All posts by Josh May

The Evidential Problem of Evil

The evidential problem of evil is the problem of determining whether and, if so, to what extent the existence of evil (or certain instances, kinds, quantities, or distributions of evil) constitutes evidence against the existence of God, that is to say, a being perfect in power, knowledge and goodness. Evidential arguments from evil attempt to show that, once we put aside any evidence there might be in support of the existence of God, it becomes unlikely, if not highly unlikely, that the world was created and is governed by an omnipotent, omniscient, and wholly good being. Such arguments are not to be confused with logical arguments from evil, which have the more ambitious aim of showing that, in a world in which there is evil, it is logically impossible—and not just unlikely—that God exists.

This entry begins by clarifying some important concepts and distinctions associated with the problem of evil, before providing an outline of one of the more forceful and influential evidential arguments developed in contemporary times, namely, the evidential argument advanced by William Rowe. Rowe’s argument has occasioned a range of responses from theists, including the so-called “skeptical theist” critique (according to which God’s ways are too mysterious for us to comprehend) and the construction of various theodicies, that is, explanations as to why God permits evil. These and other responses to the evidential problem of evil are here surveyed and assessed.

Table of Contents

  1. Background to the Problem of Evil
    1. Orthodox Theism
    2. Good and Evil
    3. Versions of the Problem of Evil
  2. William Rowe’s Evidential Argument from Evil
    1. An Outline of Rowe’s Evidential Argument
    2. The Theological Premise
    3. The Factual Premise
      1. Rowe’s Case in Support of the Factual Premise
      2. The Inference from P to Q
  3. The Skeptical Theist Response
    1. Wykstra’s CORNEA Critique
    2. Wykstra’s Parent Analogy
    3. Alston’s Analogies
  4. Building a Theodicy, or Casting Light on the Ways of God
    1. What is a Theodicy?
    2. Distinguishing a “Theodicy” from a “Defence”
    3. Sketch of a Theodicy
  5. Further Responses to the Evidential Problem of Evil
  6. Conclusion
  7. References and Further Reading

1. Background to the Problem of Evil

Before delving into the deep and often murky waters of the problem of evil, it will be helpful to provide some philosophical background to this venerable subject. The first and perhaps most important step of this stage-setting process will be to identify and clarify the conception of God that is normally presupposed in contemporary debates (at least within the Anglo-American analytic tradition) on the problem of evil. The next step will involve providing an outline of some important concepts and distinctions, in particular the age-old distinction between “good” and “evil,” and the more recent distinction between the logical problem of evil and the evidential problem of evil.

a. Orthodox Theism

The predominant conception of God within the western world, and hence the kind of deity that is normally the subject of debate in discussions on the problem of evil in most western philosophical circles, is the God of “orthodox theism.” According to orthodox theism, there exists just one God, this God being a person or person-like. The operative notion, however, behind this form of theism is that God is perfect, where to be perfect is to be the greatest being possible or, to borrow Anselm’s well-known phrase, the being than which none greater can be conceived. (Such a conception of God forms the starting-point in what has come to be known as “perfect being theology”; see Morris 1987, 1991, and Rogers 2000). On this view, God, as an absolutely perfect being, must possess the following perfections or great-making qualities:

  1. omnipotence: This refers to God’s ability to bring about any state of affairs that is logically possible in itself as well as logically consistent with his other essential attributes.
  2. omniscience: God is omniscient in that he knows all truths or knows all that is logically possible to know.
  3. perfect goodness: God is the source of moral norms (as in divine command ethics) or always acts in complete accordance with moral norms.
  4. aseity: God has aseity (literally, being from oneself, a se esse) – that is to say, he is self-existent or ontologically independent, for he does not depend either for his existence or for his characteristics on anything outside himself.
  5. incorporeality: God has no body; he is a non-physical spirit but is capable of affecting physical things.
  6. eternity: Traditionally, God is thought to be eternal in an atemporal sense—that is, God is timeless or exists outside of time (a view upheld by Augustine, Boethius, and Aquinas). On an alternative view, God’s eternality is held to be temporal in nature, so that God is everlasting or exists in time, having infinite temporal duration in both of the two temporal directions.
  7. omnipresence: God is wholly present in all space and time. This is often interpreted metaphorically to mean that God can bring about an event immediately at any place and time, and knows what is happening at every place and time in the same immediate manner.
  8. perfectly free: God is absolutely free either in the sense that nothing outside him can determine him to perform a particular action, or in the sense that it is always within his power not to do what he does.
  9. alone worthy of worship and unconditional commitment: God, being the greatest being possible, is the only being fit to be worshipped and the only being to whom one may commit one’s life without reservation.

The God of traditional theism is also typically accorded a further attribute, one that he is thought to possess only contingently:

  1. creator and sustainer of the world: God brought the (physical and non-physical) world into existence, and also keeps the world and every object within it in existence. Thus, no created thing could exist at a given moment unless it were at that moment held in existence by God. Further, no created thing could have the causal powers and liabilities it has at a given moment unless it were at that moment supplied with those powers and liabilities by God.

According to orthodox theism, God was free not to create a world. In other words, there is at least one possible world in which God creates nothing at all. But then God is a creator only contingently, not necessarily. (For a more comprehensive account of the properties of the God of orthodox theism, see Swinburne 1977, Quinn & Taliaferro 1997: 223-319, and Hoffman & Rosenkrantz 2002.)

b. Good and Evil

Clarifying the underlying conception of God is but the first step in clarifying the nature of the problem of evil. To arrive at a more complete understanding of this vexing problem, it is necessary to unpack further some of its philosophical baggage. I turn, therefore, to some important concepts and distinctions associated with the problem of evil, beginning with the ideas of “good” and “evil.”

The terms “good” and “evil” are, if nothing else, notoriously difficult to define. Some account, however, can be given of these terms as they are employed in discussions of the problem of evil. Beginning with the notion of evil, this is normally given a very wide extension so as to cover everything that is negative and destructive in life. The ambit of evil will therefore include such categories as the bad, the unjust, the immoral, and the painful. An analysis of evil in this broad sense may proceed as follows:

An event may be categorized as evil if it involves any of the following:

  1. some harm (whether it be minor or great) being done to the physical and/or psychological well-being of a sentient creature;
  2. the unjust treatment of some sentient creature;
  3. loss of opportunity resulting from premature death;
  4. anything that prevents an individual from leading a fulfilling and virtuous life;
  5. a person doing that which is morally wrong;
  6. the “privation of good.”

Condition (a) captures what normally falls under the rubric of pain as a physical state (for example, the sensation you feel when you have a toothache or broken jaw) and suffering as a mental state in which we wish that our situation were otherwise (for example, the experience of anxiety or despair). Condition (b) introduces the notion of injustice, so that the prosperity of the wicked, the demise of the virtuous, and the denial of voting rights or employment opportunities to women and blacks would count as evils. The third condition is intended to cover cases of untimely death, that is to say, death not brought about by the ageing process alone. Death of this kind may result in loss of opportunity either in the sense that one is unable to fulfill one’s potential, dreams or goals, or merely in the sense that one is prevented from living out the full term of their natural life. This is partly why we consider it a great evil if an infant were killed after impacting with a train at full speed, even if the infant experienced no pain or suffering in the process. Condition (d) classifies as evil anything that inhibits one from leading a life that is both fulfilling and virtuous – poverty and prostitution would be cases in point. Condition (e) relates evil to immoral choices or acts. And the final condition expresses the idea, prominent in Augustine and Aquinas, that evil is not a substance or entity in its own right, but a privatio boni: the absence or lack of some good power or quality which a thing by its nature ought to possess.

Paralleling the above analysis of evil, the following account of “good” may be offered:

An event may be categorized as good if it involves any of the following:

  1. some improvement (whether it be minor or great) in the physical and/or psychological well-being of a sentient creature;
  2. the just treatment of some sentient creature;
  3. anything that advances the degree of fulfillment and virtue in an individual’s life;
  4. a person doing that which is morally right;
  5. the optimal functioning of some person or thing, so that it does not lack the full measure of being and goodness that ought to belong to it.

Turning to the many varieties of evil, the following have become standard in the literature:

Moral evil. This is evil that results from the misuse of free will on the part of some moral agent in such a way that the agent thereby becomes morally blameworthy for the resultant evil. Moral evil therefore includes specific acts of intentional wrongdoing such as lying and murdering, as well as defects in character such as dishonesty and greed.

Natural evil. In contrast to moral evil, natural evil is evil that results from the operation of natural processes, in which case no human being can be held morally accountable for the resultant evil. Classic examples of natural evil are natural disasters such as cyclones and earthquakes that result in enormous suffering and loss of life, illnesses such as leukemia and Alzheimer’s, and disabilities such as blindness and deafness.

An important qualification, however, must be made at this point. A great deal of what normally passes as natural evil is brought about by human wrongdoing or negligence. For example, lung cancer may be caused by heavy smoking; the loss of life occasioned by some earthquakes may be largely due to irresponsible city planners locating their creations on faults that will ultimately heave and split; and some droughts and floods may have been prevented if not for the careless way we have treated our planet. As it is the misuse of free will that has caused these evils or contributed to their occurrence, it seems best to regard them as moral evils and not natural evils. In the present work, therefore, a natural evil will be defined as an evil resulting solely or chiefly from the operation of the laws of nature. Alternatively, and perhaps more precisely, an evil will be deemed a natural evil only if no non-divine agent can be held morally responsible for its occurrence. Thus, a flood caused by human pollution of the environment will be categorized a natural evil as long as the agents involved could not be held morally responsible for the resultant evil, which would be the case if, for instance, they could not reasonably be expected to have foreseen the consequences of their behavior.

A further category of evil that has recently played an important role in discussions on the problem of evil is horrendous evil. This may be defined, following Marilyn Adams (1999: 26), as evil “the participation in which (that is, the doing or suffering of which) constitutes prima facie reason to doubt whether the participant’s life could (given their inclusion in it) be a great good to him/her on the whole.” As examples of such evil, Adams lists “the rape of a woman and axing off of her arms, psycho-physical torture whose ultimate goal is the disintegration of personality, betrayal of one’s deepest loyalties, child abuse of the sort described by Ivan Karamazov, child pornography, parental incest, slow death by starvation, the explosion of nuclear bombs over populated areas” (p.26).

A horrendous evil, it may be noted, may be either a moral evil (for example, the Holocaust of 1939-45) or a natural evil (for example, the Lisbon earthquake of 1755). It is also important to note that it is the notion of a “horrendous moral evil” that comports with the current, everyday use of “evil” by English speakers. When we ordinarily employ the word “evil” today we do not intend to pick out something that is merely bad or very wrong (for example, a burglary), nor do we intend to refer to the death and destruction brought about by purely natural processes (we do not, for example, think of the 2004 Asian tsunami disaster as something that was “evil”). Instead, the word “evil” is reserved in common usage for events and people that have an especially horrific moral quality or character.

Clearly, the problem of evil is at its most difficult when stated in terms of horrendous evil (whether of the moral or natural variety), and as will be seen in Section II below, this is precisely how William Rowe’s statement of the evidential problem of evil is formulated.

Finally, these notions of good and evil indicate that the problem of evil is intimately tied to ethics. One’s underlying ethical theory may have a bearing on one’s approach to the problem of evil in at least two ways.

Firstly, one who accepts either a divine command theory of ethics or non-realism in ethics is in no position to raise the problem of evil, that is, to offer the existence of evil as at least a prima facie good reason for rejecting theism. This is because a divine command theory, in taking morality to be dependent upon the will of God, already assumes the truth of that which is in dispute, namely, the existence of God (see Brown 1967). On the other hand, non-realist ethical theories, such as moral subjectivism and error-theories of ethics, hold that there are no objectively true moral judgments. But then a non-theist who also happens to be a non-realist in ethics cannot help herself to some of the central premises found in evidential arguments from evil (such as “If there were a perfectly good God, he would want a world with no horrific evil in it”), as these purport to be objectively true moral judgments (see Nelson 1991). This is not to say, however, that atheologians such as David Hume, Bertrand Russell and J.L. Mackie, each of whom supported non-realism in ethics, were contradicting their own meta-ethics when raising arguments from evil – at least if their aim was only to show up a contradiction in the theist’s set of beliefs.

Secondly, the particular normative ethical theory one adopts (for example, consequentialism, deontology, virtue ethics) may influence the way in which one formulates or responds to an argument from evil. Indeed, some have gone so far as to claim that evidential arguments from evil usually presuppose the truth of consequentialism (see, for example, Reitan 2000). Even if this is not so, it seems that the adoption of a particular theory in normative ethics may render the problem of evil easier or harder, or at least delimit the range of solutions available. (For an excellent account of the difficulties faced by theists in relation to the problem of evil when the ethical framework is restricted to deontology, see McNaughton 1994.)

c. Versions of the Problem of Evil

The problem of evil may be described as the problem of reconciling belief in God with the existence of evil. But the problem of evil, like evil itself, has many faces. It may, for example, be expressed either as an experiential problem or as a theoretical problem. In the former case, the problem is the difficulty of adopting or maintaining an attitude of love and trust toward God when confronted by evil that is deeply perplexing and disturbing. Alvin Plantinga (1977: 63-64) provides an eloquent account of this problem:

The theist may find a religious problem in evil; in the presence of his own suffering or that of someone near to him he may find it difficult to maintain what he takes to be the proper attitude towards God. Faced with great personal suffering or misfortune, he may be tempted to rebel against God, to shake his fist in God’s face, or even to give up belief in God altogether… Such a problem calls, not for philosophical enlightenment, but for pastoral care. (emphasis in the original)

By contrast, the theoretical problem of evil is the purely “intellectual” matter of determining what impact, if any, the existence of evil has on the truth-value or the epistemic status of theistic belief. To be sure, these two problems are interconnected – theoretical considerations, for example, may color one’s actual experience of evil, as happens when suffering that is better comprehended becomes easier to bear. In this article, however, the focus will be exclusively on the theoretical dimension. This aspect of the problem of evil comes in two broad varieties: the logical problem and the evidential problem.

The logical version of the problem of evil (also known as the a priori version and the deductive version) is the problem of removing an alleged logical inconsistency between certain claims about God and certain claims about evil. J.L. Mackie (1955: 200) provides a succinct statement of this problem:

In its simplest form the problem is this: God is omnipotent; God is wholly good; and yet evil exists. There seems to be some contradiction between these three propositions, so that if any two of them were true the third would be false. But at the same time all three are essential parts of most theological positions: the theologian, it seems, at once must adhere and cannot consistently adhere to all three. (emphases in the original)

In a similar vein, H.J. McCloskey (1960: 97) frames the problem of evil as follows:

Evil is a problem for the theist in that a contradiction is involved in the fact of evil, on the one hand, and the belief in the omnipotence and perfection of God on the other. (emphasis mine)

Atheologians like Mackie and McCloskey, in maintaining that the logical problem of evil provides conclusive evidence against theism, are claiming that theists are committed to an internally inconsistent set of beliefs and hence that theism is necessarily false. More precisely, it is claimed that theists commonly accept the following propositions:

  1. God exists
  2. God is omnipotent
  3. God is omniscient
  4. God is perfectly good
  5. Evil exists.

Propositions (11)-(14) form an essential part of the orthodox conception of God, as this has been explicated in Section 1 above. But theists typically believe that the world contains evil. The charge, then, is that this commitment to (15) is somehow incompatible with the theist’s commitment to (11)-(14). Of course, (15) can be specified in a number of ways – for example, (15) may refer to the existence of any evil at all, or a certain amount of evil, or particular kinds of evil, or some perplexing distributions of evil. In each case, a different version of the logical problem of evil, and hence a distinct charge of logical incompatibility, will be generated.

The alleged incompatibility, however, is not obvious or explicit. Rather, the claim is that propositions (11)-(15) are implicitly contradictory, where a set S of propositions is implicitly contradictory if there is a necessary proposition p such that the conjunction of p with S constitutes a formally contradictory set. Those who advance logical arguments from evil must therefore add one or more necessary truths to the above set of five propositions in order to generate the fatal contradiction. By way of illustration, consider the following additional propositions that may be offered:

  1. A perfectly good being would want to prevent all evils.
  2. An omniscient being knows every way in which evils can come into existence.
  3. An omnipotent being who knows every way in which an evil can come into existence has the power to prevent that evil from coming into existence.
  4. A being who knows every way in which an evil can come into existence, who is able to prevent that evil from coming into existence, and who wants to do so, would prevent the existence of that evil.

From this set of auxiliary propositions, it clearly follows that

  1. If there exists an omnipotent, omniscient, and perfectly good being, then no evil exists.

It is not difficult to see how the addition of (16)-(20) to (11)-(15) will yield an explicit contradiction, namely,

  1. Evil exists and evil does not exist.

If such an argument is sound, theism will not so much lack evidential support, but would rather be, as Mackie (1955: 200) puts it, “positively irrational.” For more discussion, see the article The Logical Problem of Evil.

The subject of this article, however, is the evidential version of the problem of evil (also called the a posteriori version and the inductive version), which seeks to show that the existence evil, although logically consistent with the existence of God, counts against the truth of theism. As with the logical problem, evidential formulations may be based on the sheer existence of evil, or certain instances, types, amounts, or distributions of evil. Evidential arguments from evil may also be classified according to whether they employ (i) a direct inductive approach, which aims at showing that evil counts against theism, but without comparing theism to some alternative hypothesis; or (ii) an indirect inductive approach, which attempts to show that some significant set of facts about evil counts against theism, and it does this by identifying an alternative hypothesis that explains these facts far more adequately than the theistic hypothesis. The former strategy, as will be seen in Section II, is employed by William Rowe, while the latter strategy is exemplified best in Paul Draper’s 1989 paper, “Pain and Pleasure: An Evidential Problem for Theists”. (A useful taxonomy of evidential arguments from evil can be found in Russell 1996: 194 and Peterson 1998: 23-27, 69-72.)

Evidential arguments purport to show that evil counts against theism in the sense that the existence of evil lowers the probability that God exists. The strategy here is to begin by putting aside any positive evidence we might think there is in support of theism (for example, the fine-tuning argument) as well as any negative evidence we might think there is against theism (that is, any negative evidence other than the evidence of evil). We therefore begin with a “level playing field” by setting the probability of God’s existing at 0.5 and the probability of God’s not existing at 0.5 (compare Rowe 1996: 265-66; it is worth noting, however, that this “level playing field” assumption is not entirely uncontroversial: see, for example, the objections raised by Jordan 2001 and Otte 2002: 167-68). The aim is to then determine what happens to the probability value of “God exists” once we consider the evidence generated by our observations of the various evils in our world. The central question, therefore, is: Grounds for belief in God aside, does evil render the truth of atheism more likely than the truth of theism? (A recent debate on the evidential problem of evil was couched in such terms: see Rowe 2001a: 124-25.) Proponents of evidential arguments are therefore not claiming that, even if we take into account any positive reasons there are in support of theism, the evidence of evil still manages to lower the probability of God’s existence. They are only making the weaker claim that, if we temporarily set aside such positive reasons, then it can be shown that the evils that occur in our world push the probability of God’s existence significantly downward.

But if evil counts against theism by driving down the probability value of “God exists” then evil constitutes evidence against the existence of God. Evidential arguments, therefore, claim that there are certain facts about evil that cannot be adequately explained on a theistic account of the world. Theism is thus treated as a large-scale hypothesis or explanatory theory which aims to make sense of some pertinent facts, and to the extent that it fails to do so it is disconfirmed.

In evidential arguments, however, the evidence only probabilifies its conclusion, rather than conclusively verifying it. The probabilistic nature of such arguments manifests itself in the form of a premise to the effect that “It is probably the case that some instance (or type, or amount, or pattern) of evil E is gratuitous.” This probability judgment usually rests on the claim that, even after careful reflection, we can see no good reason for God’s permission of E. The inference from this claim to the judgment that there exists gratuitous evil is inductive in nature, and it is this inductive step that sets the evidential argument apart from the logical argument.

2. William Rowe’s Evidential Argument from Evil

Evidential arguments from evil seek to show that the presence of evil in the world inductively supports or makes likely the claim that God (or, more precisely, the God of orthodox theism) does not exist. A variety of evidential arguments have been formulated in recent years, but here I will concentrate on one very influential formulation, namely, that provided by William Rowe. Rowe’s version of the evidential argument has received much attention since its formal inception in 1978, for it is often considered to be the most cogent presentation of the evidential problem of evil. James Sennett (1993: 220), for example, views Rowe’s argument as “the clearest, most easily understood, and most intuitively appealing of those available.” Terry Christlieb (1992: 47), likewise, thinks of Rowe’s argument as “the strongest sort of evidential argument, the sort that has the best chance of success.” It is important to note, however, that Rowe’s thinking on the evidential problem of evil has developed in significant ways since his earliest writings on the subject, and two (if not three) distinct evidential arguments can be identified in his work. Here I will only discuss that version of Rowe’s argument that received its first full-length formulation in Rowe (1978) and, most famously, in Rowe (1979), and was successively refined in the light of criticisms in Rowe (1986), (1988), (1991), and (1995), before being abandoned in favour of a quite different evidential argument in Rowe (1996).

a. An Outline of Rowe’s Argument

In presenting his evidential argument from evil in his justly celebrated 1979 paper, “The Problem of Evil and Some Varieties of Atheism”, Rowe thinks it best to focus on a particular kind of evil that is found in our world in abundance. He therefore selects “intense human and animal suffering” as this occurs on a daily basis, is in great plenitude in our world, and is a clear case of evil. More precisely, it is a case of intrinsic evil: it is bad in and of itself, even though it sometimes is part of, or leads to, some good state of affairs (Rowe 1979: 335). Rowe then proceeds to state his argument for atheism as follows:

  1. There exist instances of intense suffering which an omnipotent, omniscient being could have prevented without thereby losing some greater good or permitting some evil equally bad or worse.
  2. An omniscient, wholly good being would prevent the occurrence of any intense suffering it could, unless it could not do so without thereby losing some greater good or permitting some evil equally bad or worse.
  3. (Therefore) There does not exist an omnipotent, omniscient, wholly good being. (Rowe 1979: 336)

This argument, as Rowe points out, is clearly valid, and so if there are rational grounds for accepting its premises, to that extent there are rational grounds for accepting the conclusion, that is to say, atheism.

b. The Theological Premise

The second premise is sometimes called “the theological premise” as it expresses a belief about what God as a perfectly good being would do under certain circumstances. In particular, this premise states that if such a being knew of some intense suffering that was about to take place and was in a position to prevent its occurrence, then it would prevent it unless it could not do so without thereby losing some greater good or permitting some evil equally bad or worse. Put otherwise, an omnipotent, omniscient, wholly good God would not permit any gratuitous evil, evil that is (roughly speaking) avoidable, pointless, or unnecessary with respect to the fulfillment of God’s purposes.

Rowe takes the theological premise to be the least controversial aspect of his argument. And the consensus seems to be that Rowe is right – the theological premise, or a version thereof that is immune from some minor infelicities in the original formulation, is usually thought to be indisputable, self-evident, necessarily true, or something of that ilk. The intuition here, as the Howard-Snyders (1999: 115) explain, is that “on the face of it, the idea that God may well permit gratuitous evil is absurd. After all, if God can get what He wants without permitting some particular horror (or anything comparably bad), why on earth would He permit it?”

An increasing number of theists, however, are beginning to question Rowe’s theological premise. This way of responding to the evidential problem of evil has been described by Rowe as “radical, if not revolutionary” (1991: 79), but it is viewed by many theists as the only way to remain faithful to the common human experience of evil, according to which utterly gratuitous evil not only exists but is abundant. In particular, some members of the currently popular movement known as open theism have rallied behind the idea that the theistic worldview is not only compatible with, but requires or demands, the possibility that there is gratuitous evil (for the movement’s “manifesto,” see Pinnock et al. 1994; see also Sanders 1998, Boyd 2000, and Hasker 2004).

Although open theists accept the orthodox conception of God, as delineated in Section 1.a above, they offer a distinct account of some of the properties that are constitutive of the orthodox God. Most importantly, open theists interpret God’s omniscience in such a way that it does not include either foreknowledge (or, more specifically, knowledge of what free agents other than God will do) or middle knowledge (that is, knowledge of what every possible free creature would freely choose to do in any possible situation in which that creature might find itself). This view is usually contrasted with two other forms of orthodox theism: Molinism (named after the sixteenth-century Jesuit theologian Luis de Molina, who developed the theory of middle knowledge), according to which divine omniscience encompasses both foreknowledge and middle knowledge; and Calvinism or theological determinism, according to which God determines or predestines all that happens, thus leaving us with either no morally relevant free will at all (hard determinism) or free will of the compatibilist sort only (soft determinism).

It is often thought that the Molinist and Calvinist grant God greater providential control over the world than does the open theist. For according to the latter but not the former, the future is to some degree open-ended in that not even God can know exactly how it will turn out, given that he has created a world in which there are agents with libertarian free will and, perhaps, indeterminate natural processes. God therefore runs the risk that his creation will come to be infested with gratuitous evils, that is to say, evils he has not intended, decreed, planned for, or even permitted for the sake of some greater good. Open theists, however, argue that this risk is kept in check by God’s adoption of various general strategies by which he governs the world. God may, for example, set out to create a world in which there are creatures who have the opportunity to freely choose their destiny, but he would then ensure that adequate recompense is offered (perhaps in an afterlife) to those whose lives are ruined (through no fault of their own) by the misuse of others’ freedom (for example, a child that is raped and murdered). Nevertheless, in creating creatures with (libertarian) free will and by infusing the natural order with a degree of indeterminacy, God relinquishes exhaustive knowledge and complete control of all history. The open theist therefore encourages the rejection of what has been called “meticulous providence” (Peterson 1982: chs 4 & 5) or “the blueprint worldview” (Boyd 2003: ch.2), the view that the world was created according to a detailed divine blueprint which assigns a specific divine reason for every occurrence in history. In place of this view, the open theist presents us with a God who is a risk-taker, a God who gives up meticulous control of everything that happens, thus opening himself up to the genuine possibility of failure and disappointment – that is to say, to the possibility of gratuitous evil.

Open theism has sparked much heated debate and has been attacked from many quarters. Considered, however, as a response to Rowe’s theological premise, open theism’s prospects seem dim. The problem here, as critics have frequently pointed out, is that the open view of God tends to diminish one’s confidence in God’s ability to ensure that his purposes for an individual’s life, or for world history, will be accomplished (see, for example, Ware 2000, Ascol 2001: 176-80). The worry is that if, as open theists claim, God does not exercise sovereign control over the world and the direction of human history is open-ended, then it seems that the world is left to the mercy of Tyche or Fortuna, and we are therefore left with no assurance that God’s plan for the world and for us will succeed. Consider, for example, Eleonore Stump’s rhetorical questions, put in response to the idea of a “God of chance” advocated in van Inwagen (1988): “Could one trust such a God with one’s child, one’s life? Could one say, as the Psalmist does, “I will both lay me down in peace and sleep, for thou, Lord, only makest me dwell in safety’?” (1997: 466, quoting from Psalm 4:8). The answer may in large part depend on the degree to which the world is thought to be imbued with indeterminacy or chance.

If, for example, the open theist view introduces a high level of chance into God’s creation, this would raise the suspicion that the open view reflects an excessively deistic conception of God’s relation to the world. Deism is popularly thought of as the view that a supreme being created the world but then, like an absentee landlord, left it to run on its own accord. Deists, therefore, are often accused of postulating a remote and indifferent God, one who does not exercise providential care over his creation. Such a deity, it might be objected, resembles the open theist’s God of chance. The objection, in other words, is that open theists postulate a dark and risky universe subject to the forces of blind chance, and that it is difficult to imagine a personal God—that is, a God who seeks to be personally related to us and hence wants us to develop attitudes of love and trust towards him—providing us with such a habitat. To paraphrase Einstein, God does not play dice with our lives.

This, however, need not mean that God does not play dice at all. It is not impossible, in other words, to accommodate chance within a theistic world-view. To see this, consider a particular instance of moral evil: the rape and murder of a little girl. It seems plausible that no explanation is available as to why God would permit this specific evil (or, more precisely, why God would permit this girl to suffer then and there and in that way), since any such explanation that is offered will inevitably recapitulate the explanation offered for at least one of the major evil-kinds that subsumes the particular evil in question (for example, the class of moral evils). It is therefore unreasonable to request a reason (even a possible reason) for God’s permission of a particular event that is specific to this event and that goes beyond some general policy or plan God might have for permitting events of that kind. If this correct, then there is room for theists to accept the view that at least some evils are chancy or gratuitous in the sense that there is no specific reason as to why these evils are permitted by God. However, this kind of commitment to gratuitous evil is entirely innocuous for proponents of Rowe’s theological premise. For one can simply modify this premise so that it ranges either over particular instances of evil or (to accommodate cases where particular evils admit of no divine justification) over broadly defined evils or evil-kinds under which the relevant particular evils can be subsumed. And so a world created by God may be replete with gratuitous evil, as open theists imagine, but that need not present a problem for Rowe.

(For a different line of argument in support of the compatibility of theism and gratuitous evil, see Hasker (2004: chs 4 & 5), who argues that the consequences for morality would be disastrous if we took Rowe’s theological premise to be true. For criticisms of this view, see Rowe (1991: 79-86), Chrzan (1994), O’Connor (1998: 53-70), and Daniel and Frances Howard-Snyder (1999: 119-27).)

c. The Factual Premise

Criticisms of Rowe’s argument tend to focus on its first premise, sometimes dubbed “the factual premise,” as it purports to state a fact about the world. Briefly put, the fact in question is that there exist instances of intense suffering which are gratuitous or pointless. As indicated above, an instance of suffering is gratuitous, according to Rowe, if an omnipotent, omniscient being could have prevented it without thereby losing some greater good or permitting some evil equally bad or worse. A gratuitous evil, in this sense, is a state of affairs that is not (logically) necessary to the attainment of a greater good or to the prevention of an evil at least as bad.

i Rowe’s Case in Support of the Factual Premise

Rowe builds his case in support of the factual premise by appealing to particular instances of human and animal suffering, such as the following:

E1: the case of Bambi
“In some distant forest lightning strikes a dead tree, resulting in a forest fire. In the fire a fawn is trapped, horribly burned, and lies in terrible agony for several days before death relieves its suffering” (Rowe 1979: 337).

Although this is presented as a hypothetical event, Rowe takes it to be “a familiar sort of tragedy, played not infrequently on the stage of nature” (1988: 119).

E2: the case of Sue
This is an actual event in which a five-year-old girl in Flint, Michigan was severely beaten, raped and then strangled to death early on New Year’s Day in 1986. The case was introduced by Bruce Russell (1989: 123), whose account of it, drawn from a report in the Detroit Free Press of January 3 1986, runs as follows:

The girl’s mother was living with her boyfriend, another man who was unemployed, her two children, and her 9-month old infant fathered by the boyfriend. On New Year’s Eve all three adults were drinking at a bar near the woman’s home. The boyfriend had been taking drugs and drinking heavily. He was asked to leave the bar at 8:00 p.m. After several reappearances he finally stayed away for good at about 9:30 p.m. The woman and the unemployed man remained at the bar until 2:00 a.m. at which time the woman went home and the man to a party at a neighbor’s home. Perhaps out of jealousy, the boyfriend attacked the woman when she walked into the house. Her brother was there and broke up the fight by hitting the boyfriend who was passed out and slumped over a table when the brother left. Later the boyfriend attacked the woman again, and this time she knocked him unconscious. After checking the children, she went to bed. Later the woman’s 5-year old girl went downstairs to go to the bathroom. The unemployed man returned from the party at 3:45 a.m. and found the 5-year old dead. She had been raped, severely beaten over most of her body and strangled to death by the boyfriend.

Following Rowe (1988: 120), the case of the fawn will be referred to as “E1”, and the case of the little girl as “E2”. Further, following William Alston’s (1991: 32) practice, the fawn will be named “Bambi” and the little girl “Sue”.

Rowe (1996: 264) states that, in choosing to focus on E1 and E2, he is “trying to pose a serious difficulty for the theist by picking a difficult case of natural evil, E1 (Bambi), and a difficult case of moral evil, E2 (Sue).” Rowe, then, is attempting to state the evidential argument in the strongest possible terms. As one commentator has put it, “if these cases of evil [E1 and E2] are not evidence against theism, then none are” (Christlieb 1992: 47). However, Rowe’s almost exclusive preoccupation with these two instances of suffering must be placed within the context of his belief (as expressed in, for example, 1979: 337-38) that even if we discovered that God could not have eliminated E1 and E2 without thereby losing some greater good or permitting some evil equally bad or worse, it would still be unreasonable to believe this of all cases of horrendous evil occurring daily in our world. E1 and E2 are thus best viewed as representative of a particular class of evil which poses a specific problem for theistic belief. This problem is expressed by Rowe in the following way:

(P) No good state of affairs we know of is such that an omnipotent, omniscient being’s obtaining it would morally justify that being’s permitting E1 or E2. Therefore,

(Q) It is likely that no good state of affairs is such that an omnipotent, omniscient being’s obtaining it would morally justify that being in permitting E1 or E2.

P states that no good we know of justifies God in permitting E1 and E2. From this it is inferred that Q is likely to be true, or that probably there are no goods which justify God in permitting E1 and E2. Q, of course, corresponds to the factual premise of Rowe’s argument. Thus, Rowe attempts to establish the truth of the factual premise by appealing to P.

ii. The Inference from P to Q

At least one question to be addressed when considering this inference is: What exactly do P and Q assert? Beginning with P, the central notion here is “a good state of affairs we know of.” But what is it to know of a good state of affairs? According to Rowe (1988: 123), to know of a good state of affairs is to (a) conceive of that state of affairs, and (b) recognize that it is intrinsically good (examples of states that are intrinsically good include pleasure, happiness, love, and the exercise of virtue). Rowe (1996: 264) therefore instructs us to not limit the set of goods we know of to goods that we know have occurred in the past or to goods that we know will occur in the future. The set of goods we know of must also include goods that we have some grasp of, even if we do not know whether they have occurred or ever will occur. For example, such a good, in the case of Sue, may consist of the experience of eternal bliss in the hereafter. Even though we lack a clear grasp of what this good involves, and even though we cannot be sure that such a good will ever obtain, we do well to include this good amongst the goods we know of. A good that we know of, however, cannot justify God in permitting E1 or E2 unless that good is actualized at some time.

On what grounds does Rowe think that P is true? Rowe (1988: 120) states that “we have good reason to believe that no good state of affairs we know of would justify an omnipotent, omniscient being in permitting either E1 or E2” (emphasis his). The good reason in question consists of the fact that the good states of affairs we know of, when reflecting on them, meet one or both of the following conditions: either an omnipotent being could obtain them without having to permit E1 or E2, or obtaining them would not morally justify that being in permitting E1 or E2 (Rowe 1988: 121, 123; 1991: 72).

This brings us, finally, to Rowe’s inference from P to Q. This is, of course, an inductive inference. Rowe does not claim to know or be able to prove that cases of intense suffering such as the fawn’s are indeed pointless. For as he acknowledges, it is quite possible that there is some familiar good outweighing the fawn’s suffering and which is connected to that suffering in a way unbeknown to us. Or there may be goods we are not aware of, to which the fawn’s suffering is intimately connected. But although we do not know or cannot establish the truth of Q, we do possess rational grounds for accepting Q, and these grounds consist of the considerations adumbrated in P. Thus, the truth of P is taken to provide strong evidence for the truth of Q (Rowe 1979: 337).

3. The Skeptical Theist Response

Theism, particularly as expressed within the Judeo-Christian and Islamic religions, has always emphasized the inscrutability of the ways of God. In Romans 11:33-34, for example, the apostle Paul exclaims: “Oh, the depth of the riches of the wisdom and knowledge of God! How unsearchable his judgments, and his paths beyond tracing out! Who has known the mind of the Lord?” (NIV). This emphasis on mystery and the epistemic distance between God and human persons is a characteristic tenet of traditional forms of theism. It is in the context of this tradition that Stephen Wykstra developed his well-known CORNEA critique of Rowe’s evidential argument. The heart of Wykstra’s critique is that, given our cognitive limitations, we are in no position to judge as improbable the statement that there are goods beyond our ken secured by God’s permission of many of the evils we find in the world. This position – sometimes labelled “skeptical theism” or “defensive skepticism” – has generated a great deal of discussion, leading some to conclude that “the inductive argument from evil is in no better shape than its late lamented deductive cousin” (Alston 1991: 61). In this Section, I will review the challenge posed by this theistic form of skepticism, beginning with the critique advanced by Wykstra.

a. Wykstra’s CORNEA Critique

In an influential paper entitled, “The Humean Obstacle to Evidential Arguments from Evil,” Stephen Wykstra raised a formidable objection to Rowe’s inference from P to Q. Wykstra’s first step was to draw attention to the following epistemic principle, which he dubbed “CORNEA” (short for “Condition Of ReasoNable Epistemic Access”):

(C) On the basis of cognized situation s, human H is entitled to claim “It appears that p” only if it is reasonable for H to believe that, given her cognitive faculties and the use she has made of them, if p were not the case, s would likely be different than it is in some way discernible by her. (Wykstra 1984: 85)

The point behind CORNEA may be easier to grasp if (C) is simplified along the following lines:

(C*) H is entitled to infer “There is no x from “So far as I can tell, there is no x” only if:

It is reasonable for H to believe that if there were an x, it is likely that she would perceive (or find, grasp, comprehend, conceive) it.

Adopting terminology introduced by Wykstra (1996), the inference from “So far as I can tell, there is no x” to “There is no x” may be called a “noseeum inference”: we no see ’um, so they ain’t there! Further, the italicized portion in (C*) may be called “the noseeum assumption,” as anyone who employs a noseeum inference and is justified in doing so would be committed to this assumption.

C*, or at least something quite like it, appears unobjectionable. If, for instance, I am looking through the window of my twentieth-floor office to the garden below and I fail to see any caterpillars on the flowers, that would hardly entitle me to infer that there are in fact no caterpillars there. Likewise, if a beginner were watching Kasparov play Deep Blue, it would be unreasonable for her to infer “I can’t see any way for Deep Blue to get out of check; so, there is none.” Both inferences are illegitimate for the same reason: the person making the inference does not have what it takes to discern the sorts of things in question. It is this point that C* intends to capture by insisting that a noseeum inference is permissible only if it is likely that one would detect or discern the item in question if it existed.

But how does the foregoing relate to Rowe’s evidential argument? Notice, to begin with, that Rowe’s inference from P to Q is a noseeum inference. Rowe claims in P that, so far as we can see, no goods justify God’s permission of E1 and E2, and from this he infers that no goods whatever justify God’s permission of these evils. According to Wykstra, however, Rowe is entitled to make this noseeum inference only if he is entitled to make the following noseeum assumption:

If there are goods justifying God’s permission of horrendous evil, it is likely that we would discern or be cognizant of such goods.

Call this Rowe’s Noseeum Assumption, or RNA for short. The key issue, then, is whether we should accept RNA. Many theists, led by Stephen Wykstra, have claimed that RNA is false (or that we ought to suspend judgement about its truth). They argue that the great gulf between our limited cognitive abilities and the infinite wisdom of God prevents us (at least in many cases) from discerning God’s reasons for permitting evil. On this view, even if there are goods secured by God’s permission of evil, it is likely that these goods would be beyond our ken. Alvin Plantinga (1974: 10) sums up this position well with his rhetorical question: “Why suppose that if God does have a reason for permitting evil, the theist would be the first to know?” (emphasis his). Since theists such as Wykstra and Plantinga challenge Rowe’s argument (and evidential arguments in general) by focusing on the limits of human knowledge, they have become known as skeptical theists.

I will now turn to some considerations that have been offered by skeptical theists against RNA.

b. Wykstra’s Parent Analogy

Skeptical theists have drawn various analogies in an attempt to highlight the implausibility of RNA. The most common analogy, and the one favoured by Wykstra, involves a comparison between the vision and wisdom of an omniscient being such as God and the cognitive capacities of members of the human species. Clearly, the gap between God’s intellect and ours is immense, and Wykstra (1984: 87-91) compares it to the gap between the cognitive abilities of a parent and her one-month-old infant. But if this is the case, then even if there were outweighing goods connected in the requisite way to the instances of suffering appealed to by Rowe, that we should discern most of these goods is just as likely as that a one-month-old infant should discern most of her parents’ purposes for those pains they allow her to suffer – that is to say, it is not likely at all. Assuming that CORNEA is correct, Rowe would not then be entitled to claim, for any given instance of apparently pointless suffering, that it is indeed pointless. For as the above comparison between God’s intellect and the human mind indicates, even if there were outweighing goods served by certain instances of suffering, such goods would be beyond our ken. What Rowe has failed to see, according to Wykstra, is that “if we think carefully about the sort of being theism proposes for our belief, it is entirely expectable – given what we know of our cognitive limits – that the goods by virtue of which this Being allows known suffering should very often be beyond our ken” (1984: 91).

c. Alston’s Analogies

Rowe, like many others, has responded to Wykstra’s Parent Analogy by identifying a number of relevant disanalogies between a one-month-old infant and our predicament as adult human beings (see Rowe 1996: 275). There are, however, various other analogies that skeptical theists have employed in order to cast doubt on RNA. Here I will briefly consider a series of analogies that were first formulated by Alston (1996).

Like Wykstra, Alston (1996: 317) aims to highlight “the absurdity of the claim” that the fact that we cannot see what justifying reason an omniscient, omnipotent being might have for doing something provides strong support for the supposition that no such reason is available to that being. Alston, however, chooses to steer clear of the parent-child analogy employed by Wykstra, for he concedes that this contains loopholes that can be exploited in the ways suggested by Rowe.

Alston’s analogies fall into two groups, the first of which attempt to show that the insights attainable by finite, fallible human beings are not an adequate indication of what is available by way of reasons to an omniscient, omnipotent being. Suppose I am a first-year university physics student and I am faced with a theory of quantum phenomena, but I struggle to see why the author of the theory draws the conclusions she draws. Does that entitle me to suppose that she has no sufficient reason for her conclusions? Clearly not, for my inability to discern her reasons is only to be expected given my lack of expertise in the subject. Similarly, given my lack of training in painting, I fail to see why Picasso arranged the figures in Guernica as he did. But that does not entitle me to infer that he had no sufficient reason for doing so. Again, being a beginner in chess, I fail to see any reason why Kasparov made the move he did, but I would be foolish to conclude that he had no good reason to do so.

Alston applies the foregoing to the noseeum inference from “We cannot see any sufficient reason for God to permit E1 and E2” to “God has no sufficient reason to do so.” In this case, as in the above examples, we are in no position to draw such a conclusion for we lack any reason to suppose that we have a sufficient grasp of the range of possible reasons open to the other party. Our grasp of the reasons God might have for his actions is thus comparable to the grasp of the neophyte in the other cases. Indeed, Alston holds that “the extent to which God can envisage reasons for permitting a given state of affairs exceeds our ability to do so by at least as much as Einstein’s ability to discern the reason for a physical theory exceeds the ability of one ignorant of physics” (1996: 318, emphasis his).

Alston’s second group of analogies seek to show that, in looking for the reasons God might have for certain acts or omissions, we are in effect trying to determine whether there is a so-and-so in a territory the extent and composition of which is largely unknown to us (or, at least, it is a territory such that we have no way of knowing the extent to which its constituents are unknown to us). Alston thus states that Rowe’s noseeum inference

…is like going from “We haven’t found any signs of life elsewhere in the universe” to “There isn’t life elsewhere in the universe.” It is like someone who is culturally and geographically isolated going from “As far as I have been able to tell, there is nothing on earth beyond this forest” to “There is nothing on earth beyond this forest.” Or, to get a bit more sophisticated, it is like someone who reasons “We are unable to discern anything beyond the temporal bounds of our universe,” where those bounds are the big bang and the final collapse, to “There is nothing beyond the temporal bounds of our universe.” (1996: 318)

Just as we lack a map of the relevant “territory” in these cases, we also lack a reliable internal map of the diversity of considerations that are available to an omniscient being in permitting instances of suffering. But given our ignorance of the extent, variety, or constitution of the terra incognita, it is surely the better part of wisdom to refrain from drawing any hasty conclusions regarding the nature of this territory.

Although such analogies may not be open to the same criticisms levelled against the analogies put forward by Wykstra, they are in the end no more successful than Wykstra’s analogies. Beginning with Alston’s first group of analogies, where a noseeum inference is unwarranted due to a lack of expertise, there is typically no expectation on the part of the neophyte that the reasons held by the other party (for example, the physicist’s reasons for drawing conclusion x, Kasparov’s reasons for making move x in a chess game) would be discernible to her. If you have just begun to study physics, you would not expect to understand Einstein’s reasons for advancing the special theory of relativity. However, if your five-year-old daughter suffered the fate of Sue as depicted in E2, would you not expect a perfectly loving being to reveal his reasons to you for allowing this to happen, or at least to comfort you by providing you with special assurances that that there is a reason why this terrible evil could not have been prevented? Rowe makes this point quite well:

Being finite beings we can’t expect to know all the goods God would know, any more than an amateur at chess should expect to know all the reasons for a particular move that Kasparov makes in a game. But, unlike Kasparov who in a chess match has a good reason not to tell us how a particular move fits into his plan to win the game, God, if he exists, isn’t playing chess with our lives. In fact, since understanding the goods for the sake of which he permits terrible evils to befall us would itself enable us to better bear our suffering, God has a strong reason to help us understand those goods and how they require his permission of the terrible evils that befall us. (2001b: 157)

There appears, then, to be an obligation on the part of a perfect being to not keep his intentions entirely hidden from us. Such an obligation, however, does not attach to a gifted chess player or physicist – Kasparov cannot be expected to reveal his game plan, while a physics professor cannot be expected to make her mathematical demonstration in support of quantum theory comprehensible to a high school physics student.

Similarly with Alston’s second set of analogies, where our inability to map the territory within which to look for x is taken to preclude us from inferring from our inability to find x that there is no x. This may be applicable to cases like the isolated tribesman’s search for life outside his forest or our search for extraterrestrial life, for in such scenarios there is no prior expectation that the objects of our search are of such a nature that, if they exist, they would make themselves manifest to us. However, in our search for God’s reasons we are toiling in a unique territory, one inhabited by a perfectly loving being who, as such, would be expected to make at least his presence, if not also his reasons for permitting evil, (more) transparent to us. This difference in prior expectations uncovers an important disanalogy between the cases Alston considers and cases involving our attempt to discern God’s intentions. Alston’s analogies, therefore, not only fail to advance the case against RNA but also suggest a line of thought in support of RNA. (For further discussion on RNA and divine hiddenness, see Trakakis (2003); see also Howard-Snyder & Moser (2002).)

4. Building a Theodicy, or Casting Light on the Ways of God

Most critics of Rowe’s evidential argument have thought that the problem with the argument lies with its factual premise. But what, exactly, is wrong with this premise? According to one popular line of thought, the factual premise can be shown to be false by identifying goods that we know of that would justify God in permitting evil. To do this is to develop a theodicy.

a. What Is a Theodicy?

The primary aim of the project of theodicy may be characterized in John Milton’s celebrated words as the attempt to “justify the ways of God to men.” That is to say, a theodicy aims to vindicate the justice or goodness of God in the face of the evil found in the world, and this it attempts to do by offering a reasonable explanation as to why God allows evil to abound in his creation.

A theodicy may be thought of as a story told by the theist explaining why God permits evil. Such a story, however, must be plausible or reasonable in the sense that it conforms to all of the following:

  1. commonsensical views about the world (for example, that there exist other people, that there exists a mind-independent world, that much evil exists);
  2. widely accepted scientific and historical views (for example, evolutionary theory), and
  3. intuitively plausible moral principles (for example, generally, punishment should not be significantly disproportional to the offence committed).

Judged by these criteria, the story of the Fall (understood in a literalist fashion) could not be offered as a theodicy. For given the doubtful historicity of Adam and Eve, and given the problem of harmonizing the Fall with evolutionary theory, such an account of the origin of evil cannot reasonably held to be plausible. A similar point could be made about stories that attempt to explain evil as the work of Satan and his cohorts.

b. Distinguishing a “Theodicy” from a “Defence”

An important distinction is often made between a defence and a theodicy. A theodicy is intended to be a plausible or reasonable explanation as to why God permits evil. A defence, by contrast, is only intended as a possible explanation as to why God permits evil. A theodicy, moreover, is offered as a solution to the evidential problem of evil, whereas a defence is offered as a solution to the logical problem of evil. Here is an example of a defence, which may clarify this distinction:

It will be recalled that, according to Mackie, it is logically impossible for the following two propositions to be jointly true:

  1. God is omnipotent, omniscient, and perfectly good,
  2. Evil exists.

Now, consider the following proposition:

  1. Every person goes wrong in every possible world.

In other words, every free person created by God would misuse their free will on at least one occasion, no matter which world (or what circumstances) they were placed in. This may be highly implausible, or even downright false – but it is, at least, logically possible. And if (3) is possible, then so is the following proposition:

  1. It was not within God’s power to create a world containing moral good but no moral evil.

In other words, it is possible that any world created by God that contains some moral good will also contain some moral evil. Therefore, it is possible for both (1) and (2) to be jointly true, at least when (2) is said to refer to “moral evil.” But what about “natural evil”? Well, consider the following proposition:

  1. All so-called “natural evil” is brought about by the devious activities of Satan and his cohorts.

In other words, what we call “natural evil” is actually “moral evil” since it results from the misuse of someone’s free will (in this case, the free will of some evil demon). Again, this may be highly implausible, or even downright false – but it is, at least, possibly true.

In sum, Mackie was wrong to think that it is logically impossible for both (1) and (2) to be true. For if you conjoin (4) and (5) to (1) and (2), it becomes clear that it is possible that any world created by God would have some evil in it. (This, of course, is the famous free will defence put forward in Plantinga 1974: ch.9). Notice that the central claims of this defence – namely, (3), (4), and (5) – are only held to be possibly true. That’s what makes this a defence. One could not get away with this in a theodicy, for a theodicy must be more than merely possibly true.

c. Sketch of a Theodicy

What kind of theodicy, then, can be developed in response to Rowe’s evidential argument? Are there any goods we know of that would justify God in permitting evils like E1 and E2? Here I will outline a proposal consisting of three themes that have figured prominently in the recent literature on the project of theodicy.

(1) Soul-making. Inspired by the thought of the early Church Father, Irenaeus of Lyon (c.130-c.202 CE), John Hick has put forward in a number of writings, but above all in his 1966 classic Evil and the God of Love, a theodicy that appeals to the good of soul-making (see also Hick 1968, 1977, 1981, 1990). According to Hick, the divine intention in relation to humankind is to bring forth perfect finite personal beings by means of a “vale of soul-making” in which humans may transcend their natural self-centredness by freely developing the most desirable qualities of moral character and entering into a personal relationship with their Maker. Any world, however, that makes possible such personal growth cannot be a hedonistic paradise whose inhabitants experience a maximum of pleasure and a minimum of pain. Rather, an environment that is able to produce the finest characteristics of human personality – particularly the capacity to love – must be one in which “there are obstacles to be overcome, tasks to be performed, goals to be achieved, setbacks to be endured, problems to be solved, dangers to be met” (Hick 1966: 362). A soul-making environment must, in other words, share a good deal in common with our world, for only a world containing great dangers and risks, as well as the genuine possibility of failure and tragedy, can provide opportunities for the development of virtue and character. A necessary condition, however, for this developmental process to take place is that humanity be situated at an “epistemic distance” from God. On Hick’s view, in other words, if we were initially created in the direct presence of God we could not freely come to love and worship God. So as to preserve our freedom in relation to God, the world must be created religiously ambiguous or must appear, to some extent at least, as if there were no God. And evil, of course, plays an important role in creating the desired epistemic distance.

(2) Free will. The appeal to human freedom, in one guise or another, constitutes an enduring theme in the history of theodicy. Typically, the kind of freedom that is invoked by the theodicist is the libertarian sort, according to which I am free with respect to a particular action at time t only if the action is not determined by all that happened or obtained before t and all the causal laws there are in such a way that the conjunction of the two (the past and the laws) logically entails that I perform the action in question. My mowing the lawn, for instance, constitutes a voluntary action only if, the state of the universe (including my beliefs and desires) and laws of nature being just as they were immediately preceding my decision to mow the lawn, I could have chosen or acted otherwise than I in fact did. In this sense, the acts I perform freely are genuinely “up to me” – they are not determined by anything external to my will, whether these be causal laws or even God. And so it is not open to God to cause or determine just what actions I will perform, for if he does so those actions could not be free. Freedom and determinism are incompatible.

The theodicist, however, is not so much interested in libertarian freedom as in libertarian freedom of the morally relevant kind, where this consists of the freedom to choose between good and evil courses of action. The theodicist’s freedom, moreover, is intended to be morally significant, not only providing one with the capacity to bring about good and evil, but also making possible a range of actions that vary enormously in moral worth, from great and noble deeds to horrific evils.

Armed therefore with such a conception of freedom, the free will theodicist proceeds to explain the existence of moral evil as a consequence of the misuse of our freedom. This, however, means that responsibility for the existence of moral evil lies with us, not with God. Of course, God is responsible for creating the conditions under which moral evil could come into existence. But it was not inevitable that human beings, if placed in those conditions, would go wrong. It was not necessary, in other words, that humans would misuse their free will, although this always was a possibility and hence a risk inherent in God’s creation of free creatures. The free will theodicist adds, however, that the value of free will (and the goods it makes possible) is so great as to outweigh the risk that it may be misused in various ways.

(3) Heavenly bliss. Theodicists sometimes draw on the notion of a heavenly afterlife to show that evil, particularly horrendous evil, only finds its ultimate justification or redemption in the life to come. Accounts of heaven, even within the Christian tradition, vary widely. But one common feature in these accounts that is relevant to the theodicist’s task is the experience of complete felicity for eternity brought about by intimate and loving communion with God. This good, as we saw, plays an important role in Hick’s theodicy, and it also finds a central place in Marilyn Adams’ account of horrendous evil.

Adams (1986: 262-63, 1999: 162-63) notes that, on the Christian world-view, the direct experience of “face-to-face” intimacy with God is not only the highest good we can aspire to enjoy, but is also an incommensurable good – more precisely, it is incommensurable with respect to any merely temporal evils or goods. As the apostle Paul put it, “our present sufferings are not worth comparing with the glory that will be revealed in us” (Rom 8:18, NIV; compare 2 Cor 4:17). This glorification to be experienced in heaven, according to Adams, vindicates God’s justice and love toward his creatures. For the experience of the beatific vision outweighs any evil, even evil of the horrendous variety, that someone may suffer, thus ensuring a balance of good over evil in the sufferer’s life that is overwhelmingly favourable. But as Adams points out, “strictly speaking, there will be no balance to be struck” (1986: 263, emphasis hers), since the good of the vision of God is incommensurable with respect to one’s participation in any temporal or created evils. And so an everlasting, post-mortem beatific vision of God would provide anyone who experienced it with good reason for considering their life – in spite of any horrors it may have contained – as a great good, thus removing any grounds of complaint against God.

Bringing these three themes together, a theodicy can be developed with the aim of explaining and justifying God’s permission of evil, even evil of the horrendous variety. To illustrate how this may be done, I will concentrate on Rowe’s E2 and the Holocaust, two clear instances of horrendous moral evil.

Notice that these two evils clearly involve a serious misuse of free will on behalf of the perpetrators. We could, therefore, begin by postulating God’s endowment of humans with morally significant free will as the first good that is served by these evils. That is to say, God could not prevent the terrible suffering and death endured by Sue and the millions of Holocaust victims while at the same time creating us without morally significant freedom – the freedom to do both great evil and great good. In addition, these evils may provide an opportunity for soul-making – in many cases, however, the potential for soul-making would not extend to the victim but only to those who cause or witness the suffering. The phenomenon of “jailhouse conversions,” for example, testifies to the fact that even horrendous evil may occasion the moral transformation of the perpetrator. Finally, to adequately compensate the victims of these evils we may introduce the doctrine of heaven. Postmortem, the victims are ushered into a relation of beatific intimacy with God, an incommensurable good that “redeems” their past participation in horrors. For the beatific vision in the afterlife not only restores value and meaning to the victim’s life, but also provides them with the opportunity to endorse their life (taken as a whole) as worthwhile.

Does this theodicy succeed in exonerating God? Various objections could, of course, be raised against such a theodicy. One could, for example, question the intelligibility or empirical adequacy of the underlying libertarian notion of free will (see, for example, Pereboom 2001: 38-88). Or one might follow Tooley (1980:373-75) and Rowe (1996: 279-81, 2001a: 135-36) in thinking that, just as we have a duty to curtail another person’s exercise of free will when we know that they will use their free will to inflict considerable suffering on an innocent (or undeserving) person, so too does God have a duty of this sort. On this view, a perfectly good God would have intervened to prevent us from misusing our freedom to the extent that moral evil, particularly moral evil of the horrific kind, would either not occur at all or occur on a much more infrequent basis. Finally, how can the above theodicy be extended to account for natural evil? Various proposals have been offered here, the most prominent of which are: Hick’s view that natural evil plays an essential part in the “soul-making” process; Swinburne’s “free will theodicy for natural evil” – the idea, roughly put, is that free will cannot be had without the knowledge of how to bring about evil (or prevent its occurrence), and since this knowledge of how to cause evil can only be had through prior experience with natural evil, it follows that the existence of natural evil is a logically necessary condition for the exercise of free will (see Swinburne 1978, 1987: 149-67, 1991: 202-214, 1998: 176-92); and “natural law theodicies,” such as that developed by Reichenbach (1976, 1982: 101-118), according to which the natural evils that befall humans and animals are the unavoidable by-products of the outworking of the natural laws governing God’s creation.

5. Further Responses to the Evidential Problem of Evil

Let’s suppose that Rowe’s evidential argument from evil succeeds in providing strong evidence in support of the claim that there does not exist an omnipotent, omniscient, wholly good being. What follows from this? In particular, would a theist who finds its impossible to fault Rowe’s argument be obliged to give up her theism? Not necessarily, for at least two further options would be available to such a theist.

Firstly, the theist may agree that Rowe’s argument provides some evidence against theism, but she may go on to argue that there is independent evidence in support of theism which outweighs the evidence against theism. In fact, if the theist thinks that the evidence in support of theism is quite strong, she may employ what Rowe (1979: 339) calls “the G.E. Moore shift” (compare Moore 1953: ch.6). This involves turning the opponent’s argument on its head, so that one begins by denying the very conclusion of the opponent’s argument. The theist’s counter-argument would then proceed as follows:

(not-3) There exists an omnipotent, omniscient, wholly good being.
(2) An omniscient, wholly good being would prevent the occurrence of any intense suffering it could, unless it could not do so without thereby losing some greater good or permitting some evil equally bad or worse.
(not-1) (Therefore) It is not the case that there exist instances of horrendous evil which an omnipotent, omniscient being could have prevented without thereby losing some greater good or permitting some evil equally bad or worse.

Although this strategy has been welcomed by many theists as an appropriate way of responding to evidential arguments from evil (for example, Mavrodes 1970: 95-97, Evans 1982: 138-39, Davis 1987: 86-87, Basinger 1996: 100-103) – indeed, it is considered by Rowe to be “the theist’s best response” (1979: 339) – it is deeply problematic in a way that is often overlooked. The G.E. Moore shift, when employed by the theist, will be effective only if the grounds for accepting not-(3) [the existence of the theistic God] are more compelling than the grounds for accepting not-(1) [the existence of gratuitous evil]. The problem here is that the kind of evidence that is typically invoked by theists in order to substantiate the existence of God – for example, the cosmological and design arguments, appeals to religious experience – does not even aim to establish the existence of a perfectly good being, or else, if it does have such an aim, it faces formidable difficulties in fulfilling it. But if this is so, then the theist may well be unable to offer any evidence at all in support of not-(3), or at least any evidence of a sufficiently strong or cogent nature in support of not-(3). The G.E. Moore shift, therefore, is not as straightforward a strategy as it initially seems.

Secondly, the theist who accepts Rowe’s argument may claim that Rowe has only shown that one particular version of theism – rather than every version of theism – needs to be rejected. A process theist, for example, may agree with Rowe that there is no omnipotent being, but would add that God, properly understood, is not omnipotent, or that God’s power is not as unlimited as is usually thought (see, for example, Griffin 1976, 1991). An even more radical approach would be to posit a “dark side” in God and thus deny that God is perfectly good. Theists who adopt this approach (for example, Blumenthal 1993, Roth 2001) would also have no qualms with the conclusion of Rowe’s argument.

There are at least two problems with this second strategy. Firstly, Rowe’s argument is only concerned with the God of orthodox theism as described in Section 1.a above, not the God of some other version of theism. And so objections drawn from non-orthodox forms of theism fail to engage with Rowe’s argument (although such objections may be useful in getting us to reconsider the traditional understanding of God). A second problem concerns the worship-worthiness of the sort of deity being proposed. For example, would someone who is not wholly good and capable of evil be fit to be the object of our worship, total devotion and unconditional commitment? Similarly, why place complete trust in a God who is not all-powerful and hence not in full control of the world? (To be sure, even orthodox theists will place limits on God’s power, and such limits on divine power may go some way towards explaining the presence of evil in the world. But if God’s power, or lack thereof, is offered as the solution to the problem of evil – so that the reason why God allows evil is because he doesn’t have the power to prevent it from coming into being – then we are faced with a highly impotent God who, insofar as he is aware of the limitations in his power, may be considered reckless for proceeding with creation.)

6. Conclusion

Evidential arguments from evil, such as those developed by William Rowe, purport to show that, grounds for belief in God aside, the existence of evil renders atheism more reasonable than theism. What verdict, then, can be reached regarding such arguments? A brief answer to this question may be provided by way of an overview of the foregoing investigation.

Firstly, as was argued in Section II, the “open theist” response to Rowe’s theological premise either runs the risk of diminishing confidence in God or else is entirely compatible with the theological premise. Secondly, the “sceptical theist” objection to Rowe’s inference from inscrutable evil to pointless evil was examined in Section III and was found to be inadequately supported. Thirdly, various theodical options were canvassed in Section IV as a possible way of refuting Rowe’s factual premise, and it was found that a theodicy that appeals to the goods of free will, soul-making, and a heavenly afterlife may go some way in accounting for the existence of moral evil. Such a theodicy, however, raises many further questions relating to the existence of natural evil and the existence of so much horrendous moral evil. And finally, as argued in Section V, the strategy of resorting to the “G.E. Moore shift” faces the daunting task of furnishing evidence in support of the existence of a perfect being; while resorting to a non-orthodox conception of God dissolves the problem of evil at the cost of corroding religiously significant attitudes and practices such as the love and worship of God.

On the basis of these results it can be seen that Rowe’s argument has a strongly resilient character, successfully withstanding many of the objections raised against it. Much more, of course, can be said both in support of and against Rowe’s case for atheism. Although it might therefore be premature to declare any one side to the debate victorious, it can be concluded that, at the very least, Rowe’s evidential argument is not as easy to refute as is often presumed.

7. References and Further Reading

  • Adams, Marilyn McCord. 1996. “Redemptive Suffering: A Christian Solution to the Problem of Evil,” in Robert Audi and William J. Wainwright (eds), Rationality, Religious Belief, and Moral Commitment. Ithaca, NY: Cornell University Press, pp.248-67.
  • Adams, Marilyn McCord. 1999. Horrendous Evils and the Goodness of God. Melbourne: Melbourne University Press.
  • Alston, William P. 1991. “The Inductive Argument from Evil and the Human Cognitive Condition,” Philosophical Perspectives 5: 29-67.
  • Alston, William P. 1996. “Some (Temporarily) Final Thoughts on the Evidential Arguments from Evil,” in Daniel Howard-Snyder (ed.), The Evidential Argument from Evil. Bloomington, IN: Indiana University Press, pp.311-32.
  • Ascol, Thomas K. 2001. “Pastoral Implications of Open Theism,” in Douglas Wilson (ed.), Bound Only Once: The Failure of Open Theism. Moscow, ID: Canon Press, pp.173-90.
  • Basinger, David. 1996. The Case for Freewill Theism: A Philosophical Assessment. Downers Grove, IL: InterVarsity Press.
  • Blumenthal, David R. 1993. Facing the Abusing God: A Theology of Protest. Louisville, KY: Westminster John Knox Press.
  • Boyd, Gregory A. 2000. God of the Possible: A Biblical Introduction to the Open View of God. Grand Rapids, MI: Baker Books.
  • Boyd, Gregory A. 2003. Is God to Blame? Moving Beyond Pat Answers to the Problem of Evil. Downers Grove, IL: InterVarsity Press.
  • Brown, Patterson. 1967. “God and the Good,” Religious Studies 2: 269-76.
  • Christlieb, Terry. 1992. “Which Theisms Face an Evidential Problem of Evil?” Faith and Philosophy 9: 45-64.
  • Chrzan, Keith. 1994. “Necessary Gratuitous Evil: An Oxymoron Revisited,” Faith and Philosophy 11: 134-37.
  • Davis, Stephen T. 1987. “What Good Are Theistic Proofs?” in Louis P. Pojman (ed.), Philosophy of Religion: An Anthology. Belmont, CA: Wadsworth, pp.80-88.
  • Draper, Paul. 1989. “Pain and Pleasure: An Evidential Problem for Theists,” Nous 23: 331-50.
  • Evans, C. Stephen. 1982. Philosophy of Religion: Thinking about Faith. Downers Grove, IL: InterVarsity Press.
  • Griffin, David Ray. 1976. God, Power, and Evil: A Process Theodicy. Philadelphia, PA: Westminster Press.
  • Griffin, David Ray. 1991. Evil Revisited: Responses and Reconsiderations. Albany, NY: State University of New York Press.
  • Hasker, William. 2004. Providence, Evil and the Openness of God. London: Routledge.
  • Hick, John. 1966. Evil and the God of Love, first edition. London: Macmillan.
  • Hick, John. 1968. “God, Evil and Mystery,” Religious Studies 3: 539-46.
  • Hick, John. 1977. Evil and the God of Love, second edition. New York: HarperCollins.
  • Hick, John. 1981. “An Irenaean Theodicy” and “Response to Critiques,” in Stephen T. Davis (ed.), Encountering Evil: Live Options in Theodicy, first edition. Edinburgh: T & T Clark, pp.39-52, 63-68.
  • Hick, John. 1990. Philosophy of Religion, fourth edition. Englewood Cliffs, NJ: Prentice-Hall.
  • Hoffman, Joshua, and Gary S. Rosenkrantz. 2002. The Divine Attributes. Oxford: Blackwell.
  • Howard-Snyder, Daniel, and Frances Howard-Snyder. 1999. “Is Theism Compatible with Gratuitous Evil?” American Philosophical Quarterly 36: 115-29.
  • Howard-Snyder, Daniel, and Paul K. Moser (eds). 2002. Divine Hiddenness: New Essays. Cambridge: Cambridge University Press.
  • Jordan, Jeff. 2001. “Blocking Rowe’s New Evidential Argument from Evil,” Religious Studies 37: 435-49.
  • Mackie, J.L. 1955. “Evil and Omnipotence,” Mind 64: 200-212.
  • Mavrodes, George I. 1970. Belief in God: A Study in the Epistemology of Religion. New York: Random House.
  • McCloskey, H.J. 1960. “God and Evil,” Philosophical Quarterly 10: 97-114.
  • McNaughton, David. 1994. “The Problem of Evil: A Deontological Perspective,” in Alan G. Padgett (ed.), Reason and the Christian Religion: Essays in Honour of Richard Swinburne. Oxford: Clarendon Press, pp.329-51.
  • Moore, G.E. 1953. Some Main Problems of Philosophy. London: George Allen & Unwin.
  • Morris, Thomas V. 1987. Anselmian Explorations: Essays in Philosophical Theology. Notre Dame, IN: University of Notre Dame Press.
  • Morris, Thomas V. 1991. Our Idea of God: An Introduction to Philosophical Theology. Downers Grove, IL: InterVarsity Press.
  • Nelson, Mark T. 1991. “Naturalistic Ethics and the Argument from Evil,” Faith and Philosophy 8: 368-79.
  • O’Connor, David. 1998. God and Inscrutable Evil: In Defense of Theism and Atheism. Lanham, MD: Rowman & Littlefield.
  • Otte, Richard. 2002. “Rowe’s Probabilistic Argument from Evil,” Faith and Philosophy 19: 147-71.
  • Pereboom, Derk. 2001. Living Without Free Will. Cambridge: Cambridge University Press.
  • Peterson, Michael L. 1982. Evil and the Christian God. Grand Rapids, MI: Baker Book House.
  • Peterson, Michael L. 1998. God and Evil: An Introduction to the Issues. Boulder, CO: Westview Press.
  • Pinnock, Clark H., Richard Rice, John Sanders, William Hasker, and David Basinger. 1994. The Openness of God: A Biblical Challenge to the Traditional Understanding of God. Downers Grove, IL: InterVarsity Press.
  • Plantinga, Alvin. 1974. The Nature of Necessity. Oxford: Clarendon Press.
  • Plantinga, Alvin. 1977. God, Freedom, and Evil. Grand Rapids, MI: Eerdmans.
  • Quinn, Philip L., and Charles Taliaferro (eds). 1997. A Companion to Philosophy of Religion. Cambridge, MA: Blackwell.
  • Reichenbach, Bruce R. 1976. “Natural Evils and Natural Law: A Theodicy for Natural Evils,” International Philosophical Quarterly 16: 179-96.
  • Reichenbach, Bruce R. 1982. Evil and a Good God. New York: Fordham University Press.
  • Reitan, Eric. 2000. “Does the Argument from Evil Assume a Consequentialist Morality?” Faith and Philosophy 17: 306-19.
  • Rogers, Katherin A. 2000. Perfect Being Theology. Edinburgh: Edinburgh University Press.
  • Roth, John K. 2001. “A Theodicy of Protest”, in Stephen T. Davis (ed.), Encountering Evil: Live Options in Theodicy, second edition. Louisville, KY: Westminster John Knox Press, pp.1-20.
  • Rowe, William L. 1978. Philosophy of Religion: An Introduction, first edition. Encino, CA: Dickenson Publishing Company..
  • Rowe, William L. 1979. “The Problem of Evil and Some Varieties of Atheism,” American Philosophical Quarterly 16: 335-41.
  • Rowe, William L. 1986. “The Empirical Argument from Evil,” in Audi and Wainwright (eds), Rationality, Religious Belief, and Moral Commitment, pp.227-47.
  • Rowe, William L. 1988. “Evil and Theodicy,” Philosophical Topics 16: 119-32.
  • Rowe, William L. 1991. “Ruminations about Evil,” Philosophical Perspectives 5: 69-88.
  • Rowe, William L. 1995. “William Alston on the Problem of Evil,” in Thomas D. Senor (ed.), The Rationality of Belief and the Plurality of Faith: Essays in Honor of William P. Alston. Ithaca, NY: Cornell University Press, pp.71-93.
  • Rowe, William L. 1996. “The Evidential Argument from Evil: A Second Look,” in Daniel Howard-Snyder (ed.), The Evidential Argument from Evil, pp.262-85.
  • Rowe, William L. 2001a. “Grounds for Belief Aside, Does Evil Make Atheism More Reasonable than Theism” in William Rowe (ed.), God and the Problem of Evil. Malden, MA: Blackwell, pp.124-37.
  • Rowe, William L. 2001b. “Reply to Howard-Snyder and Bergmann,” in Rowe (ed.), God and the Problem of Evil, pp.155-58.
  • Russell, Bruce. 1989. “The Persistent Problem of Evil,” Faith and Philosophy 6: 121-39.
  • Russell, Bruce. 1996. “Defenseless,” in Daniel Howard-Snyder (ed.), The Evidential Argument from Evil, pp.193-205.
  • Sanders, John. 1998. The God Who Risks: A Theology of Providence. Downers Grove, IL: InterVarsity Press.
  • Sennett, James F. 1993. “The Inscrutable Evil Defense Against the Inductive Argument from Evil,” Faith and Philosophy 10: 220-29.
  • Stump, Eleonore. 1997. “Review of Peter van Inwagen, God, Knowledge, and Mystery,” Philosophical Review 106: 464-67.
  • Swinburne, Richard. 1977. The Coherence of Theism. Oxford: Clarendon Press.
  • Swinburne, Richard. 1978. “Natural Evil,” American Philosophical Quarterly 15: 295-301.
  • Swinburne, Richard. 1987. “Knowledge from Experience, and the Problem of Evil,” in William J. Abraham and Steven W. Holtzer (eds), The Rationality of Religious Belief: Essays in Honour of Basil Mitchell. Oxford: Clarendon Press, pp.141-67.
  • Swinburne, Richard. 1991. The Existence of God, revised edition. Oxford: Clarendon Press.
  • Swinburne, Richard. 1998. Providence and the Problem of Evil. Oxford: Clarendon Press.
  • Tooley, Michael. 1980. “Alvin Plantinga and the Argument from Evil,” Australasian Journal of Philosophy 58: 360-76.
  • Trakakis, Nick. 2003. “What No Eye Has Seen: The Skeptical Theist Response to Rowe’s Evidential Argument from Evil,” Philo 6: 263-79.
  • Van Inwagen, Peter. 1988. “The Place of Chance in a World Sustained by God,” in Thomas V. Morris (ed.), Divine and Human Action. Ithaca, NY: Cornell University Press, pp.211-35.
  • Ware, Bruce. 2000. God’s Lesser Glory: The Diminished God of Open Theism. Wheaton, IL: Crossways Books.
  • Wykstra, Stephen J. 1984. “The Humean Obstacle to Evidential Arguments from Suffering: On Avoiding the Evils of ‘Appearance’,” International Journal for Philosophy of Religion 16: 73-93.
  • Wykstra, Stephen J. 1986. “Rowe’s Noseeum Arguments from Evil,” in Daniel Howard-Snyder (ed.), The Evidential Argument from Evil, pp.126-50.

Author Information

Nick Trakakis
Email: Nick.Trakakis@acu.edu.au
Australian Catholic University
Australia

Thrasymachus (fl. 427 B.C.E.)

Thrasymachus of ChalcedonThrasymachus of Chalcedon is one of several “older sophists” (including Antiphon, Critias, Hippias, Gorgias, and Protagoras) who became famous in Athens during the fifth century B.C.E. We know that Thrasymachus was born in Chalcedon, a colony of Megara in Bithynia, and that he had distinguished himself as a teacher of rhetoric and speechwriter in Athens by the year 427. Beyond this, relatively little is known about his life and works. Thrasymachus’ lasting importance is due to his memorable place in the first book of Plato‘s Republic. Although it is not quite clear whether the views Plato attributes to Thrasymachus are indeed the views the historical person held, Thrasymachus’ critique of justice has been of considerable importance, and seems to represent moral and political views that are representative of the Sophistic Enlightenment in late fifth century Athens.

In ethics, Thrasymachus’ ideas have often been seen as the first fundamental critique of moral values. Thrasymachus’ insistence that justice is nothing but the advantage of the stronger seems to support the view that moral values are socially constructed and are nothing but the reflection of the interests of particular political communities. Thrasymachus can thus be read as a foreshadowing of Nietzsche, who argues as well that moral values need to be understood as socially constructed entities. In political theory, Thrasymachus has often been seen as a spokesperson for a cynical realism that contends that might makes right.

Table of Contents

  1. Life and Sources
  2. Doctrines
  3. Influence
  4. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Life and Sources

The precise years of Thrasymachus’ birth and death are hard to determine. According to Dionysius, he is younger than Lysias, who Dionysius falsely believed to be born in 459 B.C.E. Aristotle places him between Tisias and Theodorus, but he does not list any precise dates. Cicero mentions Thrasymachus several times in connection with Gorgias and seems to imply that Gorgias and Thrasymachus were contemporaries. A precise reference date for Thrasymachus’ life is provided by Aristophanes, who makes fun of him in his first play Banqueters. That play was performed in 427, and we can conclude therefore that he must have been teaching in Athens for several years before that. One of the surviving fragments of Thrasymachus’ writing (Diels-Kranz Numbering System 85b2) contains a reference to Archelaos, who was King of Macedonia from 413-399 B.C.E. We thus can conclude that Thrasymachus was most active during the last three decades of the fifth century.

2. Doctrines

The remaining fragments of Thrasymachus’ writings provide few clues about his philosophical ideas. They either deal with rhetorical issues or they are excerpts from speeches (DK 85b1 and b2) that were (probably) written for others and thus can hardly be seen as the expression of Thrasymachus’ own thoughts. The most interesting fragment is DK 85b8. It contains the claim that the gods do not care about human affairs since they do not seem to enforce justice. Scholars have, however, been divided whether this claim is compatible with the position Plato attributes to Thrasymachus in the first book of the Republic. Plato’s account there is by far the most detailed, though perhaps historically suspect, evidence for Thrasymachus’ philosophical ideas.

In the first book of the Republic, Thrasymachus attacks Socrates’ position that justice is an important good. He claims that ‘injustice, if it is on a large enough scale, is stronger, freer, and more masterly than justice’ (344c). In the course of arguing for this conclusion, Thrasymachus makes three central claims about justice.

  1. Justice is nothing but the advantage of the stronger (338c)
  2. Justice is obedience to laws (339b)
  3. Justice is nothing but the advantage of another (343c).

There is an obvious tension among these three claims. It is far from clear why somebody who follows legal regulations must always do what is in the interest of the (politically) stronger, or why these actions must serve the interests of others. Scholars have tried to resolve these tensions by emphasizing one of the three claims at the expense of the other two.

First, there are those scholars (Wilamowitz 1920, Zeller 1889, and Strauss 1952) who take (1) as the central element of Thrasymachus’ thinking about justice. According to this view, Thrasymachus is an advocate of natural right who claims that it is just (by nature) that the strong rule over the weak. This interpretation stresses the similarities between Thrasymachus’ arguments and the position Plato attributes to Callicles in the Gorgias.

A second group of scholars (Hourani 1962, and Grote 1850) emphasizes the importance of (2) and contends that Thrasymachus advocates a form of legalism. According to this interpretation, Thrasymachus is a relativist who denies that justice is anything beyond obedience to existing laws.

A third group (Kerferd 1947, Nicholson 1972) argues that (3) is the central element in Thrasymachus’ thinking about justice. Thrasymachus therefore turns out to be an ethical egoist who stresses that justice is the good of another and thus incompatible with the pursuit of one’s self-interest. Scholars in this group view Thrasymachus primarily as an ethical thinker and not as a political theorist.

In addition, there is a group of scholars (A.E. Taylor 1960, and Burnet 1964) who read Thrasymachus as an ethical nihilist. According to this view, Thrasymachus’ project is to show that justice does not exist. Burnet writes in this context: ‘[Thrasymachus] is the real ethical counterpart to the cosmological nihilism of Gorgias.’

Others (Barney 2004 and Johnson 2005) have stressed that Thrasymachus should not be read as a philosopher who offers precise definitions of justice, but rather as a sociologist or political scientist who offers empirical observations that amount to a cynical commentary on those who follow a traditional, Hesiodic conception of justice.

Finally, there are a number of scholars who claim that Thrasymachus is a confused thinker. Cross and Woozley (1964) contend, for example, that Thrasymachus advances different criteria for justice ‘without appreciating that they do not necessarily coincide.’ This claim has been renewed by Everson (1998). J.P. Maguire (1971) argues that only some of the arguments in book I of the Republic are Thrasymachus’ own, while other ideas are falsely attributed to Thrasymachus by Plato in order to prepare the ground for his own arguments.

3. Influence

In spite of the disagreement about how to interpret Thrasymachus’ arguments in book I of the Republic, his ideas have been influential in ethical and political theory. In ethics, Thrasymachus’ ideas have often been seen as the first fundamental critique of moral values. Thrasymachus’ insistence that justice is nothing but the advantage of the stronger seems to support the view that moral values are socially constructed and are nothing but the reflection of the interests of particular political communities. Thrasymachus can thus be read as a foreshadowing of Nietzsche, who argues as well that moral values need to be understood as socially constructed entities. In political theory, Thrasymachus has often been seen as a spokesperson for a cynical realism that contends that might makes right. This view frequently associates Thrasymachus with the arguments Thucydides attributes to the Athenians in their negotiations with the island of Melos (History of the Peloponnesian War, Chapter XVII). Thrasymachus is therefore frequently portrayed as an early version of Machiavelli who argues in The Prince that the true statesman does not recognize any moral constrains in his pursuit of power. In the scholarship on Socrates, Thrasymachus is sometimes seen as an interlocutor who shows the limits of the Socratic elenchus. C.D.C. Reeve (1988) argues, for instance, that the conversation between Socrates and Thrasymachus illustrates that Socratic questioning cannot benefit a person like Thrasymachus, who categorically denies that justice is a virtue. Reeve contends that this limit of the elenctic method provided the impetus why Plato proceeded to modify Socrates’ ethical principles in the remaining books of the Republic.

4. References and Further Reading

a. Primary Sources

  • Diels, Hermann. Die Fragmente der Vorsokratiker. Rev. Walther Kranz. Berlin: Weidmann, 1972-1973.
  • Plato. Republic. Trans. G.M.A. Grube (rev. C.D.C. Reeve). Indianapolis: Hackett, 1992.
  • <Sprague, Rosamund Kent, ed. The Older Sophists: A Complete Translation by Several Hands. Columbia SC: University of South Carolina Press, 1972.

b. Secondary Sources

  • Adkins, A.W.H.Merit and Responsibility: A Study in Greek Values Oxford: Clarendon Press, 1960.
  • Balot, R.K.Greed and Injustice in Classical Athens Princeton: Princeton University Press, 2001.
  • Barney, R.”Callicles and Thrasymachus”Stanford Encyclopedia of Philosophy
  • Burnet, J. Greek Philosophy. London: Macmillian, 1964.
  • Chapell,T.D.J. “The Virtues of Thrasymachus” Phronesis 38 (1993): 1-17
  • Chapell,T.D.J. “Thrasymachus and Definition” Oxford Studies in Ancient Philosophy 18 (2000): 101-107
  • Everson, S. “The Incoherence of Thrasymachus” Oxford Studies in Ancient Philosophy 16 (1998): 99-131.
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Author Information

Nils Rauhut
Email: nrauhut@coastal.edu
Coastal Carolina University
U. S. A.

