the mind. The common view that external phenomena exist is due to a misconception that is removable through a meditative or yogic process, which brings a complete withdrawal from these fictitious externals, and an inner concentration and tranquility may accordingly be bodied forth.

Yogacara is an alternative system of Buddhist logic. According to it, the object is not at all as it seems, and thus can not be of any service to knowledge. It is therefore unreal when consciousness is the sole reality. The object is only a mode of consciousness. Its appearance although objective and external is in fact the transcendental illusion, because of which consciousness is bifurcated into the subject-object duality. Consciousness is creative and its creativity is governed by the illusive idea of the object. Reality is to be viewed as an Idea or a Will. This creativity is manifested at different levels of consciousness.

Since this school believes that only ideation exists, it is also called the Idealistic School. In China, it was established by Xuanzang and his principal pupil Kuiji who systematized the teaching of his masters recorded in two essential works: the Fa yuan i lin zhang (Fa-yuan i-lin-chang or Chapter on the Forest of Meanings in the Garden of Law) and the Cheng wei shi lun shu ji (Ch’eng wei-shih lun shu-chi or Notes on the Treatise on the Completion of Ideation Only). On account of the school’s idealistic accent it is known as Weishi (Wei-shih) or Ideation Only School; yet because it is concerned with the specific character of all the dharmas, it is often called the Faxiang School as well. Besides, this school argues that not all beings possess pure seeds and, therefore, not all of them are capable of attaining Buddhahood.

The central concept of this school is borrowed from a statement by Vasubandhu — idam sarvam vijnaptimatrakam, “All this world is ideation only.” It strongly claims that the external world is merely a fabrication of our consciousness, that the external world does not exist, and that the internal ideation presents an appearance as if it were an outer world. The whole external world is, hence, an illusion according to it.

b. Metaphysics of Mere-Consciousness

Broadly speaking, Mere-Consciousness may cover the eight consciousnesses, the articulation of which forms one of the most seminal and distinctive aspects of the doctrine of the Yogacara School, transmitted to East Asia where it received the somewhat pejorative designations of Dharma-character School and Consciousness-only School. According to this doctrine, sentient beings possess eight distinct layers of consciousness, the first five — the visual consciousness, auditory consciousness, olfactory consciousness, gustatory consciousness, and tactile consciousness — corresponding to the sense perceptions, the sixth discriminatory consciousness to the thinking mind, the seventh manas consciousness to the notion of ego, and the eighth alaya-consciousness to the repository of all the impressions from one’s past experiences. As the first seven of these arise on the basis of the eighth, they are called the transformed consciousnesses. In contrast, the eighth is known as the base consciousness, store consciousness, or seed consciousness. And in particular, it is this last consciousness that the Mere-Consciousness is all about.

One of the foremost themes discussed in the school is the

alaya-vijnana or storehouse consciousness, which stores and coordinates all the notions reflected in the mind. Thus, it is a storehouse where all the pure and contaminated ideas are blended or interfused. This principle might be illustrated by the school’s favorite citation:

“A seed produces a manifestation,
A manifestation perfumes a seed.
The three elements (seed, manifestation, and perfume) turn on and on,
The cause and effect occur at one and the same time.”

It is the doctrine of consciousness or mind as the basis for so-called “external” objects that gave the Cittamatra (Mind Only) tradition its name. Apparently external objects are constituted by consciousness and do not exist apart from it. Vasubandhu began his

Vimsatika vijnapti-matrata-siddhih (Twenty Verses on Consciousness-only) by stating: “All this is only perception, since consciousness manifests itself in the form of nonexistent objects.” There is only a flow of perceptions. This flow, however, really exists, and it is mental by nature, as in terms of the Buddhist division of things it has to be either mental or physical. The flow of experiences could barely be a physical or material flow. There might be a danger in calling this “idealism,” because it is rather dissimilar from forms of idealism in Western philosophy, in which it is deemed necessary for a newcomer to negate and transcend previous theories and philosophies through criticism, but the situation in Buddhism, especially Yogacara Buddhism, is such that it developed its doctrines by inheriting the entire body of thought of its former masters. Nonetheless, if “idealism” denotes that subjects and objects are no more than a flow of experiences and perceptions, which are of the same nature, and these experiences, just as perceptions, are mental, then this could be called a form of “dynamic idealism.”

Because this school maintains that no external reality exists, while retaining the position that knowledge exists, assuming knowledge itself is the object of consciousness. It, therefore, postulates a higher storage consciousness, which is the final basis of the apparent individual. The universe consists in an infinite number of possible ideas that lie inactively in storage. Such dormant consciousness projects an interrupted sequence of thoughts, while it itself is in restless flux till the karma, or accumulated consequences of past deeds, blows out. This storage consciousness takes in all the impressions of previous experiences, which shape up the seeds of future karmic action, an illusory force creating outer categories that are actually only fictions of the mind. So illusive a force determines the world of difference and belongs to human nature, sprouting the erroneous notions of an I and a non-I. That duality can only be conquered by enlightenment, which effects the transformation of an ordinary person into a Buddha.

c. Some Objections Answered

Certain objections were interposed to level at Yogacara’s doctrine of consciousness. Vasubhandhu, again in his Vimsatika, undertook to prove the invalidity of some of these:

  • Spatiotemporal determination would be impossible — experiences of object X are not occurrent everywhere and at every time so there must be some external basis for our experiences.
  • Many people experience X and not just one person, as in the case of a hallucination.
  • Hallucinations can be determined because they do not possess pragmatic results. It does not follow that entities, which we generally accept as real, can be placed in the same class.

In reply, Vasubandhu argued that these were after all no objections; they simply failed to show that perception-only as a teaching was beyond the limits of what could be concretely reasoned. Spatiotemporal determination can be elucidated on the analogy of dream experience, where a complete and surreal world is created with objects appearing to have spatiotemporal localization despite the fact that they do not exist apart from the mind which is cognizing them. Moreover, the second objection can be met by recourse to the wider Buddhist religious framework. The hells and their tortures, which are taught by Buddhist beliefs as the result of wicked deeds, and to be endured for a very long time till purified, are experienced as the collective fruit of the previous karmas done by those hell inmates. The torturers of hell obviously can not really exist, otherwise they would have been reborn in hell themselves and would too experience the sufferings associated with it. If this were the case then how could they jovially inflict sufferings upon their fellow inmates? Thus they must be illusive, and yet they are experienced by a number of people. Finally, as in a dream objects bear some pragmatic purpose within that dream, and likewise in hell, so in everyday life. Furthermore, as physical activity can be directed toward unreal objects in a dream owing, it is said, to nervous irritation on the part of the dreamer, so too in daily life.

e. The Vijnaptimatratasiddhi-sastra

Representing a two-hundred-year development within the Vijnanavadin tradition subsequent to the Lankavatara Sutra (Sutra on the Buddha’s Entering the Country of Lanka) and being the primary text of the Faxiang School, the Vijnaptimatratasiddhi-sastra is an exhaustive study of the alaya-vijnana and the sevenfold development of the manas, manovijnana, and the five sensorial consciousnesses. As a creative and elaborate exposition of Vasubandhu’s Trimsika-vijnapti-matrata-siddhi (Treatise in Thirty Stanzas on Consciousness Only) rendered by Xuanzang in 648 at Great Happiness Monastery, it synthesizes the ten most significant commentaries written on it, and becomes the enchiridion of the new Faxiang School of Buddhist idealism. It is mainly a translation by Xuanzang in 659 of Dharmapala’s commentary on the Trimsika-vijnapti-matrata-siddhi, yet it also contains edited translations of other masters’ works on the same verses. This is the only translation by Xuanzang that is not a direct translation of a text, but instead a selective and evaluative editorial drawing on ten distinct texts. Since Kuiji aligned himself with this text as assuming the role of Xuanzang’s successor, the East Asian tradition has treated the Vijnaptimatratasiddhi-sastra as the pivotal exemplar of Xuanzang’s teachings.
In both style and content, the Vijnaptimatratasiddhi-sastra symbolizes a superior advance over the earlier Lankavatara Sutra, a basic Faxiang School’s canonical text that sets forth quite a few hallmarks of Mahayana position, such as the eight consciousnesses and the tathagatagarbha (Womb of the Buddha-to-be). Instead of bearing the latter’s cryptically aphoristic form, Xuanzang’s treatise is a detailed and coherent analysis, a scholastic apologetics on the doctrine of Consciousness-only. Without any reference to the tathagatagarbha itself, the Vijnaptimatratasiddhi-sastra firmly grounds its pan-consciousness upon Absolute Suchness or the existence of the mind as true reality. Aside from human consciousness, another principle is accepted as real — the so-called suchness, which is the equivalent of the void of the Madhyamika School.

The Vijnaptimatratasiddhi-sastra spells out how there can be a common empirical world for different individuals who ideate or construct particular objects, and who possess distinct bodies and sensory systems. According to Xuanzang, the universal “seeds” in the store consciousness account for the common appearance of things, while particular “seeds” make a description of the differences.

f. Faxiang Doctrines

Being a first and foremost idealistic school of Mahayana Buddhism, the Faxiang School categorically discerns chimerical phenomena manifested in consistent patterns of regularity and continuity; in order to justify this order in which only defiled elements could prevail before enlightenment is attained, it created the tenet of the alaya-vijnana. Sense perceptions are commanded as regular and coherent by a store of consciousnesses, of which one is consciously unaware. Then, sense impressions produce certain configurations in this insensibility that “perfumate” later impressions so that they appear consistent and regular. Each and every single one of beings possesses this seed consciousness, which therefore becomes a sort of collective consciousness that takes control of human perceptions of the world, though this world does not exist at all according to the very tenet. This school’s forerunner had emerged in India roughly the second century AD, yet had its period of greatest productivity in the fourth century, during the time of Asanga and Vasubandha. Following them, the school divided into two branches, the Nyayanusarino Vijnanavadinah (Vijnanavada School of the Logical Tradition) and the Agamanusarino Vijnanavadinah (Vijnanavada School of the Scriptural Tradition), with the former sub-school postulating the standpoints of the logician Dignaga (c. AD 480-540) and his successor, Dharmakirti (c. AD 600?-680?).

This consciousness-oriented school of ideology was largely represented in China by the Faxiang School, called Popsang in Korea, and Hosso in Japan. The radical teachings of Yogacara became known in China primarily through a work of Paramartha, a sixth-century Indian missionary-translator. His rendition of the Mahayana-samparigraha-sastra (Compendium of the Great Vehicle) by Asanga provided a sound base for the Sanlun (Three-Treatise) School, which preceded the Faxiang School as the vehicle of Yogacara thought in China. Faxiang is the Chinese translation of the Sanskrit term dharmalaksana (characteristic of dharma), referring to the school’s basal emphasis on the unique characteristics of the dharmas that make up the world, which appears in human ideation. According to Faxiang doctrines, there are five categories of dharmas: (1) eight mental dharmas, encompassing the five sense consciousnesses, cognition, the cognitive faculty, and the store consciousness; (2) eleven elements relating to appearances or material forms; (3) fifty-one mental capacities or functions, activities, and dispositions; (4) twenty-four situations, processes, and things not associated with the mind — for example, time and becoming; and (5) six non-conditioned or non-created elements — for instance, space and the nature of existence.

Alayaconsciousness is posited as the receptacle of the imprint of thoughts and deeds, thus it is the dwelling of sundry karmic seeds. These “germs” develop into form, feeling, perception, impulse, and consciousness, collectively known as the Five Aggregates. Then ideation gradually takes shape, which triggers off a self or mind against an outer world. Finally comes the awareness of the objects of thought via sense perceptions and ideas. The store consciousness must be purified of its subject-object duality and notions of false existence, and restored to its pure state tantamount to buddhahood, the Absolute Suchness, and the undifferentiated. In line with these three elements of false imagination, right knowledge, and suchness is the three modes in which things respectively are: (1) the mere fictions of false imagination; (2) under certain conditions to relatively exist; and (3) in the perfect mode of being. Corresponding to this threefold version of the modes of existence is the tri-body doctrine of the Buddha — the Dharma Body, the Reward Body, and the Response Body, a creed that was put into its systematic and highly developed theory by Yogacara thinkers. The distinguishing features of the Faxiang School lie in its highlight of meditation and broadly psychological analyses. Seen in this light, it is a fry cry from the other predominant Mahayana stream, Madhyamika, where the stress is entirely upon dialectics and logical arguments.

The base consciousness is interpreted as the container of the karmic impressions or seeds, nourished by us beings in the process of our existence. These seeds, ripening in the course of future circumstances, find the nearest parallel to the present-day understanding of genes. In view of the foregoing, philosophers of this school have constantly essayed to explain in detail how karmic force actually operates and affects us on a concrete, personal level. Comprised in this development of consciousness theory is the concept of conscious justification — phenomena that are presumably external to us can never exist but in intimate association with consciousness itself. Such a notion is commonly referred to as “Mind Only.”

The fundamental early canonical texts that expound Yogacara doctrines are such scriptures as the (Sutra on Understanding Profound and Esoteric Doctrine, the Srimala-sutra (Sutra on the Lion’s Roar of Queen Srimala), and treatises like the Mahayana-samparigraha-sastra, the Prakaranaryavaca-sastra (Acclamation of the Scriptural Teaching), and the Yogacarabhumi, etc.

5. Conclusion

As an early and influential Chinese Buddhist monk, Xuanzang embodies the tensions inherent in Chinese Buddhism: filial piety versus monastic discipline, Confucian orthodoxy versus Mahayana progressivism, etc. Such tensions can be seen not only in his personal legacies, which include the extremely popular Chinese novel based on his travels, Xiyouji (Journey to the West), but also in the career of scholastic Buddhism in China.

For a time during the middle of the Tang Dynasty the Faxiang School achieved a high degree of eminence and popularity across China, but after the passing of Xuanzang and Kuiji the school swiftly declined. One of the factors resulting in this decadence was the anti-Buddhist imperial persecutions of 845. Another likely factor was the harsh criticism of Faxiang by members of the Huayan (Hua-yen) School. In addition, the philosophy of this school, with its abstruse terminology and hairsplitting analysis of the mind and the senses, was too alien to be accepted by the practical-minded Chinese.

6. References and Further Reading

  • Bapat, P. V., and K. A. Nilakanta Sastri, eds. 2500 Years of Buddhism. Delhi: Government of India Press, 1964.
  • Bernstein, Richard. Ultimate Journey: Retracing the Path of an Ancient Buddhist Monk Who Crossed Asia in Search of Enlightenment: Alfred A. Knopf, 2001.
  • Brown, Brian Edward. The Buddha Nature: A Study of the Tathagatagarbha and Alayavijnana. Delhi: Motilal Banarsidass, 1991.
  • Ch’en, Kenneth K. S. Buddhism in China: A Historical Survey. Princeton: Princeton University Press, 1973.
  • Chatterjee, Ashok Kumar. The Yogacara Idealism. Delhi: Motilal Banarsidass, 1987.
  • The Unknown Hsuan-Tsang. Oxford: Oxford University Press, 2001.Edkins, Joseph. Chinese Buddhism: A Volume of Sketches, Historical, Descriptive and Critical. San Francisco: Chinese Materials Center, 1976.
  • Grousset, Rene. In the Footsteps of the Buddha. San Francisco: Chinese Materials Center, 1976.
  • Hwui Li. The life of Hiuen-Tsiang. London: Kegan Paul, Trench, and Trubner, 1911.
  • Kieschnick, John. The Eminent Monk: Buddhist Ideals in Medieval Chinese Hagiography. Honolulu: University of Hawaii Press, 1997.
  • Lan Ji-fu, ed. The Chung-hwa Fo Jian Bai Ke Quan Shu: Religious Affairs Committee of Foguangshan Buddhist Order, 1993.
  • Lusthaus, Dan. Buddhist Phenomenology: A Philosophical Investigation of Yogacara Buddhism and the Ch’eng Wei-shih lun. London: Routledge Curzon, 2002.
  • Nagao, Gadjin M. Madhyamika and Yogacara: A Study of Mahayana Philosophies. Albany: State University of New York Press, 1991.
  • Pachow, W. Chinese Buddhism: Aspects of Interaction and Reinterpretation. Lanham, MD: University Press of America, 1980.
  • Sharf, Robert H. Coming to Terms with Chinese Buddhism: A Reading of the Treasure Store Treatise. Honolulu: University of Hawaii Press, 2002.
  • Waley, Arthur. The Real Tripitaka, and Other Pieces. London: George Allen & Unwin, 1952.
  • Watters, Thomas. On Yuan Chwang’s Travels in India: A. D. 629-645. Delhi: Munshiram Manoharlal, 1996.
  • William, Paul, Mahayana Buddhism (The Doctrinal Foundations). London: Routledge, 1991.
  • Wriggins, Sally Hovey. Xuanzang: A Buddhist Pilgrim on the Silk Road. Boulder: Westview Press, 1996.

Author Information

Der Huey Lee
Email: leederhuey@hotmail.com
Peking University
China

Vienna Circle

The Vienna Circle is a group of philosophers who gathered around Moritz Schlick, after his coming in Vienna in 1922. They organized a philosophical association, named Verein Ernst Mach (Ernst Mach Association). However, meetings on philosophy of science and epistemology began as early as 1907, promoted by Frank, Hahn and Neurath, who later arranged to bring Schlick at the University of Vienna. Among Vienna Circle’s members were M. Schlick, Rudolf Carnap, H. Feigl, P. Frank, K. Gödel, H. Hahn, V. Kraft, O. Neurath, F. Waismann. Also K. R. Popper and H. Kelsen had many contacts with the Vienna Circle, although they did not belong to it. At the meetings, the Tractatus of Ludwig Wittgenstein was also discussed, and there were several meetings between Wittgenstein, Schlick, Waismann and Carnap. In 1929 Hahn, Neurath and Carnap published the manifesto of the circle: Wissenschaftliche Weltauffassung. Der Wiener Kreis (A scientific world-view. The Vienna Circle).

Vienna Circle was very active in advertising the new philosophical ideas of logical positivism. Several congresses on epistemology and philosophy of science were organized, with the help of the Berlin Circle. There were some preparatory congresses: Prague (1929), Könisberg (1930), Prague (1934) and then the first congress on scientific philosophy held in Paris (1935), followed by congresses in Copenhagen (1936), Paris (1937), Cambridge, England (1938), Cambridge, Mass. (1939). The Könisberg congress (1930) was very important, because Gödel announced he had proved the completeness of first order logic and the incompleteness of arithmetic. Another very interesting congress was the one held in Copenhagen (1936), which was dedicated to quantum physics and causality.

Between 1928 and 1937, the Vienna Circle published ten books in a series named Schriften zur wissenschaftlichen Weltauffassung (Papers on the Scientific Worldview), edited by Schlick and Frank. Among these works was Logik der Forschung, 1935, which is the first book published by K. R. Popper. Seven works were published in another series, called Einheitswissenschaft (Unified Science), edit by Carnap, Frank, Hahn, Neurath, Joergensen (after Hahn’s death) and Morris (from 1938). In 1930 Carnap and Hans Reichenbach undertook the editorship of the journal Erkenntnis, which was published between 1930 and 1940 (from 1939 the editors were Neurath, Carnap and Morris).

The following is the list of works published in the two series edited by the Vienna Circle.

(1) Schriften zur wissenschaftlichen Weltauffassung (Papers on scientific world-view), edit by Schlick and Frank.

  • R. von Mises, Wahrscheinlichkeit, Statistik und Wahrheit, 1928 (Probability, statistics, and truth, New York : Macmillan company, 1939)
  • R. Carnap, Abriss der Logistik, 1929
  • M. Schlick, Fragen der Ethik, 1930 (Problems of ethics, New York : Prentice-Hall, 1939)
  • O. Neurath, Empirische Soziologie, 1931
  • P. Frank, Das Kausalgesetz und seine Grenzen, 1932 (The law of causality and its limits, Dordrecth ; Boston : Kluwer, 1997)
  • O. Kant, Zur Biologie der Ethik, 1932
  • R. Carnap, Logische Syntax der Sprache, 1934 (The logical syntax of language, New York : Humanities, 1937)
  • K. R. Popper, Logik der Forschung, 1934 (The logic of scientific discovery, New York : Basic Books, 1959)
  • J. Schächeter, Prologomena zu einer kritischen Grammatik, 1935 (Prolegomena to a critical grammar, Dordrecth ; Boston : D. Reidel Pub. Co., 1973)
  • V. Kraft, Die Grundlagen einer wissenschaftliche Wertlehre, 1937 (Foundations for a scientific analysis of value, Dordrecth ; Boston : D. Reidel Pub. Co., 1981)

(2) Einheitswissenschaft (Unified science), edit by Carnap, Frank, Hahn, Neurath, Joergensen (after Hahn’s death), Morris (from 1938)

  • H. Hahn, Logik, Mathematik und Naturerkennen, 1933
  • O. Neurath, Einheitswissenschaft und Psychologie, 1933
  • R. Carnap, Die Aufgabe der Wissenschaftlogik, 1934
  • P. Frank, Das Ende der mechanistichen Physik, 1935
  • O. Neurath, Was bedeutet rationale Wirtschaftsbetrachtung, 1935
  • O. Neurath, E. Brunswik, C. Hull, G. Mannoury, J. Woodger, Zur Enzyclopädie der Einheitswissenschaft. Vorträge, 1938
  • R. von Mises, Ernst Mach und die empiritische Wissenschaftauffasung, 1939

These works are translated in Unified science – The Vienna Circle monograph series originally edited by Otto Neurath, Kluwer, 1987.

The members of the Vienna Circle were dispersed when the Nazi Party came to power in Germany; many of them emigrated to the U.S.A., where they taught in several universities. Schlick remained in Austria, but in 1936 he was killed by a Nazi sympathizer student in the University of Vienna.

See also Carnap.

Author Information

Mauro Murzi
Italy

Vasubandhu (fl. 4th or 5th cn. C.E.)

Vasubandhu Vasubandhu was a prominent Buddhist teacher and one of the most important figures in the development of Mahyna Buddhism in India. Though he is particularly admired by later Buddhists as co-founder of the Yogcra school along with his half brother Asanga, his pre-Yogcra works, such as the Abhidharmakosha and his auto-commentary (Abhidharmakoshabhshya) on it, are considered masterpieces. He wrote commentaries on many stras, works on logic, devotional poetry, works on Abhidharma classifications, as well as original and innovative philosophical treatises. Some of his writings have survived in their original Sanskrit form, but many others, particularly his commentaries, are extant only in their Chinese or Tibetan translations. Vasubandhu was a many-sided thinker, and his personality as it emerges from his works and his biographies shows him as a man who was not only a great genius and a philosopher, but also a human being who was filled with great compassion.

Table of Contents

  1. Sources on the Biography of Vasubandhu
  2. Early Life of Vasubandhu
  3. Conversion to Mahayana
  4. Intellectual Debates
  5. Date of Vasubandhu
  6. Writings of Vasubandhu
  7. References and Further Readings

1. Sources on the Biography of Vasubandhu

The most important and the only complete account of the life of Vasubandhu entitled Posou pandoufa shijuan (Biography of Master Vasubandhu) was compiled into Chinese by Paramartha (499-569 C.E.), one of the chief exponents of Yogacara doctrine in China. It is preserved in the Chinese Tripitaka and its English translation was published by J. Takakusu in T’oung Pao (1904: 269-296). Apart from this account, the Xiyuji of Xuanzang (600-664 C.E.) also provides important information about the life of Vasubandhu. Though Paramartha and Xuanzang are the two most credible authorities for Vasubandhu’s life, yet serious discrepancies exist between their accounts. Paramartha’s account not only contains legendary or even mythical elements, but the time sequence of events is also ambiguous and differs greatly in places from the account of Xuanzang’s the Xiyuji. The Tibetan historians, Taranatha and Bu-ston, also give some important information on Vasubandhu’s life, but their account further disagrees with Paramartha and Xuanzang in terms of certain names and events associated with the life of Vasubandhu. Scholars once suspected that more than one person bore the name Vasubandhu in the history of Indian Buddhism, although recent studies have eliminated this hypothesis.