William Mitchell (1861—1962)

MitchellSir William Mitchell was the first major philosopher to live in South Australia. He worked at Adelaide University from 1895 to 1940 primarily in the area of what is now known as cognitive science. His major work: Structure and Growth of the Mind is a treatise on philosophical psychology.

Mitchell anticipated the claims of Nagel, McGinn, and Chalmers and their emphasis on the nonreductive character of subjective experience. He also anticipated the themes associated with perceptual plasticity, developmental accounts of modularity, and connectionism.

Mitchell’s non-reductive view of experience is historically awkward to place between Australia’s 19th century idealism and 20th century radical materialism. Mitchell thought the mind was a structure reacting to the environment. These reactions constitute experiences, through which objects can be known, similar to idealism. Studying these experiences provide “direct” evidence (or data) of the mind. Mitchell also recommended the study of the brain, which provides “indirect” evidence of the mind. The (then) emerging sciences, such as neuroscience, provide an important but limited explanation of the mind. This distinguishes Mitchell from most present contemporaries.

Mitchell explains the growth of the mind through three kinds of content found in experience: feelings, interests, and actions. Experience begins by sensations or by what we feel, which develop into interests of various levels of perception, which in turn may result in action. Although some psychologists and philosophers, like Piaget and Nagel, later present accounts similar to the idea of mental growth, most contemporary accounts of mind focus on the indirect methods or on representational and computational functions of the brain. Contemporary accounts sympathetic to non-symbolic modal information processing may find interest in Mitchell’s work.

Table of Contents

  1. Biographical Sketch
  2. Scottish and Australian Philosophy, The Background
    1. Idealism
    2. Realism and Materialism
    3. Psychology
    4. Neuroscience
  3. Contemporary Philosophy of Mind
  4. Mitchell’s Philosophy of Mind
  5. Contemporary Cognitive Science
  6. Why Mitchell has been Forgotten
  7. References and Further Reading

1. Biographical Sketch

William Mitchell was born in Inveravon in north Scotland in 1861, the son of a hill farmer. He was one of six children. Before he died in 1962 at the age of 101, he had distinguished himself both as Vice Chancellor (1916-1942) and later Chancellor (1942-48) at the University of Adelaide in South Australia. He held the Hughes Chair in English Language and Literature and Mental and Moral Philosophy, and was the first (and to date only) philosopher working within Australia to give the Gifford Lectures at the University of Aberdeen. This he did in 1924 and 1926. In 1927 he was knighted for his services to South Australia (Miller, 1929, p. 248).

In South Australia, Mitchell is remembered as an important figure at Adelaide University. He is certainly well-known for his contributions to scholarly life: this included obtaining grants for the University; founding the chair of biochemistry; spending large sums on library acquisitions; making many administrative contributions (the neo-Gothic Mitchell Building on North Terrace in Adelaide is named in his honour). However, he was also a first-rate philosopher. He published his first paper in Mind while still an undergraduate, and later, two discursive and wide-ranging books with MacMillan; the first entitled: Structure and Growth of the Mind (1907) ranged over issues in mind and content, philosophical psychology and neuroscience; the second The Place of Minds (1933) covered issues overlapping mind and the philosophy of physics, including the then relatively new area of quantum mechanics. The only copy of the third manuscript The Power of Mind—part of the trilogy—is said to have been lost during the London bombing raids. There are surviving manuscripts of this last book and proceedings of it as the last in the series of Gifford lectures—none of which, however, have ever reached print. There are also a number of shorter papers including: “Nature and Feeling”, “Universities and Life”, “Reform in Education”, “Christianity and the Industrial System”, “The Quality of Life”, and others, which were published as monographs by the Hassell printing company in Adelaide. Mitchell was also a regular contributor to the early editions of the Mind journal and regularly wrote shorter topical pieces for the Murdoch paper, The Advertiser, when it was a newspaper of some repute.

As a teacher and academic, Mitchell was highly regarded and something of a polymath, being engaged to teach economics and education as well as philosophy, psychology and literature. It might be disputed how much teaching he actually did in economics and literature—though a recent publication claims that he taught economics four evenings a week in addition to his other duties as professor of philosophy and a Vice Chancellor (“Economics at Adelaide”, 2003, p. 15). There is no doubt that he was a man of considerable energy. For this reason perhaps he described his chair, not as a chair but a sofa. He was also an unpretentious character. It is said, for example, that he didn’t have need for a room in his capacity of Vice Chancellor. If he wanted to see someone on an administrative matter, Mitchell would see them in his room. (Smart, 1962). Because of his considerable abilities as an academic, administrator, and intellectual/social commentator, Duncan and Leonard describe Mitchell as “the nearest approach to a philosopher-king the academic world has ever seen” (Duncan and Leonard, 1973, p. 78; Trahair, 1984, p. 52).

Mitchell always considered himself to be, first and foremost, a philosopher (Smart, 1962). He was, arguably, Australia’s first significant philosopher. Yet, curiously, he is not remembered at all as such. In academic terms, he is today a largely forgotten figure. The last serious discussion known to appear in print on Mitchell’s work was probably in Blanshard’s Nature of Thought in 1939; the last review of his books appeared in 1934 (Harvey and Acton wrote reviews in the same year; an earlier review by Hoernlé appeared in 1909); the last postgraduate dissertation in 1984 (Allen, 1984, see also Allen, 1995). No mention is made of Mitchell in contemporary philosophical writing (although see Boucher, in press). In Honderich’s Dictionary of Philosophy, Mitchell’s main work, Structure and Growth of the Mind, is described as the last remaining example of Australian idealism which “still survives” (Honderich, 1995, p. 67). If it survives at all, it certainly doesn’t survive by very much.

2. Scottish and Australian Philosophy, The Background

Although much had been written on early Scottish philosophical influences on the development of Australian philosophy, the focus of this work has centred mainly on the Sydney connection—particularly, the writing and influence of John Anderson, Challis Professor of Philosophy at the University of Sydney (1927-58). (See Anderson, et al., 1962; Anderson, 1980, 1982; Kennedy, 1995; Coombs, 1996; Baker, 1979, 1986; Mackie, 1962, 1977). In contrast to the Andersonian influence, little scholarly work had been undertaken on what impact, if any, Scottish traditions had on philosophical writing elsewhere in Australia.

Western philosophical thought made an appearance in Australia long before Anderson arrived in New South Wales, yet it may be forever overshadowed by Anderson’s legacy. From approximately 1850 a small community of scholars—mostly of Scots origin—working against the considerable difficulties of time and distance (both among themselves and also between them and their colleagues in the northern hemisphere) managed to bring together a philosophical community in Australia, add to the then dominant idealist and quasi-religious debates which occupied the intellectual scene in America and Europe, and leave behind a number of manuscripts and assorted papers which provided the basis for the metaphysical and epistemological work of those that followed. These scholars included Barzillai Quaife, John Woolley, Charles Badham and Francis Anderson in Sydney; M. H. Irving, H. A. Strong, W. E. Hearn, Richard Hodgson, Alexander Sutherland and Henry Laurie in Melbourne; William Mitchell and John McKellar-Stewart in Adelaide; Elton Mayo and Scott Fletcher in Queensland; R. L. Dunbabin in Tasmania; and P. R. Le Couteur and A. C. Fox in Western Australia.

Any systematic survey of the earliest Australian philosophers and their ideas is beyond the scope of this article. For a comprehensive review, see, Grave, 1984. However, it is necessary to mention the background of those philosophers in broad terms before turning to the subject of this article—William Mitchell. Mitchell spanned two groups of philosophers having very different concerns: the idealist and “common-sense” philosophers who worked from the mid to late 1850s until the late nineteenth century; and, what might be called the realist and materialist revolutionaries beginning in Australia in the early twentieth century with fellow-Scot John Anderson, and later dominated by the work of J. J. C. Smart, U. T. Place, D. M. Armstrong, C. B. Martin, and others—a “school” now known internationally as “Australian Materialism” (all except Armstrong were based in Adelaide). Any understanding and appreciation of Mitchell’s work, must be understood in the context of these two very different traditions.

Mitchell was the product of an old and vibrant school of philosophy which had its roots in the Scottish traditions of idealism and “common-sense” philosophy. The dead hand of idealism and the consequences it had for philosophical realism was one of the influences which gave rise to Mitchell’s work. Other early Australian philosophers before, during and after Mitchell’s time also owe their foundations to these traditions. In brief, these influences can be summarised as follows: from the common-sense philosophers such as Thomas Reid (1710-1796), Mitchell accepts the arguments advanced against solipsism and anti-realism, and the idea that the mind may exhibit different information-processing hierarchies. From T. H. Green (1836-1882), Mitchell derived the idea that an uninterpreted sense datum was simply folly. From F. H. Bradley (1846-1924), Mitchell takes the idea that experience—at least initially—is a seamless unity of knower and known. From James Ward (1843-1925), Mitchell takes the important idea that organisms grow, and that an adequate explanation of mental activity must capture this. From William James (1842-1910), Mitchell adopts a version of realism. Each of these ideas are represented in one way or another in Mitchell’s thought.

However, there was another influence on Mitchell’s philosophical development: the challenges forced by the growing relevance of the physical sciences to philosophical speculation about mind. Developments in physics, psychology and neuroscience, for example, were considerable influences at the time Mitchell was working. Both these influences conspired, not intentionally but effectively, to bring about a materialist reaction to idealism that, for better or worse, shared more of its idealist ancestry than the materialism we know today. Consequently, this flavored Mitchell’s work in Australia during the same period. The implications of them for Mitchell’s thought are mentioned below.

a. Idealism

Mitchell is not an idealist in the strict sense, though he certainly came from the idealist tradition. Some of his more shaky arguments even turn on idealist assumptions. This should not be surprising. Mitchell’s views, after all, descend from the influence of the British idealists, T. H. Green and F. H. Bradley, among others, who endeavored to push the empiricist views of Locke and Hume closer to the views of the German idealists. On the other hand, Mitchell was also impressed by the arguments of his compatriots T. Reid, D. Stewart, J. Beattie, W. Hamilton—the Scottish “common sense” theorists, who attacked idealism and tried to outline a doctrine closer to what we would now call “realism”. While it should be acknowledged that idealism is a broad church, and can encompass a wide variety of positions, on balance, Mitchell’s views are best placed at the beginning of another tradition entirely.

Mitchell’s views demonstrate cautious materialist and non-doctrinaire realist themes—themes which have more in common with contemporary philosophical work (for example, current work in cognitive science) than with the idealist tradition; views which are also indicative of the region of the world in which he worked. His writing is best described as marking a transition between the idealist tradition which arrived on Australian soil in the early part of the nineteenth century, and the more radical materialist views which followed (especially in Adelaide)—but, strictly speaking, he belonged properly to neither tradition. There is no doubt that Mitchell wrote like an idealist—sometimes argued like one—but there is an ambiguity in his work which seems to indicate that he was attempting to stake out a position that, for the time, was genuinely original. If he was an idealist, he was only a methodological idealist.

b. Realism and Materialism

There is a light-hearted reason why Mitchell should not be seen as an idealist: for were it so, it would stand as an anomalous case to the oft-quoted remark of Armstrong (and quoted by Devitt, 1984, p. vii) that realism is born only of dry countries with harsh landscapes and strong sunlight, whereas anti-realisms are born of moist countries with misty air and green landscapes where the mind is allowed to wander. (Devitt even claims that a bastion of idealism still survives in Victoria where the sun doesn’t shine quite as much.) Since Mitchell spent most of his philosophical life in Australia—and in the very harsh climate of South Australia—it would be unfitting that, if he was an idealist, he would remain one for long. J. J. C. Smart remembers Mitchell regarding himself as a staunch realist. One recollection recalls Mitchell in conversation with a solipsist: “You know, the trouble with you, is that you think only minds exist”, and adding (under his breath) “and your mind at that.” (Edgeloe, 1993). Not the kind of remark an idealist would make. And, it is certainly not like an anti-realist to make claims such as the following: “No object is made mental, nor altered, by being felt, imagined, or known in any way” (PMW, p. 33) and: “When your ideas quarrel with mine, and when they agree, it is because they….grasp the same object as mine, and to find it independent of our grasp” (PMW, p. 45). Or, finally, his claim: “The room is….not affected by my perceiving it” (SGM, p. 60). If Mitchell is an idealist, he is an unusual one indeed. However, if he is a realist, as Mitchell himself claimed, we may see his pronouncements to the contrary as mere epistemological lapses—perhaps even forgivable ones given the preoccupation of early Australian philosophers with the idealist curse.

Just as Mitchell was no idealist or antirealist, it is also clear that he was no anti-materialist. There are a number of passages which indicate this. Here’s one example (recall that is was written before 1907):

When you try to picture the structure and the action of the mind, remember you are trying to picture the structure and action of the nervous system. In this way you will avoid the usual confusion of trying to picture a hybrid process consisting partly of visible movements and partly of invisible feelings (SGM, p. 7).

It is not unreasonable, therefore, to look for evidence of realist and materialist themes in Mitchell, given that he worked here and not in the misty green landscape of Scotland, and given such pronouncements as those above. It should certainly not be automatically assumed that his views are similar to the tradition from which he descended. I shall submit that Mitchell’s work should be reconsidered in the light of contemporary philosophical debates. Perhaps J. A. Passmore was only partly right when he described Mitchell’s work as articulating “an introduction to an Idealist philosophy for which the mind is the central ontological conception” (Passmore in McLeod, 1963, p. 146). While it is certainly true that, for Mitchell, the role of the mind is a pre-eminent consideration, this doesn’t by itself make him an idealist. The common qualification for being an idealist is that what is real is in some way confined or at least related to the contents of our minds (Honderich, 1995, p. 386). And the evidence for this in Mitchell’s writing is somewhat less clear.

c. Psychology

Aside from the Scottish idealist and common sense traditions, there were other influences which complicate the picture further. These influences indicate that Mitchell was a more sophisticated philosopher than previously thought. These influences came from the discipline of psychology. Mitchell was a near contemporary of the Swiss psychologist Piaget, who argued for an epistemology which was both dynamic and materialist—setting the stage for a later cybernetic approach to epistemology. (Piaget published his first substantial works in 1923, some 16 years after Mitchell’s SGM). Mitchell articulated a kind of early dynamic process philosophy of the structure and growth of the mind which anticipated some of Piaget’s account later to receive wide acclaim in the philosophy of psychology. There are considerable differences here, of course. Whereas Piaget aimed at a strictly empirical developmental psychology underpinned by the influence of some Aristotelian, Kantian and Hegelian philosophical conceptions (with empirical work predominating), Mitchell aimed at—in Passmore’s words—”a psychology which is in turn an introduction to philosophy” (Passmore, 1963, p. 145). That is, a psychology which leads to a new way of thinking philosophically about the mind. Indeed, for Mitchell, philosophy was a kind of psychology.

While there are differences between the two thinkers, there are also similarities: unlike the focus of contemporary philosophy of mind (which deals centrally with ontological questions such as what the mind is—how a neural state can be a representational state, for instance), both Mitchell and Piaget seemed more interested in how the mind grows (how the mind of an infant is different from the mind of an adult; a learned mind differs from one which exhibits “invincible stupidity”; how the minds of lower animals differ from those of primates; and so on.) It was, in other words, an entirely different philosophical agenda. The issue of what minds are was, for Mitchell and his contemporaries, subordinate to the issue of what minds do. Structure and Growth of the Mind is, broadly speaking, an attempt to outline the precise processes undergone by minds during different stages of their growth, and under different conditions. It might be considered a conceptual psychology—or an analytic phenomenology—of the stages of mental growth. And, the central category of this “psychology” was the category of experience. This way of looking at things is currently out of favor among philosophers of mind, though it does seem to be making a come-back (see for example, Karmiloff-Smith’s amalgamation of Fodorian modularity theory and Piagetian themes) (Karmiloff-Smith, 1992).

Other psychologists to influence Mitchell were Wundt, Helmholtz and Stumpf. Additional strong influences on his work come from ethology and related disciplines. For example, Mitchell approvingly cites Lubbock’s work on the senses of insects (Lubbock, 1888, cited in Mitchell, 1907, p. 39 passim) and Preyer’s and Münsterberg’s views about the behavior of lower animals. These influences seem to discredit the claim that Mitchell was an ontological idealist. He was more interested in a naturalist account of mind and content. And he was certainly more interested in evidence from emerging sciences than the inchoate ramblings of British and German idealists (there are no references to either in his books).

d. Neuroscience

Were Mitchell an antimaterialist of some conviction, we might expect rather less of this material to feature in his writings. Yet Mitchell devotes an entire chapter reviewing the then current work in neuroscience, and much of the rest of his work is sprinkled liberally with evidence from such sources. He looks at experiments involving prosthesis and brain bisection, conjectures about differently weighted neuronal paths in animals, and so on. He called this evidence the “indirect” method of understanding mind—indirect because it relied on evidence from the brain, not “direct” evidence from experience as it seems to us, that is, not phenomenological content. Moreover, Mitchell seemed to believe that any proper understanding of mind required an analysis in which evidence from both sources was required. He didn’t think that one needed to be subordinated to the other. Mitchell “saw in psychological and neurological inquiry alternative means of explanation—the philosophical being the more “direct”—rather than attempts to describe entities of a different ontological order” (Passmore, 1963, 147).

3. Contemporary Philosophy of Mind

In contemporary cognitive science, philosophers refer to the “easy” and the “hard” problem of consciousness. The “easy” problem consists in how brains might do things such as represent perceptions in thought in a neural or computational form. The “hard” problem consists in explaining how things seem to us in experience (the “what it is like” of consciousness) (Chalmers, 1996). Many contemporary cognitive scientists believe one can’t understand mind without an understanding of the “hard” problem, as this requires an understanding of “subjectivity”, or experience “from the inside.”

This distinction approximates Mitchell’s “indirect” and “direct” distinction to this extent: While the “indirect” method offers a potentially complete understanding of “the immediate physical correlates” (SGM, p. 450) of experience, only the direct method offers an understanding of what experience is like “from the inside”. Both approaches, according to Mitchell, are essential. While Mitchell did not have the conceptual resources to understand features of mind that we have today (courtesy of the modern computer and its binary method of information storage), he did have enormous faith that the indirect method would yield considerable insights; hence his emphasis on neuroscience. In the final chapter of SGM, Mitchell even sketches what an indirect account might look like—an account which has a startling resemblance to recent “connectionist” models (McClelland, 1999; McClelland and Rumelhart, 1986).

However, while he thought this important, he also thought that this could only ever be a “correlate” of mind as it is experienced by us. Thus, he argued for a cautious, non-reductive physicalism and rejected materialist accounts which promised more. One certainly can’t understand mind without both the “direct” and “indirect” methods according to him. Mitchell’s account of mind, to the extent that it makes a contribution to such views, is thus historically relevant to the debates in present day philosophy of mind.

It could even be argued, that Mitchell anticipated the views of contemporary theorists such as Thomas Nagel, Colin McGinn and David Chalmers—the “new mysterians”, as they are sometimes disparagingly called. These theorists argue, in very different ways, for the claims that: 1. the subjective quality of experience is essentially dissimilar from objective descriptions of brain states; and 2. the current brain sciences are limited in their application. They are united in their view that, while the evidence from the neurosciences is impressive, these results don’t tell us anything about consciousness properly so-called, even though they might tell us a good deal about associated problems to do with mentality (how a propositional attitude can be a representational state, and so on). They are also united in their regard for the importance, and non-reducibility of subjective experience.

None of the “new mysterians” are dualists by fiat (although many of them openly espouse dualism); they are, rather, unconvinced that a materialist theory of mind in its present form will do the job. Materialism can’t be said to be false—indeed, Nagel states this much explicitly (Nagel, 1979, pp. 175-6). Chalmers, likewise, exhibits a reluctance to say that materialism can’t at present do the job required, and advocates a monism which is “broader”. So it seems that the new mysterians are not hostile to materialism—only unwilling to take it seriously as a complete theory of mind (this point is not often stressed in the literature). The theory of mind they argue for would have to offer an account of the subjective character of experience without attempting to eliminate, reduce or otherwise distort the “what it is like” of phenomenal experience. To paraphrase Chalmers, the right theory of consciousness will have to “feel the problem [of subjective experience] in its bones”. One can, perhaps, describe the new mysterians, in a very liberal mood, as very cautious materialists (so cautious as to support dualism or panpsychism). And, in this sense, Mitchell was one too—though he doesn’t reach such radical conclusions.

The other point worth noting is that Mitchell also anticipated the views of some contemporary cognitive scientists, especially those theorists who are somewhat sympathetic to the claims of the new mysterians but who don’t wish to be tarred with the same “new mysterian” brush.

Where is the evidence that Mitchell anticipated such views? Briefly, though not conclusive evidence on its own, some of his remarks about mind do see him articulating a position which has similarities with some of these more recent theorists:

A mind and its experience are realities that are presentable to sense as the brain and its actions. In that respect the mind and experience are not parallel with nature, but part of it. And, on the other hand, the facts of nature, including the brain, whenever they are phenomena, are not parallel with mental phenomena, but part of them (SGM, p. 23).

In one sense, it is easy to see why the American idealists in the 1930s embraced such comments (see Blanshard, 1939, for extensive reference to Mitchell’s writing). On one reading they seem to suggest that Mitchell thought the brain might be a product of minds: whenever brain states are “phenomenal” states, they are mental phenomena, he seems to say. Given his outright rejection of idealism, and his own insistence that he was a realist, other interpretations of his remarks seem called for. Another, more benign reading is that Mitchell was arguing a similar line to that of Thomas Nagel’s “Dual Aspect” theory: According to Nagel’s account, “both the mental and the physical properties of a mental event are essential properties of it—properties which it could not lack” (Nagel, 1986, p. 48). This too can be a way of interpreting Mitchell’s assertion above. This reading makes no such commitment to idealist doctrines and seems to suggest that Mitchell was trying to outline a kind of non-reductive account in which mental and physical states both feature in a more inclusive account of mind—a “fundamental” theory incorporating both. This too is the emphasis in the theories of Chalmers and McGinn (Chalmers, 1996; McGinn, 1983). Mitchell’s account also bears close similarities to Sellars’ articulation of the “manifest” and the “scientific” images (Sellars, 1963).

Gone are the days, it seems, of either being a realist and materialist, or an idealist and/or dualist, and shunning the possibility of intermediate positions. Now, it seems, empirically-minded philosophers seriously entertain alternative accounts; theories of which Anderson, no doubt, would have disapproved (Cantwell-Smith, 1996; Marshall, 2001). Chalmers is an example of an Australian who has attempted to stake out such an account, though there are others: Keith Campbell and Frank Jackson are examples of contemporary Australian dualists or qualiaphiles, as they are called; though Jackson has recently undergone a change of heart. In any case, a kinder face of Australian materialism can be seen emerging in the late twentieth century, and this probably began with Mitchell. What seems clear from Mitchell’s work is that this trend began long before Anderson’s arrival in Australia, but was overlooked. It is certainly true that Mitchell, unlike Anderson and those materialists that followed him, took consciousness as a phenomenon to be explained in its own terms, not reduced, eliminated or ignored.

I previously outlined the Scottish traditions and Australian traditions which helped to shaped Mitchell’s work. In a later section, I shall suggest that Mitchell’s work has surprising application to current trends in cognitive science. His work thus deserves serious study by contemporary philosophers of mind. I shall briefly outline the central elements of Mitchell’s ideas here before continuing.

4. Mitchell’s Philosophy of Mind

Mitchell’s philosophical contributions have, as their focus, the nature of mind and experience. Particularly, he is interested in the growth of the mind; and, to a lesser extent, its ontology. He does make contributions to the philosophy of science and education; but these fall naturally out of his philosophy of mind. It remains to introduce in general outline what these contributions are and how they differ from present-day theories.

The key elements of Mitchell’s thought are easy enough to state in general terms: experience is the crucial element of our mental lives; or, to put it another way: “mental activity is central in experience” (Miller, 1929, p. 249). As I have suggested, Mitchell is a forerunner of what we now call the “New Mysterians”, who regard conscious subjective experience as a crucial, ineliminable feature of our lives. For Mitchell, it was no different. We are happy or depressed; we worry and at other times we are elated; we feel pains and pleasures. This kind of experience is fundamental to our mental and physical lives, and cannot to be reduced or eliminated.

However Mitchell is not merely interested in such conscious experiences. He recognizes that not all experience is conscious, but is nonetheless important to the growth of the mind. Experience, for Mitchell, covers everything from qualia to high-level intentional content at various levels. There is no principled epistemic divide to be drawn between these levels on Mitchell’s account. One learns about the mind primarily by studying experience directly as we live it (the “direct” approach); and secondarily, by studying the mind indirectly by means of the emerging sciences of the mind, for example, neuroscience (the “indirect” approach). Knowledge acquired by means of the direct approach aids in directing attention to relevant features of the indirect approach (thus, an adequate neuroscience might be directed to features of interest by means of contentful phenomenal experience).

The action of mind is always action on an occasion. The occasion is the moment and conditions under which an experience happens and the content that such conditions bring about. The occasion is a stimulus property (either mental, physical or environmental). Experience is what the mind, the “reacting structure”, does in reaction to its environment (a definition which is sufficiently vague to cover all aspects of content). Not everything about the mind is always involved on an occasion, only the activity which the occasion calls forth (so, for example, low-level modular-type processing, which do not seem to involve higher level concepts, is consistent with the concept of an occasion).

The organism aims to resolve occasions in order to achieve pragmatic and experiential ends. Thus, we focus our eyes to achieve a better view, etc. However this also occurs at higher levels. So, for example, our concepts are deployed in making sense of more complex experiences. Organisms start off by resolving low-level instinctual experiences, and then move to higher, more satisfactory levels of experience, though this is not so for all creatures on which there might be evolutionary and experiential constraints. As the idea of resolving experiences is a key to Mitchell’s account, this leads to an account which demands levels of experiential content.

There are three main levels of content according to Mitchell: sensory, perceptual and cognitive intelligence. These levels are represented in the following diagram.

The sensory level is roughly equivalent to instinct. Some organisms remain at this level and advance no higher. As Mitchell defines it, the course of instinctive action is: “the power of pursuing an infinite variety of courses, directed throughout by present sensation” (SGM, p. 194). Thus, we resolve our eyes to focus; cup or fix our ears; sniff with our noses. The next level is perceptual intelligence or “interest” which is equivalent to content which already comes with the power to anticipate further experiences (for example, we simply “see” a display of objects and know how to react; we don’t have to infer our course of action). This has a number of levels (feeling, practical and cognitive interests). Some organisms—some humans—even remain at these levels. The last level is cognitive intelligence which is influenced by rules, language and principles, and it helps differentiate the expert from the non-expert. Thus, in Hanson’s sense:

There is a ‘linguistic’ factor in seeing….Unless there were this linguistic element, nothing we ever observed could have relevance for our knowledge. We could not speak of significant observations: nothing seen would make sense, and microscopy would only be a kind of kaleidoscopy. For what is it for things to make sense other than for descriptions of them to be composed of meaningful sentences? (Hanson, 1975, p. 25).

Mitchell differs from Hanson in regarding the higher level conceptual intelligence as containing features of the lower levels as well. Thus, while at higher levels there is a “linguistic factor in seeing”, this is not all there is. Cutting across this tripartite division of forms of intelligence, which constitute broad bands or levels of content, is a distinction between the functions and forms of experience: feeling, interest and action. Each of these typify the kinds of content that organisms are interested in at particular moments.

On the metaphysics of mind, Mitchell has an interesting case to put. He believes the capacity to experience allows an inference to the notion of mind (Allen, 1984, p. 7). This is rather different from some current approaches which regard to the capacity to experience as a reason to deny the existence of mind (for, example, Dennett’s 1988, 1991, and Churchland’s views, 1979, 1984, 1986). By complete contrast, Mitchell thinks that the very structure of experience is evidence that mind exists (otherwise there would be no evident structure).

However, he does not argue for a faculty-based account of mind, nor the notion of “self” as an ontologically legitimate entity. This, to Mitchell, is an invalid inference. Rather, the working of the mind is a process due to various faculties, but they themselves are not processes and not an experience; rather, the relationship defines nominal entities which stand for what experiences are produced on an occasion. A faculty means, for Mitchell, merely the capacity to produce or the capacity to have, an experience of a certain kind (Miller, 1929, p. 249). Thus, Mitchell is no defender of a literal faculty-based psychology—unlike Fodor, who has recently tried to resuscitate the idea (Fodor, 1983). Rather, his account more closely resembles a defense of some kind of early dynamic process account, recently featured in the literature as “interactivist-constructionist” models (Christensen and Hooker, 1999; van Gelder, 1998, 1999; Port and van Gelder, 1995).

What of Mitchell’s position regarding the metaphysical relation of subject and object? Mitchell claims that in every experience there is differentiation of subject and object. But it does not follow that there is always an experience of difference between two subjects of experience (for example, we can be so absorbed in an experience we can forget the object) (Jackson, 1977). Rather, this differentiation is a product of the mind’s growth. Nor can we infer from one entity to the other qua self-subsistent entities (Miller, 1929, p. 249). For Mitchell, experience involves an implicit two-factor relation: experience helps in the analysis of the two factors in relation, and experience would be impossible without these factors. But, at the same time, experience begins as mere feeling or sensation without the division into subject and object; i.e., as an undifferentiated whole. In this sense, and only this sense, Mitchell follows Bradley. Experience does not, at least initially, consist of ourselves feeling something (for this involves higher-level thought—thought which is part of the later growth of the mind); rather, it is feeling as such, or—as Mitchell calls it—mere sensation; not somebody’s feeling or a feeling of something. Experience contains diversity, but a diversity which is prior to relations (Passmore, 1984, p. 62-3).

Why develop this apparently bizarre idea of mere experience as a non-relational whole? The answer to this is possibly the same as why others, such as Bradley, developed it. Mitchell was writing at a time of considerable Humean influence. Hume, of course, took the opposite assumption to that of Bradley and Mitchell. Instead of regarding experience as an undifferentiated whole, from which distinctions between subject and object arise, Hume took the opposite assumption, a skeptical attitude. He thought of experience as comprising a disconnected “bundle” of sensations on which we impose conventions of regularity and association. On Hume’s account, the “self,” and the subject of experience and action, disappears.

Mitchell, like his Scottish forebears, rejected this assumption as irrational and counterintuitive. Like Bradley, he attempted to ground an account of experience which more closely mirrored the unity, coherence and completeness which we really do find in our conscious lives. Unlike Bradley’s Hegelian musings about the Absolute, however, Mitchell was more interested in an account of the growth of the mind from its undifferentiated feeling to the stock of mental constructions and concepts which we know in experience. In other words, he aimed to construct “a psychology which is in turn an introduction to philosophy” (Passmore, 1984, p. 145).

Thus, Mitchell’s metaphysics is complex, descended from the Scottish common-sense views, British empiricism, and idealist metaphysics. He has idealist sympathies in so far as objects can only be understood or known as the subject of experiences. However, he does not confine objects as mental products in our heads, and he sees objects qua objects as part of a dynamical exchange between organisms and the world which makes experience possible (for a recent account that is similar, see Cantwell-Smith, 1996). In this latter sense, Mitchell can be understood as a die-hard realist. Though if “idealism” is interpreted generously enough to allow for the existence of independent external material objects—as perhaps it should be—he could also be considered an idealist of some conviction.

This point is often confused in the literature. E. M. Miller points out the confusion, and Mitchell’s attitude to it, very clearly indeed:

An idealism that denies external reality is no true idealism. The experience of the real is admitted. What the idealist wants to know is the nature and meaning of reality; and as to its nature and meaning there may be and is a great variety of opinions. No one in his senses doubts the existence of material objects. What brings about endless trouble is the confusion of material existence with the assertion of the existence of a material reality independent of mind. We cannot be conscious of something which is out of consciousness, and if we are conscious of anything, we know somewhat of it. This fact is a necessity of knowledge, and to assert its independence of the relations under which it is experienced as an object of consciousness is to assert nothing. We are not aware of anything to which consciousness does not testify. In a like manner we know mental facts as distinct from physical facts or processes. We may speak of mental processes as internal and of physical processes as external; but neither internality nor externality is applicable to mental processes as such. They are entirely different from the physical. They are not coordinate, to use Mitchell’s words….and “their correlation does not mean identity of nature” (Miller, 1930, p. 10).

The latter remark, that the mental is defined in terms that are neither internal nor external, captures the point that, for Mitchell, the exchange between subject and object is crucial to the nature of mind. For convenience, we refer to the “internal” and “external” (or subject and object), but the mental is not coordinate with either; and though they are often correlated, this does not amount to a relationship of identity. (Compare, the onset of spring and bees: they are coordinate facts, and there is a high correlation between them, but they are certainly not identical.)

5. Contemporary Cognitive Science

Now let us look briefly at the kind of environment current in contemporary philosophy of mind. I shall make a few points about how Mitchell differs from the contemporary discussions, and where he has sympathies. Obviously in an article of this length I can only gesture in the direction of Mitchell’s position on the issues.

1. Contemporary accounts of mind have no account of how and why minds grow. With few notable exceptions (Karmiloff-Smith, Piaget, Vygotsky) this is true. Most philosophers are more interested in ontological questions: What is consciousness?; What is a representational state?; What is a pain?, Are representations computational states?; and so on. They are less interested in the developmental question. Mitchell, by contrast, is concerned with the growth of the mind as the primary metaphysical issue.

2. Contemporary accounts assume that the computational processes of mind are central. The computational account, or—as it is known—the representational theory of mind (RTM) is dominant in the current literature. Computations performed over amodal, structured symbolic expressions tokened in a neural form is considered to be the main processing mechanism for cognitive states. There are a number of variations on how this is supposed to be achieved, but the metaphor of the mind as a computational system is widespread. Contemporary accounts which stress the processing of non-symbolic, modal, perceptual information is now making an appearance in the cognitive science literature, but this is a minority view (Barsalou, 1999). Mitchell is sympathetic with the modal-format account, which makes him rather contemporary.

3. Contemporary accounts subordinate the phenomenal features of mind to their representational/computational features. Many cognitive scientists are principally interested in how brains represent the world in thought. Phenomenological features of experience are an infuriating problem for computational accounts because they seem to resist explanation in the terms of the RTM. If qualia occur at all—and there is much dissension on the question—they are considered to be another form of representational capacity. Thus, the RTM allows for a variety of representational formats. However, it is not clear how neurally encoding—regardless of format—can capture the “what it is like” of phenomenal experience. Mitchell’s account attempts to outline a variety of representational formats employed by the organism at various stages of its cognitive growth.

4. Contemporary accounts assume the “indirect” (neurophysiological) approach to be the best, or only, approach. Contemporary accounts generally assume that the advancing neurosciences will eventually shed insight on questions of consciousness, representation and cognition. There are some who claim that there is an “explanatory gap” and that we are cognitively prevented from crossing it (McGinn, 1991; Levine, 1983). Mitchell agrees that the indirect approach is essential but only in conjunction with the direct approach. This is in line with others who, while they regard the direct approach as valuable, claim that it plays a subordinate role to first person experiential perspectives (Nagel, 1974; Jackson, 1990; Chalmers, 1996). This kind of position is now gaining currency again, long after Mitchell originally proposed it (Edelman, 1992; Flanagan, 1992, 1995; Overgaard, 2001; van Gulick, 1993; see Davies, 2003).

5. Contemporary accounts assume that an epistemology of content is subordinate to an ontology of mind. Contemporary accounts are less interested in epistemological concerns; when they are, it is usually expressed in terms of how minds represent the world in thought in computational terms. However, this already assumes an ontology of mind. Mitchell’s approach is to construct an epistemological account from which an ontology of mind is derived as an inference. The central issue is not what minds are—the key question is how we have the experiences we do. Since experience has structure there must be minds. From the epistemological agenda an “indirect” account of the nature of mind follows.

6. Why Mitchell has been Forgotten

The reasons for the lack of interest in Mitchell’s philosophical work are fourfold: first, Mitchell’s work is historically badly poised. As I have already mentioned, he dealt with themes and ideas at the cross-over point between the death of idealism and “common-sense” philosophy, and the rise of Australian materialism and realism. This virtually ensured that his work sat uncomfortably between scholarly periods, but belonged properly to neither.

Second, his style of writing was poor. Even taking into account the stylistic conventions of the time—and allowing for the difficulty of the philosophical concepts he was engaged with—his work is badly written, often divorced of clear central themes, lacking in detailed exegesis and often ponderous in delivery. (A professor of classics at Adelaide at the time “used to say that he could never understand Mitchell’s books until he had translated them into Latin”.) (Duncan and Leonard, 1973, p. 19; Grave, 1984, p. 22). True enough, obscurity of style is no barrier to greatness (e.g., Wittgenstein). But in Mitchell’s case there were other factors in addition to stylistic obscurity that conspired to defeat him. Moreover, this estimation of Mitchell’s writing was not an individual complaint, but, by and large, consensual: reviewers of Mitchell’s first book complained about the difficulty “in focussing to a definite view the central conceptions upon which the work as a whole rests” (Kemp-Smith, 1908, p. 333). It was also criticized for its “obscurity”, its “somewhat oracular style” (Acton, 1934, p. 245) and even its “undeniable dreariness”. One reviewer pointed out that, while reading it, one always has to “retrace one’s steps and grope for the context”. The same complained that, because of “no contour or difference in emphasis”, reading the book was like “swimming under water with never a chance to come up and look about” (Perry, 1908, p. 45). Norman Kemp-Smith, a philosopher later famous for his extremely clear exposition of Kant’s Critique of Pure Reason, even had the audacity to suggest that Mitchell’s work could have been “condensed to half its present size” without loss, and complained about his “obscurity” and “constant digression into….side issues” (Kemp-Smith, 1908, p. 332). Everybody, except Mitchell himself, found his work virtually impenetrable.

Third, Mitchell’s perspective on the issues of the day was unconventional and is hard to understand even with the hindsight of trends and developments in the late twentieth century. A number of his views are simply unfashionable: for instance, the emphasis taken in both his writing and his classes was that psychology “is the proper introduction to philosophy”; a view certainly not popular today notwithstanding recent interest in a return to “philosophical psychology” (see Gold and Stoljar, 1999).

Fourth, Mitchell made no allowances for the reader: his second book was premised on the reader having read and digested the first; however the first book assumes an acquaintance with the themes and concerns of nineteenth century thought not merely in philosophy, but also in developmental psychology, neuroscience, physics and biology. Thus, for the contemporary reader Mitchell’s writing is now almost beyond reach. His second book, universally regarded as harder to read than the first, presupposes a detailed knowledge of quantum mechanics and other areas of physics very fresh for the time. Not only this, but Mitchell makes no attempt to connect his ideas with the debates which were current at the time in the literature and “never ties his reflections to a specific philosophical controversy” (Passmore, 1962; 1963, p. 145). To make matters worse, Mitchell never provided indexes to his books, and gives no summaries, recapitulations of points, nor linguistic “signposts” to aid the unwitting reader. It is this kind of inconsiderate authorship which helps explain V. A. Edgeloe’s cryptic remark that Structure and Growth of the Mind was, “for more than a quarter of a century….a textbook over which university students, in Adelaide at least, sweated” (Edgeloe, 1966, p. 536).

There is no excuse for such obscurity these days, but in the colonies during the late nineteenth century, things were different. Another reason for Mitchell’s obscurity is the factor of academic isolation to which I have already alluded. J. A Passmore has highlighted this point in relation to his two works Structure and Growth of the Mind and The Place of Minds:

Both books are, very obviously, the products of a solitary thinker. When Mitchell went to South Australia, contacts between Adelaide and the eastern states were rare, voyages to Europe or America even rarer. Few Australian philosophers as much as met Mitchell, and his influence in Australia has not been extensive (Passmore, 1963, p. 145).

There were yet further reasons for the neglect of Mitchell’s work. At around the time Mitchell’s work was beginning to be discussed, a new philosophical star was on the rise. Wittgenstein had emerged on the scene and, along with the influence of Rylean behaviorism, this presented a potent philosophical cocktail. Subjective states and discussions about sui generis conscious states fell into philosophical abeyance. Under the influence of Wittgenstein and behaviorism, issues concerning mind and consciousness began to be seen as no longer topics for fruitful philosophical discussion, but rather avoided or smothered under linguistic analysis. This remained the case well into the latter half of the twentieth century.

7. References and Further Reading

  • Acton, H. B., (1934), “The Place of Minds in the World. Gifford Lectures at the University of Aberdeen 1924-26,” (Review), Mind, Vol. 43, No. 170, pp. 243-245.
  • Allen, H. J., (1984), Mitchell’s Concept of Human Freedom. Masters Dissertation: University of Adelaide.
  • Allen, H. J. (1995), An Exposition of Selected Aspects of the Philosophy of the Late Sir William Mitchell. Unpublished manuscript: University of Adelaide.
  • Anderson, J., Cullum, G., Lycos, K., (eds.) (1962), Studies in Empirical Philosophy. Sydney: Angus and Robertson.
  • Anderson, J., (1980), Education and Inquiry. (ed.) D. Z. Phillips. Oxford: Blackwell.
  • Anderson, J. (1982), Art and Reality: John Anderson on Literature and Aesthetics. Marrickville, NSW: Hale and Iremonger.
  • Baker, A.J., (1979), Anderson’s Social Philosophy. Hong Kong: Angus and Robertson Publishers.
  • Baker, A.J., (1986), Australian Realism: The Systematic Philosophy of John Anderson. U.K.: C.U.P.
  • Barsalou, L. W., (1999), “Perceptual Symbol Systems”, Behavioral and Brain Sciences, 22, pp. 577-660.
  • Blanshard, B., (1939), The Nature of Thought. London: George Allen and Unwin Ltd. (Two Volumes).
  • Boucher, D. (in press) “Sir William Mitchell” in Dictionary of Twentieth Century British Philosophers. Bristol, UK.: Thoemmes Press. http://www.thoemmes.com/dictionaries/20entries.htm
  • Cantwell-Smith, B., (1996), On the Origin of Objects. A Bradford Book. Cambridge, Mass.: M.I.T. Press.
  • Chalmers, D., (1996), The Conscious Mind. Cambridge: Cambridge University Press.
  • Christensen, W. D. and Hooker, C.A., (2000), “An Interactivist-Constructivist Approach to Intelligence: Self Directed Anticipative Learning”, Philosophical Psychology, 13, pp. 5-45.
  • Churchland, P. M., (1979), Scientific Realism and the Plasticity of Mind. New York: Cambridge University Press.
  • Churchland, P. M., (1984), Matter and Consciousness. Cambridge, Mass: MIT Press
  • Churchland, P. M., (1986), “Some Reductive Strategies in Cognitive Neurobiology”, Mind, 95, no. 379, pp. 279-309.
  • Coombs, A., (1996), Sex and Anarchy: The Life and Death of the Sydney Push. Ringwood, Victoria: Viking.
  • Cussins, A., (1992), “Content, Embodiment and Objectivity: The Theory of Cognitive Trails”, Mind 101: pp. 651-688.
  • Davies, W. M., (1996), Experience and Content: Consequences of a Continuum Theory. Aldershot, UK: Avebury.
  • Davies, W. M. (1999) “Sir William Mitchell and the New Mysterianism“, Australasian Journal of Philosophy, Volume 77, No. 3, September 1999: pp. 253-257.
  • Davies, W. M. (2001) “Sir William Mitchell”, SA’s Greats: The Men and Women of the North Terrace Plaques. J. Healey (ed), Historical Society of South Australia Publication.
  • Davies, W. M. (2003) The Thought of Sir William Mitchell 1861-1962: A Mind’s Own Place.  Studies in the History of Philosophy, Volume 73. Edwin Mellen Press: Lewiston, USA.
  • Dennett, D. C. (1988), “Quining Qualia”, Consciousness in Contemporary Science. A. Marcel and E. Bisiach, Oxford, New York: Oxford University Press.
  • Dennett, D. C. (1991), Consciousness Explained. Boston: Little, Brown and Co.
  • Devitt, M., (1984), Realism and Truth, UK: Basil Blackwell.
  • Duncan, W. G. K., and Leonard, R. A., (1973), The University of Adelaide, 1874-1974. Rigby, The Griffin Press, Adelaide. See especially Chapter 7, “The Mitchell Era”.
  • “Economics at Adelaide” (2003), Lumen magazine, University of Adelaide: Adelaide. (URL: http://www.lumen.adelaide.edu.au/2003winter/page15/ [accessed 10/2/04]
  • Edelman, G., (1992), Bright Air, Brilliant Fire, NY: Basic Books.
  • Edgeloe, V. A., (1966), Australian Dictionary of Biography. Volume 10, 1891-1939, “Sir William Mitchell”, Melbourne University Press: Melbourne, pp. 535-537.
  • Edgeloe, V. A., (1993), Servants of Distinction: Leadership in a Young University 1874-1925. University of Adelaide Foundation: Educational Technology Unit.
  • Flanagan, O., (1992), Consciousness Reconsidered. Cambridge, Mass: MIT/Bradford.
  • Flanagan, O., (1995), The Science of the Mind. 2nd Ed., Cambridge, Mass: MIT/Bradford.
  • Fodor, J. A., (1983), Modularity of Mind: An Essay in Faculty Psychology. Cambridge, Mass: MIT/Bradford.
  • Franklin, J., (2000), Corrupting the Youth: A History of Philosophy in Australia. Paddington, Macleay Press.
  • Gold, I. and Stoljar, D., (1999), “A Neuron Doctrine in the Philosophy of Neuroscience”, Behavioral and Brain Sciences, 22, pp. 809-869.
  • Grave, S., (1984), A History of Philosophy in Australia. Hong Kong: University of Queensland Press.
  • Hanson, N. R., (1975), Patterns of Discovery: An Enquiry into the Conceptual Foundations of Science. Cambridge: Cambridge University Press.
  • Harvey, J. W., (1934), “The Place of Minds in the World: Gifford Lectures at the University of Aberdeen 1924-26,” (Review), Journal of the British Institute of Philosophical Studies, Vol. 8, No. 33, pp. 103-106.
  • Hoernlé, R. F. A., (1909), “Structure and Growth of the Mind” (Critical Notice) Mind, New Series, XVIII, pp. 255-264.
  • Honderich, T., (ed.) (1995), The Oxford Companion to Philosophy, Oxford: Oxford University Press.
  • Jackson, F., (1977), Perception: A Representative Theory. Cambridge, New York: Cambridge University Press.
  • Jackson, F., (1990), “Epiphenomenal Qualia”, Mind and Cognition: A Reader. William Lycan (ed) UK: Basil Blackwell.
  • Karmiloff-Smith, A., (1992), Beyond Modularity: A Developmental Perspective on Cognitive Science. Cambridge, Mass: MIT/Bradford.
  • Kemp-Smith, N., (1908), “Review of Structure and Growth of the Mind”, The Philosophical Review, Vol. XVII, No. 3, pp. 332-339.
  • Kennedy, B., (1995), A Passion to Oppose: John Anderson, Philosopher. Melbourne: Melbourne University Press.
  • Levine, J., (1983), “Materialism and Qualia: the Explanatory Gap”, Pacific Philosophical Quarterly, 64: pp. 354-361.
  • Lubbock, J., Sir (1888), On the Senses, Instincts and Intelligence of Animals. London: Kegan Paul.
  • Mackie, J. L., (1962), “The Philosophy of John Anderson“, Australasian Journal of Philosophy, Volume, 40, No. 3, December, pp. 265-282.
  • Mackie, J. L., (1977), “Fifty Years of John Anderson“, Quadrant .77, July.
  • McGinn, C., (1983), The Subjective View: Secondary Qualities and Indexical Thoughts. Oxford: Clarendon Press.
  • McGinn, C., (1991) The Problem of Consciousness. Oxford, Blackwell.
  • McClelland, J., Rumelhart, D. E., et al, (1986), Parallel Distributed Processing: Explorations in the MicroStructure of Cognition. Cambridge, MA: MIT Press.
  • McClelland, J., (1999), “Cognitive Modelling, Connectionist”, in R. A. Wilson and F. C. Keil, The MIT Encyclopedia of the Cognitive Sciences.
  • McLeod, A. L., (1963), The Pattern of Australian Culture. Melbourne University Press: Melbourne, (especially J. A. Passmore’s contribution: “Philosophy”, pp. 131-169).
  • Marshall, P. D., (2001), “Transforming the World Into Experience: An Idealist Experiment”, “Journal of Consciousness Studies”, 8, No. 1, pp. 59-76.
  • Miller, E. M., (1929), “The Beginnings of Philosophy in Australia and the Work of Henry Laurie“, Part 1, Australasian Association of Psychology and Philosophy, Vol VII, No. 4, pp. 241-251.
  • Miller, E. M., (1930), “The Beginnings of Philosophy in Australia and the Work of Henry Laurie“, Part 2, Australasian Association of Psychology and Philosophy, Vol VIII, No. 1, pp. 1-22.
  • Mitchell, W and Ledingham, M., (1890-1977), Papers of Sir William Mitchell and Sir Mark Ledingham. Unpublished MS.
  • Mitchell, W., (1895), The Advertiser, 19/12/1895
  • Mitchell, W., (1895), “Reform in Education”. International Journal of Ethics. October.
  • Mitchell, W., (1898), “What is Poetry?: A Lecture given to the South Australian Teachers Union”. Southern Cross Print.
  • Mitchell, W., (1903), Lectures on Materialism. (Extension lectures—Syllabus of Three) Adelaide: Thomas and Co.
  • Mitchell, W., (1907), Structure and Growth of the Mind. London: Macmillan and Co., Ltd.
  • Mitchell, W., (1908), “Discussion: Structure and Growth of the Mind”, The Journal of Philosophy, Psychology and Scientific Methods, 5, pp. 316-321.
  • Mitchell, W., (1909), Lecture on the Rate of Interest. Adelaide: Vardon and Sons. Institute of Accountants in South Australia.
  • Mitchell, W., (1912), Christianity and the Industrial System. Issued by the Methodists Social Service League. Adelaide: Hussey and Gillingham Ltd.
  • Mitchell, W., (1917), Lecture on the Two Functions of the University and their Cost. Adelaide: Hassel and Son Press.
  • Mitchell, W., (1918), “The National Spirit”, The Advertiser, 19/12/1918.
  • Mitchell, W., “Mitchell Archives”. A Collection of Newspaper clippings, photographs, articles, letters, lectures and notebooks.
  • Mitchell, W., (1925), “The Place of the Mind”, Syllabus of the Gifford Lectures. First Series. UK: University of Aberdeen.
  • Mitchell, W., (1926), “The Power of the Mind”, Syllabus of the Gifford Lectures. Second Series. UK: University of Aberdeen.
  • Mitchell, W., (1927), Jubilee Celebrations 1876-1926. Adelaide (Preface).
  • Mitchell, W., (1929), Nature and Feeling, University of Queensland John Murtagh MacCrossan Lectures. Adelaide: Hassel and Son Press.
  • Mitchell, W., (1929), “How Far Nature is Intelligible”, University of Adelaide Public Lectures, July 30th and August 6th 1929. Lecture Advertisement: Adelaide: Hassel Press.
  • Mitchell, W., (1931), Letter on the University and Education to the Committee on Public Education. Adelaide: Hassel and Son Press.
  • Mitchell, W., (1933), The Place of Minds in the World. Gifford Lectures at the University of Aberdeen, 1924-1926. First Series. London: MacMillan and Co., Ltd.
  • Mitchell, W., (1934), “The Quality of Life”, Proceedings of the British Academy, XX. Annual British Academy Henrietta Herz Lecture. Oxford: Oxford University Press.
  • Mitchell, W., (1937), Universities and Life. Introductory Address. Australian and New Zealand Universities Conference. Adelaide: The Hassell Press.
  • Nagel, T., (1974), “What is it like to be a Bat?”, Philosophical Review, LXXXIII, pp. 435-451.
  • Nagel, T., (1979), Mortal Questions. Cambridge, New York: Cambridge University Press.
  • Nagel, T., (1986), The View from Nowhere. New York: Oxford University Press.
  • Overgaard, M., (2001), “The Role of Phenomenological Reports in Experiments on Consciousness”, Psycholoquy, 12, No. 029. [http://www.cogsci.soton.ac.uk/]
  • Passmore, J., (1962), “John Anderson and Twentieth Century Philosophy”, in J. Anderson, Studies in Empirical Philosophy.
  • Passmore, J., (1977), “Fifty Years of John Anderson“, Quadrant, 21. July.
  • Passmore, J., (1984), A Hundred Years of Philosophy. UK: Penguin, Chaucer Press.
  • Perry, R. B., (1908), “Structure and Growth of the Mind” (Review), Journal of Philosophy, Psychology and Scientific Method, 5 pp. 45-48.
  • Port, R. F., and van Gelder, T., (1995), Mind as Motion: Explorations in the Dynamics of Cognition. Cambridge: MIT Press.
  • Sellars, W., (1963), “Empiricism and the Philosophy of Mind”, in Science, Perception and Reality. London: Routledge and Kegan Paul.
  • Smart, J. J. C., (1962), “Sir William Mitchell K. C. M. G. (1861-1962)”, Australasian Journal of Philosophy, Volume, 40, No. 3, December, pp. 259-263.
  • Smart, J. J. C., (1989), “Australian Philosophers of the 1950s”, Quadrant, Volume, 33, No. 6, June: pp. 35-39.
  • Sprigge, T. L. S., (1983), A Vindication of Absolute Idealism. Edinburgh: Edinburgh University Press.
  • Trahair, R. C. S., (1984), The Humanist Temper: The Life and Work of Elton Mayo, New Brunswick, NJ: Transaction Books.
  • van Gelder, T., (1998), “The Dynamical Hypothesis in Cognitive Science”, Behavioral and Brain Sciences, 21 (5), pp. 615-627.
  • van Gelder, T., (1999), “Revisiting the Dynamical Hypothesis”, Preprint Series, University of Melbourne Philosophy Department.
  • van Gulick, R., (1993), “Understanding the Phenomenal Mind: Are we all just Armadillos?”, in Consciousness: Psychological and Philosophical Essays, M. Davies and G. W. Humphreys (eds), Oxford: Blackwells.

Author Information

W. Martin Davies
Email: wmdavies@unimelb.edu.au
The University of Melbourne
Australia

Berlin Circle

ReichenbachThe Berlin Circle was a group of philosophers and scientists who gathered round Hans Reichenbach in late 1920s. Among its other members, were K. Grelling, C. G. Hempel, D. Hilbert, R. von Mises. The Berlin Circle’s name was Die Gesellschaft für Empirische Philosophie (Society for Empirical Philosophy). It  joined up with the Vienna Circle; together they published the journal Erkenntnis that was edited by both Rudolf Carnap and Hans Reichenbach, and they organized several congresses on scientific philosophy, the first of which was held in Prague in 1929.

Members of the Berlin Circle were particularly active in analyzing contemporary physics, especially the theory of relativity, and in developing the frequency interpretation of probability. After the rise of Nazism, several members of the Berlin Circle emigrated from Germany. Reichenbach moved to Turkey in 1933 and then to the USA in 1938; Hempel to Belgium in 1934 and to the USA in 1939; Grelling was killed in a concentration camp. Hence the Berlin Circle was dispersed.

Author Information

Mauro Murzi
Italy

The IEP is actively seeking a replacement article of 8,000 or more words.

Angélique de Saint Jean Arnauld d’Andilly (1624–1684)

d'AndillyAngélique de Saint-Jean Arnauld d’Andilly, an abbess of the convent of Port-Royal, was a leader of the intransigent party in the Jansenist movement.  A prolific author, Mère Angélique de Saint-Jean translated her determined opposition to civil and ecclesiastical authorities in the Jansenist controversy into a militant version of the neo-Augustinian philosophy she shared with other Jansenists.

Often citing the works of Saint Augustine himself, the abbess defends a dualistic metaphysics where mental reason opposes the physical senses and where supernatural faith opposes a reason ravaged by strong desires. Her moral theory presents an Augustinian account of virtue: the alleged natural virtues of the classical pagans are only disguised vices; authentic moral virtue can spring only from the theological virtues, infused through God’s sovereign grace.  Her epistemology criticizes the exercise of doubt in the religious domain, since such doubt often serves the interests of the civil and religious powers opposed to the Jansenist minority.  Power rather than a disinterested search for truth often characterizes dialogues inviting the minority to entertain doubts which will lead the minority to surrender its convictions to the stronger partner.  Strongly polemical in character, the writings of Mère Angélique de Saint-Jean detail a code of ethical resistance by which an embattled minority can refuse the coercion of the majority through a politics of non-compliance, silence, and spiritual solitude.

Table of Contents

  1. Biography
  2. Works
  3. Philosophical Themes
    1. Virtue Theory
    2. Code of Resistance
    3. Metaphysical Dualism
    4. Epistemology and Certitude
  4. Interpretation and Relevance
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

Born on November 28, 1624 Angélique Arnauld d’Andilly belonged to a noblesse de robe family prominent at the French court.  Her father Robert Arnauld d’Andilly was the superintendent of the estate of the Duc d’Orléans, the brother of Louis XIII; her mother Catherine Le Fèvre de la Broderie Arnauld d’Andilly was the daughter of an ambassador.  The family was closely tied to the Parisian convent of Port-Royal and the Jansenist movement with which the convent was allied.  Angélique’s aunts Angélique Arnauld and Agnès Arnauld served as Port-Royal’s abbesses during the convent’s reform in the early seventeenth century; her uncle Antoine Arnauld emerged as Jansenism’s leading philosopher and theologian; her uncle Henri Arnauld, bishop of Angers, become one of the movement’s leading defenders in the episcopate.  Four other aunts and her widowed grandmother became nuns at Port-Royal; four of her sisters would follow.  Her father, one brother, and three cousins would join the solitaires, a community of priests and laymen devoted to meditation and scholarship on the grounds of Port-Royal.  Her father would distinguish himself by his translations of Latin Christian classics; her cousin Louis-Isaac Le Maître de Sacy would become France’s leading biblical exegete and translator.  From infancy, Angélique Arnauld d’Andilly imbibed the convent’s radical Augustinian philosophy and her family’s taste for patristic literature.

Angélique Arnauld d’Andilly entered the convent school of Port-Royal in 1630.  She quickly established herself as an outstanding scholar, renowned for her fluency in Greek and Latin.  Madame de Sévigné praised her as a precocious genius; although hostile to Port-Royal, the Jesuit literary critic Réné Rapin praised her grasp of the works and thought of Saint Augustine.  Now known as Soeur Angélique de Saint-Jean, she pronounced her vows as a nun of Port-Royal in 1644.  Authorities confided a series of key convent positions to her: headmistress of the convent school, novice mistress, subprioress.  In the 1650s as the dispute over Jansenism intensified, the nun commissioned a series of memoirs by and on the nuns central to the convent’s reform.  Apologetic works to prove the convent’s orthodoxy, the memoirs would survive as key literary documents attesting to the personalities and theories of Port-Royal.  Although respected for her intellectual and managerial skill, Mère Angélique de Saint-Jean did not impress all by her emotional temperament.  Even her uncle Antoine Arnauld and her aunt Mère Angélique Arnauld rebuked their niece for what they perceived as an intellectual vanity that often presented itself as icy imperiousness.

When the quarrel over Jansenism turned into “the crisis of the signature,” Mère Angélique de Saint-Jean quickly imposed herself as the head of the most intransigent group of nuns at Port-Royal.  In 1661 Louis XIV had declared that all priests, religious, and teacher must sign a formulary that assented to the Vatican’s condemnation of five theological errors allegedly contained in Cornelius Jansen’s work Augustinus.  Using the droit/fait distinction, Antoine Arnauld had argued that Jansenists could sign the formulary inasmuch as it touched on matters of droit (matters of faith and morals, in this case five theological propositions condemned by the church as heretical) but that they could not assent on matters of fait (empirical fact, in this case the church’s judgment that Jansen himself had defended the heretical propositions).  In June 1661 Soeur Angélique de Saint-Jean reluctantly signed the formulary but, against her uncle’s advice, added a postscript that indicated the strictly reserved nature of her assent.  When the Vatican annulled the reserved signatures and demanded new signatures without any postscript, Soeur Angélique de Saint-Jean cleverly added a new preface to the formulary which explained the conditional nature of the assent of the nuns.  In face of the nuns’ recalcitrance, authorities took stronger measures against the convent.  In 1664 Soeur Angelique was exiled to the convent of the Anonciades, where she lived under virtual house arrest.  In 1665 the nun was regrouped with the other nonsigneuse nuns at Port-Royal.  Deprived of the sacraments and placed under armed guard, the nuns still managed to maintain surreptitious contact with their external allies through the strategies of Soeur Angélique de Saint-Jean.  Throughout the period of persecution, the nun bitterly criticized moderates, such as Madame de Sablé, who sought to negotiate a compromise between the Jansenists and their opponents, as well as the minority of nuns who had signed the formularly without reservation.  Only with reluctance did she accept the “Peace of the Church” (1669-79), which lifted the sanctions from Port-Royal in return for minor concessions in a modified formularly.

Elected abbess in 1678, Mère Angélique de Saint-Jean delivered an extensive cycle of abbatial conferences at Port-Royal.  The conferences were largely commentaries on Scripture, the Rule of Saint Benedict, and the Constitutions of Port-Royal.  Her extensive correspondence, often promoting the works and theories of Saint Augustine to her spiritual directees, and writings of questions dealing with persecution received a large circulation among laity allied with Port-Royal.  In 1679, the persecution of Port-Royal abruptly recommenced.  Archbishop François Harlay de Champvallon ordered the closure of the convent’s school and novitiate; without the ability to accept younger members, the convent was doomed to a slow death.  The convent’s chaplain and confessors were expelled.  Although the nuns were free to pursue their cloistered activities, the newly imposed clerics clearly attempted to convince the nuns to renounce their alleged Jansenist heresies.

During the rest of her abbacy, Mère Angélique de Saint-Jean protested the injustice of this new persecution through letters addressed to bishops, courtiers, aristocrats, and ambassadors.  Her correspondence with the pope and the king shows her characteristic boldness.  Her appeal to Pope Innocent XI is a thinly veiled attack on the Jesuits: “If Your Holiness could finally be informed about all we have suffered, brought about only by the jealousy and malice of certain people against some very learned and very pious theologians, some of whom have participated in the governance of this convent, I am sure that the narrative of these sufferings, which has few parallels in recent centuries, would soften the heart of Your Holiness [L; letter of May 29, 1679 to Pope Innocent XI].”  Her protest to Louis XIV is a rebuke of the refusal of the throne to explain on what grounds this new persecution is justified: “Sire, it is the gravest sorrow of those who have such sentiments [of loyalty toward you] to perceive that you see us as something evil, but we have no way to leave this very painful state of affairs since we are not permitted to know what has placed us in this situation and what still keeps us here [L; letter of February 6, 1680 to King Louis XIV].”  Despite her protests, the sanctions against Port-Royal remained in place and the aging convent became increasingly isolated.

Still in office as abbess, Mère Angélique de Saint-Jean Arnauld d’Andilly died on January 29, 1684.

2. Works

In terms of philosophical significance the most important works of Mère Angélique de Saint-Jean Arnauld d’Andilly are the commentaries produced during her abbacy (1678-84).  Discourses on the Rule of Saint Benedict gives the ancient monastic rule a radical Augustinian edge by its insistence on the absolute necessity of grace to cultivate any of the moral virtues praised by Saint Benedict.  Conferences on the Constitutions of Port-Royal emphasizes the rights of nuns to limited self-government and the right of the abbess to act as the principal spiritual director and theologian of the convent.  Reflections to Prepare the Nuns for Persecution, a commentary on Mère Agnès Arnauld’s earlier Counsels, stresses the opposition between the world and the disciple;  it limits the moral virtues and spiritual dispositions necessary to resist persecution for the sake of personal conscience.

Other opuscules develop Mère Angélique de Saint Jean’s epistemology and political philosophy.  On the Danger of Hesitation and Doubt Once We Know Our Duty analyzes the act of doubt in terms of power relationships. Never neutral, the exercise of self-doubt by a persecuted minority often serves the interests of a majority determined to vanquish the minority and coerce a change in its opinions.  Three Conferences on the Duty to Defend the Church argues that authentic religious obedience is not servility; it can express itself by staunch opposition to civil and ecclesiastical authorities when the latter endorse error or illegitimately invade the sanctuary of conscience.

The extensive correspondence of the abbess also indicates how her militant brand of Augustinianism differs from the more moderate version promoted by the clerical advisers of Port-Royal.  Her epistolary exchange with her uncle Antoine Arnauld details her opposition to compromise over the issue of the Augustinus and expresses the stark opposition between world and self which she considers the fate of concupiscent humanity.

The abbess’s best known-work, the autobiographical Report of Capitivity, details her house arrest at the Anonciade convent; it illustrates how Mère Angélique de Saint-Jean personally used the techniques of resistance to oppression she champions in her more theoretical works.  Discourses of Mère Angélique de Saint-Jean Called “Miséricordes” provides a radical Augustinian framework for the Port-Royal genre of miséricorde, a type of eulogy for deceased nuns and lay benefactors given by the abbess in chapter.  In Mère Angélique de Saint-Jean’s version, the moral virtues of the deceased are clearly the work of divine grace, not of human will; they are an earnest of the election to which God’s inscrutable sovereignty has summoned them.

3. Philosophical Themes

Militancy is the salient trait of the philosophy developed by Mère Angélique de Saint-Jean.  Drawing on the general Augustinian philosophy of Port-Royal, the abbess stresses the stark opposition to the world which should characterize such a philosophy.  Her virtue theory conceives the monastic vows as a species of martyrdom against a corrupt society.  Her dualistic metaphysics studies the drama of the human will as a war between the opposed loves of self and of God.  In her theory of knowledge, the abbess condemns the exercise of doubt as a subtle acquiescence to powerful ecclesiastical and civic authorities who seek to coerce conscience.  In analyzing possible material cooperation with the persecutors of the convent, Arnauld d’Andilly insists on resistance rather than compromise as the path of authentic virtue.

a. Virtue Theory

In Discourses on the Rule of Saint Benedict [DRSB], Mère Angélique de Saint-Jean provides a commentary on the founding rule of Benedictine monasticism.  The commentary develops a theory of virtue which indicates the radical Augustinian moral orientation of the abbess’s moral philosophy.  The traditional monastic virtues assume a distinctive Jansenist coloration in the abbess’s treatment of them.

The virtue of obedience, embodied through the monastic vow of obedience to one’s superior, acquires a new necessity because of the radically disordered nature of human reason.  In this Augustinian account of human concupiscence, fallen reason is no longer capable of self-governance.  “In the original state of creation, there was a perfect relationship between human reason and will.  At the present time, however, this is no longer the case.  Reason has become an instrument in the hands of self-will, which uses it in an improper and destructive way by arming itself with the false appearances of reason to find justice in injustice itself [DRSB, 243].”  The virtue of silence also serves to curb the passions generated by the concupiscent will.  “In maintaining silence we mortify vanity, curiosity, self-love, and all the other poisons that use the tongue to spill outside and to encourage their impetuous, disordered movements [DRSB, 267].”  Similarly, the virtue of humility, the most prized moral virtue in Benedict’s original rule, is tied by the abbess to the controversial Jansenist doctrine of the small number of the elect.  “It is quite certain that only a few will be saved, since one must be saved through humility, which consists in the love of humility and abasement [DRSB, 311].”

The lack of such self-denying moral virtues in the majority of humanity indicates the depth of the depravity of the postlapsarian will.  “There is something perverted in humanity: its will….Humanity is wounded because it turned on itself by acting through its own will [DRSB, 326].”  In its state of weakness, humanity is utterly dependent on God’s grace to heal its concupiscence and to permit it to exercise its will on behalf of the moral good.  “We need God to give us his grace and light.  Without this assistance we move away from the path of salvation rather than toward it.  We are only shadows by ourselves.  We are mistaken about any light we seem to have if it is not God himself who lights our lamps and illumines us [DRSB, 53].”  In this Augustinian perspective, all authentic moral virtue is the result of God’s grace, not of human initiative.  Alleged natural virtue is an illusion of human pride.

In a distinctive recasting of the Augustinian framework of virtue, Mère Angélique de Saint-Jean underscores the militant nature of the moral virtues inspired by grace.  The monastic virtue of humility entails martyrdom as the nun confronts a persecutory world.  “We are obliged to be in the situation of suffering martyrdom….We do not know what God will expose us to, but we do know that as Christians and as nuns we are called to follow Jesus Christ and Jesus Christ crucified, to carry our cross after him and to renounce ourselves.  This cannot be done without suffering [DRSB, 381].”  Rather than providing a sinecure from the warfare of a fallen world, the monastic virtues steel the nuns for a spiritual combat demanding the loss of one’s very self.

b. Code of Resistance

The Augustinian theory of virtue grounds Mère Angélique de Saint Jean’s ethical code of resistance, developed abundantly in Reflections to Prepare the Nuns for Persecution [RPNP].  A commentary on Mère Agnès Arnauld’s earlier Counsels on the Conduct Which the Nuns Should Maintain In the Event of a Change in the Governance of the Convent, the abbess systematically substitutes exhortations to militant resistance for her aunt’s earlier counsels of prudent moderation.

This militant conception of the moral life appears clearly in Mère Angélique de Saint-Jean’s martial transposition of the theological virtues, the source of all authentic moral virtue.  The virtue of faith is no longer the simple assent of the mind to the truths revealed by God; it is a militant witness to the truth of this revelation through long-suffering combat.  “It is faith that supports us in all our afflictions.  Only on faith can we lean for the hope of our salvation.  It obliges us to believe in the mercy of God and to have recourse to this mercy in all our difficulties [RPNP, 20].”  Interpreted from a neo-Platonic dualistic perspective, this combative faith opposes the intellectual and moral inclination of the senses.  “We are everywhere in our senses.  If we are not careful, we follow their judgment rather than that of faith….Our faith should penetrate all the veils that fall before our eyes [RPNP, 288].”  It combats the passions, which can easily induce the believer to flee her moral duties during persecution.  “Faith lifts us up and makes us the master of our passions, while love for ourselves makes us slaves of an infinite number of masters, under whose domination we lose, if we are not careful, the true freedom of the children of God [RPNP, 168].”  Echoing the fideism of Sant-Cyran, the abbess argues that faith must oppose reason itself, when this all too human reason rationalizes away the persecution that is the price of witness to the truth.  “There is still one thing essential to make our suffering perfect: to arm ourselves against the reasoning of the human mind opposed to the principles of faith, which teaches us to find glory in disdain, riches in poverty, life in death [RPNP, 160].”  In this martial recasting of the theological virtues, Mère Angélique de Saint-Jean condemns fear as the most dangerous of the passions and cowardice as the gravest of the vices.

To endure persecution by the opponents of Port-Royal, Mère Angélique de Saint-Jean constructs a code of resistance to the oppressive authorities which is more rigorous than the supple code proposed by her aunt earlier in the persecution.  Whereas Mère Agnès had argued that nuns should largely follow the directives given by superiors in a foreign convent, Mère Angélique de Saint-Jean counsels strict non-compliance.  Whereas her aunt had recommended limited communications with certain appointed confessors and lecturers, Mère Angélique de Saint-Jean insists on determined refusal.  The abbess stresses in particular the need to refuse dialogue with all the imposed authorities.  Although apparently innocent, the purpose of such dialogue is to break the convictions of the persecuted nun and coerce her into surrender.  “People who find themselves removed from all occupations can easily become too preoccupied with considering only the faults and imperfections of their past life…They permit themselves to be overwhelmed by this view of things, which beats them down into mistrust and convinces them that they do not have enough proof that God was in them to persevere in that state to which he had called them.  So they wanted to seek counsel and light elsewhere and consulted other persons instead of those persons whom God had removed in order to be replaced by God in all things [RPNP, 116].”  In the psychological warfare imposed by the enemies of Port-Royal, isolation can easily lead to a pervasive remorse, easily exploited by one’s opponents.  The natural desire to seek dialogue in such persecutory solitude must be repressed in the knowledge that such communication will only be used to shake one’s religious convictions and to destroy one’s grace-inspired willingness to bear witness to the truth in the midst of persecution.

To survive persecution and its attendant psychological solitude, Mère Angélique de Saint-Jean develops a spirituality for the oppressed.  The imposed solitude, in which the nuns are deprived of the sacraments and of the celebration of the divine office, should be received as a grace and not only as a punishment.  The isolation imposed on the protesting nuns invites them to a more immediate communion with God, no longer accessed through the mediation of sacrament, ordained priest, and communal prayer.  “We can say that God in his goodness has put us in a place where we must serve him and that he has given us many means to accomplish this which we would not have otherwise encountered.  We must believe that the heavenly fire that descended apparently to steal certain goods will only turn this assistance into something of a more spiritual nature.  This will teach us to belong to God in a more perfect manner through suffering and privation than through peace and abundance [PNRP, 222].”  In the ecclesiastical deprivations provoked by their refusal to assent to falsehoods, the nuns have discovered a communion with God that transcends the limits of sacrament and social intercourse.  The recognition of God as pure Spirit actually intensifies when the only access to God becomes the solitary prayer of the individual persecuted for the sake of justice.

c. Metaphysical Dualism

Tied to the Augustinian account of virtue is a broader Augustinian metaphysical dualism.  The struggle to embrace the good reflects a deeper struggle in humanity between the peccatory will, locked into the self’s vanity, and the redeemed will, freed toward the love of God.  This civil war within humanity reflects a fundamental polarity between the forces of light and darkness that agitate the cosmos itself.  The Conferences on the Constitutions of the Monastery of Port-Royal exhibit this pervasive metaphysical dualism, even in Mère Angélique de Saint-Jean’s commentary on the legal provisions of the convent’s constitution.

Often citing Saint Augustine’s City of God, Mère Angélique de Saint-Jean conceives human nature primarily in terms of the orientation of its will.  The moral agent turns either toward the self in sin or toward God in authentic love.  “We must always arrive at the principle of Saint Augustine: love has built two cities; we are necessarily citizens of one or the other.  The love of God right up to the contempt of ourselves constitutes the City of God and the kingdom of Jesus Christ.  The love of ourselves right up to the contempt of God builds Babylon, which is the kingdom of the demon [CCPR, I: 321].”  In Mère Angélique’s dualistic universe, there is no middle ground between the virtuous and the vicious, the divine and the demonic.  The central volitional act of love turns either toward the creature or toward the Creator in an itinerary of damnation or salvation.

Only grace can free the concupiscent human will from its downward inclination.  Jesus Christ is not only the unsurpassable model of moral righteousness; he is the cause of this righteousness in the will of the disciple through the redemption wrought by the cross.  “Jesus Christ is not only our model; in order to become a source of grace for us, he annihilated himself.  As Saint Paul says, he shed his own blood to purify us from our dead works [CCPR, I: 384].”  It is the cross that frees the moral agent from the losing spiritual combat with vice into which the agent has been conceived.  Grace’s instauration or restoration of the virtuous life within the will and action of the disciple is as radical as grace’s resurrection of the dead.

d. Epistemology and Certitude

The ethics of resistance developed by Mère Angélique de Saint-Jean has its own epistemology.  The abbess repeatedly warns her embattled subjects that the very willingness to engage in doubt concerning one’s contested religious convictions is to prepare a moral surrender to the opponents of the truth concerning grace.  The opuscule On the Danger of Hesitation and Doubt Once We Know Our Duty [DHD] elaborates the abbess’s argument that rather than being a neutral exercise, the entertainment of doubt on one’s central theological beliefs constitutes a moral danger for the subject who engages in it.

When people are persecuted for their beliefs, the natural inclination of the persecuted is to seek the end of duress by negotiating with their opponents.  A compromise on the disputed points is seen as a supreme good, since it would promise the end of persecution.  Mère Angélique de Saint-Jean warns, however, that persecution is the normal state for the Christian.  The fact that’s one witness provokes the violent opposition of the world’s powerful normally indicates that one is on the path of truth rather than that of error.  “The servants of God know that they could never be in a stronger state of assurance than when they must suffer.  When their enemies hold them in a state of captivity, they find themselves in a greater freedom.  They are in less danger than when they are in the greatest of dangers [DHD, 290].”  Rather than encouraging doubt and debilitating self-scrutiny, the taste of persecution should assure the persecuted that their witness, in this case their testimony on behalf of the sovereignty of divine grace, defends a truth which a vain self-sufficient world desires to crush.  The fact of persecution should strengthen rather than weaken the certitude with which the persecuted hold their well-considered beliefs.

Another problem with the exercise of doubt is the network of power in which all acts of doubt and certitude are embedded.  Any dialogue between the Port-Royal Jansenists and their opponents is based on inequality.  The wealth and juridical/military power available to the persecuting members of state and church far outweigh the meager resources of the persecuted nuns.  Furthermore, the political concerns of the opponents of the nuns will dominate a dialogue in which the nuns’ concerns for the faith will be marginalized.  “These types [of negotiations] only open the door to purely human types of reasoning and all too carnal thoughts.  In these negotiations they claim to be willing to examine everything.  In such a case, one would have to be willing to disarm faith itself…We often speak without thinking through our greatest enemies, the senses, which borrow from reason what they need to plead their cause and often clothe themselves with the most beautiful verbal appearances [DHD, 291].”  To engage in doubt in such a rigged dialogue is not to enter into a mutual pursuit of the truth.  It is to surrender to those who will dominate the discussions through their superior power, eloquence, and emotional appeals to the interest of the persecuted in survival and freedom.  The most powerful and seductive arguments, not the most truthful, will determine the course and outcome of the proposed dialogue.  Moreover, the hypothetical willingness to abandon carefully developed convictions regarding grace and salvation borders on the gravely sinful. Fidelity to truth must trump the instinct for personal or corporate survival.  “Our faith is worth more than a convent and our conscience should be preferred to a building that in God’s sight would only be our tomb if we ever clung to it by defiling our conscience [DHD, 294].”

4. Interpretation and Relevance

Beginning with the eighteenth-century editions of her work, Mère Angélique de Saint-Jean has fascinated her commentators by her combative personality and by the high-profile persecution she and her convent endured.  The literary critic Sainte-Beuve and the dramatist Montherlant have continued this emphasis on the personality of the militant abbess and have provided a negative portrait of a sectarian whose stubbornness plunged her community into an isolation which more diplomatic leadership might have avoided.  The problem with this emphasis on the headstrong personality of the abbess lies in its obfuscation of the philosophical and theological positions which the abbess defended in her numerous works.  Drama trumps theory.  The originality of Mère Angélique de Saint-Jean’s philosophy has also been obscured by its assimilation to the generic Augustinianism of the Jansenist movement.  Her disagreements with the Jansenist mainstream, expressed in the stormy correspondence with her uncle Antoine Arnauld, have often been ignored.

The current philosophical retrieval of Mère Angèlique de Saint-Jean has stressed the philosophy of resistance to oppression and the radical Augustinian recasting of moral virtue which the abbess develops in her writings.  Her epistemological analysis of the exercise of doubt as an expression of power imbalances between the majority and an ostracized minority constitutes one of the most contemporary traits of her philosophy of the duty to resist a peccatory and persecutory world.

5. References and Further Reading

The translations from French to English above are by the author of this article.

a. Primary Sources

  • Arnauld d’Andilly, Mère Angélique de Saint-Jean. Conférences de la Mère Angélique de Saint-Jean sur les Constitutions du monastère de Port-Royal du Saint-Sacrement, ed. Dom Charles Clémencet, 3 vols. (Utrecht: Aux dépens de la Compagnie, 1760).
    • The abbess’s commentary on the constitutions of Port-Royal stresses the rights of the nun and the abbess concerning the governance of the monastery.
  • Arnauld d’Andilly, Mère Angélique de Saint-Jean. Discours de la Révérende Mère Marie Angélique de S. Jean, Abbesse de P.R. des Champs, sur la Règle de S. Benoît (Paris: Osmont et Delespine, 1736).
    • The abbess’s commentary on the Rule of Saint Benedict has a neo-Augustinian stress on the grace essential for any practice of the Benedictine moral virtues.  The actual text of Mère Angélique de Saint-Jean’s commentary must be distinguished from Mère Angélique Arnauld’s earlier commentary on the Rule, which has been interpolated into the printed text.
  • Arnauld d’Andilly, Mère Angélique de Saint-Jean. Discours de la R. Mère Angélique de S. Jean, appellés Miséricordes, ou Recommandations, faites en chapitre, de plusieurs personnes unies à la Maison de Port-Royal des Champs (Utrecht: C. Le Fevre, 1735).
    • This collection of eulogies stresses that divine grace rather than human effort is the ultimate cause of the moral virtues apparent in the lives of righteous nuns and laity associated with Port-Royal.
  • Arnauld d’Andilly, Mère Angélique de Saint-Jean. Lettres de la Mère Angélique de Saint-Jean, ed. Rachel Gillet (P.R. Let 358-61).
    • Extant only in manuscript form at the Bibliothèque de la Société de Port-Royal in Paris, this three-volume collection of letters shows the metaphysical and ethical dualism of the abbess, especially in her letters to Antoine Arnauld.
  • Arnauld d’Andilly, Mère Angélique de Saint-Jean. Réflexions de la Mère Angélique de Saint-Jean Arnauld d’Andilly, Sur le danger qu’il y a d’hésiter et de douter, quand une fois l’on connaît son devoir, in Vies intéressantes et édifiantes des religieuses de Port-Royal et de plusieurs personnes qui y étaient attachées (Utrecht: Aux dépens de la Compagnie, 1750), I: 289-97.
    • This epistemological opuscule analyzes the exercise of doubt in terms of the power imbalance between majority and minority in times of persecution.
  • Arnauld d’Andilly, Mère Angélique de Saint-Jean. Réflexions de la R. Mère Angélique de S. Jean Arnauld, Abbesse de P.R. des Champs, Pour preparer ses soeurs à la persécution, conformément aux Avis que la R. Mère Agnès avait laissés sur cette matière aux religieuses de ce monastère (n.p.: 1737).
    • This address analyzes the virtues and dispositions necessary to resist oppression in the domain of religious conscience.
  • Arnauld d’Andilly, Mère Angélique de Saint-Jean. Relation de la capitivité, ed. Louis Cognet (Paris: Gallimard, 1954.)
    • This autobiographical narrative relates Soeur Angélique de Saint-Jean’s internment at the Anonciade convent during the crisis of the signature in 1664-65.  The work illustrates the nun’s methods of resistance to what she considered illegitimate authority.  A digital version of this work is available at Gallica: Bibliothèque numérique on the webpage of the Bibliothèque nationale de France.

b. Secondary Sources

  • Carr, Thomas M. Voix des Abbesses au grand siècle; La prédication au féminin à Port-Royal (Tübingen: Narr, 2006).
    • The monograph studies the varied literary genres and the moral pragmatism of the discourses given by Mère Angélique de Saint-Jean during her abbacy.
  • Conley, John J. Adoration and Annihilation: The Convent Philosophy of Port-Royal (Notre Dame, IN: University of Notre Dame Press: 2009): 175-236.
    • This philosophical study of the abbess stresses her Augustinian virtue theory, defense of women’s freedom, and theory and practice of resistance to oppressive authorities.
  • Grébil, Germain. “L’image de Mère Angélique de Saint-Jean au XVIIIe siècle,” Chroniques de Port-Royal 35 (1985): 110-25.
    • The article offers a Cartesian interpretation of the abbess’s treatise on the danger of doubt.
  • Montherlant, Henri de. Port-Royal (Paris: Gallimard, 1954).
    • The dramatic tragedy presents Mère Angélique de Saint-Jean as a haughty but heroic strategist of resistance.
  • Orcibal, Jean. Port-Royal entre le miracle et l’obéissance: Flavie Passart et Angélique de St.-Jean Arnauld d’Andilly (Paris: Desclée de Brouwer, 1957).
    • The monograph studies the complex theological background in the dispute between the signeuse Soeur Flavie and the nonsigneuse Soeur Angélique de Saint Jean during the crisis of the signature.
  • Sainte-Beuve, Charles-Augustin. Port-Royal, 3 vols., ed. Maxime Leroy (Paris: Gallimard, 1953-55).
    • The nineteenth-century literary critic presents a critical portrait of Mère Angélique de Saint-Jean as a willful, intolerant sectarian.
  • Sibertin-Blanc, Brigitte. “Biographie et personnalité de la séconde Angélique,” Chroniques de Port-Royal 35 (1985): 74-82.
    • This biographical sketch justifiably expresses skepticism about the abbess’s claim of ignorance concerning the philosophical and theological disputes behind the controversy over Jansen’s Augustinus.
  • Weaver, F. Ellen. “Angélique de Saint-Jean: Abbesse et ‘mythographe’ de Port-Royal,” Chroniques de Port-Royal 35 (1985): 93-108.
    • The historian of Port-Royal demonstrates the apologetic nature and ends of the numerous memoirs written and commissioned by Mère Angélique de Saint-Jean.

Author Information

John J. Conley
Email: jconley1@loyola.edu
Loyola University
U. S. A.

Virtue Ethics

Virtue ethics is a broad term for theories that emphasize the role of character and virtue in moral philosophy rather than either doing one’s duty or acting in order to bring about good consequences. A virtue ethicist is likely to give you this kind of moral advice: “Act as a virtuous person would act in your situation.”

Most virtue ethics theories take their inspiration from Aristotle who declared that a virtuous person is someone who has ideal character traits. These traits derive from natural internal tendencies, but need to be nurtured; however, once established, they will become stable. For example,  a virtuous person is someone who is kind across many situations over a lifetime because that is her character and not because she wants to maximize utility or gain favors or simply do her duty. Unlike deontological and consequentialist theories, theories of virtue ethics do not aim primarily to identify universal principles that can be applied in any moral situation. And virtue ethics theories deal with wider questions—“How should I live?” and “What is the good life?” and “What are proper family and social values?”

Since its revival in the twentieth century, virtue ethics has been developed in three main directions: Eudaimonism, agent-based theories, and the ethics of care. Eudaimonism bases virtues in human flourishing, where flourishing is equated with performing one’s distinctive function well. In the case of humans, Aristotle argued that our distinctive function is reasoning, and so the life “worth living” is one which we reason well. An agent-based theory emphasizes that virtues are determined by common-sense intuitions that we as observers judge to be admirable traits in other people. The third branch of virtue ethics, the ethics of care, was proposed predominately by feminist thinkers. It challenges the idea that ethics should focus solely on justice and autonomy; it argues that more feminine traits, such as caring and nurturing, should also be considered.

Here are some common objections to virtue ethics. Its theories provide a self-centered conception of ethics because human flourishing is seen as an end in itself and does not sufficiently consider the extent to which our actions affect other people. Virtue ethics also does not provide guidance on how we should act, as there are no clear principles for guiding action other than “act as a virtuous person would act given the situation.” Lastly, the ability to cultivate the right virtues will be affected by a number of different factors beyond a person’s control due to education, society, friends and family. If moral character is so reliant on luck, what role does this leave for appropriate praise and blame of the person?

This article looks at how virtue ethics originally defined itself by calling for a change from the dominant normative theories of deontology and consequentialism. It goes on to examine some common objections raised against virtue ethics and then looks at a sample of fully developed accounts of virtue ethics and responses.

Table of Contents

  1. Changing Modern Moral Philosophy
    1. Anscombe
    2. Williams
    3. MacIntyre
  2. A Rival for Deontology and Utilitarianism
    1. How Should One Live?
    2. Character and Virtue
    3. Anti-Theory and the Uncodifiability of Ethics
    4. Conclusion
  3. Virtue Ethical Theories
    1. Eudaimonism
    2. Agent-Based Accounts of Virtue Ethics
    3. The Ethics of Care
    4. Conclusion
  4. Objections to Virtue Ethics
    1. Self-Centeredness
    2. Action-Guiding
    3. Moral Luck
  5. Virtue in Deontology and Consequentialism
  6. References and Further Reading
    1. Changing Modern Moral Philosophy
    2. Overviews of Virtue Ethics
    3. Varieties of Virtue Ethics
    4. Collections on Virtue Ethics
    5. Virtue and Moral Luck
    6. Virtue in Deontology and Consequentialism

1. Changing Modern Moral Philosophy

a. Anscombe

In 1958 Elisabeth Anscombe published a paper titled “Modern Moral Philosophy” that changed the way we think about normative theories. She criticized modern moral philosophy’s pre-occupation with a law conception of ethics. A law conception of ethics deals exclusively with obligation and duty. Among the theories she criticized for their reliance on universally applicable principles were J. S. Mill‘s utilitarianism and Kant‘s deontology. These theories rely on rules of morality that were claimed to be applicable to any moral situation (that is, Mill’s Greatest Happiness Principle and Kant’s Categorical Imperative). This approach to ethics relies on universal principles and results in a rigid moral code. Further, these rigid rules are based on a notion of obligation that is meaningless in modern, secular society because they make no sense without assuming the existence of a lawgiver—an assumption we no longer make.

In its place, Anscombe called for a return to a different way of doing philosophy. Taking her inspiration from Aristotle, she called for a return to concepts such as character, virtue and flourishing. She also emphasized the importance of the emotions and understanding moral psychology. With the exception of this emphasis on moral psychology, Anscombe’s recommendations that we place virtue more centrally in our understanding of morality were taken up by a number of philosophers. The resulting body of theories and ideas has come to be known as virtue ethics.

Anscombe’s critical and confrontational approach set the scene for how virtue ethics was to develop in its first few years. The philosophers who took up Anscombe’s call for a return to virtue saw their task as being to define virtue ethics in terms of what it is not—that is, how it differs from and avoids the mistakes made by the other normative theories. Before we go on to consider this in detail, we need to take a brief look at two other philosophers, Bernard Williams and Alasdair MacIntyre, whose call for theories of virtue was also instrumental in changing our understanding of moral philosophy.

b. Williams

Bernard Williams’ philosophical work has always been characterized by its ability to draw our attention to a previously unnoticed but now impressively fruitful area for philosophical discussion. Williams criticized how moral philosophy had developed. He drew a distinction between morality and ethics. Morality is characterized mainly by the work of Kant and notions such as duty and obligation. Crucially associated with the notion of obligation is the notion of blame. Blame is appropriate because we are obliged to behave in a certain way and if we are capable of conforming our conduct and fail to, we have violated our duty.

Williams was also concerned that such a conception for morality rejects the possibility of luck. If morality is about what we are obliged to do, then there is no room for what is outside of our control. But sometimes attainment of the good life is dependant on things outside of our control.

In response, Williams takes a wider concept, ethics, and rejects the narrow and restricting concept of morality. Ethics encompasses many emotions that are rejected by morality as irrelevant. Ethical concerns are wider, encompassing friends, family and society and make room for ideals such as social justice. This view of ethics is compatible with the Ancient Greek interpretation of the good life as found in Aristotle and Plato.

c. MacIntyre

Finally, the ideas of Alasdair MacIntyre acted as a stimulus for the increased interest in virtue. MacIntyre’s project is as deeply critical of many of the same notions, like ought, as Anscombe and Williams. However, he also attempts to give an account of virtue. MacIntyre looks at a large number of historical accounts of virtue that differ in their lists of the virtues and have incompatible theories of the virtues. He concludes that these differences are attributable to different practices that generate different conceptions of the virtues. Each account of virtue requires a prior account of social and moral features in order to be understood. Thus, in order to understand Homeric virtue you need to look its social role in Greek society. Virtues, then, are exercised within practices that are coherent, social forms of activity and seek to realize goods internal to the activity. The virtues enable us to achieve these goods. There is an end (or telos) that transcends all particular practices and it constitutes the good of a whole human life. That end is the virtue of integrity or constancy.

These three writers have all, in their own way, argued for a radical change in the way we think about morality. Whether they call for a change of emphasis from obligation, a return to a broad understanding of ethics, or a unifying tradition of practices that generate virtues, their dissatisfaction with the state of modern moral philosophy lay the foundation for change.

2. A Rival for Deontology and Utilitarianism

There are a number of different accounts of virtue ethics. It is an emerging concept and was initially defined by what it is not rather than what it is. The next section examines claims virtue ethicists initially made that set the theory up as a rival to deontology and consequentialism.

a. How Should One Live?

Moral theories are concerned with right and wrong behavior. This subject area of philosophy is unavoidably tied up with practical concerns about the right behavior. However, virtue ethics changes the kind of question we ask about ethics. Where deontology and consequentialism concern themselves with the right action, virtue ethics is concerned with the good life and what kinds of persons we should be. “What is the right action?” is a significantly different question to ask from “How should I live? What kind of person should I be?” Where the first type of question deals with specific dilemmas, the second is a question about an entire life. Instead of asking what is the right action here and now, virtue ethics asks what kind of person should one be in order to get it right all the time.

Whereas deontology and consequentialism are based on rules that try to give us the right action, virtue ethics makes central use of the concept of character. The answer to “How should one live?” is that one should live virtuously, that is, have a virtuous character.

b. Character and Virtue

Modern virtue ethics takes its inspiration from the Aristotelian understanding of character and virtue. Aristotelian character is, importantly, about a state of being. It’s about having the appropriate inner states. For example, the virtue of kindness involves the right sort of emotions and inner states with respect to our feelings towards others. Character is also about doing. Aristotelian theory is a theory of action, since having the virtuous inner dispositions will also involve being moved to act in accordance with them. Realizing that kindness is the appropriate response to a situation and feeling appropriately kindly disposed will also lead to a corresponding attempt to act kindly.

Another distinguishing feature of virtue ethics is that character traits are stable, fixed, and reliable dispositions. If an agent possesses the character trait of kindness, we would expect him or her to act kindly in all sorts of situations, towards all kinds of people, and over a long period of time, even when it is difficult to do so. A person with a certain character can be relied upon to act consistently over a time.

It is important to recognize that moral character develops over a long period of time. People are born with all sorts of natural tendencies. Some of these natural tendencies will be positive, such as a placid and friendly nature, and some will be negative, such as an irascible and jealous nature. These natural tendencies can be encouraged and developed or discouraged and thwarted by the influences one is exposed to when growing up. There are a number of factors that may affect one’s character development, such as one’s parents, teachers, peer group, role-models, the degree of encouragement and attention one receives, and exposure to different situations. Our natural tendencies, the raw material we are born with, are shaped and developed through a long and gradual process of education and habituation.

Moral education and development is a major part of virtue ethics. Moral development, at least in its early stages, relies on the availability of good role models. The virtuous agent acts as a role model and the student of virtue emulates his or her example. Initially this is a process of habituating oneself in right action. Aristotle advises us to perform just acts because this way we become just. The student of virtue must develop the right habits, so that he tends to perform virtuous acts. Virtue is not itself a habit. Habituation is merely an aid to the development of virtue, but true virtue requires choice, understanding, and knowledge. The virtuous agent doesn’t act justly merely out of an unreflective response, but has come to recognize the value of virtue and why it is the appropriate response. Virtue is chosen knowingly for its own sake.

The development of moral character may take a whole lifetime. But once it is firmly established, one will act consistently, predictably and appropriately in a variety of situations.

Aristotelian virtue is defined in Book II of the Nicomachean Ethics as a purposive disposition, lying in a mean and being determined by the right reason. As discussed above, virtue is a settled disposition. It is also a purposive disposition. A virtuous actor chooses virtuous action knowingly and for its own sake. It is not enough to act kindly by accident, unthinkingly, or because everyone else is doing so; you must act kindly because you recognize that this is the right way to behave. Note here that although habituation is a tool for character development it is not equivalent to virtue; virtue requires conscious choice and affirmation.

Virtue “lies in a mean” because the right response to each situation is neither too much nor too little. Virtue is the appropriate response to different situations and different agents. The virtues are associated with feelings. For example: courage is associated with fear, modesty is associated with the feeling of shame, and friendliness associated with feelings about social conduct. The virtue lies in a mean because it involves displaying the mean amount of emotion, where mean stands for appropriate. (This does not imply that the right amount is a modest amount. Sometimes quite a lot may be the appropriate amount of emotion to display, as in the case of righteous indignation). The mean amount is neither too much nor too little and is sensitive to the requirements of the person and the situation.

Finally, virtue is determined by the right reason. Virtue requires the right desire and the right reason. To act from the wrong reason is to act viciously. On the other hand, the agent can try to act from the right reason, but fail because he or she has the wrong desire. The virtuous agent acts effortlessly, perceives the right reason, has the harmonious right desire, and has an inner state of virtue that flows smoothly into action. The virtuous agent can act as an exemplar of virtue to others.

It is important to recognize that this is a perfunctory account of ideas that are developed in great detail in Aristotle. They are related briefly here as they have been central to virtue ethics’ claim to put forward a unique and rival account to other normative theories. Modern virtue ethicists have developed their theories around a central role for character and virtue and claim that this gives them a unique understanding of morality. The emphasis on character development and the role of the emotions allows virtue ethics to have a plausible account of moral psychology—which is lacking in deontology and consequentialism. Virtue ethics can avoid the problematic concepts of duty and obligation in favor of the rich concept of virtue. Judgments of virtue are judgments of a whole life rather than of one isolated action.

c. Anti-Theory and the Uncodifiability of Ethics

In the first book of the Nicomachean Ethics, Aristotle warns us that the study of ethics is imprecise. Virtue ethicists have challenged consequentialist and deontological theories because they fail to accommodate this insight. Both deontological and consequentialist type of theories rely on one rule or principle that is expected to apply to all situations. Because their principles are inflexible, they cannot accommodate the complexity of all the moral situations that we are likely to encounter.

We are constantly faced with moral problems. For example: Should I tell my friend the truth about her lying boyfriend? Should I cheat in my exams? Should I have an abortion? Should I save the drowning baby? Should we separate the Siamese twins? Should I join the fuel protests? All these problems are different and it seems unlikely that we will find the solution to all of them by applying the same rule. If the problems are varied, we should not expect to find their solution in one rigid and inflexible rule that does not admit exception. If the nature of the thing we are studying is diverse and changing, then the answer cannot be any good if it is inflexible and unyielding. The answer to “how should I live?” cannot be found in one rule. At best, for virtue ethics, there can be rules of thumb—rules that are true for the most part, but may not always be the appropriate response.

The doctrine of the mean captures exactly this idea. The virtuous response cannot be captured in a rule or principle, which an agent can learn and then act virtuously. Knowing virtue is a matter of experience, sensitivity, ability to perceive, ability to reason practically, etc. and takes a long time to develop. The idea that ethics cannot be captured in one rule or principle is the “uncodifiability of ethics thesis.” Ethics is too diverse and imprecise to be captured in a rigid code, so we must approach morality with a theory that is as flexible and as situation-responsive as the subject matter itself. As a result some virtue ethicists see themselves as anti-theorists, rejecting theories that systematically attempt to capture and organize all matters of practical or ethical importance.

d. Conclusion

Virtue ethics initially emerged as a rival account to deontology and consequentialism. It developed from dissatisfaction with the notions of duty and obligation and their central roles in understanding morality. It also grew out of an objection to the use of rigid moral rules and principles and their application to diverse and different moral situations. Characteristically, virtue ethics makes a claim about the central role of virtue and character in its understanding of moral life and uses it to answer the questions “How should I live? What kind of person should I be?” Consequentialist theories are outcome-based and Kantian theories are agent-based. Virtue ethics is character-based.

3. Virtue Ethical Theories

Raising objections to other normative theories and defining itself in opposition to the claims of others, was the first stage in the development of virtue ethics. Virtue ethicists then took up the challenge of developing full fledged accounts of virtue that could stand on their own merits rather than simply criticize consequentialism and deontology. These accounts have been predominantly influenced by the Aristotelian understanding of virtue. While some virtue ethics take inspiration from Plato’s, the Stoics’, Aquinas’, Hume’s and Nietzsche’s accounts of virtue and ethics, Aristotelian conceptions of virtue ethics still dominate the field. There are three main strands of development for virtue ethics: Eudaimonism, agent-based theories and the ethics of care.

a. Eudaimonism

“Eudaimonia” is an Aristotelian term loosely (and inadequately) translated as happiness. To understand its role in virtue ethics we look to Aristotle’s function argument. Aristotle recognizes that actions are not pointless because they have an aim. Every action aims at some good. For example, the doctor’s vaccination of the baby aims at the baby’s health, the English tennis player Tim Henman works on his serve so that he can win Wimbledon, and so on. Furthermore, some things are done for their own sake (ends in themselves) and some things are done for the sake of other things (means to other ends). Aristotle claims that all the things that are ends in themselves also contribute to a wider end, an end that is the greatest good of all. That good is eudaimonia. Eudaimonia is happiness, contentment, and fulfillment; it’s the name of the best kind of life, which is an end in itself and a means to live and fare well.

Aristotle then observes that where a thing has a function the good of the thing is when it performs its function well. For example, the knife has a function, to cut, and it performs its function well when it cuts well. This argument is applied to man: man has a function and the good man is the man who performs his function well. Man’s function is what is peculiar to him and sets him aside from other beings—reason. Therefore, the function of man is reason and the life that is distinctive of humans is the life in accordance with reason. If the function of man is reason, then the good man is the man who reasons well. This is the life of excellence or of eudaimonia. Eudaimonia is the life of virtue—activity in accordance with reason, man’s highest function.

The importance of this point of eudaimonistic virtue ethics is that it reverses the relationship between virtue and rightness. A utilitarian could accept the value of the virtue of kindness, but only because someone with a kind disposition is likely to bring about consequences that will maximize utility. So the virtue is only justified because of the consequences it brings about. In eudaimonist virtue ethics the virtues are justified because they are constitutive elements of eudaimonia (that is, human flourishing and wellbeing), which is good in itself.

Rosalind Hursthouse developed one detailed account of eudaimonist virtue ethics. Hursthouse argues that the virtues make their possessor a good human being. All living things can be evaluated qua specimens of their natural kind. Like Aristotle, Hursthouse argues that the characteristic way of human beings is the rational way: by their very nature human beings act rationally, a characteristic that allows us to make decisions and to change our character and allows others to hold us responsible for those decisions. Acting virtuously—that is, acting in accordance with reason—is acting in the way characteristic of the nature of human beings and this will lead to eudaimonia. This means that the virtues benefit their possessor. One might think that the demands of morality conflict with our self-interest, as morality is other-regarding, but eudaimonist virtue ethics presents a different picture. Human nature is such that virtue is not exercised in opposition to self-interest, but rather is the quintessential component of human flourishing. The good life for humans is the life of virtue and therefore it is in our interest to be virtuous. It is not just that the virtues lead to the good life (e.g. if you are good, you will be rewarded), but rather a virtuous life is the good life because the exercise of our rational capacities and virtue is its own reward.

It is important to note, however, that there have been many different ways of developing this idea of the good life and virtue within virtue ethics. Philippa Foot, for example, grounds the virtues in what is good for human beings. The virtues are beneficial to their possessor or to the community (note that this is similar to MacIntyre’s argument that the virtues enable us to achieve goods within human practices). Rather than being constitutive of the good life, the virtues are valuable because they contribute to it.

Another account is given by perfectionists such as Thomas Hurka, who derive the virtues from the characteristics that most fully develop our essential properties as human beings. Individuals are judged against a standard of perfection that reflects very rare or ideal levels of human achievement. The virtues realize our capacity for rationality and therefore contribute to our well-being and perfection in that sense.

b. Agent-Based Accounts of Virtue Ethics

Not all accounts of virtue ethics are eudaimonist. Michael Slote has developed an account of virtue based on our common-sense intuitions about which character traits are admirable. Slote makes a distinction between agent-focused and agent-based theories. Agent-focused theories understand the moral life in terms of what it is to be a virtuous individual, where the virtues are inner dispositions. Aristotelian theory is an example of an agent-focused theory. By contrast, agent-based theories are more radical in that their evaluation of actions is dependent on ethical judgments about the inner life of the agents who perform those actions. There are a variety of human traits that we find admirable, such as benevolence, kindness, compassion, etc. and we can identify these by looking at the people we admire, our moral exemplars.

c. The Ethics of Care

Finally, the Ethics of Care is another influential version of virtue ethics. Developed mainly by feminist writers, such as Annette Baier, this account of virtue ethics is motivated by the thought that men think in masculine terms such as justice and autonomy, whereas woman think in feminine terms such as caring. These theorists call for a change in how we view morality and the virtues, shifting towards virtues exemplified by women, such as taking care of others, patience, the ability to nurture, self-sacrifice, etc. These virtues have been marginalized because society has not adequately valued the contributions of women. Writings in this area do not always explicitly make a connection with virtue ethics. There is much in their discussions, however, of specific virtues and their relation to social practices and moral education, etc., which is central to virtue ethics.

d. Conclusion

There are many different accounts of virtue ethics. The three types discussed above are representative of the field. There is a large field, however, of diverse writers developing other theories of virtue. For example, Christine Swanton has developed a pluralist account of virtue ethics with connections to Nietzsche. Nietzsche’s theory emphasizes the inner self and provides a possible response to the call for a better understanding of moral psychology. Swanton develops an account of self-love that allows her to distinguish true virtue from closely related vices, e.g. self-confidence from vanity or ostentation, virtuous and vicious forms of perfectionism, etc. She also makes use of the Nietzschean ideas of creativity and expression to show how different modes of acknowledgement are appropriate to the virtues.

Historically, accounts of virtue have varied widely. Homeric virtue should be understood within the society within which it occurred. The standard of excellence was determined from within the particular society and accountability was determined by one’s role within society. Also, one’s worth was comparative to others and competition was crucial in determining one’s worth.

Other accounts of virtue ethics are inspired from Christian writers such as Aquinas and Augustine (see the work of David Oderberg). Aquinas’ account of the virtues is distinctive because it allows a role for the will. One’s will can be directed by the virtues and we are subject to the natural law, because we have the potential to grasp the truth of practical judgments. To possess a virtue is to have the will to apply it and the knowledge of how to do so. Humans are susceptible to evil and acknowledging this allows us to be receptive to the virtues of faith, hope and charity—virtues of love that are significantly different from Aristotle’s virtues.

The three types of theories covered above developed over long periods, answering many questions and often changed in response to criticisms. For example, Michael Slote has moved away from agent-based virtue ethics to a more Humean-inspired sentimentalist account of virtue ethics. Humean accounts of virtue ethics rely on the motive of benevolence and the idea that actions should be evaluated by the sentiments they express. Admirable sentiments are those that express a concern for humanity. The interested reader must seek out the work of these writers in the original to get a full appreciation of the depth and detail of their theories.

4. Objections to Virtue Ethics

Much of what has been written on virtue ethics has been in response to criticisms of the theory. The following section presents three objections and possible responses, based on broad ideas held in common by most accounts of virtue ethics.

a. Self-Centeredness

Morality is supposed to be about other people. It deals with our actions to the extent that they affect other people. Moral praise and blame is attributed on the grounds of an evaluation of our behavior towards others and the ways in that we exhibit, or fail to exhibit, a concern for the well-being of others. Virtue ethics, according to this objection, is self-centered because its primary concern is with the agent’s own character. Virtue ethics seems to be essentially interested in the acquisition of the virtues as part of the agent’s own well-being and flourishing. Morality requires us to consider others for their own sake and not because they may benefit us. There seems to be something wrong with aiming to behave compassionately, kindly, and honestly merely because this will make oneself happier.

Related to this objection is a more general objection against the idea that well-being is a master value and that all other things are valuable only to the extent that they contribute to it. This line of attack, exemplified in the writings of Tim Scanlon, objects to the understanding of well-being as a moral notion and sees it more like self-interest. Furthermore, well-being does not admit to comparisons with other individuals. Thus, well-being cannot play the role that eudaimonists would have it play.

This objection fails to appreciate the role of the virtues within the theory. The virtues are other-regarding. Kindness, for example, is about how we respond to the needs of others. The virtuous agent’s concern is with developing the right sort of character that will respond to the needs of others in an appropriate way. The virtue of kindness is about being able to perceive situations where one is required to be kind, have the disposition to respond kindly in a reliable and stable manner, and be able to express one’s kind character in accordance with one’s kind desires. The eudaimonist account of virtue ethics claims that the good of the agent and the good of others are not two separate aims. Both rather result from the exercise of virtue. Rather than being too self-centered, virtue ethics unifies what is required by morality and what is required by self-interest.

b. Action-Guiding

Moral philosophy is concerned with practical issues. Fundamentally it is about how we should act. Virtue ethics has criticized consequentialist and deontological theories for being too rigid and inflexible because they rely on one rule or principle. One reply to this is that these theories are action guiding. The existence of “rigid” rules is a strength, not a weakness because they offer clear direction on what to do. As long as we know the principles, we can apply them to practical situations and be guided by them. Virtue ethics, it is objected, with its emphasis on the imprecise nature of ethics, fails to give us any help with the practicalities of how we should behave. A theory that fails to be action-guiding is no good as a moral theory.

The main response to this criticism is to stress the role of the virtuous agent as an exemplar. Virtue ethics reflects the imprecise nature of ethics by being flexible and situation-sensitive, but it can also be action-guiding by observing the example of the virtuous agent. The virtuous agent is the agent who has a fully developed moral character, who possesses the virtues and acts in accordance with them, and who knows what to do by example. Further, virtue ethics places considerable of emphasis on the development of moral judgment. Knowing what to do is not a matter of internalizing a principle, but a life-long process of moral learning that will only provide clear answers when one reaches moral maturity. Virtue ethics cannot give us an easy, instant answer. This is because these answers do not exist. Nonetheless, it can be action-guiding if we understand the role of the virtuous agent and the importance of moral education and development. If virtue consists of the right reason and the right desire, virtue ethics will be action-guiding when we can perceive the right reason and have successfully habituated our desires to affirm its commands.

c. Moral Luck

Finally, there is a concern that virtue ethics leaves us hostage to luck. Morality is about responsibility and the appropriateness of praise and blame. However, we only praise and blame agents for actions taken under conscious choice. The road to virtue is arduous and many things outside our control can go wrong. Just as the right education, habits, influences, examples, etc. can promote the development of virtue, the wrong influencing factors can promote vice. Some people will be lucky and receive the help and encouragement they need to attain moral maturity, but others will not. If the development of virtue (and vice) is subject to luck, is it fair to praise the virtuous (and blame the vicious) for something that was outside of their control? Further, some accounts of virtue are dependent on the availability of external goods. Friendship with other virtuous agents is so central to Aristotelian virtue that a life devoid of virtuous friendship will be lacking in eudaimonia. However, we have no control over the availability of the right friends. How can we then praise the virtuous and blame the vicious if their development and respective virtue and vice were not under their control?

Some moral theories try to eliminate the influence of luck on morality (primarily deontology). Virtue ethics, however, answers this objection by embracing moral luck. Rather than try to make morality immune to matters that are outside of our control, virtue ethics recognizes the fragility of the good life and makes it a feature of morality. It is only because the good life is so vulnerable and fragile that it is so precious. Many things can go wrong on the road to virtue, such that the possibility that virtue is lost, but this vulnerability is an essential feature of the human condition, which makes the attainment of the good life all the more valuable.

5. Virtue in Deontology and Consequentialism

Virtue ethics offers a radically different account to deontology and consequentialism. Virtue ethics, however, has influenced modern moral philosophy not only by developing a full-fledged account of virtue, but also by causing consequentialists and deontologists to re-examine their own theories with view to taking advantage of the insights of virtue.

For years Deontologists relied mainly on the Groundwork of the Metaphysics of Morals for discussions of Kant’s moral theory. The emergence of virtue ethics caused many writers to re-examine Kant’s other works. Metaphysics of MoralsAnthropology From a Pragmatic Point of View and, to a lesser extent, Religion Within the Limits of Reason Alone, have becomes sources of inspiration for the role of virtue in deontology. Kantian virtue is in some respects similar to Aristotelian virtue. In the Metaphysics of Morals, Kant stresses the importance of education, habituation, and gradual development—all ideas that have been used by modern deontologists to illustrate the common sense plausibility of the theory. For Kantians, the main role of virtue and appropriate character development is that a virtuous character will help one formulate appropriate maxims for testing. In other respects, Kantian virtue remains rather dissimilar from other conceptions of virtue. Differences are based on at least three ideas: First, Kantian virtue is a struggle against emotions. Whether one thinks the emotions should be subjugated or eliminated, for Kant moral worth comes only from the duty of motive, a motive that struggles against inclination. This is quite different from the Aristotelian picture of harmony between reason and desire. Second, for Kant there is no such thing as weakness of will, understood in the Aristotelian sense of the distinction between continence and incontinence. Kant concentrates on fortitude of will and failure to do so is self-deception. Finally, Kantians need to give an account of the relationship between virtue as occurring in the empirical world and Kant’s remarks about moral worth in the noumenal world (remarks that can be interpreted as creating a contradiction between ideas in the Groundwork and in other works).

Consequentialists have found a role for virtue as a disposition that tends to promote good consequences. Virtue is not valuable in itself, but rather valuable for the good consequences it tends to bring about. We should cultivate virtuous dispositions because such dispositions will tend to maximize utility. This is a radical departure from the Aristotelian account of virtue for its own sake. Some consequentialists, such as Driver, go even further and argue that knowledge is not necessary for virtue.

Rival accounts have tried to incorporate the benefits of virtue ethics and develop in ways that will allow them to respond to the challenged raised by virtue ethics. This has led to very fruitful and exciting work being done within this area of philosophy.

6. References and Further Reading

a. Changing Modern Moral Philosophy

  • Anscombe, G.E. M., “Modern Moral Philosophy”, Philosophy, 33 (1958).
    • The original call for a return to Aristotelian ethics.
  • MacIntyre, A., After Virtue (London: Duckworth, 1985).
    • His first outline of his account of the virtues.
  • Murdoch, I., The Sovereignty of Good (London: Ark, 1985)
  • Williams, B., Ethics and the Limits of Philosophy (London: Fontana, 1985).
    • Especially Chapter 10 for the thoughts discussed in this paper.

b. Overviews of Virtue Ethics

  • Oakley, J., “Varieties of Virtue Ethics”, Ratio, vol. 9 (1996)
  • Trianosky, G.V. “What is Virtue Ethics All About?” in Statman D., Virtue Ethics (Cambridge: Edinburgh University Press, 1997)

c. Varieties of Virtue Ethics

  • Adkins, A.W.H., Moral Values and Political Behaviour in Ancient Greece from Homer to the End of the Fifth Century (London: Chatto and Windus, 1972).
    • An account of Homeric virtue.
  • Baier, A., Postures of the Mind (Minneapolis: University of Minnesota Press, 1985)
  • Blum, L.W., Friendship, Altruism and Morality (London: 1980)
  • Cottingham, J., “Partiality and the Virtues”, in Crisp R. and Slote M., How Should One Live? (Oxford: Clarendon Press, 1996)
  • Cottingham, J., “Religion, Virtue and Ethical Culture”, Philosophy, 69 (1994)
  • Cullity, G., “Aretaic Cognitivism”, American Philosophical Quarterly, vol. 32, no. 4, (1995a).
    • Particularly good on the distinction between aretaic and deontic.
  • Cullit,y G., “Moral Character and the Iteration Problem”, Utilitas, vol. 7, no. 2, (1995b)
  • Dent, N.J.H., “The Value of Courage”, Philosophy, vol. 56 (1981)
  • Dent, N.J.H., “Virtues and Actions”, The Philosophical Quarterly, vol. 25 (1975)
  • Dent, N.J.H., The Psychology of the Virtues (G.B.: Cambridge University Press, 1984)
  • Driver, J., “Monkeying with Motives: Agent-based Virtue Ethics”, Utilitas, vol. 7, no. 2 (1995).
    • A critique of Slote’s agent-based virtue ethics.
  • Foot, P., Natural Goodness (Oxford: Clarendon Press, 2001).
    • Her more recent work, developing new themes in her account of virtue ethics.
  • Foot, P., Virtues and Vices (Oxford: Blackwell, 1978).
    • Her original work, setting out her version of virtue ethics.
  • Hursthouse, R., “Virtue Theory and Abortion”, Philosophy and Public Affairs, 20, (1991)
  • Hursthouse, R., On Virtue Ethics (Oxford: OUP, 1999).
    • A book length account of eudaimonist virtue ethics, incorporating many of the ideas from her previous work and fully developed new ideas and responses to criticisms.
  • McDowell, J., “Incontinence and Practical Wisdom in Aristotle”, in Lovibond S and Williams S.G., Essays for David Wiggins, Aristotelian Society Series, Vol.16 (Oxford: Blackwell, 1996)
  • McDowel,l J., “Virtue and Reason”, The Monist, 62 (1979)
  • Roberts, R.C., “Virtues and Rules”, Philosophy and Phenomenological Research, vol. LI, no. 2 (1991)
  • Scanlon, T.M., What We Owe Each Other (Cambridge: Harvard University Press, 1998).
    • A comprehensive criticism of well-being as the foundation of moral theories.
  • Slote, M., From Morality to Virtue (New York: OUP, 1992).
    • His original account of agent-based virtue ethics.
  • Slote, M., Morals from Motives, (Oxford: OUP, 2001).
    • A new version of sentimentalist virtue ethics.
  • Swanton, C., Virtue Ethics (New York: OUP, 2003).
    • A pluralist account of virtue ethics, inspired from Nietzschean ideas.
  • Walker, A.D.M., “Virtue and Character”, Philosophy, 64 (1989)

d. Collections on Virtue Ethics

  • Crisp, R. and M. Slote, How Should One Live? (Oxford: Clarendon Press, 1996).
    • A collection of more recent as well as critical work on virtue ethics, including works by Kantian critics such as O’Neill, consequentialist critics such as Hooker and Driver, an account of Humean virtue by Wiggins, and others.
  • Crisp, R. and M. Slote, Virtue Ethics (New York: OUP, 1997).
    • A collection of classic papers on virtue ethics, including Anscombe, MacIntyre, Williams, etc.
  • Engstrom, S., and J. Whiting, Aristotle, Kant and the Stoics (USE: Cambridge University Press, 1996).
    • A collection bringing together elements from Aristotle, Kant and the Stoics on topics such as the emotions, character, moral development, etc.
  • Hursthouse, R., G. Lawrence and W. Quinn, Virtues and Reasons (Oxford: Clarendon Press, 1995).
    • A collections of essays in honour of Philippa Foot, including contributions by Blackburn, McDowell, Kenny, Quinn, and others.
  • Rorty, A.O., Essays on Aristotle’s Ethics (USA: University of California Press, 1980).
    • A seminal collection of papers interpreting the ethics of Aristotle, including contributions by Ackrill, McDowell and Nagel on eudaimonia, Burnyeat on moral development, Urmson on the doctrine of the mean, Wiggins and Rorty on weakness of will, and others.
  • Statman, D., Virtue Ethics (Cambridge: Edinburgh University Press, 1997).
    • A collection of contemporary work on virtue ethics, including a comprehensive introduction by Statman, an overview by Trianosky, Louden and Solomon on objections to virtue ethics, Hursthouse on abortion and virtue ethics, Swanton on value, and others.

e. Virtue and Moral Luck

  • Andree, J., “Nagel, Williams and Moral Luck”, Analysis 43 (1983).
    • An Aristotelian response to the problem of moral luck.
  • Nussbaum, M., Love’s Knowledge (Oxford: Oxford University Press, 1990)
  • Nussbaum, M., The Fragility of Goodness (Cambridge: Cambridge University Press, 1986).
    • Includes her original response to the problem of luck as well as thoughts on rules as rules of thumb, the role of the emotions, etc.
  • Statman, D., Moral Luck (USA: State University of New York Press, 1993).
    • An excellent introduction by Statman as well as almost every article written on moral luck, including Williams’ and Nagel’s original discussions (and a postscript by Williams).

f. Virtue in Deontology and Consequentialism

  • Baron, M.W., Kantian Ethics Almost Without Apology (USA: Cornell University Press, 1995).
    • A book length account of a neo-Kantian theory that takes virtue and character into account.
  • Baron, M.W., P. Pettit and M. Slote, Three Methods of Ethics (GB: Blackwell, 1997).
    • Written by three authors adopting three perspectives, deontology, consequentialism and virtue ethics, this is an excellent account of how the three normative theories relate to each other.
  • Drive,r J., Uneasy Virtue (Cambridge: Cambridge University Press, 2001).
    • A book length account of a consequentialist version of virtue ethics, incorporating many of her ideas from previous pieces of work.
  • Herman, B., The Practice of Moral Judgement (Cambridge: Harvard University Press, 1993).
    • Another neo-Kantian who has a lot to say on virtue and character.
  • Hooker, B., Ideal Code, Real World (Oxford: Clarendon Press, 2000).
    • A modern version of rule-consequentialism, which is in many respects sensitive to the insights of virtue.
  • O’Neill, “Kant’s Virtues”, in Crisp R. and Slote M., How Should One Live? (Oxford: Clarendon Press, 1996).
    • One of the first Kantian responses to virtue ethics.
  • Sherman, N., The Fabric of Character (GB: Clarendon Press, 1989).
    • An extremely sympathetic account of Aristotelian and Kantian ideas on the emotions, virtue and character.
  • Sherman, N., Making a Necessity of Virtue (USA: Cambridge University Press, 1997).

Author Information

Nafsika Athanassoulis
Email: n.athanassoulis@keele.ac.uk
Keele University
United Kingdom

Rudolph Hermann Lotze (1817–1881)

Hermann Lotze was a key figure in the philosophy of the second half of the nineteenth century, influencing practically all the leading philosophical schools of the late nineteenth and the coming twentieth century, including (i) the neo-Kantians; (ii) Brentano and his school; (iii) The British idealists; (iv) William James’s pragmatism; (v) Husserl’s phenomenology; (vi) Dilthey’s philosophy of life; (vii) Frege’s new logic; (viii) the early Cambridge analytic philosophy.

Lotze’s main philosophical significance is as a contributor to an anti-Hegelian objectivist movement in German-speaking Europe. The publication of the first editions of his Metaphysics (1841) and Logic (1843) constituted the third wave of this movement. The first came in 1837, in the form of Bolzano’s Wissenschaftslehre. The second came three years later, in 1840, when Friedrich Adolf Trendelenburg published his Logische Untersuchungen. Lotze’s early works furthered this objectivist line of thought. And when a new surge of philosophical objectivism crested again in the 1870s, Lotze used the opportunity to restate his position in the second editions of his Logic (1874) and of his Metaphysics (1879).

Closely following Trendelenburg, Lotze advanced an objectivist philosophy that did not start from the subject-object opposition in epistemology. He insisted that this opposition  is based on a metaphysical relation that is more fundamental (Schnädelbach 1983, p. 219). In this way, the very possibility for philosophical subjectivism was suspended.

Lotze promoted the “universal inner connection of all reality” by uniting all objects and terms in a comprehensive, ordered arrangement . Especially important to Lotze’s theories of order is the concept of relation.  A favorite saying of his illustrates this point.  “The proposition, ‘things exist’,” he repeatedly said, “has no intelligible meaning except that they stand in relations to each other.”

The priority of orderly relations in Lotze’s ontology entailed that nature is a cosmos, not chaos. Furthermore, since the activity that is typical for humans—thinking—is an activity of relating, man is a microcosm. This point convinced Lotze to jointly study microcosm and macrocosm, a conviction which found expression in his three-volume book on Microcosm (1856/64).

The distinction between the universe as macrocosm and humanity as microcosm gave rise to another central component of Lotze’s philosophy: his anthropological stance.  According to Lotze, the fundamental metaphysical and logical problems of philosophy are to be discussed and answered through the lens of the microcosm, that is, in terms of the specific perceptual and rational characteristics of human beings.  There is no alternative access to them.

Lotze’s philosophical work was guided by his double qualification in medicine and philosophy. While he chose academic philosophy as his profession, his medical training was an ever-present influence on his philosophical thought, in two respects. First, his overall philosophy was characterized by a concern for scientific exactness; he criticized any philosophical doctrine that discards the results of science. Second, he devoted many academic years to (more or less philosophical) studies in medicine and physiology. His efforts in this direction resulted in foundational works in psychology, in virtue of which there is reason to count him among psychology’s founding fathers.

Table of Contents

  1. Life and Works
    1. Biography
    2. Influences and Impacts
    3. Works
  2. Philosophical Principles and Methods
    1. Rigorous, Piecemeal Philosophy
    2. The Principle of Teleomechanism
    3. Regressive Analysis
    4. Anthropology as Prima Philosophia
    5. Methods: Eclecticism and Dialectics
  3. Theoretical Philosophy
    1. Ethics
    2. Ontology and Metaphysics
    3. Epistemology
    4. Logic
    5. Philosophy of Mind
    6. Philosophy of Nature
    7. Philosophy of Language
  4. Philosophy and Life
    1. Anthropology
    2. Social Philosophy
    3. Philosophy of History
    4. Political Philosophy
    5. Philosophy of Religion
    6. Religious Practice
  5. References and Further Reading
    1. Primary Sources
    2. Secondary Sources
    3. Bibliographies
    4. Biographies
    5. Further Reading

1. Life and Works

a. Biography

Rudolph Hermann Lotze was born in Bautzen (Saxony) on May 21, 1817, the third child of a military medical doctor. Two years later the family moved to nearby Zittau.

Lotze’s father died in 1827, when Hermann was 12. Soon thereafter, the family got into serious financial troubles.  This series of events shaped Lotze’s character in significant ways. He was independent, ambitious, serious and thrifty, but also melancholic, reserved, even shy.

Between 1828 and 1834 Hermann attended the local High School (Gymnasium). In 1834 he registered at the University of Leipzig.  He wanted to study philosophy—a wish nourished by his love of art and poetry—and he did. However, his experience with financial hardship urged him to simultaneously pursue a degree in the more practical and lucrative field of medicine. Four years later, in 1838, he received doctorates in both disciplines.

After practicing medicine for a year in Zittau, Lotze joined the University of Leipzig as an adjunct lecturer in the Department of Medicine in 1839, and in the Department of Philosophy in 1840. In 1840 Lotze achieved dual degrees, based on post-doctoral dissertations (Habilitation), in medicine and philosophy. As a result, he received a license to teach (venia legendi) at German universities in these two fields.

In 1839, Lotze became engaged to Ferdinande Hoffmann of Zittau (b. 1819), and they were married in 1844.  The marriage produced four sons.  Lotze was deeply attached to his wife, and her death in 1875 was a loss from which he never recovered. One of his numerous British students, Richard Haldane (who later became Lord Chancellor), described him after his wife’s death as one who “seldom sees people, as he lives a sort of solitary life in the country where his home is, about half a mile from Göttingen, and is looked upon as unsociable” (Kuntz 1971, p. 50).

In the year of his marriage, 1844, Lotze was named Herbart’s successor as Professor of Philosophy at the University of Göttingen. He remained at Göttingen until 1880, when he was named Professor of Philosophy at the University of Berlin. A few months later (on July 1, 1881) he died of a cardiac defect that he had suffered from all his life. He was succeeded in the Berlin Chair by Wilhelm Dilthey.

b. Influences and Impacts

Among Lotze’s teachers were Gustav Theodor Fechner, from whom he learned the importance of quantitative experiment, and Christian Weiße, who helped the young Hermann to see the philosophy of German idealism from its aesthetic perspective. Lotze was especially influenced by Kant, Hegel, Herbart, Schelling and Fries. He was personally introduced to Fries—who at the time was a Professor in Jena—by his friend and Fries’ student Ernst Friedrich Apelt.

Some philosophers believe that Lotze was also influenced by his countryman Leibniz (Leibniz was born and raised in Leipzig, Saxony).  Indeed, there are some common points between these two philosophers. But Lotze himself denied such an influence. A hidden influence (seldom discussed in the literature) came from Schleiermacher—via Trendelenburg—who had insisted against the Kant–Drobisch idea of formal logic that logic must be developed together with metaphysics.

Many British and American philosophers of the 1870s and 1880s admired Lotze. William James considered him “the most exquisite of contemporary minds” (Perry 1935, ii., p. 16). Josiah Royce, James Ward and John Cook Wilson studied under him in Göttingen.  Oxford’s T. H. Green was so enthusiastic about Lotze that in 1880 he began the large project of translating his System of Philosophy. The project was incomplete two years later at the time of Green’s death, but it was continued by a team under the guidance of Bernard Bosanquet. Besides Green and Bosanquet, A. C. Bradley (brother of F. H. Bradley), R. L. Nettleship and J. Cook Wilson took part in the general editing. The translation appeared in 1884. In parallel, James Ward and Henry Sidgwick at Cambridge were instrumental in preparing the translation of Lotze’s Microcosm by Elizabeth Hamilton (daughter of William Hamilton) and E. E. Constance Jones, which was published in 1885.

c. Works

Lotze’s first publications were his “lesser” Metaphysics (1841) and “lesser” Logic (1843), in which he charted his philosophical program. His Habilitation in medicine was published in 1842 under the title Allgemeine Pathologie und Therapie als mechanische Naturwissenschaften.

Over the next ten years, Lotze worked on problems at the intersection of medicine and philosophy, in particular the relation between soul and body. The result of these studies were published in two books: Allgemeine Physiologie des körperlichen Lebens (1851) and Medicinische Psychologie oder Physiologie der Seele (1852). During this period, Lotze also published extensive essays on “Leben. Lebenskraft” (1843), “Instinct” (1844), and “Seele und Seelenleben” (1846). In the late 1840s he published important works on aesthetics: “Über den Begriff der Schönheit” (1845), “Über Bedingungen der Kunstschönheit” (1847), and “Quaestiones Lucretianae” (1852).

Microcosm (published in 3 volumes between 1856 and 1864) marked a new period in Lotze’s philosophical development. In this monumental work, he synthesized his earlier ideas: the logico-metaphysical ideas of 1841–3, his psychological ideas of 1842–52, and his aesthetic ideas of 1845–52. Despite some interpretations to the contrary, the book was not only a popular treatise. It also developed technical logical and metaphysical ideas in a form that was unknown from his earlier work.

Shortly after Lotze finished Microcosm, he started his System of Philosophy which consisted of his “greater” Logic (1874), and “greater” Metaphysic (1879).  A third part of the system, on Ethics, Aesthetics and Religious Philosophy, remained unfinished at the time of his death.  Briefly, the difference between Microcosm and System of Philosophy can be put this way: while Microcosm was something of an encyclopedia of philosophical deliberations on human life, private and public, the System was an encyclopedia of the philosophical disciplines.

Lotze possessed an extraordinary ability for studying languages. Many of his papers were written in French, some of them in Latin (e.g., “Quaestiones lucretianae”). Lotze also published a volume of his poetry (Lotze 1840).

2. Philosophical Principles and Methods

a. Rigorous, Piecemeal Philosophy

It will come as no surprise, given his medical training, that Lotze was a scientifically oriented philosopher.  His credo was that no philosophical theory should contradict scientific results. In his medical writings, and above all in the programmatic Allgemeine Pathologie of 1842, he rejected all forms of vitalism (which claims that organismic life is explained by causes other than biochemical reactions) more radically than anyone before him.

Lotze was not a lonely pioneer in embracing the scientific orientation in philosophy. In this he followed his teacher and friend, the early experimental psychologist Gustav Fechner, as well as Hegel’s contemporaries and rivals, Fries and Herbart.  However, he was unique insofar as he introduced a method for recasting particular problems of German Idealism in a refined, philosophical–logical form that was science-friendly. A typical example in this respect was his approach to studying thinking. Lotze connected thinking to two “logically different” domains, valuing and becoming (see section 3.d, below), and considered each of them to be explored by a special science: logic investigates the validity of thinking, and psychology investigates the development of thinking.

Lotze’s new method disciplined metaphysics and ethics on the one hand, and enriched logic on the other.  In other words, it made  metaphysics and ethics more exact, formal disciplines, while making logic more philosophical.

One of Lotze’s motives for embracing this approach was his desire to eliminate the radical disagreements that traditionally had characterized philosophical theorizing—a main source of philosophy’s developing reputation for being unscientific. Lotze believed that the formal (logical) presentation of philosophical theories eliminates their subjective side—the principal source of philosophical animus—and that, thus purified, even seemingly contradictory systems could be shown consistent with one another (Misch 1912, p. xxii).

Lotze’s commitment to this approach led to radical changes in his philosophical practice. In particular, he started to investigate philosophical problems bit by bit, piecemeal, so that a later discovery of a mistake in his investigation did not made his overall philosophy false. (This practice was later followed by Russell (cf. Russell 1918, p. 85) and became central to analytic philosophy.) Lotze’s piecemeal philosophy was facilitated by the introduction—or in some cases the revival—of many concepts which are still widely discussed today, including: (i) the concept of value in logic (its best known successor was the concept of truth-value); (ii) the context principle; (iii) the idea of concept/judgment as a function; (iv) the metaphors of coloring expressions and of saturated–unsaturated expressions; (v) the objective content of perception or the concept of the given (its best known successor was the concept of sense-data); (vi) the objective content of judgments; and (vii) anti-psychologism in logic.  These concepts proved to be seminal to a certain line of German-language philosophy: in various combinations, they play central roles in the thought of Frege, Brentano, Husserl, and those associated with their schools.

In short, Lotze introduced a several  philosophical–logical problems and theses which could be further investigated independently of his overall system. In this sense he instructed his readers to regard his philosophy as “an open market, where the reader may simply pass by the goods he does not want” (Lotze 1874, p. 4). Among other things, this characteristic of Lotze’s philosophy made him the most “pillaged” philosopher of the nineteenth century (Passmore 1966, p. 51). Many of his theses were embraced without crediting him.

b. The Principle of Teleomechanism

A central principle of Lotze’s philosophy was that all processes and movements—physical, biological, psychological, bodily, social, ethical, cultural—are accomplished in a way that can best be called mechanical. This “Principle of Mechanism” helped Lotze to avoid references to deep, metaphysical causes, such as vitalism in the philosophy of biology. In contrast, he insisted that, when theorizing, we are obliged to look to reality as revealed by experiment. On this point, he was clearly influenced by his education as a medical doctor.

At the same time, however, Lotze believed that there were features of experience—such as life, mind, and purpose (telos)—that could not be explained mechanistically. Lotze took these limitations on mechanistic explanation to indicate—even delineate—a “higher and essential being”, reference to which was necessary in order to make mechanistic explanations fully intelligible.  For instance, Lotze thought that our ideas of forces and natural laws describe but do not explain how things work in nature. To understand this, we must connect them with the realm of the trans-sensual (Übersinnliche, 1856b, p. 306).  Only by making this connection can we understand the processes carried out through these mechanisms.

At first glance, this move to teleology as a necessary explanatory category may seem incompatible with Lotze’s own Principle of Mechanism.  He did not think so, however, and part of Lotze’s achievement was the way in which he sought to show these prima facie contrary categories compatible.

Lotze’s solution was to declare the Principle of Mechanism not a metaphysical principle, but a purely methodological principle belonging mainly to the natural sciences.  That is, the principle does not imply that reality is, at bottom, mechanistic.  Rather, it only prescribes a methodology and a mode of interpretation or description as means to achieving a useful understanding of the processes of our environment.  As purely methodological, Lotze’s “Principle of Mechanism” does not claim to capture the full nature of those processes, nor even to begin to describe their sources.  Nor does it claim to explain—or explain away—life, mind, and purpose.  To the contrary, it is consistent with the view that mechanistic processes are the means by which purposes are realized in the world.

Thus, ultimately, Lotze’s position required seeking both mechanistic descriptions of natural processes and teleological explanations of those processes.  Lotze called this hybrid position, “teleomechanism,” or “teleological idealism.”

In Lotze’s hands, the “Principle of Teleomechanism” (i.e., that ultimate explanations should have the hybrid form described above) shapes logic, metaphysics and science through what he calls idealities (Orth 1986, p. 45)- the fundamental orienting concepts of these fields. Among the idealities are ethical values, logical validities and aesthetic worth. In science and metaphysics, the idealities of spatial and temporal order, the principle of atomicity (cf. section 3.a,e) and the aforementioned relationism (cf. the opening summary at the head of this article), play a central role.

c. Regressive Analysis

The declared objective of Lotze’s philosophy was a “reflection on the meaning of our human being [Dasein]” (1856b, p. 304). The urgency of this task was a consequence of the scientific and industrial revolution of the beginning and the middle of the nineteenth century. That revolution dramatically changed the way in which humans see the cosmos and universe. It eroded the unity of God and humanity; traditional mythology proved inconsistent. As a consequence, the world started to seem alien, cold, immense. A substantial weakening in religious belief followed. Lotze saw danger in the numerous attempts (on the side of the mechanic philosopher-scientists like Georg Büchner, Heinrich Czolbe, Franz Fick, Jacob Moleschott and Karl Vogt) to prove that the microcosm of human beings is merely mechanical, or materialistic. His objective was to disprove such attempts and to make people feel at home in the world again.

Contrary to the trends in then-current anthropology, Lotze did not seek to explain humanity in terms of the technologies it produced. Rather, he thought, the keys for understanding the human race are found in the results of human education and schooling (Bildung), as they have been developed in history. This meant that his philosophical investigations began not simply with the elements of human culture, but with developed human cultures taken as wholes, and indeed the history of such cultures taken as a whole. From these wholes, he then worked “backwards”, analyzing their “parts”, such as logic, metaphysics, science and mathematics. This is the approach of regressive analysis (1874, § 208; 1879, pp. 179 ff.).

Lotze believed that the main educational goods (Bildungsgüter) of human culture are usually conveyed by poetry and religion. They provide a “higher perspective on things,” the “point of view of the heart.” This means that the mechanistic processes upon which science focuses are not the only key to understanding the world; they are not even the most important key. To the contrary, science becomes intelligible and useful for humans only in connection with the historically developed values and forms of schooling and education characteristic of a developed human culture (cf. Lotze’s Principle of Teleomechanism, in section 2.b, above). This point is clearly seen in the fact that we have a priori notions neither of bad and good, nor of blue or sweet(1864, p. 241).

But how exactly can the history of culture command the shape of logic, metaphysics and science? Lotze’s answer in brief is: through the  idealities they produce. As magnitudes identifiable in experience, these idealities serve as orientating concepts for all academic disciplines, giving them direction and purpose within the context of a unified human life in a developed human culture.

Following Kant, Lotze claimed that idealities pertain to mental, not material, reality. However, they require matter in order to be exemplified or articulated by human beings. We understand idealities only in experience. To be more specific, we find them at work above all in our sensual life and in our feelings of pleasure and displeasure. We find them further in ethics, aesthetics, science, mathematics, metaphysics and logic. The spatial order, for example, is such an ideality: it is revealed via the matrix of discrete material entities in their dimensional magnitude and in the spaces between them, but it is not given as another thing among things. Rather, it is mentally “noticed” as a necessary “backdrop” to, a “condition of the possibility of”, the matrix of material things. (This conception was adopted by Bertrand Russell in his Essays on the Foundations of Geometry; cf. Milkov 2008)

Given his views on the relation of the material to the ideal, Lotze was convinced that the quarrel between materialism and idealism was misguided. . It was a quarrel about meaning: Idealists see too much meaning (borne by ideal entities) in reality, while materialists see no meaning in it at all.  Fearing that the characteristically vague aesthetic elements of human experience would undermine exact science, the materialists attempted to extract  all humanistic meaning from reality by sanctioning only mathematical descriptions of mechanically-construed natural processes (the likes of which we see in scientific formulae, such as F=MA in physics).  But Lotze thought such fears were in vain.  Just as mechanism was compatible with teleology, so Lotze thought that aesthetics (poetry) and religion (revealed truth) were compatible with the mathematics and calculation preferred by the materialists. By the same token, the acceptance of mechanism as a purely methodological principle in science did not invalidate the belief in free will.  On the contrary: since mechanism made the spiritual effort to achieve the trans-sensual more strenuous, it only “increased the poetical appeal of the world”(1856b, p. 306).

d. Anthropology as Prima Philosophia

Lotze’s main objective was the investigation of the concrete human being with her imaginings, dreams and feelings. He considered these elements—as expressed in poetry and art—as constitutive of a human person and her life. This explains the central role that the concept of home (Heimat) plays in his metaphysics. The related concept in his philosophy of mind is feeling and heart (Gemüt), as different from mind (Geist) and soul (Seele). Indeed, Lotze introduced the concept of heart in the wake of German mysticism (e.g., Meister Eckhart); however, he used it in a quite realistic sense. Heart is what makes us long for home. The longing itself is a result of our desires which we strive to satisfy. Life consists, above all, in consuming (geniesen) goods, material and ideal. This conception of human life is, of course, close to hedonism. (cf. section 3.a)

Lotze did not introduce anthropological investigation in philosophy. Rather, it was started in the sixteenth century, in an effort to renovate theology. During the next three centuries, anthropology became a favorite subject among German university philosophers—including Kant. In his anthropology, however, Lotze did not follow Kant. Kant distinguished between theoretical philosophy and mundane philosophy, with anthropology following in the latter category.  But Lotze abolished Kant’s distinction between the theoretical and mundane (1841a, p. 17), and he developed his “theoretical anthropology” exactly in order to merge the two philosophical disciplines into one.

The conclusion Lotze made was that Kant’s question “what can I know?” cannot be answered in the abstract; it can be only answered in terms of embodied persons in concrete socio-historical situations. Only when we embrace this perspective, Lotze thought, can we also grasp the depth and the importance of metaphysical problems.

This point brings us to the most important characteristic of Lotze’s philosophy. Lotze did not simply shift from metaphysics to anthropology. Rather, his anthropology became philosophy proper (Orth 1986, p. 43).

e. Methods: Eclecticism and Dialectics

From the very beginning of his career, Lotze’s subscribed to the view that, “When we cannot necessarily join one of the dominating parties, we [shall …] stay in the middle via free eclecticism” (Lotze 1843, p. 1). Today the word “eclecticism” is used mainly in a pejorative sense, but this was not true for Lotze. To the contrary, he thought eclecticism a most useful method in philosophy, and in 1840 even lauded it in a poem entitled “Eclecticism” (Kroneberg 1899, p. 218).

Lotze’s eclecticism was characterized by his logical turn in metaphysics. Indeed, as seen in section 2.a, the latter made his philosophy a rigorous science, enabling him to compress many of the problems of generations of philosophers into a unified theory. This point explains the astonishing success with which Lotze employed his eclecticism. It enabled him to look past the differences of philosophers like Kant, J. G. Fichte, Schelling, and Hegel, and to focus on what he took to be the most valuable ideas common to them.  Distilling their thought, he frequently reformulated their views in logically exact expressions.

Consistent with his eclecticism, Lotze also used something approaching Hegel’s dialectical method (Lotze, 1841a, p. 320). This is why “there are some passages [in Lotze’s writings] in which he does seem conscious of the contradictions and [nevertheless] attempts to mediate between the two,” rather than eliminating one of them. (Kuntz 1971, p. 34).

Some authors have a negative view of these Hegelian tendencies in Lotze. For example, Eduard von Hartmann complains that “there is scarcely a ‘yes’ by Lotze, which is not undermined at another place by a ‘no’” (Hartmann 1888, p. 147). Yet other philosophers, like George Santayana, have recognized that, despite the apparent contradictions, Lotze’s system remained very consistent overall.  Careful attention reveals that most of the supposed contradictions are apparent only, and result from the failure to note the varying perspectives from which Lotze conducted his philosophical research.

For instance, as discussed in section 2.b., Lotze insisted that mechanistic descriptions were appropriate and indeed required in science, but inappropriate in metaphysics, where teleological explanations are required.  It is easy to see this double-demand for mechanism and teleology as contradictory, so long as one fails to recognize that each demand is a “methodological” demand only, made by the requirements of two disciplines with differing norms and purposes.  Similarly, the idealistic tendencies of his system were part of a psychological description of reality, “a personal manner of reading things, a poetic intuition of the cosmic life” (Santayana 1889, 155).  Other aspects of his system—like his atomism—were radically objectivistic, suited only to the demands of scientific description and scientific work.

Lotze’s perspectivalism—his tendency to treat some views as “merely methodological” from within a given disciplinary perspective—can make him difficult to follow.  The problem is compounded by his tendency to, on occasion, switch perspectives in the course of a single work.  For instance, he begins his ontological investigations with pluralistic realism only to end it with monistic idealism. As a result, Lotze’s views are frequently difficult to state, and also difficult to criticize.

Lotze also introduced a specific method of discussing different views (Ansichten) on the subject under scrutiny. He was against the hasty satisfaction of our theoretical needs and expectations through one-sided theories. Furthermore, Lotze claimed that his final solutions were merely views which satisfy “needs of the heart”. Incidentally, this point can be comfortably interpreted in the sense of FreudWittgenstein: philosophical puzzles are similar to mental neuroses, which can be treated by changing the perspective.

3. Theoretical Philosophy

a. Ethics

Lotze’s ethics were influenced by J.F. Herbart, who preceded Lotze as the Philosophy Chair in Gottingen.  The starting point of philosophical exploration for J.F. Hebart begins with the analysis of the objects immediately given in inner and outer experience. (Pester 1997, p. 119). Being was for Herbart real—beyond and independent from the world of ideas. From here followed a strict division between theoretical and practical philosophy—reality and values, being and obligation, are independent one from another.

Lotze agreed with Herbart that we cannot draw conclusions about value from facts about reality, but he insisted that we can do the reverse; that is, we can draw conclusions about reality from facts about values. He expressed this belief in the claim that both logic and metaphysics are ultimately based on ethics. Lotze already declared this idea in his first philosophical work, his lesser Metaphysics, where he claimed that “the beginning of metaphysics lies not in itself but in ethics” (1841a, p. 329). Two years later he postulated that “the logical forms cannot be independent from metaphysical presupposition, and they also cannot be totally detached from the realm of morality” (1843, p. 7).

Of course, ethics is not presented in metaphysics in propositional form. Rather, ethics enters metaphysics in judgments about which possibilities for ordering facts correspond to an ideally presupposed order or to Lotze’s idealities (see section 2.c, above). In this sense, there is no knowledge without ethical presuppositions.

Lotze’s idealities found expression above all in the concept of value. More especially, Lotze claimed that “values are the key for the world of forms” (1857, p. 22). This position explains why in the literature, he is widely considered to be the philosopher who introduced the concept of “values” in philosophy.

Lotze was adamant that the measure of values is only the “satisfaction of the sentimental needs [Gemütsbedürfnisse]” (1852, p. 242). The most natural of these satisfactions is pleasure. This means that moral principles are to be founded on the principle of delight (Lustprincip). This is an  empirical solution to  the problems of ethics which is clearly related to Epicurean hedonism.

This position explains why Lotze avoided Kant’s formalism of the categorical imperative. Instead, following Fries, he accepted a psychological basis of the maxims of ethics, claiming that we draw our moral principles from the immediate certainty with which we consider something as true or good (1858, p. 287).

The point which unites the subjectivism of this position with Lotze’s idiosyncratic objectivism (cf. the summary) is that, despite assuming values to be recognized via delight, he does not limit them to persons only. Rather, Lotze understands values—by way of being idealities—also as crucial for apprehension of physical facts: they constitute the “meaning of the world in general—as a universal method for speculative expansion of all appearances” (Misch 1912, p. lxv).

b. Ontology and Metaphysics

According to Lotze’s metaphysics, the world consists of substances in relation, and so of substances and relations.  Let’s examine these categories, beginning with substances.

In the Aristotelian tradition, only wholes exhibiting an organic unity, such as a particular human being or a particular horse, can count as substances—arbitrary collections of things, like a heap of sand or the random assortment of items in a person’s pocket, do not count.

Lotze does not embrace either of these two conceptions of substance. Instead, he defends a constructivist position which assumes that substance is a whole composed of parts that hang together in a particular relation of dependence. More especially, the elements of the substance (the whole) stand to one another in a relation in which the elements effect each other reciprocally, binding each other together into the whole that they constitute.

In order to specify this kind of relation, Lotze borrowed from Ammonius (28,1,14) the term effectus transeunt (“action in passing”, or “cursory action”).  Effectus transeunt is the minimal effect that elements A and B exercise on each other in the substance M, in virtue of which they stay in M. Through effectus transeunt, the otherwise independent elements of the substance became interdependent. To put this in other words, effectus transeunt produces the “ontological glue” that binds elements into organic wholes.

Formally, we can describe the construction of a substance this way. The elements of a substance (a whole) stand to one another in a reciprocal relation and in a unique order (Folge)(Lotze 1879, § 69). Furthermore, if we call the whole (the substance) M, and its elements A, B, and R (A and B are particular elements which are in the focus of our attention, and R designates the sum of all unspecified elements which can occur in the whole), we can denote the whole with the formula M=φ[A B R], where φ stands for the connection between the elements. The type of connection is a resultant of the specific relations and positions of the elements of the substance, as well as of their order in it (§ 70). In fact, this is the structure of the minimal composite unity.

In general, relations play a central role in Lotze’s ontology. One of his slogans was: “It belongs to the notion and nature of existing [object] to be related” (Lotze 1885, ii. p. 587). Lotze was interested in what Bertrand Russell has later called “internal” relations, or relations between the elements in the substances. The substances themselves stay in “external” relations to one another.

The external relations are of various kinds, each of which has its idiosyncratic type of coordinate. For example, the system of geometrical relations and the system of colors are two networks of relations essential to the material world, but not to the world of art, or to the spiritual world of men. There are also other kinds of relation-networks (see Lotze 1856a, pp. 461–2; Lotze 1885 ii. p. 575). For instance, from the perspective of the subject, Lotze’s universe has at least two further relation-networks:

  1. that of perception; this network is the universe of what he calls “local-signs” (see section 3.e);
  2. that of judgments and concepts; this network is the universe of states of affairs. (see section 3.d)

In metaphysics proper, Lotze transformed the Hegelian dichotomy between being and becoming to the trichotomy being, becoming, value. The given is; it is opposed to both what happens (e.g. changes) and to the validities. The transition between these three is impossible.

From the perspective of his conception of values, Lotze also suggested a new interpretation of Plato’s theory of ideas. Ideas have two characteristics: (i) they have their own autonomous being; (ii) in the same time, ideas have properties, similar to those of the objects of reality. Lotze’s claim was that these two conditions are only fulfilled by values. In fact, Plato’s ideas are validities of truths. Plato misrepresented them as “ideas” only because in Greek there is no expression for things which have no being: and values are just such things (1874, § 317). The fact that Plato’s ideas are validities, Lotze argues further, explains why they are beyond space and time, beyond things and minds, remaining at that atomistic. Lotze’s interpretation of Plato’s ideas was further developed by Paul Natorp (Natorp 1902).

c. Epistemology

Lotze’s task in epistemology was to secure knowledge which is to be extracted, and separated, from perception. The main characteristic of knowledge is that it is true. To Lotze, this means that it, and only it, presents the things as they really are—and, in fact, that is what is expected from thinking as a result.

The difference between perception and knowledge (or thinking; in identifying thinking and knowledge Lotze was followed by Frege) can be set out in the following way.  Perception (including imagining, daydreaming, etc.) notes accidental relations of ideas, but knowledge asserts a natural fit (a “necessary connection”) among these ideas: they belong together (zusammengehören).  In other words, the perceiving mind conceives “kaleidoscopically” a multiplicity of contingent pictures (Bilder) (1843, p. 72). Only then comes thinking, which consists in going through the ideas a second time, producing in this way “secondary thoughts” (Nebengedanken). The latter connect only those ideas which intrinsicallybelong together.

Lotze describes his “secondary thoughts” as constituting “a critical stand towards an idea.” This conception assumes that we have a kind of intuition that helps us to judge is the connection of ideas that lie before us—in our perception—true, or false.

Some authors have claimed that this idea is a further transformation of Hegel’s method of dialectical self-development of the truth (Misch 1912, p. xxvii). But it would be more correct to say that Lotze’s secondary thoughts are an incorporation into logic of the old Platonic–Aristotelian idea of peirastic (tentative, experimental) inquiry that tests different opinions and decides which connection of ideas they make is true and which false. (This interpretation was supported by Lotze’s pupils, Julius Bergmann and Wilhelm Windelband.) Indeed, Lotze is adamant that “this inner regularity of the content sought-after, being unknown yet, is not open to us in specific realistic definitions of thought. However, being present in the form of opinion, it really has […] the defensive [intuitive] force to negotiate what is not suitable to her” (Lotze 1841a, p. 33).

d. Logic

The concept of the judgment and its content (Urteilsinhalt) played a central role in Lotze’s logic.  He claimed that the content of judgment is not an interrelation of ideas, as Hume and Mill believed, but an interrelation of objective contents, or things: it is a state of affairs (a concept introduced by Lotze and later also used by Husserl and Wittgenstein—cf. Milkov 2002). Since there is no difference between the content of judgments and reality, the state of affairs has the structure of the substance or of the minimal composite unity. This position was another expression of Lotze’s objectivism (see the summary).

But the content of judgment has also two other dimensions which have little to do with its structural characteristics:

First, the content of the judgment is asserted by the judgment.  Thus, the judgment has an assertoric quality, and what Lotze calls its affirmation (Bejahung), or “positing” (Setzung).  For Lotze, this is the ultimate quality of a judgment—it is what makes a judgment a judgment, as opposed to complex of terms. Later, this conception was also adopted by Frege who assumed that the judgment acknowledges the truth of its content so that only this acknowledgement makes the combination of ideas a judgment. In other words, the judgment is an acceptance, or assumption of content as true, or rejecting it as false.

This characteristic of judgment was connected with a variant of the context principle, according to which a word has a meaning not in isolation but in the context of a proposition in which it occurs: “The affirmation of a single notion has no meaning which we can specify; we can affirm nothing but a judgment in which the content of one notion is brought into relation with that of another” (Lotze 1864, p. 465; Lotze 1885 ii. p. 582).Frege followed Lotze also on this point.

Second, the content of judgment has a value: this is a point that connects Lotze’s logic with his ethics(cf. section 2.c, above). To be more specific, Lotze claimed that concepts have meaning (Bedeutung), but not value. They can have a value only through the proposition in which they occur—in its context (Lotze 1874, § 321). In 1882 Lotze’s closest pupil, Wilhelm Windelband, introduced the concept of truth-value in the wake of this idea. Nine years later, this concept was also embraced by Frege in his “Function and Concept.”

Following Herbart, and developing further the idea of content of judgment, Lotze also explored the idea of the “given” (Gegebene) in philosophy.  More especially, Lotze understood the given as an “experienced content of perception” that was different from the content of judgment, or the state of affairs. Later this conception of the given was instrumental by coining the concept of sense-data (see Milkov 2001).

e. Philosophy of Mind

As was shown in the explanation  of the principle of teleomechanism (section 2.b), Lotze was adamant that the way in which phenomena are explained in physics is not appropriate for the mental or psychical world.  For instance, mechanical descriptions do not explain why we experience the effects of light-waves as color, or of sound-waves as tones. In this regard, Lotze criticized Herbart’s view that the interaction of ideas in a person’s mind (such as how ideas compete to capture a person’s attention or compel belief) is to be explained on analogy with the physical conception of force.  On Lotze’s view, the content of ideas is more important than their intensity(1856a, pp. 238 ff.).

Concerning the relation between soul and body, the so-called “mind-body problem,” Lotze did not offer a positive theory—in fact, he denies that we can understand this relation—but adopted a version of occasionalism.  Occasionalism is the view that events in the mental realm are synchronized with events in the material realm in such a way that it seems that the two realms are interacting, even though they do not in fact interact.  To adopt this as a methodological stance was Lotze’s way of saying that, even though the two realms may interact, we do not need to understand how they do in order to have a perfectly good, practical theory about the relation between mind and body  (1852, pp. 77 f.).

To the extent that Lotze develops a solution to the “mind-body problem,” he does so by introducing his famous conception of local-signs (Localzeichen), which explains the relation between mind and matter in terms of our perception of space and movement. According to Lotze, what we directly see when perceiving a movement are only patches of color. What helps us to perceive the fact of movement is the effort that we ourselves make in perceiving the movement. Lotze calls this stimulus a “local-sign.” It is a means of transforming sense-perceptions into space-values.

This means that our knowledge of the connection of mind to matter is not a fruit of reflection but of activity (in this assumption Lotze followed J. G. Fichte); it is not simply a matter of grasping. Indeed, the process of space-perceiving is an activity of construction of the external objects, and events, in consciousness (1856a, pp. 328 f.). This conception was another critique of  the purely mechanical understanding in philosophy.

Lotze’s theory of logical signs was further developed by Hermann von Helmholtz in the conception that sense-organs do not supply isomorphic pictures of the outer world, but only signals which perception transforms further into pictures. Helmholtz’s theory, in turn, was later embraced by the logical empiricists Moritz Schlick and Hans Reichenbach.

Lotze further claimed that thoughts are tools (organa) for deciphering messages of reality. This deciphering takes place in realizing of values. The aim of human thought is not to serve as a lens for immediate grasping reality, but to be valid. This means that the structure of thoughts has scarcely anything to do with the structure of the facts. Nevertheless, their effects coincide (1874, § 342). Thus, despite the fact that there are no general ideas in reality, we understand reality  only through  general ideas.

Lotze did not believe that this conception leads to epistemological pessimism. It is true that “reality may be more extensive than our capacities for representing it (whether by knowledge, feeling, etc.)” can assimilate (Cuming 1917, p. 163). Lotze insisted, however, that these features of reality are beyond the interests of philosophers, since beyond their (human) reach (in essence, along the lines of the saying: “what the eye does not see, the heart does not grieve over”).

f. Philosophy of Nature

As a young man Lotze was befriended with Ernst Friedrich Apelt, a pupil of Fries. (cf. section 1.b) Through Apelt, Lotze became familiar with Friesian philosophy, which he later used as a convenient foil in the development of some of his own views. Fries’ philosophy followed Kant formally, but in fact was more mechanical and calculative than Kant’s. In truth, it was even more mechanical and calculative than the philosophy of Herbart, who himself was a well-known mechanistic Kantian.

Lotze criticized Fries for being too formal and forgetting the “deep problems” of philosophy. Specifically, Lotze attacked Fries’ (and arguably Kant’s) dynamic understanding of matter, which represents it as simply the interplay of powers. Thus construed, the standard, empirical properties of matter (such as extension, solidity, place, and so on) disappear. Against this conception, Lotze embraced a form of atomism, which he saw as necessary for the individuation of material objects. Indeed, humans understand something only when the content of their judgment is articulated, and there cannot be an articulation without individuation; furthermore, individuation is best carried out when we accept that there are atoms. Besides, Lotze was convinced that the order in the world cannot come into being from a purposeless and planless beginning—from what today is called an “atomless gunk.” The point is that the order  presupposes an articulation and individuation: it is order between individuals—between Lotze’s variables A, B, and R (cf. section 3.b).

Apparently, Lotze did not understand atoms as they were understood in antiquity: as ultimate elements of reality which have different forms, but the same substance .  He did conceive of them as the ultimate building blocks of the material world, but he saw them as idiosyncratic and as remaining unmodified in all compositions and divisions. In other words, whereas the ancient atomism saw each atom as made out of the same kind of substance , Lotze saw each atom as being made of a unique kind of substance , so that each atom is sui generis.

Further difference with the atomism of the antiquity was that Lotze’s atoms were punctual (i.e., point-like), without extension (unräumlich).  Indeed, extension is possible only where there are many points which can be easily identified and differentiated. The extensionless atoms find their mutual place in space through their powers. To be more specific, we conceive of them as impermeable, filling up the space, only because of their demonstrated reciprocal resistance (1856a, p. 402).

An important characteristic of matter is its passivity, i.e. its ability to be affected from the outside. True to his anthropological stance, Lotze accepted that only if two essences mutually produce their respective “sufferings” (Leiden) can they be their respective interacting causes. (1864, p. 574) (The concept of “suffering” shows influence on Lotze of his countryman Jacob Böhme – both were born in Upper Lusatia, Saxony.) At the same time, Lotze was adamant that the concepts of suffering, effecting, and interaction are only—although inescapable—scientific metaphors. We must not conceive of them literally. However, they help us to grasp the nature of the problem.

In questions of space, Lotze used his teacher Weiße, rather than Fries, as a foil. Weiße had distinguished between space and interaction (Wechselwirkung) of substance. Moreover, for Weiße, interaction is the condition of space. (2003, pp. 85 f.) In contrast, Lotze differentiated, not between interaction and space (he was convinced that the two coincide), but between extension and place. “Extension” refers to an infinite multiplicity of directions. Only place, however, makes these possibilities concrete, putting them into three coordinated directions (Pester 1997, p. 110).

g. Philosophy of Language

Starting with his lesser Logic, Lotze made great efforts to elaborate a convincing philosophy of language. His first step in this direction was to connect language with logic by claiming that logic begins with exploring language forms (1843, p. 40). The reason for this assumption was that the living, unconscious “spirit of [ordinary] language” makes a connection between what one experiences concretely in sense perception, and the abstract forms that one extracts from sense perception (p. 82).  (This idea was also adopted—via Frege—in Wittgenstein’s Tractatus, 3.1: “In a proposition a thought finds expression that can be perceived by the senses.”) Indeed, our language functions on the level of perceptions. This, however, is not a hindrance to our using it to convey truths of a higher order: truths of science, mathematics, logic, etc (1856a, p. 304).

Lotze criticized the idea that language has meaning by picturing reality. According to Lotze, not even the pictures formed by perceiving are pictures proper (cf. section 3.e, above)—much less, therefore, pictures supposedly embedded in the structures of language.  Rather than performing a picturing function, language provides something of a method.  To be more specific, it provides rules for transforming signals from the sensual world into the phenomena of our mental world, and vice-versa: from our perception into the meanings we formulate and communicate with the help of the language.  In fact, the whole relation between microcosm and macrocosm was understood by Lotze in this way. The microcosm can be characterized as a “language of the macrocosm”, and at the same time, a place for understanding the possibilities of speaking about the macrocosm (Orth 1986, p. 48).

4. Philosophy and Life

a. Anthropology

Lotze was adamant that we cannot prefer logical forms over facts, as Hegel had once done. In particular, he criticized Hegel’s ladder-model of natural history, which claimed that we can deduce the value and importance of every particular species from its place on the ladder of evolution. Instead of formal (logical) rankings of living species, Lotze promoted a comparison of their natural figures (Gestalten). (From this perspective he also criticized Darwin’s evolution theory.) The difference between the mind of animals and that of man arises not because of a difference in the elements which they contain; in fact, here and there the same building blocks, or “mosaic-stones” (Mosaikstifte), enter into the scene. (Rather, that variation results from the way in which they are combined and used (1858, p. 266).

Lotze also criticized the intellectualism of the German Idealists. Instead, he sided with the German Enlightenment’s tendency to emphasize the importance of sensuality, of feelings and imagination (Phantasie). In this key, he classified animals not according to their capacity to think (as Herder did), but according to their physical performance and forms of consumption (genießen). On this point he was criticized by many of his contemporaries, including his friends, the “speculative theists” I. H. Fichte and C. H. Weiße. These two found in the Microcosm too little idealism and too much realism (Weiße 1865, pp. 289 ff.).

This reproach was scarcely justified; for Lotze endorsed the essential difference between the human mind and that of other animals.  The difference was that all human thought has reference to, or is at least formed from within, traditions: in language, science, skills, morals, as well as in practical habits and in judgments of everyday life (1858, p. 262). Moreover, Lotze claimed that “to know man means, above all, to know his vocation [Bestimmung], the means which he has in disposition to achieve it, as well as the hindrances that he must overcome in this effort” (p. 72). In this kind of anthropology, the ability to use the arm, and later also instruments was most important.

b. Social Philosophy

Lotze treated every epoch of human culture as developed around a particular value: (i) the Orient developed a taste for the colossal, (ii) the Jews for the elevated, (iii) the Greeks for the beautiful, (iv) the Romans for dignity and elegance, (v) the Middle Ages for the fantastic and emblematic, and (vi) Modernity for the critical and inventive. These orientations and achievements are on a par with one another (1864, pp. 124 ff.). The acceptance of the plurality of values was unique in German philosophy at the time: for instance, whereas we can easily find anti-Semitic judgments from Herder and Kant, not so from Lotze.