2. Early Life of Vasubandhu

He was born at Purusapura (identified with modern Peshawar, capital of North-West Frontier Province of Pakistan) in the state of Gandhara. Gandhara is best known today as one of the earliest regions to develop a distinctive form of Buddhist art noted for its Hellenistic influence. According to Taranatha, Vasubandhu was born one year after his older brother Asanga became a Buddhist monk. His father was a brahmanaof the Kaushika gotra. According to Posou pandou fashi zhuan his mother’s name was Virinci. But Bu-ston and Taranatha mention the name of the mother of Asanga and Vasubandhu as Prasannashila. According to these two Tibetan historians, Asanga and Vasubandhu were half-brothers; Asanga’s father being a kshatriya, and Vasubandhu’s a brahmana. Vasubandhu also had a younger brother called Virincivatsa. Vasubandhu’s father was a court priest, and according to Taranatha was an authority on the Vedas. In all probability, he officiated at the court of the Shaka princes of the Shilada clan, who at that time ruled from Purusapura. During the formative years of his life, Vasubandhu may have been introduced by his father not only to the Brahmanical tradition but also to the postulates of classical Nyaya and Vaisheshika, both of which had influence on his logical thought.

As a young student, he amazed his teachers with his brilliance and ready wit. According to Paramartha, Vasubandhu’s teacher was called Buddhamitra. The Xiyuji, however, never mentions Buddhamitra and names Manoratha as the teacher of Vasubandhu. At Vasubandhu’s time the dominant Buddhist school in Gandhara was the Vaibhashika (also called Sarvastivada). Vasubandhu entered the Sarvastivada order, and studied primarily the scholastic system of the Vaibhashikas. Initially, he was quite impressed with the Mahavibhasha. In time, however, Vasubandhu began to have grave doubts about the validity and relevance of Vaibhashika metaphysics. At this time, perhaps through the brilliant teacher Manoratha, he came into contact with the theories of the Sautrantikas, the group of Buddhists who wished to reject everything that was not the express word of the Buddha, and who held the elaborate constructions of the Vibhasha up to ridicule. That there was a strong Sautrantika tradition in Purusapura is likely in view of the fact that it was the birthplace of that maverick philosopher of the second century, Dharmatrata. In fact, the most orthodox Vaibhashika seat of learning was not in Gandhara, but in Kashmir, whose masters looked down upon the Gandharans as quasi-heretics. Therefore, according to Xuanzang’s pupil Pu Kuang, Vasubandhu decided to go to Kashmir disguised as a lunatic to investigate the Vaibhashika teachings more deeply. Vasubandhu studied in Kashmir with different teachers for four years and then came back to Purusapura.

After having returned to his native place, Vasubandhu began to prepare for an enormous project that had been in his mind for some time. At this time he was unattached to any particular order, and lived in a small private house in the center of Purusapura. Vasubandhu supported himself by lecturing on Buddhism before the general public, which presumably remunerated him with gifts. According to tradition, during the day he would lecture on Vaibhashika doctrine and in the evening distill the day’s lectures into a verse. When collected together the six hundred plus verses (karikas) gave a thorough summary of the entire system. He entitled this work the Abhidharmakosha (Treasury of Abhidharma). According to Paramartha, Vasubandhu composed the Abhidharmakosha at Ayodhya, but according to Xuanzang, it was composed in the suburbs of Purusapura. In the Abhidharmakosha Vasubandhu analyzed and catalogued seventy-five dharmas, the basic factors of experience, for the purposes of attaining Bodhi. He divided them into various categories consisting of eleven types of rupani i.e., ‘material forms’ (the five sense organs, their corresponding objects, and avijnapti-rupa i.e., ‘gesture unrevealing of intent’); citta (mind); ten types of mahaabhumika i.e., ‘major groundings’ (volition, desire, mindfulness, attention, and so forth); ten types of kushala-mahabhumika i.e., ‘advantageous major groundings’ (faith, vigor, equanimity, ahimsa, serenity, and so forth); six types of klesha-mahabhumika i.e., ‘mental disturbance major groundings’ (confusion, carelessness, restlessness, and so forth); two types of akushala mahabhumika i.e., ‘nonadvantageous major groundings (shamelessness and non-embarrassment); ten types of paritta-klesha-mahabhumika i.e., ‘secondary mental disturbance major groundings’ (anger, enmity, envy, conceit, and so forth); eight types of aniyata-mahabhumika i.e., ‘indeterminate major groundings’ (remorse, arrigance, aversion, doubt, torpor, and so forth); fourteen types of citta-viprayukta-samskara-dharmah i.e. ‘embodied-conditioning disassociated from mind’ (life-force, birth, decay, impermanence, and so forth); and three types of asamskrita-dharmah i.e., ‘unconditioned dharmas (spatiality, cessation through understanding, and cessation without understanding). Not only were the definitions and interrelations of these seventy-five dharmas analyzed in the Abhidharmakosha, but their karmic qualities also examined. Besides, Vasubandhu also elaborated upon causal theories, cosmology, practices of meditation, theories of perception, karma, rebirth, and the characteristics of an Enlightened Being in this text.

As the Abhidharmakosha was an eloquent summary of the purport of the Mahavibhasha, the Kashmiri Sarvastivadins are reported to have rejoiced to see in it all their doctrines so well propounded. Accordingly, they requested Vasubandhu to write a prose commentary (bhashya) on it. However, it seems that after having written the Abhidharmakosha, Vasubandhu began to have second thoughts about the Vaibhashika teachings. As a consequence, it is said, Vasubandhu prepared the Abhidharmakoshabhashya. But as it contained a thoroughgoing critique of Vaibhashika dogmatics from a Sautrantika viewpoint, the Kashmiri Sarvastivadins soon realized, to their great disappointment, that the Abhidharmakoshabhashya in fact refuted many Sarvastivada theories and upheld the doctrines of the Sautrantika school. One major point that created bad blood between the Vaibhashikas and the Sautrantikas was concerning the status and nature of the dharmas. The Vaibhashikas held that the dharmas exist in the past and future as well as the present. On the other hand, the Sautrantikas held the view that they are discrete, particular moments only existing at the present moment in which they discharge causal efficacy. The Vaibhashikas wrote several treatises attempting to refute Vasubandhu’s critiques.

3. Conversion to Mahayana

In the years directly following the composition of the Abhidharmakoshabhashya, Vasubandhu seems to have spent much time in travelling from place to place. Finally, after having spent some time at Shakala/ Shagala (modern Sialkot in Pakistan), he shifted along with his teachers Buddhamitra and Manoratha to Ayodhya (now located in Uttar Pradesh, northern India), a city far removed from Kashmir. According to Posou pandou fashi zhuan, Vasubandhu, now proud of the fame he had acquired, clung faithfully to the Hinayana doctrine in which he was well-versed and, having no faith in the Mahayana, denied that it was the teaching of the Buddha. Vasubandhu had up to this time but little regard for the Yogacara treatises of his elder brother. He had perhaps seen the voluminous Yogacarabhumi compiled by Asanga, which may have simply repelled him by its bulk. According to Bu-ston, he is reported to have said, “Alas, Asanga, residing in the forest, has practised meditation for twelve years. Without having attained anything by this meditation, he has founded a system, so difficult and burdensome, that it can be carried only by an elephant.” Asanga heard about this attitude of his brother and feared that Vasubandhu would use his great intellectual gifts to undermine the Mahayana. By feigning illness he was able to summon his younger brother to Purusapura, where he lived. However, Xuanzang differs with some of these details and the place provided by Paramartha regarding Vasubandhu’s conversion. According to the Xiyuji the conversion of Vasubandhu took place at Ayodhya. At the rendezvous, Vasubandhu asked Asanga to explain the Mahayana teaching to him, whereupon he immediately realized the supremacy of Mahayana thought. After further study, we are told, the depth of his realization came to equal that of his brother. Deeply ashamed of his former abuse of the Mahayana, Vasubandhu wanted to cut out his tongue, but refrained from doing so when Asanga told him to use it for the cause of Mahayana. Vasubandhu regarded the study of the enormous Shatasahasrikaprajna-paramita-sutra as of utmost importance. In view of the fact that they were the texts that converted him to Mahayana, Vasubandhu’s commentaries on the Akshayamatinirdesha-sutra and the Dasha-bhumika may have been his earliest Mahayana works. These were followed by a series of commentaries on other Mahayana sutras and treatises, including the Avatamsakasutra, Nirvanasutra, Vimalakirtinirdeshasutra, and Shrimaladevisutra. He himself composed a treatise on vijnaptimatra (cognition only) theory and commented on the Mahayanasamgraha, Triratna-gotra, Amrita-mukha, and other Mahayana treatises. According to the Tibetan biographers, his favorite sutra was either the Shatasahasrikaprajna-paramita-sutra or the Ashtasahasrika. Considering that these texts reveal the most profound insights into Mahayana thinking, it is not surprising that Vasubandhu liked them. Since the output of Vasubandhu’s Mahayana works is huge, he was in all probability writing new treatises every year. According to Posou pandou fashi zhuan Vasubandhu engaged in his literary activity on behalf of the Mahayana after Asanga’s death. Xuanzang, however, tells a strange story that suggests that Vasubandhu died before Asanga.

4. Intellectual Debates

With the composition of the Abhidharmakosha, Vasubandhu came to enjoy the patronage and favor of two Gupta rulers, Vikramaditya and his heir Baladitya, who can be identified respectively, as Skandagupta (ruled circa 455-467 C.E.) and Narasimhagupta (ruled circa 467-473 C.E.). The first important intellectual debate which Vasubandhu had was with Vasurata. Vasurata was a grammarian and the husband of the younger sister of Baladitya. It was Baladitya who had challenged Vasubandhu to a debate. Vasubandhu was able to defeat him successfully. Another well-known intellectual encounter which Vasubandhu had was with Samkhyas. While Vasubandhu was away, his old master Buddhamitra was defeated in a debate at Ayodhya by Vindhyavasin. When Vasubandhu came to know of it, he was enraged and subsequently trounced the Samkhyas both in debate and in a treatise the Paramarthasaptatika. Candragupta II rewarded him with 300,000 gold coins for his victory over the Samkhyas. Vasubandhu made use of this money to build three monasteries, one for the Mahayanists, another one for his old colleagues the Sarvastivadins, and a third for nuns. Refutation of Vaisheshika and Samkhya theories had been presented by Vasubandhu already in the Abhidharmakosha, but it was perhaps from this point onward that Vasubandhu was regarded as a philosopher whose views could not be lightly challenged. Samghabhadra, a Sarvastivada scholar from Kashmir, also once challenged Vasubandhu regarding the Abhidharmakosha. He composed two treatises, one consisting of 10,000 verses and another of 120,000 verses. According to Xuanzang, it took twelve years for Samghabhadra to finish the two works. He challenged Vasubandhu to a debate, but Vasubandhu refused, saying, “I am already old, so I will let you say what you wish. Long ago, this work of mine destroyed the Vaibhashika (that is, the Sarvastivada) doctrines. There is no need now of confronting you… Wise men will know which of us is right and which one is wrong.”

5. Date of Vasubandhu

The date of Vasubandhu has posed a problem for historians. According to Paramartha, Vasubandhu lived 900 years after the Mahaparinirvana of the Buddha. At another place, Paramartha also mentions the figure of 1100. Xuanzang and his disciples respectively mention that Vasubandhu lived 1000 and 900 years after the Mahaparinirvana of the Buddha. Now though it is generally believed that the Mahaparinirvana of the Buddha took place within few years of 400 B.C.E., some scholars are still hesitant to accept this date. This has led to different scholars proposing different dates for Vasubandhu. Noul Pari and Shio Benkyoo give as Vasubandhu’s dates the years 270 to 350 C.E.. Steven Anacker proposes his date as 316-396 C.E., Ui Hakuju places him in the fourth century (320-400 C.E.). Takakusu Junjiroo and Kimura Taiken gave 420 to 500, Wogihara Unrai gives 390 to 470 C.E., and Hikata Ryushoo gives 400 to 480 C.E. Erich Frauwallner suggests that there were two Vasubandhus and hence two different dates. According to him Vasubandhu the elder lived between about 320 and 380 C.E. and Vasubandhu the younger between around 400 and 480 C.E. However, this hypothesis of two Vasubandhus is no longer tenable in current scholarship as many of the early Chinese documents used by Frauwallner are of spurious nature and thus, their testimony cannot be accepted.

6. Writings of Vasubandhu

Vasubandhu is said to have been the author of one thousand works, 500 in the Hinayana tradition and 500 Mahayana treatises. But only forty-seven works of Vasubandhu are extant, nine of which survive in the Sanskrit original, twenty-seven in Chinese translation, and thirty-three in Tibetan translation. The Abhidharmakosha is the most voluminous among Vasubandhu’s independent expositions. It attained the status of a primary textbook to be studied by all students of the tradition in the Northern Buddhist countries, including Tibet. As pointed out above, the Abhidharmakosha pictures the Buddhist Path to Enlightenment through the categorization and analysis of the seventy-five dharmas.

Vasubandhu’s Karmasiddhi (Establishing Karma) is a short, quasi-Hinayana treatise coloured, as is the Abhidharmakosha, by Sautrantika leanings. His Pancaskandhaprakarana (Exposition on the Five Aggregates) discusses most of the subjects taken up in the Abhidharmakosha. In cataloguing and categorization of dharmas in the Pancaskandhaprakarana the dharmas is a bit different than the Abhidharmakosha. Moreover, whereas the Abhidharmakosha talks about seventy five dharmas, not only have several dharmas been added, but many of the original seventy five have been dropped in the Pancaskandhaprakarana.

In his Karmasiddhiprakarana (Exposition on Establishing Karma), Vasubandhu challenged the views of those who held that dharmas are anything other than being momentary. The doctrine of momentariness (kshanikavada) perceived consciousness as a causal sequence of moments in which each moment is caused by its immediate predecessor. However, he felt that this theory could not explain certain categories of continuity. For instance, kshanikavada did not offer any satisfactory explanation for the re-emergence of a consciousness stream after having been interrupted in deep sleep. Similarly, continuity from one life to the next could not be explained satisfactorily by this theory. To solve such inconsistencies, Vasubandhu introduced the Yogacara notion of the alaya vijnana (storehouse consciousness). Through this concept he explained that the seed (bija) of a previous experience is stored subliminally and released into a new experience. In this way, Vasubandhu not only explained continuity between two separate moments of consciousness, but he also provided a quasi causal explanation for the functioning of karmic retribution. In other words, Vasubandhu’s alaya vijnana provided an explanation as to how an action performed at one time could produce its result at another time. This concept also did away with the necessity of a permanent atman as the doer and recipient of karma since, like a stream, it is continuously changing with new conditions from moment to moment.

From the Yogacara point of view the most important of Vasubandhu’s works are the Vimshatika (Twenty Verses), Trimshika (Thirty Verses), and Trisvabhavanirdesha (Exposition on the Three Natures). According to tradition, the Trisvabhavanirdesha was reputedly his last treatise, and his Vimshatika and Trimshika were written near the end of his life, though we have no actual evidence to support this order. Despite the fact that all these three texts are very concise and the Trisvabhavanirdesha was not even known in China (and is never read in Tibet despite being part of Tibetan canon), they form a kind of troika and represent Vasubandhu’s final accomplishment as a Yogacara-Vijnanavada teacher.

The Vimshatika is perhaps the most original and philosophically interesting treatise of Vasubandhu. Vasubandhu devotes a major portion of this text in dealing with the Realist objections against Yogacara. To the Realist position that external things must exist because they are consistently located in space as well as time, Vasubandhu responds by saying that objects also appear to have spatial and temporal qualities in dreams, whereas nothing ‘external’ is present in the dreams. This means that the appearance of cognitive objects does not require an actual object external to the consciousness cognizing it. Vasubandhu, however, points out that without the consciousness nothing whatsoever can be apprehended. Therefore, it is consciousness that is the necessary condition and not an external object. Vasubandhu does not deny that cognitive objects exist. However, what he denies is that such cognitive objects have external reference points. From the Yogacara point of view, what we believe to be external objects are actually nothing more than mental projections. Thus, whatever we think about, know, experience, or conceptualize, occurs to us only in our consciousness and nowhere else. In other words, according to Vasubandhu, cognition takes place only in consciousness and nowhere else. Thus, everything that we know is acquired through sensory experience. We are fooled by consciousness into believing that those things which we perceive and appropriate within consciousness are actually outside our cognitive sphere. To the Realist objection that subjective wishes do not determine objective realities, Vasubandhu replies that due to collective-karma groups give rise to common misperceptions. He pointed out that it is the result of a person’s own karma that determines the type of situation in which that person would be born. Thus, Vasubandhu points out that how we see things is shaped by previous experience, and since experience is inter-subjective, we gather in groups that see things the way we do. To another Realist objection that the objective world functions by determinate causal principles, Vasubandhu points out that the appearance of causal efficacy also occurs in dreams. Thus our conscious ‘dreams’ can have causal efficacy.

The Trimshika, which became the basic text of the Faxiang (Japanese Hossoo) school, is one of Vasubandhu’s most mature works. Through concise verses he sums up his doctrine of vijnapti matra (cognition only) by explaining Yogacara theories of eight-consciousnesses, three-natures and the five-step path to Enlightenment. The eight types of consciousness are the five sense consciousnesses, the empirical consciousness (mano-vijnana), a self-aggrandizing mentality (manas), and the alaya-vijnana. Vasubandhu describes and explains how each of these can be extinguished through ashraya-paravritti i.e., through the overturning of the very basis of these eight types of consciousness. This over-turning i.e., achievement of the Bodhi gradually takes place through the five-step path in a way that consciousness (vijnana) is transformed into unmediated cognition (jnana). According to the theory of three natures, there are three cognitive realms at play: the delusional cognitively constructed realm, which is intrinsically unreal; the realm of causal dependency; and the perfectional realm which is intrinsically ‘empty.’ To Vasubandhu, Buddhism is a method of cleansing the stream of consciousness from ‘contaminations’ and ‘defilements.’

The Foxinglun (Treatise on Buddha Nature) exerted great influence on Sino-Japanese Buddhism by propounding the concept of tathagata-garbha (Buddha Nature). The Vadavidhi (A Method for Argumentation) is another important text attributed to Vasubandhu. Though this text is not strictly speaking a ‘logic’ text and does not make any distinction between techniques of debate and logic as such, still its importance in the field of logic cannot be overlooked. It not only provides information on the state of Buddhist logic prior to Dignaga, but also paved the way for the revolutionary contribution of Dignaga and Dharmakirti in the field of logic. Though not many details on the meditative career of Vasubandhu are available, his Madhyantavibhagabhashya (Commentary on the Separation of the Middle from Extremes) points to his keen interest in the techniques of meditation.

Vasubandhu’s commentaries on sutras and shastras are by no means less important than the above-mentioned independent treatises. He wrote commentaries on three treatises: the Madhyantavibhaga (Discrimination between the Middle and the Extremes), Mahayanasutralamkara (Ornament of the Mahayana Sutras), and Dharmadharmatavibhaga/ Dharmadharmtavibhanga (Discrimination between Existence and Essence). All these three treatises are important texts of the Yogacara school and are ascribed to Asanga’s teacher Maitreya. Vasubandhu also composed a commentary on Asanga’s Mahayanasamgraha (Compendium of Mahayana). It is the first methodical presentation of the doctrines of Yogacara-Vijnanavada. Vasubandhu’s Sukhavativyuhasutranirdesha (Commentary on the Sukhavativyuha Sutra) is another important text. This text became a fundamental treatise of the Pure Land faith in China and Japan. The Indian Yogacara-Vijnanavada is represented in China by three schools, and the development of all these schools is credited to the works of Vasubandhu. The first of these schools, called the Dilun school (which was established in the first half of the sixth century C.E.), took his Dashabhumikasutranirdesha (Commentary on the Dashabhumika Sutra) as its basic text. The second, the Shelun school which originated in the second half of the sixth century C.E., developed around a translation of the Mahayanasamgraha done by Paramartha. The third school, known as the Faxiang school (founded by Xuanzang and his disciple Kuiji in the seventh century), adopted the Trimshika as its basic text.

Later in life, Vasubandhu went so far ahead with his contemplative exercises that he even refused to engage in a debate with his worthy opponent Samghabhadra. He died at the age of eighty. Paramartha says that he died at Ayodhya, whereas Bu-ston says that his death took place in the northern frontier countries, which he calls ‘Nepal.’ In recognition of his contribution and achievements as a Mahayana teacher, he came to be reverently called a bodhisattva in various traditions from India to China. In fact, some go to the extent of even calling him the ‘second Buddha.’ As rightly pointed out in Bu-ston, he “was possessed of the wealth (vasu of the Highest wisdom and, having propagated the Doctrine out of mercy, had become the friend (bandhu) of the living beings.”

7. References and Further Readings

  • Anacker, Steven. Seven Works of Vasubandhu. Delhi: Motilal Banarsidass, 1984.
  • Duerlinger, James. Indian Buddhist Theories of Person: Vasubandhu’s Refutation of the Theory of a Self. London: RoutledgeCurzon, 2003.
  • Frauwallner, Erich. On the Date of the Buddhist Master of the Law, Vasubandhu. Rome: IsMeo, 1951.
  • Hall, Bruce C. “The Meaning of Vijnapti in Vasubandhu’s Concept of Mind.” Journal of the International Association of Buddhist Studies 9 (1986): 7-23.
  • Chimpa, Lama, and A. Chattopadhyaya, trans. Taranatha’s History of Buddhism in India. Simla: Indian Institute of Advanced Study, 1970.
  • Jaini, Padmanabh S. “On the Theory of Two Vasubandhus.” Bulletin of the School of Oriental and African Studies 21 (1958): 48-53.
  • Kaplan, Stefan. “A Holographic Alternative to a Traditional Yogacara Simile: An Analysis of Vasubandhu’s Trisvabhava Doctrine.” Eastern Buddhist 23 (1990): 56-78.
  • Kochumuttom, Thomas. A Buddhist Doctrine of Experience: A New Translation and Interpretation of the Works of Vasubandhu the Yogacarin. Delhi: Motilal Banarsidass, 1982.
  • Kritzer, Robert. “Vasubandhu on samapratyaya vijnanamam.” Journal of the International Association of Buddhist Studies 16/1 (1993): 24-55.
  • Levi, Sylvain. Un systeme de philosophie bouddhique: Materiaux pour l`etude du systeme Vijnaptimatra.Paris: Bibliotheque de l`ecole des Hautes Etudes, fasc. 260, 1932.
  • Lusthaus, Dan. Buddhist Phenomenology: A Philosophical Investigation of Yogacara Buddhism and the Ch’eng wei shih lun. London: Curzon, 2000.
  • Obermiller, E., trans. The History of Buddhism in India and Tibet by Bu-Ston. 2nd rev. ed. Delhi: Sri Satguru Publications, 1986.
  • Poussin, Louis de la Vallee, trans. L’Abhidharmakosha de Vasubandhu. 6 vols. Bruxelles, 1971 [reprint].
  • Pruden, Leo, trans. Abhidharma Kosha Bhashyam. 4 vols. Berkeley: Asian Humanities Press, 1988-90.
  • Ryushoo, Hikata. “A Reconsideration on the Date of Vasubandhu.” Bulletin of the Faculty of the Kyushu University 4 (1956): 53-74.
  • Takakusu, J. “A Study of Paramartha’s Life of Vasubandhu and the Date of Vasubandhu.” Journal of the Royal Asiatic Society (1905): 33-53.
  • Tola, Fernando, and Carmen Dragonetti, eds. “The Trisvabhavakarika of Vasubandhu.” Journal of Indian Philosophy 11 (1983): 225-266.
  • Waldron, William S. The Buddhist Unconsciousness: The alaya-vijnana in the Context of Indian Buddhist Thought. London: RoutledgeCurzon, 2003.
  • Yamada, Isshi. “Vijnaptimatrata of Vasubandhu.” Journal of the Royal Asiatic Society (1977): 158-176.