According to Lotze, achieving social progress is not a matter of quantitative growth but of reaching a “systematic complete harmony” in this or that particular culture. This state could be attained, for example, if the rules of social conduct are conceived of as a system of rights and duties of an objective spiritual (geistiges) organism (p. 424). Such a society could be considered a work of Nature, “or rather not simply of Nature, but of the Moral World Order [sittliche Weltordnung] which is independent of the individual” (p. 443).

Lotze was not convinced that the scientific and technological progress of the human race through the first half of the nineteenth century had increased its humaneness.  For, the increase in humanity’s power over nature was accompanied by a proportional increase in our dependence upon it.  The new ways of life afforded by developing technologies created new consumption needs, but many of these new needs were superfluous—not needs at all, but only desires—and some of them could be positively harmful.  Thus it is not unreasonable to think that we might have been better-off without the technologies that, although they enabled humanity to solve certain practical problems, created others that were previously unknown.

However, such felt-needs/desires cannot be eliminated through mere insight into truth, e.g., by recognizing that they are superfluous and harmful. The disapproving stance on this matter, taken by Diogenes of Sinope or Rousseau, is attractive and plausible mainly as a critique. Indeed, the natural state, which they propagated, can be seen as a state of innocence, but also as one of barbarism.

As a solution to this problem Lotze accepted that there is a constant human way of life which repeats itself practically unchanged: its purposes, motives and habits have the same form. This is the course of the world (der Weltlauf), an ever-green stalk from which the colorful blossoms of history cyclically emerge. In fact, the true goods of our inner life increase either only slowly, or perhaps they do not increase at all (1858, p. 345).

Perhaps the most interesting development of our modern time is the introduction of division of work and the new (Protestant) phenomenon of “profession.” (This idea was further developed by Max Weber.) An important effect of this process is that life is now divided into work and leisure (1864, p. 281; pp. 245–7).

Every profession stimulates the heart to embody a specific direction of imagination, a perspective on the world, and a way of judging. This state of affairs produced different forms of existence (Existenzarten) which makes modernity one of the most interesting epochs of human history. The main disadvantage of the professional life, Lotze says, is its monotony (1858, pp. 437–8).

c. Philosophy of History

The history of human society is a central subject of Lotze’s Microcosm.  Lotze’s views on this topic are best presented in contrast with what was then the standard or “mainstream” approach to history, which he faulted for lacking realism, and therefore for failing to generate genuine historical knowledge.

Mainstream history was inspired by two chief sources: Hegelianism, and what may loosely be described as positivism.  Although radically different in their guiding assumptions, these two movements overlapped in their consequences for history.

Hegel believed that history is produced by the movements of an arcane entity called “the world-spirit” (Weltgeist) and of its interaction with humanity.  Specifically, Hegel believed that the Weltgeist’s goal was to bring the human race into the full realization of the idea of humanity, i.e., into an ideal state of being.  To this end, it leads certain humans—by means of which they are unaware—to advance the race in various ways.  These humans (heroes) turn out to be the great figures in history, and their movements and achievements, as Hegel saw it, constitute history.  That is, history consists not of everything that happens, but above all of great movements that advance humanity significantly toward its ideal, of those events that constitute a substantial realization of the ideal.

In short, the Hegelian approach requires commitment to an inevitably contentious idealization of humanity, an assumption about what counts as the highest realization of human nature.  Lotze claimed that such theories have their place in Philosophy, but they can only skew our perceptions when allowed to control our search for fundamental data in History.  In Hegel’s case, for instance, his ideal of humanity led him to neglect both the contributions of women to history (1864, pp. 47 ff.; in this regard Lotze appears as a precursor of the modern feminism), and the role played by the mundane aspects of individuals’ lives—which of course constitutes the lager part of human history.  (This claim of Lotze shows him as a predecessor of the nouvelle histoire school of Marc Bloch which accentuated discussions in history of past facts of la vie quotidienne.)

The positivist approach to history, exemplified by Leopold von Ranke and Johann Gustav Droysen, had similar consequences.  Focusing too much on “objective” facts and formal considerations, and too little on the concrete, embodied, and emotional aspects of human life, historically significant but “ordinary” elements of human life were eliminated from consideration.

Lotze rejected both the idealism of Hegel and the demand for “objective faciticity” that came from the positivists.  Against Hegel, Lotze argued that human progress does not proceed  linearly nor ladder-wise:  many achievements of human society disappear without a trace, while others disappear for a time, only to be reintroduced by new generations. Rather, Lotze saw humanity developing in a spiral pattern, in which moments of progress are offset by moments of regress.  To be sure, this perspective appears rather gloomy alongside the mainstream approach, but it is clearly more realistic, and better suited to teaching humanity about itself.

Lotze agreed with Lessing’s thesis that the purpose of history is the education of humanity. (This point coheres with Lotze’s claim, discussed in section 2.b–c above, that we can understand philosophy and science starting from the history of human education and schooling.) That assumption helps to draw a more realistic picture of human progress than what Hegelian and positivist history provided.  Seeing history as a didactic tool, Lotze’s desiderata for good historical work were shaped by his ideals for education.  In particular, they were modeled by his conviction that the purpose of human spiritual life consists in the richness of an education capable of harmonizing all the aspects of a concrete, embodied person’s life.  This is what drove Lotze to reject the positivists’ “objective facticity” as inadequate for history.

Lotze’s alternative was an aesthetic, or poetic, approach to history. (1864, p. 46)   As he saw it, poetry and history are both creative, setting up new life-worlds.   The task of the historian was to present concepts as they were understood in their original contexts, exactly as they were embraced, felt, and consumed in the past—not anachronistically, as they might be understood in the present, through the “lens” of a different form of life.  This task required both the focus on empirical fact characteristic of positivist history, but also an element of poetic imagination—for only the latter could add flesh to the dry bones of empirical fact.  By combining both modes of cognition, the historian was to determine how the concept fitted into the total form of life characteristic of the period in which it originated, as well as those that inherited the concept—in effect, to re-create the life-world of the people whose concept it was. This line of thought was later developed by R. G. Collingwood.

d. Political Philosophy

Lotze’s political philosophy discussed such themes as social rationalization, power, bureaucracy, national values, sovereignty, and international relations. Above all, he defended the enlightened, hereditary monarchy. He saw it as offering “the greatest security for steady development”—and, as he saw it, this is of greatest value in political life. (p. 444) Further, being a philosopher of the concrete, full-blooded man, with his feelings and imagination, Lotze defended paternal patriotism; he preferred the love for the concrete fatherland over the love for the state with its institutions. In particular, Lotze criticized the view (defended by his contemporary Jacob Burckhardt) that the State should exist for its own sake. He also distrusted parliamentary representation and party politics.

Lotze repudiated Plato’s model of the state as an analog of the human person, and accepted instead a model of political equilibrium construed as “the result of the reciprocal action of unequal forces” (p. 423).  In matters of international law, he was an advocate of a balance of power of sovereign states. He believed that “the increasing relations between the different divisions of humankind changed in great measure the significance of the political boundaries and gave new stimulus to the idea of cosmopolitanism” (p. 436).

Lotze disparaged those critics of modernity who claimed that its proponents only defend their desire for material well-being. Moreover, although he did not use the term “liberalism,” Lotze adhered to the principles of what we would now call “classical bourgeois liberalism;” but he criticized “Manchester liberalism” (cf. the “turbo-capitalism” of the “roaring 1990s”) that followed ideas of such philosophers as Thomas Malthus, referring, among other things, to what today is called “the paradox of liberalism:” liberalism fails to show how an isolated human being can be a subject of rights. Indeed, right is a reciprocal, and so collective, concept: “one’s right is what the others feel for us as a duty” (p. 427).

Lotze criticized the concept of natural law employed by the mainstream Western philosophers like Aristotle and Hobbes who claim that law is set by nature. Instead, Lotze had sympathies with the historicist conception of law developed by Leopold von Ranke and Friedrich von Savigny who defended the thesis that the notions of law are coined in human practice. Lotze used to say that “the beginning of all legitimacy is illegitimate, although it need not be at the same time illegal” (p. 417).

e. Philosophy of Religion

The religion of the modern man was for Lotze a feeling of life (Lebensgefühl) in which the awareness of the fragility of the human race is connected with a sense of conscience about a lay profession. (The latter point was extensively discussed by Max Weber.) Men know how modest their life-tasks are and nevertheless are happy to pursue them. This is a belief which follows the consciousness and the inner voice, and which, nevertheless, is exactly as certain as the knowledge we receive through the senses (1858, pp. 447 f.).

Lotze criticizes the Enlightenment claim that religion is only a product of human reason. If that was true, then it would be possible to replace religion with philosophy. However, for Lotze, reason alone is not enough to grasp religious truth: we learn it through revelation which can be thought of as the historical action of God (1864, p. 546). Lotze also criticizes Fries who compared religion, which starts from unproven truths, to science which is also ultimately based on unproved axioms we believe. Rather, whereas the axioms of science are general and hypothetical judgments, the propositions of religion are apodictic.

A leading idea of Lotze’s philosophy of religion was that “all the processes in nature are understandable only through the continuing involvement of God; only this involvement arranges the passing of the interaction [Übergang des Wechselwirkungs] between different parts of the world” (p. 364). This claim can be best interpreted with reference to Lotze’s concept of idealities(discussed in section 2b–c, above) Idealities are magnitudes, identifiable in experience, and are constitutive for all academic fields: science, mathematics, metaphysics. More especially, they help to orient our concepts and studies.

In more concrete terms, Lotze hung the intelligibility of natural processes on the concept of God because of his anthropological stance—of the role the concept of humanity played in his philosophy. Important point, however, is that, to him, that concept does not have a generic character; we can grasp it only in terms of particular individuals, or persons (p. 52). This explains why Lotze claimed that the kind of purposive, creative power seen in natural processes is unthinkable except in relation to a living personality with its will; and, since the process of nature emanate from no human will, we are left with the person of God (pp. 587 ff.).

Lotze’s use of God as a necessary explanatory category is reminiscent of Kant, and has a somewhat “methodological” quality about it—we cannot prove the existence of God, Lotze thought, but we must nonetheless believe in Him; for only thus is our world ultimately intelligible. This point of Lotze was interpreted by the religious liberals of the fin de siècle (by the Congregationalists, in particular) as supporting the claim that religion is a matter of judgment of value in the Kingdom of God—a thesis made popular by Lotze’s contemporary Albrecht Ritschl (1822–1889) who fought against the conservative-Lutheran and confessional theology of the time.

f. Religious Practice

Lotze understood world-religions to have started in the Orient, with the picture, familiar from the Old Testament, of the world as a system developing according to general laws. Later, the West accepted this belief in the form of Christianity. In the Age of Enlightenment, however, it started to consider the universe as something unfinished, giving opportunities to the individuals to form it according to the specific purposes of everyone. (This stance was theoretically grounded by Kant.) The future was seen as formless in principle, so that human action can change reality in an absolutely new way (Lotze 1864, p. 331). Embracing this view, the believers abandoned quietism and embraced vita activa. Reducing the horizons of human imagination to the practical tasks of the earthy world, the need to connect it with the transcendental waned. The result was the belief in progress and a turn away from God. From now on Godhood was considered mainly in moral terms.

Pagans, in their most developed form of antiquity, believed in reason, in self-respect, and in the sublime. (Lotze called this stance “heroism of the pure reason”.) Unfortunately, pagans failed to foster humaneness. This was the historical achievement of Christianity which developed a totally new understanding of the moral duties. Of course, pagans recognized moral duties too. However, they understood them as having the same necessity as natural laws have. To be more specific, Christianity—especially Protestantism—taught its believers to carry out duties following their personal conscience. In consequence, Christianity: (i) established an immediate connection to God; (ii) it made it possible for individual Christians to pursue their own values of preference which are independent from the social background of the individual and from her actual place in the society. In this way, the respect for human dignity was secured.

Historically, Christianity placed importance on the activity of teaching and learning through the establishment of schools.  . Christianity, however, is not simply a teaching. It requires faithfulness to the historical God, realized through revelation. That is why Christian dogmatics must be preserved and cultivated.

Lotze’s conclusion was that we must look upon Christian dogmatics as posing questions about the purpose of human life, not as giving answers. Lotze was confident that every new generation would return to these questions. Of course, dogmatics can be criticized: indeed, the critical Protestant theology was, historically, the best example of such criticism. But, according to Lotze, we must not cast Christian dogmatics away as obsolete.

5. References and Further Reading

a. Primary Sources

  • Lotze, Rudolph Hermann. (1840) Gedichte, Leipzig: Weidmann.
  • Lotze, Rudolph Hermann.  (1841a). Metaphysik, Leipzig: Weidmann.
  • Lotze, Rudolph Hermann. (1841b). “Bemerkungen über den Begriff des Raumes. Sendeschreiben an C. H. Weiße,” Zeitschrift für Philosophie und Spekulative Theologie 8: 1–24; in Lotze 1885/91, i, pp. 86–108.
  • Lotze, Rudolph Hermann. (1843). Logik, Lepzig: Weidmann.
  • Lotze, Rudolph Hermann. (1845). Über den Begriff der Schönheit, Göttingen: Vandenhoeck & Ruprecht.
  • Lotze, Rudolph Hermann.  (1852). Medicinische Psychologie, oder Physiologie der Seele, Leipzig: Weidmann.
  • Lotze, Rudolph Hermann.  (1856a). Mikrokosmus: Ideen zur Naturgeschichte und Geschichte der Menschheit, Versuch einer Anthropologie, 1st vol., Leipzig: Hirzel.
  • Lotze, Rudolph Hermann.  (1856b). “Selbstanzeige des ersten Bandes des Mikrokosmus,” Göttinger gelehrte Anzeigen 199: 1977–92; in Lotze 1885/91, iii, pp. 303–14.
  • Lotze, Rudolph Hermann. (1857). Streitschriften, Part One, Leipzig: Hirzel.
  • Lotze, Rudolph Hermann. (1858). Mikrokosmus, 2nd vol., Leipzig: Hirzel.
  • Lotze, Rudolph Hermann.  (1864). Mikrokosmus, 3rd vol., Leipzig: Hirzel.
  • Lotze, Rudolph Hermann. (1868). Geschichte der Aesthetik in Deutschland, München: Cotta.
  • Lotze, Rudolph Hermann.  (1874). Logik, Leipzig: Hirzel.
  • Lotze, Rudolph Hermann.  (1879). Metaphysik, Leipzig: Hirzel.
  • Lotze, Rudolph Hermann. (1884). Outlines of Metaphysic, trans. and ed. by G. T. Ladd, Boston: Ginn.
  • Lotze, Rudolph Hermann. (1885). Microcosmus: An Essay Concerning Man and his Relation to the World, 2 vols., E. Hamilton and E. E. Constance Jones, Trans., Edinburgh: T. & T. Clark.
  • Lotze, Rudolph Hermann. (1885a). Outlines of Aesthetics, trans. and ed. by G. T. Ladd, Boston: Ginn.
  • Lotze, Rudolph Hermann. (1885b). Outlines of Practical Philosophy, trans. and ed. by G. T. Ladd, Boston: Ginn.
  • Lotze, Rudolph Hermann. (1885c). Outlines of Philosophy of Religion, trans. and ed. by G. T. Ladd, Boston: Ginn.
  • Lotze, Rudolph Hermann.  (1885/91). Kleine Schriften, ed. by David Peipers, 4 vols., Leipzig: Hirzel.
  • Lotze, Rudolph Hermann. (1886). Outlines of Psychology, trans. and ed. by G. T. Ladd, Boston: Ginn.
  • Lotze, Rudolph Hermann. (1887). Outlines of Logic, trans. and ed. by G. T. Ladd, Boston: Ginn.
  • Lotze, Rudolph Hermann.  (1887). Logic (B. Bosanquet et al., trans.), 2nd ed., Oxford: Clarendon Press.
  • Lotze, Rudolph Hermann.  (1888). Metaphysic (B. Bosanquet et al., trans.) 2nd ed., Oxford: Clarendon Press. Lotze, Rudolh Hermann.  (2003). Briefe und Dokumente, Zusammengestellt, eingeleitet und kommentiert von Reinhardt Pester, Würzburg: Königshausen & Neumann.

b. Secondary Sources

  • Cuming, Agnes. (1917). “Lotze, Bradley, and Bosanquet”, Mind 26: 162–70.
  • Hartmann, Eduard von. (1888). Lotze’s Philosophie, Leipzig: Friedrich.
  • Kronenberg, Moritz. (1899). Moderne Philosophen, München: Beck.
  • Kuntz, P. G. (1971). “Rudolph Hermann Lotze, Philosopher and Critic”, Introduction to: Santayana 1889, pp. 3–94.
  • Milkov, Nikolay. (2001). “The History of Russell’s Concepts ‘Sense-data’ and ‘Knowledge by Acquaintan­ce’,” Archiv für Begriffsgeschichte 43: 221–31.
  • Milkov, Nikolay.  (2002). “Lotze’s Concept of ‘States of Affairs’ and its Critics,” Prima Philosophia 15: 437–50.
  • Milkov, Nikolay.  (2008). “Russell’s Debt to Lotze,” Studies in History and Philosophy of Science, Part A, 39: 186–93.
  • Misch, Georg. (1912). “Einleitung”, in: Hermann Rudolph Lotze, Logik, hg. von G. Misch, Leipzig: Felix Meiner, pp. ix–cxxii.
  • Natorp, Paul. (1902). Platos Ideenlehre, Leipzig: Dürr.
  • Orth, E. W. (1986). “R. H. Lotze: Das Ganze unseres Welt- und Selbstverständnisses,” in: Josef Speck (ed.), Grundprobleme der großen Philosophen. Philosophie der Neuzeit IV, Göttingen: Vandenhoeck & Ruprecht, pp. 9–51.
  • Passmore, John. (1966). A Hundred Years of Philosophy; 2nd ed., Harmondsword: Penguin.
  • Perry, Ralf Barton. (1935). The Thought and Character of William James, 2 vols., Boston: Little, Brown, and Co.
  • Pester, Reinhardt. (1997). Hermann Lotze. Wege seines Denkens und Forschens, Würzburg: Königshausen & Neumann.
  • Pester, Reinhardt. (2003). “Unterwegs von Göttingen nach Berlin: Hermann Lotzes Psychologie im Spannungsfeld von Psychologie und Philosophie,” in L. Sprung and W. Schönpflug (eds.), Zur Geschichte der Psychologie in Berlin, 2nd ed., Frankfurt: Peter Lang, pp. 125–51.
  • Russell, Bertrand. (1918). Mysticism and Logic, 3rd ed., London: Allen & Unwin, 1963.
  • Santayana, George. (1889). Lotze’s System of Philosophy, ed. by P. G. Kuntz, Bloomington: Indiana University Press, 1971.
  • Weiße, C. H. (1865). “Rezension von Mikrokosmus by H. Lotze,” Zeitschrift für Philosophie und philosophische Kritik 47: 272–315.

c. Bibliographies

  • Kuntz, P. G. (1971). “Lotze Bibliography”, in: Santayana 1889, pp. 233–69.
  • Pester, Reinhardt. (1997). “Bibliographie”, in: Pester, pp. 344–94.

d. Biographies

  • Falckenberg, Richard. (1901). Hermann Lotze, Stuttgart: Frommann.
  • Wentscher, Max. (1913). Hermann Lotze, Heidelberg: Winter.

e. Further Reading

  • Bauch, Bruno. (1918). “Lotzes Logik und ihre Bedeutung im deutschen Idealismus”, in: Beiträge zur Philosophie des deutschen Idealismus 1: 45–58.
  • Devaux, Philippe. (1932). Lotze et Son Influence sur la Philosophie Anglo-Saxonne, Bruxelles: Lamartin.
  • Frege, Gottlob. (1883). “17 Key Sentences on Logic”, in: idem, Posthumous Writings, ed. by Brian McGuinness, Oxford: Blackwell, 1979, pp. 174–175.
  • Gabriel, Gottfried. (1989a). “Einleitung des Herausgebers. Lotze und die Entstehung der modernen Logik bei Frege”, in H. R. Lotze, Logik, Erstes Buch. Vom Denken, Hamburg: Meiner, xi–xliii.
  • Gabriel, Gottfried.  (1989b). “Einleitung des Herausgebers: Objektivität, Logik und Erkenntnistheorie bei Lotze und Frege”, in H. R. Lotze, Logik, Drittes Buch. Vom Erkennen (Methodologie), Hamburg: Meiner, xi–xxxiv.
  • Harte, Frederick E. (1913). The Philosophical Treatment of Divine Personality: from Spinoza to Hermann Lotze, London: C. H. Kelly.
  • Hauser, Kai. (2003). “Lotze and Husserl,” Archiv für die Geschichte der Philosophie 85: 152–78.
  • Heidegger, Martin. (1978). Frühe Schriften, Frankfurt: Klostermann.
  • Henry, Jones. (1895). A Critical Account of the Philosophy of Lotze: The Doctrine of Thought, Glasgow: MacLehose.
  • Kraushaar, Otto. (1938 / 1939). “Lotze as a Factor in the Development of James’s Radical Empiricism and Pluralism,” The Philosophical Review, 47: 517–26 / 49: 455–71.
  • Moore, Vida F. (1901). The Ethical Aspect of Lotze’s Metaphysics, New York: Macmillan.
  • Orth, E. W. (1984). “Dilthey und Lotze. Zur Wandlung des Philosophiebegriffs in 19 Jahrhundret,” Dilthey-Jahrbuch, 2: 140–58.
  • Robins, Edwin Proctor. (1900). Some Problems of Lotze’s Theory of Knowledge, New York: Macmillan.
  • Schoen, Henri. (1901). La Métaphysique de Hermann Lotze: La philosophie des Actions et des Réactions Réciproques, Paris: Fischbacher.
  • Stumpf, Carl. (1917). “Zum Gedächtnis Lotzes,” in: Kantstudien 22: 1–26.
  • Thomas, E. E. (1921). Lotze’s Theory of Reality, London: Longmans Green.
  • Valentine, C. W. (1911). The Philosophy of Lotze in its Theological Aspects, Glasgow: Robert Maclehose.
  • Wentscher, Max. (1924). Fechner und Lotze, München: Reinhardt.

Author Information

Nikolay Milkov
Email: nikolay.milkov@upb.de
Universität Paderborn
Germany

Jean Paul Sartre: Existentialism

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

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

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

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

Table of Contents

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

1. Sartre’s Life

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

2. Early Works

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

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

a. Methodology

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

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

b. The Ego

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

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

c. Ethics

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

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

d. Existential Phenomenology

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

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

3. The Ontology of Being and Nothingness

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

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

a. The Being of the Phenomenon and Consciousness

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

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

b. Two Types of Being

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

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

c. Nothingness

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

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

4. The For-Itself in Being and Nothingness

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

a. A Lack of Self-Identity

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

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

b. The Project of Bad Faith

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

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

c. The Fundamental Project

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

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

d. Desire

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

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

5. Relations with Others in Being and Nothingness

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

a. The Problem of Other Minds

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

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

b. Human Relationships

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

6. Authenticity

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

a. Freedom

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

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

b. Authenticity

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

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

c. An Ethical Dimension

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

7. Other Contributions to Existential Phenomenology

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

a. Critique of Dialectical Reason

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

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

b. The Problem of Method

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

8. Conclusion

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

9. References and Further Reading

a. Sartre’s Works

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

b. Commentaries

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

Author Information

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

Neo-Stoicism

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

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

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

Table of Contents

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

1. Introduction: The Word ‘Neostoicism’

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

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

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

2. Background: Church Fathers and the Middle Ages

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

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

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

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

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

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

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

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

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

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

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

4. Selected Neostoics

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

a. Guillaume Du Vair (1556-1621)

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

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

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

b. Pierre Charron (1541-1603)

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

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

c. Francisco de Quevedo (1580-1645)

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

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

d. Michel de Montaigne (1533-1592)

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

5. Conclusion

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

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

6. References and Further Reading

a. Justus Lipsius

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

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

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

b. Other Neostoics

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

c. Studies of Neostoicism

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

d. Further Studies Dealing with the Influence of Stoicism

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

Author Information

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

Xenophanes (c. 570—c. 478 B.C.E.)

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

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

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

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

Table of Contents

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

1. Life, Works and Significance

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

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

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

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

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

2. Social Commentary and Criticism

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

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

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

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

3. Religious Views

a. Critique of Greek Religion

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

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

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

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

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

b. Divine Goodness

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

c. The Nature of the Divine

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

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

i. Was Xenophanes a Monotheist?

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

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

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

ii. Was Xenophanes an Immaterialist?

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

iii. Was Xenophanes a Pantheist?

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

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

4. Natural and Scientific Views

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

a. Earth and Water as Fundamental

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

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

b. Demythologizing Heavenly Phenomena

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

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

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

5. Critique of Knowledge

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

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

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

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

6. References and Further Reading

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

Author Information

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

Responsibility

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

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

Table of Contents

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

1. Introduction

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

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

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

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

2. Individual Responsibility

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

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

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

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

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

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

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

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

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

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

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

a. Moral Agency

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

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

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

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

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

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

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

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

b. Retrospective Responsibility

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

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

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

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

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

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

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

c. Prospective Responsibility

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

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

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

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

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

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

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

d. Responsibility as a Virtue

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

In such cases, our meaning is usually quite clear. The responsible person can be relied on to judge and to act in certain morally desirable ways; in the case of more demanding (“more responsible”) roles, the person can be trusted to exercise initiative and to demonstrate commitment; and when things go wrong, such a person will be prepared to take responsibility for dealing with things. One way of putting this might be to say that the responsible person can be counted on take her responsibilities seriously. We will not need to hold her responsible, because we can depend on her holding herself responsible. Another way of putting the matter would be much more contentious, and harkens back to the question of whether we should think of moral agency as a matter of degree. One might claim that the responsible person possesses the elements pertaining to moral agency (such as capacities to judge moral norms or to respond to others) to a greater degree than the irresponsible person. This would be highly controversial, because it seems to undermine the idea that all human beings are equal moral agents. However, it would help us to see why a term we sometimes use to describe all moral agents can also be used to praise some people rather than others.

However this may be, it is fair to say that this usage of “responsible” has received the least attention from philosophers. This is interesting given that this is clearly a virtue of considerable importance in modern societies. At any rate, it is possible to see some important connections between the virtue and the areas that philosophers have emphasized.

The irresponsible person is not one who lacks prospective responsibilities, nor is she one who may not be held responsible retrospectively. It is only that she does not take her responsibilities seriously. Note, however, that the more responsible someone is, the more we will be inclined to entrust her with demanding roles and responsibilities. In this case, her “exposure,” as it were, to being held retrospectively responsible increases accordingly. And the same is true in the opposite direction, when someone consistently behaves less responsibly. An illuminating essay by Herbert Fingarette (1967) considers the limit case of the psychopath, someone who shows absolutely no moral concern for others, nor any sensitivity to moral reproach. Perhaps our first response will be to say that such a person is irresponsible, even evil. Fingarette argues we must finally conclude that he is in fact not a candidate for moral responsibility – that he is not a moral agent, not to be assigned prospective responsibilities, not to be held retrospectively responsible for his actions. In other words, it only makes sense to grade someone as responsible or irresponsible, so long as holding her responsible has any prospect of making her act more responsibly. The psychopath will never be responsive to blame, nor ever feel guilt. In fact, as someone who will never take any responsibility seriously, he does not qualify as a moral agent at all – as being responsible in its most basic sense. This might sound like writing the person a blank check to behave utterly immorally, but two points should be remembered: First, society protects itself against such people, often by incarcerating them as insane (“psychopathy” names a mental disorder). Second, the Kantian account reminds us that not to treat someone as responsible for her actions is to fail to respect her as the author of her deeds. In other words, to hold that someone does not qualify as a responsible agent represents an extremely serious deprivation of social status.

Looking at the matter positively, we can also say that a person who exhibits the virtue of responsibility lives up to the three other aspects of responsibility in an exemplary way. First, she exercises the capacities of responsible moral agency to a model degree. Second, she approaches her previous actions and omissions with all due concern, being prepared to take responsibility for any failings she may have shown. And third, she takes her prospective responsibilities seriously, being both a capable judge of what she should do, and willing to act accordingly.

3. Moral versus Legal Responsibility

As some of the examples of retrospective and prospective responsibility indicate, law has an especial connection with questions of responsibility. Legal institutions often assign responsibilities to people, and hold them responsible for failing to fulfill these responsibilities – either via the criminal law and policing, or by allowing other parties to bring them to court via the civil law, for example when a contract is breached. Accordingly, the justification of punishment represents a major concern of philosophy of law. Likewise, legal philosophers, including figures such as H.L.A. Hart, Herbert Morris and Joel Feinberg, have written a great deal about the philosophy of responsibility. Their discussions have had considerable influence on moral and political philosophers.

The most obvious point, that all writers will endorse, is that legal and moral responsibility often overlap, but will diverge on some occasions. In the liberal state we can hope that there will be systematic convergence, inasmuch as the law will uphold important moral precepts, especially concerning the protection of rights. (In a corrupt or tyrannical state, on the other hand, it is obviously very common that legal and moral responsibility have no relation at all. Tyrants often demand that their subjects be complicit in immorality, such as harming the innocent.) An example where law and morality clearly overlap is murder: it is both a legal crime and an egregious moral wrong. Few would dispute, then, that murder ought to be punished, both legally and morally speaking.

However, the law does not punish attempted murder in the same way as an actual murder – that is, it does not prioritize intentions over outcomes in the same way that many believe that moral judgment should. The difference between murder and grievous bodily harm may not lie in the intention or even in the actual wounds inflicted: everything depends on the outcome, that is, whether death results. Thus the crimes attract different punishments, though our moral judgment of someone may be no lighter in the case of a particularly vicious assault. One way of putting this is to say that the law is concerned with definite outcomes, and only secondarily with intentions. Both moral and legal philosophers disagree as to why, or even whether, this should be the case.

A distinguished line of thought, exemplified by H.L.A. Hart in his essay “Legal Responsibility and Excuses” (in Hart, 1968), holds that legal responsibility should be understood in different terms to moral judgment. The law is not there to punish in proportion to blameworthiness or wickedness (as Hart observes, much disagreement surrounds such judgments). Instead, the law provides people who are competent to choose with reasons to act in socially responsible ways. Hart focuses on excuses under the law, such as insanity or coercion. Law admits such excuses in spite of their possible consequentialist disutility (excuses may well decrease the deterrent force of law, because some people might hope to misuse these excuses to wriggle out of legal accountability). For Hart, excuses are an important part of a system that does not just seek to prevent crime, but also to protect choice; as a result, law does not punish those who were not able to choose their actions. Under such a “choosing system,” “individuals can find out, in general terms at least, the costs they have to pay if they act in certain ways” (1968: 44). In this way, law can foster “the prime social virtue of self-restraint” (1968: 182). Law can also respect what Peter Strawson stressed in “Freedom and Resentment” (1962): that our social relations depend on our emotional responses to people’s voluntary actions. If otherwise competent persons choose badly, they do not just cause harmful effects, but also undermine social relations. Hart’s justification of punishment, then, holds that attributions of (legal) responsibility help uphold social order while respecting individual choice. His account therefore combines a consequentialist emphasis on external actions and outcomes with an important mental element: punishment is only appropriate in case of competent choice, that is, where excusing conditions do not apply. However, Hart emphasizes that his account does not apply to moral judgment, about which his views seem to be more or less Kantian.

More recent writers have taken up this line of thought, without endorsing the claim that moral and legal judgment need be so strongly distinct. Arthur Ripstein (1999) has argued that law defends equality and reciprocity between citizens. It therefore has to protect people’s interests in freedom of action as well their interests in security of person and property. Law has to be concerned with fairness to victims as well as fairness to culprits. To do this, it defines a system of prospective responsibilities that protect the interests of all, and holds people retrospectively responsible for breaches. For instance, the coercive measure of punishment is called for where a person disregards another’s liberty or security interests. Threats or attempts also disregard those interests and may be punishable, but they do not undermine equality in social relations as severely as successful violations of rights. (As Ripstein notes, his approach actually descends from Kant’s account of punishment, which works in a different way to Kant’s account of moral imputation. On this, see Hill, 2002.) Ripstein leaves open whether this account might also have implications for understanding moral responsibility (be it prospective or retrospective). However, his underlying idea – concerning fairness to both wrong-doer and victim – does suggest problems for accounts of retrospective moral responsibility that focus (in more or less Kantian fashion) only on the culprit’s choice and intentions.

A quite different school of thought, recently exemplified in the work of Michael Moore (1998), endorses a recognizably Kantian view of moral responsibility, and argues that the law ought to share this approach. Apart from the theoretical difficulties that face the Kantian approach to moral responsibility, however, this school of thought has to claim that large parts of legal practice are misconceived. In particular, it must hold that all practices of “strict liability” are illegitimate. Strict liability is the practice of holding a person accountable if certain harms materialize, even where she could not have done anything to prevent those harms coming about. (Contrast Ripstein’s account just given, or the above example of the customer who accidentally breaks a vase in a shop.) Similarly, Moore’s approach faces severe difficulties in explaining why the law should punish on the basis of outcomes and not only intentions – even though every legal system shares this feature.

Legal responsibility has another interesting relation to the question of responsible agency. In addition to admitting “excusing conditions” such as insanity, systems of law stipulate various age conditions as to who counts as responsible. For example, all jurisdictions have an age of criminal responsibility: a person under the age of, say, twelve cannot be punished for murder. Likewise, law permits only people above certain ages to engage in various activities: drinking alcohol, voting, standing as an elected representative, entering into contracts, consenting to medical treatment, and so forth. Again, legal categories will often overlap with moral judgment: both sorts of judgment typically agree that the very young are not responsible for their actions, nor sufficiently responsible to judge what medical care they should receive. That said, our non-legal judgments about when a person becomes sufficiently mature to be responsible invariably depend on the person, as well as on the difficult question of what degree of maturity is necessary to responsible conduct in different spheres of life.

4. Collective Responsibility

In recent decades increasing attention has been given to the question of collective responsibility. This question can arise wherever the actions of a group of people combine to generate a particular result – whether a corporation, or the citizens of a state, or even individuals who have no particular connection to one another. (A well-known example of the last is “the tragedy of the commons,” when lots of people use a shared resource – for instance, everyone using the commons as grazing land for their cattle – resulting in the degradation of that resource. Our increasing awareness of damage to environment has given this case particular contemporary importance.) There are questions about the responsibilities of the collective, and of the individual as a member of that body. Recall that one of the original uses of the word responsible” was to describe a desirable quality of government, and that we still use the word in this way to praise some institutions, just as we may criticize a corporation or group as irresponsible.

Many perplexities about shared responsibility arise from the thought that individuals are responsible agents, in a way that groups cannot be. A well-known formulation captures this problem neatly: “No soul to damn, no body to kick” (Coffee, 1981). As pointed out above, it is usually thought that a person can be blamed or deserve punishment by virtue of certain psychological capacities (“soul”), as well as by virtue of being the same person (“body”) today as she was yesterday. On this account, there is a serious puzzle as to how a collective can be responsible, since a collective lacks the psychological capacities of an individual person (but see the Encyclopedia article on collective intentionality) and its membership tends to alter over time. Note, however, that if we think of responsibility in terms of capacities to interact in the light of shared norms – as the Humean account of moral agency might suggest – rather than as a matter of particular psychological capacities, then we need not be so concerned with those capacities nor, perhaps, with changes in membership.

A separate article, collective moral responsibility, discusses the issues that arise here. It may be useful, however, to indicate briefly how the four aspects of individual responsibility discussed above might apply to the collective case.

a. The Agency of Groups

In the first place, it is clear that collective bodies can function as agents, at least in some circumstances. Groups and organizations can pursue particular policies, respect legal requirements, reach decisions about how to respond to situations, and create important benefits and costs for other agents. They can also offer an account of their previous actions and policies, setting out how and why these were decided upon. However, these abilities clearly depend upon the collective’s being appropriately organized, which is a matter of internal communication, deliberative mechanisms, and allocation of responsibilities to individuals. Clearly, organizations may function better or worse in all these regards – as may the other organizations with which they interact and which may, in turn, hold them responsible.

b. Retrospective Responsibility of Collectives

By the same token, collective bodies can be held responsible. In fact, law does this all the time, at least for formally established collectives that are not states, for example, corporations, charities and statutory bodies such as government agencies. Responsible officers may be called to account – to answer for their organization’s actions, to be dismissed or even punished if that account is unsatisfactory. As a body, the collective owns property and acts in systematic ways: legal measures can therefore make it provide compensation, or exact fines simply as a punishment; a court can order the body to act differently or to remedy a particular case or situation.

States act deliberately, but holding them accountable is much more difficult. States can commit the most serious wrongs, waging war or inflicting grave injustice upon their own peoples. International law attempts to codify some duties of states, and the duties of individuals who govern them. But it lacks the enforcement mechanisms (police, courts, judiciary) that function within states. Examples of attempts to hold states and their agents retrospectively responsible include: South Africa’s well-known Truth and Reconciliation Commission, which addressed the brutalities of the old apartheid regime; the trial of individuals, such as the 1961 Jerusalem trial of Nazi functionary Adolf Eichmann; and the exacting of reparations following the defeat of a state, for instance the notorious Versailles agreement that penalized Germany for its role in the First World War.

As the article on collective moral responsibility discusses, imposing liabilities, punishments or duties onto collective bodies will finally involve costs or duties for individuals. This poses many difficult questions about how the supposed responsibilities of the group might be traced back to particular individuals. Perhaps the people who were most to blame have died or moved jobs or are otherwise out of reach. Should the citizens of a country make amends for the wrong-doing of their forefathers, for instance? Ought a corporation that has fired its top managers still be liable to pay fines for the misdeeds that those former managers led the corporation into? For many, such questions highlight the most puzzling aspect of collective responsibility, namely that individuals might justly be required to make amends for others’ actions and policies.

c. Prospective Responsibilities of Groups

For formally organized collectives, prospective responsibilities are often codified by law, or (in the case of a charity, for instance) specified in a group’s constitution. As in the individual case, of course, our moral judgment may differ from codified responsibilities: not only moral but also political arguments often surround these allocations of responsibility. Proponents of corporate social responsibility, for example, generally hold that companies’ responsibilities extend much beyond their legal duties, including wider obligations to the communities amongst which they operate and to the natural environment. Just as in the case of individuals, attempts to hold groups and organizations retrospectively accountable often, therefore, reveal serious moral disagreements, and invariably have a political dimension, too.

d. Responsibility as a Virtue

Groups, companies, and states can all be more or less responsible. Originally, “responsible government” described government responsive to the wants and needs of its citizens; in the same way, we now speak of corporate social responsibility. As in the individual case, for collectives to exhibit the virtue of responsibility depends on the other three aspects of responsibility discussed in this article. With regard to moral agency, it will require good internal organization, so that the body is aware of its situation, capacities, actions and impacts. With regard to retrospective responsibility, it involves a willingness and ability to deal with failings and omissions, and to learn from these. In terms of prospective responsibility, the collective’s activities and policies must be aptly chosen, conformable to wider moral norms, and properly put into effect. As with individuals, how far a body is likely to do these things also depends on how far those around it (that is, both individuals and other collectives) act responsibly. For instance, others will need to form appropriate expectations of the collective, and be prepared to enforce these expectations fairly and reasonably.

5. Conclusion

This article has pointed to four dimensions of responsibility, reflecting the various ways in which the word is used. Moral agency can also be termed responsible agency, meaning that a person is open to moral evaluation. This sort of moral status points in two directions. It means that a person’s actions can be judged morally, so that various responses such as praise or punishment may be appropriate – this is the stuff of retrospective responsibility. In the other direction, a moral agent has particular duties or concerns – the stuff of prospective responsibility. Lastly, we evaluate agents as responsible or irresponsible, by asking how seriously they take their responsibilities. This involves evaluating them in terms of how far they exercise (or possess) the capacities pertaining to moral agency, how they approach their past actions and failings, and how they approach their duties and areas of responsibility. As we have seen, writers differ concerning the connections between moral and legal responsibility, but it is also true that these four dimensions all find echo in legal uses of responsibility.

Philosophical discussion often considers these aspects of responsibility only with regard to individuals, so that the term “collective responsibility” appears puzzling, despite its frequent usage in everyday life. The final part of this article briefly considered how each of these dimensions can be applied to groups, although it has left aside some difficult questions that arise – for example, how a group’s retrospective responsibilities can be fairly apportioned to individuals, or how collectives can be organized so as to be more or less responsible.

This article began by observing that the word responsibility is surprisingly modern, and that two quite different philosophical stories have been told about it. Very little was said concerning the first story, concerning responsibility in political thought. However, it has pointed out that the concept extends more widely than modern philosophical debates tend to acknowledge. Prospective responsibility relates to the fine-grained division of responsibilities involved in the different roles which people adopt in modern societies – above all, the different spheres of responsibility which we are given in the workplace. By the same token, responsibility has clearly become a very important virtue in modern societies.

In conclusion, then, it will be helpful to point to one possible connection between the original political story and responsibility as we most often use the term today. (See also Pettit, 2001, for another account.) Uncertainty and disagreement about how we should live together is one of the most marked features of modern life. We live in an age when both individuals and organizations are asked to be endlessly flexible. Our roles and responsibilities are continually changing and continually challenged. Uncertainty and disagreement about prospective responsibilities are always passing over into disputes about retrospective responsibility, as we hold one another accountable. We all face the test, then, of how to conduct ourselves amid this uncertainty and disagreement. It is surely one hallmark of the person who exhibits the virtue of responsibility that she contributes to cooperation in the face of this difficult situation. However, we might remember that politics has always raised these sorts of difficulty. In modern societies, negotiation, compromise and judgment are required, not just of those who take on formal political office, but of all of us. It is surely no wonder, then, that we no longer think of responsibility as only a question for the political sphere.

6. References and Further Reading

  • Adkins, A.W.H. (1960) Merit and Responsibility, Clarendon Press, Oxford
    • Argues that the Greeks lacked modern, Kantian notions of duty and fairness in assigning responsibility.
  • Aristotle Nicomachean Ethics – the most readable translation is Roger Crisp’s, Cambridge University Press, Cambridge, 2000.
  • Bok, Hilary (1998) Freedom and Responsibility, Princeton University Press, Princeton NJ
    • A Kantian analysis of moral agency and retrospective responsibility.
  • Bovens, Mark (1998) The Quest for Responsibility: Accountability and Citizenship in Complex Organizations, Cambridge University Press, Cambridge
    • Investigates how regulation, organisational reform, and different means of accountability can address irresponsibility on the part of institutions.
  • Coffee, Jr., John (1981) “‘No Soul to Damn: No Body to Kick’: An Unscandalized Inquiry into the Problem of Corporate Punishment” Michigan Law Review, 79, 386-460.
  • Duff, R.A. (1990) Intention, Agency and Criminal Liability, Blackwell, Oxford, Chapters 3-5
    • A careful analysis of moral and legal responsibility, focusing on the centrality of intentional action.
  • Feinberg, Joel (1970) Doing and Deserving: Essays in the Theory of Responsibility, Princeton University Press, Princeton
    • A collection of classic essays on moral and legal responsibility.
  • Fingarette, Herbert (1967) “Acceptance of Responsibility” in his On Responsibility, Basic Books, New York
    • The essay referred to above, which takes the example of psychopathy and argues that responsibility attributions are intelligible only insofar as they connect up with a person’s existing moral concern.
  • Fingarette, Herbert (2004) Mapping Responsibility: Explorations in Mind, Law, Myth, and Culture, Open Court, Chicago
    • A collection of notably succinct essays, summarizing a life-time’s careful reflection on many aspects of responsibility.
  • Fischer, John Martin & Mark Ravizza (1998) Responsibility and Control: A Theory of Moral Responsibility, Cambridge University Press, Cambridge
    • Contemporary restatement of the idea that responsibility relates to rational control over one’s actions.
  • Hart, H.L.A. (1968) Punishment and Responsibility, Oxford University Press, Oxford
    • A noted twentieth century legal theorist analyses legal and moral responsibility, strongly defending distinctions between moral and legal responsibility, and between “punishment” and (in case of insanity) “treatment” .
  • Hill, Thomas E (2002) Human Welfare and Moral Worth: Kantian Perspectives, Clarendon, Oxford
    • Chapters 9 & 10 explain how Kant’s account of punishment is distinct from his account of moral imputation.
  • Hume, David (1777) An Enquiry Concerning the Principles of Morals (various editions)
    • Appendix IV, “Of some verbal disputes,” argues that there is no real line between a talent and a (moral) virtue, and that the real question concerning any character trait is whether it elicits approval (praise) or disapproval (blame) .
  • Jaspers, Karl (1947) The Question of German Guilt, translated by E.B. Ashton, Dial Press, New York
    • A classic reflection on the issues facing Germany after the second world war, posed in terms of criminal, political, moral, and metaphysical guilt.
  • Jonas, Hans (1984) The Imperative of Responsibility, University of Chicago Press, Chicago
    • Argues that our new power to destroy nature creates a historically novel responsibility toward future generations.
  • Kant, Immanuel (1793) Religion within the Limits of Reason Alone, books I & II (various translations)
    • Kant’s most sustained investigation of the basis on which individuals can be held accountable for failing to live up to morality. .
  • Korsgaard, Christine (1996) “Creating the Kingdom of Ends: Reciprocity and Responsibility in Personal Relations” in her Creating the Kingdom of Ends, Cambridge University Press, Cambridge
    • A sophisticated Kantian account of responsibility, that quietly takes leave of Kant’s own views on the matter.
  • Korsgaard, Christine (1996) The Sources of Normativity, Cambridge University Press, Cambridge.
  • Kutz, Christopher (2000) Complicity: Ethics and Law for a Collective Age, Cambridge University Press, Cambridge
    • A study of collective responsibility, arguing that individuals can justly be held responsible for group actions, in ways that need not mirror their individual contributions.
  • McKeon, Richard (1957) “The development and the significance of the concept of responsibility” Revue Internationale de Philosophie, XI, no. 39, 3-32
    • A historical study of the concept, stressing its political roots.
  • Moore, Michael (1998) Placing Blame, Clarendon Press, Oxford
    • Argues that legal responsibility and moral (retrospective) responsibility should both be understood in Kantian manner, based on the culpability that can only owe to a person’s free choices.
  • Pettit, Philip (2001) A Theory of Freedom: From the Psychology to the Politics of Agency, Polity, Cambridge
    • An account of responsible agency that emphasizes both responsiveness to reasons and the interactive nature of responsibility attribution, and explores the connection between individual agency and political contexts.
  • Ricoeur, Paul (1992) “The concept of responsibility: an essay in semantic analysis” in his The Just, trans David Pellauer, University of Chicago Press, Chicago
    • A demanding but astonishingly rich essay analyzing the concept historically and in relation to the fundamentals of human agency.
  • Ripstein, Arthur (1999) Equality, Responsibility and the Law, Cambridge University Press, Cambridge
    • An important recent discussion, that disavows the “voluntarism” (the focus on individual capacities underlying responsible agency and the fairness of retrospective responsibility) of many moral and legal accounts of responsibility, by suggesting that legal practices of responsibility are essentially about fostering fair terms of interaction.
  • Russell, Paul (1995) Freedom and Moral Sentiment: Hume’s Way of Naturalising Responsibility, Oxford University Press, New York
    • Shows how Hume’s approach is more sophisticated than a narrow utilitarian “economy of threats” theory.
  • Scanlon, T M (1998) What We Owe to Each Other, Chapter 6: “Responsibility,” Harvard University Press, Cambridge MA
    • Attacks a simple account of retrospective responsibility in terms of choice (“the forfeiture view”), for a more sophisticated “value of choice” view.
  • Sher, George (1987) Desert, Princeton University Press, Princeton
    • A careful, advanced study of the concept of desert.
  • Smart, J.J.C. (1961) “Free will, praise and blame” Mind 70, 291-306
    • A clear and succinct utilitarian account of praise and blame.
  • Smiley, Marion (1992) Moral Responsibility and the Boundaries of Community: Power and Accountability from a Pragmatic Point of View, University of Chicago Press, Chicago
    • Criticizes conventional discussions of freedom and determinism, claiming that they fail to investigate the idea of responsibility.
  • Strawson, Peter (1962) “Freedom and resentment” Proceedings of the British Academy 48, 1-25, reprinted in his Freedom and Resentment and Other Essays, Methuen, London, 1974
    • A classic essay, that seeks to bypass “free will” based accounts of responsibility for one based on moral sentiments such as resentment, reflecting the line of thought labeled above as Humean.
  • Wallace, R. Jay (1994) Responsibility and the Moral Sentiments, Harvard University Press, Cambridge MA
    • Seeks to mediate between the Humean and Kantian accounts of (retrospective) responsibility sketched above, by asking when it is fair to hold someone responsible and thus expose them to “reactive” emotions such as resentment or indignation.
  • Watson, Gary (1982) Free Will, Oxford University Press, Oxford
    • A useful anthology of twentieth century treatments of free will, including Strawson (1962) .
  • Williams, Bernard (1981) “Internal and external reasons,” in his Moral Luck, Cambridge University Press, Cambridge.
  • Williams, Bernard (1993) Shame and Necessity, University of California Press, Berkeley
    • Argues that the ancient Greeks had a sophisticated account of responsibility attribution. Though Williams relies on ancient Greek texts, his own views are identifiably Humean, and can be read as a reply to Adkins’ (1960) quasi-Kantian critique of Greek morality.
  • Williams, Bernard (1995) Making Sense of Humanity and other Philosophical Papers, 1982-1993, Cambridge University Press, Cambridge, Chapters 1-3.

Author Information

Garrath Williams
Email: g.d.williams@lancaster.ac.uk
Lancaster University
United Kingdom

Cheng Yi (1033—1107)

Cheng YiCheng Yi was one of the leading philosophers of Neo-Confucianism in the Song (Sung dynasty (960-1279). Together with his elder brother Cheng Hao (1032-1085), he strove to restore the tradition of Confucius and Mencius in the name of “the study of dao” (dao xue), which eventually became the main thread of Neo-Confucianism. Despite diverse disagreements between them, the two brothers are usually lumped together as the Cheng Brothers to signify their common contribution to Neo-Confucianism.

Cheng Yi asserted a transcendental principle (li) as an ontological substance. It is a principle that accounts for both the existence of nature and morality. He also asserted that human nature is identical with li and is originally good. The way of moral cultivation for Cheng Yi is through composure and extension of knowledge which is a gradual way towards sagehood. These ideas deviate from his brother’s philosophy as well as from Mencius’. They were developed into a school for the study of li (li xue), as a rival to the study of the mind (xin xue), which was initiated by Cheng Hao and inherited by Lu Xiangshan (1139-1193) and Wang Yangming (1472-1529). Cheng Yi’s thought had a great impact on Zhu Xi (1130-1200).

Table of Contents

  1. Life and Work
  2. Ontology
  3. Philosophy of Human Nature, Mind, and Emotion
    1. Human Nature and Human Feeling
    2. The Mind
  4. The Source of Evil
  5. Moral Cultivation
    1. Living with Composure
    2. Investigating Matters
    3. The Relation between Composure and Extension of Knowledge
  6. The Influence of Cheng Yi
  7. References and Further Reading

1. Life and Work

Cheng Yi, a native of Henan, was born into a family of distinguished officials. He used Zhengshu as courtesy name, but was much better known as Yichuan, the river in his home country. Cheng Yi grew up in Huangpo, where his father served as a local administrator. At fourteen, he and his elder brother were sent to study under the tutelage of Zhou Dunyi, the Song Dynasty’s founding father of Neo-Confucianism. At eighteen, driven by a strong sense of duty and concern for the nation, , he memorialized to the emperor a penetrating analysis of the current political crisis as well as the hardships of the common people. In 1056, led by his father, he and his brother traveled to Loyang, the capital, and enrolled in the imperial academy. There they made friends with Zhang Zai, who also eventually became a paragon of Neo-Confucianism.

With an excellent essay, Cheng Yi won the commendation of Hu Yuan, the influential educator, and he gained celebrity status in academia. Young scholars came to study with him from regions far and wide. In 1072, when Cheng Hao was dismissed from his government office, Cheng Yi organized a school with him and started his life-long career as a private tutor. Time and again he turned down offers of appointment in the officialdom. Nonetheless, he maintained throughout his life a concern for state affairs and was forthright in his strictures against certain government policies, particularly those from the reform campaign of Wang Anshi. As the reformers were ousted in 1085, Cheng Yi was invited by the emperor to give political lectures regularly. He did so for twenty months, until political attacks put an end to his office.

At the age of sixty, Cheng Yi drafted a book on the Yizhuan (Commentary on the Book of Changes) and laid plans for its revision and publication in ten years. In 1049, he finished the revision complete with a foreword. He then turned to annotate the Lunyu (Analects), the Mengzi (Mencius), the Liji (Record of Ritual) and the Chunqiu (Spring and Autumn Annals). In the following year he began working on the Chunqiu Zhuan (Commentary on Spring and Autumn Annals). However, in 1102, as the reformers regained control, he was impeached on charges of “evil speech.” As a result, he was prohibited from teaching, and his books were banned and destroyed. In 1109 he suffered a stroke. Sensing the imminent end of his life, he ignored the restriction on teaching and delivered lectures on his book Yizhuan. He died in September of that year.

Apart from the book mentioned above, Cheng Yi left behind essays, poems and letters. These are collected in Works of the Cheng Brothers (Er Cheng Ji), which also carries his conversations as recorded by his disciples. Works of the Cheng Brothers is an amended version of Complete Works of the Two Chengs (the earliest version was published during the Ming dynasty), which includes Literary Remains (Yishu), Additional Works (Waishu), Explanation of Classics (Jingshuo), Collections of Literary Works (Wenyi), Commentary on the Book of Change (Zhouyi Zhuan) and Selected Writings (Cuiyan). Reflections on Things at Hand (Jinsi lu) which was compiled by Zhu Xi (1130-1200) and Lu Zuqian (1137-1181), also collected many of Cheng Yi’s conversations.

2. Ontology

The concept of li is central to Cheng Yi’s ontology. Although not created by the Cheng brothers, it attained a core status in Neo-Confucianism through their advocacy. Thus, Neo-Confucianism is also called the study of li (li xue). The many facets of li are translatable in English as “principle,” “pattern,” “reason,” or “law.” Sometimes it was used by the Chengs as synonymous with dao, which means the path. When so used, it referred to the path one should follow from the moral point of view. Understood as such, li plays an action-guiding role similar to that of moral laws. Apart from the moral sense, li also signifies the ultimate ground for all existence. This does not mean that li creates all things, but rather that li plays some explanatory role in making them the particular sorts of things they are. Therefore, li provides a principle for every existence. While Cheng Yi was aware that different things have different principles to account for their particular existence, he thought that these innumerable principles amounted to one principle. This one principle is the ultimate transcendental ground of all existence, which Zhu Xi later termed taiji (“great ultimate”) – the unitary basis of the dynamic, diverse cosmos. While the ultimate principle possesses the highest universality, the principle for a certain existence represents the specific manifestation of this ultimate principle. Therefore the latter can be understood as a particularization of the former.

Apparently for Cheng Yi, li is both the principle for nature and that for morality. The former governs natural matters; the latter, human affairs. To illustrate this with Cheng’s example, li is the principle by which fire is hot and water is cold. It is also the principle that regulates the relation between father and son, requiring that the father be paternal and the son be filial.

As the principle of morality, li is ontologically prior to human affairs. It manifests itself in an individual affair in a particular situation. Through one’s awareness, pre-existent external li develops into an internal principle within the human heart-mind (xin). On the other hand, as the principle of nature, li is also ontologically prior to a multitude of things. It manifests itself in the vital force (qi) of yin-yang. The relationship between li and yin-yang is sometimes misconstrued as one of identity or coextensivity, but Cheng Yi’s description of the relationship between the two clearly indicates otherwise.For him, li is not the same thing as yin-yang, but rather is what brings about the alternation or oscillation between yin and yang. Although li and qi belong to two different realms — namely, the realm “above form” (xing er shang) and the realm “below form” (xing er xia) — they cannot exist apart from one another. He clearly stated that, apart from yin-yang, there is no dao.

In summary, no matter whether as the principle of nature or that of morality, li serves as an expositional principle which accounts for what is and what should be from an ontological perspective. Therefore, as Mou Zongsan argued, for Cheng Yi, li does not represent an ever producing force or activity, as his brother Cheng Hao perceived, but merely an ontological ground for existence in the realm of nature as well as morality.

3. Philosophy of Human Nature, Mind, and Emotion

a. Human Nature and Human Feeling

Human nature (xing) has been a topic of controversy since Mencius championed the view that human nature is good (xing shan). The goodness of human nature in this sense is called the “original good,” which signifies the capacity of being compassionate and distinguishing between the good and the bad. Cheng Yi basically adopted Mencius’ view on this issue and further provided an ontological ground for it. He claimed that human nature and dao are one, thus human nature is equivalent to li. Human nature is good since dao and li are absolute good, from which moral goodness is generated. In this way Cheng Yi elevated the claim that human nature is good to the level of an ontological claim, which was not so explicit in Mencius.

According to Cheng Yi, all actions performed from human nature are morally good. Presenting itself in different situations, human nature shows the different aspects of li — namely, humanity (ren), righteousness (yi), propriety (li), wisdom (qi), and trustworthiness (xin). (These five aspects of li also denote five aspects of human nature.) Human beings are able to love since ren is inherent in their nature. When the heart-mind of compassion is generated from ren, love will arise. Nevertheless, love belongs to the realm of feeling (qing) and therefore it is not human nature. (Neo-Confucians tended to regard human feelings as responses of human nature to external things.) Cheng Yi argued that we can be aware of the principle of ren inherent in us by the presentation of the heart-mind of compassion. Loyalty (zhong) and empathy (shu) are only feelings and, thus, they are not human nature. Because of ren, human beings are able to love, be loyal and be empathetic. Nevertheless, to love, in Cheng Yi’s words, is only the function (yong) of ren and to be empathetic is its application.

As a moral principle inherent in human nature, ren signifies impartiality. When one is practicing ren, one acts impartially, among other things. Ren cannot present itself but must be embodied by a person. Since love is a feeling, it can be right or wrong. It may be said that ren is the principle to which love should conform. In contrast to Cheng Hao’s theory that ren represents an ever producing and reproducing force, ren for Cheng Yi is only a static moral principle.

Ren, understood as a moral principle that has the same ontological status as li or dao, is a substance (ti) while feeling of compassion or love is a function. Another function of ren consists in filial piety (xiao) and fraternal duty (ti). These have been regarded by Chinese people as cardinal virtues since the time of the early Zhou dynasty. It was claimed in the Analects that filial piety and fraternal duty are the roots of ren. However, Cheng Yi gave a re-interpretation by asserting that filial piety and fraternal duty are the roots of practicing ren. Again, this shows that for Cheng Yi, ren is a principle, and filial piety and fraternal duty are only two of the ways of actualizing it. When one applies ren to the relationship of parents and children, one will act as filial, and to the relationship between siblings, one will act fraternally. Moreover, Cheng Yi considered filial piety and fraternal duty the starting points of practicing ren.

Having said that ren is substance whereas love, filial piety, and fraternal duty are its functions, it should be noted that according to Cheng Yi the substance cannot activate itself and reveal its function. The application of ren mentioned above merely signifies that the mind and feeling of a person should conform to ren in dealing with various relationships or situations. This is what the word “static” used in the previous paragraph means. Thus understood, ren as an aspect of human nature deviates from Mencius’ perception, as well as the perception in The Doctrine of the Mean (Zhong Yong) and the Commentary of the Book of Change, as Mou Zongsan pointed out. Mou also argued that the three sources mentioned have formed a tradition of understanding dao both as a substance and as an activity. Not surprisingly, Cheng Yi’s view on human nature and li is quite different from his brother Cheng Hao’s.

By the same token, other aspects in human nature such as righteousness, propriety, wisdom and trustworthiness are mere principles of different human affairs. One should seek conformity with these principles in dealing with issues in ordinary life.

b. Mind

The duality of li and qi in Cheng Yi’s ontology also finds expression in his ethics, resulting in the tripartite division of human nature, human mind and human feeling. In Cheng Yi’s ethics, the mind of a human being does not always conform to his nature; therefore a human sometimes commits morally bad acts. This is due to the fact that human nature belongs to the realm of li and the mind and feelings belong to the realm of qi. Insofar as the human mind is possessed by desires which demand satisfaction, it is regarded as dangerous. Although ontologically speaking li and qi are not separable, desires and li contradict one another. Cheng Yi stressed that only when desires are removed can li be restored. When this happens, Cheng maintained, the mind will conform to li, and it will transform from a human mind (ren xin) to a mind of dao (dao xin). Therefore, human beings should cultivate the human mind in order to facilitate the above transformation. For Cheng Hao, however, li is already inherent in one’s heart-mind, and one only needs to activate one’s heart-mind for it to be in union with li. The mind does not need to seek conformity with li to become a single entity, as Cheng Yi suggested. It is evident that the conception of the mind in Cheng Yi’s ethics also differs from that in Mencius’ thought. Mencius considered the heart-mind as the manifestation of human nature, and if the former is fully activated, the latter will be fully actualized. For Mencius, the two are identical. Yet for Cheng Yi, li is identical with human nature but lies outside the mind. This difference of the two views later developed into two schools in Neo-Confucianism: the study of li (li xue) and the study of xin (xin xue). The former was initiated by Cheng Yi and developed by Zhu Xi and the latter was initiated by Cheng Hao and inherited by Lu Xiangshan (1139-1193) and Wang Yangming.

4. The Source of Evil

According to Cheng Yi, every being comes into existence through the endowment of qi. A person’s endowment contains various qualities of qi, some good and some bad. These qualities of qi are described in terms of their being “soft” or “hard,” “weak” or “strong,” and so forth. Since the human mind belongs to the realm of qi, it is liable to be affected by the quality of qi, and evil (e) will arise from the endowment of unbalanced and impure allotments of qi.

Qi is broadly used to account for one’s innate physical and mental characteristics. Apart from qi, the native endowment (cai) would also cause evil. Compared to qi, cai is more specific and refers to a person’s capacity for both moral and non-moral pursuits. Cai is often translated as “talent.” It influences a person’s moral disposition as well as his personality. Zhang Zai coined a term “material nature” (qizhi zhi xing), to describe this natural endowment. Although Cheng Yi adopted the concept of material nature, A.C. Graham noted that the term appeared only once in the works of the Cheng Brothers as a variant for xingzhi zhi xing. Nevertheless, this variant has superseded the original reading in many texts. Cheng Yi thought that native endowment would incline some people to be good and others to be bad from early childhood. He used an analogy to water in order to illustrate this idea: some water flows all the way to the sea without becoming dirty, but some flows only a short distance and becomes extremely turbid. Yet the water is the same. Similarly, the native endowment of qi could be pure or not. However, Cheng Yi emphasized that although the native endowment is a constraint on ordinary people transforming, they still have the power to override this endowment as long as they are not self-destructive (zibao) or in self-denial (ziqi). Cheng Yi admitted that the tendency to be self-destructive or in self-denial is also caused by the native endowment. However, since such people possess the same type of human nature as any others, they can free themselves from being self-destructive or in self-denial. Consequently Cheng Yi urged people to make great efforts to remove the deviant aspects of qi which cause the bad native endowment and to nurture one’s qi to restore its normal state. Once qi is adjusted, no native endowment will go wrong.

As mentioned in the previous section, Cheng Yi maintained that human desires are also the origin of selfishness, which leads to evil acts. The desires which give rise to moral badness need not be a self-indulgent kind. Since they are by nature partial, one will err if one is activated by desire. Any intention with the slightest partiality will obscure one’s original nature; even the “flood-like qi” described by Mencius (Mengzi 2A2) will collapse. The ultimate aim of moral practice is then to achieve sagehood where one will do the obligatory things naturally without any partial intention.

The Cheng brothers wrote, “It lacks completeness to talk about human nature without referring to qi and it lacks illumination to talk about qi without referring to human nature.” Cheng Yi’s emphasis on the influence of qi on the natural moral dispositions well reflects this saying. He put considerable weight on the endowment of qi; nevertheless, the latter by no means playsa deterministic role in moral behavior.

5. Moral Cultivation

a. Living with Composure

For Cheng Yi, to live with composure (ju jing) is one of the most important ways for cultivating the mind in order to conform with li. Jing appeared in the Analects as a virtue, which Graham summarized as “the attitude one assumes towards parents, ruler, spirits; it includes both the emotion of reverence and a state of self-possession, attentiveness, concentration.” It is often translated as “reverence” or “respect.” Hence in the Analects, respect is a norm which requires one to collect oneself and be attentive to a person or thing. Respect necessarily takes a direct object. Cheng Yi interpreted jing as the unity of the mind, and Graham proposed “composure” as the translation. As Graham put it, for Cheng Yi, composure means “making unity the ruler of the mind” (zhu yi). What is meant by unity is to be without distraction. In Cheng Yi’s own words, if the mind goes neither east nor west, then it will remain in equilibrium. When one is free from distraction, one can avoid being distressed by confused thoughts. Cheng Yi said that unity is called sincerity (cheng). To preserve sincerity one does not need to pull it in from outside. Composure and sincerity come from within. One only needs to make unity the ruling consideration, and then sincerity will be preserved. If one cultivates oneself according to this way, eventually li will become plain. Understood as such, composure is a means for nourishing the mind. Cheng Yi clearly expressed that being composed is the best way for a human being to enter into dao.

Cheng Yi urged the learner to cultivate himself by “being composed and thereby correcting himself within.” Furthermore, he indicated that merely by controlling one’s countenance and regulating one’s thought, composure will come spontaneously. It is evident that controlling one’s countenance and regulating one’s thought is an empirical way of correcting oneself within. Such a way matches the understanding of the mind as an empirical mind which belongs to qi. Mou Zongsan pointed out that this way of cultivating the empirically composed mind is quite different from Mencius’ way of moral cultivation. For the latter, the cultivation aims at the awareness of the moral heart-mind, a substance identical with Heaven. Since the mind and li are not identical in Cheng Yi’s philosophy, they are two entities even though one has been cultivating one’s mind for a long time, and what one can hope to achieve is merely always to be in conformity with li.

b. Investigating Matters

To achieve the ultimate goal of apprehending li, Cheng Yi said, one should extend one’s knowledge (zhi zhi) by investigating matters (ge wu). The conception of extending knowledge by investigating matters originates from the Great Learning (Da Xue), where the eight steps of practicing moral cultivation by the governor who wanted to promote morality throughout the kingdom were illustrated. Cheng Yi expounded the idea in “the extension of knowledge lies in the investigation of things” in the Great Learning by interpreting the key words in “the investigation of matters.” The word “investigation” (ge) means “arrive at” and “matters” (wu) means “events.” He maintained that in all events there are principles (li) and to arrive at those principles is ge wu. No matter whether the events are those that exist in the world or within human nature, it is necessary to investigate their principles to the utmost. That means one should, for instance, investigate the principle by which fire is hot and that by which water is cold, also the principles embodied in the relations between ruler and minister, father and son, and the like. Thus understood, the investigation of things is also understood as exhausting the principles (qiong li). Cheng Yi emphasized that these principles are not outside of, but already within, human nature.

Since for every event there is a particular principle, Cheng Yi proposed that one should investigate each event in order to comprehend its principle. He also suggested that it is profitable to investigate one event after another, day after day, as after sufficient practice, the interrelations among the principles will be evident. Cheng Yi pointed out that there are various ways to exhaust the principles, for instance, by studying books and explaining the moral principles in them; discussing prominent figures, past and present, to distinguish what is right and wrong in their actions; experiencing practical affairs and dealing with them appropriately.

Cheng Yi rejected the idea that one should exhaust all the events in the world in order to exhaust the principles. This might appear to conflict with the proposition that one should investigate into each event, yet the proposal can be understood as “one should investigate into each event that one happens to encounter.” Cheng Yi claimed that if the principle is exhausted in one event, for the rest one can infer by analogy. This is possible is due to the fact that innumerable principles amount to one.

From the above exposition of Cheng Yi’s view on the investigations of matters, the following implication can be made. First, the knowledge obtained by investigating matters is not empirical knowledge. Cheng Yi was well aware of the distinction between the knowledge by observation and the knowledge of morals as initially proposed by Zhang Zai. The former is about the relations among different matters and therefore is gained by observing matters in the external world. The latter cannot be gained by observation. Since Cheng Yi said that the li exhausted by investigating matters is within human nature, it cannot be obtained by observation, and thus is not any kind of empirical knowledge.

This may be confusing, but if we compare Cheng Yi’s kind of knowledge to scientific knowledge, things may become clearer. It is important to distinguish between the means one uses to get knowledge, and the constituents of that knowledge. One uses observation as a means to better understand the nature of external things. But the knowledge one gains isn’t observational by nature. It isn’t the sort of knowledge scientists have in mind when they say “objects with mass are drawn toward one another.” It differs in at least two respects: first, the content of one’s knowledge is something we can draw from ourselves, as we have the same li in our nature; second, the knowledge we gain doesn’t rest on the authority of observations. We know it without having to put our trust in external observations, since the knowledge is drawn from inside ourselves. We only need external observation in order to liberate this internal knowledge. So we need it as a means, but no more.

Second, according to Cheng Yi, investigating matters literally means arriving at an event. It implies that the investigation is undertaken in the outside world where the mind will be in contact with the event. Only through the concrete contact with the eventis the act of knowing concretely carried out and the principles can be exhausted.

Third, Cheng Yi believed that through the investigation of matters the knowledge obtained is the knowledge of morals. When one is in contact with an event, one will naturally apprehend the particulars of the event and the knowledge by observation will thus form. Nevertheless, in order to gain the knowledge of morals one should not stick to those concrete particulars but go beyond to apprehend the transcendental principle which accounts for the nature and morals. Thus, the concrete events are only necessary means to the knowledge of morals. They themselves are not constituents of the knowledge in question, as Mou Zongsan argued.

c. The Relation between Composure and Extension of Knowledge

According to Cheng Yi, learning to be an exemplary person (junzi) lies in self-reflection. Self-reflection in turn lies in the extension of knowledge. Also, only by self-reflection can one transform the knowledge by observation into the knowledge of morals. This is possible only if the mind is cultivated in the maintenance of composure. With composure in place, one can apprehend the transcendental principles of events. Cheng Yi made a remark on this idea: “It is impossible to extend the knowledge without composure.” This also explains the role composure plays in obtaining the knowledge of morals by investigating matters.

Contrariwise, obtaining the knowledge of morals can stabilize the composed mind and regulate concrete events to be in conformity with li. Cheng Yi described this gradual stabilization of the mind by accumulating moral knowledge as “collecting righteousness (ji yi).”

Self-reflection for Cheng Yi meant cultivating the mind with composure. However, as mentioned above, the mind cannot be identical with li; it can only conform to it since they belong to two different realms. Since the knowledge obtained by the composed mind comprises the transcendental principles, the knowing in question is a kind of contemplative act. Notwithstanding that, this act still represents a subject-object mode of knowing. On the contrary, the meaning of self-reflection for Mencius reveals a different dimension. The knowledge of morals gained by self-reflection is not any principle which the mind should follow. The knowing is an awareness of the moral mind itself through which its identification with human nature and also with li is revealed. Therefore the object of knowing is not the principle out there (inherent in human nature though) but the knowing mind itself. The awareness thus is a self-awareness. The reflection understood as such is not the cognition per se; it is rather the activation of the mind. In the act of activation, the dichotomy of the knowing and the known diminishes. Moreover, when the mind is activated, human nature is actualized and li will manifest itself. Hence, the mind is aware of itself being a substance, from which li is created. Here Cheng Yi draws upon the distinction between a thing’s substance, understood as its essential and inactive state, and the active state in which it behaves in characteristic ways. Anticipating that his account of the mind will be misread as suggesting that the mind has two parts — an active and inactive part — Cheng Yi clarifies that he understands the two parts to be, in fact, two aspects of one and the same thing.

6. The Influence of Cheng Yi

The distinctive and influential ideas in Cheng Yi’s thought can be summarized as follows:

  1. There exists a transcendental principle (li) of nature and morality, which accounts for the existence of concrete things and also the norms to which they adhere.
  2. This principle can be apprehended by inferring from concrete things (embodied as qi) to the transcendental li.
  3. This principle is static, not active or in motion.
  4. Human nature is identical with li, but this should be distinguished from the human mind, which belongs to the realm of qi.
  5. Ren belongs to human nature and love belongs to the realm of feeling.
  6. Moral cultivation is achieved gradually, through composure and the cumulative extension of knowledge.

Cheng Yi had tremendous impact on the course of Confucian philosophy after his time. His influence is most manifest, however, in the thought of the great Neo-Confucian synthesizer Zhu Xi, who adopted and further developed the views outlined above.

7. References and Further Reading

  • Chan, Wing-tsit, trans. Reflections on Things at Hand: The Neo-Confucian Anthology Compiled by Zhu Xi and Lu Zu-qian. New York: Columbia University Press, 1967.
    • This contains selections of Cheng Yi’s work in English.
  • Cheng Hao & Cheng Yi. Complete Works of Cheng Brothers (Er Cheng Ji) (in Chinese). Beijing:Zhonghua Shuju, 1981.
    • This is the most complete work of the Cheng Brothers.
  • Graham, A.C. Two Chinese Philosophers: The Metaphysics of the Brothers Ch’êng. La Salle, Illinois: Open Court Publishing Company, 1992.
    • This is the only English monograph on the Cheng Brothers. It provides an in-depth discussion on the philosophy of Cheng Yi. The author also refers to the interpretations made by Zhu Xi.
  • Mou Zongsan (Mou Tsung-san). The Substance of Mind and the Substance of Human Nature (Xinte yu xingte) (in Chinese), vol. II. Taibei: Zhengzhong Shuju, 1968.
    • This work is famous for its extraordinary depth and incomparable clarity in the study of Neo-Confucianism of Song and Ming dynasty. It provides a historical as well as philosophical framework to understand various systems of Neo-Confucianism in that period.
  • Huang, Siu-chi. Essentials of Neo-Confucianism: Eight Major Philosophers of the Song and Ming Periods. London: Greenwood Press, 1999.
    • This book on Neo-Confucianism is clearly written and thoughtfully presented. It contains a good summary of Cheng Yi’s thought.
  • Huang, Yong. “The Cheng Brothers’ Onto-theological Articulation of Confucian Values.” Asian Philosophy 17/3 (2007): 187-211.
    • A philosophical discussion on the Cheng Brothers’ ideas of the relations between their ontology and ethics.
  • Huang, Yong. “How Weakness of Will Is Not Possible: Cheng Yi on Moral Knowledge.” In Educations and Their Purposes: Dialogues across Cultures, eds. R.T. Ames and P. Hershock (Honolulu, Hawaii: University of Hawaii Press, 2007), 429-456.
    • This article attempts to bring Cheng Yi’s concept of moral knowledge into the current discourse on weakness of will.

Author Information

Wai-ying Wong
Email: wongwy@ln.edu.hk
Lingnan University
Hong Kong, China

Nicholas Rescher (1928—)

RescherNicholas Rescher (1928- ) is a prominent representative of contemporary pragmatism, but, unlike most analytic thinkers, he managed to establish himself as a systematic philosopher. In particular, he built a system of “pragmatic idealism” that combines elements of the European continental idealism with American pragmatism. One of the most salient features of Rescher¹s work is the breadth of topics with which he has dealt, including logic in its various forms, epistemology, the philosophy of science, metaphysics, process philosophy, ethics and political philosophy. He has written about 400 articles and 100 books.

In his system of pragmatic idealism, the activity of the human mind plays a key role and makes a fundamental contribution to knowledge, while “valid” knowledge contributes to practical success. Rescher also defends a coherence theory of truth in a manner differing in a significant way from that endorsed by classical idealism. He draws an original distinction between a pragmatism of the left and a pragmatism of the right. The first is a flexible type of pragmatism that endorses a greatly enhanced cognitive relativism. The second envisions the pragmatist enterprise as a source of cognitive security. Rescher sees Charles S. Peirce, Clarence I. Lewis and himself as adherents to the pragmatism of the right, and William James, F. S. C. Schiller and Richard Rorty as representatives of the pragmatism of the left, with John Dewey standing in a middle of the road position.

In the philosophy of science, Rescher claims, against any form of instrumentalism and many postmodern authors as well, that natural science can validate a plausible commitment to the actual existence of its theoretical entities. Scientific conceptions aim at what really exists in the world, but only hit it imperfectly and “well off the mark.” What we can get is, at most, a rough consonance between our scientific ideas and reality itself.

Rescher recognizes that moral rules are frequently part of the customs of a community, but he denies that morality consists in conformity to mores or in benefit-maximization.

Table of Contents

  1. Life
  2. Main Topics of Rescher’s Work
  3. Pragmatism
  4. Objectivity and Rationality
  5. Truth
  6. Evolutionary Epistemology
  7. Pragmatic Idealism
  8. Philosophy of Science
  9. Logic and Conceptual Schemes
  10. Social Philosophy
  11. Ethical Issues
  12. References and Further Reading

1. Life

Nicholas Rescher was born on July 15, 1928, in the German town of Hagen, Westphalia. He is one of the many contemporary American philosophers whose life began in a foreign country, and who then pursued a successful career in the United States. Rescher obtained his Ph.D. in Philosophy from Princeton University in 1951 at the age of twenty-two. He was the youngest person ever to do so in that department. He is also among the most prolific of contemporary scholars, having written more than 400 articles and 100 books, ranging over many areas of philosophy, over a dozen of which have been translated into foreign languages.

He was awarded the Alexander von Humboldt Prize for Humanistic Scholarship in 1984, the Cardinal Mercier Prize in 2005, and the American Catholic Philosophical Society’s Aquinas medal in 2007. He has served as a President of the American Philosophical Association, American Catholic Philosophy Association, American G. W. Leibniz Society, C. S. Peirce Society, and the American Metaphysical Society. He has held visiting lectureships at Oxford, Constance, Salamanca, Munich, and Marburg; and his work has been recognized by seven honorary degrees from universities on three continents. Rescher serves on the editorial board of Process Studies, the principal academic journal for both process philosophy and theology. He has for many years been teaching at the University of Pittsburgh with a status of University Professor. His life is detailed in an Autobiography (Frankfurt: Ontos Verlag, 2007).

2. Main Topics of Rescher’s Work

Rescher has written on a wide range of topics, including logic, epistemology, the philosophy of science, metaphysics, and the philosophy of value. He is best known as an advocate of pragmatism and, more recently, of process philosophy. Over the course of his six-decade research career, Rescher has established himself as a systematic philosopher of the old style, and the author of a system of pragmatic idealism that combines elements of continental idealism with American pragmatism. To this end, he:

  • Has developed a system of pragmatic idealism, in which the activity of the human mind makes a positive and constitutive contribution to knowledge, and “valid” knowledge contributes to practical success;
  • Defends a coherence theory of truth in a manner differing somewhat from that of classical idealism; see for example his exchange in The Philosophy of Brand Blanshard (in the Library of Living Philosophers series);
  • Advocates an “erotetic propagation” of science, asserting that scientific inquiry will continue without end because each newly answered question adds a presupposition for at least one more open question to the current body of scientific knowledge;
  • Propounds an epistemic law of diminishing returns that holds that actual knowledge merely stands as the logarithm of the available information. This has the corollary that the comparative growth of knowledge is inversely proportional to the volume of information already at hand, so that when information grows exponentially, knowledge will grow at a merely linear rate.

Apart from this larger program, Rescher has made significant contributions to:

  • Historical studies on Leibniz, Kant, Peirce, and on the medieval Arabic theory of modal syllogistic and logic;
  • Logic (the conception of autodescriptive systems of many-sided logic);
  • The theory of knowledge (“epistemetrics” as a quantitative approach in theoretical epistemology);
  • The philosophy of science (the theory of logarithmic returns in scientific effort).

3. Pragmatism

Rescher draws an important distinction between a more flexible “pragmatism of the left” and a more conservative “pragmatism of the right.” Referring to a famous article by Arthur Lovejoy, he notes that there seem to be as many pragmatisms as pragmatists. Usually, however, those who are interested in pragmatism from an historical point of view tend to forget that, from the beginning, a substantial polarity is present in this tradition of thought. It is a dichotomy between what Rescher calls “pragmatism of the left,” namely a flexible type of pragmatism which endorses a greatly enhanced cognitive relativism, and a “pragmatism of the right,” namely a different position that sees the pragmatist stance as a source of cognitive security. Both positions are eager to assure pluralism in the cognitive enterprise and in the concrete conduct of human affairs, but the meaning they attribute to the term “pluralism” is not the same. Rescher sees C. S. Peirce, C. I. Lewis and himself as adherents of the pragmatism of the right, and William James, F. S. C. Schiller and Richard Rorty as representatives of the pragmatism of the left, with John Dewey standing somehow in a middle of the road position.

The position of the so-called pragmatists of the left is clear: one just has to read Rorty’s works to see where it ends up, from both a cognitive and a social-political viewpoint. But what does the pragmatism of the right really come to? Parochial diversity is something that a post-modern pragmatist such as Rorty gladly accepts in order to achieve results that are, at the same time, subjectivistic and relativistic. On the other hand, even a Rescherian pragmatist sees practical efficacy as the cornerstone of our endeavors, but at the same time he takes efficacy to be the best instrument we have at our disposal for achieving objectification.

Objective pragmatism — or the pragmatism of the right, as Rescher calls it — implies that (a) our social-linguistic world evolved out of natural reality; (b) this social-linguistic world acquires an increasing autonomy; (c) between the social and the natural worlds there is no ontological line of separation, but just a functional one; (d) however, the accessibility to natural reality is only granted by the tools that the social-linguistic world provides us with; (e) this means that our knowledge of natural reality is always tentative and mediated by our conceptual capacities; (f) there is no need to draw relativistic conclusions from this situation, because the presence of an objective reality that underlies the data at hand puts upon personal desires objective constraints that we are able to overcome at the verbal level, but not in the sphere of rational deliberations implementing actions.

4. Objectivity and Rationality

Rescher’s definition of ontological objectivity is the following: Objectivity is not something we infer from the data; it is something we do and must presuppose. It is something that we postulate or presume from the very outset of our dealings with people’s claims about the world’s facts – our own included. Its epistemic status is not that of an empirical discovery but that of a presupposition whose ultimate justification is a transcendental argument from the very possibility of the projects of communication and inquiry as we standardly conduct them.

The specification at stake here is just the opposite of objectivity conceived of as something that we merely infer from empirical data (maybe with a little abstractive effort). But, on the other side, nor can it be equated with a classical idealistic viewpoint, according to which objectivity is something that our mind simply creates in the process of reflection. Objectivity is, in this case, a sort of cross-product of the encounter between our mind-shaped tools and capacities, and a surrounding reality made of things that are real in the classical meaning of the term: they are there and in no way can be said to be mind-created. But a final — and quite important — qualification is in order: the very mode in which we see these real things, and conceive of (and speak about) them is indeed mind-dependent. Science itself gives us some crucial insights in this direction, since it shows that we see, say, tables and trees in a certain way which, however, does not match the image that scientific instruments are able to attain.

On the other hand rationality is for Rescher a matter of idealization. Although we must admit our natural origins and evolutionary heritage, we must give way as well to the recognition that there is indeed something that makes us unique. Only human beings are able to “gaze towards idealities” and to somehow detach themselves from “the actualities on an imperfect world.” Just like objectivity, rationality is the expression of mankind’s capacity to see not only how things actually are, but also how they might have been and how they could turn out to be if we were to take some course of action rather than another. Thus the concept of possibility plays a key role.

5. Truth

Rescher endorses a coherentist approach to truth. Why? The answer is, first of all, systemic and holistic: he needs a coherence theory because the older and more classical correspondence theories do not fit into the comprehensive philosophical system he managed to build. But there is also a more theoretical reply, because he believes a coherence theory has a great number of fertile applications, such as in the methodology of the use of historical sources, the analysis of counterfactual conditionals, and the problems of inductive logic. As he recognizes in The Coherence Theory of Truth, the first impetus towards developing a coherentist approach to truth came from a theory of inference from inconsistent premises constructed for the analysis of counterfactual conditionals.

Rescher’s point of departure is the distinction between “definitional” and “criterial” theories of truth, that is, between what truth is and how we acquire truth. The definitional theories try to provide a definition of the expression “is true” as a characteristic of propositions. The criterial ones aim, instead, at specifying the test-conditions which allow us to determine whether (or not) there is warrant to apply “is true” to propositions. Rescher prefers the second alternative and, once again, the reasons for such a preference are typically pragmatic: The criterial approach to truth is decision-oriented. Its aim is not to specify in the abstract what “is true” means, but rather to put us into a position to implement and apply the concept by instructing us as to the circumstances under which there is rational warrant to characterize or class something (that is, some proposition) as true. Why bother with a criterion once a definition is at hand? To know the meaning of a word or concept is only half the battle: We want to be able to apply it, too. It does little good to know how terms like “speed limit” or “misdemeanor” are defined in the abstract if we are left in the dark as to the conditions of their application.

6. Evolutionary Epistemology

According to Rescher we must address a basic question: which kind of evolution are we referring to when talking of evolutionary epistemology? If we take evolution to be an undifferentiated concept, such that no useful distinction can be found in it, we are — according to our author — on a wrong track. The evolutionary “pattern” is certainly one, but for sure this should not lead us to assume that the specific characteristics of mankind must be left out of the picture, either because they are not important or because no specifically human characteristic is admitted. Rescher’s evolutionary framework, as it always happens in his philosophical system, is pluralistic and multi-sided.

The evolutionary pathway provided by the route of intelligence is one of the alternative ways of coping within nature that are available to biological organisms. (Other ways include toughness, multiplicity and isolation). Human beings, thus, can be said to have evolved to fill a possible ecological niche left free for intelligent creatures.

There are, however, many ways to look at the evolution of mankind. Rescher stresses that, after all, intelligence has evolved not because it aids the survival of its possessors within nature. It arose because it represents one effective means of survival. Intelligence is our functional substitute for the numerousness of termites, the ferocity of lions, or the toughness of microorganisms. So, it might even be said that this is our specific manner of fighting the battle for survival: we would not be here if our intelligence-led rationality were not survival-conducive. But does all this mean that intelligence is an inevitable feature of conscious organic life? The answer to such a question is crucial and, as long as Rescher is concerned, is negative.

The scheme we get by adopting this stance is, thus, more complex than the reductionistic one endorsed by materialist philosophers, since any element of the biological sphere is matched by an analogous element located in a sphere that may be defined as “sociological-intellectual,” along the following lines. At the biological level we have:

(A) Biological mutation;

(B) Reproductive elimination of traits through their non-realization in an individual’s progeny; and, eventually,

(C) One’s physical progeny.

The same steps can be traced at the sociological-intellectual level:

(A1) Procedural variation;

(B1) Reproductive elimination of processes through their lapsed transmissions to one’s successors (for example, children or students);

(C1) Those individuals whom one influences.

The differences between (A)-(C) and (A1)-(C1) are clearly visible but, no doubt, the same process is at issue in both cases, since both involve structures that are maintained over time.

7. Pragmatic Idealism

No one can seriously doubt that there are strong idealistic features in Rescher’s philosophy. For example, he never tires of stressing that the conceptual apparatus we employ itself makes a creative contribution to our view of the world, and his holistic stance is clearly influenced by Hegel and Bradley, thinkers who have long been quite unpopular within American analytic philosophy. But idealism is just one element in a broader framework where pragmatism plays the key role, and other important components are detectable as well in his thought (for instance naturalism). No doubt Leibniz, Kant, Hegel and Bradley are all philosophers who deeply influenced his outlook. But, still, the central figure in Rescher’s personal Olympus is (and will remain) Charles S. Peirce. Here is how Rescher recalls how the idealistic perspective became a central feature of his comprehensive philosophical outlook:

I recall well how the key ideas of my idealistic theory of natural laws – of “lawfulness as imputation” – came to me in 1968 during work on this project while awaiting the delivery of Arabic manuscripts in the Oriental Reading Room of the British Museum. It struck me that what a law states is a mere generalization, but what marks this generalization as something special in our sight — and renders it something we see as a genuine law of nature — is the role that we assign to it in inference. Lawfulness is thus not a matter of what the law-statement says, but how it is used in the systematization of knowledge — the sort of role we impute to it. These ideas provided an impetus to idealist lines of thought and marked the onset of my commitment to a philosophical idealism which teaches that the mind is itself involved in the conceptual constitution of the objects of our knowledge. (Instructive Journey: An Essay in Autobiography, pages 172-173)

It should be noted that Rescher immediately tied these idealistic insights to the philosophy of science, a sector that has always been at the core of his interests. The aforementioned statements, in fact, led him to the conclusion that scientific discovery, Galileo notwithstanding, is not a matter of simply “reading” what is written in the book of nature, but is rather the outcome of the interaction between nature on the one side, and human mind on the other. The contribution which mind gives to the construction of “our science” is at least as important as that provided by nature: no science as we know it would be possible without the specific contribution of the mind.

What is the source of our ideas according to his philosophical outlook? Locke, for instance, remarked that we can only think about ideas, their source being either sensation or observation of the internal operations of our mind. Taking this path we can certainly avoid the problems connected to metaphysical skepticism, but ideas become our only “real” point of reference, which is not such a wonderful solution from an empiricist point of view. According to the verifiability principle held by the logical positivists, on the other hand, the meaningfulness of a statement is strictly tied to the existence of some possible set of observations that, were they to be ever made, would determine the truth of the statement itself. In this case metaphysical skepticism could be avoided by equating metaphysics with non-sense, but the verifiability principle created other, unexpected problems. Scientific laws, in fact, clearly resist the application of the verifiability principle, and the price to be paid for the elimination of metaphysics seemed, to say the least, too high. So the problem of demarcating science from metaphysics, which has been deemed tremendously important by some sectors of early twentieth century philosophy, remains pressing.

Detaching himself from the mainstream of American analytic philosophy which, under the influence of the logical positivists, had been largely dominated by empiricist and positivist trends of thought, Rescher in the early 1970’s launched his project of rehabilitating idealism. Taking notice of the fact that idealism had been effectively dead in Anglo-American philosophy for more than a generation, he tells us that, “this eclipse of an important sector of philosophical tradition seems to be entirely unjustified on the merits.”

“Idealism” is a sort of umbrella-term that covers a large variety of trends and sub-trends. Each of them is somehow connected to the others, but disagreements within the idealistic field have always been strong. Rescher readily recognizes this fact, providing a general scheme in which all the various idealistic trends can be inserted. The fundamental distinction to be made is between the “ontological” versions of idealism and the “epistemic” ones. Ontological versions imply that everything there is arises causally from, or is supervenient upon, the operations of mind. Epistemic versions are less strongly committed because they rule out the thesis that mind creates the world in toto, be it natural or social, and content themselves to point out the intimate correlatedness between our mind and the world-as-we-know it. Rescher says explicitly that his conceptual idealism belongs to the epistemic version of the theory, and he characterizes it as follows: “Conceptual idealism [states that] any fully adequate descriptive characterization of the nature of the physical (‘material’) reality must make reference to mental operations; some recourse to verbal characteristics or operations is required within the substantive content of an adequate account of what it is to be real.”

Another important consideration relates to Rescher’s attitude towards Kant and his transcendental idealism. Kant’s presence is clearly perceivable in our author’s writings, but his Kant is always Kant viewed and interpreted through the lenses of pragmatism (which in this case are Peircean lenses). On the one hand Rescher accepts the Kantian view that our knowledge is strongly determined by the a priori elements present in our conceptual schemes, and that they indeed have an essential function as long as our interpretation of reality is concerned. On the other hand, he tends to see these aprioristic elements as resting on a contingent basis, and validated on pragmatic rather than necessitarian considerations. The mind certainly makes a great contribution towards shaping reality-as-we-see-it, but the very presence of the mind itself can be explained by adopting an evolutionary point of view.

8. Philosophy of Science

It is only too natural that when the man of the street reads about the results of scientific discoveries he takes them to be descriptions of “real” nature. Why should different thoughts come to his mind, given the impressive results that science was able to attain in the last few centuries? It should be noted, however, that not only philosophers, but also even many scientists have often denied the validity of the picture that the man of the street takes more or less for granted. Many examples could be provided in this regard, as any standard text on the history of science might easily confirm. In the past century uncertainty about the content of our theories has grown fast, together with the feeling that there are alternative theories that can account equally well for all possible observations. Clearly the threat of relativism arises at this point, even though many authors nowadays no longer take relativism to be a threat, but just a fact of the matter.

Obviously things were different when logical positivism still was the dominant — and, in many cases, even the only — doctrine in philosophy of science. In that case the main purpose was to individuate the immutable models that lie beyond concrete scientific practice, because it was commonly held by the main representatives of this neopositivism that science is objective and progressive, in the cumulative sense of the term. Intersubjectivity was granted through recourse to the scientific language, purportedly believed to be neutral, free of errors and misunderstandings and, thus, available to every observer. Formal logic became then something much more important than a simple instrument, since its task was supposed to be that of “capturing” intersubjectivity by means of a language constructed in the purest form possibly available to human beings, leaving aside all the unpleasant distortions that our natural languages bring with them.

At this point we can note that scientific realism (and the nature of scientific knowledge at large) is a theme where the originality of Rescher’s position clearly emerges. Certainly he is very distant from the received view of logical empiricism. Looking back to the years of his philosophical formation, he says: I was thus led back to take a rather different view of the technical preoccupations in the minutiae of formal analysis which came to the forefront in the postwar years. It seemed to me that the passion for the detailed analysis of small-scale side issues was getting out of hand. All too often, philosophers were using their technical tools on those issues of detail congenial to their application, rather than concentrating them on inherently important matters. Technical questions became preoccupations in their own right, rather than because of any significant bearing on the central problems of the field.

Rescher’s increasing distance from the neopositivist model, however, should not lead one to think that he got closer to the more recent, and more fashionable, post-empiricist trend of thought. He argues, against any form of instrumentalism and many postmodern authors as well, that natural science can indeed validate a plausible commitment to the actual existence of its theoretical entities. Scientific conceptions aim at what really exists in the world, but only hit it imperfectly and “well off the mark.” What we can get is, at most, a rough consonance between our scientific ideas and reality itself. This statement should not sound surprising, if only one recalls Rescher’s proclaimed conceptual idealism and his unwillingness to trace a precise borderline between ontology and epistemology.

Furthermore, Rescher’s aim is to replace Charles S. Peirce’s “long-run convergence” theory of scientific progress by a more modest position geared to increasing success in scientific applications, especially in matters of prediction and control. This dimension of applicative efficacy is something real, and can hardly be denied from a rational point of view. He goes on arguing that the connection between adequacy and applicative success in questions of scientific theorizing leads, in turn, to a pragmatist-flavored philosophy of science. He also states very clearly that “perfection” (the completion of the project) is, in principle, unfeasible. This means that his ideas are opposed to all those scientific projects whose aim is the search for a “final” theory.

So we have a general picture of this kind: In attempting answers to our questions about how things stand in the world, science offers (or at any rate, both endeavors and purports to offer) information about the world. The extent to which science succeeds in this mission is, of course, disputable. The theory of sub-atomic matter is unquestionably a “mere theory,” but it could not help us to explain those all too real atomic explosions if it is not a theory about real substances. Only real objects can produce real effects. There exist no “hypothetical” or “theoretical entities” at all, only entities, plus hypotheses and theories about them which may be right or wrong, well-founded or ill-founded. The theoretical entities of science are introduced not for their own interest but for a utilitarian mission, to furnish the materials of causal explanation for the real comportment of real things. Thus our inability to claim that natural science as we understand it depicts reality correctly must not be taken to mean that science is a merely practical device, a mere instrument for prediction and control that has no bearing on describing “the nature of things.” What science says is descriptively committal in making claims regarding “the real world,” but the tone of voice in which it proffers these claims always is (or should be) provisional and tentative.

So we can never assume that a particular scientific theory, for instance, Einstein’s relativity theory, gives us the true picture of reality, since we know perfectly well from the history of science that, in a future we cannot actually foresee, it will be replaced by a better theory. And it should be noted, moreover, that this future theory will be better for future scientists, but not the best in absolute terms, since its final destiny is to be displaced by yet another theory.

Rescher’s conception of scientific realism is thus strictly tied to his distinction between reality-as-such and reality-as-we-think-of-it. He argues that there is indeed little justification for believing that our present-day natural science describes the world as it really is, and this fact does not allow us to endorse an absolute and unconditioned scientific realism. In other words, if we claim that the theoretical entities of current science correctly pick up the “furniture of the world,” we run into the inevitable risk of hypostatizing something, that is, our present science, that is only a historically contingent product of humankind, valid in this particular period of its cultural evolution. Rescher’s view is, instead, that “a realistic awareness of scientific fallibilism precludes the claim that the furnishings of the real world are exactly as our science states them to be — that electrons “actually are just what the latest Handbook of Physics claims them to be.”

But what about future science? We might in fact be tempted to say that, since present-day science is really bound to be imperfect and incomplete, perhaps future science will do the job, thus accomplishing that project of “perfected science” that the logical positivists loved so much. Even in this case, however, many problems arise. First of all, just which future are we talking about? There is indeed no reason to believe that tomorrow’s science will be very different from ours as long as its capacity of providing the “correct” picture of reality is concerned. The fact is, he argues, that scientific theories always have a finite lifespan. This is so for every human creation (and science is a human product, in any possible sense of the term), so that, “as something that comes into being within time, the passage of time will also bear it away.” While we can certainly claim that the aims of science are stable, it should honestly be recognized that its questions and answers are not.

Ideal science, even when its realization is referred to the future, looks more like a philosophical utopia than a feasible accomplishment (even though utopias, as Rescher often recognizes, are indeed useful when they are viewed as essentially “regulative” ideas). Perfected science, thus, is not “what will emerge when,” but “what would emerge if,” and many realistically unachievable conditions must be provided in order to obtain such a highly desirable result. This means that our cognitive enterprise must be pursued in an imperfect world, and the strong realistic thesis that science faithfully describes the real world should be taken for what it is: a matter of intent. The only type of scientific realism that looks reasonable to Rescher is a scientific realism viewed in idealistic perspective, in which what is at stake is a sort of “ideal science” that no wise men can claim to possess.

9. Logic and Conceptual Schemes

The real alternative at stake here is the following: logic as “doctrine” vs. logic as “instrument.” Rescher does not deny that logic has, in this particular regard, a dual nature. From the doctrinal point of view it is clearly a body of theses or, even better, a systematic codification of those special propositions defined as “logical truths.” At the methodological level, instead, it must be seen as an operational code for conducting sound reasoning. Having once again recourse to historical considerations, our author observes that the distinction at issue carries back to the old dispute — carried on throughout late antiquity and the Middle Ages — as to whether logic is to be considered as a part of knowledge or as an instrument for its development. The best minds of the day insisted that the proper answer is simply that logic is both of these — at once a theory with a body of theses of its own, and a tool for testing arguments to determine whether they are good or bad.

A pragmatic conception of logic, however, leads him to view its instrumental-methodological character as primary with respect to the doctrinal features. All this follows quite naturally from what we said above, because, for a pragmatically oriented thinker, logic’s task lies, first of all, in systematizing and rationalizing the practice of reasoning in all the contexts (theoretical included) where human beings usually draw inferences. Logical rules, in turn, are not supposed to have an abstract and formalistic character, because in that case they cannot be attuned to human practices (be they theoretical or instrumental). It is interesting to note that this approach is not distant from some insights contained in the works of the second Wittgenstein, where language is no longer taken to be an ideal entity endowed with some sort of “essence,” but rather a set of social practices that are used in order to satisfy men’s concrete needs. Our models of inference thus become the products of social practices, while the social dimension pertains to language in each of its many characteristics and features. In other words, our rules for drawing inferences are essentially practical and not formal; they are rules that allow (or do not allow) us to perform a certain kind of action.

For Rescher a conceptual scheme for operation in the factual domain is always correlative with a Weltanschauung — a view of how things work in the world. And the issue of historical development becomes involved at this juncture, seeing that such a fact-committal scheme is clearly a product of temporal evolution. Our conceptions of things are a moving rather than a fixed target for analysis. The startling conclusion is that there are assertions in a conceptual scheme A that are simply not available in another conceptual scheme B, because no equivalent in it may be found. This view also allows him to challenge Donald Davidson when he says that, “we get a new out of an old scheme when the speakers of a language come to accept as true an important range of sentences they previously took to be false.” The point at stake, in fact, is different, since Rescher answers that a change of scheme is not just a matter of saying things differently, but rather of saying altogether different things.

In other words, a scheme A may be committed to phenomena that another scheme B cannot even envisage: Galenic physicians, for instance, had absolutely nothing to say about bacteria and viruses because those entities lay totally beyond their conceptual dimension. Where one scheme is eloquent, Rescher says, the other is altogether silent. This means, moreover, that our classical and bivalent logic of the True and False is not much help in such a context. Some assertions that are deemed to be true in a certain scheme may have no value whatsoever in another scheme, so that we need to formalize this truth-indeterminacy by having recourse, say, to a many-valued logical system in which, besides the classical T and F, a third (Indeterminate) value I is present. We have, in sum, a more complex picture than Davidson’s. Rescher observes that in brushing aside the idea of different conceptual schemes we incur the risk of an impoverishment in our problem-horizons. So, to deny that different conceptual schemes exist is absurd.

10. Social Philosophy

Even in the social field, for Rescher, context-relativization means neither irrationalism nor indifferentism. For sure we must recognize the presence of different perspectives, but on the other hand our experiential indications provide us with criteria for making a rational choice. The fact that no appropriate universal diet exists does not lead to the conclusion that we can eat anything, and the absence of a globally correct language does not mean that we can choose a language at random for communicating with others in a particular context. For these reasons he concludes that an individual need not be intimidated by the fact of disagreement — it makes perfectly good sense for people to do their rational best towards securing evidentiated beliefs and justifiable choices without undue worry about whether or not others disagree.

To what extent are Rescher’s doubts about the notion of consensus applicable to the real social and political situations? Consensus is deemed by many authors to be a sine qua non condition for achieving a benign political and social order, while its absence is often viewed as a premonitory symptom of chaos. Needless to say the feelings are usually strong in this regard, because political and social philosophy has a more direct impact on our daily life than other such traditional sectors of the philosophical inquiry as, say, metaphysics or epistemology.

What deserves to be pointed out is that the search for consensus has many concrete contraindications, which can mainly be drawn from history. Think, for instance, of how Hitler gained power in Germany in the 1930’s. As a matter of fact he obtained a resounding victory through democratic election, because he was able to make the political platform of the Nazi party consensually accepted by a large majority of citizens. It would be foolish, however, to draw the conclusion that Hitler and the Nazis were right just because they were good consensus-builders. On the contrary, the United States is a good example of a democratically thriving society that can dispense with consensus, and where dissensus is deemed to be productive (at least to a certain extent). Another striking fact is that the former Soviet Union was, instead, a typically consensus-seeking society.

Homogeneity granted by consensus is not the mark of a benign social order, since this role is more likely to be played by a dissensus-dominated situation that is in turn able to accommodate diversity of opinions. It follows, among other things, that we should be very careful not to characterize the consensus endorsed by majority opinion as intrinsically rational. In the industrialized nations of the Western world the power of the media in building up consensus is notoriously great. It may, and does, happen sometimes, however, that the power of the media in assuring consensus is used to support bad politicians, who repay the favor by paying attention to sectorial rather than to general interests. It is thus easily seen that consensus is not an objective that deserves to be pursued no matter what.

All this seems plausible and reasonable to Rescher, despite the fact that many theorists nowadays continue to view consensus as an indispensable component of a good and stable social order. It is the case, for example, with Jürgen Habermas. The Marxist roots of Habermas’ thought explain why the German philosopher is so eager to have the activities of the people harmonized thanks to their interpersonal agreement about ends and means. The basis of agreement is thus both collective and abstractly universal. Another Rescher’s key word, “acquiescence,” needs at this point be introduced. Given that the insistence on the pre-requisite of communal consensus is simply unrealistic, we must come to terms with concrete situations, that is, with facts as presented by real life. If, according to contractarian lines of thought, we take justice to be the establishment of arrangements that are (or, even better, would be) reached in idealized conditions, then we cannot help but note that justice is not a feature of our imperfect world. “Life is unjust” is bound to be our natural conclusion, together with the acknowledgement that real-life politics is the art of the possible. It is obvious as well, however, that even in real-life politics we constantly need to make decisions and to take some course of action. How should we behave, then, given the fact that the so-called communal consensus turned out to be unachievable?

The answer is that a modern and democratic society looks for social accommodation, which means that it always tries to devise methods for letting its members live together in peace even in those inevitable cases when a subgroup prevails over another. As Rescher as it, the choice is not just between either the agreement of the whole group, on the one hand, or the lordship of some particular subgroup, on the other hand. Accommodation through general acquiescence is a perfectly practicable mode for making decisions in the public order and resolving its conflicts. And, given the realities of the situation in a complex and diversified society, it has significant theoretical and practical advantages over its more radical alternatives. The reader will not find it difficult to recognize that this is just the strategy constantly adopted within the democratic societies of the Western world, which, in turn, distinguishes them from all forms of tyrannies and monocratic (one-person) forms of government.

Acquiescence is thus a matter of mutual restraint, a sort of “live and let live” concrete politics that permits any individual or subgroup belonging in a larger group to avoid fight in order to gain respect for its own position. Thus acquiescence, and not consensual agreement, turns out to be the key factor for building a really democratic society, Rescher argues. In a situation like that of the former Yugoslavia, for instance, it would be foolish to ask for consensus given the historical and ethnical roots of war today. But a search for acquiescence would be much less foolish, with all factions giving up something in order to avoid even greater damages and losses.

If we want to be pluralists in the true spirit of Western democratic thought, we must abandon the quest for a monolithic and rational order, together with the purpose of maximizing the number of people who approve what the government, say, does. On the contrary, we should have in mind an acquiescence-seeking society where the goal is that of minimizing the number of people who strongly disapprove of what is being done. We should never forget, Rescher claims, that the idea that “all should think alike” is both dangerous and anti-democratic, as history shows with plenty of pertinent examples. Since consensus is an absolute unlikely to be achieved in concrete life, a difference must be drawn between “being desirable” and “being essential.” All in all, it can be said that it qualifies at most for the former status. The general conclusion is that consensus is no more than one positive factor that has to be weighed on the scale along with many others.

11. Ethical Issues

Rescher recognizes that cultural, social and ethical diversity are a fact of life rather than a mere hypothesis. Social scientists have always stressed the elements of differentiation across social groups, and especially sociologists are ready to pick up strong differences as long as moral beliefs of various social groups are concerned. From this, most social scientists and even several philosophers draw the conclusion that cultural relativism is unavoidable: since each group has a different way of dealing with beliefs, relationships, and so forth, it follows that there is no unique criterion for evaluating actions. Or, to put it in a slightly different way, we are provided with no “trans-cultural standard” which can be deemed to be valid for all conceptual schemes. Social scientists and philosophers who find the hermeneutic stance congenial will most likely be in favor of the aforementioned conclusion, because it shows that cultures are unique and cannot be investigated from a general viewpoint.

It goes without saying that the ethical side of relativism is strictly connected to all its other branches (conceptual, epistemological, etc.), since the real problem at stake here is the search for cross-cultural “universals” which could explain the fact, often denied by relativists, that we share as rational beings many common features (which, of course, does not mean to deny that there are many and important differences, too).

So we must wonder about the real nature of norms and values: are they something that can be only referred to particular social groups, in the sense that we can only speak of norms and values as referred to group A, or B, or C? Or are we authorized to talk about kinds of “moral universals” that are the true foundations of any normative system?

It would seem that anthropology, and social science in general, has a message for us concerning human variability, but it is not exactly the one endorsed by radical cultural relativism. Rather, the correct conclusion appears to be that there is both uniformity and diversity across human cultures at the level of concepts, beliefs, and norms, sasys Rescher. Diversity shows the creativeness of human capacity for developing cultural instruments. Uniformity, instead, reflects both the biological constants in human life and the common features of the human existential situation.

Relativists of all sorts try to solve the problem by equating “morality” on the one side and “mores” on the other. Rescher notes in this regard that cultural relativism is the doctrine that societies and cultures have their own customs and folkways, which are so many different and in principle equally valid ways of transacting their business of everyday life. Moral relativism is the theory which holds, analogously, that there are different and discordant but in principle equally valid moralities. It is one of the widely pervasive convictions of our day that the former, plausible mode of relativism somehow entails the latter, that one group’s moral goodness is another’s moral wickedness — it all simply “lies in the eyes of the beholder”.

Rescher goes on noting that social scientists are especially drawn to this sort of approach, which in his opinion amounts to “imperialistic power grabbing.” Thus anthropologists, who study norms and customs, claim that morality belongs to their discipline because moral rules are nothing more than norms and customs. The same happens with the economists, who study the operations of rational self-interest in the production and distribution of goods; they, too, claim that morality belongs to their discipline, because moral rules are no more than procedures that maximize social utility and serve “the greatest good of the greatest number.” Rescher disagrees.

There is in his view a “wide gulf” that separates morality from mere mores. Many social theorists endorsedrelativism from a variety of anthropological, sociological, and ideological perspectives. Relativism has become so successful that it is often seen as a sort of truism that does not even need a defense. For Rescher, however, the rejection of relativism and the articulation of plausible arguments for absolutism are indeed essential to any meaningful legitimation of the moral project. They represent his main task, meaning that the moral project must itself be legitimated “in terms of morality-external values,” that is, values which, like personhood and responsibility for self-realization, are fully in agreement with moral concerns. Instead, values as social conformity or personal advantage are not consonant with such concerns.

Rescher’s strategy is twofold. On the one side he is ready to admit that moral rules are frequently part of the customs of a community or that moral behavior advances the welfare interests of the social group or the individual agent. On the other, however, he firmly rejects the view according to which morality consists in conformity to mores or in benefit-maximization. In other words, morality cannot adequately be accounted for in terms of values that imply no characteristically moral bearing. For this reason Rescher claims that the anthropological route to moral relativism is highly problematic. There is no difficulty whatever about the idea of different social customs, but the idea of different moralities faces insuperable difficulties. The case is much like that of saying that the tribe whose counting practices is based on the sequence: “one, two, many” has a different arithmetic from ourselves. To do anything like justice to the facts one would have to say that they do not have arithmetic at all, but just a peculiar, and very rudimentary way of counting. And similarly with those exotic tribesmen. On the given evidence, they do not have a different morality, but rather their culture has not developed to a point where they have a morality at all. If they think that it is acceptable to engage in practices like the sacrifice of firstborn girl children, then their grasp on the conception of morality is, on the face of it, somewhere between inadequate and nonexistent.

The conclusion is thus clear. Anti-absolutism must take a flexible and non-dogmatic stance if it wants to be coherent enough, while what it does today often is the opposite. The global rejection of absolutes has gone too far, and a middle of the road position is indeed mandatory. As Rescher notes, the very antipathy to dogmatic uniformity that characterizes the era’s sensibilities will, or should, militate against an absolutistic position in relation to philosophical absolutes. There is good reason to see the anti-absolutism of 20th century thought as misguided and in need of replacement by a position that is far less doctrinaire.

12. References and Further Reading

Rescher has published more than 100 books as well as more than 400 essays, chapters, and reviews. Below is a list of selected books:

  • The Development of Arabic Logic. Pittsburgh: University of Pittsburgh Press, 1964.
  • Studies in Arabic Philosophy. Pittsburgh: University of Pittsburgh Press, 1968.
  • Introduction to Value Theory. Englewood Cliffs, NJ: Prentice Hall, 1969.
  • The Coherence Theory of Truth. Oxford: Clarendon Press, 1973.
  • Methodological Pragmatism: A Systems-Theoretic Approach to the Theory of Knowledge. Oxford: Basil Blackwell, 1977.
  • Scientific Progress: A Philosophical Essay on the Economics of Research in Natural Science. Pittsburgh: University of Pittsburgh Press, 1978.
  • Risk: A Philosophical Introduction to the Theory of Risk Evaluation and Management. Lanham, MD: University Press of America, 1983.
  • The Strife of Systems: An Essay on the Grounds and Implications of Philosophical Diversity. Pittsburgh: University of Pittsburgh Press, 1985.
  • Rationality. Oxford: Oxford University Press, 1988.
  • Cognitive Economy: Economic Perspectives in the Theory of Knowledge. Pittsburgh: University of Pittsburgh Press, 1989.
  • A Useful Inheritance: Evolutionary Epistemology in Philosophical Perspective. Lanham, MD: Rowman & Littlefield, 1989.
  • Human Interests: Reflections on Philosophical Anthropology. Palo Alto: Stanford University Press, 1990.
  • A System of Pragmatic Idealism (three volumes): Volume I: Human Knowledge in Idealistic Perspective. Princeton: Princeton University Press, 1991. Volume II: The Validity of Values: Human Values in Pragmatic Perspective. Princeton: Princeton University Press, 1992. Volume III: Metaphilosophical Inquiries. Princeton: Princeton University Press, 1994.
  • Pluralism: Against the Demand for Consensus. Oxford: Oxford University Press, 1993.
  • Luck. New York: Farrar, Straus & Giroux, 1995.
  • Essays in the History of Philosophy. Aldershot, UK: Avebury, 1995.
  • Process Metaphysics. Albany, NY: SUNY Press, 1995.
  • Instructive Journey: An Autobiographical Essay. Lanham, MD: University Press of America, 1996.
  • Complexity: A Philosophical Overview. New Brunswick, NJ: Transaction Publishers, 1998.
  • Predicting The Future: An Introduction To The Theory Of Forecasting. Albany, NY: SUNY Press, 1998.
  • Kant and the Reach of Reason. Cambridge: Cambridge University Press, 1999.
  • Realistic Pragmatism: An Introduction to Pragmatic Philosophy. Albany, NY: SUNY Press, 1999.
  • The Limits of Science, 2nd ed. Pittsburgh: University of Pittsburgh Press, 1999.
  • Nature and Understanding: A Study of the Metaphysics of Science. Oxford: Oxford University Press, 2000.
  • Paradoxes: Their Roots, Range, and Resolution. Chicago: Open Court Publishing, 2001.
  • Process Philosophy Nature and Understanding: A Study of the Metaphysics of Science: A Survey of Basic Issues. Pittsburgh: University of Pittsburgh Press, 2001.
  • Epistemology: On the Scope and Limits of Knowledge. Albany, NY: SUNY Press, 2003.
  • On Leibniz. Pittsburgh: University of Pittsburgh Press, 2003.
  • Epistemic Logic. Pittsburgh: University of Pittsburgh Press, 2004.
  • Metaphysics: The Key Issues from a Realist Perspective. Amherst, NY: Prometheus Books, 2005.
  • Reason and Reality: Realism and Idealism in Pragmatic Perspective. Lanham, MD: Rowman & Littlefield, 2005.
  • Collected Papers (14 volumes). Frankfurt: Ontos Verlag, 2005-2006.
  • Epistemetrics. Cambridge: Cambridge University Press, 2006.
  • Conditionals. Cambridge: MIT Press, 2006.
  • Error: On Our Predicament When Things Go Wrong. Pittsburgh: University of Pittsburgh Press, 2007.

Author Information

Michele Marsonet
Email: marsonet@unige.it
University of Genoa
Italy

Romanization Systems for Chinese Terms

Originally, the Chinese language and its many dialects did not use any form of alphabetical writing to express the meanings and sounds of Chinese characters. As Western interest in China intensified during the eighteenth and nineteenth centuries, various systems of romanization (transliteration into the Roman alphabet used in most Western languages) were proposed and utilized. Of these, the most frequently used today are the pinyin system and the Wade-Giles system. Both are based on the pronunciation of Chinese characters according to “Mandarin,” used as the official language of government in both the People’s Republic of China (mainland China) and the Republic of China (Taiwan).

The Wade-Giles system prevailed in both China and the West until the late twentieth century, at which point the pinyin system (developed in the People’s Republic of China during the 1950s) began to gain adherence among journalists and scholars. Today, the most current scholarship tends to use pinyin renderings of Chinese terms. For this reason, the Internet Encyclopedia of Philosophy introduces the names of Chinese philosophical concepts and figures in pinyin romanizations, with the exception of Wade-Giles forms that appear in bibliographical entries. The difference between the two systems can be compared by examining the renderings of some common Chinese philosophical terms according to each:

Pinyin Wade-Giles English Translation
Dao Tao Way, path
de te virtue, moral force, power
jing ching classic, scripture
junzi chün-tzu gentleman, profound person
ren jen benevolence, humaneness
Tian T’ien Heaven, nature
ziran tzu-jan spontaneity, naturalness

The following table may be used to convert pinyin and Wade-Giles romanizations:

Pinyin Wade-Giles Pronounce As-
b p b as in “be,” aspirated
c ts’, ts’ ts as in “its”
ch ch’ as in “church”
d t d as in “do”
g k g as in “go”
ian ien
j ch j as in “jeep”
k k’ k as in “kind,” aspirated
ong ung
p p’ p as in “par,” aspirated
q ch’ ch as in “cheek”
r j approx. like “j” in French “je”
s s, ss, sz s as in “sister”
sh sh sh as in “shore”
si szu
t t’ t as in “top”
x hs sh as in the “she” – thinly sounded
yi I
you yu
z ts z as in “zero”
zh ch j as in “jump”
zi tzu

Author Information

Jeffrey L. Richey
Email: Jeffrey_Richey@berea.edu
Berea College

Willard Van Orman Quine: Philosophy of Science

quine1W. V. O. Quine (1908-2000) did not conceive of philosophy as an activity separate from the general province of empirical science. His interest in science is not best described as a philosophy of science but as a set of reflections on the nature of science that is pursued with the same empirical spirit that animates scientific inquiry. Quine’s philosophy should then be seen as a systematic attempt to understand science from within the resources of science itself. This project investigates both the epistemological and ontological dimensions of scientific theorizing. Quine’s epistemological concern is to examine our successful acquisition of scientific theories, while his ontological interests focus on the further logical regimentation of that theory. He thus advocates what is more famously known as ‘naturalized epistemology’, which consists of his attempt to provide an improved scientific explanation of how we have developed elaborate scientific theories on the basis of meager sensory input. Quine further argues that the most general features of reality can be examined through the use of formal logic by clarifying what objects we must acknowledge as real given our acceptance of an overarching systematic view of the world. In pursuing these issues, Quine reformulates and thus transforms these philosophical concerns according to those standards of clarity, empirical adequacy, and utility that he takes as central to the explanatory power of empirical science. While few philosophers have adopted Quine’s strict standards or accepted the details of his respective positions, the general empirical reconfiguration of philosophy and philosophy of science recommended by his naturalism has been very influential. This article provides an overview of Quine’s naturalistic conception of philosophy, and elaborates on its examination of the epistemological and ontological elements of scientific practice.

Table of Contents

  1. Naturalism
  2. Naturalized Epistemology
  3. Theory, Evidence and Underdetermination
  4. Ontology, Explication and the Regimentation of Theory
  5. Physicalism, Instrumentalism, and Realism
  6. Quine’s Influence
  7. Quine’s Critics
  8. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Naturalism

One central theme from the history of Western thought concerns the relationship between philosophy and science. Philosophy is often depicted as providing a set of general conditions that somehow support or validate the various claims made in the formal and empirical sciences. So, Plato describes how geometry helps equip philosophers with rational insight into a supersensible realm of ideas or forms—a superior level of reality that shapes how the world looks in ordinary sensory perception. In a related way, Descartes argues that inner reflection of the mind’s contents and activities reveals indubitable truths that form the basis of the emerging modern scientific worldview. Lastly, Kant argues for the active structuring role of human reason in making possible experience and scientific knowledge.

Such examples highlight a prominent historical self-understanding of philosophy and its relation to science, in which philosophy offers general truths that in some way serve to justify, ground, or support the specific results of scientific inquiry. On this general picture, philosophy is not conceived as a science, but as distinct from experience and experiment and further providing a priori resources that constitute a secure foundation for scientific claims. The empiricist tradition in philosophy, stretching from Locke to Russell, with its view that all substantial knowledge finds its source in experience, provides a useful contrast to this a priori conception of philosophy. Empiricists have been more sympathetic with the idea of aligning philosophy more closely to science, but there remained a problem concerning the nature of logical and mathematical knowledge, which did not appear to depend on experience. Rudolf Carnap’s logical empiricism with its use of the analytic-synthetic distinction is often presented as responding to this specific epistemological challenge (see Quine 1995a; for dissenting views see Richardson 1998, Friedman 2006). Statements such as “All bachelors are unmarried” were deemed analytic and were true in virtue of the meaning of the words used, whereas synthetic claims such as “Some bachelors are over six feet tall,” are determined true by the meaning of their terms and through experience.

Analytic statements, including logical and mathematical claims, provide no substantial knowledge about the world but merely report the conventional use of certain terms within a language. Analytic statements do not then make any claims about the world, but are the product of the specific way we construct a language. With the a priori (now thought of as analytic) character of logic and mathematics depicted in such terms, it does not constitute a separate type of knowledge, and does then conflict with the empiricist commitment that all knowledge has its source in experience. Carnap further conceived of philosophy as concerned with the analysis of the formal linguistic structure of scientific claims. Philosophy then focuses on the analytic framework of scientific language, and finds its place as a kind of subdiscipline within the formal sciences, while still distinct from the empirical sciences (see Carnap 1935).

Quine’s view of philosophical inquiry breaks decisively with the a priori conception of philosophy’s relation to science as seen in Plato, Descartes and Kant. Although he finds himself more in sympathy with the empiricist tradition (this is especially true with regard to both Russell’s and Carnap’s distinctive attempts to make philosophy more scientific), he also rejects what he sees as its attempt to preserve the a priori status of logic and mathematics through the distinction between analytic and synthetic statements (1981, 67-72). The basic conception of philosophy and philosophical practice that informs his discussion of science is commonly know as naturalism, a view that recommends the “abandonment of the goal of a first philosophy prior to natural science” (1981, 67), which further involves a “readiness to see philosophy as natural science trained upon itself and permitted free use of scientific findings” (1981, 85) and lastly, recognizes that “…it is within science itself, and not in some prior philosophy, that reality is to be identified and described” (1981, 21).

These remarks indicate that Quine rejects the view that philosophy maintains some distinctive perspective, or type of knowledge that distinguishes it from science, and which could further serve as a independent standpoint from which to critically assess or ground the methods and procedures found in science. Consequently, he recommends the pursuit of philosophical issues from within the available resources of the empirical sciences themselves.

So, for example, the philosophical treatment of scientific knowledge does not proceed from a perspective different in kind from the very knowledge that is under examination.

Here, Quine often appeals to Neurath’s metaphor of science as a boat, where changes need to be made piece by piece while we stay afloat, and not when docked at port. He further emphasizes that both the philosopher and scientist are in the same boat (1960, 3; 1981, 72, 178). The Quinean philosopher then begins from within the ongoing system of knowledge provided by science, and proceeds to use science in order to understand science. In laying out these various points, Quine offers few remarks concerning the nature of science or why he thinks that it should be given such priority with regard to philosophical investigations. This is because, in part, his use of the term “science” applies quite broadly referring not simply to the ‘hard’ or natural sciences, but also including psychology, economics, sociology, and even history (Quine 1995, 19; also see Quine 1997). But a more substantive reason centers on his view that all knowledge strives to provide a true understanding of the world and is then responsive to observation as the ultimate test of its claims. Once we view this as the shared pursuit of human knowledge, and couple it with Quine’s broad use of ‘science,’ then any attempt to gain such an understanding can be thought of as proceeding in a general scientific spirit. Quine then attaches scientific status to any statement that makes a contribution, no matter how slight, to a theory that can be tested through prediction (1992, 20).

These points gain some support from Quine’s general view of what one commentator has called “the seamlessness of knowledge” (Hylton 2007, 8-9). This seamlessness of our overall system of knowledge emphasizes how all knowledge claims are on par without any significant breaks or gaps between them. There are not, then, on this view, different distinctive types of knowledge that may be responsive to divergence standards of evidence. Quine views human knowledge as one all-encompassing system of belief, which is accepted, rejected, or modified according to how well it accommodates and explains what is observed. He sometimes makes this point by highlighting the ‘continuity’ between the claims of common-sense and those of more advanced science, where all attempts at making true claims are viewed as continuous in the general sense of being responsive to the same standards of evidence and testability that are the hallmark of scientific knowledge (1976b, 233). Most significantly, this results in Quine’s rejection of any a priori element to human knowledge. This point received its most sophisticated modern formulation with Carnap’s use of the analytic-synthetic distinction. By rejecting any sharp distinction between analytic and synthetic truths, Quine is led to the further denial of any type of knowledge that is categorically distinct from that found in our system of empirical knowledge (for details, see Quine 1951; Hylton 2007, 48-80). We can also note that this view of knowledge serves to reinforce Quine’s view of philosophy as more or less identical with the philosophical examination of scientific practice.

Not surprisingly then, Quine views science as our most successful attempt at acquiring knowledge. Accordingly, if philosophical work is to contribute to human knowledge it must locate its concerns within this ongoing attempt to acquire successful knowledge of the world, and aspire to the very same scientific standards of clarity, utility and explanation. From this perspective, philosophical reflection cannot simply rely on the uncritical use of our everyday terms but will need to propose new ways of formulating its concerns based on the rigorous standards found in the sciences. Given the kind of standards that Quine emphasizes as conducive to philosophical progress and to the advancement of knowledge, it is perhaps not surprising to learn that much of the vocabulary used in philosophy does not meet his standards. He would then reject it as insufficiently clear for the purposes of his naturalistic conception of philosophy and as incapable of advancing our understanding of the issues it discusses (see Hylton 2007, 11; Quine 1981, 184-6; 1987). It is perhaps here that Quine’s basic attitude to philosophical concerns most clearly departs from other philosophical approaches.

One example of this tendency in Quine’s thought is found with the concept of ‘knowledge’ itself. Although our everyday use of the term is unobjectionable, Quine thinks that it is too vague to meet the scientific demands of his theory of knowledge because it does not admit of clear and sharp boundaries. For example, it remains unclear how much evidence is needed for someone to ‘know’ something, or how much certainty is required for a belief to count as case of genuine knowledge (Quine 1987). Progress in the theory of knowledge cannot then be achieved if we continue to use such concepts as knowledge or evidence within the formulation of our problems and solutions. Given the more technical uses required of his scientific approach to knowledge Quine thinks it better to use expressions such as “our system of the world” or “our theory.” These expressions are sufficiently clear, or can be made so, to address the questions that matter while placing aside those concepts, and the concerns they generate, which would forestall any attempt at increased understanding.

This attitude can also be seen with Quine’s interest in ontological questions. Here he examines our system of scientific knowledge in order to further clarify how it might be best formulated, if it can be further simplified, and to make more explicit its basic ontological commitments. The interest here remains philosophical in the sense of being concerned with determining what general categories are needed to clearly specify what kinds of objects our scientific theory takes to be real. While such concerns are more abstract than the more focused empirical studies of the natural sciences, Quine does not take them to be distinct from such scientific questions:

What distinguishes between the ontological philosopher’s concerns and …[zoology, botany, and physics] is only breadth of categories. Given physical objects in general, the natural scientist is the man to decide about wombats and unicorns. Given classes…it is the mathematician to say whether in particular there are any even prime numbers…On the other hand it is the scrutiny of this uncritical acceptance of the realm of physical objects itself, or of classes, etc., that devolves upon ontology. (Quine 1960, 275)

General worries about ontology are then of a piece with specific scientific decisions about whether electrons or quarks exist; they are simply more general in their philosophical scrutiny of the broad categories needed to do justice to this specific acceptance of electrons or quarks. In carrying out these concerns, Quine requires that our scientific theory fit within the framework of first-order logic, have an ontology of physical objects and sets, and further meet the standards of physicalism (although Quine advocates a nonstandard use of the term “physicalism”) (see Hylton 2007, 324). In pursuing this logical ‘regimentation’ of our theory, Quine appeals to criteria that many philosophers have found to overly restrictive for calibrating human knowledge. Yet he thinks that it is only through such standards that we can clarify what we must acknowledge as real given our acceptance of that theory. To settle for less rigorous standards would obscure what our knowledge tells us about what ultimately exists.

The need to reformulate our philosophical concerns in this way highlights an important feature of Quine’s attitude to theoretical progress in science. Advances are often achieved through the recognition that our questions themselves cannot be successfully addressed because of the vagueness of the concepts employed. The proper response here is to recognize that our concepts are failing us, and to then search for better formulations that yield fruitful explanations of the phenomena under investigation. If as a result, some philosophical problems need to be dropped in favor of scientific formulations that hold the promise of increased understanding, then Quine would claim so much the worse for those old problems and their formulations. This itself represents a kind of scientific progress. Quine thinks that those philosophical problems most worth considering are those that can be clarified according to these scientific standards (see Hylton 2007, 11-12; Kemp 2006, 151-164). He is then impressed with the fact that scientific progress is often achieved by the dropping of the relevant terms, concepts, issues or distinctions that lead to the type of problems that hinder the growth of knowledge.

2. Naturalized Epistemology

Quine’s extension of this general perspective into the study of human knowledge results in his famous naturalization of epistemology, where the philosophical treatment of knowledge is presented as a scientific account of how humans have developed a systematic scientific understanding of the world. Here is how Quine conceives his core epistemological project:

The business of naturalized epistemology, for me, is an improved understanding of the chains of causation and implication that connect the bombardment of our surfaces, at one extreme, with our scientific output at the other. (1995c, 349)

It is rational reconstruction of the individual’s and/or the [human] race’s actual acquisition of a responsible theory of the external world. It would address the question how we, physical denizens of the physical world, can have projected our scientific theory of that whole world from our meager contacts with it: from the mere impacts of rays and particles on our surfaces and a few odds and ends such as the strain of walking uphill. (1995a, 16)

A naturalized conception of human knowledge seeks to provide an improved scientific account of the connections between the activation of our sensory surfaces and our theoretical discourse about the world. Put succinctly, Quine seeks to elucidate how cognitive discourse about the world is systematically related to sensory stimulation. Because he rejects the epistemological search for some independent philosophical validation of scientific inquiry, Quine’s own project presupposes and thus uses whatever scientific resources he thinks are relevant to understanding human knowledge (1992, 19).

So, Quine takes the traditional problem of the epistemology of empirical knowledge and interprets it in exclusively scientific terms. From this viewpoint, epistemological problems need to be reformulated according to those standards of clarity, evidence and explanation that are found in science. This explains Quine’s use of the various technical terms that form part of his project, such as “observation sentence,” “neural intake,” and others. These are all chosen for their perceived ability to adhere to the methodological dictates of empirical science. The usual philosophical concepts of “experience,” “sense data,” and “the external world” are too unclear to advance the type of scientific understanding and explanation promoted by Quine’s naturalized conception of epistemology. He replaces them with scientifically acceptable counterparts in the form of “stimulations,” “the triggering of sensory receptors” and “observation sentence.”

Perhaps his most significant move in this direction is the rejection of any conception of observation as something empirically ‘given’ that grounds or justifies our knowledge. Here, he follows Russell and Popper and rejects induction as providing confirmation of our theories through an appeal to pure observation (see Lugg 2006). Instead, Quine examines how knowledge emerges from our responses to sensory stimulation and how observation sentences (sentences we are disposed to accept or reject simply on the basis of stimulation) are related to these responses. Quine thinks that science itself tells us that our information about the world comes through the impingement of energy on our sensory surfaces resulting in the stimulation of our nerve endings (1992, 19). This empirical fact stands as a scientific vindication of empiricism, and it forms the basis for Quine’s further reflections on the nature of natural knowledge. Philosophers have generally been skeptical about the possibility of accounting for human knowledge in such austere scientific terms, most notably, without any use of the concepts of knowledge, meaning and understanding. Quine’s response to such skepticism consists of his attempt to sketch the details of this naturalistic account and thus demonstrate how it is possible to make sense of human knowledge and our use of cognitive language in such strict scientific terms. He then endeavors to show that we can pursue such an account without presupposing any mentalistic concepts (see Hylton 2007, 94-5).

In doing so, he provides a genetic account describing how humans have come to learn cognitive language. To bring out the epistemological significance of such an account he draws a parallel between the learning of cognitive language and the evidential support for a scientific theory:

The channels by which, having learned observation sentences, we acquire theoretical language, are the very same channels by which observation lends evidence to scientific theory…We see, then, a strategy for investigating the relation of evidential support, between observation and scientific theory. We can adopt a genetic approach, studying how theoretical language is learned. For the evidential relation is virtually enacted, it would seem, in the learning. This genetic strategy is attractive because the learning of language goes on in the world and is open to scientific study. It is a strategy for the scientific study of scientific method and evidence. (Quine 1975a, 75-6)

On Quine’s account, for a sentence to be considered cognitive it must be connected in some way to sentences that are answerable to sensory stimulation. It is through the learning of language that such connections are forged, since the child must learn to use sentences in response to sensory stimulation. The link between language and the world is described in terms of sentences causally tied to neural input, and is essential to both the learning of language and the responsiveness of theory to evidence (see Hylton 2007, 95).

Quine’s emphasis on language learning and causal conditioning has been at times sharply criticized as overly behaviorist in orientation (Searle 1987). It is then important to clarify the extent of this behaviorist commitment. (For further details see Gibson 2004.) Importantly, Quine dismisses any definition of behaviorism that limits it to conditioned response, and explains “What matters, as I see it, is just the insistence upon couching all criteria in observation terms” (1976a, 58). From his perspective behaviorism is a crucial methodological requirement resulting from the need for observable evidence, which facilitates the prediction and testing of hypotheses, and is also mandated by sound empirical method. He further explains how this “disciplines data, not explanation” and that to account for any appreciable language learning beyond the present observable scene requires a significant innate endowment: “Behaviorism welcomes genetics, neurology and innate endowments” (2000d, 417). Even if the processes involved in the learning of observation sentences should turn out to be unlike classical conditioning, this still would not, Quine emphasizes, be a refutation of behaviorism (Quine 1976a, 57). His use of the term is solely concerned with the establishment of the observable evidence required by empirical method. Quine’s behaviorism is not then some odd a priori assumption, nor a straightforward empirical thesis, but stands as the name for an approach to language learning which signals Quine’s commitment to the evidential and methodological requirements of his naturalism. His understanding of what is required with such a commitment results in his use of this behaviorist stance when examining language and the nature of human knowledge.

Quine’s genetic account then utilizes this methodological requirement to consider how the human child, subject to various forms of sensory stimulation, could come to acquire a theory of the world. He takes knowledge itself to be embodied within our language, so the examination of how this language is learned will enable us to better understand how the causal relations between observation sentences and sensory stimulation yield evidence for our scientific theory. Beginning with our basic cognitive vocabulary, we see that the child starts by making basic, primitive responses to sensory stimulation, and through the encouragement and discouragement of others, more sophisticated language and knowledge gradually emerges. In describing the various steps the child would take, Quine continues to emphasis the importance of observation sentences, which are those expressions that children learn through direct association with neural input (Quine 1995a, 22-25).

Observation sentences are an important subset of occasion sentences, sentences that are true or false on different occasions, with the additional requirement that they command an individual’s assent or dissent outright on the specific occasion of the relevant stimulation (Quine 1992, 3). The significance of observation sentences cannot be overemphasized, because they serve as the final objective checkpoint of science. It is through the utterance of an observation sentence that one provides the prediction that tests a hypothesis implied by our scientific theory. It is the requirement that neural input prompt the verdict outright, without further reflection, which makes the observation sentence the final checkpoint. The further requirement of intersubjectivity, unlike the report of a pain or feeling, indicates that the observation sentence yields the same response from all linguistically competent members of the community, revealing the source of the objective nature of science.

We can then imagine the child being conditioned to utter certain observation sentences in response to neural input, such as “milk,” when encountering the necessary stimulus. Over time children learn to assent and dissent, learning to assent to a sentence when stimulated in a way that would have caused them to utter that expression themselves, and to dissent when stimulated in a way that would not cause the utterance of this sentence. Quine emphasizes how such observation sentences, “Milk,” “Dog,” “Red” and “It’s raining” should be treated as wholes or holophrastically; each expression, whether containing one word or more, is conditioned as a whole to stimulation, and not as containing component words: “Each is simply an expression learned intact by association with stimulation and, derivatively, similar stimulations” (Quine 1984, 15). Each such observation sentence becomes associated with a range of perceptually similar neural intakes through conditioning. Quine defines perceptual similarity as a relation between an individual’s neural intake, testable through the reinforcement and extinction of the individual’s responses. He explains that perceptual similarity “is the basis of all learning, all habit formation, all expectation by induction from past experience; for we are innately disposed to expect similar events to have sequels that are similar to each other” (Quine 1995b, 253).

The relation between neural input and observation sentences is then understood in terms of conditioned response and subjective standards of perceptual similarity. However, there remains a lingering difficulty only resolved in some of Quine’s last writings in epistemology (see Quine 1995a, 1996, 2000a). Simply put, the problem concerns bridging “the gap between the privacy of our neural intake and the publicity of our testimony” (2000e, 409). Consider the surrounding environment of two interlocutors, what we might call the distal scene. Observation sentences tend to report this distal scene, and our agreement on what we see is registered with such verbal reports. Once we consider the causal chain from distal objects to our neural input we realize that all we share is this distal cause of our utterance; that is, we both utter “rabbit” in the presence of rabbits, but our perspectives on the scene are different, and there is no homology (shared neural structure) between our nerve endings. Despite this neural diversity we end up associating the same words with the same object, and the problem then is: “How is this distal harmony across proximal heterogeneity to be explained?” (Quine 2000e, 407).

Quine’s answer involves what he calls a “preestablished harmony of standards of perceptual similarity” (1996). He begins with his familiar emphasis on each individual’s subjective similarity standards and their central role in learning. Each bit of neural intake is similar to another more than it is to others, allowing us to notice differences as well as similarities. However, such perceptual similarities are private between us, and we share no receptors, nor are they homologous, but we still end up agreeing on the passing show. I utter “rabbit,” and you agree; in this case my neural intake was perceptually similar to earlier ones, as was your current ‘rabbity’ intake. What explains this convergence is a preestablished harmony between our similarity scales. Generally, when two events produce neural intakes that are perceptually similar for me, they also tend to be perceptually similar for you. Some of these similarity metrics must be innate, since learning cannot get started without them. Quine then concludes that our perceptual similarity standards are in part innate, and are in preestablished harmony. This harmony is further explained through natural selection:

There is survival value in successful induction, successful expectation: it expedites our elusion of predators and our pursuit of prey. Natural selection, then, has favored similarity standards that mesh relatively well with the succession of natural events…It…explains the preestablished harmony: the standards are largely fixed in the genes of the race, the species” (2000b, 2).

Our ability to successfully engage in primitive induction or expectation, as well as successfully communicate with each other about the distal scene, is revealed as dependent on this harmony of our subjective standards of perceptual similarity. Natural selection accounts for this through its shaping of our ancestor’s perceptual standards into a partial conformity with our own shared environment. It is through such biological origins that sensory connections between language and the world were forged, further establishing the responsiveness to observation of our later more advanced scientific pronouncements.

3. Theory, Evidence and Underdetermination

In addition to his interest in the acquisition of scientific knowledge, Quine also reflects on our theory as a more or less finished product and considers in a more general way the nature of the relationship between this theory and its evidence:

Within this baffling tangle of relations between our sensory stimulation and our scientific theory of the world, there is a segment that we can gratefully separate out and clarify without pursuing neurology, psychology, psycholinguistics, genetics, or history. It is the part where theory is tested by prediction. It is the relation of evidential support, and its essentials can be schematized by means of little more than logical analysis. (Quine 1992, 1-2)

Examining the logical links between our scientific statements and their connection to observation reveals that as a matter of strict logical implication our theory can be seen to imply its evidence (Quine 1975b). For example, what our scientific theory tells us about the physical composition of metal indicates that it will expand when heated. It then follows from our theory that if we heat a piece of metal this will result in its expansion. The claims made by our scientific theory imply that under certain conditions, specific observations will follow, and such observations count as evidence for the theory being on the right track. When such an implied hypothesis happens as expected (the metal expands) then our confidence in the original hypothesis increases and we provisionally include it within our backlog of theory. But when this hypothesis fails in its predictions, it has been falsified, and the theory requires further revision. These revisions must prevent the false implication but continue to imply the correct claims of our previously unrevised theory. This indicates that in general Quine accepts the hypothetico-deductive method that many philosophers have emphasized as central to scientific inquiry, and further endorses Karl Popper’s view that observation only serves to falsify our hypotheses and never confirms them (1992, 12-16).

However, there remains an issue concerning the nature of the evidence that is implied by our theory. More specifically, we might ask what plays the role of evidence within Quine’s naturalized account of knowledge (see Davidson 1983)? Given Quine’s naturalized account of knowledge, his answer must be in line with scientific practice. Although, he has at times claimed that observation sentences should be seen as evidence, they cannot measure up to this naturalist standard (1969a). This is because observation sentences are also occasion sentences where their truth-value can vary, while our theory and its implications (if true) would be true once and for all. There then appears to be no direct inferential connection between our theoretical statements and observation sentences (Quine 1975b).

In order to better capture scientific practice, Quine then introduces what he calls “observation categoricals” to help bridge this inferential gap between theory and evidence. An observation categorical is a hypothetical expression that links two observation sentences where the first specifies some experimental conditions and the second suggests what will follow from such conditions. In other words, they express the general expectation that whenever one observation sentence holds, the other will also (Quine 1995a, 25). Simple examples might include: “When it rains, it pours” or “Where there is smoke, there is fire.” For Quine, these constructions highlight the way in which evidence for a respective hypothesis is to be found: “The scientist deduces from his hypotheses that a certain observable situation should bring about another observable situation; then he realizes the one situation and watches for the other. Evidence for or against his set of hypotheses ensues, however inconclusive” (2000c, 411).

The observable consequences predicted by the observation categorical are offered in the form of observation sentences that are directly conditioned to sensory stimulation, and in this way remain answerable to observation and evidence as Quine conceives it. But the categorical itself is an eternal sentence (true or false once and for all) implied by our background theory, and if true can be incorporated into our theory (1981, 26). Experimental method then remains the source of justification for our beliefs: “Where I do find justification of science and evidence of truth is…in successful prediction of observations…” (Quine 2000c, 412). The scientist is justified in his belief that whenever X then Y because it has been provisionally supported by an experiment that has yielded the predicted consequences. Concerns over justification and evidence acquire paradigm expression in the experimental situation, with the endorsement of specific hypotheses stemming from their fulfilled prediction as described in observation categoricals.

Quine then takes our scientific theory of the world to imply its evidence, now seen as consisting of a set of observation categoricals. But he explains how the reverse does not hold, since no group of observation categoricals will logically imply our theory (Quine 1975b, 228). This fact further suggests that more than one theory might be compatible with the evidence, that is, imply the same group of observation categoricals. This conclusion is usually referred to as the underdetermination of theory by evidence – the view that our choice of theory is not wholly determined by the evidence. Quine thinks that this general thesis acquires some support from his holistic view of theories, where theoretical statements fail to imply any observation categoricals in isolation from one another, but must be taken together as a larger group if they are to have empirical implications. It is then because of Quine’s claim that there is a significant degree of empirical looseness of fit between theories and their evidence, that the evidence cannot uniquely determine one single theory. And this opens up the possibility that several theories may be compatible with that evidence.

Although such considerations lend some plausibility to the underdetermination thesis, Quine argues that once we attempt to further clarify this thesis, it is revealed as not as intuitively plausible as it originally appeared. The basic problem stems from the consequence suggested by the thesis, namely, that if we have an overall global theory, then there is also another empirically equivalent alternative theory. The trouble then consists of making sense of what “alternative” might mean in this context (1975b, 230-241). Quine wonders if there is way of making sense of such alternatives that rule out trivial cases, leaving us an interesting formulation of the basic thesis. He invokes the idea of translation between theories to highlight their distinctness, where we claim that our global theory has an alternative that is empirically equivalent but which cannot be translated sentence by sentence into our theory.

These theories differ in the predicates they use within their respective languages. A trivial example is given by switching two terms, “molecule” and “electron,” that do not appear in any observation sentence. These two theories would then be empirically equivalent since they imply the same observation sentences, but they say different things because one assigns certain properties to molecules, while the other denies them and attributes them to electrons (Quine 1981, 28-9). Successfully translating one to the other would then require a systematic conversion of one into the other. The underdetermination thesis that emerges from these remarks “asserts that our system of the world is bound to have empirically equivalent alternatives that are not reconcilable by reconstrual of predicates” (Quine 1975b, 242). Quine thinks it remains an open question whether this situation could arise. But, he does endorse the possibility that we might uncover empirically equivalent theories that we see no way to successfully reconcile through translation (1992, 97; see Hylton 2007, 189-196).

Quine’s discussion of issues involving the justification of theoretical statements stands in sharp contrast to the common criticism that his naturalized epistemology eliminates any normative concern with justification. The standard reference for this criticism is found with Kim (1993), who argues that Quine’s naturalized account of knowledge asks us to “set aside the entire framework of justification-centered epistemology” replacing it with “ a purely descriptive, causal-nomological science of human cognition” (224). With his explicit appeal to the resources of natural science, Kim takes Quine’s epistemological program as only describing how we have arrived at our current beliefs, and as incapable of accounting for the rational basis of these beliefs, or providing any recommendations concerning what beliefs we should accept or reject. He concludes that Quinean naturalized epistemology results in a radical rejection of the traditional normative project of epistemology.

Quine’s emphasis on the causal connections between our sensory surfaces and the statements of advanced science forms one element of his attempt to clarify the evidential support of science but one that does not explicitly address Kim’s normative concern. That is, it does not deal with questions of justification, or reasons for belief, and consequently does not establish those standards needed for the evaluation of our beliefs. Moreover, Quine would agree that sensory stimulation is incapable of dealing with normative concerns involving evidence, since this causal source of ‘information’ does not justify our beliefs, because we are unaware of our sensory input and cannot then infer anything from it. This agreement is partly obscured with Quine’s occasional use of “evidence” in summary statements of his position. However, this concept is not clear enough to be used within the more precise scientific formulations required of Quine’s naturalized account of knowledge. By concentrating on “the causal-nomological” element of Quine’s view, and finding there no evident interest in the issue of justification, Kim concludes that naturalized epistemology eschews any such concern. But this mistakenly takes Quine’s description of the causal chains from stimulus to science as all that would remain of epistemology after it has been situated within the empirical constraints of natural science. Quine thinks that concerns over justification find their most explicit expression in experimental contexts, when specific hypotheses lead to their fulfilled prediction. These predicted expectations are captured with his use of observation categoricals that serve to bridge the inferential gap between observation sentences and the more advanced pronouncements of our scientific theory.

This view of justification is also in accord with Kim’s insistence that epistemology indicate the conditions beliefs must satisfy to be considered justified. It further indicates which beliefs we have a rational responsibility to hold and those we do not. Through his appeal to experimental method and the claim that hypotheses are justified through the successful prediction of observational consequences, Quine indicates that these hypotheses are to be accepted while others that fail to lead to their respective predictions are not. Rather than reject normative epistemology, Quine’s theory of knowledge provides an account of the normative that is tempered by scientific resources and empirical methods. The result is a view of justification that remains capable of addressing those justificatory concerns that Kim sees as fundamental to the traditional normative project of epistemology. This suggests that the central normative issue that divides Quine and his critics does not involve the question of whether individual claims are justified but rather centers on his more fundamental denial of any general evaluative perspective on science from some external philosophical vantage point. For more on these issues see Gregory 2008, Johnsen 2005, Roth 1999, and Sinclair 2004, 2007.

4. Ontology, Explication and the Regimentation of Theory

Quine’s concern with science or with our overarching “scientific theory of the world” is not confined to the acquisition and evidential support of this theory, but also considers the question of its further ontological commitments. Here, he is interested in what the world is like in its most general structural features, and in further clarifying what our scientific theory tells us about this ontological structure (Quine 1960, 161). Such concerns indicate a philosophical task for the naturalist philosopher: a detailed consideration of how our scientific theory might be organized and systematized. This, as we will see, results in Quine’s attempt to further simply this theory and in the process help to clarify what sorts of objects we must acknowledge as real given our acceptance of this theory.

In carrying out this systemization of our theory Quine speaks of its “regimentation,” in which the theory is to be cast in a logically clear and rigorous language (1960, 157). The results of this regimentation further lead to ontological reduction, in which we appeal to various logical techniques to demonstrate that our theory does not commit us to the existence of certain kinds of things that it may, at first glance, appear to (Hylton 2007, 245). The overall aims of regimentation are to make our theory clearer, more precise and systematic. Quine takes this drive towards greater systematization as central to the improvement of human knowledge generally. It is precisely these further systematic refinements to our knowledge that helps it move beyond the claims of commonsense to more sophisticated science (Quine 1976b, 233-234). By injecting greater system into the precise examination of evidence the scientist is able to take positive steps beyond commonsense understanding. Quine views the philosophical concerns that motivate his use of logical regimentation as a straightforward continuation of the scientific effort to impose greater system upon our theory (see Hylton 2007, 232-233). The scientist is interested in organizing and clarifying some specific area of a theory, such as biology or chemistry, in order to provide a better understanding of that part of human knowledge and further lay the groundwork for future progress in that area. The philosophical aim here is, not surprisingly, broader and more abstract than that of the empirical scientist, but the motivation and result is the same (Quine 1960, 275-276). These ontological interests are another example of the way Quine conceives of philosophy as continuous with the aims and motives of scientific inquiry.

Quine is concerned with making explicit the ontological claims that our theory requires us to accept. In other words, what kinds of objects must we accept as real, given our commitment to this theory (Hylton 2007, 236). In pursuing such issues, he thinks that our ordinary language or system of concepts fails to make explicit the nature of such ontological commitments, because it fails to definitely pick out objects. When dealing with various ontological concerns, we cannot then simply “read them off” our ordinary use of terms and concepts:

The common man’s ontology is vague and untidy in two ways. It takes in many purported objects that are vaguely or inadequately defined. But also, what is more significant, it is vague in its scope; we cannot even tell in general which of these vague things to ascribe to a man’s ontology at all, which things to count him as assuming…It is only our somewhat regimented and sophisticated language of science that has evolved in such a way as really to raise ontological questions. (Quine 1979, 276)

It is only once we have cast our knowledge of the world into a regimented notation that it then makes sense to ask about what it claims to exist. However, there are various logical methods and techniques available for this logical calibration or regimentation. We must then choose a method, and base this choice on that method which does the best job at helping us systematize our theory. Quine argues that the best way to regiment our theory is to formulate it within the terms set by the syntax of classical first order logic. Setting up our theory within such syntactical forms will, he thinks, provide the best way of simplifying and clarifying this theory (see Hylton 2007, 252). Quine’s general concern with clearly and explicitly capturing the nature of our theory’s ontological commitments is then intimately connected with his attempt to regiment our scientific theory into the syntax of modern logic.

One important way that regimentation helps with the simplification and clarification of our theory is through helping us avoid nagging philosophical problems by ‘resolving’ them. Again, this claim needs to be measured against problematic features of ordinary language use. Ordinary language contains idioms and constructions that lead to puzzling questions or paradoxes. For example, to meaningfully speak about some thing not existing, seems to require that there is in fact such an object to talk about. But following Russell, Quine shows how such expressions can be rewritten within a formal language using quantifiers and bound variables (for more details see Quine 1948, 1-19; Hylton 2007, 280-297). The meaningfulness of such expressions is then understood within the resources of a formal language and does not further require that there exist objects such as a round square, or Pegasus, in order for us to speak meaningful of there being no round square, nor Pegasus.

For such reasons, Quine thinks that we can avoid these idioms and constructions and, in turn, sidestep the philosophical puzzlement that accompanies them. This reflects his attitude to progress in philosophy and science, where serious philosophical work is concerned with science or our general systematic structure of human knowledge. The simplification of this theory demonstrates how to avoid puzzling and irresolvable questions that have been part of historical philosophical concerns. Scientific work can than move forward without any distraction from such potential philosophical impediments to progress (Hylton 2007, 244). Quine explains that “problems are dissolved in the important sense of being shown to be purely verbal, and purely verbal in the important sense of arising from usages that can be avoided in favor of ones that engender no such problems” (1960, 261). It should be stressed that Quine does not think that all philosophical problems can be dissolved in this way. His point here is to emphasize that philosophical worries often derive from the vagueness of the terms employed, rather than from a discovery of a genuine issue that needs to be addressed. This itself is revealed once we adopt a proper scientific attitude to the problem, further demonstrating that it is unreal and should placed aside.

We have seen that Quine takes the ontological claims of our theory as only becoming clear relative to some form of logical regimentation. However, at first glance, it appears as if our ordinary discourse comes with ontological commitments. The subject of a given sentence seems to correspond to an object, suggesting that accepting such a sentence is to commit oneself to the existence of that object. It is possible that given our choice of a regimented language, this commitment may remain, or we may be able to do without it, since the sentence can be logically recalibrated without any reference to such an object. This second case is one of ontological reduction, where we have demonstrated how the commitment to the existence of an object does not need to be taken as a real commitment (Hylton 2007, 246; Quine 1960, 257-262).

Quine illustrates this point with his discussion of the definition of an ordered pair. Within set theory, the definition of set is indifferent to the order of its members. The set consisting of my coffee cup and my copy of Word and Object is the same set as that made up of my copy of Word and Object and my coffee cup. There are times, however, when this order makes a difference and we need to specify which member of a set comes first and which comes second. To do so we introduce an entity called an “ordered pair.” For example to define the relation of fatherhood, we would introduce the ordered pair of <Abraham, Isaac> where the first member is male and the second is a child of the first. The father relation can then be defined as the set of all ordered pairs of this kind (Quine 1960, 257). Ordered pairs need to be subject to one fundamental postulate: that the ordered pair consisting of a and b is identical to the ordered pair consisting of x and y if and only if a = x and b = y (Gustafsson 2006, 60; Hylton 2007, 247). Now, the ontological issue concerns the apparent need to be committed to an extra entity called ‘ordered pair’ of which this postulate is true or whether we can define this construction using only the conceptual resources within our existing theory, that is, within set theory. It turns out that we do not need to assume the existence of such entities, since there are, at least, two ways to use set theory to define ordered pairs (for details, see Gustaffsson 2006, 60-65; Hylton 2007, 247). The above postulate can then be translated via a theorem of set theory using one of these proposed definitions. When our explanatory needs require a more precise specification of the order of a set’s members, we are able to meet this demand by simply using the resources of our existing theory. The justification for making such theoretical maneuvers and using these definitions, is found with the demands of overall utility and convenience; we can address our explanatory interests by using the existing resources of set theory while avoiding assumptions and entities that we do not need. For Quine, it does not matter that there are several definitions of ordered pair available, nor that they make different claims about what ordered pairs ‘really’ are. Any definition that is capable of fulfilling the basic postulate is deemed acceptable for his theoretical purposes (Gustaffsson 2006, 61; Hylton 2007, 247-8). Simply put, what these definitions then show is that we can proceed with our explanatory interests without ordered pairs. Despite his focus on this relatively technical point internal to set theory, Quine suggests that we draw a general philosophical moral:

This construction is paradigmatic of what we are most typically up to when in a philosophical sprit we offer an “analysis” or “explication” of some hitherto inadequately formulated “idea” or expression.… We fix on the particular functions of the unclear expression that make it worth troubling about, and then devise a substitute, clear and couched in terms to our liking, that fills those functions. Beyond those conditions of partial agreement, dictated by our interests and purposes, any traits of the explicans come under the head of “don’t-cares” (Quine 1960, 258-259).

This definition or explication of ‘ordered pair’ has this broader ontological significance because the technical issues that motivate it are here viewed as simply a basic part of what it means to address such ontological questions. Due to the inherent vagueness of our ordinary discourse, Quine views ontology itself to be largely an artificial enterprise, which is inseparable from the very sort of logical techniques and regimentation we have discussed (Hylton 2004, 128). The study of ontology requires addressing those technical issues that answer the explanatory needs of convenience, simplicity and overall considerations of utility. For Quine, any serious attempt at clarifying our ontological commitments will then involve the technical considerations found in this explication of the ordered pair.

This definition or explication has resulted in our proceeding without assuming the existence of ordered pairs. There then remains a general question concerning whether such ontological reductions explain or eliminate the entity under consideration. Given Quine’s general attitude to ontological issues, we might expect that he recognizes no sharp difference here between explication and elimination. If the definition results in a rejection of certain uses of a term, then we may be more inclined to view this as a rejection of the entity in question. But if these uses are still recognized as important in different contexts, we may favor the explication of the term rather than its elimination. Given the artificial nature of the ontological enterprise, these are largely rhetorical differences that do not admit of sharp boundaries (Quine 1960, 261).

This is perhaps best seen with Quine’s view of the disagreement within the philosophy of mind between identity theorists and so-called eliminative materialists (see Gustaffsson 2006). Despite a lack of neurophysical detail, Quine thinks that we still can provide an explication of the mental that shows how to proceed without the positing of mental entities. If one grants that each mental state has a corresponding bodily state, then we can simply assign mental predicates to states of the physical body, thus bypassing any need to assign the mental to some non-bodily substance. John’s pain is not located in some mind that is in a state of pain, but we instead take the predicate “is feeling pain” as applicable directly to John’s body. In this way we get rid of all reference to mental entities and appeal to mental predicates as applying only to physical things, in this case John’s body (Gustaffsson 2006, 66). As in the case of ordered pairs, we have a definition that leads to ontological reduction, and we might be inclined to ask whether this reduction explains what mental states really are, or eliminates then completely from our ontology.

Quine’s attitude here is the same as before; a proper scientific regimentation of discourse about minds demonstrates how to proceed without the positing of mental entities. But the further question of whether this identifies the mental with the physical or eliminates the mental is shown to be merely a rhetorical difference. It is only through our choice of a logical framework, a regimented language, that we are capable of settling the question of what identity criteria are available. Once this has been decided we can recognize that scientific discourse about minds does not require a commitment to mental entities. However, this reveals that there are no further objective facts characterized within this formally regimented language that settles the question of the identification or elimination of the mental (see Gustaffsson 2006, 67-68; Quine 1960, 265). We have shown how our commitment to physicalism is compatible with the explanatory need to posit mental states, but how we might further describe this outcome is merely a choice between which way of talking we like best (Quine 1995a, 86).

5. Physicalism, Instrumentalism, and Realism

With regard to Quine’s general attitude within ontology we have seen his insistence on clarity, utility, ontological reduction, and the general simplicity and sparseness of our theoretical commitments. These features coupled with Quine’s early flirtation with nominalism might lead one to conclude that his philosophy be characterized as “nominalist” (Quine 1946, Quine and Goodman 1947). However, this conclusion does not follow. Much of our theorizing uses abstract objects, including for example, mathematics objects such as numbers and functions, which in turn form a crucial part of the overall structure of the sciences. Without abstract objects we would be unable to accommodate mathematics within our overall system of knowledge, and so would deprive ourselves of such knowledge within natural science. Moreover, ordinary statements such as “I own two cars,” appeal to the idea of a type of object, which we may most readily understand in terms of abstract entities (See Hylton 2007, 302-303). Quine is then driven to accept abstract entities, by stressing the overwhelming theoretical and structural reasons for including them into our ontology. It is important to note that no experiment or fulfilled prediction settles this or any other ontological issue (Quine 1960, 276). Rather, the reality of abstract objects gains indirect support through the structural benefits they provide our theory in our ongoing attempt to formulate testable hypotheses.

Quine further clarifies the status and role of such abstract objects through an appeal to sets as the only type of abstract object required. Most significantly, he thinks it is possible to demonstrate how various mathematical entities can be defined using only sets. The use of sets then allows us to preserve the importance of mathematics and its crucial role within the language of natural science, while admitting only one type of abstract object into our ontology.

When Quine’s general ontological viewpoint is characterized as physicalist, we must note its endorsement of physical objects, and abstract objects. This use of “physicalism” is nonstandard, as the term is sometimes equated with materialism (only physical things exist), and as explicitly rejecting the existence of abstract objects (see Hylton 2007, 310). Quine further formulates his physicalism as the view that there is no difference without a physical difference. That is, nothing happens in the world without a redistribution of microphysical states (Quine 1981, 98). Importantly, this does not result in a strict form of reductive physicalism, where, for example, we might claim that a particular type of physical event occurs when someone thinks about their vacation in Mexico. Rather, Quine advocates a form of what is often called “nonreductive physicalism,” in which various vocabularies, including intentional descriptions, cannot be reduced to the language of physics, but that each particular mental event can be identified with a specific physical event. He takes the general significance of this form of physicalism as stemming from the fact that it is physics, as the fundamental science, which aims for the full coverage of all events in the universe:

…nothing happens in the world, not the flutter of the eyelid, not the flicker of a thought, without some redistribution of microphysical states…If the physicist suspected that there was any event that did not consist in the redistribution of the elementary states allowed for in his physical theory, he would seek a way of supplementing his theory. Full coverage in this sense is the very business of physics, and only of physics. (Quine 1981, 98)

It falls to physics to account for all actions and events within its universal and exceptionless laws. The importance that Quine assigns to his physicalism is based on the plausible empirical assumption that there is an adequate physical theory to be found along the lines he suggests (Hylton 2007, 315-316). While physics remains incomplete, it nonetheless provides us with a coherent unified theory with great explanatory power. It is reasonable to believe that, as the details of physical theory are further worked out, the resulting theory will remain a natural extension and continuation of the current physical understanding at hand.

Quine further emphasizes what he describes as a “robust” realism about the objects posited by our overarching theory of world. This realism remains grounded in his naturalistic conception of philosophy, where it is science itself that describes and identifies the most basic features of reality. He emphasizes the way human knowledge is a means for the prediction of observation or, more technically, of sensory stimulation:

Our talk of external things, our very notion of things, is just a conceptual apparatus that helps us foresee and control the triggering of our sensory receptors in the light of previous triggering of sensory receptors. The triggering, first and last, is all that we have to go on. (1981, 1)

This view of knowledge appears to suggest that theories are only instruments, and then conflict with the realist stance Quine further affirms of the objects posited by our scientific theories (Hylton 2007, 18-22). If knowledge is simply viewed as a way of predicting stimulation, then why should we take the further step and proclaim that the objects it claims to tell us about really exist? The basic critical point here claims that despite Quine’s professed realism his view of theories and their relations to sensory stimulation prevent him from taking the things described as real.

This point is reinforced with Quine’s emphasis on what he calls “Ontological Relativity” (Quine 1969b). Suppose we have provided a fully regimented scientific theory in which all of our ontological commitments are now completely transparent. Quine argues that there remains more than one way to interpret such commitments. We can provide a different interpretation of its predicates, and this will give a corresponding change in the ontological commitments of the theory. For example, instead of claiming that x is a dog, we could say that x is a certain temporal stage of a dog. Here, the predicates assigned to the objects of the theory have changed, but the overall structure of the theory remains the same; and its empirical content, that is, its implied observations, also remain unchanged (see Hylton 2004, 115-150). But what the theory tells us is real has changed. Quine thinks it is important that the structure of our theory is built up to accommodate sensory experience, but that the objects used to carry this out can vary. Once again, this may seem to conflict with his further commitment to a realism about the objects posited by our theory. More specifically, in spite of his emphasis on viewing objects as theoretical posits, and how they can vary with no impact on implied observation, he still affirms the reality of the objects posited by our theory. He himself thinks that this represents no serious conflict, and that the key reconciliation of these elements is found with his naturalism (1981, 21). It will then be useful to briefly examine why Quine thinks his naturalism can reconcile the instrumentalist and realist elements of his philosophy of science.