Author Information

K. T. S. Sarao
Email: ktssarao@hotmail.com
Delhi University
India

Validity and Soundness

A deductive argument is said to be valid if and only if it takes a form that makes it impossible for the premises to be true and the conclusion nevertheless to be false. Otherwise, a deductive argument is said to be invalid.

A deductive argument is sound if and only if it is both valid, and all of its premises are actually true. Otherwise, a deductive argument is unsound.

According to the definition of a deductive argument (see the Deduction and Induction), the author of a deductive argument always intends that the premises provide the sort of justification for the conclusion whereby if the premises are true, the conclusion is guaranteed to be true as well. Loosely speaking, if the author’s process of reasoning is a good one, if the premises actually do provide this sort of justification for the conclusion, then the argument is valid.

In effect, an argument is valid if the truth of the premises logically guarantees the truth of the conclusion. The following argument is valid, because it is impossible for the premises to be true and the conclusion nevertheless to be false:

Elizabeth owns either a Honda or a Saturn.
Elizabeth does not own a Honda.
Therefore, Elizabeth owns a Saturn.

It is important to stress that the premises of an argument do not have actually to be true in order for the argument to be valid. An argument is valid if the premises and conclusion are related to each other in the right way so that if the premises were true, then the conclusion would have to be true as well. We can recognize in the above case that even if one of the premises is actually false, that if they had been true the conclusion would have been true as well. Consider, then an argument such as the following:

All toasters are items made of gold.
All items made of gold are time-travel devices.
Therefore, all toasters are time-travel devices.

Obviously, the premises in this argument are not true. It may be hard to imagine these premises being true, but it is not hard to see that if they were true, their truth would logically guarantee the conclusion’s truth.

It is easy to see that the previous example is not an example of a completely good argument. A valid argument may still have a false conclusion. When we construct our arguments, we must aim to construct one that is not only valid, but sound. A sound argument is one that is not only valid, but begins with premises that are actually true. The example given about toasters is valid, but not sound. However, the following argument is both valid and sound:

In some states, no felons are eligible voters, that is, eligible to vote.
In those states, some professional athletes are felons.
Therefore, in some states, some professional athletes are not eligible voters.

Here, not only do the premises provide the right sort of support for the conclusion, but the premises are actually true. Therefore, so is the conclusion. Although it is not part of the definition of a sound argument, because sound arguments both start out with true premises and have a form that guarantees that the conclusion must be true if the premises are, sound arguments always end with true conclusions.

It should be noted that both invalid, as well as valid but unsound, arguments can nevertheless have true conclusions. One cannot reject the conclusion of an argument simply by discovering a given argument for that conclusion to be flawed.

Whether or not the premises of an argument are true depends on their specific content. However, according to the dominant understanding among logicians, the validity or invalidity of an argument is determined entirely by its logical form. The logical form of an argument is that which remains of it when one abstracts away from the specific content of the premises and the conclusion, that is, words naming things, their properties and relations, leaving only those elements that are common to discourse and reasoning about any subject matter, that is, words such as “all,” “and,” “not,” “some,” and so forth. One can represent the logical form of an argument by replacing the specific content words with letters used as place-holders or variables.

For example, consider these two arguments:

All tigers are mammals.
No mammals are creatures with scales.
Therefore, no tigers are creatures with scales.

All spider monkeys are elephants.
No elephants are animals.
Therefore, no spider monkeys are animals.

These arguments share the same form:

All A are B;
No B are C;
Therefore, No A are C.

All arguments with this form are valid. Because they have this form, the examples above are valid. However, the first example is sound while the second is unsound, because its premises are false. Now consider:

All basketballs are round.
The Earth is round.
Therefore, the Earth is a basketball.

All popes reside at the Vatican.
John Paul II resides at the Vatican.
Therefore, John Paul II is a pope.

These arguments also have the same form:

All A’s are F;
X is F;
Therefore, X is an A.

Arguments with this form are invalid. This is easy to see with the first example. The second example may seem like a good argument because the premises and the conclusion are all true, but note that the conclusion’s truth isn’t guaranteed by the premises’ truth. It could have been possible for the premises to be true and the conclusion false. This argument is invalid, and all invalid arguments are unsound.

While it is accepted by most contemporary logicians that logical validity and invalidity is determined entirely by form, there is some dissent. Consider, for example, the following arguments:

My table is circular. Therefore, it is not square shaped.

Juan is a bachelor. Therefore, he is not married.

These arguments, at least on the surface, have the form:

x is F;
Therefore, x is not G.

Arguments of this form are not valid as a rule. However, it seems clear in these particular cases that it is, in some strong sense, impossible for the premises to be true while the conclusion is false. However, many logicians would respond to these complications in various ways. Some might insist–although this is controverisal–that these arguments actually contain implicit premises such as “Nothing is both circular and square shaped” or “All bachelors are unmarried,” which, while themselves necessary truths, nevertheless play a role in the form of these arguments. It might also be suggested, especially with the first argument, that while (even without the additional premise) there is a necessary connection between the premise and the conclusion, the sort of necessity involved is something other than “logical” necessity, and hence that this argument (in the simple form) should not be regarded as logically valid. Lastly, especially with regard to the second example, it might be suggested that because “bachelor” is defined as “adult unmarried male”, that the true logical form of the argument is the following universally valid form:

x is F and not G and H;
Therefore, x is not G.

The logical form of a statement is not always as easy to discern as one might expect. For example, statements that seem to have the same surface grammar can nevertheless differ in logical form. Take for example the two statements:

(1) Tony is a ferocious tiger.
(2) Clinton is a lame duck.

Despite their apparent similarity, only (1) has the form “x is a A that is F.” From it one can validly infer that Tony is a tiger. One cannot validly infer from (2) that Clinton is a duck. Indeed, one and the same sentence can be used in different ways in different contexts. Consider the statement:

(3) The King and Queen are visiting dignitaries.

It is not clear what the logical form of this statement is. Either there are dignitaries that the King and Queen are visiting, in which case the sentence (3) has the same logical form as “The King and Queen are playing violins,” or the King and Queen are themselves the dignitaries who are visiting from somewhere else, in which case the sentence has the same logical form as “The King and Queen are sniveling cowards.” Depending on which logical form the statement has, inferences may be valid or invalid. Consider:

The King and Queen are visiting dignitaries. Visiting dignitaries is always boring. Therefore, the King and Queen are doing something boring.

Only if the statement is given the first reading can this argument be considered to be valid.

Because of the difficulty in identifying the logical form of an argument, and the potential deviation of logical form from grammatical form in ordinary language, contemporary logicians typically make use of artificial logical languages in which logical form and grammatical form coincide. In these artificial languages, certain symbols, similar to those used in mathematics, are used to represent those elements of form analogous to ordinary English words such as “all”, “not”, “or”, “and”, and so forth. The use of an artificially constructed language makes it easier to specify a set of rules that determine whether or not a given argument is valid or invalid. Hence, the study of which deductive argument forms are valid and which are invalid is often called “formal logic” or “symbolic logic.”

In short, a deductive argument must be evaluated in two ways. First, one must ask if the premises provide support for the conclusion by examing the form of the argument. If they do, then the argument is valid. Then, one must ask whether the premises are true or false in actuality. Only if an argument passes both these tests is it sound. However, if an argument does not pass these tests, its conclusion may still be true, despite that no support for its truth is given by the argument.

Note: there are other, related, uses of these words that are found within more advanced mathematical logic. In that context, a formula (on its own) written in a logical language is said to be valid if it comes out as true (or “satisfied”) under all admissible or standard assignments of meaning to that formula within the intended semantics for the logical language. Moreover, an axiomatic logical calculus (in its entirety) is said to be sound if and only if all theorems derivable from the axioms of the logical calculus are semantically valid in the sense just described.

For a more sophisticated look at the nature of logical validity, see the articles on “Logical Consequence” in this encyclopedia. The articles on “Argument” and “Deductive and Inductive Arguments” in this encyclopedia may also be helpful.

Author Information

The author of this article is anonymous. The IEP is actively seeking an author who will write a replacement article.

Collective Intentionality

The idea that a collective could be bearer of intentional states such as belief and intention is likely to raise some eyebrows, especially in certain Anglo-American and European philosophical circles. The dominant picture in these circles is that intentionality is a feature of individual minds/brains. On the face of it, groups don’t have minds or brains. How could they have intentional states?

Despite the initial skepticism, there is a growing number of philosophers turning their attention to the issue of collective intentionality. The focus of these recent discussions has been primarily on the notions of collective intention and belief. Philosophers of action theory have been interested in collective intentions because of their interest in understanding collective or group agency. Individual intentions shape and inform individual actions. My intention guides my daily activities, structures my desires in a variety of ways, and facilitates coordination with both my future self and others around me. But we do not always act alone and it is coordination with others that raises interesting issues regarding the possibility of collective intentions. Many philosophers believe that individual intentions alone will not explain collective action and that joint action requires joint (sometimes called shared or collective in the literature) intentions. An exception to this trend is Seamus Miller who has argued that collective or joint action can be understood in terms of collective ends that are not intentions. Because his positive account of joint action does not appeal to collective intentionality, his work will not be highlighted in this article.

Interest in the notion of collective belief has been motivated, in part, by concerns over how to understand our collective belief ascriptions and the role they play in social scientific theory and everyday contexts. We often attribute beliefs, desires, and other propositional attitudes to groups like corporations. What do these ascriptions mean? Are they to be taken literally?

Table of Contents

  1. Instrumentalism
  2. Summative Accounts
  3. Non-Summative Accounts
    1. Searle
    2. Bratman
    3. Gilbert
    4. Tuomela
  4. Internal Debates: Belief vs. Acceptance
  5. The Role of Collective Intentionality
  6. References and Further Reading

1. Instrumentalism

A common response to the questions that arise concerning our practice of ascribing intentional states to groups is to say that these ascriptions are mere fictions. When we say, “The Federal Reserve believes that interest rates ought to remain low,” this does not mean that the Federal Reserve literally has a belief. Rather, we are speaking metaphorically. According to this account, our ascriptions of intentional states to groups, though useful, are, strictly speaking, false.

Although this account has common-sense appeal, it has not been appealing to philosophers working in this area for a variety of reasons. First, our practice of attributing responsibility to organizations (consider, for instance, current tobacco lawsuits) seems to presuppose that organizations literally have intentional states. For we could not hold them legally and morally responsible for an action unless they intended to commit the act. Since we do not hold organizations metaphorically responsible (much to the dismay of tobacco companies), the attributions on which our ascriptions of responsibility rest should be, at least initially, considered non-metaphorical.

Further, our ascriptions of intentional states to groups have a surprising explanatory power. They allow us to predict and explain the actions of groups. Although false ascriptions could be explanatorily powerful (just as false theories are sometimes explanatorily powerful), explanatory power is prima facie evidence that our ascriptions are not simply false. We might also note that if the instrumentalist about collective intentionality is correct, then we, the media, social scientists, lawyers, political scientists, etc. are continually disseminating falsehoods. This seems to be an odd result and again, prima facie, evidence that our ascriptions are not mere metaphors.

It should be noted that rejection of the metaphorical approach to our collective intentional state ascriptions does not necessarily commit one to the view that when we are ascribing intentional states to groups those ascriptions are true in virtue of the fact that there is a collective or group mind that is the bearer of these states. In rejecting the metaphorical approach one need not also reject an individualistic approach. As we shall see there are alternative accounts that hold that these ascriptions are true, not in virtue of there being a group mind, but in virtue of the fact that the individuals within the group have certain intentional states. Summative accounts are of this kind.

2. Summative Accounts

Summative accounts of collective attitude ascription argue that these ascriptions are a short-hand way of referring to the fact that most members have the attitude (and the content) ascribed to the group. This is the view espoused by Anthony Quinton in ‘Social Objects’ (1975). These accounts have been labeled summative by Margaret Gilbert (1989) because they try to analyze group attitude ascriptions in terms of the sum of individual attitudes with the same content as that ascribed to the group.

There are a variety of summative accounts on offer. For the purposes of this article I will focus on two types, simple summative account (SSA) and the complex summative account (CSA), identified by Margaret Gilbert in her (1987) article “Modelling Collective Belief.” According to the simple summative account:

Group G believes that p if and only if all or most of the members believe that p.

A simple summative account of group intention would substitute ‘intends’ in the formulation above. Gilbert (1987, 1989, 1994) has argued persuasively that this analysis is insufficient. Consider a case in which every member of the philosophy department believes that eating meat is immoral, but the members do not express this opinion because they are afraid of the response they will receive from their colleagues and students. In this context, it is unlikely that we would attribute to the philosophy department the belief that eating meat is immoral. It is possible, of course, to construct a context in which it would be appropriate to attribute such a belief to the philosophy department–perhaps, if the philosophy department were engaged in a discussion of animal rights. But in such a context the beliefs of the individuals would no longer be secret. Presumably, at least some of the members would express their opinions.

This example suggests that group belief depends on certain epistemic features of individuals. The complex summative account acknowledges these epistemic features by introducing the notion of common knowledge. CSA requires that members of the group recognize or know that most of the members in the group believe that p. Thus, CSA is committed to the conceptual truth of the following:

A group G believes that p if and only if (1) most of the members of G believe that p, and (2) it is common knowledge in G that (1).

Gilbert (1989, 1994) has argued that the CSA is too weak. Consider the following example: A company has formed two committees and coincidently the committees have the same exact membership. One committee has been formed in order to develop an office dress code. Call this committee the Dress Code committee. The other committee has been formed to assess the recently installed phone system. Call this committee the Phone committee. Now imagine that (a) every member of the Dress Code committee personally believes that spandex pants are inappropriate apparel for the office and this is common knowledge within the Dress Code committee, and (b) the same goes mutatis mutandis for each member of the Phone committee. It seems compatible with (a) and (b) that (c) the Dress Code committee believes spandex is inappropriate, and (d) the Phone committee does not believe that spandex is appropriate office apparel. Yet the conditions of the CSA have been met for both. Gilbert provides a similar example in (1996, 199). The addition of common knowledge, according to Gilbert, does not provide sufficient conditions for group belief. Although Angelo Corlett (1996) has criticized examples of this sort and has provided a defense of a simple summative account, most theorists agree with Gilbert that the account is insufficient.

In addition to being too weak, many including Gilbert believe that both the CSA and SSA are too strong. On summative accounts it is conceptually necessary for most of the members of G to believe that p in order for G to believe that p. This seems too strong. Indeed, there seem to be contexts in which no group member has the attitude ascribed to the group. Imagine a group of politicians who do not personally believe that partial birth abortion should be outlawed, but because of the pressure exerted by their constituents they vote to ban partial birth abortion. Ascriptions of belief to the group of politicians would probably be made on the basis of this vote and, thus, we would ascribe the belief that partial birth abortion should be banned to the group of politicians even though no individual politician personally believes this proposition.

Group intentions, too, are not easily understood in terms of the summation of individual intentions to perform some action. Consider this example given by John Searle (1990, 403). Imagine a group of people sitting on the grass enjoying a sunny afternoon. Suddenly it grows dark and starts to rain. They all get up and run for shelter. In this scenario each individual has the intention “I am running to shelter” and these intentions are had independently of one another. Now imagine a situation in which their running to the shelter is part of a performance. Suppose they are a group of actors and this is part of a scene in a play. Thus, at one point in the play they perform the same actions done by the individuals in the above scenario. According to Searle, the performance by the actors involves a collective intention in the form “we intend to do x.” This collective intention is different from the individual intentions had by the individual actors and it is not captured by summing up individual intentions in the form “I intend to x.”

The reason why collective intentions cannot be reduced to individual intentions, argues Searle, is that no set of I-intentions even supplemented with mutual beliefs will add up to a we-intend. Collective intentions involve a sense of acting and willing something together. Individual intentions involved in this enterprise are derived from collective intentions and the individual intentions that are derived from the collective intention will often have a different content from that of the collective intention. Michael Bratman (1999,111) also stresses the inadequacy of summative accounts of group intentions. Consider a case in which you have an intention to paint the house and I have an intention to paint the same house and this is common knowledge between us. The set of intentional states is not enough to guarantee that our actions are coordinated in any manner so that we are painting the house together. Indeed, the complex summative account does not rule out the possibility of our painting the same house at the same time but independent of one another (avoiding the other by chance). The set of individual intentional states identified by the complex summative accounts is not going to play any role in coordinating our behavior so that painting the house is something we do together. Intentions, either collective or individual, do, by their nature, play a role in planning and coordination. (Bratman, 1999, 1987) So, according to this line of reasoning, summative accounts, even of the complex kind, cannot be an adequate account of the nature of collective intention.

3. Non-Summative Accounts

a. Searle

In “Collective Intentions and Actions” (1990) and in The Construction of Social Reality (1995) John Searle defends an account of collective intentionality that is non-summative, but remains individualistic. Searle specifies that anything we say about collective intention must meet the following conditions of adequacy:

  1. It must be consistent with the fact that society is nothing over and above the individuals that comprise it. All consciousness and intentionality is in the minds of individuals. Specifically, individual brains.
  2. It must be consistent with the fact that all intentionality could be had by a brain in a vat.

Searle’s first criterion of adequacy denies that groups themselves can be intentional agents and advocates a form of individualism. The second criterion is motivated by atomism. According to this condition, all intentionality, individual or collective, is independent of what the real world is like, since a radical mistake is possible. These two conditions entail that collective intentions exist in individual brains. Thus Searle’s position allows for the possibility of a single person having the collective intention “we intend to do x.”

…I could have all the intentionality I do have even if I am radically mistaken, even if the apparent presence and cooperation of other people is an illusion, even if I am suffering a total hallucination, even if I am a brain in a vat. (1990, 117)

How is it possible for an individual to have an intention of the form “We intend to J”? Searle contends that this capacity is biologically primitive. Indeed, he suggests that it is shared by a variety of other species. This capacity presupposes other Background capacities (the Background is a technical term for Searle referring to conditions necessary for certain cognitive activities and language). In particular, it presupposes a Background sense of the other as a candidate for cooperative agency (1990, 414).

Collective intentionality plays a large role in Searle’s overall account of social reality. In The Construction of Social Reality (1995) collective intentionality is that which confers a function on artifacts and changes them into social facts. Pieces of paper function as money because we intend them to do so. Just as individual intentionality has the ability to change the world via speech acts, collective intentionality has, according to Searle, the ability to create social facts.

Searle’s account of collective intention has been criticized for a variety of reasons. First, Tollefsen (2002d) notes that it rests on the controversial assumption that externalist theories of content individuation are false. According to standard externalist reasoning, if a brain in a vat is not in the proper water environment (either in causal contact with water or able to theorize about water) then it cannot have beliefs or intentions about water. The content of a belief is determined by external rather than merely internal aspects. If this is correct then a brain in a vat could not have we-intentions. Further, there are some who argue that one could not even have a concept of another agent if he or she is not part of a social practice of interpretation (Davidson, for instance, 1992). If these views are correct it would be difficult to say how a brain in a vat could have a we-concept at all. One cannot simply assume that these theories are false without a lengthy discussion and refutation. To the extent that Searle’s account rests on a controversial thesis in the philosophy of mind and language it is problematic.

Others (Meijers 2001, Gilbert 1998) have argued that Searle’s account fails to capture the normative relations that are an integral part of collective intentions. When we form a collective intention, we create obligations and expectations among us. The football players in Searle’s example above are obligated to perform certain actions given that they have formed a collective intention to execute a pass play. As Gilbert notes (1989, 1994) if one of the players fails to do his or her part the other players have a right to rebuke their teammate. This rebuke is evidence of the normativity involved in joint action. When we form a collective intention we make commitments and incur obligations. Searle’s account, because it essentially allows for solipsistic we-intentions, fails to acknowledge the normativity involved in collective intentionality. For Gilbert and Meijers, the normativity of collective intentionality is essential to the phenomenon.

Searle himself acknowledges that it is because of the special nature of collective intentions that we are able to distinguish between the two cases of individuals running for cover in the example above. There is something about collective intentions that coordinates individual, independent actions into a joint action. But isolated, perhaps even solipsistic, we-intentions do not, in themselves, seem to be enough to direct and coordinate the individual intentional actions of which the joint action is comprised. Suppose, for instance, that none of the actors knew of the other actor’s we-intention. It would seem to be a complete accident that they acted together. Indeed, it would seem as fortuitous as a group of individuals that just happen to get up at the same time and run for cover.

b. Bratman

The problems with Searle’s account point to the fact that whatever individual intentional states underlie collective intentions, they should be interrelated in a significant way. Michael Bratman provides an account of collective intention in terms of the intentions of the individual participants and their interrelations. His analysis provides a rational reconstruction of what it is for two people to intend to do something together. We should note that Bratman uses the term “shared intention” rather than collective intention.

We need to be careful with this phrase as there are several senses in which one can “share” an intention. You and I, for instance, can both intend to wash the dishes and thus we share, in some sense, the intention to wash the dishes. But these intentions are consistent with our washing the dishes independently of one another. Here is another way to distinguish between the weak and the strong sense of sharing. You and I each have a quarter in our pockets. In this case, one might say that we share “quarter possession.” This is the weak sense of sharing. This sense of sharing is to be distinguished from a case in which we share a quarter between us. The weak sense of sharing does not aid us in understanding how people can perform actions together. With this caution in mind, I will use collective intention and shared intention interchangeably to refer to the type of intention that is thought to be crucial for understanding collective actions. The weak sense of shared intention noted above is not a candidate.

Bratman begins his discussion of collective intention by identifying the role that collective or shared intentions play. First, shared intentions help to coordinate our intentional actions. For instance, our shared intention of washing the dishes will guide each of our intentional actions towards satisfying the goal of washing the dishes. Thus, someone will wash the dishes before rinsing them and someone will rinse them before drying them. Second, our shared intention will coordinate our actions by making sure that our own personal plans of action meld together. If I plan to do the washing, then I will check with your plan and see if there is any conflict. Third, shared intentions act as a backdrop against which bargaining and negotiation occur. Conflicts about who does the washing and who does the drying will be resolved by considering the fact that we share the intention to do the dishes. Thus, shared intention unifies and coordinates individual intentional actions by tracking the goals accepted by each individual.

Consider a case in which you and I intend to wash the dishes together. If this intention is a shared intention then it is not a matter of you having an intention to wash the dishes and me having an intention to wash the dishes. Nor is it a matter of each of us having an atomistically conceived we-intention to wash the dishes. Such coincident intentions do not insure that each of us knows of the other’s intention and that we are committed to the joint action of washing the dishes together. Further, an explicit promise made to each other does not seem to insure that we share an intention either. Because I might be lying to you and have no intention of washing the dishes with you. Thus, explicit promises are not sufficient for shared intention. Nor are they necessary for shared intention. Bratman provides an example from Hume to highlight this. “Consider Hume’s example of two people in a row boat who row together ‘tho they have never given promises to each other.’ Such rowers may well have a shared intention to row the boat together”(Bratman, 1993, 98-99).

What do shared intentions consist in according to Bratman? Bratman shares Searle’s commitment to individualism in that he does not think that shared intentions are the intentions of a plural agent, nor are they to be understood solely in terms of individual intentional states. Shared intentions, according to Bratman, are to be identified with the state of affairs consisting of a set of interrelated individual intentional states. What set of individual attitudes are interrelated in appropriate ways such that the complex consisting of such attitudes would, if functioning properly, do the jobs of shared intention?

Here is a somewhat simplified version of Bratman’s answer to this question. We intend to wash the dishes if and only if:

  1. a. I intend that we wash the dishes.
    b. You intend that we wash the dishes.
  2. I intend that we wash the dishes in accordance with and because of 1a and 1b; you intend likewise.
  3. 1 and 2 are common knowledge between us.