Standard forms of instrumentalism take scientific theories to be instruments for making predictions but view the objects or entities named within such theories as merely useful fictions. They are not claimed to be real, but are simply posited in order to help us make successful predictions. Sometimes this view claims that everyday objects like tables and chairs are real and that the posited non-observable fictions of the theory help us understand the observable behavior of such real objects. Other times it takes all of these objects, including chairs and tables as useful fictions. Either way, such positions rely on a distinction between types or levels of reality, in which one class of objects is depicted as somehow less real than the other, and such objects are then just simple posits for organizing our experience of things (see Hylton 2007, 18-20).

Importantly, Quine’s epistemological and ontological views do not permit any such contrast. He does not think that we can take our sensory stimulations as real while at the same time viewing physical objects as mere fictions. For Quine, sensory stimulations are physical objects and we then need to view them as on par with all other physical objects. But this is a basic corollary of his naturalistic stance in philosophy. Quine’s naturalism emphasizes that we always begin within our ongoing theory of the world, which takes for granted both the existence of the physical world and our knowledge of that world. There is then no neutral, pre-theoretical position that would provide us with access to some other standard of reality. He rejects the claim that in philosophical inquiry we can appeal to a standard of reality that is different from the one we use when we distinguish, for example, a real pool of water from a mere mirage (Hylton 2007, 20). What we have available is our ordinary knowledge of things, where further modifications of this knowledge may lead through a process of internal development. Consequently, we lack any superior standard of reality other than that found within our general overarching systematic theory of the world. Stated somewhat differently, it is only by means of our developing our theory of the world that we have any coherent way of distinguishing what is real from what is not real.

This represents, once again, a rejection of any philosophical perspective that is independent of the general philosophical (and scientific) task of establishing the best theory available for the predicting and making sense of our sensory stimulation. We select scientific theories that best predict sensory input, but, in contrast with the instrumentalist, we cannot simply rest with prediction, and are further committed to affirming the reality of the objects described by the theory.

Quine’s naturalism reconciles the instrumentalist and realist elements of his view by affirming that epistemological and ontological commitments go hand in hand. There is no conflict between our recognition that knowledge is a human-made artifact designed to accommodate observation and our further acceptance of the reality of those objects discussed by that knowledge (Hylton 2007, 22). We can study how we have constructed our knowledge of the world, while at the same time taking for granted the theory we are trying to make sense of with its realistic acceptance of objects, sets, nerve endings, and human beings. Quine’s naturalism then claims that the study of human knowledge takes place within the theory it studies and presupposes the reality of the objects discussed in that theory. There is, as he remarks, “no first philosophy prior to natural science” (Quine 1981, 67).

6. Quine’s Influence

Few philosophers have been willing to adopt Quine’s strict standards nor have they accepted all the details of his respective views. Nevertheless, his influence has been widespread, and its importance can be measured in several different ways.

From the standpoint of the development of philosophy in America, Quine’s early training in logic and his later promotion of themes from logical empiricist philosophy helped set the stage for the emergence of what would be called “analytic philosophy.” Quine saw the importance of logical empiricism within its marshaling of logical techniques in philosophy, and this would then prove central for his later explicit development of a scientific, naturalist conception of philosophy, which rejected any epistemologically significant understanding of the a priori. His emphasis on the technical, scientific aspects of philosophy fed into the increasing pressure for professionalization in philosophy. In the aftermath of the Second World War, Quine’s understanding of the discipline prevailed, with conceptions of scientific philosophy and various forms of scientific naturalism reaffirming the model of the professional philosopher as empirical technician, rather than as moral and social visionary (for more details see Isaac 2005, 205-234).

Quine’s most explicit philosophical influence is then to be found in his empirical reconfiguration of philosophy, and its suggestion that philosophical inquiry must be intimately tied to empirical scientific work. Following Quine’s emphasis on naturalized epistemology, many analytic philosophers have proceeded to ‘naturalize’ various areas of philosophical inquiry. Such projects emphasize the importance of a greater alignment between philosophy and the empirical sciences, while raising suspicions about many traditional projects in philosophy that trade in objects (such as minds, propositions, meanings, and norms) that are hard to locate in the natural world. Although Quine’s philosophy does not engage in any detailed way with empirical results, his work can be usefully viewed as a general model for how philosophical issues can be interpreted scientifically. It is not surprising to see recent trends in naturalistic philosophy making a more explicit appeal to work in psychology, evolutionary biology, neuroscience, and the cognitive sciences. For some examples, see Churchland 1987 and Kornblith 1994.

The idea that philosophy should be informed by work in the sciences may seem hard to resist. The impressive successes found in modern science make it a compelling example of how to pattern our ongoing attempts to advance human knowledge. Moreover, in the face of scientific prestige and progress, philosophers have faced the difficult question of articulating what they still can contribute to the progress of human knowledge. The inconclusiveness of philosophical speculation has led many philosophers to offer varying ways of making philosophy more scientific in the hopes of partaking in scientific progress. This assimilation of philosophical problems or concerns to science may then help philosophy regain some measure of epistemic respect, and intellectual authority, by adopting a more modest but at least legitimate place alongside, or within, science.

But how we are to understand this relationship between philosophy and science is not unproblematic. Quine’s attempt to situate philosophical inquiry within or alongside empirical science is one pointed and forceful way of thinking about this relationship. His key contribution to our understanding of science does not consist in providing a philosophy of science, but in showing how philosophical concerns can be conceived as scientific. Here, it is useful to further reflect on his specific attempt to bring strict scientific standards to bear on key philosophical issues and problems. Given the ongoing importance of addressing such metaphilosophical worries about the status of philosophy in relation to science, Quine’s view remains useful as a resource, even if many philosophers remain reluctant to adopt his general strategy or its detailed reconstructions of philosophical problems.

7. Quine’s Critics

Searle’s criticism of Quine’s behaviorism was discussed above. One other important critical response to Quine’s specific rendering of the philosophy-science relationship is found with the work of Michael Friedman (1997, 2001). Quine’s naturalism, with its rejection of any form of a priori knowledge, results in a holistic picture of human knowledge as one large web of belief touching experience only at its edges. Friedman argues that this picture fails to account for a more subtle interaction between the exact sciences, such as mathematics and logic, and the natural sciences, and as a result, cannot properly make sense of their historical development.

Friedman’s alternative picture involves a dynamical system of beliefs, concepts, and principles that can be distinguished into three main elements or levels. There is an evolving system of empirical scientific concepts and principles, a system of mathematical concepts and principles that make possible the framing of empirical science and its precise experimental testing, and lastly a system of philosophical concepts and principles that serve during times of scientific revolution as a source of suggestions for choosing one scientific framework rather than another (Friedman 1997, 18-9; 2001). All of these three systematic levels are constantly changing and interact with each other, but each plays a distinctive role within the general framework of scientific knowledge. For example, consider the revolutionary scientific changes of the sixteenth and seventeenth centuries. Here, the guiding aim was a precise mathematical description of natural phenomena using an atomistic theory of matter that explained natural changes as the result of movement and impact of tiny particles. This guiding ideal requires the use of mathematics to achieve precise results that can then be subjected to exact experimental tests. Here, we have a distinctive contribution at the mathematical level, where this forms the necessary backdrop to empirical testing within the natural sciences. But this achievement lacked the mathematical and empirical resources needed for its successful completion and was sustained by distinct philosophical contributions. It is here that Descartes’ system of natural philosophy, with its careful revision and reorganization of philosophical concepts derived from scholastic philosophy that distinctive philosophical contributions helped to promote this new scientific ideal (Friedman 1997, 14, 16-7).

Although Friedman’s account agrees with Quine that none of our beliefs are forever immune from revision, it further diverges from Quinean naturalism in two fundamental ways. First, it highlights a modified Kantian view of the way mathematical concepts and principles stand as a priori conditions that make possible both the very framing of empirical scientific principles and their experimental testing. Second, it highlights a distinct role for philosophy in relation to science, when it suggests that during deep conceptual revolutions in science, a separate level of philosophical ideas and concepts can be offered as resources for sustaining a new scientific framework. Adopting Quine’s general assimilation of philosophy to empirical science obscures the constitutive a priori role mathematics plays in the formulation of empirical scientific principles, Friedman argues, and further ignores the distinctive role philosophy plays in relation to science during scientific revolutions. Friedman’s alternative conception of the relations between philosophy, mathematics and empirical science suggests a more complicated interaction than seen with Quine’s naturalism, one that arguably is needed if we are to fully understand the historical development of the sciences and philosophy’s contribution to that process.

8. References and Further Reading

a. Primary Sources

  • Quine, W.V. 1946. Nominalism. In Confessions of a Confirmed Extensionalist and Other Essays (2008b). Edited by Dagfinn Føllesdal and Douglas B. Quine. Cambridge: Harvard University Press.
    • An early unpublished presentation on the merits and limits of nominalism.
  • Quine, W.V. 1948. On What There Is. In From a Logical Point of View (1981). Cambridge: Harvard University Press.
    • An early discussion of ontological issues, where Quine uses Russell’s theory of descriptions and offers a criterion for ontological commitment.
  • Quine, W.V. 1951. Two Dogmas of Empiricism. Philosophical Review 60: 20-43.
    • Famously criticizes the tenability of the analytic-synthetic distinction.
  • Quine, W.V. 1960. Word and Object. Cambridge: MIT Press.
    • His magnum opus dealing with core issues in language, epistemology, and ontology.
  • Quine, W.V. 1969a. Epistemology Naturalized. In Ontological Relativity and Other Essays. New York: Columbia University Press.
    • The classic statement of Quine’s naturalized epistemology.
  • Quine, W.V. 1969b. Ontological Relativity. In Ontological Relativity and Other Essays. New York: Columbia University Press.
    • Discussion concerning how ontology is relative to theory choice.
  • Quine, W.V. 1975a. The Nature of Natural Knowledge. In Mind and Language. Edited by Samuel Guttenplan. Oxford: Clarendon Press. Reprinted in Quine 2008b.
    • Overview of Quine’s naturalistic account of human knowledge.
  • Quine. W.V. 1975b. On Empirically Equivalent Systems of the World. Erkenntnis 9: 313-328. Reprinted in Quine 2008b.
    • Discusses the nature and intelligibility of the underdetermination thesis.
  • Quine, W. V. 1976a. Linguistics and Philosophy. In The Ways of Paradox and other Essays, Enlarged edition. New York: Random House.
    • Further clarifies the extent of Quine’s use of behaviorism.
  • Quine, W.V. 1976b. The Scope and Language of Science. In The Ways of Paradox and other Essays, Enlarged edition. New York: Random House.
    • Overview of Quine’s philosophical attitude to scientific knowledge and the logical calibration of scientific language.
  • Quine, W. V. 1979. Facts of the Matter. In Essays on the Philosophy of W.V. Quine. Edited by Robert Shahan and Chris Swoyer. Norman: University of Oklahoma Press. Reprinted in Quine 2008b.
    • Discusses Quine’s approach to knowledge and its connection to ontology.
  • Quine, W.V. 1981. Theories and Things. Cambridge: Harvard University Press.
    • Useful collection of essays and responses to critics.
  • Quine, W.V. 1984. Sticks and Stones; or, the Ins and Outs of Existence. In On Nature. Edited by Leroy Rouner. Notre Dame: University of Notre Dame Press. Reprinted in Quine 2008a.
    • Another useful overview of Quine’s naturalized account of knowledge and ontology.
  • Quine, W. V. 1987. Quiddities. Cambridge: Harvard University Press.
    • Quine’s philosophical dictionary.
  • Quine, W.V. 1992. Pursuit of Truth (2nd Edition). Cambridge: Harvard University Press.
    • Later concise overview of Quine’s interlocking views on meaning, knowledge, and ontology.
  • Quine, W.V. 1995a. From Stimulus to Science. Cambridge: Harvard University Press.
    • Quine’s last book where he situates his view in relation to the history of empiricism and summarizes his mature standpoint on various philosophical issues.
  • Quine, W.V. 1995b. Naturalism; Or, Living Within One’s Means. Dialectica 49: 251-61. Reprinted in Quine 2008b.
    • Later summary statement of Quine’s naturalist conception of philosophy.
  • Quine, W.V. 1995c. Reactions. In On Quine: New Essays. Edited by Paolo Leonardi and Marco Santambrogio. Cambridge: Cambridge University Press. Reprinted in Quine 2008b.
    • Quine’s response to a set of essays on his work. He clarifies his position on a variety of different topics including epistemology, ontology, mathematics and logic.
  • Quine, W.V. 1996. Progress on Two Fronts. The Journal of Philosophy 93: 159-63. Reprinted in Quine 2008b.
    • Important short article discussing the perceptual harmony of similarity standards.
  • Quine, W.V. 1997. Response to Haack. Revue Internationale de Philosophie 51: 571-2. Reprinted in Quine 2008b.
    • Responds to Haack’s questions concerning Quine’s use of “science,” his discussion of evidence versus method, and other related issues.
  • Quine, W.V. 2000a. Three Networks: Similarity, Implication, and Membership. In The Proceedings of the 20th World Congress of Philosophy Volume VI: Analytic Philosophy and Logic. Edited by Akihiro Kahamori. Reprinted in Quine 2008b.
    • Quine’s last public presentation briefly discussing his use of perceptual harmony.
  • Quine, W.V. 2000b. I, You and It: An Epistemological Triangle. In Knowledge, Language and Logic: Questions for Quine. Edited by Alex Orenstein and Petr Kotatko. Dordrecht: Kluwer.
    • Concise statement of Quine’s later amendments to his epistemology.
  • Quine, W.V. 2000c. Response to Lehrer. In Knowledge, Language and Logic: Questions for Quine. Edited by Alex Orenstein and Petr Kotatko. Dordrecht: Kluwer. Reprinted in Quine 2008a.
    • Brief discussion of Quine’s view of evidence and justification.
  • Quine, W. V. 2000d. Response to Segal. In Knowledge, Language and Logic: Questions for Quine. Edited by Alex Orenstein and Petr Kotatko. Dordrecht: Kluwer.
    • Brief clarification of Quine’s use of behaviorism.
  • Quine, W. V. 2000e. Response to Szuba. In Knowledge, Language and Logic: Questions for Quine. Edited by Alex Orenstein and Petr Kotatko. Dordrecht: Kluwer.
    • Discusses the perceptual harmony of our similarity standards.
  • Quine, W. V. 2008a. Quine in Dialogue. Edited by Dagfinn Føllesdal and Douglas B. Quine. Cambridge: Harvard University Press.
    • Useful collection of Quine’s interviews, book reviews and responses to other philosophers.
  • Quine, W. V. 2008b. Confessions of a Confirmed Extensionalist and Other Essays. Edited by Dagfinn Føllesdal and Douglas B. Quine. Cambridge: Harvard University Press.
    • Quine’s main articles from his last three decades and important unpublished writings.
  • Quine, W. V. and Nelson Goodman. 1947. Steps Toward a Constructive Nominalism. Journal of Symbolic Logic 12: 97-122.
    • Early attempt with Goodman to develop a nominalist program in philosophy.

b. Secondary Sources

  • Carnap, Rudolf. 1935. Philosophy and Logical Syntax. London: Routledge & Kegan Paul.
    • Introductory presentation of Carnap’s use of the analytic-synthetic distinction and his conception of philosophy as concerned with the logical syntax of language.
  • Churchland, Patricia. 1987. Epistemology in the Age of Neuroscience. The Journal of Philosophy 84: 544-553.
    • Short article discussing some applications of work in neuroscience to issues in epistemology.
  • Davidson, Donald. 2001. A Coherence Theory of Truth and Knowledge. In Subjective, Intersubjective, Objective. Oxford: Clarendon Press.
    • Questions Quine’s use of sensory stimulation as evidence.
  • Friedman, Michael. 1997. Philosophical Naturalism. Proceedings and Addresses of the American Philosophical Association 71:7-21.
    • Argues that Quine’s holistic picture of human knowledge cannot account for the historical development and interaction of the mathematical and natural sciences.
  • Friedman, Michael. 2001. Dynamics of Reason. Stanford: CLSI Publications.
    • Defends a modified Kantian view of a priori principles in opposition to Quine’s naturalism.
  • Friedman, Michael. 2006. Carnap and Quine: Twentieth-Century Echoes of Kant and Hume. Philosophical Topics 34: 35-58.
    • Describes the philosophical development of these two thinkers and their debates by contrasting Carnap’s Kantian affinities with Quine’s Humean sympathies.
  • Gibson, Roger. ed. 2004. The Cambridge Companion to Quine. Cambridge: Cambridge University Press.
    • A set of important essays on Quine’s philosophy written by distinguished scholars.
  • Gibson, Roger. 2004. Quine’s Behaviorism cum Empiricism. In The Cambridge Companion to Quine. Cambridge: Cambridge University Press.
    • A careful overview detailing the nature of Quine’s behaviorist commitment.
  • Gustafsson, Martin. 2006. Quine on Explication and Elimination. Canadian Journal of Philosophy 36: 57-70.
    • Insightful discussion of Quine’s conception of explication and its role in ontological reduction.
  • Gregory, Paul. 2008. Quine’s Naturalism: Language, Knowledge and the Subject. Continuum Press.
    • A new interpretation and defense of Quine’s naturalized conception of knowledge.
  • Hylton, Peter. 2004. Quine on Reference and Ontology. In The Cambridge Companion to Quine. Cambridge: Cambridge University Press.
    • Overview of Quine’s ontological views and their relation to objective reference.
  • Hylton, Peter. 2007. Quine. New York: Routledge.
    • The most careful, detailed scholarship on Quine’s work available.
  • Isaac, Joel. 2005. W. V. Quine and the Origins of Analytic Philosophy in America. Modern Intellectual History 2: 205-234.
    • An important historical treatment of Quine’s influence on the rise of analytic philosophy in America.
  • Johnsen, Bredo. 2005. How to Read “Epistemology Naturalized”. The Journal of Philosophy 102: 78-93.
    • An important discussion arguing that Quine never abandoned normative epistemology.
  • Kemp, Gary. 2006. Quine: A Guide for the Perplexed. New York: Continuum.
    • An introductory survey of Quine’s views especially useful for first-time readers of Quine’s philosophy.
  • Kim, Jaegwon. 1993. “What is ‘Naturalized Epistemology’?” In Supervenience and Mind. Cambridge: Cambridge University Press.
    • Argues that Quine abandons normative epistemology.
  • Kornblith, Hilary. ed. 1994. Naturalizing Epistemology, (2nd Edition). Cambridge: MIT Press.
    • Important collection of articles exploring the interface between psychology and epistemology.
  • Lugg, Andrew. 2006. Russell as Precursor of Quine. Bertrand Russell Society Quarterly 128- 129: 9-21.
    • Defends Quine’s reading of Russell as a naturalized epistemologist.
  • Richardson, Alan. 1998. Carnap’s Construction of the World. Cambridge: Cambridge University Press.
    • Offers a revisionist reading of Carnap’s philosophy emphasizing its neoKantian origins.
  • Roth, Paul. 1999. The Epistemology of ‘Epistemology Naturalized’. Dialectica 53: 87-109.
    • A careful reappraisal of Quine’s argument in “Epistemology Naturalized.”
  • Searle, John. 1987. Indeterminacy, Empiricism and the First Person. The Journal of Philosophy 84:23-147.
    • Pointed criticism of Quine’s behaviorist approach to meaning and knowledge.
  • Sinclair, Robert. 2004. When Naturalized Epistemology Turns Normative: Kim on the Failures of Quinean Epistemology. Southwest Philosophy Review 20: 53-67.
    • A Quinean reply to Kim’s claim that naturalized epistemology cannot address the normative demands of justification.
  • Sinclair, Robert. 2007. Quine’s Naturalized Epistemology and the Third Dogma of Empiricism. The Southern Journal of Philosophy 45: 455-472.
    • Defends Quine’s naturalized account of knowledge and evidence against Davidson’s criticisms.

Author Information

Robert Sinclair
Email: rsinclair@brooklyn.cuny.edu
Brooklyn College, The City University of New York
U. S. A.

Nicolas Malebranche: Religion

MalebrancheNicolas Malebranche (1638-1715) was a French philosopher and a rationalist in the Cartesian tradition. But he was also an Oratorian priest in the Catholic Church. Religious themes pervade his works, and in several places he clearly affirms his intention to write philosophy as a Catholic. These religious themes are important for understanding his philosophy. As a rationalist, Malebranche places great emphasis on the importance of Reason. However, because he identifies Reason with the Divine Word, that is, with the Son or Second Person of the Trinity, his rationalism has features that are not common among other forms of rationalism. For example, Reason is a divine person and therefore capable of a wide range of action. In tracing out some of the consequences of this identification of Reason with the Divine Word, the student of Malebranche is quickly immersed in a wide range of his favorite theological and philosophical ideas. The present article will explore three theological ideas which play a special role in Malebranche’s philosophical thought: the Trinity, Original Sin, and the Incarnation.

Table of Contents

  1. A Trinitarian Account of Reason
  2. Love and Order
  3. Original Sin
  4. Universal Reason as External Teacher
  5. Conclusion
  6. References and Further Reading
    1. Reference Format
    2. Further Reading

1. A Trinitarian Account of Reason

The features of the doctrine of the Trinity that are of the greatest importance for understanding Malebranche’s philosophical views are the following:

(1) There are three persons of the Godhead, usually known as the Father, the Son, and the Holy Spirit. Malebranche, however, follows the opening verses of the Gospel of John, which calls the Son the Logos. The usual translation of this into English is ‘Word,’ but it can also be translated as ‘Reason,’ and this is how Malebranche understands it. Likewise, Malebranche preferred the Augustinian tradition of giving the name ‘Love’ to the Holy Spirit.

(2) The three persons are consubstantial and coeternal; that is, they are not three distinct Gods but one God and are inseparable. (3) Human beings are created in some way in the image of God, so that there is a sort of analogy, however loose, indirect, or approximate, between the human mind and the Trinity.

The influence of these ideas is recognizable in Malebranche’s account of ideas. Rather than holding ideas to be innate, Malebranche claims that they are found in God. In fact, he identifies them with divine ideas in the traditional theological sense. Theologians attributed ideas to God by drawing an analogy to artistic design. Just as the artisan who makes a product knows his product independently of that product’s actual existence, since the product’s actual existence presupposes the plan or idea by which the artisan makes it in the first place, so God knows His creation by means of productive ideas. Since these ideas cannot be something independent of God Himself, they are simply the divine substance itself insofar as God’s perfections are participable or imitable by creatures: each creature in its own limited way imitates or ‘partitions’ the infinite unlimited perfection of God. By knowing His own unlimited perfection, then, God knows all things He could possibly make, and thus all things that could possibly come to exist. It is this conception of ideas that makes up the primary background for Malebranche’s account of ideas and, pressed by critics, Malebranche through the course of his career placed greater and greater emphasis on this element of his thought that derived from tradition. Malebranche’s place in this tradition is most explicitly developed in the 1696 Preface to the Dialogues, where he quotes a number of passages from Augustine and Thomas Aquinas in order to extract a general description of divine ideas, which he then directly applies to ideas in his account.

Malebranche goes farther than this, into territory that might well have made traditional theologians uncomfortable. Ideas are not merely in God in the sense that they are the divine substance understood in a certain way; they are somehow a manifestation of God’s Reason, which is “coeternal and consubstantial with Him” (LO 614; OC 3:131). The use of the term “consubstantial,” a traditional theological term applied to the Word or Son, that is, the second Person of the Trinity, marks out the direction in which the Oratorian wants to take this line of reasoning. Drawing on, and modifying, the Augustinian tradition, Malebranche suggests that a proper account of the reason to which we regularly appeal must be rooted in the Christian doctrine of the Trinity. God’s Reason is the Word, and we are rational because the Word, the Logos, is our Interior Teacher (an Augustinian phrase). When we attend to various ideas we are learning from the Divine Word, universal Reason; thus Malebranche’s thesis that all things are seen in God is a way of putting the Word at the center of epistemology. Ideas are the province of the second Person of the Trinity; to attribute ideas to ourselves is to commit the serious mistake of attributing to ourselves what only belongs to God. It is to fail to see (to use another Augustinian phrase that is one of the Oratorian’s favorite sayings) that we are not our own light. This Trinitarian move is the foundation for Malebranche’s version of rationalism; Reason is infallible because Reason is quite literally God.

In a Trinitarian account of Reason there is necessarily more to Reason than an account of our rational ideas can cover on its own. As the Interior Teacher, Reason not only illuminates us with ideas, but also guides us in inquiry through interior sentiments, particularly pleasures and pains. Some background explaining Malebranche’s view of the role of freedom in inquiry will help to clarify this unusual twist in his epistemology.

The understanding is “that passive faculty of the soul by means of which it receives all the modifications of which it is capable” (LO 3; OC 1:43). On the other hand, the will is “the impression or natural impulse that carries us toward general and indeterminate good” (LO 5; OC 1:46). The will is both active, although Malebranche is careful to qualify this by the phrase “in a sense” (LO 4; OC 1:46), and free, where freedom is “the force that the mind has of turning this impression toward objects that please us, and making it so that our natural inclinations are directed to some particular object” (OC 1:46; cf. LO 5). When we believe something necessary, it is because “there is in these things no further relation to be considered that the understanding has not already perceived” (LO 9; OC 1:53). We need freedom because there are many cases in which this has not yet occurred, requiring us to direct our attention (another act of the will) in other directions, and, more importantly, because everything the intellect receives has some appearance of truth (we seem to perceive it, after all), so “if the will were not free and if it were infallibly and necessarily led to everything having the appearance of truth and goodness, it would almost always be deceived” (LO 10; OC 1:54). At first glance, this would force us to say that God, as Author of our natures, is the source of our errors. To avoid this premise, Malebranche concludes that God gives us freedom in order that we may under these circumstances avoid falling into error. In particular, we are given freedom so that we may refrain from accepting the merely probable, by continuing to investigate “until everything to be investigated is unraveled and brought to light” (LO 10; OC 1:54).

Therefore, we have an epistemic duty to use our freedom as much as we can, as long as we do not use it to avoid yielding to “the clear and distinct perception of all the constituents and relations of the object necessary to support a well-founded judgment” (LO 10; OC 1:55). How do we know we have reached clear and distinct perception? Malebranche does not appeal to anything intrinsic to the clear and distinct perception itself. Rather, he suggests that we know it through the “inward reproaches of our reason” (LO 10; OC 1:55), “the powerful voice of the Author of Nature,” which he also calls “the reproaches of our reason and the remorse of our conscience” (LO 11; OC 1:57). That is, we know we clearly and distinctly perceive something because when we try to doubt the perception, Reason reproaches us with pangs of intellectual conscience. In addition to these pangs of intellectual conscience, we are led by “a certain inward conviction” and “the impulses felt while meditating” (LO 13; OC 1:60).

It is in the context of discussing these sentiments, in fact, that Reason first appears in the main body of his major work, the Search after Truth, and, since similar sentiments about “the replies He gives to all those who know how to question Him properly” arise in the conclusion to the work, these epistemic sentiments may perhaps be said to frame the entire work. They play an important role in the Dialogues on Metaphysics and on Religion as well. We are told by the character Theodore early in the Dialogues that Reason guides inquiry by dispensing convictions and reproaches (JS 33; OC 12:194), and the point recurs throughout the Dialogues. Malebranche admits that distinguishing this guidance from prejudice can be difficult, but this is perhaps the point of the Search as a manual for avoiding error: by giving us rules and guidelines by which to avoid error, it helps us listen to the voice of Reason (cf. LO xlii-xliii, 529; OC 1:25-26, 2:453-454).

2. Love and Order

Malebranche extends this Trinitarian rationalism in order to give his own take on the claim that human minds are in the image of God, suggesting in the Treatise on Morals that our lives are structured by the Trinity itself:

The Father, to whom power is attributed, makes them to partake of His power, having established them as occasional causes of all the effects that they produce. The Son communicates His wisdom to them and discloses all truths to them through the direct union they have with the intelligible substance that He contains as universal Reason. The Holy Spirit animates them and sanctifies them through the invincible impression they have for the good, and through the charity or love of Order which He infuses into all hearts (OC 11:186; W 163).

This short passage on the way we are in the image of God gives a succinct summary of a number of claims that Malebranche regards as important; it also shows how intimately related to his Trinitarian concerns many of his most distinctive philosophical positions are. First, there is occasionalism, the view that only God is a true cause. Second, there is the union with universal Reason, according to which we are rational only by union with the Divine Word. Third, there is the will understood as the “invincible impression for the good,” which is attributed to the Holy Spirit.

The Holy Spirit is not invoked by Malebranche as often as the Father and the Son are, but there are several passages that hint at the Spirit’s importance; for example, in Elucidation Ten: “For since God cannot act without knowledge and in spite of Himself, He made the world according to wisdom and through the impulse of His love—He made all things through His Son and in the Holy Spirit as Scripture teaches” (OC 3:141; cf. LO 620). Despite receiving less emphasis, this third element, the theory of love that is associated with the Spirit as the theory of Reason is associated with the Son, plays an important role in the account of how we are related to Reason. Recognizing this requires recognizing Reason’s role in morality; Reason is (moral) Order.

The notion of Order is the core of Malebranche’s ethical theory, since “what makes a man righteous is that he loves order and that he conforms his will to it in all things; likewise the sinner is such only because order does not please him in everything and because he would rather have order conform to his own wishes” (OC 3:137; cf. LO 618). Order, in turn, is explained in Augustinian fashion in terms of the divine ideas. Having argued that ideas do not represent things equally noble or perfect, Malebranche goes on to explain the importance of this inequality:

If it is true, then, that God, who is the universal Being, contains all beings within Himself in an intelligible fashion, and that all these intelligible beings that have a necessary existence in God are not in every sense equally perfect, it is clear that there will be a necessary and immutable order among them, and that just as there are necessary and eternal truths because there are relations of magnitude among intelligible beings, there must also be a necessary and immutable order because of the relations of perfection among these same beings. An immutable order has it, then, that minds are more noble than bodies, as it is a necessary truth that twice two is four, or that twice two is not five (LO 618; OC 3:137-138).

We know ideas are not all equal because we judge the perfections of things by means of their ideas, and it is certain that things themselves are not all equal in perfection; some things are distinguished from others in that they have “more intelligence or mark of wisdom” (LO 618; OC 3:137). Because of this inequality, which is effectively an inequality in the moral salience of the things we know by way of ideas, the eternal, immutable intelligible world of ideas is also an eternal, immutable order. This order, however, is not a merely descriptive order. Were there nothing more to divine Order than the theory of ideas, it would be “more of a speculative truth than a necessary law” (LO 618; OC 3:138). Malebranche wants to go farther. This ordering of perfections among the divine ideas has a necessity that constrains even God. To take this system of divine ideas and make it “necessary law,” the Oratorian introduces his theory of love.

This theory, like the theory of ideas, is rooted in an understanding of the divine nature. Just as the theory of ideas is rooted in God as being in general, so the theory of love is rooted in God as good in general. God’s goodness is a universal or sovereign goodness; God is “a good that contains all other goods within itself” (LO 269; OC 2:16). As such, God is the only perfect or completely adequate object for love, and, accordingly, God loves Himself perfectly. In loving Himself, He necessarily loves what in Himself represents Himself perfectly, namely, His own self-image, divine Wisdom or universal Reason, which contains the order of all things; and because of this, God always acts according to divine Order. The Father, the Son, and the Holy Spirit are inseparable, and therefore God necessarily has a Love for Order. Malebranche goes so far as to say that “it is a contradiction that God should not love and will order” (LO 594; OC 3:97). It is because of this necessary love that order has a normative aspect; because of this love, order has “the force of law” for all minds (LO 620; OC 3:140), both created and uncreated.

Since God loves Himself, and in so doing operates according to Order, God creates us with an impulse to the most perfect good, namely Himself. This is our will. As Malebranche states,

Only because God loves Himself do we love anything, and if God did not love Himself, or if He did not continuously impress upon man’s soul a love like His own, i.e., the impulse of love that we feel toward the good in general, we would love nothing, we would will nothing, and as a result, we would be without a will, since the will is only the impression of nature that leads us toward the good in general… (LO 337; OC 2:126-127)

Because order has the force of law, God makes us according to Order; part of this involves making us to love God alone as our sovereign good. This leaves us with the question of other goods besides God. Malebranche sometimes says that God loves only Himself (for example, LO 364; OC 2:169). However, this is never taken to mean that God does not love other things; in fact, “He loves all His works” (LO 330, 666; OC 2:113, 3:220). The reason is that, as sovereign good, God loves other things in loving Himself. As he notes, “God loves only Himself—He loves His creations only because they are related to His perfections, and He loves them to the extent to which they have this relation—in the final analysis God loves Himself and the things He has created with the same love” (LO 364; OC 2:169-170). On the other hand, not all things bear the same type of relation to Himself; there are, as we noted above, different relations of perfection in Order. Mind is more perfect than body; and, being more perfect, it is more closely related to God, and therefore more lovable. Because of this God cannot will that the mind be subordinated to the body. This is not a metaphysical or logical necessity, but an ethical necessity (an obligation) that presupposes the metaphysical necessity of divine self-love. Given that He loves Order, He ought to will the right ordering of perfections among creatures; this ‘ought’ is an obligation grounded in love.

God, in loving himself, loves sovereign Reason or Order and, because of this love, Order has normative force. When we see in Reason that the soul is more perfect than the body, for instance, we can recognize this principle as not merely a truth, but a law: “the living law of the Father” (JS 238; OC 12:302). Because it is according to Order that Order be loved, and since God always acts out of love of Order, and therefore always in conformity with it, God directs our own love toward Order. Moreover, the law of Order is sanctioned by divine omnipotence itself. Conformity with Order will, in the long run, be rewarded, while divergence from Order will be punished. In one key respect, however, Order is not like other laws. In a case of human law, we can evaluate a law, and perhaps reject it, by considering higher principles than those embodied in the law itself. Because it is the highest law, this can never be the case with Order; when we evaluate the goodness or rationality of any law, we can only do so by comparing it to Order. As divine, Order is the good in general; as Reason, Order is what makes anything rational. Order, in short, is authoritative in every significant way. This authority is essential to Malebranche’s discussion of human nature in its natural, ‘prelapsarian’ state, that is, its state prior to the Fall.

3. Original Sin

We know that God acts according to Order, and that, therefore, everything God creates is originally in conformity with Order. Because Reason shows us the divine ideas, we have cognitive access to Order, and therefore know the original, natural state of human beings (what God created human beings to be) despite not being in it ourselves:

But to speak accurately of innocent man, created in the image of God, we must consult the divine ideas of immutable order. It is there that we find the model of a perfect man such as our father was before his sin (JS 65; OC 12:103).

On this view, our natural state is nothing other than our ideal ethical state; we are most natural when we are perfect. What we find in “the model of the perfect man” is in some ways like us, but in some ways not. Like us, Adam in his original state was made in such a way as to be constituted by two relations, one to sensible goods and one to Reason. This twofold union, of mind to God and mind to body, looms large in Malebranche’s thought, and he sees it in terms borrowed from St. Augustine. Our union to God is what elevates us, and from it “the mind receives its life, its light, and its entire felicity”; however, our excessive attachment to our body “infinitely debases man and is today the main cause of all his errors and miseries” (LO xxxiii; OC 1:9). This intimate union of ethical, epistemological, metaphysical, and theological themes is characteristic of Malebranche’s thinking; a deviation from ethical perfection entails a corruption of nature and an obscuring of our cognitive abilities, and this deviation from ideal is nothing other than distraction from divine Reason.

However, if this is so, Adam (man as God originally created him) must differ from us in not being able to enjoy sensible goods in a way that ever conflicted with, or distracted from, the good of sovereign Reason. God works according to general laws, as Order requires, but as the general laws now stand, it is very easy for our union with bodies to interfere with our union with Reason. Therefore, there must have been some special characteristic in Adam’s situation that gave him greater control over his sensory union with the body. Because Adam was created to be subject only to God, he merited a special ability to maintain his relationship with divine Reason (JS 233; OC 12:296). Since God always acts according to Order, He cannot subject the mind to the body because this would violate Order by subjecting the more noble to the less noble. Malebranche interprets this to mean that something must have been in place to make it possible for Adam not to be distracted from Reason by bodies. In the Dialogues Theodore tells Aristes precisely what this something must have been:

And conclude from all this that prior to sin there were exceptions favoring human beings in the laws of the union of the soul and the body. Or, rather, conclude from it that there was a law which has been abolished, by which the human will was the occasional cause of that disposition of the brain by which the soul is shielded from the action of objects though the body is struck by them, and that thus despite this action it was never interrupted in its meditations and ecstasy. Do you not sense some vestige of this power in yourself when you are deeply absorbed in thought and the light of truth penetrates and delights you? (JS 65; OC 12:103)

When we look at what should be natural to us, and therefore what made our original state different from our current state, we may perhaps find it surprising that it involves a special ability to control our brains – an ability we now unnaturally lack. Although, intriguingly, Malebranche thinks we still have traces of it when we are “deeply absorbed in thought.”

Examination of ourselves in light of Reason, therefore, leads us to conclude that we are currently in a state of disorder. As Malebranche illustrates, alluding to the letter of Paul to the Romans, “each of us is sufficiently aware of a law in himself that captures and disorders him, a law not established by God because it is contrary to the immutable order of justice, which is the inviolable rule for all His volitions” (LO 580; OC 3:72). In practice, this disorder is an excessive concern with bodies, a concern so strong that it is a pathological dependence. We treat bodies, rather than God, as our true good of the mind. This makes us exalt our union with bodies over our union with Order, in the process running afoul, of course, of principles of Order (principles like “bodies are not worthy of love” and “all the love that God places in us must end in Him”). Given that this motion of love toward good is the will, and given that the will governs attention, we are driven to attend more to sensible matters than their ethical importance and value for inquiry would merit. While the senses are not corrupt in themselves, then, our excessive dependence on them is an essential feature of the corruption of our cognitive capacities. Malebranche regards these matters, at least at a very general level, as common knowledge.

For Malebranche, original sin is not purely a doctrine known on faith because it is something of which he thinks we can all be conscious of in ourselves, by comparing ourselves, known by interior sentiment, with Order, which is known clearly by ideas but obscurely by the interior sentiments it effects. In other words, we can recognize our disorder through moral principles or, more obscurely, through the feelings of conscience. Through faith we learn important details about this disorder, particularly about its history, some of which we could not otherwise know; the disorder itself, however, is something everyone can recognize. Reason teaches us that there is a way things should be; experience shows us that we are not the way we should be. What is more, experience seems also to suggest that the reason we are not the way we should be is not that we cannot be so, at least in any absolute sense. Malebranche does not develop the idea, but it seems suggested by Theodore’s statement in the Dialogues that we can still experience “some vestige of this power” (JS 65; OC 12:102). In general our minds are clouded and confused, but on rare occasions, we go beyond this.

Furthermore, because it affects the way we interact with sensible goods, the disorder of original sin has serious epistemic consequences. In particular, “the mind constantly spreads itself externally; it forgets itself and Him who enlightens and penetrates it, and it lets itself be so seduced by its body and by those surrounding it that it imagines finding in them its perfection and happiness” (LO 657; OC 3:203). Our primary union is with sovereign Reason, but distracted by our union with sensible things, we treat this latter union as if it were more important; and because “we cannot increase our union with sensible things without diminishing our union with intelligible truths” (LO 415; OC 2:257), we ignore our union with universal Reason to the extent we devote our attention to sensible things. The reason, Malebranche thinks, is that we enjoy making judgments, and therefore try to have this pleasure without first consulting Reason (LO 649; OC 3:189). This trait bodes ill for us if we are interested in avoiding error, as we shall see. For now what is interesting is just how sharply this error-inducing dependence on the body differentiates human nature in its original and ideal state from human nature as we currently find it. There is a sort of inevitability about some aspects of our dependence on the body. Our ideas are clouded, our attention becomes tired (JS 65; OC 12:103), and in practice there is little we can do about this. Malebranche is clear that this was not the case with Adam, due to the special power over the body we have already noted, a power that we (at least beyond a certain degree) conspicuously lack.

Since we have lost the ability to govern our brains properly because its presence in us was linked by principles of Order to our merit, we now must struggle to overcome disturbances Adam in Eden would easily have overcome. There is a sense in which this has been a fall from intelligence, since our thought is now subject to our body’s limitations and thus we are naturally inclined to make stupid mistakes. Prior to sin, Adam was not stupid enough to think that bodies were the real cause of his pleasure (LO 593; OC 3:96). We, however, have become that stupid. This is the root of Malebranche’s diagnosis of the psychological basis for the claim that bodies are true causes, a claim he considers to be the most dangerous philosophical error original sin has spawned. This brings us immediately to the motivation for Malebranche’s occasionalism, his view that God alone is a true cause.

For Malebranche, a pagan worldview follows closely on, and is perhaps the primary consequence of, original sin. It is this recognition that mediates between his arguments against necessary connection and his general views; it is by means of their ethical role, as correctives to the presumptions of the pagan mindset, that the arguments interest him; see Gouhier’s excellent discussion (1926, pp. 108-114). Gouhier’s phrase for this pagan worldview, la philosophie du serpent, the philosophy of the serpent, captures Malebranche’s view perfectly. Occasionalism is an ethical antidote, or at least an ethical treatment, for our tendency to idolatry, and, in particular, for an especially pernicious instance of this idolatry:

If the nature of pagan philosophy is a chimera, if this nature is nothing, we must be advised of it, for there are many people who are mistaken with respect to it. There are more than we might think who thoughtlessly attribute to it the works of God, who busy themselves with this idol or fiction of the human mind, and who render to it the honor due only to the Divinity. (LO 668; OC 3:223-224)

The philosophical superstition of causal powers or efficacious natures is but one more sad example of the terrible failure of human nature to live up to the demands of Order; it is but one more expression of the “secret opposition between God and man” (LO 657; OC 3:204). It has its root in a religious failing, the failure to give God the credit He is due.

4. Universal Reason as External Teacher

Even though original sin puts our cognitive capacities in a wretched state, Malebranche does not throw up his hands in despair, nor does he resort to skepticism. The reasons for Malebranche’s optimism all have to do with the active and personal role played by universal Reason in human life. Without his personal role of sovereign Reason, despair and skepticism would be unavoidable. With it, Malebranche can afford to be optimistic.

The first reason for Malebranche’s optimism is that we are never entirely cut off from the teaching of Reason. However, much of our perverse fascination with bodily goods may obscure the guidance, yet Reason still guides us. Not only does Reason still illuminate us with ideas, He “teaches us inwardly” when we take the trouble to engage in philosophical meditation (LO 13; OC 1:61). Reason still encourages, warns, and rebukes us as our intellectual conscience. Although prejudices resulting from original sin have made it difficult to find truth, knowledge is still possible.

The second reason that Malebranche can be optimistic is that Reason has not been idle in the face of our perversity. This is seen most clearly in the Incarnation. In more secularly-minded times this may be the hardest bit of Malebranche’s system to wrap one’s mind around; even someone willing to allow Reason an active role in guiding inquiry might balk at taking the Incarnation as an essential part of epistemology. It is not, however, an ad hoc addition to the Oratorian’s other claims. It would, indeed, be rather strange if he did not think along these lines, given other claims he makes. Reason is the second Person of the Trinity, the Logos or divine Word; the Word is, in the opening words of the gospel of John, the light of all who come into the world, and also is the Word made flesh. It is Reason that we consult in inquiry; Reason illuminates us with ideas, judges our actions, rebukes us for bad uses of freedom and rewards us for good. Given all this, it is not surprising that Reason takes an active and personal hand in fixing the epistemological and ethical mess in which fallen humanity finds itself; Malebranche has already insisted that Reason takes an active and personal hand in a number of epistemological and ethical areas.

In the Incarnation, therefore, the divine Word has resorted to a new method of teaching in its attempt to counteract our fallen condition:

The Son of God, who is the wisdom of God or eternal truth, was made man and became sensible to make Himself known to crude and carnal men. He wished to instruct them by means of what was blinding them; He wished to lead them to His love, to free them from sensible goods by means of the same things that were enslaving them. Dealing with fools, He used a kind of foolishness to make them wise (LO 367; OC 2:124. Cf. also LO 417-418; OC 2:260-261).

The divine Word took physical form because human beings have an excessive love for sensory things. According to Malebranche, this teaches us several things. First, in our own teaching we should invest intelligible truth with the sort of presentation that would in some way appeal to the senses. This can be overdone, of course. It is being done correctly only when it elevates us to the intelligible rather than flattering the senses, or, more specifically, when it causes people to withdraw inward in order to think and meditate rather than outward in order to be entertained by sensible things (cf. LO 418; OC 2:261).

Malebranche also contemplates about Wisdom becoming sensible “in order to condemn and sacrifice in its person all sensible things.” He does not elaborate much on this phrase, but the Preface to the Search makes it clear enough. He claims that one of the lessons the Incarnation is meant to teach us is “the scorn we should have for all objects of the senses” (LO xxxviii; OC 1:18). By uniting Himself with a body, he exalted to the highest dignity anything could have, namely, union with God; it became “the most estimable of sensible things.” This “most estimable of sensible things,” however, was subjugated to divine truth to the point of suffering and death. The idea is that if even the most estimable sensible thing should be held less important than truth and order, than all sensible things should be regarded as less important than truth and order. From this Malebranche concludes that “we must gradually become accustomed to disbelieving the reports our senses make about all the bodies surrounding us, which they always portray as worthy of our application and respect.” As he asks rhetorically in Treatise on Nature and Grace, “did not Jesus Christ sacrifice and destroy, in his person, all grandeurs and sensible pleasures? Has not his life been for us a continual example of humility and of penitence?” (R 131-132; OC 5:53). In effect, Malebranche advocates others to take Jesus Christ as an epistemological model. It is perhaps not common to appeal to epistemological rather than ethical exemplars, but in Malebranche’s philosophy epistemology and ethics are closely related. In fact, there are passages that suggest that he considers them to be essentially the same thing. Consider, for example, the following passage, which opens

Error is the cause of men’s misery; it is the sinister principle that has produced the evil in the world; it generates and maintains in our soul all the evils that afflict us, and we may hope for sound and genuine happiness only by seriously laboring to avoid it (LO 1; OC 1:39).

The error here is both intellectual and moral. That it is both appears to be necessitated by the role of the will. Every error is a misuse of will contrary to the guidance of Reason, and therefore can be treated as an immoral rebellion against Reason (cf. LO 8-11; OC1:50-54). Since the Incarnation involves the perfect union of body, mind, and divine Word, the incarnate Word is a paradigm case of perfect orderly relation among the three, and therefore in itself serves as part of Reason’s pedagogy, as “the rule of beauty and of perfection” (R 123; OC 5:41) against which we must measure ourselves.

The third way in which Malebranche thinks the incarnate Word extends its work of teaching the human race is the most obvious, through explicit moral teaching, which communicates to us “in a sensible, palpable way the eternal commands of the divine law,” so as to reinforce its too-often-ignored inner promptings (JS 81; OC 3:121). Related to this, Malebranche considers the teaching of the Church to be one form that Reason’s teaching takes. That is, the Church is “a visible authority emanating from incarnate Wisdom,” extending that moral teaching through time (JS 81; OC 3:121). This is in part necessary because Reason is interested in teaching “the poor, the simple, the ignorant, and those who cannot read,” not merely “those who have enough life, as well as mind and knowledge, to discern truth from error” (JS 255-256; OC 12:322-323). Reason’s exercise of visible teaching authority has not ceased, but rather continues in the Church, which continues Reason’s work of compensating for human failings.

It is unsurprising, then, that Malebranche attacks the Protestant notion of sola scriptura as not merely theologically problematic but also philosophically irrational. Even if the author of the Gospel of Matthew were the apostle, and even if we can suppose there was no corruption in the transmission of the text, we cannot base our faith on the words we read there unless we have an infallible authority teaching that the evangelist was inspired by God. The only infallible authority is God Himself, so the Holy Spirit must either reveal the inspiration of Scripture to each person individually or to the church as a trust for all; of this choice, Malebranche says, “the latter is much more simple, more general, more worthy of providence than the former” (JS 256; OC 12:323). Even if we granted that God revealed to each individual that the text was inspired, Malebranche thinks that this is far from adequate; after you recognize the text as inspired you still must come to understand it. Since God wills for all people to arrive at knowledge of the truth, there must be something to help lead us to it, and again the choice is between inspiration of each person individually or the church collectively. But, states Malebranche, it is absurd to attribute to each individual person the divine assistance one denies to the entire church in assembly, given that the church preserves tradition and, more than any individual, deserves that Jesus Christ guarantee its protection. Jesus imitates the Father as much as is possible; therefore “He will never act in a certain person in a particular manner without some particular reason, without some kind of necessity” (JS 258; OC 12:325). Since it is generally sufficient for Christ to preserve the faithful by preserving the Church’s authority and infallibility in matters of faith, it is absurd and presumptuous to expect special enlightenment by reading Scripture on one’s own, just as it is absurd and presumptuous to expect God to make exceptions to natural laws for one’s personal convenience.

The existence of a church or divine society (with authority, scripture, teaching, and rituals) makes it possible for Reason to do the most good to the most people in the simplest way, preparing for the restoration even of those who do not have the leisure or ability to do rigorous philosophical meditation (JS 257-258; OC 12:323-324). The graces of enlightenment and sentiment (R 151; OC 5:97) extend the dual teaching function of Reason discussed previously, namely, enlightenment by ideas and guidance by sentiments. These graces form and guide the Church, making certain aspects of its teaching, for example, preaching on the basis of Scripture, an infallible authority on whose basis arguments almost like demonstrations can be formed. In Malebranche’s view, Reason is therefore the foundation for the infallibility of the Catholic Church in matters of faith and morals. He was quite right in saying that his philosophy was a Catholic philosophy.

5. Conclusion

There are a number of ways in which Malebranche’s religious interests affect his philosophical discussion.

(1) Reason has the features of the Second Person of the Trinity, that is, the Son or Word of God. Reason is a divine person. This allows Malebranche to attribute a wider range of activities to Reason than could be attributed to an impersonal reason.

(2) The Trinitarian influence helps to clarify why Malebranche has no problem with talking as if Reason, in its aspect of Order, constrained even God: he has a Trinitarian account of why God must act according to Order.

(3) Original sin plays an extraordinarily important role in Malebranche’s philosophy, to such an extent that even Malebranche’s discussion of very philosophical topics, like the question of whether there are causal powers, is affected by his understanding of original sin and its tendency to drag us away from attentive meditation on divine ideas in Reason.

(4) There is no question that Malebranche’s philosophy is Catholic throughout. Purely Catholic themes and ideas arise throughout, to such an extent that he does not hesitate to bring Catholic doctrines about the Incarnation or the Church into his philosophical discussions.

These are only a few examples. There are many other ways in which Malebranche’s religious views and practices are reflected in his philosophy: his discussions of grace and providence, his theodicy, his relation to the French School of Spirituality founded by Bérulle, and more. Many of these have only just begun to be studied in any detail. If, however, we were to examine every way in which Malebranche’s philosophy were influenced by his religious views, this would not be any different from a complete examination of every facet of his philosophy.

6. References and Further Reading

a. Reference Format

In this article the following reference format for Malebranche’s works has been used:

(LO 418; OC 2:261; cf. also R 131-132; OC 5:53)

The English translation is given first, with its page number; followed by ‘OC’ to indicate the standard French edition, the Oeuvres Complètes, with the volume and page number; particularly notable analogous references follow the “cf. also.” At times, when reference is intended to two different passages equally, the following format has been used:

(LO 330, 666; OC 2:113, 3:220)

The English translations are listed first, while their corresponding pages in the Oeuvres Complètes are listed in order after the semicolon. Thus “OC 2:113” corresponds to “LO 330” and “OC 3:220” corresponds to “LO 666.” Where the passage as quoted in the article deviates from the English translation, this is noted by the following format:

(OC 12:196; cf. JS 147)

The edition abbreviations that have been used are:

JS: Dialogues on Metaphysics and on Religion, Nicholas Jolley and David Scott, eds. New York: Cambridge University Press, 1997.

LO: The Search after Truth, Thomas Lennon and Paul Olscamp, eds. New York: Cambridge University Press, 1997.

OC: Oeuvres Complètes de Malebranche, 20 vols., André Robinet, ed. Paris: J. Vrin, 1958-84.

R: Treatise on Nature and Grace, Patrick Riley, ed. Oxford: Clarendon Press, 1992.

W: Treatise on Ethics, Craig Walton, ed. Dordrecht: Kluwer, 1993.

Current scholarship on the role of religion in Malebranche’s philosophy is fairly limited, and what exists is somewhat uneven. The following are suggested as useful for those who wish to study this topic. Some of them discuss the matter in its own right, while others simply raise important questions and topics for further investigation in the course of discussing other things.

b. Further Reading

  • Arnauld, Antoine. On True and False Ideas, Elmar Kremer, ed. Lewiston: Edwin Mellen Press, 1990. This important work, occasioned by Malebranche’s views on grace, began the long-lasting dispute between Arnauld and Malebranche.
  • Astell, Mary, and Norris, John. Letters Concerning the Love of God, E. Derek Taylor and Melvyn New, eds. London: Ashgate, 2005. John Norris was a British Malebranchean; his correspondence with Mary Astell is an excellent resource for identifying features of Malebranche’s thought that would have been considered especially relevant to religion in the period.
  • Connell, Desmond. The Vision in God: Malebranche’s Scholastic Sources, Paris: Nauwelaerts, 1967. Connell’s book, despite its relatively limited topic, is a good beginning for those interested in looking at the question of how Malebranche’s thought relates to the broader context of Catholic thought out of which it emerges.
  • Gouhier, Henri. La philosophie de Malebranche et son expérience religieuse, 2nd ed., Paris: J. Vrin, 1948.
  • Gouhier, Henri. La vocation de Malebranche, Paris: J. Vrin, 1926. This and the immediately preceding work are still the must-read texts for any study of the relation between Malebranche’s religion and his philosophy.
  • Guéroult, Martial. Malebranche, 3 vols. Paris: Aubier, 1955-59. This rather extensive work discusses a number of religion-related issues in Malebranche, and has some particularly notable discussions of Malebranche’s Augustinianism.
  • Jolley, Nicholas. The Light of the Soul: Theories of Ideas in Leibniz, Malebranche, and Descartes. In the course of his discussion of theories of ideas Jolley raises a number of key questions that have to be considered by anyone interested in the relation between religion and philosophy in Malebranche.
  • Nadler, Steven. Arnauld and the Cartesian Philosophy of Ideas, Princeton: Princeton University Press, 1989. Among other things, Nadler considers the important question of why Arnauld chose to begin his attack on the Treatise on Nature and Grace with a criticism of the philosophy of the Search after Truth.
  • Radner, Ephraim. Spirit and Nature: A Study of 17th Century Jansenism, New York: Crossroad, 2002. Radner is mostly concerned with the theological controversies over Jansenist appellants, but the dispute between Arnauld and Malebranche is treated as important background to this religious question.
  • Reid, Jasper. “Malebranche on Intelligible Extension,” British Journal of the History of Philosophy 11:4 (2003), 581-608. An excellent demonstration of how considering Malebranche’s theological interests can clarify puzzles arising elsewhere in his philosophy.
  • Robinet, André. Système et existence dans l’oeuvre de Malebranche, Paris: J. Vrin, 1965. This work contains good, albeit occasionally short, discussions of various religious issues in Malebranche’s works (notably original sin).
  • Schmaltz, Tad. Malebranche’s Theory of the Soul: A Cartesian Interpretation. New York: Oxford University Press, 1996. This work only obliquely discusses matters relevant to religious themes in Malebranche’s philosophy, but it is currently the best discussion of the diverse roles Malebranche attributes to sentiment.

Author Information

Brandon Watson
Email: bwatson2@autincc.edu
Austin Community College
U. S. A.

Theories of Emotion

There are different theories of emotion to explain what emotions are and how they operate. This is challenging, since emotions can be analyzed from many different perspectives. In one sense, emotions are sophisticated and subtle, the epitome of what make us human. In another sense, however, human emotions seem to be very similar to (if not the same as) the responses that other animals display. Further, the emotions that we have and how we express them reflect our social environment, but it also seems likely that emotions were shaped by natural selection over time. These and other conflicting features of the emotions make constructing a theory difficult and have led to the creation of a variety of different theories.

Theories of emotion can be categorized in terms of the context within which the explanation is developed. The standard contexts are evolutionary, social and internal. Evolutionary theories attempt to provide an historical analysis of the emotions, usually with a special interest in explaining why humans today have the emotions that they do. Social theories explain emotions as the products of cultures and societies. The internal approach attempts to provide a description of the emotion process itself.  This article is organized around these three categories and will discuss the basic ideas that are associated with each. Some specific theories, as well as the main features of emotion will also be explained.

Table of Contents

  1. Emotion
  2. Evolutionary Theories
    1. Natural Selection in Early Hominids
    2. Adaptations Shared by All Animals: Plutchik
    3. Historical, but Not Adaptationist: Griffiths
  3. Social and Cultural Theories
    1. Motivations for the Social Approach
    2. Emotions Are Transitory Social Roles: Averill
  4. Theories of the Emotion Process
    1. Cognitive Theories
      1. Judgment Theories
      2. Cognitive Appraisal Theories
    2. Non-Cognitive Theories
      1. Some Emotions Are Non-Cognitive: Ekman and Griffiths
      2. All Emotions Are Non-Cognitive: Robinson
    3. Somatic Feedback Theories
  5. Conclusion
  6. References and Further Reading
    1. References
    2. Suggested Reading

1. Emotion

Emotion is one type of affect, other types being mood, temperament and sensation (for example, pain). Emotions can be understood as either states or as processes. When understood as a state (like being angry or afraid), an emotion is a type of mental state that interacts with other mental states and causes certain behaviors.

Understood as a process, it is useful to divide emotion into two parts. The early part of the emotion process is the interval between the perception of the stimulus and the triggering of the bodily response. The later part of the emotion process is a bodily response, for example, changes in heart rate, skin conductance, and facial expression. This description is sufficient to begin an analysis of the emotions, although it does leave out some aspects of the process such as the subjective awareness of the emotion and behavior that is often part of the emotion response (for example, fighting, running away, hugging another person).

The early part of the process is typically taken to include an evaluation of the stimulus, which means that the occurrence of an emotion depends on how the individual understands or “sees” the stimulus. For example, one person may respond to being laid-off from a job with anger, while another person responds with joy—it depends on how the individual evaluates this event. Having this evaluative component in the process means that an emotion is not a simple and direct response to a stimulus. In this way, emotions differ from reflexes such as the startle response or the eye-blink response, which are direct responses to certain kinds of stimuli.

The following are some of the features that distinguish emotion from moods. An emotion is a response to a specific stimulus that can be internal, like a belief or a memory. It is also generally agreed that emotions have intentional content, which is to say that they are about something, often the stimulus itself. Moods, on the other hand, are typically not about anything, and at least some of the time do not appear to be caused by a specific stimulus. Emotions also have a relatively brief duration—on the order of seconds or minutes—whereas moods last much longer. Most theories agree about these features of the emotions. Other features will be discussed in the course of this article. There is much less agreement, however, about most of these other features that the emotions may (or may not) have.

2. Evolutionary Theories

The evolutionary approach focuses on the historical setting in which emotions developed. Typically, the goal is to explain why emotions are present in humans today by referring to natural selection that occurred some time in the past.

It will help to begin by clarifying some terminology. Evolution is simply “change over generational time” (Brandon, 1990, p. 5). Change to a trait can occur because of natural selection, chance, genetic drift, or because the trait is genetically linked with some other trait. A trait is an adaptation if it is produced by natural selection. And a trait is the result of natural selection only when “its prevalence is due to the fact that it conferred a greater fitness” (Richardson, 1996, p. 545), where fitness means reproductive success.

However, a trait can enhance fitness without being an adaptation. One example, noted by Darwin in The Origin of Species, is the skull sutures in newborns:

The sutures in the skulls of young mammals have been advanced as a beautiful adaptation for aiding parturition [that is, live birth], and no doubt they facilitate, or may be indispensable for this act; but as sutures occur in the skulls of young birds and reptiles, which have only to escape from a broken egg, we may infer that this structure has arisen from the laws of growth, and has been taken advantage of in the parturition of the higher animals (p. 218).

In this case, the evidence from non-mammals indicates that this trait was not selected because it aids live birth, although it later became useful for this task.

In order to know that a trait is an adaptation, we have to be familiar with the circumstances under which the selection occurred (Brandon, 1990; Richardson, 1996). However, often the historical evidence is not available to establish that a new trait replaced a previous one because the new trait increased fitness. This is especially true for psychological traits because there is no fossil record to examine. Hence, establishing that an emotion is an adaptation presents some difficult challenges.

Nevertheless, this has not prevented the development of theories that explain emotions as adaptations. The attractiveness of this approach is easy to see. Since all humans have emotions and most non-human animals display emotion-like responses, it is likely that emotions (or emotion-like behaviors) were present in a common ancestor. Moreover, emotions appear to serve an important function, which has led many to think that the certain emotions have been selected to deal with particular problems and challenges that organisms regularly encounter. As Dacher Keltner et al. has stated, “Emotions have the hallmarks of adaptations: They are efficient, coordinated responses that help organisms to reproduce, to protect offspring, to maintain cooperative alliances, and to avoid physical threats” (Keltner, Haidt, & Shiota, 2006, p. 117).

Three different ways in which the evolutionary position has been developed will be discussed in the following sections. The first is based on the claim that emotions are the result of natural selection that occurred in early hominids. The second also claims that emotions are adaptations, but suggests that the selection occurred much earlier. Finally, the third position suggests that emotions are historical, but does not rely on emotions being adaptations.

a. Natural Selection in Early Hominids

The theories in the first group claim that the emotions were selected for in early hominids. Most of these theories suggest that this selection occurred in response to problems that arose because of the social environment in which these organisms lived (Tooby & Cosmides, 1990; Cosmides & Tooby, 2000; Nesse, 1990; Keltner et al., 2006). Some examples of the problems that early hominids may have encountered, and the emotions that may have been selected in response to these problems, are listed in Table 1.

Table 1

Table 1. Some possible examples of emotions that were selected for in early hominids.
These emotions, it is suggested, have been selected to deal with the types of problems indicated.

Although the time period during which this selection is believed to have occurred is typically not specified with any precision, the general period begins after the human lineage diverged from that of the great apes, 5 to 8 million years ago, and continues through the appearance of Homo sapiens, which was at least 150,000 years ago (Wood & Collard, 1999; Wood, 1996).

Adherents of this position suggest that each emotion should be understood as a set of programs that guide cognitive, physiological, and behavioral processes when a specific type of problem is encountered (Tooby & Cosmides, 1990; Cosmides & Tooby, 2000; Nesse, 1990). In Randolph Nesse’s words, “The emotions are specialized modes of operation shaped by natural selection to adjust the physiological, psychological, and behavioral parameters of the organism in ways that increase its capacity and tendency to respond adaptively to the threats and opportunities characteristic of specific kinds of situations” (1990, p. 268).

For example, Cosmides and Tooby suggest that sexual jealousy is an adaptation that occurred in “our hunger-gatherer ancestors” (2000, p. 100). As they explain it, sexual jealousy was selected to deal with a group of related problems. The main one is that a mate is having sex with someone else, but other problems include the harm that has been done to the victim’s status and reputation, the possibility that the unfaithful mate has conceived with the rival, and the likelihood that the victim of the infidelity has been deceived about a wide variety of other matters (2000, p. 100).

According to Cosmides and Tooby, the emotion of sexual jealousy, deals with these problems in the following ways:

Physiological processes are prepared for such things as violence, sperm competition, and the withdrawal of investment; the goal of deterring, injuring, or murdering the rival emerges; the goal of punishing, deterring, or deserting the mate appears; the desire to make oneself more competitively attractive to alternative mates emerges; memory is activated to reanalyze the past; confident assessments of the past are transformed into doubts; the general estimate of the reliability and trustworthiness of the opposite sex  (or indeed everyone) may decline; associated shame programs may be triggered to search for situations in which the individual can publicly demonstrate acts of violence or punishment that work to counteract an (imagined or real) social perception of weakness; and so on (2000, p. 101).

Cosmides and Tooby, and others who have similar theories, stress that these emotions are responses that enhanced fitness when the selection occurred—whenever that was in the past. Although these emotions are still present in humans today, they may no longer be useful, and may even be counterproductive, as Cosmides and Tooby’s description of the more violent aspects of sexual jealousy illustrates.

b. Adaptations Shared by All Animals: Plutchik

In contrast to theories that claim that the emotions are the result of natural selection that occurred in early hominids, another position is that the selection occurred much earlier, and so the adaptations are shared by a wider collection of species today. Robert Plutchik claims that there are eight basic emotions, each one is an adaptation, and all eight are found in all organisms (1980, 1984). According to Plutchik, the emotions are similar to traits such as DNA or lungs in air breathing animals—traits that are so important that they arose once and have been conserved ever since. In the case of the emotions, which he calls “basic adaptations needed by all organisms in the struggle for individual survival” (1980, p. 145), Plutchik suggests that the selection occurred in the Cambrian era, 600 million years ago. The eight adaptations are incorporation, rejection, destruction, protection, reproduction, reintegration, orientation, and exploration (see Table 2 for a description of each).

Table 2

Table 2. This table lists the eight basic emotions in Robert Plutchik theory. On the left are the behaviors that, according to Plutchik, are the result of natural selection, and on the right are the emotions associated with these behaviors. The first emotion listed in each row (e.g., fear, anger, joy) is the basic emotion, the second is the same emotion except at a greater intensity (that is, terror, rage, ecstasy) (1980, 1984).

In Plutchik’s theory, these adaptations are, in one sense, types of animal behaviors. The term “emotion” is just a particular way of describing these behaviors in humans. However, he does acknowledge that the same behaviors are not found in all species. The emotions that appear in humans are more complex than what are found in lower species, “but the basic functional patterns remain invariant in all animals, up to and including humans” (1980, p. 130).

Plutchik’s theory also accounts for more than just these eight emotions. Other emotions, he says, are either combinations of two or three of these basic emotions, or one of these eight emotions experienced at a greater or a milder intensity. Some examples are: anger and disgust mixing to form contempt; fear and sadness mixing to form despair; and with regard to levels of intensity, annoyance is a milder form of anger, which is itself a milder form of rage.

c. Historical, but Not Adaptationist: Griffiths

Although the trend when explaining emotions from a historical point of view is to focus on adaptations, an alternative is simply to identify the traits that are present in a certain range of species because of their shared ancestry. According to Paul Griffiths, some emotions should be identified and then classified in this way (1997, 2004). This classification creates a psychological category, which Griffiths terms the affect program emotions: surprise, anger, fear, sadness, joy, and disgust. In Griffiths’ theory, the other emotions belong to different categories—the higher-cognitive emotions and the socially constructed emotions—and in some cases a single vernacular term, for example, anger, will have instances that belong to different categories. Affect programs are explained further in section 4.

Griffiths’ idea is that these emotions are basically the same as other traits that are studied and classified by evolutionary biology. An affect program emotion is, “no different from a trait like the human arm, which has unique features but can be homologized more or less broadly with everything from a chimpanzee arm to a cetacean fin” (1997, p. 230). For example, sadness, one of Griffiths’ affect program emotions, occurs in all humans and in other related species. This trait may differ slightly from species to species, but it is a single trait because all of the occurrences can be traced back to a common ancestor.

Griffiths suggests that this method of classification will identify the emotions that are carried out by similar mechanisms in different species. For example, “threat displays in chimps look very different from anger in humans, but when their superficial appearance is analyzed to reveal the specific muscles whose movement produces the expression and the order in which those muscles move, it becomes clear that they are homologues of one another. The same is almost certainly true of the neural mechanisms that control those movements” (Griffiths, 2004, p. 238). Rather than simply focusing on the functions of the emotions, this kind of analysis is more useful for psychology and neuropsychology because these sciences are interested in identifying the mechanisms that drive behavior (Griffiths, 2004).

3. Social and Cultural Theories

The second main approach to explaining the emotions begins with the idea that emotions are social constructions. That is, emotions are the products of societies and cultures, and are acquired or learned by individuals through experience. Virtually everyone who defends this position acknowledges that emotions are to some degree, natural phenomena. Nonetheless, the central claim made in these theories is that the social influence is so significant that emotions are best understood from this perspective.

a. Motivations for the Social Approach

This section will discuss some of the motivations for adopting this approach to explaining the emotions. Some brief examples to show how these ideas have been developed are also reviewed.

1. A number of anthropological studies have found discrepancies among the emotion words used in different languages. In particular, there are emotion words in other languages that do not correspond directly or even closely to emotion words in English. Given that individuals experience the emotions that they have terms for (and vice versa), the claim that follows from these findings is that people in different cultures have and experience different emotions. The following are some of the examples that are often used to illustrate the variability of emotion terms.

The people of Ifaluk, a small island in the Pacific, have an emotion that they refer to as fago. Catherine Lutz translates fago as “compassion/love/sadness” and claims that it is unlike any single western emotion (1988). The Japanese have the emotion amae, which is a feeling of dependency upon another’s love. This is similar to the feeling that children have towards their mothers, but it is experienced by adults. (Morsbach & Tyler, 1986). And there are several cultures in which anger and sadness are not distinguished as separate, discrete emotions (Orley, 1970 [quoted in Russell, 1991]; Davitz, 1969; M. Z. Rosaldo, 1980; R. I. Rosaldo, 1984). (See Russell [1991] for a comprehensive review of this literature.)

2. Emotions typically occur in social settings and during interpersonal transactions—many, if not most, emotions are caused by other people and social relationships. Thus, in many cases emotions may be best understood as interactions between people, rather than simply as one individual’s response to a particular stimulus (Parkinson, 1996). Brian Parkinson and his colleagues have developed a theory based upon these considerations (Parkinson, 1996, 1997; Parkinson, Fischer, & Manstead, 2005). In brief, Parkinson describes emotion as:

something that emerges directly through the medium of interaction. Interpersonal factors are typically the main causes of emotion, and emotions lead people to engage in certain kinds of social encounter or withdraw from such interpersonal contact. Many emotions have relational rather than personal meanings … and the expression of these meanings in an emotional interaction serves specific interpersonal functions depending on the nature of the emotion (1996, p. 680).

Rom Harré also points out that language, social practices, and other elements of an individual’s culture have a significant role in the formation of emotions. Individuals in a society develop their emotions based on what they are exposed to and experience, either directly or indirectly (1986, 1995). One example that Harré uses to demonstrate this is an emotion that depended upon religious beliefs and the norms that develop around those beliefs in the Middle Ages. Accidie was a negative emotion that Harré and Finlay-Jones describe as “boredom, dejection, or even disgust with fulfilling one’s religious duty” (Harré & Finlay-Jones, 1986, p. 221). Moreover, this emotion was “the major spiritual failing to which those who should have been dutiful succumbed” and “to feel it at all was a sin” (p. 221). Nevertheless, experience it people did. Today, although people still get bored and dejected, this emotion no longer exists because our emotions are, according to Harré and Finlay-Jones, “defined against the background of a different moral order” (p. 222).

3. Emotions and their expression are regulated by social norms, values, and expectations. These norms and values influence what the appropriate objects of emotion are (that is, what events should make a person angry, happy, jealous, and so on), and they also influence how emotions should be expressed.

As an example of how specific and recognizable these norms, values, and expectations sometimes are, one can consider “emotion rules” that Americans often follow. James Averill (1993; see also 1982) has identified the rules for anger, some of which are listed here:

  • A person has the right (duty) to become angry at intentional wrongdoing or at unintentional misdeeds if those misdeeds are correctable (for example, due to negligence, carelessness, or oversight).
  • Anger should be directed only at persons and, by extension, other entities (one’s self, human institutions) that can be held responsible for their actions.
  • Anger should not be displaced on an innocent third party, nor should it be directed at the target for reasons other than the instigation.
  • The aim of anger should be to correct the situation, restore equity, and/or prevent recurrence, not to inflict injury or pain on the target or to achieve selfish ends through intimidation.
  • The angry response should be proportional to the instigation; that is, it should not exceed what is necessary to correct the situation, restore equity, or prevent the instigation from happening again.
  • Anger should follow closely the provocation and not endure longer than is needed to correct the situation (typically a few hours or days, at most) (pp. 182–84).

Once these rules are specified by society (either implicitly or explicitly), they become, Averill says, “part of our ‘second nature'” (1993, p. 184), and so we follow them without any deliberate effort.

Claire Armon-Jones goes further and says that the purpose of the emotions is to reinforce society’s norms and values (1986b, see also 1985, 1986a). Allowing that emotions may also serve other purposes, some of the functions that they have are “the regulation of socially undesirable behavior and the promotion of attitudes which reflect and endorse the interrelated religious, political, moral, aesthetic and social practices of a society” (1986b, p. 57). For example, an individual’s envy of someone who is successful (or his guilt over having cheated someone) are both emotions that have been prescribed by the individual’s society so that the individual will take the appropriate attitude towards success and cheating.

Of course, there are times when emotion responses do not adhere well to what one may think of as moral rules or values, for instance, taking pleasure in creating graffiti or taking pride in hurting people. For these cases, Armon-Jones suggests that the emotion has still been learned by the individual, just not in a way that is consistent with what the larger portion of the society would endorse. Rather, the individual has acquired the emotion from some sub-population of society or a peer-group that the individual identifies with (1986b).

b. Emotions Are Transitory Social Roles: Averill

Many theories have been developed from the social perspective, but one that has been particularly significant is James Averill’s, which will be reviewed in this section (1980, 1982, 1986). According to Averill, “an emotion is a transitory social role (a socially constituted syndrome) that includes an individual’s appraisal of the situation and that is interpreted as a passion rather than as an action” (1980, p. 312). These transitory social roles and syndromes are generated by social norms and expectations, and so, by these means, social norms and expectations govern an individual’s emotions.

Averill employs the notion of a syndrome to indicate that each emotion (like fear, anger or embarrassment), covers a variety of elements. A syndrome is a collection of all of the appropriate responses of a particular emotion, any of which may at certain times constitute an emotion response, but none of which are essential or necessary for that emotion syndrome. It also consists of beliefs about the nature of the eliciting stimuli and perhaps some natural (that is, non-social) elements. All of these various components are linked together for an individual by principles of organization. These principles are what allow the various elements to be construed coherently as one particular emotion (1982).

For example, grief is a syndrome. Every individual who understands this syndrome may at different times have the following grief responses: shock, crying, refusing to cry (that is, keeping a stiff upper lip), declining to eat, neglecting basic responsibilities, and so on. Further, the conditions that the individual understands should elicit grief are also part of this syndrome: the death of a loved one, the loss of a valuable object, a setback at work, rainy days, and so forth.

Bringing these parts together into one coherent whole are the mental constructs that allow an individual to construe all of these various elements as grief. An individual labels both his response at a funeral and his response to his favorite baseball team losing as grief, even if the two responses have nothing in common. Additionally, with an understanding of the grief syndrome an individual can judge when others are experiencing grief and whether another individual’s grief is genuine, severe, mild, and so on.

The idea of emotions as transitory social roles is distinct from the notion of a syndrome, but characterizes the same phenomena, in particular, the eliciting conditions and the responses for an emotion. In Averill’s theory, transitory social roles are the roles that individuals adopt when they choose to play a particular part in a situation as it unfolds. That being said, although the individual chooses the role, Averill stresses that the emotional responses are interpreted by the agent as passive responses to particular situations, not as active choices.

The transitory social roles are rule governed ways of performing a social role, and so individuals adopt a role that is consistent with what a given situation calls for. For example, a grief response is appropriate at a funeral, but different grief responses are appropriate at the burial and at the service before the burial. In order to have an emotion response that is consistent with social norms and expectations, the individual must understand what the role they are adopting means in the context in which it is used.

Summarizing these different resources from Averill’s theory, the syndromes are used to classify emotions and demarcate them from each other. The transitory social roles are useful for explaining how the emotion responses relate to the society as well as the specific social context. Considering an emotion as a syndrome, the individual has a variety of choices for the emotion response. The transitory social role imposes rules that dictate which response is appropriate for the situation. For example, the possible responses for anger may include pouting, yelling, hitting, or perhaps no overt behavior at all. In a particular situation, say a baseball game, a player may adopt a social role that includes pushing the umpire as an anger response. Yelling at the umpire would have been another role the player could have adopted.  However, social norms and expectations dictate that pouting in this situation would not be an appropriate response.

4. Theories of the Emotion Process

The third category of theories contains those that attempt to describe the emotion process itself. Generally speaking, the emotion process begins with the perception of a stimulus, although in some cases the “stimulus” may be internal, for example, a thought or a memory. The early part of the emotion process is the activity between the perception and the triggering of the bodily response (that is, the emotion response), and the later part of the emotion process is the bodily response: changes in heart rate, blood pressure, facial expression, skin conductivity, and so forth.

Most of the theories that will be considered in this section focus on the early part of the emotion process because—according to these theories—the specific emotion that occurs is determined during this part of the process. There is, however, disagreement about how simple or complex the early part of the emotion process might be, which has lead to competing cognitive and non-cognitive theories. These two types of theories are discussed in this section, as is a third type, the somatic feedback theories.

a. Cognitive Theories

The cognitive theories contend that the early part of the emotion process includes the manipulation of information and so should be understood as a cognitive process. This is in contrast to theories that state that the generation of the emotion response is a direct and automatic result of perceiving the stimulus—these non-cognitive theories are discussed below.

Two observations demonstrate some of the motivation for the cognitive position. First, different individuals will respond to the same event with different emotions, or the same individual may at different times respond differently to the same stimulus. For example, one person may be relieved to be laid-off from her job, while a co-worker greets the same news with dread. Or one person may, as a young woman, be excited to be laid-off from her job, but several years later find being laid-off frightening. As the psychologists Ira Roseman and Craig Smith point out, “Both individual and temporal variability in reaction to an event are difficult to explain with theories that claim that stimulus events directly cause emotional response” (2001, p. 4).

Second, there is a wide range of seemingly unrelated events that cause the same emotion. None of these events share any physical feature or property, but all of them can cause the same response. Roseman and Smith provide an example using sadness and comment on the consequence of this example for a theory of emotion:

sadness may be elicited by the death of a parent (see Boucher & Brandt, 1981), the birth of a child (see, for example, Hopkins, Marcus, & Campbell, 1984), divorce (for example, Richards, Hardy, & Wadsworth, 1997), declining sensory capacity (Kalayam, Alexopoulos, Merrell, & Young, 1991), not being accepted to medical school (Scherer, 1988), or the crash of one’s computer hard drive … These examples pose problems for theories claiming that emotions are unconditioned responses to evolutionary specified stimulus events or are learned via generalization or association (2001, p. 4).

Cognitive theories account for these two observations by proposing that the way in which the individual evaluates the stimulus determines the emotion that is elicited. Every individual has beliefs, as well as goals, personal tendencies, and desires in place before the emotion causing event is encountered. It is in light of these factors that an individual evaluates the event. For example, different emotions will occur depending on whether an individual evaluates being laid-off as consistent with her current goals or inconsistent with them.

i. Judgment Theories

Judgment theories are the version of the cognitive position that have been developed by philosophers. The basic idea, as Robert Solomon puts it, is that an emotion is “a basic judgment about our Selves and our place in our world, the projection of the values and ideals, structures and mythologies, according to which we live and through which we experience our lives” (1993, p. 126). Judging in this context is the mental ability that individuals use when they acknowledge a particular experience or the existence of a particular state of the world; what Martha Nussbaum calls “assent[ing] to an appearance” (2004, p. 191).

Taking anger as an example, in Solomon’s theory, “What constitutes the anger is my judging that I have been insulted and offended” (1977, p. 47). Nussbaum has a similar, but more detailed, description of anger as the following set of beliefs: “that there has been some damage to me or to something or someone close to me; that the damage is not trivial but significant; that it was done by someone; that it was done willingly; that it would be right for the perpetrator of the damage to be punished” (2004, p. 188). In some contexts, Nussbaum treats judgments and beliefs interchangeably and it is sometimes the case that a series of judgments constitute the emotion.

Elaborating upon her example, Nussbaum points out how the different beliefs are related to the emotion. She notes that, “each element of this set of beliefs is necessary in order for anger to be present: if I should discover that not x but y had done the damage, or that it was not done willingly, or that it was not serious, we could expect my anger to modify itself accordingly or recede” (2004, p. 188). Thus, a change in an individual’s beliefs—in his or her way of seeing the world—entails a different emotion, or none at all.

Judging is the central idea in these theories because it is something that the agent actively does, rather than something that happens to the individual. This in turn reflects the judgment theorists’ claim that in order to have an emotion the individual must judge (evaluate, acknowledge) that events are a certain way. Of course, one can make judgments that are not themselves emotions. For example, the judgment that the wall is red, or the judgment that the icy road is dangerous. One way to distinguish the judgments that are emotions from those that are not is to suggest (like Nussbaum) that the judgment must be based on a certain set of beliefs. If those beliefs are present, then the emotion will occur; if they are not, then it won’t. A second response is to be more specific about the nature of the judgment itself. The judgments related to emotions are, as Solomon says, “self-involved and relatively intense evaluative judgments … The judgments and objects that constitute our emotions are those which are especially important to us, meaningful to us, concerning matters in which we have invested our Selves” (1993, p. 127).

It is also important to note that, although these theories claim that emotion is a cognitive process, they do not claim that it is a conscious or a deliberative process.  As Solomon says, “by ‘judgment’, I do not necessarily mean ‘deliberative judgment’ … One might call such judgments ‘spontaneous’ as long as ‘spontaneity’ isn’t confused with ‘passivity'” (1977, p. 46). For example, the judgment that I have been insulted and offended does not necessarily require any conscious mental effort on my part.

The last issue that needs to be addressed concerns the bodily response. All of the judgment theories state that judgments are necessary for an emotion. While these theories acknowledge that in many cases various bodily responses will accompany the emotion, many do not consider the bodily response an integral part of the emotion process. Nussbaum believes that this can be demonstrated by considering the consequences of having the requisite mental states while not having a bodily response:

There usually will be bodily sensations and changes involved in grieving, but if we discovered that my blood pressure was quite low during this whole episode, or that my pulse rate never went above sixty, there would not, I think, be the slightest reason to conclude that I was not grieving. If my hands and feet were cold or warm, sweaty or dry, again this would be of no critical value (2004, p. 195).

Some judgment theorists are, however, more accommodating and allow that the bodily response is properly considered part of the emotion, an effect of the judgments that are made. Thus, William Lyons describes his theory, the causal-evaluative theory, as follows:

the causal-evaluative theory gets its name from advocating that X is to be deemed an emotional state if and only if it is a physiologically abnormal state caused by the subject of that state’s evaluation of his or her situation. The causal order is important, emotion is a psychosomatic state, a bodily state caused by an attitude, in this case an evaluative attitude (1980, pp. 57–58).

In theory such as Lyons’, the bodily response is considered part of the emotion process and the emotion is determined by the cognitive activity—the judgment or evaluation—that occurs (Lyons 1980, pp. 62–63; see also Roseman and Smith, 2001, p. 6).

ii. Cognitive Appraisal Theories

Cognitive appraisal theories are the cognitive theories that have been developed by psychologists. Like the judgment theories, the cognitive appraisal theories emphasize the idea that the way in which an individual evaluates or appraises the stimulus determines the emotion. But unlike the judgment theories, the cognitive appraisal theories do not rely on the resources of folk psychology (beliefs, judgments, and so forth). The cognitive appraisal theories also offer a more detailed analysis of the different types of appraisals involved in the emotion process.

This section will focus on Ira Roseman’s theory (1984), which was one of the first cognitive appraisal theories. As an early contribution, Roseman’s theory is in some ways simpler than more recent cognitive appraisal theories and so will serve as a good introduction. Similar models are offered by Roseman, Antoniou, and Jose [1996], Roseman [2001], Lazarus [1991], and Scherer [1993, 2001]. The basic theoretical framework is the same for all of the cognitive appraisal theories. The main differences concern the exact appraisals that are used in this process.

Roseman’s model, which is described in Table 3, has five appraisal components that can produce 14 discrete emotions. The appraisal components and the different values that each component can take are motivational state (appetitive, aversive), situational state (motive-consistent, motive-inconsistent), probability (certain, uncertain, unknown), power (strong, weak), and agency (self-caused, other-caused, circumstance-caused). The basic idea is that when a stimulus is encountered it is appraised along these five dimensions. Each appraisal component is assigned one of its possible values, and together these values determine which emotion response will be generated.

Table 3

Table 3. The different appraisal components in Roseman’s theory are motivational state, situational state, probability, power, and agency. The arrows point to the different values that each appraisal component can take. Each emotion type takes the values that its placement in the chart indicates. When the emotion is placed such that it lines up with more than one value for an appraisal component (e.g., anger can be uncertain or certain), any of those values can be assigned for that emotion. Adapted from Roseman (1984, p. 31).

For example, for joy, the situational state must be appraised as motive-consistent, the motivational state as appetitive, agency must be circumstance-caused, probability must be certain, and power can be either weak or strong. Notice also that the different emotions all use the same appraisal components, and many emotions take the same values for several of the components. For example, in Roseman’s model, anger and regret take the same values for all of the appraisals except for the agency component; for that appraisal, regret takes the value self-caused and anger takes other-caused.

The five appraisal components are described as follows:

  1. The motivational state appraisal distinguishes between states that the individual views as desirable (appetitive) and states that are viewed as undesirable (aversive). This is not an evaluation of whether the event itself is positive or negative; rather it is an evaluation of whether the event includes some important aspect that is perceived as a goal or some aspect that is perceived as a punishment. A punishment (or something perceived as a punishment) that is avoided is a positive event, but still includes an evaluation of a punishment. For example, according to Roseman, although relief is a positive emotion, it includes an evaluation that some important aspect of the event is aversive. Conversely, sorrow, a negative emotion, includes an evaluation that some important aspect of the event is appetitive.
  2. The situational state component determines whether the desirable or undesirable quality of the event is present or absent. The appraisal that something desirable is present and the appraisal that something undesirable is absent are both motive-consistent. On the other hand, the appraisal that something desirable is absent or something undesirable is present is motive-inconsistent. So for instance, the situational state for both joy and relief is motive-consistent. But, joy includes the appraisals that there is a desirable state and it is present, and relief includes the appraisals that there is an undesirable state and it is absent.
  3. The probability component evaluates whether an event is definite (certain), only possible (uncertain), or of an unknown probability. For this component, an outcome of uncertainty contributes to hope instead of joy or relief, which both involve an appraisal that the event is certain (that is, the outcome of the event has been determined). The possibility that the event can be appraised as having an unknown probability was added by Roseman in order to account for surprise, which is often considered a basic emotion (for example, Izard, 1977; Ekman, 1992). For this appraisal, unknown differs from uncertain in that unknown is the value that is assigned when the distinction between motive-consistent versus motive-inconsistent cannot be made. When the distinction can be made, the value is assigned certain or uncertain.
  4. The evaluation of power is the individual’s perception of his or her strength or weakness in a situation. These values distinguish, for example, shame (weak) and regret (strong), as well as dislike (weak) and anger (strong). Roseman suggests a situation that would be likely to cause an evaluation of weakness rather than strength. He suggests that we “consider someone being robbed at gunpoint. Will this person, quite unjustly treated but quite weak, be feeling anger? I contend that he would not, though he would probably feel some negative emotion towards his assailant. This emotion, in … [my] theory, is dislike” (1984, p. 27).
  5. Lastly, the agency component. An evaluation is made about whether the event was caused by the individual, caused by some other person, or is merely a result of the situation (that is, the event is perceived as lacking an agent). This appraisal usually determines to whom or towards what the emotion is directed. Making this evaluation sometimes requires a subtle understanding of what the emotion-causing stimulus is. For instance, consider an individual who is presented with a gift by a friend. If the individual focuses on the gift and having just received it (the general state of affairs), his emotion is joy. If the individual focuses on the friend who has just given the gift (focuses on another person), the emotion is liking.

Just like the judgment theorists, Roseman and the other appraisal theorists say that these appraisals do not have to be deliberate, or even something of which the individual is consciously aware. To illustrate this, consider someone accidentally spilling a glass of water on you versus intentionally throwing the glass of water on you. According to Roseman’s theory, in the first case, the agency appraisal would most likely be circumstance-caused. In the latter case, it would be other-caused. As a result, different emotions would be elicited. Most people have had an experience like this and can see that determining these values would not take any conscious effort. The values are set outside of conscious awareness.

Unlike some of the judgment theorists, all of the cognitive appraisal theorists agree that the appraisals are followed by a bodily response, which is properly consider part of the emotion process. Roseman suggests that once the appraisals have been made, a response that has the following parts is set in motion: (1) “the thoughts, images, and subjective ‘feeling’ associated with each discrete emotion,” (2) “the patterns of bodily response,” (3) the “facial expressions, vocal signals, and postural cues that communicate to others which emotion one is feeling,” (4) a “behavioral component [that] comprises actions, such as running or fighting, which are often associated with particular emotions,” and (5) “goals to which particular emotions give rise, such as avoiding some situation (when frightened) or inflicting harm upon some person (when angered)” (1984, pp. 19–20).

b. Non-Cognitive Theories

Non-cognitive theories are those that defend the claim that judgments or appraisals are not part of the emotion process. Hence, the disagreement between the cognitive and the non-cognitive positions primarily entails the early part of the emotion process. The concern is what intervenes between the perception of a stimulus and the emotion response. The non-cognitive position is that the emotion response directly follows the perception of a relevant stimulus. Thus, instead of any sort of evaluation or judgment about the stimulus, the early part of the emotion process is thought to be reflex-like.

The non-cognitive theories are in many ways a development of the folk psychological view of emotion. This is the idea that emotions are separate from the rational or cognitive operations of the mind: cognitive operations are cold and logical, whereas emotions are hot, irrational, and largely uncontrollable responses to certain events. The non-cognitive position has also been motivated by skepticism about the cognitive theories. The non-cognitive theorists deny that propositional attitudes and the conceptual knowledge that they require (for example, anger is the judgment that I have been wronged) are necessary for emotions. Advocates of the non-cognitive position stress that a theory of emotion should apply to infants and non-human animals, which presumably do not have the cognitive capabilities that are described in the judgment theories or the cognitive appraisal theories.

With respect to the non-cognitive theories themselves, there are two different approaches. The first develops an explanation of the non-cognitive process, but claims that only some emotions are non-cognitive. The second approach describes the non-cognitive process in a very similar way, but defends the idea that all emotions are non-cognitive.

i. Some Emotions Are Non-Cognitive: Ekman and Griffiths

Paul Ekman originally developed what is now the standard description of the non-cognitive process (1977), and more recently Paul Griffiths has incorporated Ekman’s account into his own theory of the emotions (1997). This section will review the way in which Ekman and Griffiths describe the non-cognitive process. The next section will examine a theory that holds that all emotions are non-cognitive, a position that Ekman and Griffiths do not defend.

Ekman’s model is composed of two mechanisms that directly interface with each other: an automatic appraisal mechanism and an affect programme. Griffiths adopts a slightly different way of describing the model; he treats Ekman’s two mechanisms as a single system, which he calls the affect program. Griffiths also suggests that there is a separate affect program for each of several emotions: surprise, fear, anger, disgust, sadness, and joy (1997, p. 97). (As noted in section one, Griffiths identifies this class of emotions, the affect programs, historically.)

Describing the automatic appraisal mechanism, Ekman says:

There must be an appraiser mechanism which selectively attends to those stimuli (external or internal) which are the occasion for activating the affect programme … Since the interval between stimulus and emotional response is sometimes extraordinarily short, the appraisal mechanism must be capable of operating with great speed. Often the appraisal is not only quick but it happens without awareness, so I must postulate that the appraisal mechanism is able to operate automatically. It must be constructed so that it quickly attends to some stimuli, determining not only that they pertain to emotion, but to which emotion, and then activating the appropriate part of the affect programme (1977, p. 58).

The automatic appraisal mechanism is able to detect certain stimuli, which Ekman calls elicitors. Elicitors can vary by culture, as well as from individual to individual. On a more general level, however, there are similarities among the elicitors for each emotion. These are some of the examples that Ekman offers:

Disgust elicitors share the characteristic of being noxious rather than painful; … fear elicitors share the characteristic of portending harm or pain. One of the common characteristics of some of the elicitors of happiness is release from accumulated pressure, tension, discomfort, etc. Loss of something to which one is intimately attached might be a common characteristic of sadness elicitors. Interference with ongoing activity might be characteristic of some anger elicitors (1977, pp. 60–61).

Related to Ekman’s notion of an elicitor, Griffiths suggests that this system includes a “biased learning mechanism,” which allows it to easily learn some things, but makes it difficult for it to learn others. For example, it is easier for humans to acquire a fear of snakes than a fear flowers (Griffiths, 1997, pp. 88–89). Furthermore, this system “would have some form of memory, storing information about classes of stimuli previously assessed as meriting emotional response” (1997, p. 92).

The second mechanism that Ekman describes, what he calls the affect programme, governs the various elements of the emotion response: the skeletal muscle response, facial response, vocal response, and central and autonomic nervous system responses (1977, p. 57; see also Griffiths, 1997, p. 77). According to Ekman, this is a mechanism that “stores the patterns for these complex organized responses, and which when set off directs their occurrence” (1977, p. 57).

Griffiths also points out that the affect programs (recall that, in Griffiths’ parlance, affect program refers to the whole system) have several of the features that Fodor (1983) identified for modular processes. In particular, when the appropriate stimulus is presented to the system the triggering of the response is mandatory, meaning that once it begins it cannot be interfered with or stopped. The affect programs are also encapsulated, or cut off from other mental processes (1997, pp. 93–95). Ekman appears to have been aware of the modular nature of this system when he wrote, “The difficulty experienced when trying to interfere with the operation of the affect programme, the speed of its operation, its capability to initiate responses that are hard to halt voluntarily, is what is meant by out-of-control quality to the subjective experiences of some emotions” (1977, p. 58).

Ekman and Griffiths both believe that this system accounts for a significant number of the emotions that humans experience, but neither think that it describes all emotions. Ekman says that the automatic appraisal mechanism is one kind of appraisal mechanism, but he also believes that cognitive appraisals are sometimes utilized. Griffiths defends the view that the vernacular term emotion does not pick out a single psychological class. In addition to the affect program emotions, he suggests some emotions are cognitively mediated and some are socially constructed.

ii. All Emotions Are Non-Cognitive: Robinson

An alternative view is that the emotion process is always a non-cognitive one. That is, a system like the one described by Ekman and Griffiths accounts for all occurrences of emotion. This position is defended by Jenefer Robinson (1995, 2004, 2005). It is also similar to the theories developed by William James (1884) and, more recently, Jesse Prinz (2004a), which are discussed in the next section. See Zajonc (1980, 1984) for another important defense of the non-cognitive position.

In her “exclusively non-cognitive” theory, Robinson claims that any cognitive processes that occur in an emotion-causing situation are in addition to the core process, which is non-cognitive. She acknowledges that in some cases, an emotion might be caused by cognitive activity, but this is explained as cognitive activity that precedes the non-cognitive emotion process. For example, sometimes an individual’s fear is in response to cognitively complex information such as the value of one’s investments suddenly dropping. In this case, a cognitive process will determine that the current situation is dangerous, and then what Robinson calls an affective appraisal will be made of this specific information and a fear response will be triggered. As Robinson describes this part of her theory, “My suggestion is that there is a set of inbuilt affective appraisal mechanisms, which in more primitive species and in neonates are automatically attuned to particular stimuli, but which, as human beings learn and develop, can also take as input more complex stimuli, including complex ‘judgments’ or thoughts” (2004, p. 41).

This explanation allows Robinson to maintain the idea that emotions are non-cognitive while acknowledging that humans can have emotions in response to complex events. This aspect of her theory can also be used to explain how an individual can be cognitively aware that he or she has been unjustly treated, or been unexpectedly rewarded, but not experience any emotion (for example, anger, or sadness, or happiness)—a situation which does seem to occur sometimes. For example, the cognitive appraisal may indicate that the individual has been unjustly treated, but the affective appraisal will not evaluate this as worthy of an emotion response.

Robinson also suggests that the non-cognitive process may be followed by cognitive activity that labels an emotion response in ways that reflect the individual’s thoughts and beliefs. The non-cognitive process might generate an anger response, but then subsequent cognitive monitoring of the response and the situation causes the emotion to be labeled as jealousy. Thus, the individual will take him or herself to be experiencing jealousy, even though the actual emotion process was the one specific to anger (2004, 2005).

c. Somatic Feedback Theories

The theories discussed in this section have varied in the importance that they place on the bodily changes that typically during the emotion process. The judgment theorist Martha Nussbaum is dismissive of the bodily changes, whereas the cognitive appraisal theorists (that is, the psychologists) hold that the bodily response is a legitimate part of the process and has to be included in any complete description of the emotions. Meanwhile, all of the non-cognitive theorists agree that bodily changes are part of the emotion process.

However, the cognitive theories all maintain that it is the cognitive activity that determines the specific emotion that is produced (that is, sadness, anger, fear, and so forth.) and the non-cognitive position is not very different in this regard. Ekman’s automatic appraisal mechanism and Robinson’s affective appraisals are both supposed to determine which emotion is generated.

The further question is whether there is a unique set of bodily changes for each emotion. The cognitive appraisal theorist Klaus Scherer claims that each appraisal component directs specific bodily changes, and so his answer to this question is affirmative (2001); Griffiths says that is likely that each affect program emotion has a unique bodily response profile (1997, pp. 79–84); and Robinson is skeptical that different emotions can be distinguished by any of the features of the bodily response, except perhaps the facial expression (2005, pp. 28–34). Nevertheless, although answering this question is important for a complete understanding of the emotions, it does not greatly affect the theories mentioned here, which are largely based on what occurs in the early part of the emotion process.

The somatic feedback theorists differ from the cognitive and non-cognitive positions by claiming that the bodily responses are unique for each emotion and that it is in virtue of the unique patterns of somatic activity that the emotions are differentiated. Thus, according to these theories, there is one set of bodily changes for sadness, one set for anger, one for happiness, and so on. This is a claim for which there is some evidence, although except for facial expressions, the current evidence is not very strong (see Ekman, 1999; Levenson, Ekman, & Friesen, 1990; Prinz, 2004b). In any case, it is the feedback that the mind (or brain) gets from the body that makes the event an emotion.

William James (1884) was the first to develop a somatic feedback theory, and recently James’ model has been revived and expanded by Antonio Damasio (1994, 2001) and Jesse Prinz (2004a, 2004b). Somatic feedback theories suggest that once the bodily response has been generated (that is, a change in heart rate, blood pressure, facial expression, and so forth), the mind registers these bodily activities, and this mental state (the one caused by the bodily changes) is the emotion.

James describes it this way: “the bodily changes follow directly the perception of the exciting fact [that is, the emotion causing event], and … our feeling of the same changes as they occur is the emotion,” (1884, p. 189–90, italics and capitalization removed). Note that James’ theory overlaps with the non-cognitive theories insofar as James suggests that when the stimulus is perceived, a bodily response is triggered automatically or reflexively (1884, p. 195–97). The way in which he describes this process is just as central to the non-cognitive theories as it is to his own: “the nervous system of every living thing is but a bundle of predispositions to react in particular ways upon the contact of particular features of the environment. . . . The neural machinery is but a hyphen between determinate arrangements of matter outside the body and determinate impulses to inhibition or discharge within its organs” (1884, p. 190). Hence, according to James, when the appropriate type of stimulus is perceived (that is a bear), this automatically causes a bodily response (trembling, raised heart rate, and so forth), and the individual’s awareness of this bodily response is the fear.

A consequence of this view is that without a bodily response there cannot be an emotion. This is a point that James illustrates with the following thought experiment:

If we fancy some strong emotion, and then try to abstract from our consciousness of it all the feelings of its characteristic bodily symptoms, we find we have nothing left behind, no “mind-stuff” out of which the emotion can be constituted, and that a cold and neutral state of intellectual perception is all that remains (1884, p. 193; notice that Nussbaum articulates the opposite intuition in a quote above).

Jesse Prinz has recently expanded upon James’ theory. For Prinz, as for James, the emotion is the mental state that is caused by the feedback from the body. However, Prinz makes a distinction between what this mental state registers and what it represents. According to Prinz, an emotion registers the bodily response, but it represents simple information concerning what each emotion is about—for example, fear represents danger, sadness represents the loss of something valued, anger represents having been demeaned.

Like James, Prinz suggests that the bodily response is primarily the result of a non-cognitive process. In Prinz’s example in Figure 1, there is no mental evaluation or appraisal that the snake is dangerous, rather the perception of the snake triggers the bodily changes. In this case, Prinz says that the bodily changes that occur in response to perceiving a snake can be explained as an adaptation. Our bodies respond in the way that they do to the perception of a snake because snakes are dangerous, and so danger is what the mental state is representing (2004a, p. 69).

Figure 1

Figure 1. An illustration of Prinz’s somatic feedback theory. In this example, fear is the mental state caused by feedback from the body (that is, the perception of the bodily changes). This mental state registers the bodily changes, but represents meaningful, albeit simple, information. In this example the mental state represents danger. Adapted from Prinz (2004a, p. 69).

The advantage that Prinz’s theory has over James’ is that it incorporates a plausible account of the intentionality of emotions into a somatic feedback theory. In Prinz’s theory, the mental state (the emotion) is caused by bodily activity, but, rather than being about the bodily activity, the emotion is about something else, namely these simple pieces of information that the mental state represents.

The third theorist in this group, Antonio Damasio, is also able to account for the intentionality of the mental state that is caused by feedback from the body. Here, Damasio’s account differs from Prinz’s because Damasio takes it that the emotion process does include cognitive evaluations, at least for most emotions. A word of clarification before proceeding: what James and Prinz call the emotion, Damasio refers to as a feeling.

In Damasio’s theory, a typical case begins with thoughts and evaluations about the stimulus, and this mental activity triggers a bodily response—this process Damasio calls “the emotion.” A mental representation of the bodily activity is then generated in the brain’s somatosensory cortices—this is the feeling according to Damasio (1994, p. 145). This feeling occurs “in juxtaposition” to the thoughts and evaluations about the stimulus that triggered the bodily changes in the first place.

Figure 2

Figure 2. Damasio’s somatic feedback theory. The part of this process that includes (B) and (C) is what Damsio calls the emotion. The mental representation of the activity in the body, (D), Damasio calls the feeling. Since (B) and (D) co-occur, the feeling will be accompanied by the information that triggered the bodily response.

According to Damasio, these feelings are crucial in helping us make decisions and choose our actions (see Damasio’s somatic marker hypothesis, 1994, 1996). As an illustration of this, let us say that Bill’s brother-in-law has just offered to let him in on a risky, but possibly lucrative business venture. Although Bill realizes that there are many aspects of the situation to consider, the thought of losing a lot of money causes a bodily response. The feedback from Bill’s body is then juxtaposed with the thought of being tangled up in a losing venture with his brother-in-law. It is this negative feeling that informs Bill’s choice of behavior, and he declines the offer without ever pondering all of the costs and benefits. Bill could have considered the situation more thoroughly, but acting on this kind of feeling is, according to Damasio, often the way in which actions are chosen.

Another important feature of Damasio’s account (and one that Prinz has adopted) is the idea that there is an as-if loop in the brain—as in ‘as-if the body were active.’ According to Damasio, the mental representations that constitute feelings can occur in the way just described, or the brain areas that evaluate the stimulus (the amygdala and the prefrontal cortices) can directly signal the somatosensory cortices instead of triggering bodily activity. The somatosensory cortices will respond as if the bodily activity was actually occurring. This will generate a feeling more quickly and efficiently, although it may not feel the same as a genuine bodily response (1994, p. 155–56). In any case, the consequence is that there can be a feeling even if the body is not involved. The possibility that there is an as-if loop in the brain allows the somatic feedback theorists to explain how individuals who cannot receive the typical feedback from the body can still have feelings (or in Prinz’s language, emotions), for instance, those individuals who have suffered spinal cord injuries.

5. Conclusion

This article has outlined the basic approaches to explaining the emotions, it has reviewed a number of important theories, and it has discussed many of the features that emotions are believed to have. One tentative conclusion that can now be drawn is that it is unlikely that any single theory will prevail anytime soon, especially since not all of these theories are in direct competition with each other. Some of them are compatible, for instance, an evolutionary theory and a theory that describes the emotion process can easily complement each other; Griffiths’ theory of the affect program emotions demonstrates that these two perspectives can be employed in a single theory. On the other hand, some of the theories are simply inconsistent, like the cognitive and non-cognitive theories, and so the natural expectation is that one of these positions will eventually be eliminated. Many of the theories, however, fall somewhere in between, agreeing about some features of emotion, while disagreeing about others.

The empirical evidence that exists and continues to be collected is one topic that has not been discussed in this article. Being familiar with this research is central to analyzing and critiquing the theories. In the past forty years, a vast amount of data has been collected by cognitive and social psychologists, neuroscientists, anthropologists, and ethologists. This empirical research has made theorizing about the emotions an interesting challenge. A problem that remains for the theorist of emotion is accounting for all of the available empirical evidence.

6. References and Further Reading

a. References

  • Armon-Jones, C. (1985). Prescription, explication and the social construction of emotion. Journal for the Theory of Social Behaviour, 15, 1–22.
  • Armon-Jones, C. (1986a). The thesis of constructionism. In R. Harré (Ed.), The social construction of emotions (pp. 32–56). Oxford, UK: Blackwell.
  • Armon-Jones, C. (1986b). The social functions of emotion. In R. Harré (Ed.), The social construction of emotions (pp. 57–82). Oxford, UK: Blackwell.
  • Averill, J. R. (1980). A constructivist view of emotion. In R. Plutchik & H. Kellerman (Eds.), Emotion: Theory, research, and experience (pp. 305–339). New York: Academic Press.
  • Averill, J. R. (1982). Anger and aggression: An essay on emotion. New York: Springer-Verlag.
  • Averill, J. R. (1986). The acquisition of emotions during adulthood. In R. Harré (Ed.), The social construction of emotions (pp. 98–118). Oxford, UK: Blackwell.
  • Averill, J. R. (1993). Illusions of anger. In R. B. Felson & J. T. Tedeschi (Eds.), Aggression and violence: Social interactionist perspectives (pp. 171–192). Washington, DC: American Psychological Association.
  • Boucher, J. D. & Brandt, M. E. (1981). Judgment of emotion: American and Malay antecedents. Journal of Cross-Cultural Psychology, 12, 272–283.
  • Brandon, R. N. (1990). Adaptation and environment. Princeton, N.J: Princeton University Press.
  • Cosmides, L. & Tooby, J. (2000). Evolutionary psychology and the emotions. In M. Lewis & J. M. Haviland-Jones (Eds.), Handbook of emotions (2nd ed., pp. 91–115). New York: Guilford Press.
  • Damasio, A. R. (1994). Descartes’ error: Emotion, reason, and the human brain. New York: G. P. Putnam.
  • Damasio, A. R. (1996). The somatic marker hypothesis and the possible functions of the prefrontal cortex. Philosophical Transactions of the Royal Society of London. Series B, 351, 1413–1420.
  • Damasio, A. R. (2001). Fundamental feelings. Nature, 413, 781.
  • Darwin, C. (2003). On the origin of species by means of natural selection (J. Carroll, Ed.). Peterborough, Ontario: Broadview.
  • Davitz, J. R. (1969). The language of emotion. New York: Academic Press.
  • Ekman, P. (1977). Biological and cultural contributions to body and facial movement. In J. Blacking (Ed.), The anthropology of the body (pp. 39–84). London: Academic Press.
  • Ekman, P. (1992). An argument for basic emotions. Cognition and Emotion, 6, 169–200.
  • Ekman, P. (1999). Facial expressions. In T. Dalgleish & M. J. Power (Eds.), Handbook of cognition and emotion (pp. 301–320). New York: Wiley.
  • Fodor, J. A. (1983). Modularity of mind: An essay on faculty psychology. Cambridge, MA: MIT Press.
  • Griffiths, P. E. (1997). What emotions really are: The problem of psychological categories. Chicago: University of Chicago Press.
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  • Harré, R. (1986). An outline of the social constructionist viewpoint. In R. Harré (Ed.), The social construction of emotions (pp. 2–14). Oxford, UK: Blackwell.
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b. Suggested Reading

  • Lewis, M., Haviland-Jones, J. M., & Barrett, L. F. (Eds.). (2008). Handbook of emotions (3rd ed.). New York: Guilford Press.
  • Scherer, K. R., Schorr, A., & Johnstone, T. (Eds.). (2001). Appraisal processes in emotion: Theory, methods, research. New York: Oxford University Press.
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  • Solomon, R. C. (Ed.). (2004). Thinking about feeling: Contemporary philosophers on emotions. New York: Oxford University Press.

Author Information

Gregory Johnson
Email: gregory.s.johnson@drexel.edu
Drexel University
U. S. A.

Identity Theory

Identity theory is a family of views on the relationship between mind and body. Type Identity theories hold that at least some types (or kinds, or classes) of mental states are, as a matter of contingent fact, literally identical with some types (or kinds, or classes) of brain states. The earliest advocates of Type Identity—U.T. Place, Herbert Feigl, and J.J.C. Smart, respectively—each proposed their own version of the theory in the late 1950s to early 60s. But it was not until David Armstrong made the radical claim that all mental states (including intentional ones) are identical with physical states, that philosophers of mind divided themselves into camps over the issue.

Over the years, numerous objections have been levied against Type Identity, ranging from epistemological complaints to charges of Leibniz’s Law violations to Hilary Putnam’s famous pronouncement that mental states are in fact capable of being “multiply realized.” Defenders of Type Identity have come up with two basic strategies in response to Putnam’s claim: they restrict type identity claims to particular species or structures, or else they extend such claims to allow for the possiblity of disjunctive physical kinds. To this day, debate concerning the validity of these strategies—and the truth of Mind-Brain Type Identity—rages in the philosophical literature.

Table of Contents

  1. Early Versions of the Theory
  2. Traditional Objections
  3. Type vs. Token Identity
  4. Multiple Realizability
  5. Attempts at Salvaging Type Identity
  6. References and Further Reading

1. Early Versions of the Theory

Place accepted the Logical Behaviorists’ dispositional analysis of cognitive and volitional concepts. With respect to those mental concepts “clustering around the notions of consciousness, experience, sensation, and mental imagery,” however, he held that no behavioristic account (even in terms of unfulfilled dispositions to behave) would suffice. Seeking an alternative to the classic dualist position, according to which mental states possess an ontology distinct from the physiological states with which they are thought to be correlated, Place claimed that sensations and the like might very well be processes in the brain—despite the fact that statements about the former cannot be logically analyzed into statements about the latter. Drawing an analogy with such scientifically verifiable (and obviously contingent) statements as “Lightning is a motion of electric charges,” Place cited potential explanatory power as the reason for hypothesizing consciousness-brain state relations in terms of identity rather than mere correlation. This still left the problem of explaining introspective reports in terms of brain processes, since these reports (for example, of a green after-image) typically make reference to entities which do not fit with the physicalist picture (there is nothing green in the brain, for example). To solve this problem, Place called attention to the “phenomenological fallacy“—the mistaken assumption that one’s introspective observations report “the actual state of affairs in some mysterious internal environment.” All that the Mind-Brain Identity theorist need do to adequately explain a subject’s introspective observation, according to Place, is show that the brain process causing the subject to describe his experience in this particular way is the kind of process which normally occurs when there is actually something in the environment corresponding to his description.

At least in the beginning, J.J.C. Smart followed U.T. Place in applying the Identity Theory only to those mental concepts considered resistant to behaviorist treatment, notably sensations. Because of the proposed identification of sensations with states of the central nervous system, this limited version of Mind-Brain Type Identity also became known as Central-State Materialism. Smart’s main concern was the analysis of sensation-reports (e.g. “I see a green after-image”) into what he described, following Gilbert Ryle, as “topic-neutral” language (roughly, “There is something going on which is like what is going on when I have my eyes open, am awake, and there is something green illuminated in front of me”). Where Smart diverged from Place was in the explanation he gave for adopting the thesis that sensations are processes in the brain. According to Smart (1959), “there is no conceivable experiment which could decide between materialism and epiphenomenalism” (where the latter is understood as a species of dualism); the statement “sensations are brain processes,” therefore, is not a straight-out scientific hypothesis, but should be adopted on other grounds. Occam’s razor is cited in support of the claim that, even if the brain-process theory and dualism are equally consistent with the (empirical) facts, the former has an edge in virtue of its simplicity and explanatory utility.

Occam’s razor also plays a role in the version of Mind-Brain Type Identity developed by Feigl (in fact, Smart claimed to have been influenced by Feigl as well as by Place). On the epiphenomenalist picture, in addition to the normal physical laws of cause and effect there are psychophysical laws positing mental effects which do not by themselves function as causes for any observable behavior. In Feigl’s view, such “nomological danglers” have no place in a respectable ontology; thus, epiphenomenalism (again considered as a species of dualism) should be rejected in favor of an alternative, monistic theory of mind-body relations. Feigl’s suggestion was to interpret the empirically ascertainable correlations between phenomenal experiences (“raw feels,” see Consciousness and Qualia) and neurophysiological processes in terms of contingent identity: although the terms we use to identify them have different senses, their referents are one and the same—namely, the immediately experienced qualities themselves. Besides eliminating dangling causal laws, Feigl’s picture is intended to simplify our conception of the world: “instead of conceiving of two realms, we have only one reality which is represented in two different conceptual systems.”

In a number of early papers, and then at length in his 1968 book, A Materialist Theory of the Mind, Armstrong worked out a version of Mind-Brain Type Identity which starts from a somewhat different place than the others. Adopting straight away the scientific view that humans are nothing more than physico-chemical mechanisms, he declared that the task for philosophy is to work out an account of the mind which is compatible with this view. Already the seeds were sown for an Identity Theory which covers all of our mental concepts, not merely those which fit but awkwardly on the Behaviorist picture. Armstrong actually gave credit to the Behaviorists for logically connecting internal mental states with external behavior; where they went wrong, he argued, was in identifying the two realms. His own suggestion was that it makes a lot more sense to define the mental not as behavior, but rather as the inner causes of behavior. Thus, “we reach the conception of a mental state as a state of the person apt for producing certain ranges of behavior.” Armstrong’s answer to the remaining empirical question—what in fact is the intrinsic nature of these (mental) causes?—was that they are physical states of the central nervous system. The fact that Smart himself now holds that all mental states are brain states (of course, the reverse need not be true), testifies to the influence of Armstrong’s theory.

Besides the so-called “translation” versions of Mind-Brain Type Identity advanced by Place, Smart, and Armstrong, according to which our mental concepts are first supposed to be translated into topic-neutral language, and the related version put forward by Feigl, there are also “disappearance” (or “replacement”) versions. As initially outlined by Paul Feyerabend (1963), this kind of Identity Theory actually favors doing away with our present mental concepts. The primary motivation for such a radical proposal is as follows: logically representing the identity relation between mental states and physical states by means of biconditional “bridge laws” (e.g., something is a pain if and only if it’s a c-fiber excitation) not only implies that mental states have physical features; “it also seems to imply (if read from the right to the left) that some physical events…have non-physical features.” In order to avoid this apparent dualism of properties, Feyerabend stressed the incompatibility of our mental concepts with empirical discoveries (including projected ones), and proposed a redefinition of our existent mental terms. Different philosophers took this proposal to imply different things. Some advocated a wholesale scrapping of our ordinary language descriptions of mental states, such that, down the road, people might develop a whole new (and vastly more accurate) vocabulary to describe their own and others’ states of mind. This begs the question, of course, what such a new-and-improved vocabulary would look like. Others took a more theoretical/conservative line, arguing that our familiar ways of describing mental states could in principle be replaced by some very different (and again, vastly more accurate) set of terms and concepts, but that these new terms and concepts would not—at least not necessarily—be expected to become part of ordinary language. Responding to Feyerabend, a number of philosophers expressed concern about the appropriateness of classifying disappearance versions as theories of Mind-Brain Type Identity. But Richard Rorty (1965) answered this concern, arguing that there is nothing wrong with claiming that “what people now call ‘sensations’ are (identical with) certain brain processes.” In his Postscript to “The ‘Mental’ and the ‘Physical’,” Feigl (1967) confessed an attraction to this version of the Identity Theory, and over the years Smart has moved in the same direction.

2. Traditional Objections

A number of objections to Mind-Brain Type Identity, some a great deal stronger than others, began circulating soon after the publication of Smart’s 1959 article. Perhaps the weakest were those of the epistemological variety. It has been claimed, for example, that because people have had (and still do have) knowledge of specific mental states while remaining ignorant as to the physical states with which they are correlated, the former could not possibly be identical with the latter. The obvious response to this type of objection is to call attention to the contingent nature of the proposed identities—of course we have different conceptions of mental states and their correlated brain states, or no conception of the latter at all, but that is just because (as Feigl made perfectly clear) the language we use to describe them have different meanings. The contingency of mind-brain identity relations also serves to answer the objection that since presently accepted correlations may very well be empirically invalidated in the future, mental states and brain states should not be viewed as identical.

A more serious objection to Mind-Brain Type Identity, one that to this day has not been satisfactorily resolved, concerns various non-intensional properties of mental states (on the one hand), and physical states (on the other). After-images, for example, may be green or purple in color, but nobody could reasonably claim that states of the brain are green or purple. And conversely, while brain states may be spatially located with a fair degree of accuracy, it has traditionally been assumed that mental states are non-spatial. The problem generated by examples such as these is that they appear to constitute violations of Leibniz’s Law, which states that if A is identical with B, then A and B must be indiscernible in the sense of having in common all of their (non-intensional) properties. We have already seen how Place chose to respond to this type of objection, at least insofar as it concerns conscious experiences—that is, by invoking the so-called “phenomenological fallacy.” Smart’s response was to reiterate the point that mental terms and physical terms have different meanings, while adding the somewhat ambiguous remark that neither do they have the same logic. Lastly, Smart claimed that if his hypothesis about sensations being brain processes turns out to be correct, “we may easily adopt a convention…whereby it would make sense to talk of an experience in terms appropriate to physical processes” (the similarity to Feyerabend’s disappearance version of Mind-Brain Type Identity should be apparent here). As for apparent discrepancies going in the other direction (e.g., the spatiality of brain states vs. the non-spatiality of mental states), Thomas Nagel in 1965 proposed a means of sidestepping any objections by redefining the candidates for identity: “if the two sides of the identity are not a sensation and a brain process but my having a certain sensation or thought and my body’s being in a certain physical state, then they will both be going on in the same place—namely, wherever I (and my body) happen to be.” Suffice to say, opponents of Mind-Brain Type Identity found Nagel’s suggestion unappealing.

The last traditional objection we shall look at concerns the phenomenon of “first-person authority”; that is, the apparent incorrigibility of introspective reports of thoughts and sensations. If I report the occurrence of a pain in my leg, then (the story goes) I must have a pain in my leg. Since the same cannot be said for reports of brain processes, which are always open to question, it might look like we have here another violation of Leibniz’s Law. But the real import of this discrepancy concerns the purported correlations between mental states and brain states. What are we to make of cases in which the report of a brain scientist contradicts the introspective report, say, of someone claiming to be in pain? Is the brain scientist always wrong? Smart’s initial response to Kurt Baier, who asked this question in a 1962 article, was to deny the likelihood that such a state of affairs would ever come about. But he also put forward another suggestion, namely, that “not even sincere reports of immediate experience can be absolutely incorrigible.” A lot of weight falls on the word “absolutely” here, for if the incorrigibility of introspective reports is qualified too strongly, then, as C.V. Borst noted in 1970, “it is somewhat difficult to see how the required psycho-physical correlations could ever be set up at all.”

3. Type vs. Token Identity

Something here needs to be said about the difference between Type Identity and Token Identity, as this difference gets manifested in the ontological commitments implicit in various Mind-Brain Identity theses. Nagel was one of the first to distinguish between “general” and “particular” identities in the context of the mind-body problem; this distinction was picked up by Charles Taylor, who wrote in 1967 that “the failure of [general] correlations…would still allow us to look for particular identities, holding not between, say, a yellow after-image and a certain type of brain process in general, but between a particular occurrence of this yellow after-image and a particular occurrence of a brain process.” In contemporary parlance: when asking whether mental things are the same as physical things, or distinct from them, one must be clear as to whether the question applies to concrete particulars (e.g., individual instances of pain occurring in particular subjects at particular times) or to the kind (of state or event) under which such concrete particulars fall.

Token Identity theories hold that every concrete particular falling under a mental kind can be identified with some physical (perhaps neurophysiological) happening or other: instances of pain, for example, are taken to be not only instances of a mental state (e.g., pain), but instances of some physical state as well (say, c-fiber excitation). Token Identity is weaker than Type Identity, which goes so far as to claim that mental kinds themselves are physical kinds. As Jerry Fodor pointed out in 1974, Token Identity is entailed by, but does not entail, Type Identity. The former is entailed by the latter because if mental kinds themselves are physical kinds, then each individual instance of a mental kind will also be an individual instance of a physical kind. The former does not entail the latter, however, because even if a concrete particular falls under both a mental kind and a physical kind, this contingent fact “does not guarantee the identity of the kinds whose instantiation constitutes the concrete particulars.”

So the Identity Theory, taken as a theory of types rather than tokens, must make some claim to the effect that mental states such as pain (and not just individual instances of pain) are contingently identical with—and therefore theoretically reducible to—physical states such as c-fiber excitation. Depending on the desired strength and scope of mind-brain identity, however, there are various ways of refining this claim.

4. Multiple Realizability

In “The Nature of Mental States,” (1967) Hilary Putnam introduced what is widely considered the most damaging objection to theories of Mind-Brain Type Identity—indeed, the objection which effectively retired such theories from their privileged position in modern debates concerning the relationship between mind and body.

Putnam’s argument can be paraphrased as follows: (1) according to the Mind-Brain Type Identity theorist (at least post-Armstrong), for every mental state there is a unique physical-chemical state of the brain such that a life-form can be in that mental state if and only if it is in that physical state. (2) It seems quite plausible to hold, as an empirical hypothesis, that physically possible life-forms can be in the same mental state without having brains in the same unique physical-chemical state. (3) Therefore, it is highly unlikely that the Mind-Brain Type Identity theorist is correct.

In support of the second premise above—the so-called “multiple realizability” hypothesis—Putnam raised the following point: we have good reason to suppose that somewhere in the universe—perhaps on earth, perhaps only in scientific theory (or fiction)—there is a physically possible life-form capable of being in mental state X (e.g., capable of feeling pain) without being in physical-chemical brain state Y (that is, without being in the same physical-chemical brain state correlated with pain in mammals). To follow just one line of thought (advanced by Ned Block and Jerry Fodor in 1972), assuming that the Darwinian doctrine of evolutionary convergence applies to psychology as well as behavior, “psychological similarities across species may often reflect convergent environmental selection rather than underlying physiological similarities.” Other empirically verifiable phenomena, such as the plasticity of the brain, also lend support to Putnam’s argument against Type Identity. It is important to note, however, that Token Identity theories are fully consistent with the multiple realizability of mental states.

5. Attempts at Salvaging Type Identity

Since the publication of Putnam’s paper, a number of philosophers have tried to save Mind-Brain Type Identity from the philosophical scrapheap by making it fit somehow with the claim that the same mental states are capable of being realized in a wide variety of life-forms and physical structures. Two strategies in particular warrant examination here.

In a 1969 review of “The Nature of Mental States,” David Lewis attacked Putnam for targeting his argument against a straw man. According to Lewis, “a reasonable brain-state theorist would anticipate that pain might well be one brain state in the case of men, and some other brain (or non-brain) state in the case of mollusks. It might even be one brain state in the case of Putnam, another in the case of Lewis.” But it is not so clear (in fact it is doubtful) that Lewis’ appeal to “tacit relativity to context” will succeed in rendering Type Identity compatible with the multiple realizability of mental states. Although Putnam does not consider the possibility of species-specific multiple realization resulting from such phenomena as injury compensation, congenital defects, mutation, developmental plasticity, and, theoretically, prosthetic brain surgery, neither does he say anything to rule them out. And this is not surprising. As early as 1960, Identity theorists such as Stephen Pepper were acknowledging the existence of species (even system)-specific multiple realizability due to emergencies, accidents, injuries, and the like: “it is not…necessary that the [psychophysical] correlation should be restricted to areas of strict localization. One area of the brain could take over the function of another area of the brain that has been injured.” Admittedly, some of the phenomena listed above tell against Lewis’ objection more than others; nevertheless, prima facie there seems no good reason to deny the possibility of species-specific multiple realization.

In a desperate attempt at invalidating the conclusion of Putnam’s argument, the brain-state theorist can undoubtedly come up with additional restrictions to impose upon the first premise, e.g., with respect to time. This is the strategy of David Braddon-Mitchell and Frank Jackson, who wrote in a 1996 book that “there is…a better way to respond to the multiple realizability point [than to advocate token identity]. It is to retain a type-type mind-brain identity theory, but allow that the identities between mental types and brain types may—indeed, most likely will—need to be restricted. Identity statements need to include an explicit temporal restriction.” Mental states such as pain may not be identical with, say, c-fiber excitation in humans (because of species-specific multiple realization), but—the story goes—they could very well be identical with c-fiber excitation in humans at time T. The danger in such an approach, besides its ad hoc nature, is that the type physicalist basis from which the Identity Theorist begins starts slipping into something closer to token physicalism (recall that concrete particulars are individual instances occurring in particular subjects at particular times). At the very least, Mind-Brain Type Identity will wind up so weak as to be inadequate as an account of the nature of the mental.

Another popular strategy for preserving Type Identity in the face of multiple realization is to allow for the existence of disjunctive physical kinds. By defining types of physical states in terms of disjunctions of two or more physical “realizers,” the correlation of one such realizer with a particular (type) mental state is sufficient. The search for species- or system-specific identities is thereby rendered unnecessary, as mental states such as pain could eventually be identified with the (potentially infinite) disjunctive physical state of, say, c-fiber excitation (in humans), d-fiber excitation (in mollusks), and e-network state (in a robot). In “The Nature of Mental States,” Putnam dismisses the disjunctive strategy out of hand, without saying why he thinks the physical-chemical brain states to be posited in identity claims must be uniquely specifiable. Fodor (in 1974) and Jaegwon Kim (1992), both former students of Putnam, tried coming to his rescue by producing independent arguments which purport to show that disjunctions of physical realizers cannot themselves be kinds. Whereas Fodor concluded that “reductionism… flies in the face of the facts,” however, Kim concluded that psychology is open to sundering “by being multiply locally reduced.”

Even if disjunctive physical kinds are allowed, it may be argued that the strategy in question still cannot save Type Identity from considerations of multiple realizability. Assume that all of the possible physical realizers for some mental state M are represented by the ideal, perhaps infinite, disjunctive physical state P; then it could never be the case that a physically possible life-form is in M and not in P. Nevertheless, we have good reason to think that some physically possible life-form could be in P without being in M—maybe P in that life-form realizes some other mental state. As Block and Fodor have argued, “it seems plausible that practically any type of physical state could realize any type of psychological state in some physical system or other.” The doctrine of “neurological equipotentiality” advanced by renowned physiological psychologist Karl Lashley, according to which given neural structures underlie a whole slew of psychological functions depending upon the character of the activities engaged in, bears out this hypothesis. The obvious way for the committed Identity theorist to deal with this problem—by placing disjunctions of potentially infinite length on either side of a biconditional sign—would render largely uninformative any so-called “identity” claim. Just how uninformative depends on the size of the disjunctions (the more disjuncts, the less informative). Infinitely long disjunctions would render the identity claim completely uninformative. The only thing an Identity Theory of this kind could tell us is that at least one of the mental disjuncts is capable of being realized by at least one of the physical disjuncts. Physicalism would survive, but barely, and in a distinctly non-reductive form.

Recently, however, Ronald Endicott has presented compelling considerations which tell against the above argument. There, physical states are taken in isolation of their context. But it is only if the context is varied that Block and Fodor’s remark will come out true. Otherwise, mental states would not be determined by physical states, a situation which contradicts the widely accepted (in contemporary philosophy of mind) “supervenience principle”: no mental difference without a physical difference. A defender of disjunctive physical kinds can thus claim that M is identical with some ideal disjunction of complex physical properties like “C1 & P1,” whose disjuncts are conjunctions of all the physical states (Ps) plus their contexts (Cs) which give rise to M. So while “some physically possible life-form could be in P without being in M,” no physically possible life-form could be in C1 & P1 without being in M. Whether Endicott’s considerations constitute a sufficient defense of the disjunctive strategy is still open to debate. But one thing is clear—in the face of numerous and weighty objections, Mind-Brain Type Identity (in one form or another) remains viable as a theory of mind-body relations.

6. References and Further Reading

  • Armstrong, D.M. (1968). A Materialist Theory of the Mind, London, Routledge.
  • Baier, Kurt (1962). Pains. Australasian Journal of Philosophy 40 (May): 1-23.
  • Block, Ned & Fodor, Jerry A. (1972). “What psychological states are not.” Philosophical Review 81 (April):159-81
  • Borst, Clive V. (ed.) (1970). The Mind/Brain Identity Theory. Macmillan.
  • Braddon-Mitchell, D. and Jackson, F. (1996). Philosophy of Mind and Cognition, Oxford, Blackwell.
  • Endicott, Ronald P. (1993). “Species-specific properties and more narrow reductive strategies.” Erkenntnis 38 (3):303-21.
  • Feigl, H. (1958). “The ‘Mental’ and the ‘”Physical’,” in Feigl, H., Scriven, M. and Maxwell, G. (eds.) Concepts, Theories and the Mind-Body Problem, Minneapolis, Minnesota Studies in the Philosophy of Science, Vol. 2, reprinted with a Postscript in Feigl 1967.
  • Feigl, H. (1967). The “Mental” and the “Physical,” The Essay and a Postscript, Minneapolis, University of Minnesota Press.
  • Feyerabend, Paul K. (1963). “Comment: Mental Events and the Brain.” Journal of Philosophy 60 (11):295-296.
  • Fodor, Jerry A. (1974). “Special sciences.” Synthese 28:97-115.
  • Kim, Jaegwon (1992). “Multiple realization and the metaphysics of reduction.” Philosophy and Phenomenological Research 52 (1):1-26.
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Author Information

Steven Schneider
Email: sjs@inbox.com
Harvard University
U. S. A.

The Paradox of Fiction

How is it that we can be moved by what we know does not exist, namely the situations of people in fictional stories? The so-called “paradox of emotional response to fiction” is an argument for the conclusion that our emotional response to fiction is irrational. The argument contains an inconsistent triad of premises, all of which seem initially plausible. These premises are (1) that in order for us to be moved (to tears, to anger, to horror) by what we come to learn about various people and situations, we must believe that the people and situations in question really exist or existed; (2) that such “existence beliefs” are lacking when we knowingly engage with fictional texts; and (3) that fictional characters and situations do in fact seem capable of moving us at times.

A number of conflicting solutions to this paradox have been proposed by philosophers of art. While some argue that our apparent emotional responses to fiction are only “make-believe” or pretend, others claim that existence beliefs aren’t necessary for having emotional responses (at least to fiction) in the first place. And still others hold that there is nothing especially problematic about our emotional responses to works of fiction, since what these works manage to do (when successful) is create in us the “illusion” that the characters and situations depicted therein actually exist.

Table of Contents

  1. Radford’s Initial Statement of the Paradox
  2. The Pretend Theory
  3. Objections to the Pretend Theory
    1. Disanalogies with Paradigmatic Cases of Make-Believe Games
    2. Problems with Quasi-Emotions
  4. The Thought Theory
  5. Objections to the Thought Theory
  6. The Illusion Theory
  7. References and Further Reading

1. Radford’s Initial Statement of the Paradox

In a much-discussed 1975 article, and in a series of “Replies to my Critics” written over the next two decades, Colin Radford argues that our apparent ability to respond emotionally to fictional characters and events is “irrational, incoherent, and inconsistent” (p. 75). This on the grounds that (1) existence beliefs concerning the objects of our emotions (for example, that the characters in question really exist; that the events in question have really taken place) are necessary for us to be moved by them, and (2) that such beliefs are lacking when we knowingly partake of works of fiction. Taking it pretty much as a given that (3) such works do in fact move us at times, Radford’s conclusion, refreshing in its humility, is that our capacity for emotional response to fiction is as irrational as it is familiar: “our being moved in certain ways by works of art, though very ‘natural’ to us and in that way only too intelligible, involves us in inconsistency and so incoherence” (p. 78).

The need for existence beliefs is supposedly revealed by the following sort of case. If what we at first believed was a true account of something heart-wrenching turned out to be false, a lie, a fiction, etc., and we are later made aware of this fact, then we would no longer feel the way we once did—though we might well feel something else, such as embarrassment for having been taken in to begin with. And so, Radford argues, “It would seem that I can only be moved by someone’s plight if I believe that something terrible has happened to him. If I do not believe that he has not and is not suffering or whatever, I cannot grieve or be moved to tears” (p. 68). Of course, what Radford means to say here is: “I can only be rationally moved by someone’s plight if I believe that something terrible has happened to him. If I do not believe that he has not and is not suffering or whatever, I cannot rationally grieve or be moved to tears.” Such beliefs are absent when we knowingly engage with fictions, a claim Radford supports by presenting and then rejecting a number of objections that might be raised against it.

One of the major objections to his second premise considered by Radford is that, at least while we are engaged in the fiction, we somehow “forget” that what we are reading or watching isn’t real; in other words, that we get sufficiently “caught up” in the novel, movie, etc. so as to temporarily lose our awareness of its fictional status. In response to this objection, Radford offers the following two considerations: first, if we truly forgot that what we are reading or watching isn’t real, then we most likely would not feel any of the various forms of pleasure that frequently accompany other, more “negative” emotions (such as fear, sadness, and pity) in fictional but not real-life cases; and second, the fact that we do not “try to do something, or think that we should” (p. 71) when seeing a sympathetic character being attacked or killed in a film or play, implies our continued awareness of this character’s fictional status even while we are moved by what happens to him. This second consideration—an emphasis on the behavioral disanalogies between our emotional responses to real-life and fictional characters and events—is one that crops up repeatedly in the arguments of philosophers such as Kendall Walton and Noel Carroll, whose positive accounts are nevertheless completely opposed to one another.

Finally, Radford thinks there can be no denying his third premise, that fictional characters themselves are capable of moving us—as opposed to, say, actual (or perhaps merely possible) people in similar situations, who have undergone trials and tribulations very much like those in the story. So his conclusion that our emotional responses to fiction are irrational appears valid and, however unsatisfactory, at the very least non-paradoxical. Summarizing his position in a 1977 follow-up article, with specific reference to the emotion of fear, Radford writes that existence beliefs “[are] a necessary condition of our being unpuzzlingly, rationally, or coherently frightened. I would say that our response to the appearance of the monster is a brute one that is at odds with and overrides our knowledge of what he is, and which in combination with our distancing knowledge that this is only a horror film, leads us to laugh—at the film, and at ourselves for being frightened” (p. 210).

Since the publication of Radford’s original essay, many Anglo-American philosophers of art have been preoccupied with exposing the inadequacies of his position, and with presenting alternative, more “satisfying” solutions. In fact, few issues of The British Journal of Aesthetics, Philosophy, or The Journal of Aesthetics and Art Criticism have come out over the past 25 years which fail to contain at least one piece devoted to the so-called “paradox of emotional response to fiction.” As recently as April 2000, Richard Joyce writes in a journal article that “Radford must weary of defending his thesis that the emotional reactions we have towards fictional characters, events, and states of affairs are irrational. Yet, for all the discussion, the issue has not.been properly settled” (p. 209). It is interesting to note that while virtually all of those writing on this subject credit Radford with initiating the current debate, none of them have adopted his view as their own. At least in part, this must be because what Radford offers is less the solution to a mystery (how is it that we can be moved by what we know does not exist?) than a straightforward acceptance of something mysterious about human nature (our ability to be moved by what we know does not exist is illogical, irrational, even incoherent).

To date, three basic strategies for resolving the paradox in question have turned up again and again in the philosophical literature, each one appearing in a variety of different forms (though it should be noted, other, more idiosyncratic solutions can also be found). It is to these strategies, and some of the powerful criticisms that have been levied against them, that we now briefly turn.

2. The Pretend Theory

Pretend theorists, most notably Kendall Walton, in effect deny premise (3), arguing that it is not literally true that we fear horror film monsters or feel sad for the tragic heroes of Greek drama. As noted above, Walton’s defense of premise (2) also rests on a playing up of the behavioral disanalogies between our responses to real-life versus fictional characters and events. But unlike Radford, who looks at real-life cases of emotional response and the likelihood of their elimination when background conditions change in order to defend premise (1), Walton offers nothing more than an appeal to “common sense”: “It seems a principle of common sense, one which ought not to be abandoned if there is any reasonable alternative, that fear must be accompanied by, or must involve, a belief that one is in danger” (1978, pp. 6-7).

According to Walton, it is only “make-believedly” true that we fear horror film monsters, feel sad for the Greek tragic heroes, etc. He admits that these characters move us in various ways, both physically and psychologically—the similarities to real fear, sadness, etc. are striking—but regardless of what our bodies tell us, or what we might say, think, or believe we are feeling, what we actually experience in such cases are only “quasi-emotions” (e.g., “quasi-fear”). Quasi-emotions differ from true emotions primarily in that they are generated not by existence beliefs (such as the belief that the monster I am watching on screen really exists), but by “second-order” beliefs about what is fictionally the case according to the work in question (such as the belief that the monster I am watching on screen make-believedly exists. As Walton puts it, “Charles believes (he knows) that make-believedly the green slime [on the screen] is bearing down on him and he is in danger of being destroyed by it. His quasi-fear results from this belief” (p. 14). Thus, it is make-believedly the case that we respond emotionally to fictional characters and events due to the fact that our beliefs concerning the fictional properties of those characters and events generates in us the appropriate quasi-emotional states.

What has made the Pretend Theory in its various forms attractive to many philosophers is its apparent ability to handle a number of additional puzzles relating to audience engagement with fictions. Such puzzles include the following:

  • Why a reader or viewer of fictions who does not like happy endings can get so caught up in a particular story that, for example, he wants the heroine to be rescued despite his usual distaste for such a plot convention. Following Walton, there is no need to hypothesize conflicting desires on the part of the reader here, since “It is merely make-believe that the spectator sympathizes with the heroine and wants her to escape. .[H]e (really) wants it to be make-believe that she suffers a cruel end” (p. 25).
  • How fictional works—especially suspense stories—can withstand multiple readings or viewings without becoming less effective. According to Walton, this is possible because, on subsequent readings/viewings, we are simply playing a new game of pretend—albeit one with the same “props” as before: “The child hearing Jack and the Beanstalk knows that make-believedly Jack will escape, but make-believedly she does not know that he will. It is her make-believe uncertainty.not any actual uncertainty, that is responsible for the excitement and suspense that she feels” (p. 26).

3. Objections to the Pretend Theory

Despite its novelty, as well as Walton’s heroic attempts at defending it, the Pretend Theory continues to come under attack from numerous quarters. Many of these attacks can be organized under the following two general headings:

a. Disanalogies with Paradigmatic Cases of Make-Believe Games

Walton introduces and supports his theory with reference to the familiar games of make-believe played by young children—games in which globs of mud are taken to be pies, for example, or games in which a father, pretending to be a vicious monster, will stalk his child and lunge at him at the crucial moment: “The child flees, screaming, to the next room. But he unhesitatingly comes back for more. He is perfectly aware that his father is only ‘playing,’ that the whole thing is ‘just a game,’ and that only make-believedly is there a vicious monster after him. He is not really afraid” (1978, p. 13). Such games rely on what Walton calls “constituent principles” (e.g., that whenever there is a glob of mud in a certain orange crate, it is make-believedly true that there is a pie in the oven) which are accepted or understood to be operating. However, these principles need not be explicit, deliberate, or even public: “one might set up one’s own personal game, adopting principles that no one else recognizes. And at least some of the principles constituting a personal game of make-believe may be implicit” (p. 12). According to Walton, just as a child will experience quasi-fear as a result of believing that make-believedly a vicious monster is coming to get him, moviegoers watching a disgusting green slime make its way towards the camera will experience quasi-fear as a result of believing that, make-believedly, they are being threatened by a fearsome creature. In both cases, it is this quasi-fear which makes it the case that the respective game players are make-believedly (not really) afraid.

To the extent that one is able to identify significant disanalogies with familiar games of make-believe, then, Walton’s theory looks to be in trouble. One such disanalogy concerns our relative lack of choice when it comes to (quasi-)emotional responses to fiction films and novels. Readers and viewers of such fictions, the argument goes, don’t seem to have anything close to the ability of make-believe game-playing children to control their emotional responses. On the one hand, we can’t just turn such responses off—refuse to play and prevent ourselves from being affected—like kids can. As Noel Carroll writes in his book, The Philosophy of Horror, “if it [the fear produced by horror films] were a pretend emotion, one would think that it could be engaged at will. I could elect to remain unmoved by The Exorcist; I could refuse to make believe I was horrified. But I don’t think that that was really an option for those, like myself, who were overwhelmedly struck by it” (1990, p. 74).

On the other hand, Carroll also points out that as consumers of fiction we aren’t able to just turn our emotional responses on, either: “if the response were really a matter of whether we opt to play the game, one would think that we could work ourselves into a make-believe dither voluntarily. But there are examples [of fictional works] which are pretty inept, and which do not seem to be recuperable by making believe that we are horrified. The monsters just aren’t particularly horrifying, though they were intended to be” (p. 74). Carroll cites such forgettable pictures as The Brain from Planet Arous and Attack of the Fifty Foot Woman as evidence of his claim that some fictional texts simply fail to generate their intended emotional response.

Another proposed disanalogy between familiar examples of make-believe game-playing and our emotional engagement with fictions focuses on the phenomenology of the two cases. The objection here is that, assuming the accuracy of Walton’s account when it comes to children playing make-believe, it is simply not true to ordinary experience that consumers of fictions are in similar emotional states when watching movies, reading books, and the like. David Novitz, for one, notes that “many theatre-goers and readers believe that they are actually upset, excited, amused, afraid, and even sexually aroused by the exploits of fictional characters. It seems altogether inappropriate in such cases to maintain that our theatre-goers merely make-believe that they are in these emotional states” (1987, p. 241). Glenn Hartz makes a similar point, in stronger language:

My teenage daughter convinces me to accompany her to a “tear-jerker” movie with a fictional script. I try to keep an open mind, but find it wholly lacking in artistry. I can’t wait for it to end. Still, tears come welling up at the tragic climax, and, cursing, I brush them aside and hide in my hood on the way to the car. Phenomenologically, this description is perfectly apt. But it is completely inconsistent with the Make-Believe Theory, which says emotional flow is always causally dependent on make-believe. [H]ow can someone who forswears any imaginative involvement in a series of fictional events.respond to them with tears of sadness? (1999, p. 572)Carroll too argues that “Walton’s theory appears to throw out the phenomenology of the state [here ‘art-horror’] for the sake of logic” (1990, p. 74), on the grounds that, as opposed to children playing make-believe, when responding to works of fiction we do not seem to be aware at all of playing any such games.

Of course, Walton’s position is that the only thing required here is the acceptance or recognition of a constituent principle underlying the game in question, and this acceptance may well be tacit rather than conscious. But Carroll thinks that it “strains credulity” to suppose that not only are we unaware of some of the rules of the game, but that “we are completely unaware of playing a game. Surely a game of make-believe requires the intention to pretend. But on the face of it, consumers of horror do not appear to have such an intention” (pp. 74-75). Although he disagrees with Walton’s Pretend Theory on other grounds, Alex Neill offers a powerful reply to objections which cite phenomenological disanalogies. In his words, what philosophers such as Novitz, Hartz, and Carroll miss “is that the fact that Charles is genuinely moved by the horror movie.is precisely what motivates Walton’s account”:

By labeling this kind of state ‘quasi-fear,’ Walton is not suggesting that it consists of feigned or pretended, rather than actual, feelings and sensations. .Rather, Walton label’s Charles’s physiological/psychological state ‘quasi-fear’ to mark the fact that what his feelings and sensations are feelings and sensations of is precisely what is at issue. .On his view, we can actually be moved by works of fiction, but it is make-believe that we are moved to is fear. (1991, pp. 49-50)Suffice to say, the question whether objections to Walton’s Pretend Theory on the grounds of phenomenological difference are valid or not continues to be discussed and debated.

b. Problems with Quasi-Emotions

In arguing that Walton’s quasi-emotions are unnecessary theoretical entities, some philosophers have pointed to cases of involuntary reaction to visual stimuli—the so-called “startle effect” in film studies terminology—where the felt anxiety, repulsion, or disgust is clearly not make-believe, since these reactions do not depend at all on beliefs in the existence of what we are seeing. Simo Säätelä for example, argues that “fear is easy to confuse with being shocked, startled, anxious, etc. Here the existence or non-existence of the object can hardly be important. When we consider fear [in fictional contexts] this often seems to be a plausible analysis—it is simply a question of a mistaken identification of sensations and feelings. Thus no technical redescription in terms of make-believe is needed” (1994, p. 29). One problem with turning this objection into a full-blown theory of emotional response to fiction in its own right, as both S„„tel„ and Neill have suggested doing, is that there seem to be at least some cases of fearing fictions where the startle effect is not involved. Another problem is that it is not at all clear what equivalents to the startle effect are available in the case of emotions such as, say, pity and regret.

A similar objection to Walton’s quasi-emotional states has been put forward by Glenn Hartz. He argues not that our responses to fiction are independent of belief, to be understood on the model of the startle effect, but that they are pre-conscious: that real (as opposed to pretend) beliefs which are not consciously entertained are automatically generated by certain visual stimuli. These beliefs are inconsistent with what the spectator—fully aware of where he is and what he is doing—explicitly avows. As Hartz puts it, “how could anything as cerebral and out-of-the-loop as ‘make believe’ make adrenaline and cortisol flow?” (1999, p. 563).

4. The Thought Theory

Thought theories boldly deny premise (1), the old and established thesis, traceable as far back as Aristotle and central to the so-called “Cognitive Theory of emotions,” (see Theories of Emotion) that existence beliefs are a necessary condition of (at the very least rational) emotional response. At the heart of the Thought Theory lies the view that, although our emotional responses to actual characters and events may require beliefs in their existence, there is no good reason to hold up this particular type of emotional response as the model for understanding emotional response in general. What makes emotional response to fiction different from emotional response to real world characters and events is that, rather than having to believe in the actual existence of the entity or event in question, all we need do is “mentally represent” (Peter Lamarque), “entertain in thought” (Noel Carroll), or “imaginatively propose” (Murray Smith) it to ourselves. By highlighting our apparent capacity to respond emotionally to fiction—by treating this as a central case of emotional response in general—the thought theorist believes he has produced hard evidence in support of the claim that premise (1) stands in need of modification, perhaps even elimination.

Even before the first explicit statement of the Thought Theory in a 1981 article by Lamarque, a number of philosophers rejected existence beliefs as a requirement for emotional response to fictions. Instead, they argued that the only type of beliefs necessary when engaging with fictions are “evaluative” beliefs about the characters and events depicted; beliefs, for example, about whether the characters and events in question have characteristics which render them funny, frightening, pitiable, etc. Eva Schaper, for example, in an article published three years before Lamarque’s, writes that:

We need a distinction.between the kind of beliefs which are entailed by my knowing that I am dealing with fiction, and the kind of beliefs which are relevant to my being moved by what goes on in fiction. .[B]eliefs about characters and events in fiction.are alone involved in our emotional response to what goes on. (1978, p. 39, 44)

More recently, but again without reference to the Thought Theory, R.T. Allen argues that, “A novel.is not a presentation of facts. But true statements can be made about what happens in it and beliefs directed towards those events can be true or false. .Once we realize that truth is not confined to the factual, the problem disappears” (1986, p. 66).

Although the two are closely related, strictly-speaking this version of the Thought Theory should not be confused with what is often referred to as the “Counterpart Theory” of emotional response to fiction. As Gregory Currie explains, according to this latter theory, “we experience genuine emotions when we encounter fiction, but their relation to the story is causal rather than intentional; the story provokes thoughts about real people and situations, and these are the intentional objects of our emotions” (1990, p. 188). Walton himself provides an early statement of the Counterpart Theory: “If Charles is a child, the movie may make him wonder whether there might not be real slimes or other exotic horrors like the one depicted in the movie, even if he fully realizes that the movie-slime itself is not real. Charles may well fear these suspected dangers; he might have nightmares about them for days afterwards” (1978, p. 10). Some variations of this theory go so far as make their claims with reference to possible as opposed to real people and situations. Regardless, it is important to note that Counterpart theories have at least as much in common with Pretend theories as with Thought theories, since, like the former, they seem to require a modification of Radford’s third premise (it is not the fictional works themselves that move us, but their real or possible counterparts).

5. Objections to the Thought Theory

Somewhat surprisingly, the Thought Theory has generated relatively little critical discussion, a fact in virtue of which it can be said to occupy a privileged position today. In a 1982 article, however, Radford himself attacks it on the following grounds:

Lamarque claims that I am frightened by ‘the thought’ of the green slime. That is the ‘real object’ of my fear. But if it is the moving picture of the slime which frightens me (for myself), then my fear is irrational, etc., for I know that what frightens me cannot harm me. So the fact that we are frightened by fictional thoughts does not solve the problem but forms part of it. (pp. 261-62]

More recently, film-philosopher Malcolm Turvey criticizes the Thought Theory on the grounds that it appears to ignore the concrete nature of the moving image, instead hypothesizing a “mental entity as the primary causal agent of the spectator’s emotional response” (1997, p. 433). According to Turvey, because we can and frequently do respond to the concrete presentation of cinematic images in a manner that is indifferent to their actual existence in the world, and because there is nothing especially mysterious about this fact, no theory at all is needed to solve the problem of emotional response to fiction film.

Even if it is correct with respect to the medium of film, however, what we might call Turvey’s “concreteness consideration” does not stand up as a critique of the Thought Theory generally. In the case of literature, for example, the reader obviously does not respond emotionally to the words as they appear on the printed page, but rather to the mental images these words serve to conjure in his mind.

It is also debatable whether the Thought Theory cannot be revised so as to incorporate the concreteness consideration, by simply redefining the psychological attitude referred to by Carroll as “entertaining” in either neutral or negative terms. In order for us to be moved by a work of fiction, the revised theory would go, all we need do is adopt a nonassertive—though still evaluative—psychological attitude towards the images which appear before us on screen (while watching a film) or in our minds (when thinking about them later, or perhaps while reading about them in a book). Turvey himself makes a move in this direction when he writes that “the spectator’s capacity to ‘entertain’ a cinematic representation of a fictional referent does not require the postulation of an intermediate, mental entity such as a ‘thought’ or ‘imagination’ in order to be understood” (1997, p. 456).

Arguing on behalf of the Thought Theory, Murray Smith invites us to “imagine gripping the blade of a sharp knife and then having it pulled from your grip, slicing through the flesh of your hand. If you shuddered in reaction to the idea, you didn’t do so because you believed that your hand was being cut by a knife” (1995, p. 116). In part due to its intuitive plausibility, in part due to its ability to explain away certain behavioral disanalogies with real-life cases of emotional response (for example: although he frightens us, the reason we don’t run out of the theater when watching the masked killer head towards us on the movie screen is because we never stop believing for a moment that what we are watching is only a representation of someone who doesn’t really exist), few philosophers have sought to meet the challenge posed by the Thought Theory head on.

Perhaps the biggest problem for the Thought Theory lies in its difficulty justifying its own presuppositions. In his original article, Radford asks the following questions in order to highlight the mysterious nature of our emotional responses to fiction: “We are saddened, but how can we be? What are we sad about? How can we feel genuinely and involuntarily sad, and weep, as we do knowing as we do that no one has suffered or died?” (1977, p. 77). These are questions the Thought theorist will have a tough time answering to the satisfaction of anyone not already inclined to agree with him. That is to say, where the Thought theorist seems to run into trouble is in explaining just why it is the mere entertaining in thought of a fictional character or event is able to generate emotional responses in audiences.

6. The Illusion Theory

Illusion theorists, of whom there seem to be fewer and fewer these days, deny Radford’s second premise. They suggest a mechanism—whether it be some loose concept of “weak” or “partial” belief, Samuel Taylor Coleridge’s famous “willing suspension of disbelief,” Freud’s notion of “disavowal” as adapted by psychoanalytic film theorists such as Christian Metz, or something else entirely—whereby existence beliefs are generated in the course of our engagement with works of fiction.

In Section 1, we came across one of the most powerful objections to have been levied against the Illusion Theory to date: the obvious behavioral disanalogies between our emotional responses to real-life versus fictional characters and events. Even when the existence beliefs posited by the Illusion theorist are of the weak or partial variety, Walton argues that

Charles has no doubts about the whether he is in the presence of an actual slime. If he half believed, and were half afraid, we would expect him to have some inclination to act on his fear in the normal ways. Even a hesitant belief, a mere suspicion, that the slime is real would induce any normal person seriously to consider calling the police and warning his family. Charles gives no thought whatever to such courses of action. (1978, p. 7)The force of this and related objections has led to a state of affairs in which Gregory Currie, in a lengthy essay on the paradox of emotional response to fiction, can devote all of two sentences to his dismissal of the Illusion Theory:

Hardly anyone ever literally believes the content of a fiction when he knows it to be a fiction; if it happens at moments of forgetfulness or intense realism in the story (which I doubt), such moments are too brief to underwrite our often sustained responses to fictional events and characters. Henceforth, I shall assume the truth of [Radford’s second premise] and consider the [other] possibilities. (1990, pp. 188-89)Notice, however, that a tremendous amount of weight seems to be placed here on the word “literally.” Is it really true to the facts that when normal people—not philosophers or film theorists!—talk about the “believability” of certain books they have read and movies they have seen, the notions of belief and believable-ness they have in mind are metaphorical, or else simply confused or mistaken? And that everyday talk of being “absorbed by” fictions, “engaged in” them, “lost” in them, etc. can be explained away solely in terms of such non-belief dependent features of the fictions in question as their “vividness” and “immediacy”?

It certainly isn’t clear whether the Illusion Theory in any form can be salvaged as a possible solution to the paradox of emotional response to fiction. It isn’t even clear whether what we have here really qualifies as a “paradox” at all. As Richard Moran (1994) argues, with reference to what he takes to be non-problematic cases of emotional response to modal facts (things that might have happened to us but didn’t) and historical facts (things that happened to us in the past): “our paradigms of ordinary emotions exhibit a great deal of variety., and.the case of fictional emotions gains a misleading appearance of paradox from an inadequate survey of examples”(p. 79). What is clear, however, is that the various debates surrounding the topic of emotional response to fiction continue to rage in the philosophical literature.

7. References and Further Reading

  • Allen, R.T. (1986) “The Reality of Responses to Fiction.” British Journal of Aesthetics 26.1, pp. 64-68.
  • Carroll, N. (1990) The Philosophy of Horror; or, Paradoxes of the Heart. New York, Routledge.
  • Currie, G. (1990) The Nature of Fiction. Cambridge, Cambridge University Press.
  • Hartz, G. (1999) “How We Can Be Moved by Anna Karenina, Green Slime, and a Red Pony.” Philosophy 74, pp. 557-78.
  • Joyce, R. (2000) “Rational Fear of Monsters.” British Journal of Aesthetics 40.2, pp. 209-224.
  • Lamarque, P. (1981) “How Can We Fear and Pity Fictions?” British Journal of Aesthetics 21.4, pp. 291-304.
  • Moran, R. (1994) “The Expression of Feeling in Imagination.” Philosophical Review 103.1, pp. 75-106.
  • Neill, A. (1991) “Fear, Fiction and Make-Believe.” Journal of Aesthetics and Art Criticism 49.1, pp. 47-56.
  • Novitz, D. (1987) Knowledge, Fiction and Imagination. Philadelphia, Temple University Press.
  • Radford, C. (1975) “How Can We Be Moved by the Fate of Anna Karenina?” Proceedings of the Aristotelian Society, Supplemental Vol. 49, pp. 67-80.
  • Radford, C. (1977) “Tears and Fiction.” Philosophy 52, pp. 208-213.
  • Säätelä, S. (1994) “Fiction, Make-Believe and Quasi Emotions.” British Journal of Aesthetics 34, pp. 25-34.
  • Schaper, E. (1978) “Fiction and the Suspension of Disbelief.” British Journal of Aesthetics 18, pp. 31-44.
  • Smith, M. (1995) “Film Spectatorship and the Institution of Fiction.” Journal of Aesthetics and Art Criticism 53.2, pp. 113-27.
  • Turvey, M. (1997) “Seeing Theory: On Perception and Emotional Response in Current Film Theory.” Film Theory and Philosophy, R. Allen and M. Smith (Eds.). Oxford, Oxford University Press, pp. 431-57.
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Author Information

Steven Schneider
Email: sjs@inbox.com
Harvard University
U. S. A.

Cheng Hao (Cheng Mingdao, 1032—1085)

Cheng_HaoCheng Hao, also known as Cheng Mingdao, was a pioneer of the neo-Confucian movement in the Song and Ming dynasties, which is often regarded as the second epoch of the development of Confucianism, with pre-Qin classical Confucianism as the first, and contemporary Confucianism as the third. If neo-Confucianism is to be understood as the learning of li (conventionally translated as “principle”), then Cheng Hao and his younger brother Cheng Yi can be regarded as the true founders of neo-Confucianism, as with them li came to be regarded as the ultimate reality of the universe for the first time in Chinese history . Cheng Hao’s unique understanding of the ultimate reality is that it is not some entity but rather is the “life-giving activity.” This understanding strikes a similar tone to Martin Heidegger’s Being of beings which was created almost a millennium later. Assuming the identity of li and human nature, Cheng Hao argues that human nature is good, since what is essential to human nature is humanity (ren), also the cardinal virtue in Confucianism, and this is nothing but this life-giving activity. A person of ren is the one who is in one body with “ten thousand things” and therefore can feel their pains and itches just as one can feel them in one’s own body. This is an idea central to the whole idealist school (xinxue, learning of heart-mind) of the neo-Confucian movement, a movement culminating in Wang Yangming.

Table of Contents

  1. Life and Works
  2. Principle
  3. Goodness of Human Nature
  4. Origin of Evil
  5. Moral Cultivation
  6. Influence
  7. References and Further Reading

1. Life and Works

Cheng Hao was born in Huangpi of the present Hubei Province in Mingdao Year 1 of Emperor Ren of the Song dynasty (1032) and so is also called Mr. Mingdao. He and his younger brother Cheng Yi (1033-1107) are often referred to as “the two Chengs” by later Confucians. Growing up, the brothers moved quite often as their father, Cheng Xiang, was appointed as a local official in various places. In 1046, his father became acquainted with Zhou Dunyi (1016-1073), one of the so-called “five Confucian masters” of the Northern Song. He sent Cheng Hao and Cheng Yi – who themselves turned out to be the other two of the five masters – to study with Zhou for about a year. In 1057, after passing the civil service examination, Cheng Hao followed in his father’s footsteps and started his own career as a local official, culminating in his initial participation in (1069) and eventual withdrawal from (1070) the reform movement led by Wang Anshi (1021-1086). Cheng Hao returned to Luoyang after 1072 and continued to assume a few minor official positions, but he spent most of his time studying and teaching Confucian classics together with his brother. During this period, the brothers also had frequent discussions with the final two of the five masters, Shao Yong (1011-1077) and Zhang Zai (1020-1077). The former was their neighbor in Luoyang, and the latter was their uncle.

Cheng Hao’s philosophical ideas are largely developed in conversations with his students, many of whom recorded his sayings. In 1168, Zhu Xi (1130-1200) edited some of these recorded sayings in Chengs’ Surviving Sayings (Yishu) in 25 volumes, in which 4 volumes are attributed to Cheng Hao and 11 volumes to Cheng Yi. The first 10 volumes are sayings by the two masters, where in most cases it is not clearly indicated which saying belongs to which brother. In 1173, Zhu Xi edited Chengs’ Additional Sayings (Waishu) in 12 volumes, including those recorded sayings circulated among scholars and not included in Yishu (in most cases, it is not indicated which saying belongs to which Cheng). As Zhu Xi himself acknowledged that the authenticity of sayings in this second collection is mixed, it should be used with caution. Before Zhu Xi edited these two works, Yang Shi (1053-1135), one of the common students of the two Chengs, rewrote some of these sayings in a literary form in The Purified Words of the Two Chengs (Cuiyan). However, it mostly represents Cheng Yi’s views. Cheng Hao’s own writings, mostly official documents, letters, and poetry, are collected in the first four volumes of Chengs’ Collected Writings (Wenji). In addition, Cheng Hao wrote a correction of the Great Learning, which is included in Chengs’ Commentary on Classics (Jingshuo). All of these are now conveniently collected in the two volume edition of Works of the Two Chengs (Er Cheng Ji) by Zhonghua Shuju, Beijing (1981).

2. Principle

What is called neo-Confucianism in Western scholarship is most frequently called lixue, or the learning of li (commonly translated as “principle”), in Chinese scholarship. Lixue refers to neo-Confucianism in the Song and Ming (and sometimes Qing) dynasties. However, although “neo-Confucianism” was originally used to translate lixue, it is now sometimes understood more broadly than lixue to include Confucianism in the Tang Dynasty which preceded it. Cheng Hao and his younger brother Cheng Yi can be properly regarded as the founders of neo-Confucianism as the learning of principle. Although Shao Yong, Zhou Dunyi, and Zhang Zai are often also treated as neo-Confucians in this sense, it is in Cheng Hao and Cheng Yi that li first becomes the central concept in a philosophical system. Cheng Hao makes a famous claim that “although I have learned much from others, the two words tian li are what I grasped myself” (Waishu 12; 425). Tian is commonly translated as “heaven,” although it can also mean “sky” or “nature.” By combining these two words, however, Cheng Hao does not mean to emphasize that it is a principle of heaven or a heavenly principle but simply that heaven, the term traditionally used to refer to the ultimate reality, is nothing but principle (see Yishu 11; 132), and so tian li simply means “heaven-principle.” As a matter of fact, not only tian, but many other terms such as “change” (yi), dao, shen (literally “god,” but Cheng Hao focuses on its meaning of “being wonderful and unfathomable” ), “human nature” (xing), and “lord” (di) are all seen as identical to principle. For example, Cheng Hao claims that “what the heaven embodies does not have sound or smell. In terms of the reality, it is change; in terms of principle, it is dao; in terms of its function, it is god; in terms of its destiny in a human being, it is human nature” (Yishu 1; 4). “Tian is nothing but principle. We call it god to emphasize the wonderful mystery of principle in ten thousand things, just as we call it lord (di) to characterize its being the ruler of events ” (Yishu 11; 132). He even identifies it with heart-mind (xin) (Yishu 5; 76) and propriety (li). Because Cheng Hao thinks that all these terms have the same referent as principle, his philosophy is often regarded an ontological monism.

From this it becomes clear in what sense Cheng Hao claims that he grasps the meaning of tian li on his own. After all he must be aware that not only the two words separately, tian and li, but even the two words combined into one phrase, tian li, had appeared in Confucian texts before him. So what he means is that principle is understood here as the ultimate reality of the universe that has been referred to as heaven, god, lord, dao, nature, heart-mind, and change among others. In other words, with Cheng Hao “principle” acquires an ontological meaning for the first time in the Confucian tradition. Thus Cheng Hao claims that “there is only one principle under heaven, and so it is efficacious throughout the world. It has not changed since the time of three kings and remains the same between heaven and earth” (Yishu 2a; 39). In contrast, everything in the world exists because of principle. Thus Cheng Hao claims that “ten thousand things all have principle, and it is easy to follow it but difficult to go against it” (Yishu 11; 123). In other words, things prosper when principle is followed and disintegrate when it is violated. One of the most unique ideas of Cheng Hao is that ten thousand things form one body, and he tells us that “the reason that ten thousand things can be in one body is that they all have principle” (Yishu 2a; 33).