It should be noted that the focus in this article is on Bratman’s account of the shared intention that underlies joint intentional action. In “Shared Cooperative activity” (1999) Bratman provides an account of the shared intention that underlies more cooperative ventures and it involves conditions 1-3 and some additional conditions that rule out coercion.

As a first approximation, this complex of intentional attitudes above seems plausible. But consider a case in which we each intend to wash the dishes together and we each do so in part because of the other’s intention. However, I intend to wash the dishes with Palmolive and you intend to wash them with Joy. All of this is common knowledge and we will not compromise. Is there a collective intention present? It seems not. In this case we do not have our subplans coordinated in the appropriate way. Recall that one of the jobs that shared intention has is to coordinate our individual plans and goals. In the example above our individual subplans are in conflict and this would prevent us from achieving our goal of getting the dishes washed.

Bratman avoids this counterexample by adding a clause about participants’ subplans. It is not necessary that our subplans match, but they must mesh. So, if my subplan is to wash the dishes with Palmolive, and your subplan is to wash them with hot water, and I have no preference about the water temperature, then our subplans mesh though they don’t match exactly. But if we have subplans to wash the dishes with completely different types of dish detergent then our subplans do not mesh. Bratman reformulates the account in the following way:
We intend to J if and only if:

  1. (a) I intend that we J and (b) you intend that we J
  2. I intend that we J in accordance with and because of 1a and 1b, and meshing subplans of 1a and 1b; you intend the same.
  3. 1 and 2 are common knowledge

This account of collective intentions rejects the atomism of Searle’s account. Because a shared intention is the complex of attitudes of individuals and their interrelations, an individual cannot have a shared intention. As we have seen, on Searle’s account one can have a shared intention, even if one is a brain in a vat. On Bratman’s view the intentions of individuals are interrelated and reflexive in a way that makes solipsistic we-intentions impossible.

Bratman’s account of collective or shared intentions has been criticized in a variety of ways. Both Searle and Bratman attempt to avoid the specter of the collective mind. Searle places we-intentions in the mind of individuals. Bratman avoids positing a plural agent by trying to explain collective intentions in terms of individual attitudes with common contents that are distinctively social in the sense that solitary individuals could not have them. But how is it possible for me to have an intention with the form “we-intend” or with the form “I intend that we do J”? There seem to be certain features of intention itself that would rule out both Searle’s and Bratman’s ways of understanding the notion of joint intention. This line of argument has been developed, in slightly different ways, in recent papers by Annette Baier (1997), Frederick Stoutland (1997), and J. David Velleman (1997). Normally, when I intend to do something, the action I intend to do is under my control. And in normal cases of shared intention (cases where there is no coercion or where I am not in control of your actions), the other agent is seen as being in control of his or her own actions. Further, when I intend to do something, this intention settles, in some sense, what I will do. In Bratman’s terms, I have set a plan or course of action for myself. But how, then, can I intend that we do something? There is something in this scenario that is out of my control. My intention that we J cannot settle what we will do, because you have an equally important role in settling what will be done. Thus, I cannot intend that we J.

Stoutland (1997) puts the problem a bit differently by emphasizing that Bratman’s attempt to identify a set of individual intentions with common contents is impossible. Because intention makes an implicit reference to the subject that fulfills the intention, there are no intentions with common content. “Art can intend to go to a film and Mary can intend to do the same; but their intentions do not have common content, since Art’s intention is his going to the film and Mary’s is her going to the film.” (1997, 56). Likewise, it would seem impossible for me to have a Searlian we-intention. Because intention makes an implicit reference to the subject that is responsible for fulfilling the intention and I am not a we, I cannot have a we-intention. In cases of joint action I am not the subject that is responsible for fulfilling the intention. In order to be responsible I would have to have the actions of others under my direct control. But I do not. Therefore, I cannot have a we-intention.

In “I intend that we J” (1999) Bratman alters his account of shared intention in an attempt to meet this challenge. Basically, Bratman introduces the technical notion of intending that. This is supposed to be like ordinary intention except that it does not require that the individual with the intention also be the individual who fulfills the intention. I can intend that my children go to college, for instance. On this understanding of intention it seems possible for an individual to have the intention that we X. This way of avoiding the objection has seemed to some to be problematic. First, to intend that my children go to college is simply to intend to do something that brings it about that my children go to college. And these actions (whatever they might be) are under my direct control. This is not so in the case of my intending that we X. Further, Bratman seems to have changed the subject. Intentions are normally intentions to do something.  It is intentions to act that explain behavior at the individual level. If collective actions presuppose intention in the way that individual agency does, then it would seem to be the same sort of intention to that is presupposed. But according to Stoutland and others, Bratman doesn’t give us an account of these intentions.

Like Searle, Bratman has been accused of ignoring the normativity of collective intentions. For Gilbert and Meijers, there is a normativity involved in collective intentionality that suggests that collective intentions and other intentional states are essentially commitments of a sort. Consider Gilbert’s (1989) example of walking together. We form an intention to walk together and begin our journey. Halfway through the walk you veer off to the left and start walking away from me. If we intended to walk together, this behavior is not only odd but justifiably subject to rebuke. The behavior will be considered to be a violation of some sort of commitment that we made. There seems to be a sense in which you ought not to have done this and I have the right to rebuke you. “Hey” I can say, “we are walking together. Where are you going?” I can take offense at your behavior and, according to Gilbert, my offense is justified and its justification derives from the normative commitments that are inherent in the collective intention.

Bratman’s account of collective or shared intentionality does not involve a normative element. For him, cognitive attitudes and their interrelations are enough to explain collective intentionality. Although he admits that certain shared activities will involve obligations, he stresses that it is possible to have a shared intention that does not involve promises or obligations. That is, there is nothing essentially normative about collective intentionality. He does, however, make a further distinction between weak and strong shared intentions, in which the latter involves binding agreement. This normativity inherent in a binding agreement, however, is explained in terms of additional moral principles like Scanlon’s (1998) “principle of fidelity.”

c. Gilbert

Margaret Gilbert’s account of collective intentions and other intentional states like belief aims, in part, to explain the nature of this normative phenomenon without having to postulate additional normative principles. Her account of collective intentionality is also part of a larger project to provide a conceptual analysis of certain group concepts. In On Social Facts (1989), in addition to providing an analysis of the concept of a group belief and intention, she also provides an account of the concept of a social group and the concept of social convention. In doing so, she claims to be uncovering the “core” of such concepts and legitimizing the use of these “everyday” concepts within the social sciences.

Gilbert’s account of collective intentionality is closely linked to her account of the concept of a social group. Briefly, our everyday concept of a social group is, according to Gilbert, the concept of a plural subject of belief or action. A plural subject is an entity, or as Gilbert puts it, “a special kind of thing, a ‘synthesis sui generis‘”(1996, 268) formed when individuals bond or unite in a particular way. This “special kind of thing” can be the subject to which intentional action and psychological attributes are attributed. We can formulate the conceptually necessary and sufficient conditions for the existence of plural subjects in the following way:

Individuals A1…..An….form a plural subject of X-ing (for some action X or psychological attribute X) if and only if A1An form a joint commitment to X-ing as a body.

It will be helpful to begin by considering what is involved in a joint commitment to act as a body or as a single individual. We will then consider the plural subject framework as it applies to psychological states like belief.

A joint commitment to act as a body is a commitment made by a collection of individuals to perform some present or future action as would a single individual. Joint commitments are formed when each of a number of people expresses his or her willingness to participate in the relevant joint commitment with the others. Each person understands that only when all of the relevant people have agreed to participate in the joint commitment will the joint commitment be formed. Once every one has agreed, a pool of wills is formed and individuals are then jointly committed. Once the joint commitment is established, each individual is individually obligated to do his or her part to make it the case that he or she acts as a body.

Consider a case in which Joe’s construction company agrees to build a house for Mrs. Wilbur. The members of the company do not each individually agree to build Mrs. Wilbur a house. This would lead to the proliferation of Wilbur abodes. They each individually agree, however, to make it the case that the house is built by the construction company and express their willingness to do so on the condition that every other member do the same. This expression of willingness need not be simultaneous. The members may express their willingness over time. Nor do they need to express their willingness verbally. In many cases, silence is an adequate expression of intention. They must, however, in order for the joint commitment to come into existence, communicate in some way and at some point in time their intention to do their part in building the house as a body with others.

Because joint commitments are joint, they cannot simply be reduced to an aggregate of individual commitments. A joint commitment gives rise to certain obligations and entitlements. Members of the group have a right to expect that other members will follow through on their commitments. Sam and Tammy are entitled to expect that Joe will do his part to make it the case that the construction company builds a house for Mrs. Wilbur. If Joe is doing something to frustrate the building process, Sam and Tammy are justified in rebuking him.

A joint commitment can only be rescinded if every member party to the joint commitment agrees to rescind it. The existence of the joint commitments in the face of an individual rescinding his or her individual commitment explains why the members of the construction company have a right to rebuke Joe when he is not doing his part. If Joe says, “I’ve had enough of this mindless labor,” and walks off the site, the joint commitment remains in full force because there has been no agreement among the members to rescind the joint commitment. This does not mean, of course, that the individual commitment Joe makes cannot be broken. It does mean, however, that if he breaks his individual commitment, even for a good reason, this does not nullify the joint commitment and its associated obligations.

According to Gilbert, the obligations which arise from a joint commitment are of a special kind and they differ from other forms of obligations in the following ways: First, although each individual in the group must be “willing” to be jointly committed, this notion of willingness does not, according to Gilbert, rule out coercion. A person can be coerced into being part of a joint commitment and yet it still remains a commitment to which a person is obligated. Gilbert wants to show that joint commitments arise in various environments and under various circumstances. Often joint commitments are coerced because the person who is doing the coercion needs the commitment of others in order to carry through with their actions.

A second aspect that distinguishes the obligations of a joint commitment from other types of obligation is the interdependence of the commitments makes it the case that no one member can rescind a joint commitment. For example, Al’s commitment to travel with Doris cannot be dissolved by Al changing his mind. This feature was already noted above.

Third, in becoming party to a joint commitment a person has a reason to act. It is a reason that remains whether or not his or her beliefs or external circumstances change. Joe is obligated to every other member of Joe’s construction company to act in accordance with the joint commitment to building a house. This commitment acts as a reason and, if reasons are causes, joint commitments can often explain why individuals act in particular circumstances. It is a reason that remains and will bind him to acting appropriately until the group as a whole decides to release one another from this obligation.

Finally, the people party to a joint commitment are aware of the obligations they have to one another. They could not be held responsible for violation of such obligations unless they were aware of these obligations. The fact that every other member has committed herself to the joint commitment is common knowledge, and there is also common knowledge of the obligations, expectations, and entitlements that arise from such commitments.

Having discussed the notion of forming a joint commitment to act as a body, we are now in a position to apply the plural subject schema to belief:

Individuals A1…An… form a plural subject of believing that p if and only if A1…An form a joint commitment to believe that p as a body.

Recall that joint commitments are commitments of groups, not individuals. They arise, in the case of joint action, when each individual expresses his willingness to do his part provided that every other individual commits to doing her part to bring it about that they perform some action as a body. Gilbert simply extends this analysis of joint action to group belief. Individuals express their willingness to do their part to make the case that they believe as a body. These commitments and expectations are common knowledge. This set of reciprocal intentions and commitments sets up the pool of wills and certain obligations and entitlements then come into play. But what is required in doing one’s part to make it the case that they believe that p as a body?

Gilbert makes it clear that members do not have to themselves believe that p. This allows her to avoid the pitfalls of the summative accounts. They also do not have to act as if they personally believe that p. Doing one’s part in the context of a joint belief, then, seems to involve at least not saying anything contrary to the group belief while speaking as a member of the group or acting contrary to the group belief while acting in one’s capacity as a group member. One who participates in a joint commitment to believe that p thereby accepts an obligation to do what he can to bring it about that any joint endeavors among the members of the group be conducted on the assumption that p is true. He is entitled to expect others’ support in bringing this about. Further, if one does believe something that is inconsistent with p, one is required at least not to express that belief baldly. The committee members would have a right to rebuke one of their own if, in acting as a member of the committee, he or she expressed views that were contrary to the group view without prefacing his or her remarks with “I personally believe that…”

According to Gilbert, then, when individuals form a plural subject of belief, (i.e., when they become party to a joint commitment to believe that p as a body), there is group belief that p. Note that she provides necessary and sufficient conditions for the existence of a plural subject of belief. But Gilbert recognizes in later work (1994) that there may be cases in which we want to say that a group has a belief, yet they do not meet the existence conditions for a plural subject of belief. This recognition leads her to say that what she is giving is an analysis of the core notion of group belief and that other cases of group belief will be extensions of this core notion. Thus, we end up with the following statement of the conceptually sufficient conditions for group belief:

There is a group belief that p if some persons constitute the plural subject of a belief that p. Such persons collectively believe that p.

Unique to Gilbert’s account is the assertion that under certain circumstances individuals form a plural subject and this subject is the legitimate subject of intentional state ascriptions. Recall that Bratman and Searle deny that there is a collective entity that is the appropriate subject of intentional state ascription. Her account, then, is less individualistic than Searle’s and Bratman’s.

Gilbert’s account of collective intentionality has been criticized on the following grounds. First, Tollefsen (2002) has argued that Gilbert’s analysis is circular. This can be seen if we consider what it means to commit to doing one’s part to make it the case that the group believe as a body or act as a body. Gilbert claims that the notion of a group of individuals acting together to constitute a body is primitive and it guides the actions and thoughts of individuals in the group. It is this notion that tells them what their part is and what they are committed to doing. It is from this concept, for instance, that one knows that she must not say p, without prefacing her remarks appropriately, when she is acting as member of a group that believes not p. To do so would be to disrupt the unity within the group and break their semblance of being “one body.”

But this notion seems to be just the notion of a plural subject. For a collection of individuals to believe as a body or act as a body is for them to act or believe as a subject, a subject constituted by a plurality of individuals. Indeed Gilbert says as much in the following passage:

I do, of course, posit a mechanism for the construction of social groups (plural subjects of belief or action). And this mechanism can only work if everyone involved has a grasp of a subtle conceptual scheme, the conceptual scheme of plural subjects. Given that all have this concept, then the basic means for bringing plural subject-hood into being is at their disposal. All that anyone has to do is to openly manifest his willingness to be part of a plural subject of some particular attribute (1989, 416)

Plural subjects are formed when each of a set of individual agents expresses willingness to constitute, with the others, the plural subject of a goal, belief, principle of action, or other such thing, in conditions of common knowledge. The conceptually necessary conditions for plural subjecthood, then, contain the notion of plural subjecthood. As a conceptual analysis of our core notion of group belief -the belief of a plural subject-Gilbert’s analysis seems circular.

Gilbert (in correspondence) has responded to this charge by arguing that for her the concept of a plural subject is a technical notion. It is not, as Tollefsen suggests, simply the notion of a subject comprised of individuals but of a subject formed on the basis of joint commitments. So her analysis of plural subjecthood does not contain the technical notion of a plural subject and her analysis is not circular. The passage above, however, suggests that, at the very least, the formation of plural subjects presupposes that the participants have an understanding of the technical concept of plural subjecthood and an understanding of joint commitments. Since both notions are very technical, it seems psychologically implausible that everyday folk have even an implicit understanding of these concepts.

Tuomela (1992) charges Gilbert with circularity, as well. Gilbert argues that joint commitments are to be analyzed in terms of individuals expressing their willingness to be jointly committed with others. But this analysis leave the concept of joint commitment unanalyzed. Gilbert does, however, say a great deal more about the notion of joint commitment than this suggests. In particular, her most recent work (2003) provides a more detailed explanation of joint commitment. Expressions of willingness come in as conditions for the formation of a joint commitment, not part of an analysis of the notion of joint commitment. If Gilbert’s analysis of joint commitment does not appeal to the notion of a joint commitment then it seems she has avoided Tuomela’s objection.

Tuomela (1998) has also argued that Gilbert’s account is somewhat limited. Her account of group intentionality is an account of what we mean when we say “We believe that p,” where “we” is a small, unstructured group like a reading club, poetry discussion group, and committees with no formal decision method. She claims that she is giving an analysis of our core meaning of group belief. But the paradigm case of attribution of intentional states to groups seems to be those in which the subject is an organization like a corporation. This is particularly true when one reflects on our practice of praising and blaming the actions of corporations, states, governments, etc. Yet it is unclear how Gilbert’s account extends to organizations. It seems obvious that not every member of the organization (take, for instance, IBM) would have to openly express their willingness to do his or her part in bringing it about that IBM believes that profits are lower this year than last as a body in order for it to be true that IBM believe that. Does the person on the assembly line have to express his willingness to be jointly committed in the way described? It seems that not even an implicit expression of willingness (a failure to speak up) would make sense of this. To the extent that Gilbert’s account does not seem to extend to a range of other types of groups to which the intentional idiom extends, Tuomela argues that it remains inadequate.

There may be ways, however, of extending Gilbert’s analysis to account for the beliefs of large organizations. Gilbert suggests that one might explain corporate beliefs, for instance, by claiming that the core notion of group belief applies to the board of directors and there is a convention in place that makes the board’s beliefs the beliefs of the corporation. Gilbert has used the plural subject framework to provide an account of convention (1989).

d. Tuomela

Raimo Tuomela (1992, 1995) develops an account of collective belief, he calls the positional account of group beliefs. This account relies on the notions of rule-based social positions and tasks that are defined by the rules in force in a collective and emphasizes the role of positional beliefs. “Positional beliefs are views that a position-holder has qua a position-holder or has internalized and accepted as a basis of his performances of aforementioned kinds of social tasks” (1995, 312). Strictly speaking, positional beliefs are not beliefs at all but acceptances. His account of collective belief attempts to encompass not only the beliefs of small, organized, groups but organizations as well. Tuomela also provides an analysis of shared we-beliefs (called non-normative or merely factual group beliefs). Shared we-beliefs are not, according to Tuomela, proper group (collective) beliefs. Collective belief does not require that any particular member actually believe that p. Whereas in the case of a we-belief each member believes that p and it is common knowledge that each member believes that p. In this respect shared we-beliefs are, according to Tuomela, those characterized by the summative accounts. They are able to capture certain social phenomena but cannot explain collective belief in cases like corporations or groups where individuals do not themselves believe the proposition in question. For our purposes we will be focusing on Tuomela’s account of group (collective) belief proper.

In Chapter Seven of The Importance of Us (1995) and Group Beliefs (1992) Synthese, 91: 285-318. Raimo Tuomela provides the following analysis of our concept of collective belief.

(BG) G believes that p in the social and normative circumstances C if and only if in C there are operative members A1……An in G with respective positions P1…….Pn such that
(1) The agents A1….Am when they are performing their social tasks in their positions P1….Pm and due to their exercising the relevant authority system in G, (intentionally) jointly accept p as the view of G, and because of this exercise of the authority system they ought to continue to accept or positionally believe that p.
(2) there is a mutual belief among the operative members to the effect that (1)
(3) because of (1) the full-fledged and adequately informed non-operative members of G tend to tacitly accept-or at least ought to accept–p as members of G.
(4) there is a mutual belief in G to the effect that (3)

This account relies heavily on a distinction between operative and non-operative members, acceptance and belief, and the notion of correct social and normative circumstances. I will consider each of these features in turn.

Operative members are those members who are responsible for the group belief having the content that it does. In the case of a corporation, the board of directors may be the operative members. Whereas those who work on the assembly line or in the credit department, for instance, are non-operative members. Which members are operative is determined by the rules and regulations of the corporation. Such rules and regulations are part of the social and normative circumstances referred to in Tuomela’s analysis.

The relevant social and normative circumstances involve tasks and social roles and rules, either formal (resembling laws or statutes) or informal (based on informal group agreements). So, for instance, corporations have certain rules that define the roles and tasks of its members. The rules are formal in some cases and are to be found in the corporate handbook or charter. These rules often specify which members are operative and define the relation between operative members and non-operative members. In addition, they make clear the chain of authority and decision-making procedures. “Indeed, in the case of typical formal collectives (like corporations), certain position-holders are required by the constitutive rules of the collective to set goals and accepts views for the collective” (1998, 308).

According to Tuomela’s analysis, then, one of the necessary conditions for our concept of group belief to apply is that operative members have certain intentional states. In this respect he shares something with Gilbert’s view and individualism in general. It is a further question whether Tuomela’s account can be viewed as intentionalistic and, if so, whether his analysis suffers from circularity. I consider this issue below. For now we can note that, for Tuomela, the intentional states of individuals must be embedded in the right social and normative circumstances. So group belief statements are not analyzed solely in terms of statements about individual intentional states on Tuomela’s view. Tuomela therefore breaks from strong analytical individualism.

Tuomela’s account also relies on the distinction between accepting a proposition and believing it. Tuomela stresses the difference between accepting and believing by noting that accepting is an action where certain beliefs are “non-actional” or experiential. Perceptual beliefs seem to be of this kind. The agent is in some way passive. He concludes based on this that at least experiential believing is different from accepting a proposition. As for non-perceptual beliefs, Tuomela goes on to argue that they are also different from accepting a proposition. Typically, when someone is said to believe that p, she does so if and only if she accepts p as true (given a certain disquotational account of truth). Tuomela points out, however, that this need not always be the case. Someone might accept a proposition but not believe it. “A person may, for instance, accept as true that he (or his body) is a probabilistically fluctuating bunch of hadrons and leptons without really believing it to be true in the experiential sense, let alone having that conviction. His acceptance would then be “cognitive” acceptance in the sense that he would be willing to operate on the assumption in question, to concretely act on it and to use it as a premise in his reasoning, and so on.” (1995, 309)

As we have seen, traditional summative accounts that require all or some of the members believe that p were too strong. Tuomela attempts to avoid this problem by requiring that operative members accept that p. No member actually has to believe that p. The operative members have, in Tuomela’s view, positional beliefs. Positional beliefs are views a position-holder has accepted as a basis for his performance of certain kinds of social tasks. These positional beliefs are different from personal beliefs. For instance, the board of directors might personally believe that it is wrong for the company to fire 10,000 employees yet a director accepts this proposition and acts on it given the fact that he holds a position of authority in the company. Positional views, then, need not be truth-related. We may accept false beliefs and therefore adopt positional views that we know to be false.

Tollefsen (2002) has argued that Tuomela’s account suffers from the same problem of circularity from which Gilbert’s account suffers. Consider condition (1) of Tuomela’s analysis.

(1) The agents A1….Am when they are performing their social tasks in their positions P1….Pm, and due to their exercising the relevant authority system in G, (intentionally) jointly accept p as the view of G, and because of this exercise of the authority system they ought to continue to accept or positionally believe that p.

The operative members must intentionally and jointly accept P as the view of the group, where joint acceptance simply means that each operative member accepts p as the view of the group and this is common knowledge. But what are we to make of the reference to “the view of the group”? On an ordinary understanding of what it is to have a view on some issue is to have an opinion or a belief. The “view” of the group, then, seems to be simply the belief of the group. If so, one of the necessary and sufficient conditions for group belief appears to make reference to the notion of a group belief. Tuomela’s analysis, then, is circular. There is a group belief that p if and only if operative members accept p as the group belief. But group belief (the view of the group rather than the view of its individual members) is the concept that the analysis is supposed to illuminate by providing necessary and sufficient conditions for its application. It is hard to see how to make sense of the view of the group without appealing to notions like the belief of the group, the goal of the group, what the group intends, and so on.

The circularity issues raised by Gilbert’s and Tuomela’s account might be avoided if we simply give up the methodology of conceptual analysis. Indeed, Tuomela insists that he is not engaged in conceptual analysis but is providing truth conditions for our ascriptions. Thus, although his account is circular, it is not viciously so. We can view these accounts, then, as offering us a sort of identity theory of collective intentionality. Indeed, this is how Bratman viewed his account of collective (shared) intention. Group belief and intention plays a certain role. What these theorists have done is identify a complex of interrelated intentional states of individuals that plays that role. One could, then, conclude that collective belief and/or intention is that complex of attitudes.

The problem with this approach is that one might wonder whether there might not be other ways in which these roles could be realized. Might there not be other combinations of individual attitudes and public acts and conditions, combinations that even in our world would function together in the ways that realize the roles of shared intention? The problem is analogous to type identity theories in the philosophy of mind. If mental states are multiply realized by different sorts of physical states, then type identity is false. Analogously, if collective intentional states are multiply realizable then identifying them with the complex of individual states is also problematic. Collective intentional states could plausibly be realized by a variety of different configurations of individual intentional states. Indeed, Tuomela’s voluminous work on group intentionality supports this. He provides different accounts of group intentional states depending on the particular group in question (e.g. normative vs. normative group belief). And we have also seen that Gilbert acknowledges that the conditions she identifies for group intentional states are sufficient but not necessary. This leaves open the possibility that group beliefs and other attitudes could be realized by other sets of individual intentional states. At the most, then, these accounts provide us with accounts of ways in which group attitudes can be realized but they do not provide us with an account of what group attitudes are.

We are left with the same question that plagues token-token identity theories in the philosophy of mind. The token identity thesis states that for every token instance of a mental state, there will be some token neuro-physiological event with which that token instance is identical. But what is it about these token mental states that makes them all tokens of the same type? If Sue and Eric both believe that Columbus is the capital of Ohio, then what is it that they have in common that makes their different neurophysiological states the same belief?

We can formulate the same question with respect to group intentional states. If GM and the Federal Reserve are both ascribed the belief that interest rates should be cut, what do these two groups have in common that makes it appropriate to ascribe to them the same belief? Tuomela would point to the fact that they both meet the conditions he specifies for proper group belief. But what if the members of GM meet the conditions of normative group belief and the members of the Federal Reserve Board meet the conditions for non-normative group belief? Do they share the same belief? And we are left with the further question of what is it about these particular configurations of intentional states that makes it appropriate to call them beliefs or intentions at all? Why is collective intentionality a species of intentionality? The work of Pettit (2002), Tollefsen (2002c), and Velleman (1997) attempt to fill this lacuna by showing that certain groups count as intentional agents given standard accounts of intentionality. Rather than analyze the concept of collective intentions or beliefs, these theorists have attempted to show that our everyday concept of belief and intention extends naturally to certain groups. Gilbert (2002), also, has recently attempted to flesh out the strong analogy between individual beliefs and group beliefs.

4. Internal Debates: Belief vs. Acceptance

Among those who acknowledge that collectives can be the subject of intentional state ascription, there is a debate raging over which type of intentional states are appropriately attributable to collectives. There are some, like Margaret Gilbert and Tollefsen who argue that it is appropriate to attribute to groups a wide range of intentional states including beliefs. Others, like K. Brad Wray (2002), Raimo Tuomela (2000), and Anthonie Meijers (1999), have argued that, although groups may accept a proposition, they cannot believe. The nature of belief, according to these philosophers, is such that groups cannot be believers. The latter camp has been labeled by Gilbert as the rejectionists because they reject the possibility of group belief. For ease, I refer to the former camp as the believers.

In “Collective Belief and Acceptance” (2002), Wray identifies four differences between acceptance and belief.

  1. You can accept things that you do not believe but you cannot believe what you do not accept. (Rejection of the entailment thesis)
  2. “Acceptance often results from a consideration of one’s goals, and thus results from adopting a policy to pursue a particular goal.” (2002, p. 7).
  3. Belief is a disposition to feel that something is true.
  4. Belief is involuntary, whereas acceptance is voluntary.

Wray then proceeds to show that the examples that Gilbert gives of group belief (1989), (1994), are actually instances of acceptance. Because group attitudes are formed against the background of goals, because they are formed voluntarily, and because their formation does not entail that members believe the content of the attitude, group views are more aptly described as instances of acceptance. Both Wray (2000) and Meijers (1999) develop an acceptance-based account of collective attitudes.

There have been various attempts to respond to this line of argument. Much rests on the merits of the original distinction between acceptance and belief and on exploring the analogy between groups and individuals. Tollefsen (2003b), for instance, argues that the issue of voluntarism concerning belief is not as clear cut as rejectionists make it out to be. The assertion that we cannot will to believe is an empirical assertion and not a conceptual assertion about the nature of belief. Perhaps, then, individuals cannot will to believe because of our epistemic limits, but this does not rule out the possibility that collective agents can will to believe. Gilbert (2002) has argued that rejectionists beg the question with respect to collective belief. They assume that collective belief must have all the features of individual belief in order for it to be genuine belief but this just privileges individual belief without argument. It may be that collective belief, although a species of belief, is unique in certain respects.

5. The Role of Collective Intentionality

We have already seen that some theorists focus on the role of collective intentions in organizing and coordinating collective action. And in Searle’s account of social reality, collective intentions confer status functions on artifacts and turn them into social facts. Money is money because we accept it and intend it to be. Others have explored the role that collective intentionality, either collective intentions or beliefs, plays in jurisprudence, economics, and politics, and moral theory. Gilbert (2001), for instance, argues that her account of collective intentionality provides a better account of social rules than H.L.A. Harts. Social rules are to be understood as the joint commitments of a society. This explains why we are justified in rebuking those who violate social rules. Maria Cristina Redondo (2001) argues that Searle’s account of social facts, an account grounding in collective intentionality, supports a version of legal positivism. Ota Weinberger (2001) develops the relationship between discussions of collective intentionality and the notion of the “general will” or the “will of the people.” Weinberger argues that the “general will” should be understood in terms of institutional processes that are collectively accepted within the community.

6. References and Further Reading

  • Bratman, M. 1987. Intentions, Plans, and Practical Reason. Cambridge, MA: Harvard University Press.
  • Bratman, M. 1992. “Practical Reasoning and Acceptance in a Context.” Mind 101: 1-15.
  • Bratman, M. 1993. “Shared Intention.” Ethics 104: 97-113.
  • Bratman, M. 1999. Faces of Intention. Cambridge, MA: Cambridge University Press.
  • Cohen, L.J. 1992. An Essay on Belief and Acceptance. Oxford, U.K.: Clarendon Press.
  • Corlett, A. 1996. Analyzing Social Knowledge. Maryland: Rowman and Littlefield.
  • Davidson, D. 1992. The Second Person. Midwest Studies in Philosophy XVII: 255-265.
  • Gilbert, M. 1987. Modelling Collective Belief. Synthese, vol. 73. Reprinted in (1996). Chapter 7.
  • Gilbert, M. 1989. On Social Facts. New York: Routledge.
  • Gilbert, M. 1993. “Agreements, Coercion, and Obligation.” Ethics. 103: 679-706
  • Gilbert, M. 1994. “Remarks on collective belief” in Frederick Schmitt ed. Socializing Epistemology. Maryland: Rowman & Littlefield.
  • Gilbert, M. 1996. Living Together. Maryland: Rowman & Littlefield.
  • Gilbert, M. 1996. “Concerning Sociality: The Plural Subject as Paradigm” in J. Greenwood (ed.), The Mark of the Social. Maryland: Rowman and Littlefield.
  • Gilbert, M. (2000) Sociality and Responsibility. Blue Ridge Summit: Rowman and Littlefield.
  • Gilbert, M. 2001. “Social Rules as Plural Subject Phenomena” in Lagerspetz et. al.
  • Gilbert, M. 2002. “Belief and Acceptance as Features of Groups.” Protosociology, Volume 16, 35-69.
  • Gilbert, M. 2003. “The Structure of the Social Atom: Joint Commitment and the Foundation of Human Social Behavior” in Schmitt, F. ed. Socializing Metaphysics. Maryland: Rowman and Littlefield.
  • Hindriks, F. 2002. “Social Groups, Collective Intentionality, and Anti-Hegelian Skepticism,” in Realism in Action: Essays in the Philosophy of Social Science, Matti Sintonen, Petri Ylikoski, and Kaarlo Miller (eds.), Dordrecht: Kluwer Academic Publishers.
  • Hindricks, F.A. (2002) “Social Ontology, Collective Intentionality, and Ockhamian Skepticism” in Meggle (2002), 125-49.
  • Lagerspetz, E. Heikki Ikaheimo, and Jussi Kotkavirta, eds. 2001 On the Nature of Social and Institutional Reality. Finland, SoPhi.
  • Lewis, D. 1969. Convention: A Philosophical Study. Cambridge, MA: Harvard University Press.
  • Meggle, G. (ed.) (2002) Social Facts and Collective Intentionality, Frankfurt am Main: Hansel-Hohenhausen.
  • Meijers, A. (1994). Speech Acts, Communication, and Collective Intentionality:Beyond Searle’s Individualism. Leiden.
  • Meijers, A. (1999) Belief, Cognition, and the Will. Tilburg: Tilburg University Press, 59-71.
  • Meijers, A. (2003) “Can Collective Intentionality be Individualized?” American Journal of Economics and Sociology 62, 167-93.
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Author Information

Deborah Tollefsen
Email: dtollfsn@memphis.edu
University of Memphis
U. S. A.

Special Relativity: Proper Time, Coordinate Systems, and Lorentz Transformations

This supplement to the main Time article explains some of the key concepts of the Special Theory of Relativity (STR). It shows how the predictions of STR differ from classical mechanics in the most fundamental way. Some basic mathematical knowledge is assumed.

Table of Contents

  1. Proper Time
  2. The STR Relationship Between Space, Time, and Proper Time
  3. Coordinate Systems
    1. Coordinates as a Mathematical Language for Time and Space
  4. Cartesian Coordinates for Space
  5. Choice of Inertial Reference Frame
  6. Operational Specification of Coordinate Systems for Classical Space and Time
  7. Operational Specification of Coordinate Systems for STR Space and Time
  8. Operationalism
  9. Coordinate Transformations and Object Transformations
  10. Valid Transformations
  11. Velocity Boosts in STR and Classical Mechanics
  12. Galilean Transformation of Coordinate System
  13. Lorentz Transformation of Coordinate System
  14. Time and Space Dilation
  15. The Full Special Theory of Relativity
  16. References and Further Reading

1. Proper Time

EinsteinThe essence of the Special Theory of Relativity (STR) is that it connects three distinct quantities to each other: space, time, and proper time. ‘Time’ is also called coordinate time or real time, to distinguish it from ‘proper time’. Proper time is also called clock time, or process time, and it is a measure of the amount of physical process that a system undergoes. For example, proper time for an ordinary mechanical clock is recorded by the number of rotations of the hands of the clock. Alternatively, we might take a gyroscope, or a freely spinning wheel, and measure the number of rotations in a given period. We could also take a chemical process with a natural rate, such as the burning of a candle, and measure the proportion of candle that is burnt over a given period.

Note that these processes are measured by ‘absolute quantities’: the number of times a wheel spins on its axis, or the proportion of candle that has burnt. These give absolute physical quantities and do not depend upon assigning any coordinate system, as does a numerical representation of space or real time. The numerical coordinate systems we use firstly require a choice of measuring units (meters and seconds, for example). Even more importantly, the measurement of space and real time in STR is relative to the choice of an inertial frame. This choice is partly arbitrary.

Our numerical representation of proper time also requires a choice of units, and we adopt the same units as we use for real time (seconds). But the choice of a coordinate system, based on an inertial frame, does not affect the measurement of proper time. We will consider the concept of coordinate systems and measuring units shortly.

Proper time can be defined in classical mechanics through cyclic processes that have natural periods – for instance, pendulum clocks are based on counting the number of swings of a pendulum. More generally, any natural process in a classical system runs through a sequence of physical states at a certain absolute rate, and this is the ‘proper time rate’ for the system.

In classical physics, two identical types of systems (with identical types of internal construction, and identical initial states) are predicted to have the same proper time rates. That is, they will run through their physical states in perfect correlation with each other.

This holds even if two identical systems are in relative constant motion with respect to each other. For instance, two identical classical clocks would run at the same rate, even if one is kept stationary in a laboratory, while the other is placed in a spaceship traveling at high speed.

This invariance principle is fundamental to classical physics, and it means that in classical physics we can define: Coordinate time = Proper time for all natural systems. For this reason, the distinction between these two concepts of time was hardly recognized in classical physics (although Newton did distinguish them conceptually, regarding ‘real time’ as an absolute temporal flow, and ‘proper time’ as merely a ‘sensible measure’ of real time; see his Scholium).

However, the distinction only gained real significance in the Special Theory of Relativity, which contradicts classical physics by predicting that the rate of proper time for a system varies with its velocity, or motion through space. The relationship is very simple: the faster a system travels through space, the slower its internal processes go. At the maximum possible speed, the speed of light, c, the internal processes in a physical system would stop completely. Indeed, for light itself, the rate of proper time is zero: there is no ‘internal process’ occurring in light. It is as if light is ‘frozen’ in a specific internal state.

At this point, we should mention that the concept of proper time appears more strongly in quantum mechanics than in classical mechanics, through the intrinsically ‘wave-like’ nature of quantum particles. In classical physics, single point-particles are simple things, and do not have any ‘internal state’ that represents proper time, but in quantum mechanics, the most fundamental particles have an intrinsic proper time, represented by an internal frequency. This is directly related to the wave-like nature of quantum particles. For radioactive systems, the rate of radioactive decay is a measure of proper time. Note that the amount of decay of a substance can be measured in an absolute sense. For light, treated as a quantum mechanical particle (the photon), the rate of proper time is zero, and this is because it has no mass. But for quantum mechanical particles with mass, there is always a finite ‘intrinsic’ proper time rate, represented by the ‘phase’ of the quantum wave. Classical particles do not have any correlate of this feature, which is responsible for quantum interference effects and other non-classical ‘wave-like’ behavior.

2. The STR Relationship Between Space, Time, and Proper Time

STR predicts that motion of a system through space is directly compensated by a decrease in real internal processes, or proper time rates. Thus, a clock will run fastest when it is stationary. If we move it about in space, its rate of internal processes will decrease, and it will run slower than an identical type of stationary clock. The relationship is precisely specified by the most profound equation of STR, usually called the metric equation (or line metric equation). The metric equation is:

(1) coordinate systems 1

This applies to the trajectory of any physical system. The quantities involved are:

D is the difference operator.

Dt is the amount of proper time elapsed between two points on the trajectory.

Dt is the amount of real time elapsed between two points on the trajectory.

Dr is the amount of motion through space between two points on the trajectory.

c is the speed of light, and depends on the units we choose for space and time.

The meaning of this equation is illustrated by considering simple trajectories depicted in a space-time diagram.

Figure 1. Two simple space-time trajectories.

Figure 1. Two simple space-time trajectories.

If we start at a initial point on the trajectory of a physical system, and follow it to a later point, we find that the system has covered a certain amount of physical space, Dr, over a certain amount of real time, Dt, and has undergone a certain amount of internal process or proper-time, Dt. As long as we use the same units (seconds) to represent proper time and real time, these quantities are connected as described in Equation (1). Proper time intervals are shown in Figure 1 by blue dots along the trajectories. If these were trajectories of clocks, for example, then the blue dots would represent seconds ticked off by the clock mechanism.

In Figure 1, we have chosen to set the speed of light as 1. This is equivalent to using our normal units for time, i.e. seconds, but choosing the units for space as c meters (instead of 1 meter), where c is the speed of light in meters per second. This system of units is often used by physicists for convenience, and it appears to make the quantity c drop out of the equations, since c = 1. However, it is important to note that c is a dimensional constant, and even if its numerical value is set equal to 1 by choosing appropriate units, it is still logically necessary in Equation 1 for the equation to balance dimensionally. For multiplying an interval of time, Dt, by the quantity c converts from a temporal quantity into a spatial quantity. Equations of physics, just like ordinary propositions, can only identify objects or quantities of the same physical kinds with each other, and the role of c as a dimensional constant remains crucial in Equation (1), for the identity it states to make any sense.

Trajectories in Figure 1

  • Trajectory 1 (green) is for a stationary particle, hence Dr = 0 (it has no motion through space), and putting this value in Equation (1), we find that: Dt = Dt. For a stationary particle, the amount of proper time is equal to the amount of coordinate time.
  • Trajectory 2 (red) is for a moving particle, and Dr > 0. We have chosen the velocity in this example to be: v = c/2, half the speed of light. But: v = Dr/Dt (distance traveled in the interval of time). Hence: Dr = ½cDt. Putting this value into Equation (1), we get: c²Dt² = c²Dt²-(½cDt)², or: Dt = Ö(¾)Dt » 0.87Dt. Hence the amount of proper time is only about 87% of coordinate time. Even though this trajectory is very fast, proper time is still only slowed down a little.
  • Trajectory 3 (black) is for a particle moving at the speed of light, with v = c, giving: Dr = cDt. Putting this in Equation (1), we get: c²Dt² = c²Dt²-(cDt)² = 0. Hence for a light-like particle, the amount of proper time is equal to 0.

Now from the classical point of view, Equation (1) is a surprise – indeed, it seems bizarre! For how can mere motion through space directly and precisely affect the rate of physical processes occurring in a system? We are used to the opposite idea, that motion through space, by itself, has no intrinsic effect on processes. This is at the heart of the classical Galilean invariance or symmetry. But STR breaks this rule.

We can compare this situation with classical physics, where (for linear trajectories) we have two independent equations:

(2.a) Dt = Dt

(2.b) Dr = vDt for some coordinate systems 3 (real numbers)

  • Equation (2.a) just means that the rate of proper time in a system is invariant – and we measure it in the same units as coordinate time, t.
  • Equation (2.b) just means that every particle or system has some finite velocity or speed, v, through space, with v defined by: v = Dr/Dt.

There is no connection here between proper time and spatial motion of the system.

The fact that (2) is replaced by (1) in STR is very peculiar indeed. It means that the rate of internal process in a system like a clock (whether it is a mechanical, chemical, or radioactive clock) is automatically connected to the motion of the clock in space. If we speed up a clock in motion through space, the rate of internal process slows down in a precise way to compensate for the motion through space.

The great mystery is that there is no apparent mechanism for this effect, called time dilation. In classical physics, to slow down a clock, we have to apply some force like friction to its internal mechanism. In STR, the physical process of a system is slowed down just by moving it around. This applies equally to all physical processes. For instance, a radioactive isotope decays more slowly at high speed. And even animals, including human beings, should age more slowly if they move around at high speed, giving rise to the Twin Paradox.

In fact, time dilation was already recognized by Lorentz and Poincare, who developed most of the essential mathematical relationships of STR before Einstein. But Einstein formulated a more comprehensive theory, and, with important contributions by Minkowski, he provided an explanation for the effects. The Einstein-Minkowski explanation appeals to the new concept of a space-time manifold, and interprets Equation (1) as a kind of ‘geometric’ feature of space-time. This view has been widely embraced in 20th Century physics. By contrast, Lorentz refused to believe in the ‘geometric’ explanation, and he thought that motion through space has some kind of ‘mechanical’ effect on particles, which causes processes to slow down. While Lorentz’s view is dismissed by most physicists, some writers have persisted with similar ideas, and the issues involved in the explanation of Equation (1) continue to be of deep interest, to philosophers at least.

But before moving on to the explanation, we need to discuss the concepts of coordinate systems for space and time, which we have been assuming so far without explanation.

3. Coordinate Systems

In physics we generally assume that space is a three dimensional manifold and time is a one dimensional continuum. A coordinate system is a way of representing space and time using numbers to represent points. We assign a set of three numbers, (x,y,z), to characterize points in space, and one number, t, to characterize a point in time. Combining these, we have general space-time coordinates: (x,y,z,t). The idea is that every physical event in the universe has a ‘space-time location’, and a coordinate system provides a numerical description of the system of these possible ‘locations’.

Classical coordinate systems were used by Descartes, Galileo, Newton, Leibniz, and other classical physicists to describe space. Classical space is assumed to be a three dimensional Euclidean manifold. Classical physicists added time coordinates, t, as an additional parameter to characterize events. The principles behind coordinate systems seemed very intuitive and natural up until the beginning of the 20th century, but things changed dramatically with the STR. One of Einstein’s first great achievements was to reexamine the concept of a coordinate system, and to propose a new system suited to STR, which differs from the system for classical physics. In doing this, Einstein recognized that the notion of a coordinate system is theory dependent. The classical system depends on adopting certain physical assumptions of classical physics – for instance, that clocks do not alter their rates when they are moved about in space. In STR, some of the laws underpinning these classical assumptions change, and this changes our very assumptions about how we can measure space and time. To formulate STR successfully, Einstein could not simply propose a new set of physical laws within the existing classical framework of ideas about space and time: he had to simultaneously reformulate the representation of space and time. He did this primarily by reformulating the rules for assigning coordinate systems for space and time. He gave a new system of rules suited to the new physical principles of STR, and reexamined the validity of the old rules of classical physics within this new system.

A key feature Einstein focused on is that a coordinate system involves a system of operational principles, which connect the features of space and time with physical processes or ‘operations’ that we can use to measure those features. For instance, the theory of classical space assumes that there is an intrinsic distance (or length) between points of space. We may take distance itself to be an underlying feature of ‘empty space’. Geometric lines can be defined as collections of points in space, and line segments have intrinsic lengths, prior to any physical objects being placed in space. But of course, we only measure (or perceive) the underlying structure of space by using physical objects or physical processes to make measurements. Typically, we use ‘straight rigid rulers’ to measure distances between points of space; or we use ‘uniform, standard clocks’ to measure the time intervals between moments of time. Rulers and clocks are particular physical objects or processes, and for them to perform their measurement functions adequately, they must have appropriate physical properties.

But those physical properties are the subject of the theories of physics themselves. Classical physics, for example, assumes that ordinary rigid rulers maintain the same length (or distance between the end-points) when they are moved around in space. It also assumes that there are certain types of systems (providing ‘idealized clocks’) that produce cyclic physical processes, and maintain the same temporal intervals between cycles through time, even if we move these systems around in space.

These assumptions are internally consistent with principles of measurement in classical physics. But they are contradicted in STR, and Einstein had to reformulate the operational principles for measuring space and time, in a way that is internally consistent with the new physical principles of STR.

We will briefly describe these new operational principles shortly, but there are some features of coordinate systems that are important to appreciate first.

a. Coordinates as a Mathematical Language for Time and Space

The assignment of a numerical coordinate system for time or space is thought of as providing a mathematical language (using numbers as names) for representing physical things (time and space). In a sense, this language could be ‘arbitrarily chosen’: there are no laws about what names can be used to represent things. But naturally there are features that we want a coordinate system to reflect. In particular, we want the assignment of numbers to directly reflect the concepts of distance between points of space, and the size of intervals between moments of time.

We perform mathematical operations on numbers, and we can subtract two numbers to find the ‘numerical distance’ between them. For numbers are really defined as certain structures, with features such as continuity, and we want to use the structures of number systems to represent structural features of space and time.

For instance, we assume in our fundamental physical theory that any two intervals of time have intrinsic magnitudes, which can be compared to each other. The ‘intrinsic temporal distance’ between two moments, t1 and t2, may be the same as that between two quite different moments, t3 and t4. We naturally want to assign numbers to times so that ordinary numerical subtraction corresponds to the ‘intrinsic temporal distance’ between events. We choose a ‘uniform’ coordinate system for time to achieve this.

coordinate systems 4

Figure 2. A Coordinate system for time gives a mathematical language for a physical thing.
Numbers are used as names for moments of time.

4. Cartesian Coordinates for Space

Time is simple because it is one-dimensional. Three-dimensional space is much more complex. Because space is three dimensional, we need three separate real numbers to represent a single point. Physicists normally choose a Cartesian coordinate system to represent space. We represent points in this system as: r = (x,y,z), where x, y, and z are separate numerical coordinates, in three orthogonal (perpendicular) directions.

The numerical structure with real-number points is denoted in mathematics as (x,y,z). Three dimensional space itself (a physical thing) is denoted as: coordinate systems 5. A Cartesian coordinate system is a special kind of mapping between points of these two structures. It makes the intrinsic spatial distance between two points in E3 be directly reflected by the ‘numerical distance’ between their numerical coordinates in coordinate systems 5.

The numerical distances in coordinate systems 5are determined by a numerical function for length. A line from the origin: (0,0,0), to the point r = (x,y,z), which is called the vector r, has its length given by the Pythagorean formula:

|r| = √(x²+y²+z²).

More generally, for any two points, r1 = (x1, y1, z1), and: r2 = (x2, y2, z2), the distance function is:

|r2 – r1| = √((x2 – x1)²+ (y2 – y1)²+ (z2 – z1)²)

The special feature of this system is that the lengths of lines in the x, y, or z directions alone are given directly by the values of the coordinates. E.g. if: r = (x,0,0), then the vector to r is a line purely in the x-direction, and its length is simply: |r| = x. If r1 = (x1,0,0), and: r2 = (x2,0,0), then the distance between them is just: |r2 – r1| = (x2 – x1 ). As well, a Cartesian coordinate system treats the three directions, x, y, and z, in a symmetric way: the angles between any pair of these directions is the same, 900. For this reason, a Cartesian system can be rotated, and the same form of the general distance function is maintained in the rotated system.

In fact, there are spatial manifolds which do not have any possible Cartesian coordinate system – e.g. the surface of a sphere, regarded as a two dimensional manifold, cannot be represented by using Cartesian coordinates. Such spaces were first studied as geometric systems in the 19th century, and are called non-classical or non-Euclidean geometries. However, classical space is Euclidean, and by definition:

  • Euclidean space can be represented by Cartesian coordinate systems.

We can define alternative, non-Cartesian, coordinate systems for Euclidean space; for instance, cylindrical and spherical coordinate systems are very useful in physics, and they use mixtures of linear or radial distance, and angles, as the numbers to specify points of space. The numerical formulas for distance in these coordinate systems appear quite different from the Cartesian formula. But they are defined to give the same results for the distances between physical points. This is the most crucial feature of the concept of distance in classical physics:

  • Distance between points in classical space (or between two events that occur at the same moment of time) is a physical invariant. It does not change with the choice of coordinate system.

The form of the numerical equation for distance changes with the choice of coordinate system; but this is done deliberately to preserve the physical concept of distance.

5. Choice of Inertial Reference Frame

A second crucial concept is the idea of a reference frame. A reference frame specifies all the trajectories that are regarded as stationary, or at rest in space. This defines the property of remaining at the same place through time. But the key feature of both classical mechanics and STR is that no unique reference frame is determined. Any object that is not accelerating can be regarded as stationary ‘in its own inertial frame’. It defines a valid reference frame for the whole universe. This is the natural reference frame ‘from the point of view’ of the object, or ‘relative to the object’. But there are many possible choices because given any particular reference frame, any other frame, defined to give everything a constant velocity relative to the first frame is also a valid choice.

The class of possible (physically valid) reference frames is objectively determined, because acceleration is absolutely distinguished from constant motion. Any object that is not accelerating may be regarded as defining a valid reference frame. But the specific choice of a reference frame from the range of possibilities is regarded as arbitrary or conventional. This choice must be made before a coordinate system can be defined to represent distances in space and time. Even after we have chosen a reference frame, there are still innumerable choices of coordinate systems. But the reference frame settles the definition of distances between events, which must be defined as the same in any coordinate system relative to a given reference frame.

The idea of the conventionality of the reference frame is partly evident already in the choice of a Cartesian coordinate system: for it is an arbitrary matter where we choose the origin, or point: 0 = (0,0,0), for such a system. It is also arbitrary which directions we choose for the x, y, and z axes – as long as we make them mutually perpendicular. We are free to rotate a given set of axes, x, y, z, to produce a new set, x’, y’, and z’, and this gives another Cartesian coordinate system. Thus, translations and rotations of Cartesian coordinate systems for space still leave us with Cartesian systems.

But there is a further transformation, which is absolutely central to classical physics, and involves both time and space. This is the Galilean velocity transformation, or velocity boost. The essential point is that we need to apply a spatial coordinate system through time. In pure classical geometry, we do not have to take time into account: we just assign a single coordinate system, at a single moment of time. But in physics we need to apply a coordinate system for space at different moments of time. How do we know whether the coordinate system we apply at one moment of time represents the same coordinate system we use at a later moment of time?

The principles of classical physics mean that we cannot measure ‘absolute location in space’ across time. The reason is the fundamental classical principle that the laws of nature do not distinguish between two inertial frames moving relative to each other at a constant speed. This is the classical Galilean principle of ‘relativity of motion’. Roughly stated, this means that uniform motion through space has no effect on physical processes. And if motion in itself does not affect processes, then we cannot use processes to detect motion.

Newton believed that the classical conception of space requires there to be absolute spatial locations through time nonetheless, and that some special coordinate systems or physical objects will indeed be at ‘absolute rest’ in space. But in the context of classical physics, it is impossible to measure whether any object is at absolute rest, or is in uniform motion in space. Because of this, Leibniz denied that classical physics requires any concept of absolute position in space, and argued that only the notion of ‘relative’ or ‘relational’ space’ is required. In this view, only the relative positions of objects with regards to each other are considered real. For Newton, the impossibility of measuring absolute space does not prevent it from being a viable concept, and even a logically necessary concept. There is still no general agreement about this debate between ‘absolute’ and ‘relative’ or ‘relational’ conceptions of space. It is one of the great historical debates in the philosophy of both classical and relativistic physics. However, it is generally accepted that classical physics makes absolute space undetectable. This means, at least, that in the context of classical physics there is no way of giving an operational procedure for determining absolute position (or absolute rest) through time.

However absolute acceleration is detectable. Accelerations are always accompanied by forces. This means that we can certainly specify the class of coordinate systems which are in uniform motion, or which do not accelerate. These special systems are called inertial systems, or inertial frames, or Galilean frames. The existence of inertial frames is a fundamental assumption of classical physics. It is also fundamental in STR, and the notion of an inertial frame is very similar in both theories.

The laws of classical physics are therefore specified for inertial coordinate systems. They are equally valid in any inertial frame. The same holds for the laws of STR. However, the laws for transforming from one inertial frame to another are different for the two theories. To see how this works, we now consider the operational specification of coordinate systems.

6. Operational Specification of Coordinate Systems for Classical Space and Time

In classical physics, we can define an ‘operational’ measuring system, which allows us to assign coordinates to events in space and time.

Classical Time. We imagine measuring time by making a number of uniform clocks, synchronizing them at some initial moment, checking that they all run at exactly the same rates (proper time rates), and then moving clocks to different points of space, where we keep them ‘stationary’ in a chosen inertial frame. We subsequently measure the times of events that occur at the various places, as recorded by the different clocks at those places.

Of course, we cannot assume that our system of clocks is truly stationary. The entire system of clocks placed in uniform motion would also define a valid inertial frame. But the laws of classical physics mean that clocks in uniform inertial motion run at exactly the same rates, and so the times recoded for specific events turn out to be exactly the same, on the assumptions of the classical theory, for any such system of clocks.

Classical Space. We imagine measuring space by constructing a set of rigid measuring rods or rulers of the same length, which we can (imaginatively at least) set up as a grid across space, in an inertial frame. We keep all the rulers stationary relative to each other, and we use them to measure the distances between various events. Again, the main complication is that we cannot determine any absolutely stationary frame for the grid of rulers, and we can set up an alternative system of rulers which is in relative motion. This results in assigning different ‘absolute velocities’ to objects, as measured in two different frames. However, on the assumptions of the classical theory, the relative distances between any two objects or events, taken at any given moment of time, is measured to be the same in any inertial frame. This is because, in classical physics, uniform motion in itself does not alter the lengths of material objects, or the forces between systems of objects. (Accelerations do alter lengths).

7. Operational Specification of Coordinate Systems for STR Space and Time

In STR, the situation is in many ways very similar to classical physics: there is still a special concept of inertial frames, acceleration is absolutely detectable, and uniform velocity is undetectable. According to STR, the laws of physics still are invariant with regard to uniform motion in space, very much like the classical laws.

We also specify operational definitions of inertial coordinate systems in STR in a similar way to classical physics. However, the system sketched above for assigning classical coordinates fails, because it is inconsistent with the physical principles of STR. Einstein was forced to reconstruct the classical system of measurement to obtain a system which is internally consistent with STR.

STR Time. In STR, we can still make uniform clocks, which run at the same rates when they are held stationary relative to each other. But now there is a problem synchronizing them at different points of space. We can start them off synchronized at a particular common point; but moving them to different points of space already upsets their synchronization, according to Equation (1).

However, while synchronizing distant clocks is a problem, they nonetheless run at the same intrinsic rates as each other when held in the same inertial frame. And we can ensure two clocks are in a common inertial frame as long as we can ensure that they maintain the same distance from each other. We see how to do this next.

Given we have two clocks maintained at the same distance from each other, Einstein showed that there is indeed a simple operational procedure to establish synchronization. We send a light signal from Clock 1 to Clock 2, and reflect it back to Clock 1. We record the time it was sent on Clock 1 as t0, and the time it was received again as a later time, t2. We also record the time it was received at Clock 2 as t1’ on Clock 2. Now symmetry of the situation requires that, in the inertial frame of Clock 1, we must assume that the light signal reached Clock 2 at a moment halfway between t0 and t1, i.e. at the time: t1 = ½(t2 – t0). This is because, by symmetry, the light signal must take equal time traveling in either direction between the clocks, given that they are kept at a constant distance throughout the process, and they do not accelerate. (If the light signal took longer to travel one way than the other, then light would have to move at different speeds in different directions, which contradicts STR).

Hence, we must resynchronize Clock 2 to make: t1’ = t1. We simply set the hands on Clock 2 forwards by: (t1 – t1’), i.e. by: ½(t2 – t0) – t1’. (Hence, the coordinate time on Clock 2 at t1’ is changed to: t1’ + (½(t2 – t0) – t1’) = ½(t2 – t0) = t1.)

This is sometimes called the ‘clock synchronization convention’, and some philosophers have argued about whether it is justified. But there is no real dispute that this successfully defines the only system for assigning simultaneity in time, in the chosen reference frame, which is consistent with STR.

Some deeper issues arise over the notion of simultaneity that it seems to involve. From the point of view of Clock 1, the moment recorded at: t1 = ½(t2 – t0) must be judged as ‘simultaneous’ with the moment recorded at t1’ on Clock 2. But in a different inertial frame, the natural coordinate system will alter the apparent simultaneity of these two events, so that simultaneity itself is not ‘objective’ in STR, except relative to a choice of inertial frame. We will consider this later.

STR Space. In STR, we can measure space in a very similar way as in classical physics. We imagine constructing a set of rigid measuring rods or rulers, which are checked to be the same length in the inertial frame of Clock 1, and we extend this out into a grid across space. We have to move the rulers around to start with, but when we have set up the grid, we keep them all stationary in the chosen inertial frame of Clock 1.

We then use this grid of stationary measuring rods to measure the distances between various events. The main assumption is that identical types of measuring rods (which are the same lengths when we originally compare them at rest with Clock 1), maintain the same lengths after being moved to different places (and being made stationary again with regard to Clock 1). This feature is required by STR.

The main complication, once again, is that we cannot determine any absolutely stationary frame for the grid of rulers. We can set up an alternative system of rulers, which are all in relative motion in a different inertial frame. As in classical physics, this results in assigning different ‘absolute velocities’ to most trajectories in the two different frames. But in this case there is a deeper difference: on the assumptions of STR, the lengths of measuring rods alter according to their velocities. This is called space dilation, and it is the counterpart of time dilation.

Nonetheless, Einstein showed that perfectly sensible operational definitions of coordinate measurements for length, as well as time, are available in STR. But both simultaneity and length become relative to specified inertial frames.

It is this confusing conceptual problem, which involves the theory dependence of measurement, that Einstein first managed to unravel, as the prelude to showing how to radically reconstruct classical physics.

8. Operationalism

Unraveling this problem requires us to specify ‘operational principles’ of measurement, but this does not require us to embrace an operational theory of meaning. The latter is a form of positivism, and it holds that the meaning of ‘time’ or ‘space’ in physics is determined entirely by specifying the procedures for measuring time or space. This theory is generally rejected by philosophers and logicians, and it was rejected by Einstein himself in his mature work. According to operationalism, STR changes the meanings of the concepts of space and time from the classical conception. However, many philosophers would argue that ‘time’ and ‘space’ have a meaning for us which is essentially the same as for Galileo and Newton, because we identify the same kinds of things as time and space; but relativity theory has altered our scientific beliefs about these things – just as the discovery that water is H2O has altered our understanding of the nature of water, without necessarily altering the meaning of the term ‘water’. This semantic dispute is ongoing in the philosophy of science. Having clarified these basic ideas of coordinate systems and inertial frames, we now turn back to the notion of transformations between coordinate systems for different inertial frames.

9. Coordinate Transformations and Object Transformations

Physics uses two different concepts of transformations. It is important to distinguish these carefully.

  • Coordinate transformations: Taking the description of a given process (such as a trajectory), described in one coordinate system, and transforming to its description in an alternative coordinate system.
  • Object transformations: Taking a given process, described in a given coordinate system, and transforming it into a different process, described in the same coordinate system as the original process.

The difference is illustrated in the following diagram for the simplest kind of transformation, translation of space.

coordinate systems 6

Figure 3. Object, Coordinate, and Combined Transformations.

  • The transformations in Figure 3 are simple space translations.
  • Figure 3 (B) shows an object transformation. The original trajectory (A) is moved in space to the right, by 4 units. The new coordinates are related to the original coordinates by: xnew particle ® xoriginal particle + 4.
  • Figure 3 (C) shows a coordinate transformation: the coordinate system is moved to the left by 4 units. The new coordinate system, x’, is related to the original system, x, by: x’original particle = xoriginal particle + 4. The result ‘looks’ the same as (B).
  • Figure 3 (D) shows a combination of the object transformation (B) and a coordinate transformation, which is the inverse of that in (C), defined by: x’’original particle = xoriginal particle – 4. The result of this looks the same as the original trajectory in (A), because the coordinate transformation appears to ‘undo’ the effect of the object transformation.

10. Valid Transformations

There is an intimate connection between these two kinds of transformations. This connection provides the major conceptual apparatus of modern physics, through the concept of physical symmetries, or invariance principles, and valid transformations.

The deepest features of laws or theories of physics are reflected in their symmetry properties, which are also called invariances under symmetry transformations. Laws or theories can be understood as describing classes of physical processes. Physical processes that conform to a theory are valid physical processes of that theory. Of course, not all (logically) possible processes that we can imagine are valid physical processes of a given theory. Otherwise the theory would encompass all possible processes, and tell us nothing about what is physically possible, as opposed to what is logically conceivable.

Symmetries of a theory are described by transformations that preserve valid processes of the theory. For instance, time translation is a symmetry of almost all theories. This means that if we take a valid process, and transform it, intact, to an earlier or later time, we still have a valid process. This is equivalent to simply setting the ‘temporal origin’ of the process to a later or earlier time.

Other common symmetries are:

  • Rotations in space (if we take a valid process, and rotate it to another direction in space, we end up with another valid process).
  • Translations in space (if we take a valid process, and move it to another position in space, we end up with another valid process).
  • Velocity transformations (if we take a valid process, and give it uniform velocity boost in some direction in space, we end up with another valid process).

These symmetries are valid both in classical physics and in STR. In classical physics, they are called Galilean symmetries or transformations. In STR they are called Lorentz transformations. However, although the symmetries are very similar in both theories, the Lorentz transformations in STR involve features that are not evident in the classical theory. In fact, this difference only emerges for velocity boosts. Translations and rotations are identical in both theories. This is essentially because velocity boosts in STR involve transformations of the connection between proper time and ordinary space and time, which does not appear in classical theory.

The concept of valid coordinate transformations follows directly from that of valid object transformations. The point is that when we make an object transformation, we begin with a description of a process in a coordinate system, and end up with another description, of a different process, given in the same coordinate system. Now instead of transforming the processes involved, we can do the inverse, and make a transformation of the coordinate system, so that we end up with a new coordinate description of the original process, which looks exactly the same as the description of the transformed process in the original coordinate system.

This gives an alternative way of regarding the process, and its transformed image: instead of taking them as two different processes, we can take them as two different coordinate descriptions of the same process.

This is connected to the idea that certain aspects of the coordinate system are arbitrary or conventional. For instance, the choice of a particular origin for time or space is regarded as conventional: we can move the origins in our coordinate description, and we still have a valid system. This is only possible because the corresponding object transformations (time and space translations) are valid physical transformations.

Physicists tend to regard coordinate transformations and valid object transformations interchangeably and somewhat ambiguously, and the distinction between the two is often blurred in applied physics. While this doesn’t cause practical problems, it is important when learning the concepts of the theory to distinguish the two kinds of transformations clearly.

11. Velocity Boosts in STR and Classical Mechanics

STR and classical mechanics have exactly the same symmetries under translations of time and space, and rotations of space. They also both have symmetries under velocity boosts: both theories hold that, if we take a valid physical process, and give it a uniform additional velocity in some direction, we end with another valid physical process. But the transformation of space and time coordinates, and of proper time, are different for the two theories under a velocity boost. In classical physics, it is called a Galilean transformation, while for STR it is called a Lorentz transformation.

To see how the difference appears, we can take a stationary trajectory, and consider what happens when we apply a velocity boost in either theory.

coordinate systems 7

Figure 4. Classical and STR Velocity Boosts give different results.

In both diagrams, the green line is the original trajectory of a stationary particle, and it looks exactly the same in STR and classical mechanics. Proper time events (marked in blue) are equally spaced with the coordinate time intervals in both cases.

If we transform the classical trajectory by giving the particle a velocity (in this example, v = c/2) towards the right, the result (red line) is very simple: the proper time events remain equally spaced with coordinate time intervals. The same sequence of proper time events takes the same amount of coordinate time to complete. The classical particle moves a distance: Dx = v.Dt to the right, where Dt is the coordinate time duration of the original process.

But when we transform the STR particle, a strange thing happens: the proper time events become more widely spaced than the coordinate time intervals, and the same sequence of proper time events takes more coordinate time to complete. The STR particle moves a distance: Dx’ = v.Dt’ to the right, where: Dt’ > Dt, and hence: Dx’ > Dx.

The transformations of the coordinates of the (proper time) points of the original processes are shown in the following table.

coordinate systems 8

Table 1. Example of Velocity Transformation.

We can work out the general formula for the STR transformations of t’ and x’ in this example by using Equation (1). This requires finding a formula for the transformation of time-space coordinates:

(t, 0) ® (t’, x’)

We obtain this by applying Equation (1) in the (t’,x’) coordinate system, giving:

(1’) coordinate systems 9

It is crucial that this equation retains the same form under the Lorentz equation. In this special case, we have the additional facts that:

(i) Dt = Dt, and:(ii) Dx’ = vDt’

We substitute (i) and (ii) in (1’) to get:

coordinate systems 10

This rearranges to give:

coordinate systems 11 and: coordinate systems 12

We can see that: Dx’/Dt’ = v. This is a special case of a Lorentz transformation for this simplest kind of trajectory. Note that if we think of this as a coordinate transformation which generates the appearance of this object transformation, we need to move the new coordinate system in the opposite direction to the motion of the object. I.e. if we define a new coordinate system, (x’,t’), moving at –v (i.e. to the left) with regard to the original (x,t) system, then the original trajectory (which appeared stationary in (x,t)) will appear to be moving with velocity +v (to the left) in (x’,t’). In general, object transformations correspond the inverse coordinate transformations.

12. Lorentz Transformations for Velocity Boost V in the x-direction

The previous transformations is only for points on the special line where: x = 0. More generally, we want to work out the formulae for transforming points anywhere in the coordinate system:

(t, x) ® (t’, x’)

The classical formulas are Galilean transformations, and they are very simple.

Galilean Velocity Boost:

(t, x) ® (t, x+vt)t’ = t

x’ = x+vt

The STR formulas are more general Lorentz transformations. The Galilean transformation is simple because time coordinates are unchanged, so that: t = t’. This means that simultaneity in time in classical physics is absolute: it does not depend upon the choice of coordinate system. We also have that distance between two points at a given moment of time is invariant, because if: x2 -x1 = Dx, then: x’2 -x’1 = (x2+vt) – (x1-vt) = Dx. Ordinary distance in space is the crucial invariant quantity in classical physics.

But in STR, we have a complex interdependence of time and space coordinates. This is seen because the transformation formulas for both t’ and x’ are functions of both x and t. I.e. there are functions f and g such that:

t’ = f(x,t) and: x’ = g(x,t)

These functions represent the Lorentz transformations. To give stationary objects a velocity V in the x-direction, these general functions are found to be Lorentz Transformation, and the factor coordinate systems 13 is called γ, letting us write these equations more simply as:

Lorentz Transformations: t’ = γ(t+Vx/c2) and: x’ = γ(x+Vt)

We can equally consider the corresponding coordinate transformation, which would generate the appearance of this object transformation in a new coordinate system. It is essentially the same as the object transformation – except it must go in the opposite direction. For the object transformation, which increases the velocity of stationary particles by the speed V in the x direction, corresponds to moving the coordinate system in the opposite direction. I.e. if we define a new coordinate system, and call it (x’,t’), and place this in motion with a speed –V (i.e. V in the negative-x-direction), relative to the (x,t) coordinate system, then the original stationary trajectories in (x,t)-coordinates will appear to have speed V in the new (x’,t’) coordinates.

Because the Lorentz transformation of processes leaves us with valid STR processes, the Lorentz transformation of a STR coordinate system leaves us with a valid coordinate system. In particular, the form of Equation (1) is preserved by the Lorentz transformation, so that we get: coordinate systems 14. This can be checked by substituting the formulas for t’ and x’ back into this equation, and simplifying; the resulting equation turns out to be identical to Equation (1).

13. Galilean Transformation of Coordinate System

One useful way to visualize the effect of a transformation is to make an ordinary space-time diagram, with the space and time axes drawn perpendicular to each other as usual, and then to draw the new set of coordinates on this diagram. In these diagrams, the space axes represent points which are measured to have the same time coordinates, and similarly, the time axes represent points which are measured to have the same space coordinates. When we make a velocity boost, these lines of simultaneity and same-position are altered.

This is shown first for a Galilean velocity boost, where in fact the lines of simultaneity remain the same, but the lines representing position are rotated:

coordinate systems 15

Figure 5. Galilean Velocity Boost.

  • In Figure 5, the (green) horizontal lines are lines of absolute simultaneity. They have the same coordinates in both t and t’.
  • The (blue) vertical lines are lines with the same x-coordinates.
  • The (gray) slanted lines are lines with the same x’-coordinates.
  • The spacing of the x’ coordinates is the same as the x coordinates, which means that relative distances between points are not affected.
  • The solid black arrow represents a stationary trajectory in (x,t).
  • An object transformation of +V moves it onto the green arrow, with velocity: v = c/2 in the (x,t)-system.
  • A coordinate transformation of +V, to a system (x’,t’) moving at +V with regard to (x,t), makes this green arrow appears stationary in the (x’,t’) system.
  • This coordinate transformation makes the black arrow appear to be moving at –V in (x’,t’) coordinates.

14. Lorentz Transformation of Coordinate System

In a Lorentz velocity boost, the time and space axes are both rotated, and the spacing is also changed.

coordinate systems 16

Figure 6. Rotation of Space and Time Coordinate Axes by a Lorentz Velocity Boost. Some proper time events are marked in blue.

To obtain the (x’,t’)-coordinates of a point defined in (x,t)-coordinates, we start at that point, and: (i) move parallel to the green lines, to find the intersection with the (red) t’-axis, which is marked with the x’-coordinates; and: (ii) move parallel to the red lines, to find the intersection with the (green) x’-axis, which is marked with the t’-coordinates. The effects of this transformation on a solid rod or ruler extending from x=0 to x=1, and stationary in (x,t), is shown in more detail below.

coordinate systems 17

Figure 7. Lorentz Velocity Boost. Magnified view of Figure 6 shows time and space dilation. The gray rectangle represents a unit of the space-time path of a rod (Rod 1) stationary in (x,t). The dark green lines represent a Lorentz (object) transformation of this trajectory, which is a second rod (Rod 2) moving at V in (x,t) coordinates. This is a unit of the space-time path of a stationary rod in (x’,t’).

15. Time and Space Dilation

Figure 7 shows how both time and space dilation effects work. To see this clearly, we need to consider the volumes of space-time that an object like a rod traces out.

  • The (gray) rectangle PQRS represents a space-time volume, for a stationary rod or ruler in the original frame. It is 1-meter long in original coordinates (Dx = 1), and is shown over 1 unit of proper time, which corresponds to one unit of coordinate time (Dt = 1).
  • The rectangle PQ’R’S’ (green edges) represents a second space-time volume, for a rod which appears to be moving in the original frame. This is how the space-time volume of the first rod transforms under a Lorentz transformation.
  • We may interpret the transformation as either: (i) a Lorentz velocity boost of the rod by velocity +V (object transformation), or equally: (ii) a Lorentz transformation to a new coordinate system, (x’,t’), moving at –V with regard to (x,t). Note that:
  • The length of the moving rod measured in x is now shorter than the stationary rod: Dx = 1/γ. This is space dilation.
  • The coordinate time between proper time events on the moving rod measured in t is now longer than for the stationary rod (Dt = γ). This is time dilation.

The need to fix the new coordinate system in this way can be worked out by considering the moving rod from the point of view of its own inertial system.

  • As viewed in its own inertial coordinate system, the green rectangle PQ’R’S’ appears as the space-time boundary for a stationary rod. In this frame:
  • PS’ appears stationary: it is a line where: x’ = 0.
  • PQ’ appears as a line of simultaneity, i.e. it is a line where: t’=0.
  • R’S’ is also a line of simultaneity in t’.
  • Points on R’S’ must have the time coordinate: t’=1, since it is at the time t’ when one unit of proper time has elapsed, and for the stationary object, Dt’ = Dt.
  • The length of PQ’ must be one unit in x’, since the moving rod appears the same length in its own inertial frame as the original stationary rod did.

Time and space dilation are often referred to as ‘perspective effects’ in discussions of STR. Objects and processes are said to ‘look’ shorter or longer when viewed in one inertial frame rather than in another. It is common to regard this effect as a purely ‘conventional’ feature, which merely reflects a conventional choice of reference frame. But this is rather misleading, because time and space dilation are very real physical effects, and they lead to completely different types of physical predictions than classical physics.

However, the symmetrical properties of the Lorentz transformation makes it impossible to use these features to tell whether one frame is ‘really moving’ and another is ‘really stationary’. For instance, if objects get shorter when they are placed in motion, then why do we not simply measure how long objects are, and use this to determine whether they are ‘really stationary’? The details in Figure 7 reveal why this does not work: the space dilation effect is reversed when we change reference frames. That is:

  • Measured in Frame 1, i.e. in (x,t)-coordinates, the stationary object (Rod 1) appears longer than the moving object (Rod 2). But:
  • Measured in Frame 2, using (x’,t’)-coordinates, the moving object (Rod 2) appears stationary, while the originally stationary object (Rod 1) moves. But now the space dilation effect appears reversed, and Rod 2 appears longer than Rod 1!

The reason this is not a real paradox or inconsistency can be seen from the point of view of Frame 2, because now Rod 1 at the moment of time t’ = 0 stretches from the point P to Q’’, rather than from P to Q, as in Frame 1. The line of simultaneity alters in the new frame, so that we measure the distance between a different pair of space-time events. And PQ’’ is now found to be shorter than PQ’, which is the length of Rod 2 in Frame 2.

There is no answer, within STR, as to which rod ‘really gets shorter’. Similarly there is no answer as to which rod ‘really has faster proper time’ – when we switch to Frame 2, we find that Rod 2 has a faster rate of proper time with regard to coordinate time, reversing the time dilation effect apparent in Frame 1. In this sense, we could consider these effects a matter of ‘perspective’ – although it is more accurate to say that in STR, in its usual interpretation, there are simply no facts about absolute length, or absolute time, or absolute simultaneity, at all.

However, this does not mean that time and space dilation are not real effects. They are displayed in other situations where there is no ambiguity. One example is the twins’ paradox, where proper time slows down in an absolute way for a moving twin. And there are equally real physical effects resulting from space dilation. It is just that these effects cannot be used to determine an absolute frame of rest.

16. The Full Special Theory of Relativity

So far, we have only examined the most basic part of STR: the valid STR transformations for space, time, and proper time, and the way these three quantities are connected together. This is the most fundamental part of the theory. It represents relativistic kinematics. It already has very powerful implications. But the fully developed theory is far more extensive: it results from Einstein’s idea that the Lorentz transformations represent a universal invariance, applicable to all physics. Einstein formulated this in 1905: “The laws of physics are invariant under Lorentz transformations (when going from one inertial system to another arbitrarily chosen inertial system)”. Adopting this general principle, he explored the ramifications for the concepts of mass, energy, momentum, and force.

The most famous result is Einstein’s equation for energy: E = mc². This involves the extension of the Lorentz transformation to mass. Einstein found that when we Lorentz transform a stationary particle with original rest-mass m0, to set it in motion with a velocity V, we cannot regard it as maintaining the same total mass. Instead, its mass becomes larger: m = γm0, with γ defined as above. This is another deep contradiction with classical physics.

Einstein showed that this requires us to reformulate our concept of energy. In classical physics, kinetic energy is given by: E = ½ mv². In STR, there is a more general definition of energy, as: E = mc². A stationary particle then has a basic ‘rest mass energy’ of m0c². When it is set in motion, its energy is increased purely by the increase in mass, and this is kinetic energy. So we find in STR that:

Kinetic Energy = mc²-m0c² = (γ-1)m0

For low velocities, with: v << c, it is easily shown that: (γ-1)c² is very close to ½v², so this corresponds to the classical result in the classical limit of low energies. But for high energies, the behavior of particles is very different. The discovery that there is an underlying energy of m0c² simply from rest-mass is what made nuclear reactors and nuclear bombs possible: they convert tiny amounts of rest mass into vast amounts of thermal energy.

The main application Einstein explored first was the theory of electromagnetism, and his most famous paper, in which he defined STR in 1905, is called “Electrodynamics of Moving Bodies”. In fact, Lorentz, Poincaré and others already knew that they needed to apply the Lorentz transformation to Maxwell’s theory of classical electromagnetism, and had succeeded a few years earlier in formulating a theory which is extremely similar to Einstein’s in its predictions. Some important experimental verification of this was also available before Einstein’s work (most famously, the Michelson-Morley experiment). But his theory went much further. He radically reformulated the concepts that we use to analyse force, energy, momentum, and so forth. In this sense, his new theory was primarily a philosophical and conceptual achievement, rather than a new experimental discovery of the kind traditionally regarded as the epitome of empirical science.

He also attributed his universal ‘principle of relativity’ to the very nature of space and time itself. With important contributions by Minkowski, this gave rise to the modern view that physics is based on an inseparable combination of space and time, called space-time. Minkowski treated this as a kind of ‘geometric’ entity, based on regarding our Equation (1) as a ‘metric equation’ describing the geometric nature of space-time. This view is called the ‘geometric explanation’ of relativity theory, and this approach led Einstein even deeper into modern physics, when he applied this new conception to the theory of gravity, and discovered a generalised theory of space-time.

The nature of this ‘geometric explanation’ of the connection between space, time, and proper time is one of the most fascinating topics in the philosophy of physics. But it involves the General Theory of Relativity, which goes beyond STR.

17. References and Further Reading

The literature on relativity and its philosophical implications is enormous – and still growing rapidly. The following short selection illustrates some of the range of material available. Original publication dates are in brackets.

  • Bondi, Hermann. 1962. Relativity and Common Sense. Heinemann Educational Books.
    • A clear exposition of basic relativity theory for beginners, with a minimum of equations. Contains useful discussions of the Twins Paradox and other topics.
  • Einstein, Albert. 1956 (1921). The Meaning of Relativity. (The Stafford Little Lectures of Princeton University.) Princeton University Press.
    • Einstein’s account of the principles of his famous theory. Simple in parts, but mainly a fairly technical summary, requiring a good knowledge of physics.
  • Epstein, Lewis Carroll. 1983. Relativity Visualized. Insight Press. San Francisco.
    • A clear, simple, and rather unique introduction to relativity theory for beginners. Epstein illustrates the functional relationships between space, time, and proper time in a clear and direct way, using novel geometric presentations.
  • Grunbaum, Adolf. 1963. Philosophical Problems of Space and Time. Knopf, New York.
    • A collection of original studies by one of the seminal philosophers of relativity theory, this covers an impressive range of issues, and remains an important starting place for many recent philosophical studies.
  • Lorentz, H. A., A. Einstein, H. Minkowski and H. Weyl. 1923. The Principle of Relativity. A Collection of Original Memoirs on the Special and General Theory of Relativity. Trans. W. Perrett and G.B. Jeffery. Methuen. London.
    • These are the major figures in the early development of relativity theory, apart from Poincare, who simultaneously with Lorentz formulated the ‘pre-relativistic’ version of electromagnetic theory, which contains most of the mathematical basis of STR, shortly before Einstein’s paper of 1905. While Einstein deeply admired Lorentz – despite their permanent disagreements about STR – he paid no attention to Poincare.
  • Newton, Isaac. 1686. Mathematical Principles of Natural Philosophy.
    • Every serious student should read Newton’s “Definitions” and “Scholium”, where he introduces his concepts of time and space.
  • Planck, Max. 1998 (1909). Eight Lectures on Theoretical Physics.
    • Planck elegantly summarizes the revolutionary discoveries that characterized the first decade of 20th Century physics. Lecture 8 is one of the earliest accounts of relativity theory. This classic work shows Planck’s penetrating vision of many fundamental themes that soon came to dominate physics.
  • Reichenbach, Hans. 1958 (1928). The Philosophy of Space and Time. Dover, New York.
    • An influential early study of the concepts of space and time, and the relativistic revolution. Although Reichenbach’s approach is underpinned by his positivistic program, which is rejected today by philosophers, the central issues are of continuing interest.
  • Russell, Bertrand. 1977 (1925). ABC of Relativity. Unwin Paperbacks, London.
    • A early popular exposition of the meaning of relativity theory by one of the most influential 20th century philosophers, this presents key philosophical issues with Russell’s characteristic simplicity.
  • Schlipp, P.A. (Ed.) 1949. Albert Einstein: Philosopher-Scientist. The Library of Living Philosophers.
    • A classic collection of papers on Einstein and relativity theory.
  • Spivak, M. 1979. A Comprehensive Introduction to Differential Geometry. Publish or Perish. Berkeley.
    • An advanced mathematical introduction to the modern approach to differentiable manifolds, which developed in the 1960’s. Philosophical interest lies in the detailed semantics for coordinate systems, and the generalizations of concepts of geometry, such as the tangent vector.
  • Tipler, Paul A. 1982. Physics. Worth Publishers Ltd.
    • An extended introductory textbook for undergraduates, Chapter 35, “Relativity Theory”, is a typical modern introduction to relativity theory.
  • Torretti, Roberto. 1983/1996. Relativity and Geometry. Dover, New York.
    • An excellent source for the specialist philosopher, summarizing history and concepts of both the Special and General Theories, with extended bibliography. Combines excellent technical summaries with detailed historical surveys.
  • Wangsness, Roald K. 1979. Electromagnetic Fields. John Wiley & Sons Ltd.
    • This is a typical advanced modern undergraduate textbook on electromagnetism. The final chapter explains how the structure of electrodynamics is derived from the principles of STR.

Back to the main “Time” article.

Author Information

Andrew Holster
Email: ATASA@clear.net.nz
New Zealand

Diels-Kranz Numbering System

Of the writings of the Presocratics, only quotations embedded in the works of later authors have survived. These quotations, along with reports about the Presocratics and imitations of their works, were first compiled into a standard edition (Die Fragmente der Vorsokratiker) in the nineteenth century by Hermann Diels (1848-1922) with revisions by Walther Kranz and subsequent editors, in a complete edition of all the works of Presocratic authors which has become standard in the field of ancient philosophy. The works of Presocratics, therefore, are normally referred to by DK numbers. In Diels-Kranz, each author is assigned a number, and within that author’s number, entries are divided into three groups labeled alphabetically:

  1. testimonia: ancient accounts of the authors’ life and doctrines
  2. ipsissima verba (literally, exact words, sometimes also termed “fragments”): the exact words of the author
  3. imitations: works which take the author as a model

Within each of these three groups, individual fragments or testimonia are assigned sequential numbers. So, for example, since Protagoras is the eightieth author in Diels-Kranz, the third testimony concerning him, a generally unreliable short biography by Hesychius, would be referred to as DK80a3.

Diels, Hermann and Walther Kranz. Die Fragmente der Vorsokratiker. Zurich: Weidmann, 1985.

Freeman, Kathleen. Ancilla to the Pre-Socratic Philosophers. Cambridge: Harvard Univ Pr., 1983 (reprint edition).

This book is a complete English translation of the ‘b’ passages–the so-called ‘fragments’–from Die Fragmente der Vorsokratiker.

Author Information

Carol Poster
Email: cposter@english.fsu.edu
Florida State University

Rudolf Carnap (1891—1970)

carnap02Rudolf Carnap, a German-born philosopher and naturalized U.S. citizen, was a leading exponent of logical positivism and was one of the major philosophers of the twentieth century. He made significant contributions to philosophy of science, philosophy of language, the theory of probability, inductive logic and modal logic. He rejected metaphysics as meaningless because metaphysical statements cannot be proved or disproved by experience. He asserted that many philosophical problems are indeed pseudo-problems, the outcome of a misuse of language. Some of them can be resolved when we recognize that they are not expressing matters of fact, but rather concern the choice between different linguistic frameworks. Thus the logical analysis of language becomes the principal instrument in resolving philosophical problems. Since ordinary language is ambiguous, Carnap asserted the necessity of studying philosophical issues in artificial languages, which are governed by the rules of logic and mathematics. In such languages, he dealt with the problems of the meaning of a statement, the different interpretations of probability, the nature of explanation, and the distinctions between analytic and synthetic, a priori and a posteriori, and necessary and contingent statements.

Table of Contents

  1. Life
  2. The Structure of Scientific Theories
  3. Analytic and Synthetic
  4. Meaning and Verifiability
  5. Probability and Inductive Logic
  6. Modal Logic and the Philosophy of Language
  7. Philosophy of Physics
  8. Carnap’s Heritage
  9. References and Further Reading
    1. Carnap’s Works
    2. Other Sources

1. Life

Rudolf Carnap was born on May 18, 1891, in Ronsdorf, Germany. In 1898, after his father’s death, his family moved to Barmen, where Carnap studied at the Gymnasium. From 1910 to1914 he studied philosophy, physics and mathematics at the universities of Jena and Freiburg. He studied Kant under Bruno Bauch and later recalled how a whole year was devoted to the discussion of The Critique of Pure Reason. Carnap became especially interested in Kant’s theory of space. Carnap took three courses from Gottlob Frege in 1910, 1913 and 1914. Frege was professor of mathematics at Jena. During those courses, Frege expounded his system of logic and its applications in mathematics. However, Carnap’s principal interest at that time was in physics, and by 1913 he was planning to write his dissertation on thermionic emission. His studies were interrupted by World War I and Carnap served at the front until 1917. He then moved to Berlin and studied the theory of relativity. At that time, Albert Einstein was professor of physics at the University of Berlin.

After the war, Carnap developed a new dissertation, this time on an axiomatic system for the physical theory of space and time. He submitted a draft to physicist Max Wien, director of the Institute of Physics at the University of Jena, and to Bruno Bauch. Both found the work interesting, but Wien told Carnap the dissertation was pertinent to philosophy, not to physics, while Bauch said it was relevant to physics. Carnap then chose to write a dissertation under the direction of Bauch on the theory of space from a philosophical point of view. Entitled Der Raum (Space), the work was clearly influenced by Kantian philosophy. Submitted in 1921, it was published the following year in a supplemental issue of Kant-Studien.

Carnap’s involvement with the Vienna Circle developed over the next few years. He met Hans Reichenbach at a conference on philosophy held at Erlangen in 1923. Reichenbach introduced him to Moritz Schlick, then professor of the theory of inductive science at Vienna. Carnap visited Schlick—and the Vienna Circle—in 1925 and the following year moved to Vienna to become assistant professor at the University of Vienna. He became a leading member of the Vienna Circle and, in 1929, with Hans Hahn and Otto Neurath, he wrote the manifesto of the Circle.

In 1928, Carnap published The Logical Structure of the World, in which he developed a formal version of empiricism arguing that all scientific terms are definable by means of a phenomenalistic language. The great merit of the book was the rigor with which Carnap developed his theory. In the same year he published Pseudoproblems in Philosophy asserting the meaninglessness of many philosophical problems. He was closely involved in the First Conference on Epistemology, held in Prague in 1929 and organized by the Vienna Circle and the Berlin Circle (the latter founded by Reichenbach in 1928). The following year, he and Reichenbach founded the journal Erkenntnis. At the same time, Carnap met Alfred Tarski, who was developing his semantical theory of truth. Carnap was also interested in mathematical logic and wrote a manual of logic, entitled Abriss der Logistik (1929).

In 1931, Carnap moved to Prague to become professor of natural philosophy at the German University. It was there that he made his important contribution to logic with The Logical Syntax of Language (1934). His stay in Prague, however, was cut short by the Nazi rise to power. In 1935, with the aid of the American philosophers Charles Morris and Willard Van Orman Quine, whom he had met in Prague the previous year, Carnap moved to the United States. He became an American citizen in 1941.

From 1936 to 1952, Carnap was a professor at the University of Chicago (with the year 1940-41 spent as a visiting professor at Harvard University). He then spent two years at the Institute for Advanced Study at Princeton before taking an appointment at the University of California at Los Angeles.

In the 1940s, stimulated by Tarskian model theory, Carnap became interested in semantics. He wrote several books on semantics: Introduction to Semantics (1942), Formalization of Logic (1943), and Meaning and Necessity: A Study in Semantics and Modal Logic (1947). In Meaning and Necessity, Carnap used semantics to explain modalities. Subsequently he began to work on the structure of scientific theories. His main concerns were (i) to give an account of the distinction between analytic and synthetic statements and (ii) to give a suitable formulation of the verifiability principle; that is, to find a criterion of significance appropriate to scientific language. Other important works were “Meaning Postulates” (1952) and “Observation Language and Theoretical Language” (1958). The latter sets out Carnap’s definitive view on the analytic-synthetic distinction. “The Methodological Character of Theoretical Concepts” (1958) is an attempt to give a tentative definition of a criterion of significance for scientific language. Carnap was also interested in formal logic (Introduction to Symbolic Logic, 1954) and in inductive logic (Logical Foundations of Probability, 1950; The Continuum of Inductive Methods, 1952). The Philosophy of Rudolf Carnap, ed. by Paul Arthur Schilpp, was published in 1963 and includes an intellectual autobiography. Philosophical Foundations of Physics, ed. by Martin Gardner, was published in 1966. Carnap was working on the theory of inductive logic when he died on September 14, 1970, at Santa Monica, California.

2. The Structure of Scientific Theories

In Carnap’s opinion, a scientific theory is an interpreted axiomatic formal system. It consists of:

  • a formal language, including logical and non-logical terms;
  • a set of logical-mathematical axioms and rules of inference;
  • a set of non-logical axioms, expressing the empirical portion of the theory;
  • a set of meaning postulates stating the meaning of non-logical terms, which formalize the analytic truths of the theory;
  • a set of rules of correspondence, which give an empirical interpretation of the theory.

The sets of meaning postulates and rules of correspondence may be included in the set of non-logical axioms. Indeed, meaning postulates and rules of correspondence are not usually explicitly distinguished from non-logical axioms; only one set of axioms is formulated. One of the main purposes of the philosophy of science is to show the difference between the various kinds of statements.

The Language of Scientific Theories The language of a scientific theory consists of:

  1. a set of symbols and
  2. rules to ensure that a sequence of symbols is a well-formed formula, that is, correct with respect to syntax.

Among the symbols of the language are logical and non-logical terms. The set of logical terms include logical symbols, e.g., connectives and quantifiers, and mathematical symbols, e.g., numbers, derivatives, and integrals. Non-logical terms are divided into observational and theoretical. They are symbols denoting physical entities, properties or relations such as ‘blue’, ‘cold’, ‘ warmer than’, ‘proton’, ‘electromagnetic field’. Formulas are divided into: (i) logical statements, which do not contain non-logical terms; (ii) observational statements, which contain observational terms but no theoretical terms; (iii) purely theoretical statements, which contain theoretical terms but no observational terms and (iv) rules of correspondence, which contain both observational and theoretical terms.

Classification of statements in a scientific language
type of statement
observational terms
theoretical terms
logical statements No No
observational statements Yes No
purely theoretical statements No Yes
rules of correspondence Yes Yes

Observational language contains only logical and observational statements; theoretical language contains logical and theoretical statements and rules of correspondence.

The distinction between observational and theoretical terms is a central tenet of logical positivism and at the core of Carnap’s view on scientific theories. In his book Philosophical Foundations of Physics (1966), Carnap bases the distinction between observational and theoretical terms on the distinction between two kinds of scientific laws, namely empirical laws and theoretical laws.

An empirical law deals with objects or properties that can be observed or measured by means of simple procedures. This kind of law can be directly confirmed by empirical observations. It can explain and forecast facts and be thought of as an inductive generalization of such factual observations. Typically, an empirical law which deals with measurable physical quantities, can be established by means of measuring such quantities in suitable cases and then interpolating a simple curve between the measured values. For example, a physicist could measure the volume V, the temperature T and the pressure P of a gas in diverse experiments, and he could find the law PV=RT, for a suitable constant R.

A theoretical law, on the other hand, is concerned with objects or properties we cannot observe or measure but only infer from direct observations. A theoretical law cannot be justified by means of direct observation. It is not an inductive generalization but a hypothesis reaching beyond experience. While an empirical law can explain and forecast facts, a theoretical law can explain and forecast empirical laws. The method of justifying a theoretical law is indirect: a scientist does not test the law itself but, rather, the empirical laws that are among its consequences.

The distinction between empirical and theoretical laws entails the distinction between observational and theoretical properties, and hence between observational and theoretical terms. The distinction in many situations is clear, for example: the laws that deal with the pressure, volume and temperature of a gas are empirical laws and the corresponding terms are observational; while the laws of quantum mechanics are theoretical. Carnap admits, however, that the distinction is not always clear and the line of demarcation often arbitrary. In some ways the distinction between observational and theoretical terms is similar to that between macro-events, which are characterized by physical quantities that remain constant over a large portion of space and time, and micro-events, where physical quantities change rapidly in space or time.

3. Analytic and Synthetic

To the logical empiricist, all statements can be divided into two classes: analytic a priori and synthetic a posteriori. There can be no synthetic a priori statements. A substantial aspect of Carnap’s work was his attempt to give precise definition to the distinction between analytic and synthetic statements.

In The Logical Syntax of Language (1934), Carnap studied a formal language that could express classical mathematics and scientific theories, for example, classical physics. Carnap would have known Kurt Gödel’s 1931 article on the incompleteness of mathematics. He was, therefore, aware of the substantial difference between the two concepts of proof and consequence: some statements, despite being a logical consequence of the axioms of mathematics, are not provable by means of these axioms. He would not, however, have been able to take account of Alfred Tarski’s essay on semantics, first published in Polish in 1933. Tarski’s essay led to the notion of logical consequence being regarded as a semantic concept and defined by means of model theory. These circumstances explain how Carnap, in The Logical Syntax of Language, gave a purely syntactic formulation of the concept of logical consequence. However, he did define a new rule of inference, now called the omega-rule, but formerly called the Carnap rule:

From the infinite series of premises A(1), A(2), … , A(n), A(n+1) ,…, we can infer the conclusion (x)A(x)

Carnap defines the notion of logical consequence in the following way: a statement A is a logical consequence of a set S of statements if and only if there is a proof of A based on the set S; it is admissible to use the omega-rule in the proof of A. In the definition of the notion of provable, however, a statement A is provable by means of a set S of statements if and only if there is a proof of A based on the set S, but the omega-rule is not admissible in the proof of A. (A formal system which admits the use of the omega-rule is complete, so Gödel’s incompleteness theorem does not apply to such formal systems.

Carnap then proceeded to define some kinds of statements: (i) a statement is L-true if and only if it is a logical consequence of the empty set of statements; (ii) a statement is L-false if and only if all statements are a logical consequence of it; (iii) a statement is analytic if and only if it is L-true or L-false; (iv) a statement is synthetic if and only if is not analytic. Carnap thus defines analytic statements as logically determined statements: their truth depends on logical rules of inference and is independent of experience. Thus, analytic statements are a priori while synthetic statements are a posteriori, because they are not logically determined.

Carnap maintained his definitions of statements in his article “Testability and Meaning” (1936) and his book Meaning and Necessity (1947). In “Testability and Meaning,” he introduced semantic concepts: a statement is analytic if and only if it is logically true; it is self-contradictory if and only if it is logically false. In any other case, the statement is synthetic. In Meaning and Necessity. Carnap first defines the notion of L-true (a statement is L-true if its truth depends on semantic rules) and then defines the notion of L-false (a statements if L-false if its negation is L-true). A statement is L-determined if it is L-true or L-false; analytic statements are L-determined, while synthetic statements are not L-determined. This is very similar to the definitions Carnap gave in The Logical Syntax of Language but with the change from syntactic to semantic concepts.

In 1951, Quine published the article “Two Dogmas of Empiricism,” in which he disputed the distinction made between analytic and synthetic statements. In response, Carnap partially changed his point of view on this problem. His first response to Quine came in “Meaning postulates” (1952) where Carnap suggested that analytic statements are those which can be derived from a set of appropriate sentences that he called meaning postulates. Such sentences define the meaning of non logical terms and thus the set of analytic statements is not equal to the set of logically true statements. Later, in “Observation language and theoretical language” (1958), he expressed a general method for determining a set of meaning postulates for the language of a scientific theory. He further expounded on this method in his reply to Carl Gustav Hempel in The Philosophy of Rudolf Carnap (1963), and in Philosophical Foundations of Physics (1966). Suppose the number of non-logical axioms is finite. Let T be the conjunction of all purely theoretical axioms, and C the conjunction of all correspondence postulates and TC the conjunction of T and C. The theory is equivalent to the single axiom TC. Carnap formulates the following problems: how can we find two statements, say A and R, so that A expresses the analytic portion of the theory (that is, all consequences of A are analytic) while R expresses the empirical portion (that is, all consequences of R are synthetic)? The empirical content of the theory is formulated by means of a Ramsey sentence (a discovery of the English philosopher Frank Ramsey). Carnap’s solution to the problem builds a Ramsey sentence on the following instructions:

  1. Replace every theoretical term in TC with a variable.
  2. Add an appropriate number of existential quantifiers at the beginning of the sentence.

Look at the following example. Let TC(O 1 ,..,O n ,T 1 ,…,T m ) be the conjunction of T and C; in TC there are observational terms O 1 …O n and theoretical terms T 1 …T m . The Ramsey sentence (R) is

EX 1 …EX m TC(O 1 ,…,O n ,X 1 ,…,X m )

Every observational statement which is derivable from TC is also derivable from R and vice versa so that, R expresses exactly the empirical portion of the theory. Carnap proposes the statement R TC as the only meaning postulate; this became known as the Carnap sentence. Note that every empirical statement that can be derived from the Carnap sentence is logically true, and thus the Carnap sentence lacks empirical consequences. So, a statement is analytic if it is derivable from the Carnap sentence; otherwise the statement is synthetic. The requirements of Carnap’s method can be summarized as follows : (i) non-logical axioms must be explicitly stated, (ii) the number of non-logical axioms must be finite and (iii) observational terms must be clearly distinguished from theoretical terms.

4. Meaning and Verifiability

Perhaps the most famous tenet of logical empiricism is the verifiability principle, according to which a synthetic statement is meaningful only if it is verifiable. Carnap sought to give a logical formulation of this principle. In The Logical Structure of the World (1928) he asserted that a statement is meaningful only if every non-logical term is explicitly definable by means of a very restricted phenomenalistic language. A few years later, Carnap realized that this thesis was untenable because a phenomenalistic language is insufficient to define physical concepts. Thus he choose an objective language (“thing language”) as the basic language, one in which every primitive term is a physical term. All other terms (biological, psychological, cultural) must be defined by means of basic terms. To overcome the problem that an explicit definition is often impossible, Carnap used dispositional concepts, which can be introduced by means of reduction sentences. For example, if A, B, C and D are observational terms and Q is a dispositional concept, then

(x)[Ax → (Bx ↔ Qx)]
(x)[Cx → (Dx ↔ ~Qx)]

are reduction sentences for Q. In “Testability and Meaning” (1936) Carnap revised the new verifiability principle in this way: all terms must be reducible, by means of definitions or reduction sentences, to the observational language. But this proved to be inadequate. K. R. Popper showed not only that some metaphysical terms can be reduced to the observational language and thus fulfill Carnap’s requirements, but also that some genuine physical concepts are forbidden. Carnap acknowledged that criticism and in “The Methodological Character of Theoretical Concepts” (1956) sought to develop a further definition. The main philosophical properties of Carnap’s new principle can be outlined under three headings. First, of all, the significance of a term becomes a relative concept: a term is meaningful with respect to a given theory and a given language. The meaning of a concept thus depends on the theory in which that concept is used. This represents a significant modification in empiricism’s theory of meaning. Secondly, Carnap explicitly acknowledges that some theoretical terms cannot be reduced to the observational language: they acquire an empirical meaning by means of the links with other reducible theoretical terms. Third, Carnap realizes that the principle of operationalism is too restrictive. Operationalism was formulated by the American physicist Percy Williams Bridgman (1882-1961) in his book The Logic of Modern Physics (1927). According to Bridgman, every physical concept is defined by the operations a physicist uses to apply it. Bridgman asserted that the curvature of space-time, a concept used by Einstein in his general theory of relativity, is meaningless, because it is not definable by means of operations., Bridgman subsequently changed his philosophical point of view, and admitted there is an indirect connection with observations. Perhaps influenced by Popper’s criticism, or by the problematic consequences of a strict operationalism, Carnap changed his earlier point of view and freely admitted a very indirect connection between theoretical terms and the observational language.

5. Probability and Inductive Logic

A variety of interpretations of probability have been proposed:

  • Classical interpretation. The probability of an event is the ratio of the favorable outcomes to the possible outcomes. For example: a die is thrown with the result that “the score is five”. There are six possible outcomes with only one favorable; thus the probability of “the score is five” is one sixth.
  • Axiomatic interpretation. The probability is whatever fulfils the axioms of the theory of probability. In the early 1930s, the Russian mathematician Andrei Nikolaevich Kolmogorov (1903-1987) formulated the first axiomatic system for probability.
  • Frequency interpretation, now the favored interpretation in empirical science. The probability of an event in a sequence of events is the limit of the relative frequency of that event. Example: throw a die several times and record the scores; the relative frequency of “the score is five” is about one sixth; the limit of the relative frequency is exactly one sixth.
  • Probability as a degree of confirmation. This was an approach supported by Carnap and students of inductive logic. The probability of a statement is the degree of confirmation the empirical evidence gives to the statement. Example: the statement “the score is five” receives a partial confirmation by the evidence; its degree of confirmation is one sixth.
  • Subjective interpretation. The probability is a measure of the degree of belief. A special case is the theory that the probability is a fair betting quotient – this interpretation was supported by Carnap. Example: suppose you bet that the score would be five; you bet a dollar and, if you win, you will receive six dollars: this is a fair bet.
  • Propensity interpretation. This is a proposal of K. R. Popper. The probability of an event is an objective property of the event. For example: the physical properties of a die (the die is homogeneous; it has six sides; on every side there is a different number between one and six; etc.) explain the fact that the limit of the relative frequency of “the score is five” is one sixth.

Carnap devoted himself to giving an account of the probability as a degree of confirmation. The philosophically most significant consequences of his research arise from his assertion that the probability of a statement, with respect to a given body of evidence, is a logical relation between the statement and the evidence. Thus it is necessary to build an inductive logic; that is, a logic which studies the logical relations between statements and evidence. Inductive logic would give us a mathematical method of evaluating the reliability of an hypothesis. In this way inductive logic would answer the problem raised by David Hume’s analysis of induction. Of course, we cannot be sure that an hypothesis is true; but we can evaluate its degree of confirmation and we can thus compare alternative theories.

In spite of the abundance of logical and mathematical methods Carnap used in his own research on the inductive logic, he was not able to formulate a theory of the inductive confirmation of scientific laws. In fact, in Carnap’s inductive logic, the degree of confirmation of every universal law is always zero.

Carnap tried to employ the physical-mathematical theory of thermodynamic entropy to develop a comprehensive theory of inductive logic, but his plan never progressed beyond an outline stage. His works on entropy were published posthumously.

6. Modal Logic and the Philosophy of Language

The following table, which is an adaptation of a similar table Carnap used in Meaning and Necessity, shows the relations between modal properties such as necessary and impossible and logical properties such as L-true, L-false, analytic, synthetic. The symbol N means “necessarily”, so that Np means “necessarily p” or “p is necessary.”

Modal and logical properties of statements
Modalities
Formalization
Logical status
p is necessary Np L true, analytic
p is impossible N~p L false, contradictory
p is contingent ~Np & ~N~p factual, synthetic
p is not necessary ~Np Not L true
p is possible ~N~p Not L false
p is not contingent Np v N~p L determined, not synthetic

Carnap identifies the necessity of a statement p with its logical truth: a statement is necessary if and only if it is logically true. Thus modal properties can be defined by means of the usual logical properties of statements. Np, i.e., “necessarily p”, is true if and only if p is logically true. He defines the possibility of p as “it is not necessary that not p”. That is, “possibly p” is defined as ~N~p. The impossibility of p means that p is logically false. It must be stressed that, in Carnap’s opinion, every modal concept is definable by means of the logical properties of statements. Modal concepts are thus explicable from a classical point of view (meaning “using classical logic”, e.g., first order logic). Carnap was aware that the symbol N is definable only in the meta-language, not in the object language. Np means “p is logically true”, and the last statement belongs to the meta-language; thus N is not explicitly definable in the language of a formal logic, and we cannot eliminate the term N. More precisely, we can define N only by means of another modal symbol we take as a primitive symbol, so that at least one modal symbol is required among the primitive symbols.

Carnap’s formulation of modal logic is very important from a historical point of view. Carnap gave the first semantic analysis of a modal logic, using Tarskian model theory to explain the conditions in which “necessarily p” is true. He also solved the problem of the meaning of the statement (x)N[Ax], where Ax is a sentence in which the individual variable x occurs. Carnap showed that (x)N[Ax] is equivalent to N[(x)Ax] or, more precisely, he proved we can assume its equivalence without contradictions.

From a broader philosophical point of view, Carnap believed that modalities did not require a new conceptual framework; a semantic logic of language can explain the modal concepts. The method he used in explaining modalities was a typical example of his philosophical analysis. Another interesting example is the explanation of belief-sentences which Carnap gave in Meaning and Necessity. Carnap asserts that two sentences have the same extension if they are equivalent, i.e., if they are both true or both false. On the other hand, two sentences have the same intension if they are logically equivalent, i.e., their equivalence is due to the semantic rules of the language. Let A be a sentence in which another sentence occurs, say p. A is called “extensional with respect to p” if and only if the truth value of A does not change if we substitute the sentence p with an equivalent sentence q. A is called “intensional with respect to p” if and only if (i) A is not extensional with respect to p and (ii) the truth of A does not change if we substitute the sentence p with a logically equivalent sentence q. The following examples arise from Carnap’s assertions:

  • The sentence A v B is extensional with respect to both A and B; we can substitute A and B with equivalent sentences and the truth value of A v B does not change.
  • Suppose A is true but not L-true; therefore the sentences A v ~A and A are equivalent (both are true) and, of course, they are not L-equivalent. The sentence N(A v ~A) is true and the sentence N(A) is false; thus N(A) is not extensional with respect to A. On the contrary, if C is a sentence L-equivalent to A v ~A, then N(A v ~A) and N(C) are both true: N(A) is intensional with respect to A.

There are sentences which are neither extensional not intensional; for example, belief-sentences. Carnap’s example is “John believes that D”. Suppose that “John believes that D” is true; let A be a sentence equivalent to D and let B be a sentence L-equivalent to D. It is possible that the sentences “John believes that A” and “John believes that B” are false. In fact, John can believe that a sentence is true, but he can believe that a logically equivalent sentence is false. To explain belief-sentences, Carnap defines the notion of intensional isomorphism. In broad terms, two sentences are intensionally isomorphic if and only if their corresponding elements are L-equivalent. In the belief-sentence “John believes that D” we can substitute D with an intensionally isomorphic sentence C.

7. Philosophy of Physics

The first and the last books Carnap published during his lifetime were concerned with the philosophy of physics: his doctoral dissertation (Der Raum, 1922) and Philosophical Foundations of Physics, ed. by Martin Gardner, 1966. Der Raum deals with the philosophy of space. Carnap recognizes the difference between three kinds of theories of space: formal, physical and intuitive s. Formal space is analytic a priori; it is concerned with the formal properties of the space that is with those properties which are a logical consequence of a definite set of axioms. Physical space is synthetic a posteriori; it is the object of natural science, and we can know its structure only by means of experience. Intuitive space is synthetic a priori, and is known via a priori intuition. According to Carnap, the distinction between three different kinds of space is similar to the distinction between three different aspects of geometry: projective, metric and topological respectively.

Some aspects of Der Raum remain very interesting. First, Carnap accepts a neo-Kantian philosophical point of view. Intuitive space, with its synthetic a priori character, is a concession to Kantian philosophy. Second, Carnap uses the methods of mathematical logic; for example, the characterization of intuitive space is given by means of Hilbert’s axioms for topology. Thirdly, the distinction between formal and physical space is similar to the distinction between mathematical and physical geometry. This distinction, first proposed by Hans Reichenbach and later accepted by Carnap, and became the official position of logical empiricism on the philosophy of space.

Carnap also developed a formal system for space-time topology. He asserted (1925) that space relations are based on the causal propagation of a signal, while the causal propagation itself is based on the time order.

Philosophical Foundations of Physics is a clear and approachable survey of topics from the philosophy of physics based on Carnap’s university lectures. Some theories expressed there are not those of Carnap alone, but they belong to the common heritage of logical empiricism. The subjects dealt with in the book include:

  • The structure of scientific explanation: deductive and probabilistic explanation.
  • The philosophical and physical significance of non-Euclidean geometry; the theory of space in the general theory of relativity. Carnap argues against Kantian philosophy, especially against the synthetic a priori, and against conventionalism. He gives a clear explanation of the main properties of non-Euclidean geometry.
  • Determinism and quantum physics.
  • The nature of scientific language. Carnap deals with (i) the distinction between observational and theoretical terms, (ii) the distinction between analytic and synthetic statements and (iii) quantitative concepts.

As a sample of the content of Philosophical Foundations of Physics we can briefly look at Carnap’s thought on scientific explanation. Carnap accepts the classical theory developed by Carl Gustav Hempel. Carnap gives the following example to explain the general structure of a scientific explanation:

(x)(Px→ Qx)
Pa
———
Qa

where the first statement is a scientific law; the second, is a description of the initial conditions; and the third, is the description of the event we want to explain. The last statement is a logical consequence of the first and the second, which are the premises of the explanation. A scientific explanation is thus a logical derivation of an appropriate statement from a set of premises, which state universal laws and initial conditions. According to Carnap, there is another kind of scientific explanation, probabilistic explanation, in which at least one universal law is not a deterministic law, but a probabilistic law. Again Carnap’s example is:

fr(Q,P) = 0.8
Pa
———-
Qa

where the first sentence means “the relative frequency of Q with respect to P is 0.8”. Qa is not a logical consequence of the premises; therefore this kind of explanation determines only a certain degree of confirmation for the event we want to explain.

8. Carnap’s Heritage

Carnap’s work has stimulated much debate. A substantial scholarly literature, both critical and supportive, has developed from examination of his thought. With respect to the analytic-synthetic distinction, Ryszard Wojcicki and Marian Przelecki – two Polish logicians – formulated a semantic definition of the distinction between analytic and synthetic. They proved that the Carnap sentence is the weakest meaning postulate, i.e., every meaning postulate entails the Carnap sentence. As a result, the set of analytic statements which are a logical consequence of the Carnap sentence is the smallest set of analytic statements. Wojcicki and Przelecki’s research is independent of the distinction between observational and theoretical terms, i.e., their suggested definition also works in a purely theoretical language. They also dispense with the requirement for a finite number of non-logical axioms.

The tentative definition of meaningfulness that Carnap proposed in “The Methodological Character of Theoretical Concepts” has been proved untenable. See, for example, David Kaplan, “Significance and Analyticity” in Rudolf Carnap, Logical Empiricist and Marco Mondadori’s introduction to Analiticità, Significanza, Induzione, in which Mondadori suggests a possible correction of Carnap’s definition.

With respect to inductive logic, I mention only Jaakko Hintikka’s generalization of Carnap’s continuum of inductive methods. In Carnap’s inductive logic, the probability of every universal law is always zero. Hintikka succeeded in formulating an inductive logic in which universal laws can obtain a positive degree of confirmation.

In Meaning and Necessity, 1947, Carnap was the first logician to use a semantic method to explain modalities. However, he used Tarskian model theory, so that every model of the language is an admissible model. In 1972 the American philosopher Saul Kripke was able to prove that a full semantics of modalities can be attained by means of possible-worlds semantics. According to Kripke, not all possible models are admissible. J. Hintikka’s essay “Carnap’s heritage in logical semantics” in Rudolf Carnap, Logical Empiricist, shows that Carnap came extremely close to possible-worlds semantics, but was not able to go beyond classical model theory.

The omega-rule, which Carnap proposed in The Logical Syntax of Language, has come into widespread use in metamathematical research over a broad range of subjects.

9. References and Further Reading

The Philosophy of Rudolf Carnap (1963) contains the most complete bibliography of Carnap’s work.  Listed below are Carnap’s most important works, arranged in chronological order.

a. Carnap’s Works

  • 1922 Der Raum: Ein Beitrag zur Wissenschaftslehre, dissertation, in Kant-Studien, Ergänzungshefte, n. 56
  • 1925 “Über die Abhängigkeit der Eigenschaften der Raumes von denen der Zeit” in Kant-Studien, 30
  • 1926 Physikalische Begriffsbildung, Karlsruhe : Braun, (Wissen und Wirken ; 39)
  • 1928 Scheinprobleme in der Philosophie, Berlin : Weltkreis-Verlag
  • 1928 Der Logische Aufbau der Welt, Leipzig : Felix Meiner Verlag (English translation The Logical Structure of the World; Pseudoproblems in Philosophy, Berkeley : University of California Press, 1967)
  • 1929 (with Otto Neurath and Hans Hahn) Wissenschaftliche Weltauffassung der Wiener Kreis, Vienna : A. Wolf
  • 1929 Abriss der Logistik, mit besonderer Berücksichtigung der Relationstheorie und ihrer Anwendungen, Vienna : Springer
  • 1932 “Die physikalische Sprache als Universalsprache der Wissenschaft” in Erkenntnis, II (English translation The Unity of Science, London : Kegan Paul, 1934)
  • 1934 Logische Syntax der Sprache (English translation The Logical Syntax of Language, New York : Humanities, 1937)
  • 1935 Philosophy and Logical Syntax, London : Kegan Paul
  • 1936 “Testability and meaning” in Philosophy of Science, III (1936) and IV (1937)
  • 1938 “Logical Foundations of the Unity of Science” in International Encyclopaedia of Unified Science, vol. I n. 1, Chicago : University of Chicago Press
  • 1939 “Foundations of Logic and Mathematics” in International Encyclopaedia of Unified Science, vol. I n. 3, Chicago : University of Chicago Press
  • 1942 Introduction to Semantics, Cambridge, Mass. : Harvard University Press
  • 1943 Formalization of Logic, Cambridge, Mass. : Harvard University Press
  • 1947 Meaning and Necessity: a Study in Semantics and Modal Logic, Chicago : University of Chicago Press
  • 1950 Logical Foundations of Probability, Chicago : University of Chicago Press
  • 1952 “Meaning postulates” in Philosophical Studies, III (now in Meaning and Necessity, 1956, 2nd edition)
  • 1952 The Continuum of Inductive Methods, Chicago : University of Chicago Press
  • 1954 Einführung in die Symbolische Logik, Vienna : Springer (English translation Introduction to Symbolic Logic and its Applications, New York : Dover, 1958)
  • 1956 “The Methodological Character of Theoretical Concepts” in Minnesota Studies in the Philosophy of Science, vol. I, ed. by H. Feigl and M. Scriven, Minneapolis : University of Minnesota Press
  • 1958 “Beobacthungssprache und theoretische Sprache” in Dialectica, XII (English translation “Observation Language and Theoretical Language” in Rudolf Carnap, Logical Empiricist, Dordrecht, Holl. : D. Reidel Publishing Company, 1975)
  • 1966 Philosophical Foundations of Physics, ed. by Martin Gardner, New York : Basic Books
  • 1977 Two Essays on Entropy, ed. by Abner Shimony, Berkeley : University of California Press

b. Other Sources

  • 1962 Logic and Language: Studies Dedicated to Professor Rudolf Carnap on the Occasion of his Seventieth Birthday, Dordrect, Holl. : D. Reidel Publishing Company
  • 1963 The Philosophy of Rudolf Carnap, ed. by Paul Arthur Schillp, La Salle, Ill. : Open Court Pub. Co.
  • 1970 PSA 1970: Proceedings of the 1970 Biennial Meeting of the Philosophy of Science Association: In Memory of Rudolf Carnap, Dordrect, Holl. : D. Reidel Publishing Company
  • 1971 Analiticità, Significanza, Induzione, ed. by Alberto Meotti e Marco Mondadori, Bologna, Italy : il Mulino
  • 1975 Rudolf Carnap, Logical Empiricist. Materials and Perspectives, ed. by Jaakko Hintikka, Dordrecht, Holl. : D. Reidel Publishing Company
  • 1986 Joëlle Proust, Questions de Forme: Logique at Proposition Analytique de Kant a Carnap, Paris, France: Fayard (English translation Questions of Forms: Logic and Analytic Propositions from Kant to Carnap, Minneapolis : University of Minnesota Press)
  • 1990 Dear Carnap, Dear Van: The Quine-Carnap Correspondence and Related Work, ed. by Richard Creath, Berkeley : University of California Press
  • 1991 Maria Grazia Sandrini, Probabilità e Induzione: Carnap e la Conferma come Concetto Semantico, Milano, Italy : Franco Angeli
  • 1991 Erkenntnis Orientated: A Centennial Volume for Rudolf Carnap and Hans Reichenbach, ed. by Wolfgang Spohn, 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
  • 1995 L’eredità di Rudolf Carnap: Epistemologia, Filosofia delle Scienze, Filosofia del Linguaggio, ed. by Alberto Pasquinelli, Bologna, Italy : CLUEB

Author Information

Mauro Murzi
Email: murzim@yahoo.com
Italy

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