While principle is the ontological foundation of ten thousand things, Cheng Hao emphasizes that, unlike Plato’s form, it is not temporally prior to or spatially outside of ten thousand things. This can be seen from his discussion of two related pairs of ideas. The first pair is dao and concrete things (qi). After quoting from the Book of Change that “what is metaphysical (xing er shang) is called dao, while what is physical (xing er xia) is called concrete thing” (Yishu 11; 119), Cheng Hao immediately adds that “outside dao there are no things and outside things there is no dao” (Yishu 4; 73). In other words, what is metaphysical is not independent of the physical; the former is right within the latter. The second pair is principle (dao, human nature, god) and vital force (qi). In Cheng Hao’s view, “everything that is tangible is vital force, and only dao is intangible” (Yishu 6; 83). However, he emphasizes that “human nature is inseparable from vital force, and vital force is inseparable from human nature” (Yishu 1; 10), and that “there is no god (shen) outside vital force, and there is no vital force outside god” (Yishu 1; 10).

What does Cheng Hao precisely mean by principle, which is intangible and does not have sound or smell? Although translated here as “principle” according to convention, li for Cheng Hao is not a reified entity as the common essence shared by all things or universal law governing these things or inherent principle followed by these things or patterns exhibited by these things. Li as used by Cheng is a verb referring to activity, not a noun referring to thing. For example, he says that “the cold in the winter and the hot in the summer are [vital forces] yin and yang; yet the movement and change [of vital forces] is god” (Yihsu 11; 121). Since god for Cheng means the same as li, li is here understood as the movement and change of vital forces and things constituted by vital forces. Since things and li are inseparable, as li is understood as movement and change, all things are things that move and change, while movement and change are always movement and change of things. Things are tangible, have smell, and make sound, but their movement and change is intangible and does not have sound or smell. We can never perceive things’ activities, although we can perceive things that act. For example we can perceive a moving car, but we cannot perceive the car’s moving. In Cheng Hao’s view, principle as activity is present not only in natural things but also in human affairs. Thus, illustrating what he means by “nowhere between heaven and earth there is no dao” (Yishu 4; 73), Cheng points out that “in the relation of father and son, to be father and son lies in affection; in the relation of king and minister, to be king and minister lies in seriousness (reverence). From these to being husband and wife, being elder and younger brothers, being friends, there is no activity that is no dao. That is why we cannot be separated from dao even for a second” (Yishu 4; 73-74). Cheng makes it clear that the principle that governs these human relations is such activity as affection and reverence.

However, in what sense can li as activity be regarded as the ontological foundation of things, as activity is not self-existent and has to belong to something? For Cheng Hao, li is a special kind of activity. To explain this, Cheng Hao appeals to the idea of the unceasing life-giving activity (sheng sheng) from the Book of Change. Commenting on the statement that “The unceasing life-giving activity is called change” in the Book of Change, Cheng Hao argues that “it is right in this life-giving activity that li is complete” (Yishu 2a; 33). So li is the kind of activity that gives life. It is indeed in this sense of life-giving activity that Cheng Hao regards dao and tian as identical to li, as he claims that “because of this [the unceasing life-giving activity] tian can be dao. Tian is dao only because it is the life-giving activity” (Yishu 2a; 29). Thus, although life-giving activity is always the life-giving activity of ten thousand things, ten thousand things cannot come into being without the life-giving activity. It is in this sense that the life-giving activity of ten thousand things becomes ontologically prior to ten thousand things that have the life-giving activity. This is quite similar to Martin Heidegger’s ontology of Being: while Being is always the Being of beings, beings are being because of their Being.

3. Goodness of Human Nature

Since for Cheng Hao, human nature (xing) is nothing but principle destined in human beings, and since principle is nothing but life-giving activity (sheng), this life-giving activity is also human nature. It is in this sense that he speaks approvingly of Gaozi’s sheng zhi wei xing, a view criticized in the Mencius. By sheng zhi wei xing, Gaozi means that “what one is born with is nature.” Mencius criticizes this view and argues that human nature is what distinguishes human beings from non-human beings, which according to him is the beginning of four cardinal Confucian virtues: humanity (ren), rightness (yi), propriety (li), and wisdom (zhi). When Cheng Hao claims that what Gaozi says is indeed correct, however, he does not mean to disagree with Mencius. On the contrary, he endorses Mencius’ view in the same passage where he approves Gaozi’s view. This is because Cheng Hao has a very different understanding of sheng in sheng zhi wei xing than Gaozi does. For Gaozi, sheng means what one is born with, while for Cheng Hao it is the life-giving activity, which is the ultimate reality of the universe. So for Gaozi the phrase says that what humans are born with is human nature, but for Cheng Hao it means that the life-giving activity is human nature. This is most clear because Cheng Hao quotes this saying of Gaozi together with the statement from the Book of Change that “the greatest virtue of heaven and earth is the life-giving activity” and then explains this statement in his own words: “the most spectacular aspect of things is their atmosphere of life-giving activity” (Yishu 11; 120).

To understand human nature as the life-giving activity, it is important to see the actual content of human nature for Cheng Hao: “These five, humanity, rightness, propriety, wisdom, and faithfulness, are human nature. Humanity is like the complete body and the other four are like the four limbs” (Yishu 2a; 14). So his view of human nature is basically the same as Mencius, except he adds the fifth component, faithfulness. Since these five components of human nature are also five cardinal Confucian virtues, Cheng Hao talks about “virtuous human nature” (dexing) and “virtue of human nature” (xing zhi de): “ ‘virtuous nature’ indicates the worthiness of nature and so means the same thing as goodness of human nature. ‘Virtues of human nature’ refers to what human nature possesses” (Yishu 11; 125). To illustrate the goodness of human nature, Cheng Hao highlights the importance of humanity (ren), regarding it as the complete human nature that includes the other four components, because “rightness, propriety, wisdom, and faithfulness are all humanity” (2a; 16-17). For Cheng, humanity is precisely the life-giving activity. In the same passage in which he affirms Gaozi’s saying, after stating that “the atmosphere of life-giving activity is most spectacular,” Cheng Hao further makes it clear that it is humanity that continues the life-giving activity: “ ‘what is great and originating becomes (in humans) the first and chief (quality of goodness).’ This quality is known as humanity” (Yishu 11; 120). Thus, for Cheng Hao, humanity is not merely a human virtue. It is actually no different from the life-giving activity. Just like heaven, dao, god, and lord, it is indistinguishable from principle (li) as the ultimate reality.

Understood as life-giving activity, it becomes clear why human nature, which can be illustrated by humanity (as it includes other components of human nature) is good. In Cheng Hao’s view, this sense of life-giving activity that humanity (ren) has is best explained by doctors when they refer to a person who is numb as lacking ren: “doctors regard a person as not-ren when the person cannot feel pain and itch; we regard a person as lacking humanity when the person does not know, is not conscious of, and cannot recognize rightness and principle. This is the best analogy” (Yishu 2a; 33). A person whose hands and feet are numb cannot even feel the pain of oneself, to say nothing of that of others. In contrast, “a person of humanity will be in one body with ten thousand things” (2a; 15). This means that a person of humanity, a person who is not numb (lacking ren) is sensitive to the pain of other beings, not only human beings but also non-human beings, in the same way that one is sensitive to one’s own pain.

A difficulty in understanding Cheng Hao’s view of human nature is that he sometimes seems to think that not only good but also evil can be attributed to human nature and principle. About the former, he states that, “while goodness indeed belongs to human nature, it cannot be said that evil does not belong to human nature” (Yishu 1; 10). About the latter, he says that “it is tian li that there are both good and evil in the world” (Yishu 2a; 14) and “that some things are good and some things are evil” (2b; 17). In both cases, however, Cheng Hao does not mean that evil belongs to human nature or principle in the same way as good belongs to human nature, and so what he says in these passages is not inconsistent with his view of human nature as good. As for evil belonging to human nature, Cheng Hao uses the analogy of water. Just as we cannot say muddy water is not water, so we cannot say the distorted human nature is not human nature. Here Cheng Hao makes it clear that water is originally clear, and human nature is originally good. That is why in the same passage in which he says that evil cannot be said not to belong to human nature, he emphasizes that Mencius is right in insisting that human nature is good. So goodness inherently belongs to human nature, while evil is only externally attached to and therefore can be detached from human nature, just as clearness inherently belongs to water, while mud is only externally mixed in and therefore can be eliminated from water (Yishu 1; 10-11). In the two passages in which Cheng Hao states that it is li or tian li that there are both good and evil people, Cheng does not mean that heaven or principle as life-giving activity is both good and evil. In such contexts, Cheng Hao means something different by li and tian li. It does not mean heaven or principle but means something similar to what Descartes sometimes called “natural light.” What he says in these passages is then that it is natural or naturally understandable (tian li) that there are good people and there are bad people. The question then is why it is natural or naturally understandable to have both good people and evil people when human nature is purely good.

4. Origin of Evil

Cheng Hao holds the view that human nature is good and yet thinks it natural that there are both good people and evil people. To explain this, like many other neo-Confucians, Cheng Hao appeals to the distinction between principle and vital force (qi). While the ideas of both principle (li) (to which human nature is identical) and vital force (qi), appeared in earlier Confucian texts, it is in neo-Confucianism that these two become an important pair. In Cheng Hao’s view, “it is not complete to talk about human nature without talking about qi, while it is not illuminating to talk about qi without talking about human nature” (Yishu 6; 81). It is common among neo-Confucians to regard human nature as good and to attribute the origin of evil to the vital force. In this respect Cheng Hao is not an exception. Cheng Hao claims that it is natural that there are good people and evil people precisely because of vital force. Thus, in the same passage in which he uses the analogy of water, after claiming that human nature and vital force cannot be separated from each other, he states that “human life is endowed with vital force, and therefore it is naturally understandable (li) that there are good and evil (people)…. Some people have been good since childhood, and some people have been evil since childhood. This is all because of the vital force they are endowed with” (Yishu 1; 10). Then he uses the analogy of water. Water is the same everywhere, but some water becomes muddy after flowing a short distance, some becomes muddy after flowing a long distance, and some remains clear even when flowing into the sea. The original state of water is clear; whether it remains clear or becomes muddy depends upon the condition of the route it flows. The original state of human nature is good; whether a person remains good or becomes evil depends upon the quality of the vital force the person is endowed with.

There is an apparent problem, however, with this solution to the problem of the origin of evil. Cheng Hao argues that what constitutes human nature is not only present in human beings but also in all ten thousand things. Thus, after explaining the five constant components of human nature – humanity, rightness, propriety, wisdom, and faithfulness – Cheng Hao points out that “all ten thousand things have the same nature, and these five are constant natures” (Yishu 9; 105). Cheng Hao repeatedly claims that ten thousand things form one body. In his view, this is “because all ten thousand things have the same principle”; human beings are born with a complete nature, but “we cannot say other things do not have it” (Yishu 2a; 33). Thus Cheng Hao argues that horses and cows also love their children, because the four beginnings that Mencius talks about are also present in them (Yishu 2b; 54). In other words, in terms of nature, there is no difference between human beings and other beings. The difference between human beings and other beings lies in their ability to extend (tui) the principle destined in ten thousand things (to extend the natural love beyond one’s intimate circle), and the difference in this ability further lies in the kind of vital force they are respectively endowed with. Thus Cheng Hao argues that “Humans can extend the principle, while things cannot because their vital force is muddy” (Yishu 2a; 33). Here, he emphasizes that the vital force that animals are endowed with is not clear. In contrast, “the vital force that human beings are endowed with is most clear, and therefore human beings can become partner [with heaven and earth]” (Yishu 2b; 54). In addition to this distinction between clear and muddy vital forces, Cheng Hao also claims that the vital force that humans are endowed with is balanced (zheng), while the vital force that animals are endowed with is one-sided (pian). After reaffirming that human heart-mind is the same as the heart-mind of animals and plants, he says that “the difference between human beings and other beings is whether the vital force they are respectively endowed with is balanced or one-sided [between yin and yang]. Neither yin alone nor yang alone can give birth to anything. When one-sided, yin and yang give birth to birds, beast, and barbarians; when balanced, yin and yang give birth to humans” (Yishu 1; 4; see also Yishu 11; 122).

Cheng Hao thus makes precisely the same distinction between good people and evil people as he makes between human beings and animals. The apparent problem here would seem to be that evil people would then be indistinguishable from animals since they are both endowed with turbid, one-sided, and mixed vital force, as Cheng Hao does often regard evil people as beasts. However, the problem is rather: since Cheng Hao believes that animals cannot be transformed into human beings because their endowed vital force is turbid, one-sided, and mixed, how can he believe, as he does, that evil humans who are also endowed with such turbid, one-sided, and mixed vital force can be transformed into moral beings and even sages? In other words, what is the difference between evil humans and beasts that makes the difference?

Cheng Hao seems to be aware of this problem, and he attempts to solve it by making the distinction between host vital force (zhu qi) and alien or guest vital force (ke qi). For example, he states that “rightness (yi) and the principle (li) on the one side and the alien vital force on the other often fight against each other. The distinction between superior persons and inferior persons is made according to the degree of the one conquered by another. The more the principle and rightness gain the upper hand…the more the alien vital force is extinguished” (Yishu 1; 4-5). For human beings, the host vital force is the one that is constitutive of human beings, which makes human being a bodily existence, while the guest vital force is constitutive of the environment, in which a human being, as a bodily existence, is born and lives. This distinction between host and alien vital force is equivalent to the one between internal (nei qi) and external vital force (wai qi) that his brother Cheng Yi makes, and therefore the analogy the Cheng Yi uses to explain the latter distinction can assist us in understanding the former distinction. For Cheng Yi, the internal vital force is not mixed with but absorbs nourishment from the external vital force. Then he uses the analogy of fish in water to explain it: “The life of fish is not caused by water. However, only by absorbing nourishment from water can fish live. Human beings live between heaven and earth in the same way as fish live in water. The nourishment humans receive from drinking and food is from the external vital force” (Yishu 15; 165-166).

In this analogy, a fish has both its internal or host vital force, the vital force that it is internally endowed with, which accounts for its corporeal form, and its external or guest vital force, the vital force it is externally endowed with, which provides the environment in which fish can live. This analogy performs the same function as Cheng Hao’s own analogy of water (mentioned above). Water itself is a bodily being with a nature and internal vital force, both of which guarantee its clearness. However, water has to exist in external vital force (river, for example). If this external vital force is also favorable, the water will remain clear, but if it is not favorable, the water will become muddy. In this analogy, water is equivalent to human beings, and “the clearness of water is equivalent to the goodness of human nature” (Yishu 1; 11). Through such an analogy, Cheng Hao attempts to show that, in addition to human nature, humans are endowed both internally with the host vital force, which is constitutive of human body, and externally with the alien vital force, which makes up the natural and social environment in which humans live. Therefore, not only is human nature all good, but the host vital force constitutive of human beings is also pure, clear, and balanced. Neither of the two can account for human evil. However, since human beings are corporeal beings, they must be born to and live in the midst of external vital force, which can be pure or impure. It is the quality of this external or guest vital force, purity or impurity, and the way people deal with it, that distinguishes between good and evil people. If the external vital force is also pure, it will provide the necessary nourishment to the internal vital force and therefore the original good human nature will not be damaged, and people will be good. If the external vital force is turbid and human beings living in it have not developed immunity to it, their internal vital force will be malnourished or even polluted and the original good human nature will be damaged, and people will be evil.

Thus, in Cheng Hao’s view, although both evil people and animals are endowed with muddy, mixed, and one-sided vital force, evil people are endowed with it externally as the necessary environment in which they have to live, while animals are endowed with it internally as constitutive of their bodily existence. In other words, such muddy, mixed, and one-sided vital force is the external guest vital force for human beings but is the internal host vital force for animals. Since the host vital force constitutive of animals – the vital force that makes animals animals – is muddy, mixed, and one-sided, animals can never be transformed into moral beings. On the other hand, since the host vital force constitutive of evil people, just as that constitutive of good people, is originally pure, clear, and balanced, but is only later polluted by muddy, mixed, and one-sided alien vital force, they can be made to become good by clearing up the pollution. Here, just as muddy water, when purified, does not enter into a state it has never been in before but simply returns to its original state of clearness, so an evil person, when made good, does not become an entirely new being, but simply returns to its original state of goodness (Yishu 1; 10-11). A return to this original state requires moral cultivation.

5. Moral Cultivation

Cheng Hao’s distinction between the host vital force and guest vital force makes a great contribution to the solution of the problem of the origin of evil. At least this is a step further than simply appealing to the distinction between principle and vital force. Still it is hard to say that it is completely successful, as it seems to attribute the origin of evil entirely to the external environment, which is also suggested by Mencius in his analogies of the growing of wheat (Mencius 6a7) and the Niu Mountain (Mencius 6a8). Some scholars believe such a view is implausible, and even both Cheng Hao and Mencius think that an evil person is also responsible for becoming bad. However, neither of them provides a satisfactory explanation about the internal origin of evil. Perhaps their very idea of the original goodness of human nature prevents such an explanation, just as Xunzi’s idea of the original badness of human nature perhaps prevents him from a satisfactory explanation of the origin of goodness: Xunzi does appeal to the transformative influence of sages and their teaching as a solution to the problem, but then he faces the problem of the origin of sages as their nature, as he claims, is also evil.

Whether Cheng Hao’s solution to the problem of the origin of evil is satisfactory or not, it is undeniable that one can become evil even though his or her nature is good. So Cheng Hao emphasizes the importance of moral cultivation. Since evil occurs when the turbid external vital force pollutes one’s originally clean internal vital force, just as the dust and dirt in the river makes the originally clear water muddy, what is needed is to purify the contaminated internal vital force, just as the turbid water must settle to become clear. This process is called cultivation of the vital force (yang qi) in Mencius. When the internal vital force is cultivated to the utmost, it becomes as clear, bright, pure, and complete as it is in its original state. This is also what Mencius calls “flood-like” vital force (haoran zhi qi), and so Cheng Hao puts a great emphasis on the passage of the Mencius in which Mencius talks about the cultivation of this flood-like vital force (Yishu 11; 117). Cheng Hao claims that “the flood-like vital force is nothing but my own [internally endowed] vital force. When it is cultivated instead of being harmed, it can fill between heaven and earth. Once it is blocked by private desires, however, it will immediately become withered” (Yishu 2a; 20). In other words, Mencius’ flood-like vital force is what everyone is originally internally endowed with, and everyone should cultivate it in case it gets contaminated by the turbid external vital force.

How does one cultivate the flood-like vital force? Cheng Hao claims that it does not come from outside. Rather it results from “consistent moral actions (jiyi)” (Yishu 2a; 29 and Yishu 11; 124). So jiyi becomes the way to cultivate the flood-like vital force. Thus, commenting on the passage in which Mencius talks about the flood-like vital force, Cheng Hao points out that, “cultivated straightly from dao and along the line of principle, it fills up between heaven and earth. [Mencius says that] ‘it is to be accompanied with rightness and dao,’ which means that it takes rightness as its master and never diverts from dao. [Mencius says that] ‘This is generated by consistent moral actions,’ which means that everything one does is in accordance with rightness” (Yishu 1; 11).

To say that cultivation of vital force consists in consistent moral actions, however, for Cheng Hao, does not mean that one has to exert artificial effort to do what is right, even though one does not have the inclination to do it. For this reason, he repeatedly cites Mencius’ claim that “while you must never let it out of your mind, you must not forcibly help it grow either” (Mencius 2a2). In other words, one has to set one’s mind on moral actions and yet cannot force such actions upon oneself. What is important for Cheng Hao is that, when one engages oneself in moral practices, one is not to regulate one’s action with the principle of rightness, as otherwise one will not be able to feel joy in it. In Cheng Hao’s view, this is a distinction best exemplified by the sage king Shun, who “practices from rightness and humanity” instead of “practicing rightness and humanity” (Yishu 3; 61). In other words, one cannot regard morality as external rules that constrain one’s action but as internal source that inclines one to act naturally, without effort, and at ease.

A person becomes evil because of the turbid external force. However, the turbid force can also make one evil because a person’s will is not firm. Thus another way of moral cultivation is to firm up one’s will (chi zhi). While cultivation of the vital force can help firming up one’s original good will, firming up one’s original good will can also help cultivate the vital force. Thus, referring to Mencius’ view about the relationship between these two, Cheng Hao states that, “for a person whose vital force is yet to be cultivated, the activity of the vital force may move one’s will, and the decision of one’s will may cause the movement of the vital force. However, to a person whose virtue is fulfilled, since the will is already firmed up, the vital force will not be able to change one’s will” (Yishu 1; 11). So in Cheng Hao’s view, to avoid being polluted by turbid vital force, it is important to firm up one’s will: “as soon as one’s will is firmed up, the vital force cannot cause any trouble” (Yishu 2b; 53). On the one hand, if one’s will is not firm, it may be disturbed by violent vital force; on the other hand, if one’s will is firm, the vital force cannot disturb it.

In order to firm up one’s will, Cheng Hao claims that it is most important to live in reverence (ju jing). The primary function of being in reverence is to overcome one’s selfish desires: “As soon as one has selfish desires, [one’s heart-mind] will wither, and the flood-like vital force will be lacking” (Yishu 2a; 29). To be reverent inside is to overcome selfish desires. As soon as these selfish desires are overcome, one will be like a sage, who “is happy with things because they are things one ought to be happy with, and is angry at things because they are things one ought to be angry at. The sage’s being happy or angry is thus according to things and not according to his own likes or dislikes” (Wenji 2; 461). This is because, in Cheng Hao’s view, the inborn virtues of sages and worthies are also complete in everyone’s original nature. Thus when not harmed, one need only practice straightly from the inside. If there is some damage, one must be reverent so that it can be purified and return to its original state (Yishu 1; 1).

These two ways of moral cultivation – cultivation of the vital force (yang qi), which relies upon consistent moral actions (jiyi), and firming up one’s will (chi zhi), which relies upon one’s being reverent (ju jin) – are what the Book of Chang calls “being reverent (jing) so that one’s inner [heart-mind] will be upright and being right (yi) so that one’s external [actions] will be in accord [with principle].” The former is internal and the latter is external. In Cheng Hao’s view, they are also the only ways to become a sage. One of the common features of these two methods is that they both aim at one’s virtues so that a virtuous person takes delight in being virtuous without making forced efforts (Yishu 2a; 20). Thus, just as he emphasizes “being reverent so that the inner will be straightened” (jing yi zhi nei) instead of “using reverence to straighten the inner” (yi jing zhi nei), he emphasizes “being morally right so that one’s external action will be squared” (yi yi fang wai) instead of “using rightness to square one’s external action” (yi yi fang wai) (Yishu 11; 120). (Although these two Chinese phrases appear identical in romanization, they contain different characters, as can be seen from their different translations.) Moreover, while the two ways can be respectively called internal way and external way, Cheng Hao emphasizes that it is important “to combine the inner way and the external way” (Yishu 1; 9). In other words, these two ways are not separate, as if one could practice one without practicing the other.

6. Influence

Han Yu (768-824), an important Tang dynasty Confucian, established a lineage of the Confucian tradition (daotong) from Yao, Shun, Yu, Tang, King Wen, King Wu, Duke of Zhou, Confucius, and Mencius. He claimed that, after Mencius, this lineage was interrupted. Cheng Yi accepted this Confucian daotong and claimed that his brother Cheng Hao was the first one to continue this lineage after Mencius (Wenji 11; 640). While there may be some exaggeration in such a claim, particularly as it is in the tomb inscription he wrote for his own brother, there is also truth in it. According to one widely accepted chronology, there are three epochs of Confucianism: pre-Qin Classical Confucianism, neo-Confucianism in the Song and Ming dynasties, and contemporary Confucianism. In the second stage, as far as neo-Confucianism can be characterized as the learning of principle, Cheng Hao and Cheng Yi can indeed be regarded as its true founders, and their learning, through their numerous students, to a large extent determined the later development of neo-Confucianism. While the two brothers share fundamentally similar views and most of these students learned from both, different students noticed and exaggerated their different emphases and thus developed different schools. Among all their students, Xie Liangzuo (1050-1103) and Yang Shi (1053-1135) are the most distinguished. Yang Shi transmitted Cheng Yi’s teaching through his student Luo Congyan (1072-1135) and the latter’s student Li Tong (1093-1163), to Zhu Xi. The synthesizer of the lixue school of neo-Confucianism, Xie Liangzuo transmitted Cheng Hao’s learning through a few generations of students such as Wang Ping (1082-1153) and Zhang Jiucheng (1092-1159) to Lu Jiuyuan (1139-1193) and eventually to Wang Yangming, the culminating figure of the xinxue school of neo-Confucianism. Sometimes a third school of neo-Confucianism, xingxue (learning of human nature), is identified, whose most important representative is Hu Hong (?-1161). Hu Hong continued the learning of his father, Hu Anguo (1074-1138), who in turn was also influenced by Xie Liangzuo. In this sense, Cheng Hao leaves his mark on all three main schools of neo-Confucianism (all recognized, in Chinese scholarship, as lixue, learning of principle, understood in the broad sense).

7. References and Further Reading

  • Bol, Peter. Neo-Confucianism in History. Cambridge, MA: Harvard University Asia Center, 2008.
    • There are scattered discussions of Cheng Hao throughout the book.
  • Chan, Wing-tsit. A Source Book in Chinese Philosophy. Princeton: Princeton University Press, 1963.
    • Chapter 31 is the most extensive English translation of selected sayings and writings by Cheng Hao.
  • Chang, Carsun. The Development of Neo-Confucianism, vol. 1. New Haven, Conn.: College and University Press, 1957.
    • Chapter 9 is devoted to Cheng Hao.
  • Cheng, Hao & Cheng, Yi. Collected Works of the Two Chengs (Er Cheng Ji). Beijing: Zhonghua Shuju, 1988.
    • A collection of the works and sayings of Cheng Hao and Cheng Yi.
  • Fung, Yu-lan (Feng, Yulan). A History of Chinese Philosophy. Vol. II. Princeton: Princeton University Press, 1953.
    • Chapter XII, Section 2, is a combined study of Cheng Hao and Cheng Yi.
  • Graham, A.C. Two Chinese Philosophers. La Salle, Illinois: Open Court, 1992.
    • The only book length study of Cheng Hao and Cheng Yi in English.
  • Hon, Tze-ki. “Cheng Hao.” In A. S. Cua, ed., Encyclopedia of Chinese Philosophy. New York: Routledge, 2003.
    • A full length article on Cheng Hao’s philosophy.
  • Hsu, Fu-kuan. “Chu Hsi and Cheng Brothers.” In Wing-tsit Chan, ed., Chu Hsi and Neo-Confucianism. Honolulu: University of Hawaii, 1986.
    • A study of the similarity and difference between Zhu Xi and the Cheng brothers.
  • Huang, Siu-chi. Essentials of Neo-Confucianism: Eight Major Philosophers of the Song and Ming Periods. Westport, Conn.: Greenwood Press, 1999.
    • One chapter is devoted to a philosophical study of Cheng Hao.
  • Huang, Yong. “Confucian Love and Global Ethics: How the Cheng Brothers Would Help Respond to Christian Criticisms.” Asian Philosophy 15/1 (2005): 35-60.
    • A discussion of the contemporary significance of the Cheng brothers’ interpretation of love with distinction.
  • Huang, Yong. “The Cheng Brothers’ Onto-Theological Articulation of Confucian Values.” Asian Philosophy 17/3 (2007): 187-211.
    • An interpretation of the Cheng brothers’ li as life-giving activity.
  • Huang, Yong. “Neo-Confucian Political Philosophy: The Cheng Brothers on Li (Propriety) as Political, Psychological, and Metaphysical.” Journal of Chinese Philosophy 34/2 (2007): 217-239.
    • An exposition of the Cheng brothers’ li as rules of action, as one’s inner feeling, and as human nature.
  • Huang, Yong. “Why Be Moral? The Cheng Brothers’ Neo-Confucian Answer.” Journal of Religious Ethics 36/2 (2008): 321-353.
    • A discussion of the Cheng brothers’ conception of human nature as a response to the question of why be moral.
  • Wong, Wai-ying. “The Status of li in the Cheng Brothers’ Philosophy.” Dao: A Journal of Comparative Philosophy 3/1 (2003): 109-119.
    • An important study of the Cheng brothers’ conception of propriety.
  • Wong, Wai-ying. “Morally Bad in the Philosophy of the Cheng Brothers.” Journal of Chinese Philosophy 36/1 (2009): 157-176.
    • A good discussion of the Cheng brothers’ view of evil.

Author Information

Yong Huang
Email: yhuang@kutztown.edu
Kutztown University of Pennsylvania
U. S. A.

Epistemic Circularity

An epistemically circular argument defends the reliability of a source of belief by relying on premises that are themselves based on the source. It is a widely shared intuition that there is something wrong with epistemically circular arguments.

William Alston, who first used the term in this sense, argues plausibly that there is no way to know or to be justified in believing that our basic sources of belief–such as perception, introspection, intuitive reason, memory and reasoning–are reliable except by using such epistemically circular arguments. And many contemporary accounts of knowledge and justification allow our gaining knowledge and justified beliefs by relying on such arguments. Indeed, any account that accepts that a belief source can deliver knowledge (or justified beliefs) prior to one’s knowing (or believing justifiably) that the source is reliable allows this. It allows our knowing the premises of an epistemically circular argument without already knowing the conclusion, and using the argument for attaining knowledge of the conclusion. Still, we have the intuition that any such account makes knowledge too easy.

In order to avoid too easy knowledge via epistemic circularity, we need to assume that a source can yield knowledge only if we first know that it is reliable. However, this assumption leads to the ancient problem of the criterion and the danger of landing in radical skepticism. Skepticism could be avoided if our knowledge about reliability were basic or noninferential. It could also be avoided if we had some sort of “non-evidential” entitlement to taking our sources to be reliable. Both options are problematic.

One might think that we have to allow easy knowledge and some epistemic circularity because it is the only way to avoid skepticism. If we do so, however, we still need to explain what is then wrong with other epistemically circular arguments. One possible explanation is that they fail to be dialectically effective. You cannot rationally convince someone who doubts the conclusion of the epistemically circular argument, because such a person also doubts the premises. Another possible explanation is that such arguments fail to defeat a reliability defeater: if you have a reason to believe that one of your sources of belief is unreliable, you have a defeater for all beliefs based on the source. You cannot defeat this defeater and regain justification for these beliefs by means of epistemically circular arguments. Yet, there are still disturbing cases in which you do not doubt the reliability of a source; you are just ignorant of it. The present account allows your gaining knowledge about the reliability of the source too easily.

Thus there seems to be no completely satisfactory solution to the problem of epistemic circularity. This suggests that the ancient problem of the criterion is a genuine skeptical paradox.

Table of Contents

  1. Alston on Epistemic Circularity
  2. Epistemic Failure
  3. Easy Knowledge and the KR Principle
  4. Coherence and Reflective Knowledge
  5. The Problem of the Criterion
  6. Basic Reliability Knowledge
  7. Wittgenstein, Entitlement and Practical Rationality
  8. Sensitivity
  9. Dialectical Ineffectiveness and the Inability to Defeat Defeaters
  10. Epistemology and Dialectic
  11. References and Further Reading

1. Alston on Epistemic Circularity

When Descartes tried to show that clear and distinct perceptions are true by relying on premises that are themselves based on clear and distinct perceptions, he was quickly made aware that there was something viciously circular in his attempt. It seems that we cannot use reason to show that reason is reliable. Thomas Reid [1710-1796] (1983, 276) pointed out that such an attempt would be as ridiculous as trying to determine a man’s honesty by asking the man himself whether he was honest or not. Such a procedure is completely useless. Whether he were honest or not, he would of course say that he was. All attempts to show that any of our sources of belief is reliable by trusting its own verdict of its reliability would be similarly useless.

The most detailed characterization of this sort of circularity in recent literature is given by William Alston (1989; 1991; 1993), who calls it “epistemic circularity.” He argues that there is no way to show that any of our basic sources of belief–such as perception, intuitive reason, introspection, memory or reasoning–is reliable without falling into epistemic circularity: there is no way to show that such a source is reliable without relying at some point or another on premises that are themselves derived from that source. Thus we cannot have any noncircular reasons for supposing that the sources on which we base our beliefs are reliable. What kind of circularity is this?

Alston (1989; 1993, 12-15) takes sense perception as an example. If we wish to show that sense perception is reliable, the simplest and most fundamental way is to use a track-record argument. We collect a suitable sample of beliefs that are based on sense perception and take the proportion of truths in the sample as an estimation of the reliability of that source of belief. We rely on the following inductive argument:

At t1, S1 formed the perceptual belief that p1, and p1 is true.

At t2, S2 formed the perceptual belief that p2, and p2 is true.

.
.
.

At tn, Sn formed the perceptual belief that pn, and pn is true.

Therefore, sense perception is a reliable source of belief.

How are we to determine whether the particular perceptual beliefs mentioned in the premises are true? The only way seems to be to form further perceptual beliefs. Thus the premises of the track-record argument for the reliability of sense perception are themselves based on sense perception. The kind of circularity involved in this argument is not logical circularity because the conclusion that sense perception is reliable is not used as one of the premises. Nevertheless, we cannot consider ourselves justified in accepting the premises unless we assume that sense perception is reliable. Since this kind of circularity involves commitment to the conclusion as a presupposition of our supposing ourselves to be justified in accepting the premises, Alston calls it epistemic circularity.

Epistemic circularity is thus not a feature of the argument as such. It relates to our attempt to use the argument to justify the conclusion or to arrive at a justified belief by reasoning from the premises to the conclusion. In order to succeed, such attempts require that we be justified in accepting the premises. According to Alston, we cannot suppose ourselves to be justified in holding the premises unless we somehow assume the conclusion. He explains our commitment to the conclusion dialectically: “If one were to challenge our premises and continue the challenge long enough, we would eventually be driven to appeal to the reliability of sense perception in defending our right to those premises.¨ (1993, 15)

Surprisingly, Alston (1989; 1993, 16) argues that epistemic circularity does not prevent our using an epistemically circular argument to show that sense perception is reliable or to justify the claim that it is. Neither does it prevent our being justified in believing or even knowing that sense perception is reliable. This is so if there are no higher-level requirements for justification and knowledge, such as the requirement that we be justified in believing that sense perception is reliable. If we can have justified perceptual beliefs without already being justified in believing that sense perception is reliable, we can be justified in accepting the premises of the track-record argument and using it for attaining justification for the conclusion.

Alston does not suggest that there are higher-level requirements for knowledge and justification. His account of justification is a form of generic reliabilism that do not make such requirements. According to such reliabilism,

S’s belief that p is justified if and only if it has a sufficiently reliable causal source.

If reliabilism is true, we can very well be justified in believing the premises of the track-record argument without being justified in believing the conclusion. It merely requires that the conclusion be, in fact, true. If sense perception is reliable along with other relevant sources–such as introspection and inductive reasoning–we can be justified in accepting the premises and thus arrive at a justified belief in the conclusion by reasoning inductively from the premises. Moreover, nothing prevents our coming to know the conclusion by means of such reasoning.

What, then, is wrong with epistemically circular arguments? This is what Alston states:

Epistemic circularity does not in and of itself disqualify the argument. But even granting this point, the argument will not do its job unless we are justified in accepting its premises; and that is the case only if sense perception is in fact reliable. This is to offer a stone instead of bread. We can say the same of any belief-forming practice whatever, no matter how disreputable. We can just as well say of crystal ball gazing that if it is reliable, we can use a track-record argument to show that it is reliable. But when we ask whether one or another source of belief is reliable, we are interested in discriminating those that can be reasonably trusted from those that cannot. Hence merely showing that if a given source is reliable it can be shown by its record to be reliable, does nothing to indicate that the source belongs to the sheep rather that with the goats. (1993, 17)

This is puzzling. Earlier Alston grants that, assuming reliabilism, we can use an epistemically circular track-record argument to show that sense perception is reliable. Now he is suggesting that such an argument shows at most the conditional conclusion that if a given source is reliable it can be shown by its record to be reliable. This seems merely to contradict the point he already granted.

We can make sense of this if we distinguish between two kinds of showing. When Alston talks about showing he usually has in mind something we could call “epistemic showing.” Showing in this sense requires a good argument with justified premises. If we have such an epistemically circular argument for the reliability of sense perception, we can show the categorical conclusion that sense perception is reliable. Assuming that reliabilism is true and that sense perception, introspection and induction are reliable processes, the premises of the track-record argument are surely justified, and the justification of the premises is transmitted to the conclusion. If this is all that is required for showing, then epistemic circularity does not disqualify the argument.

There is another sense of showing, that of “dialectical showing.” Showing in this sense is relative to an audience, and it requires that we have an argument that our audience takes to be sound, otherwise we would be unable to rationally convince it. If we assume that our audience is skeptical about the reliability of sense perception, it is clear that we cannot convince such an audience with an epistemically circular argument. This is so because the audience would also be skeptical about the truth of the premises. Assuming that our audience is skeptical only about perception and not about introspection and induction, we can only show to such an audience Alston’s hypothetical conclusion: if sense perception is reliable, we can show–in the epistemic sense–that it is.

Whether this is what Alston has in mind or not, it is one possible diagnosis of the failure of epistemically circular arguments. Although they may provide justification for our reliability beliefs, they are unable to rationally remove doubts about reliability. They are not dialectically effective against the skeptic.

2. Epistemic Failure

The problem of epistemic circularity derives from our intuition that there is something wrong with it. Many philosophers have expressed doubts that this intuition is completely explained by dialectical considerations. The fault seems to be epistemic rather than just dialectical. Richard Fumerton (1995) and Jonathan Vogel (2000) argue that we cannot gain knowledge and justified beliefs by means of epistemically circular reasoning. They conclude that any account of knowledge or justification that allows this must be mistaken. Their target is reliabilism in particular. Fumerton writes:

You cannot use perception to justify the reliability of perception! You cannot use memory to justify the reliability of memory! You cannot use induction to justify the reliability of induction! Such attempts to respond to the skeptic’s concerns involve blatant, indeed pathetic, circularity. Frankly, this does seem right to me and I hope it seems right to you, but if it does, then I suggest you have a powerful reason to conclude that externalism is false. (1995, 177)

If the mere reliability of a process is sufficient for giving us justification, as reliabilism entails, then we can use it to obtain a justified belief even about its own reliability. According to Fumerton, this counterintuitive result shows that reliabilism is false.

Vogel (2000, 613-623) gives the example of Roxanne, who has a car with a highly reliable gas gauge and who believes implicitly what the gas gauge indicates, without knowing that it is reliable. In order to gain knowledge about the reliability of the gauge, she undertakes the following procedure. She looks at the gauge often and forms a belief not only about how much gas there is in the tank, but also about the reading of the gauge. For example, when the gauge reads ‘F’, she believes both that the gauge reads ‘F’ and that the tank is full. She combines these beliefs into the belief:

(1) On this occasion, the gauge reads ‘F’ and the tank is F.

Surely, the perceptual process by which Roxanne forms her belief about the reading of the gauge is reliable, but so is, by hypothesis, the process through which she reaches the belief that the tank is full. Roxanne’s belief in (1) is thus the result of a reliable process. She then repeats this process on several occasions and forms beliefs of the form:

(2) On this occasion, the gauge reads ‘X’ and the tank is X.

From a representative set of such beliefs, she concludes inductively that:

(3) The gauge is reliable.

Because induction is also a reliable process, the whole process by which Roxanne reaches her conclusion is reliable. Thus reliabilism allows that in this way she gains knowledge that the gauge is reliable.

Vogel assumes that this process, which he calls bootstrapping, is illegitimate and concludes that reliabilism goes wrong in improperly ratifying bootstrapping as a way of gaining knowledge.

We have an intuition that there is something wrong with this sort of epistemically circular reasoning. Here, it is difficult to explain the intuition in terms of some sort of dialectical failure because there is nobody who is questioning the reliability of the gauge and who needs to be convinced about the matter. It is merely assumed that Roxanne did not originally know that it was reliable. It follows from reliabilism that she can gain this knowledge by this sort of bootstrapping, which is contrary to our intuitions.

3. Easy Knowledge and the KR Principle

Epistemic circularity is not only a problem for reliabilism. As Alston pointed out, any epistemological theory that does not set higher-level requirements for knowledge or justified belief is bound to allow epistemic circularity. The problem is that such a theory makes knowledge and justified belief about reliability intuitively too easy.

Stewart Cohen (2002) argues that any theory that rejects the following principle allows knowledge about reliability too easily:

KR: A potential knowledge source K can yield knowledge for S, only if S knows K is reliable.

Theories that reject this KR principle allow that a belief source can deliver knowledge prior to one’s knowing that the source is reliable. Cohen calls such knowledge “basic” knowledge. (Note that he uses the phrase in a nonstandard way.) Theories that allow for basic knowledge can appeal to our basic knowledge in order to explain how we know that our belief sources are reliable:

According to such views, we first acquire a rich stock of basic knowledge about the world. Such knowledge, once obtained, enables us to learn how we are situated in the world, and so to learn, among other things, that our belief sources are reliable. (2002, 310)

In obtaining such knowledge of reliability we reason in a way that is epistemically circular. The problem is that we gain knowledge too easily.

It is not only reliabilism that rejects the KR principle: there are other currently popular theories that do so. For example, evidentialism makes knowledge a function of evidence. An evidentialist who denies the KR principle allows that one can know that p on the basis of evidence E without knowing that E is a reliable indication of the truth of p. Such evidentialism allows our gaining knowledge of reliability through epistemically circular reasoning.

However, the principle does not seem to be strong enough because even some theories that accept it do not avoid epistemic circularity, and thus make knowledge too easy. The KR principle, as Cohen formulates it, does not make any requirements about epistemic order. It does not require in particular that knowledge about the reliability of source K be prior to (or independent of) knowledge based on K. It allows that we gain both kinds of knowledge simultaneously.

4. Coherence and Reflective Knowledge

According to holistic coherentism, knowledge is generated simultaneously in the whole system of beliefs once a sufficient degree of coherence is achieved. It is clear that meta-level beliefs about the sources of belief and their reliability can increase the coherence of the whole system of beliefs. So coherentism that requires such a meta-level perspective into the reliability of the sources of belief satisfies the KR principle: I can know that p only if I also know that the source of my belief that p is reliable.

However, as James Van Cleve (2003, 55-57) points out, coherentism does not avoid the problem of easy knowledge. It allows that we gain knowledge through epistemically circular reasoning. The steps by which we gain such knowledge may be exactly the same as in the foundationalist version. The only difference is that when, according to foundationalism, knowledge is first generated in the premises and then transmitted to the conclusion, coherentism makes it appear simultaneously in the premises and in the conclusion. The fact that knowledge is not generated in the premises until the conclusion is reached does not make it less easy to attain knowledge.

Ernest Sosa (1997) suggests that we can resolve the problems of circularity by his distinction between animal knowledge and reflective knowledge, but as both Cohen (2002, 326) and Van Cleve (2003, 57) point out, Sosa’s account allows knowledge about reliability too easily. Animal knowledge is knowledge as it is understood in simple reliabilism: it requires just a true and reliably formed belief. So it does not satisfy the KR principle and allows easy knowledge. We can attain animal knowledge about the reliability of a source through epistemically circular reasoning.

Sosa’s point is that reflective knowledge satisfies the principle. In addition to animal knowledge, it requires a coherent system of beliefs that includes an epistemic perspective into the reliability of the sources of belief. So a source delivers reflective knowledge for me only if I know that the source is reliable, yet it is still true that the epistemically circular track-record argument provides all the ingredients needed for such reflective knowledge. I attain animal knowledge about the reliability of perception by reasoning from my animal knowledge about the truth of particular perceptual beliefs. Once I have attained this knowledge, my system of beliefs also achieves a sufficient degree of coherence that transfers my animal knowledge into reflective knowledge. All this happens still too easily. It happens in fact as easily as before. The only difference is the points at which different sorts of knowledge are attained. The reasoning itself is exactly the same.

It seems that we can avoid allowing easy knowledge only by strengthening the KR principle. It must require that knowledge of the reliability of source K be prior to knowledge based on K. We must know that the source is reliable independently of any knowledge based on the source. The problem with coherentism and Sosa’s account is that they reject this strengthened KR principle, and this is why they make knowledge too easy.

5. The Problem of the Criterion

By affirming the strengthened KR principle we avoid the easy-knowledge problem but are in danger of falling into skepticism. The strengthened principle leads to the ancient problem of the criterion.

Ancient Pyrrhonian skeptics were puzzled about the disagreements that prevailed about any object of inquiry. They insisted that, in order to resolve these disagreements and to attain any knowledge, we need criteria that distinguish beliefs that are true from those that are false. However, there are also disagreements about the right criteria of truth. In order to resolve these disagreements and to know what the right criteria are, we need to know already which beliefs are true–the ones the criteria are supposed to pick out. We are thus caught in a circle.

If we understand the right criteria of truth as reliable sources of belief–sources that mostly produce true beliefs–we arrive at the following formulation of the problem of the criterion:

(1) We can know that a belief based on source K is true only if we first know that K is reliable.

(2) We can know that K is reliable only if we first know that some beliefs based on source K are true.

Assumption (1) is a formulation of the strengthened KR principle. Together with assumption (2), it leads to skepticism: we cannot know which sources are reliable nor which beliefs are true. To be sure, (2) does not require us to know that beliefs based on K are true through K itself; we can rely on some other source. However, (1) posits that this other source can deliver knowledge only if we first know that it is reliable, and (2) that, in order to know this, we need to know that some beliefs based on it are true. In order to know this, in turn, we once again have to rely on some third source, and so on. Because we cannot have an infinite number of sources, sooner or later we have to rely on sources already relied on at some earlier point. We are thus reasoning in a circle, and circular reasoning is unable to provide knowledge.

The circle we are caught in is not epistemic. It is a straightforwardly logical circle. It is clear that a logical circle does not produce knowledge. Such a circle is nowhere connected to reality. Thus in trying to avoid epistemic circularity, we are caught in a more clearly vicious circle–a logical circle.

It is natural to think that epistemic circularity is the lesser evil. If we only have the alternatives of making knowledge too easy or impossible, most philosophers would surely choose the former. This may be the motivation behind currently popular reliabilist and evidentialist epistemologies that deny higher-level requirements for knowledge, but are these really our only options? Could we not reject assumption (2) instead of (1)?

6. Basic Reliability Knowledge

One might concede that a source can give us knowledge only if we first know that it is reliable, but still deny that this knowledge of reliability must in turn be inferred from some other knowledge. One might insist instead that our knowledge about our own reliability is basic or noninferential. This would break the skeptic’s circle.

Thomas Reid (1983, 275) seems to be the traditional advocate of this position. He takes it as a first principle that our cognitive faculties are reliable. He states that first principles are self-evident: we know them directly without deriving them from some other truths (257). How is it possible to know directly a generalization that is only contingently true? It may be easy to see how we can directly know a generalization, such as “All triangles have three angles,” which is a necessary truth: we can simply see its truth through a priori intuition. However, we cannot simply see that our faculties are reliable. The faculty of a priori reason does not give us knowledge of contingent generalizations.

Reid (259-260) posits that there is a special faculty for knowing the first principles, which he calls common sense. Thus, common sense tells us that our faculties are reliable. However, it cannot give us knowledge unless we first know that it is reliable. How can we know this? The only available answer seems to be that we also know this through common sense. (Bergmann 2004, 722-724) There is a serious problem if we assume the skeptic’s strengthened KR principle. This entails that we can know that common sense is reliable only if we first know that it is reliable. We must know it before we know it, which is impossible. We avoid this result if we go back to Cohen’s original KR principle (Van Cleve, 2003, 50-52), but then we face epistemic circularity once again.

According to the Reidian view, knowledge about the reliability of our faculties is basic, and the source of it is common sense. However, common sense delivers this knowledge only if it is itself known to be reliable. If we accept Cohen’s original KR principle and deny the skeptic’s requirement that this knowledge be prior to other knowledge delivered by common sense, we allow that common sense delivers simultaneously basic knowledge about the reliability of our faculties and about the reliability of common sense itself. This is a coherent position.

However, this Reidian view allows one kind of epistemic circularity. Although it is not quite the same kind as in the track-record argument, it allows that we can know that a faculty is reliable by using that very same faculty. The only difference is that this is basic knowledge and not knowledge based on reasoning. It seems that this view makes knowledge about reliability even easier than before.

If we wanted to determine whether to trust a guru, we could construct an inductive argument based on the premises about the truth of what he says and leading to the conclusion that he is reliable. If our belief in the premises is itself based on what he tells us, our argument is epistemically circular. It seems that this cannot be a way of gaining knowledge about his reliability in that it would be intuitively too easy. It would be even easier to base our belief in his reliability on his simply saying that he is reliable. If we cannot gain knowledge through epistemically circular reasoning, how could we gain it by taking this more direct route?

7. Wittgenstein, Entitlement and Practical Rationality

Let us grant that we somehow presuppose the reliability of our sources of belief when we form and evaluate beliefs. What kind of normative status do these presuppositions have if they cannot have the status of basic knowledge? Many philosophers have been inspired by Wittgenstein’s last notebooks published as On Certainty (1969, §§ 341-343):

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

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

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

The idea is that in every context of inquiry there are certain propositions that are not and cannot be doubted. They are the hinges that must stay put if we are to conduct inquiry at all. According to Wittgenstein, these hinge propositions cannot be justified, neither can we know them. They are the presuppositions that make justification and knowledge possible.

Wittgenstein (§§ 163, 337) suggests that such hinge propositions include propositions about the reliability of our sources of belief. This explains why we cannot gain knowledge about reliability through epistemically circular reasoning, because we cannot have such knowledge at all. Wittgenstein may have thought so because he took hinge “propositions¨ to have no factual content and thus to be neither true nor false. Thus our concepts of knowledge and justification would not apply to them. However, this view is not very intuitive. Surely the sentence “Sense perception is reliable” appears to express a genuine proposition that is either true or false. If it does express such a proposition, we can have doxastic attitudes to the proposition, and these attitudes can be evaluated epistemically.

Crispin Wright (2004) follows Wittgenstein but takes hinge propositions to be genuine propositions that are epistemically evaluable. He provides an account of the structure of justification that explains why the justification of the premises in certain valid arguments does not transmit to the conclusion. Although the epistemically circular track-record argument is an inductive argument, the same account explains the transmission failure here.

According to Wright’s account, we cannot be justified in accepting the premises of Alston’s track-record argument unless we are already justified in accepting the conclusion that sense perception is reliable. This is why the justification we may have for the premises does not transmit to the conclusion: it presupposes a prior justification for the conclusion. Thus Wright accepts a version of the skeptic’s strengthened KR principle, which effectively blocks epistemically circular reasoning.

He then tries to avoid skepticism by distinguishing between ordinary evidential justification and non-evidential justification he calls “entitlement.” In order to form justified perceptual beliefs, we must already be entitled to take it for granted that sense perception is reliable. However, because this entitlement is a kind of unearned justification that requires no evidential work, we can break the skeptic’s circle.

Wright’s entitlement is not based on sources of justification, such as perception, introspection, memory or reasoning. We get it by default, which is why the KR principle does not apply to it. Thus it avoids the problem of the Reidian account.

Unfortunately, it has its own problems. One of these concerns the nature of entitlement. According to Wright, it is a kind of rational entitlement, but what kind is it? This is how he comments on certain of Wittgenstein’s passages:

I take Wittgenstein’s point in these admittedly not unequivocal passages to be that this is essential: one cannot but take certain such things for granted. (2004, 189)

This line of reply concedes that the best sceptical arguments have something to teach us–that the limits of justification they bring out are genuine and essential–but then replies that, just for that reason, cognitive achievement must be reckoned to take place within such limits. The attempt to surpass them would result not in an increase in rigour or solidity but merely in cognitive paralysis. (2004, 191)

Wright argues here that we cannot but take certain things for granted. In order to engage in inquiry and to form justified beliefs, one must accept certain presuppositions. Refusing to do that would mean cognitive paralysis. As Duncan Pritchard (2005) comments, this seems to be a defense of the practical rationality of assuming that the sources of one’s beliefs are reliable. Nothing is said for the truth of those presuppositions or of the epistemic rationality of accepting them.

Alston defends more explicitly the practical rationality of taking our sources of belief to be reliable:

In the nature of the case, there is no appeal beyond the practices we find ourselves firmly committed to, psychologically and socially. We cannot look into any issue whatever without employing some way of forming and evaluating beliefs; that applies as much to issues concerning the reliability of doxastic practices as to any others. Hence there is no alternative to employing the practices we find to be firmly rooted in our lives, practices we could abandon or replace only with extreme difficulty if at all. (1993, 125)

Alston adds that the suspension of all belief is not an option, and that there is no reason to substitute our firmly established doxastic practices for some new ones because neither would there be any noncircular defense of these new practices. Alston makes it quite clear that this is a defense of the practical rationality of engaging in firmly established practices and taking them to be reliable.

However, this defense of the practical rationality of taking our sources of belief to be reliable does not contradict skepticism. In posing the problem of the criterion, the skeptic is not denying the practical rationality of our using the practices that we in fact use. What he or she is denying is the epistemic rationality or justification of the beliefs produced by them. That it would be practically rational for us to assume that the practices are reliable and that they therefore produce justified beliefs is not something the skeptic would deny.

Alston (2005, 240-242) has since rejected this practical validation argument for our sources of belief and settled for a simpler form of Wittgensteinian contextualism. Now he does not tell what kind of entitlement we have to the hinge propositions about the reliability of our sources. Perhaps there is no entitlement, and we just have to blindly trust in their reliability. How, then, does this differ from skepticism?

Curiously enough, neither Wright nor Alston really avoid the allowing of epistemic circularity. Alston even underlines the fact that epistemically circular arguments can produce justification for our beliefs about reliability. His point seems to be that whether this in fact happens is something that we can have only practical reasons for assuming, which does not really explain what is wrong with these arguments.

According to Wright, the justification of the premises does not transmit to the conclusion if it requires that we already be independently justified in accepting the conclusion. However, because this independent justification is a different sort of non-evidential justification–entitlement–it is unclear why the argument fails in transmitting evidential justification. Assuming that the entitlements are already in place–that we are entitled to take introspection, sense perception and inductive reasoning to be reliable–nothing prevents our also gaining evidential justification for the conclusion that sense perception is reliable. At least nothing in Wright’s account does so.

Thus the appeal to default entitlement or practical rationality does not solve our problem: it does not avoid epistemic circularity. At the same time, it may be too concessive to skepticism.

8. Sensitivity

It is possible to reject the KR principle without allowing epistemic circularity. One might simply deny–as Wittgenstein does–that we have any knowledge about our own reliability. One could defend this view–as Wittgenstein does not do–on the basis of the sensitivity condition of knowledge. Analyses of knowledge as defended by Fred Dretske (1971) and Robert Nozick (1981) set the following necessary condition for S‘s knowing that p:

Sensitivity: if it were not true that p, S would not believe that p.

According to Cohen (2002, 316), our beliefs about the reliability of our sources of belief do not satisfy this condition. Assume that we form a belief in the reliability of sense perception on the basis of epistemically circular reasoning. According to the sensitivity condition, we cannot know on this basis that sense perception is reliable if we believed on this basis that it is reliable even if it were not reliable. It seems that this is exactly what is wrong with such arguments: they would cause us to believe that a source is reliable even if it were not. A guru would tell us that he is reliable even if he were not.

The sensitivity condition concerns the possible worlds in which our belief is false but which are otherwise closest to the actual world. Alvin Goldman (1999, 86) suggests that the relevant alternative to the hypothesis that visual perception is reliable is that visual perception is randomly unreliable. If this is the case in the closest possible worlds in which our belief in the reliability of visual perception is false, it may be that we can, after all, know that visual perception is reliable, because in these worlds it would produce a massive amount of inconsistent beliefs, and therefore we would not believe that it is reliable. So, are the worlds in which visual perception is randomly unreliable the closest unreliability worlds? It may be rather that the closest worlds are those in which visual perception is systematically unreliable, and in these worlds we believe that it is reliable. If this is the case, the sensitivity accounts explain very well the intuition that we cannot gain knowledge through epistemically circular reasoning.

Sensitivity accounts of knowledge have not been popular in recent years because they deny the intuitively plausible principle that knowledge is closed under known logical implication. However, as Cohen (2002) has shown, this principle has counterintuitive consequences as does the denial of the KR principle. It allows cases in which we gain knowledge too easily, and perhaps we should therefore accept a sensitivity account that can handle both problems at once. However, a more serious problem is that there are cases of inductive knowledge that do not satisfy the sensitivity condition (Vogel, 1987).

9. Dialectical Ineffectiveness and the Inability to Defeat Defeaters

Arguments are dialectical creatures, so it is natural to evaluate them in terms of their dialectical effectiveness. We have seen already that epistemically circular arguments are poor in this respect. They are not able to rationally convince someone who doubts the conclusion because such a person also doubts the premises. Such arguments therefore fail to be dialectically effective. It could be suggested that this is enough to explain our intuition that there is something wrong with them, and that they need not involve any epistemic failure. (Markie 2005; Pryor 2004)

When it is a question of one’s own self-doubts, we could even allow a kind of epistemic failure. Let us assume that I have doubts about the reliability of my color vision: I believe that my color vision is not reliable, or I have considered the matter and have decided to suspend judgment about it. This doubt is a defeater for my color beliefs: it defeats or undermines my justification for them. Now it seems clear that I cannot defeat this defeater and regain my justification for these beliefs through epistemically circular reasoning. Such reasoning would rely on those very same beliefs for which I have lost the justification. It is unable to defeat reliability defeaters. (Bergmann 2004, 717-720)

We can thus readily explain the failure of epistemically circular arguments in cases in which there are serious doubts about reliability. They fail to remove these doubts. However, as the case of Roxanne shows, dialectical ineffectiveness and the failure to defeat defeaters cannot be the only things that are wrong with epistemic circularity. Neither Roxanne nor anybody else doubts her gas gauge; she is just ignorant about its reliability. She has no knowledge or justified beliefs about the matter. Our intuition is that she cannot gain knowledge or justified beliefs about the reliability of the gauge through the process of bootstrapping.

10. Epistemology and Dialectic

Although the term “epistemic circularity¨ is of recent origin, the phenomenon itself has been well known since the ancient skeptics. Ancient Pyrrhonian skeptics argued that we should suspend belief unless we can resolve the disagreements that there are about any object of inquiry. We could try to resolve these disagreements by relying on reliable sources of belief. Unfortunately, we cannot do this because there is also a disagreement about which sources are reliable, and this disagreement must be resolved first. However, we cannot resolve this disagreement because it would be dialectically ineffective to defend a set of such sources by appealing to premises that are themselves based on them. This is something that the skeptics most emphatically condemned. (Lammenranta 2008)

They also assumed that this sort of failure to resolve disagreements was not merely dialectical. It also prevented our having knowledge. If we should suspend belief about some question, we would certainly not know what the correct answer is. In connecting epistemology closely to dialectic, skeptics were just following the ancient tradition of Plato and Aristotle. This tradition continued in Descartes and early modern philosophy, and seems to be alive even today among the followers of John L. Austin, Ludwig Wittgenstein, and Wilfrid Sellars.

In spite of this influential tradition that connects epistemology closely with dialectic, the mainstream of contemporary analytic epistemology takes epistemology to be independent of dialectical issues. Accordingly, we may very well know even if we cannot rationally defend ourselves against those who disagree with us. After all, our sources of belief may, in fact, be reliable, and if this is the case they will provide us with reasons for believing that they are reliable and that those who disagree with us are wrong.

However, most of us have the intuition that it would be too easy to gain knowledge about our own reliability in this way. Perhaps the intuition shows that epistemology is more closely connected to dialectic than is currently acknowledged. This would explain our uneasiness with epistemic circularity and show that the ancient problem of the criterion is a genuine skeptical paradox for which we still lack a plausible solution.

11. References and Further Reading

  • Alston, William P. “Epistemic Circularity.¨ Philosophy and Phenomenological Research 47 (1986). Reprinted in Epistemic Justification: Essays in the Theory of Knowledge. Ithaca: Cornell University Press, 1989: 319-349.
    • The first and most influential account of the nature and significance of epistemic circularity.
  • Alston, William P. The Reliability of Sense Perception. Ithaca: Cornell University Press, 1993.
    • Defends the inevitability of epistemic circularity and the practical rationality of engaging in firmly established doxastic practices.
  • Alston, William P. Beyond “Justification”: Dimensions of Epistemic Evaluation. Ithaca: Cornell University Press, 2005: ch. 11.
    • Opts for Wittgensteinian contextualism concerning the status of reliability propositions.
  • Bergmann, Michael. “Epistemic Circularity: Malignant and Benign.” Philosophy and Phenomenological Research 69 (2004): 709-727.
    • Explains when epistemically circular arguments do and when they do not provide knowledge about reliability, and defends the Reidian common-sense approach.
  • Cohen, Stewart. “Basic Knowledge and the Problem of the Problem of Easy Knowledge.” Philosophy and Phenomenological Research 65 (2002): 309-329.
    • Poses the problem of easy knowledge and tries to avoid epistemic circularity.
  • Dretske, Fred, “Conclusive Reasons.¨ Australasian Journal of Philosophy 49 ( 1971): 1-22. Reprinted in Perception, Knowledge and Belief. Cambridge University Press: Cambridge, 2000.
    • Defends an early version of the sensitivity condition of knowledge.
  • Fumerton, Richard. Metaepistemology and Skepticism. Lanham: Rowman & Littlefield, 1995: ch. 6.
    • Accuses externalism of allowing epistemic circularity.
  • Goldman, Alvin I. Knowledge in a Social World, Oxford: Oxford University Press, 1999: section 3.3.
    • A Bayesian defense of the epistemic value of epistemic circularity.
  • Lammenranta, Markus. “Reliabilism and Circularity.¨ Philosophy and Phenomenological Research 56 (1996): 111-124.
    • Relates epistemic circularity to Chisholm’s version of the problem of the criterion.
  • Lammenranta, Markus. “Reliabilism, Circularity, and the Pyrrhonian Problematic.¨ Journal of Philosophical Research 28 (2003): 311-328.
    • Discusses reliabilist responses to epistemic circularity.
  • Lammenranta, Markus. “The Pyrrhonian Problematic.¨ The Oxford Handbook of Skepticism. Ed. John Greco. Oxford: Oxford University Press, 2008.
    • Defends the dialectical nature and philosophical importance of the ancient Pyrrhonian problematic.
  • Lemos, Noah. “Epistemic Circularity Again.¨ Philosophical Issues 14 (2004): 254ƒ{270.
    • Examines and rejects some objections to Sosa’s view that epistemic circularity does not prevent our knowing that our ways of forming beliefs are reliable.
  • Markie, Peter. “Easy Knowledge.¨ Philosophy and Phenomenological Research 70 (2005): 406-416.
    • Argues that the failure in epistemically circular argument is dialectical rather than epistemic.
  • Nozick, Robert. Philosophical Explanations. Harvard University Press: Cambridge, Mass., 1981: ch. 3.
    • Defends the sensitivity (tracking) condition of knowledge and formulates the closure-based skeptical argument.
  • Pritchard, Duncan. “Wittgenstein’s On Certainty and Contemporary Anti-Scepticism.¨ Readings of Wittgenstein’s On Certainty. Eds. D. Moyal-Sharrock & W. H. Brenner. London: Palgrave Macmillan, 2005: 189V224.
    • Discusses anti-skeptical views deriving from Wittgenstein’s On Certainty.
  • Pryor, James. “What’s Wrong with Moore’s Argument?¨ Philosophical Issues14 (2004): 349-378.
    • Defends the epistemic respectability of Moore’s proof of the external world.
  • Reid, Thomas. Inquiry and Essays. Eds. Ronald E. Beanblossom & Keith Lehrer. Indianapolis: Hackett, 1983.
    • An abbreviated edition of Reid’ major works on the philosophy of common sense.
  • Schmitt, Frederick F. “What Is Wrong with Epistemic Circularity?¨ Philosophical Issues 14 (2004): 379-402.
    • Argues that epistemically circular arguments do have the power of answering doubts about reliability.
  • Sosa, Ernest. “Philosophical Scepticism and Epistemic Circularity.¨ Aristotelian Society Supplementary Volume 68 (1994): 263-290. Reprinted in Skepticism: A Contemporary Reader. Eds. Keith DeRose & Ted A. Warfield. Oxford: Oxford University Press, 1999: 93-114.
    • Defends the inevitability and epistemic value of epistemically circular arguments.
  • Sosa, Ernest. “Reflective Knowledge in the Best Circles.¨ The Journal of Philosophy 94 (1997): 410-430.
    • Uses the distinction between animal knowledge and reflective knowledge to explain why epistemic circles are not vicious.
  • Van Cleve, James. “Is Knowledge Easy–or Impossible? Externalism as the Only Alternative to Skepticism.¨ The Skeptics: Contemporary Essays. Ed. Steven Luper. Hampshire: Ashgate, 2003.
    • Defends externalism and allowing epistemic circularity as the only alternatives to skepticism.
  • Vogel, Jonathan. “Tracking, Closure, and Inductive Knowledge.¨ The Possibility of Knowledge: Nozick and His Critics. Ed. Steven Luper-Foy. Lanham: Rowman & Littlefield, 1987: 197-215.
    • Criticizes the sensitivity condition of knowledge for not allowing inductive knowledge.
  • Vogel, Jonathan. “Reliabilism Leveled.¨ The Journal of Philosophy 97 (2000): 602-623.
    • Criticizes reliabilism for allowing epistemically circular reasoning.
  • Wittgenstein, Ludwig. On Certainty. Eds. G. E. M. Anscombe & G. H. von Wright. Tr. D. Paul & G. E. M. Anscombe. Oxford: Blackwell, 1969.
    • An influential defense of the view that the presuppositions of knowledge are not known.
  • Wright, Crispin. “Warrant for Nothing (and Foundations for Free).¨ Proceedings of the Aristotelian Society 104 (2004): 167-211.
    • Uses the concept of entitlement to resolve skeptical paradoxes.

Author Information

Markus Lammenranta
Email: markus.lammenranta@helsinki.fi
University of Helsinki
Finland

Inconsistent Mathematics

Inconsistent mathematics is the study of commonplace mathematical objects, like sets, numbers, and functions, where some contradictions are allowed. Tools from formal logic are used to make sure any contradictions are contained and that the overall theories remain coherent. Inconsistent mathematics began as a response to the set theoretic and semantic paradoxes such as Russell’s Paradox and the Liar Paradox—the response being that these are interesting facts to study rather than problems to solve—and has so far been of interest primarily to logicians and philosophers. More recently, though, the techniques of inconsistent mathematics have been extended into wider mathematical fields, such as vector spaces and topology, to study inconsistent structure for its own sake.

To be precise, a mathematical theory is a collection of sentences, the theorems, which are deduced through logical proofs. A contradiction is a sentence together with its negation, and a theory is inconsistent if it includes a contradiction. Inconsistent mathematics considers inconsistent theories. As a result, inconsistent mathematics requires careful attention to logic. In classical logic, a contradiction is always absurd: a contradiction implies everything. A theory containing every sentence is trivial. Classical logic therefore makes nonsense of inconsistency and is inappropriate for inconsistent mathematics. Classical logic predicts that the inconsistent has no structure. A paraconsistent logic guides proofs so that contradictions do not necessarily lead to triviality. With a paraconsistent logic, mathematical theories can be both inconsistent and interesting.

This article discusses inconsistent mathematics as an active research program, with some of its history, philosophy, results and open questions.

Table of Contents

  1. Introduction
    1. An Example
  2. Background
    1. Motivations
    2. Perspectives
    3. Methods
    4. Proofs
  3. Geometry
  4. Set Theory
  5. Arithmetic
  6. Analysis
  7. Computer Science
  8. References and Further Reading
    1. Further Reading
    2. References

1. Introduction

Inconsistent mathematics arose as an independent discipline in the twentieth century, as the result of advances in formal logic. In the nineteenth century, a great deal of extra emphasis was placed on formal rigor in proofs, because various confusions and contradictions had appeared in the analysis of real numbers. To remedy the situation required examining the inner workings of mathematical arguments in full detail. Mathematics had always been conducted through step-by-step proofs, but formal logic was intended to exert an extra degree of control over the proofs, to ensure that all and only the desired results would obtain. Various reconstructions of mathematical reasoning were advanced.

One proposal was classical logic, pioneered by Giuseppe Peano, Gottlob Frege, and Bertrand Russell. Another was paraconsistent logic, arising out of the ideas of Jan Łukasiewicz and N. A. Vasil’év around 1910, and first realized in full by Jaśkowski in 1948. The first to suggest paraconsistency as a ground for inconsistent mathematics was Newton da Costa in Brazil in 1958. Since then, his school has carried on a study of paraconsistent mathematics. Another school, centered in Australia and most associated with the name of Graham Priest, has been active since the 1970s. Priest and Richard Routley have forwarded the thesis that some inconsistent theories are not only interesting, but true; this is dialetheism.

Like any branch of mathematics, inconsistent mathematics is the study of abstract structures using proofs. Paraconsistent logic offers an unusually exacting proof guide that makes sure inconsistency does not get out of hand. Paraconsistency is not a magic wand or panacea. It is a methodology for hard work. Paraconsistency only helps us from getting lost, or falling into holes, when navigating through rough terrain.

a. An Example

Consider a collection of objects. The collection has some size, the number of objects in the collection. Now consider all the ways that these objects could be recombined. For instance, if we are considering the collection {a, b}, then we have four possible recombinations: just a, just b, both a and b, or neither a nor b. In general, if a collection has κ members, it has 2κ recombinations. It is a theorem from the nineteenth century that, even if the collections in question are infinitely large, still κ < 2κ, that is, the number of recombinations is always strictly larger than the number of objects in the original collection. This is Georg Cantor’s theorem.

Now consider the collection of all objects, the universe, V. This collection has some size,
|V|, and quite clearly, being by definition the collection of everything, this size is the absolutely largest size any collection can be. (Any collection is contained in the universe by definition, and so is no bigger than the universe.) By Cantor’s theorem, though, the number of recombinations of all the objects exceeds the original number of objects. So the size of the recombinations is both larger than, and cannot be larger than, the universe,

This is Cantor’s paradox. Inconsistent mathematics is unique in that, if rigorously argued, Cantor’s paradox is a theorem.

2. Background

a. Motivations

There are at least two reasons to take an interest in inconsistent mathematics, which roughly fall under the headings of pure and applied. The pure reason is to study structure for its own sake. Whether or not it has anything to do with physics, for example, Reimann geometry is beautiful. If the ideas displayed in inconsistent mathematics are rich and elegant and support unexpected developments that make deep connections, then people will study it. G. H. Hardy’s A Mathematician’s Apology (1940) makes a stirring case that pure mathematics is inherently worth doing, and inconsistent mathematics provides some panoramic views not available anywhere else.

The applied reasons derive from a longstanding project at the foundations of mathematics. Around 1900, David Hilbert proposed a program to ensure mathematical security. Hilbert wanted:

  • to formalize all mathematical reasoning into an exact notation with algorithmic rules;
  • to provide axioms for all mathematical theories, such that no contradictions are provable (consistency), and all true facts are provable (completeness).

Hilbert’s program was (in part) a response to a series of conceptual crises and responses from ancient Greece through Issac Newton and G. W. Leibniz (see section 6 below) to Cantor. Each crisis arose due to the imposition of some objects that did not behave well in the theories of the day—most dramatically in Russell’s paradox, which seems to be about logic itself.

The inconsistency would not have been such trouble, except the logic employed at that time was explosive: From a contradiction, anything at all can be proved, so Russell’s paradox was a disaster. In 1931, Kurt Gödel’s theorems showed that consistency is incompatible with completeness, that any complete foundation for mathematics will be inconsistent. Hilbert’s program as stated is dead, and with it even more ambitious projects like Frege-Russell logicism.

The failure of completeness was hard to understand. Hilbert and many others had felt that any mathematical question should be amenable to a mathematical answer. The motive to inconsistency, then, is that an inconsistent theory can be complete. In light of Gödel’s result, an inconsistent foundation for mathematics is the only remaining candidate for completeness.

b. Perspectives

There are different ways to view the place of inconsistent mathematics, ranging from the ideological to the pragmatic.

The most extreme view is that inconsistent mathematics is a rival to, or replacement for, classical consistent mathematics. This seems to have been Routley’s intent. Routley wanted to perfect an “ultramodal universal logic,” which would be a flexible and powerful reasoning tool applicable to all subjects and in all situations. Routley argued that some subjects and situations are intractably inconsistent, and so the universal logic would be paraconsistent. He wanted such a logic to underly not only set theory and arithmetic, but metaphysics, ecology and economics. (For example, Routley and Meyer [1976] suggest that our economic woes are caused by using classical logic in economic theory.) Rotuley (1980, p.927) writes:

There are whole mathematical cities that have been closed off and partially abandoned because of the outbreak of isolated contradictions. They have become like modern restorations of ancient cities, mostly just patched up ruins visited by tourists.

In order to sustain the ultramodal challenge to classical logic it will have to be shown that even though leading features of classical logic and theories have been rejected, … by going ultramodal one does not lose great chunks of the modern mathematical megalopolis. … The strong ultramodal claim—not so far vindicated—is the expectedly brash one: we can do everything you can do, only better, and we can do more.

A more restrained, but still unorthodox, view is of inconsistency as a non-revisionary extension of classical theory. There is nothing wrong with the classical picture of mathematics, says a proponent of this position, except if we think that the classical picture exhausts all there is to know. A useful analogy is the extension of the rational numbers by the irrational numbers, to get the real numbers. Rational numbers are not wrong; they are just not all the numbers. This moderate line is found in Priest’s work. As articulated by da Costa (1974, p.498):

It would be as interesting to study the inconsistent systems as, for instance, the non-euclidean geometries: we would obtain a better idea of the nature of certain paradoxes, could have a better insight on the connections amongst the various logical principles necessary to obtain determinate results, etc.

In a similar vein, Chris Mortensen argues that many important questions about mathematics are deeper than consistency or completeness.

A third view is even more open-minded. This is to see all theories (within some basic constraints) as genuine, interesting and useful for different purposes. Jc Beall and Greg Restall have articulated a version of this view at length, which they call logical pluralism.

c. Methods

There are at least two ways to go about mathematical research in this field. The first is axiomatic. The second is model theoretic. The axiomatic approach is very pure. We pick some axioms and inference rules, some starting assumptions and a logic, and try to prove some theorems, with the aim of producing something on the model of Euclid, or Russell and A. N. Whitehead’s Principia Mathematica. This would be a way of obtaining results in inconsistent mathematics independently, as if we were discovering mathematics for the first time. On the axiomatic approach there is no requirement that the same theorems as classical mathematics be proved. The hardest work goes into choosing a logic that is weak enough to be paraconsistent, but strong enough to get results, and formulating the definitions and starting assumptions in a way that is compatible with the logic. Little work has so far been done using axiomatics.

By far more attention has been given to the model theoretic approach, because it allows inconsistent theories to “ride on the backs” of already developed consistent theories. The idea here is to build up models—domains of discourse, along with some relations between the objects in the domain, and an interpretation—and to read off facts about the attached theory. A way to do this is to take a model from classical mathematics, and to tinker with the interpretation, as in collapsed models of arithmetic (section 5 below). The model theoretic approach shows how different logics interact with different mathematical structures. Mortensen has followed through on this in a wide array of subjects, from the differential calculus to vector spaces to topology to category theory, always asking: Under what conditions is identity well-behaved? Let Φ(a) be some sentence about an object a. Mortensen’s question is, if a = b holds in a theory, then is it the case that Φ(a) exactly when Φ(b)? It turns out that the answer to this question is extremely sensitive to small changes in logic and interpretations, and the answer can often be “no.”

Most of the results obtained to date have been through the model theoretic approach, which has the advantage of maintaining a connection with classical mathematics. The model theory approach has the same disadvantage, since it is unlikely that radically new or robustly inconsistent ideas will arise from always beginning at classical ideas.

d. Proofs

It is often thought that inconsistent mathematics faces a grave problem. A very common mathematical proof technique is reductio ad absurdum. The concern, then, is that if contradictions are not absurd—a fortiori, if a theory has contradictions in it—then reductio is not possible. How can mathematics be done without the most common sort of indirect proof?

The key to working inconsistent mathematics is its logic. Much hinges on which paraconsistent logic we are using. For instance, in da Costa’s systems, if a proposition is marked as “consistent,” then reductio is allowed. Similarly, in most relevance logics, contraposition holds. And so forth. The reader is recommended to the bibliography for information on paraconsistent logic. Independently of logic, the following may help.

In classical logic, all contradictions are absurd; in a paraconsistent logic this is not so. But some things are absurd nevertheless. Classically, contradiction and absurdity play the same role, of being a rejection device, a reason to rule out some possibility. In inconsistent mathematics, there are still rejection devices. Anything that leads to a trivial theory is to be rejected. More, suppose we are doing arithmetic and hypothesize that Φ. But we find that Φ has as a consequence that j=k for every number j, k. Now, we are looking for interesting inconsistent structure. This may not be full triviality, but 0 = 1 is nonsense. Reject Φ.

There are many consistent structures that mathematicians do not, and will never, investigate, not by force of pure logic but because they are not interesting. Inconsistent mathematicians, irrespective of formal proof procedures, do the same.

3. Geometry

Intuitively, M. C. Escher’s “Ascending, Descending” is a picture of an impossible structure—a staircase that, if you walked continuously along it, you would be going both up and down at the same time. Such a staircase may be called impossible. The structure as a whole seems to present us with an inconsistent situation; formally, defining down as not up, then a person walking the staircase would be going up and not up, at the same time, in the same way, a contradiction. Nevertheless, the picture is coherent and interesting. What sorts of mathematical properties does it have? The answers to this and more would be the start of an inconsistent geometry.

So far, the study has focused on the impossible pictures themselves. A systematic study of these pictures is being carried out by the Adelaide school. Two main results have been obtained. First, Bruno Ernst conjectured that one cannot rotate an impossible picture. This was refuted in 1999 by Mortensen; later, Quigley designed computer simulations of rotating impossible Necker cubes. Second, all impossible pictures have been given a preliminary classification of four basic forms: Necker cubes, Reutersvärd triangles, Schuster pipes or fork, and Ernst stairs. It is thought that these forms exhaust the universe of impossible pictures. If so, an important step towards a fuller geometry will have been taken, since, for example, a central theme in surface geometry is to classify surfaces as either convex, flat, or concave.

Most recently, Mortensen and Leishman (2009) have characterized Necker cubes, including chains of Neckers, using linear algebra. Otherwise, algebraic and analytic methods have not yet been applied in the same way they have been in classical geometry. Inconsistent equational expressions are not at the point where a robust answer can be given to questions of length, area, volume etc. On the other hand, as the Adelaide school is showing, the ancient Greeks do not have a monopoly on basic “circles drawn in sand” geometric discoveries.

4. Set Theory

Set theory is one of the most investigated areas in inconsistent mathematics, perhaps because there is the most consensus that the theories under study might be true. It is here we have perhaps the most important theorem for inconsistent mathematics, Ross Brady’s (2006) proof that inconsistent set theory is non-trivial.

Set theory begins with two basic assumptions, about the existence and uniqueness of sets:

  • A set is any collection of objects all sharing some property Φ;
  • Sets with exactly the same members are identical.

These are the principles of comprehension (a.k.a. abstraction) and extensionality, respectively. In symbols,

x ∈ {z : Φ(z)} ↔ Φ(x);
x = y ↔ ∀z (zxzy).

Again, these assumptions seem true. When the first assumption, the principle of comprehension, was proved to have inconsistent consequences, this was felt to be highly paradoxical. The inconsistent mathematician asserts that a theory implying an inconsistency is not automatically equivalent to a theory being wrong.

Newton da Costa was the first to develop an openly inconsistent set theory in the 1960s, based on Alonzo Church’s set theory with a universal set, or what is similar, W. V. O. Quine’s new foundations. In this system, axioms like those of standard set theory are assumed, along with the existence of a Russell set

R = {x : xx}

and a universal set

V = {x : x = x}.

Da Costa has defined “russell relations” and extended this foundation to model theory, arithmetic and analysis.

Note that V ∈ V, since V = V. This shows that some sets are self-membered. This also means that V ≠ R, by the axiom of extensionality. On the other hand, in perhaps the first truly combinatorial theorem of inconsistent mathematics, Arruda and Batens (1982) proved

where ∪R is the union of R, the set of all the members of members of R. This says that every set is a member of a non-self-membered set. The Arruda-Batens result was obtained with a very weak logic, and shows that there are real set theoretical theorems to be learned about inconsistent objects. Arruda further showed that

where P (X) denotes all the subsets of X and ⊆ is the subset relation.

Routley, meanwhile, in 1977 took up his own dialetheic logic and used it on a full comprehension principle. Routley went as far as to allow a comprehension principle where the set being defined could appear in its own definition. A more mundane example of a set appearing in its own defining condition could be the set of “critics who only criticize each other.” One of Routley’s examples is the ultimate inconsistent set,

xZx Z.

Routley indicated that the usual axioms of classical set theory can be proven as theorems—including a version of the axiom of choice—and began work towards a full reconstruction of Cantorian set theory.

The crucial step in the development of Routley’s set theory came in 1989 when Brady adapted an idea from 1971 to produce a model of dialetheic set theory, showing that it is not trivial. Brady proves that there is a model in which all the axioms and consequences of set theory are true, including some contradictions like Russell’s, but in which some sentences are not true. By the soundness of the semantics, then, some sentences are not provable, and the theory is decidedly paraconsistent. Since then Brady has considerably refined and expanded his result.

A stream of papers considering models for paraconsistent set theory has been coming out of Europe as well. Olivier Esser has determined under what conditions the axiom of choice is true, for example. See Hinnion and Libert (2008) for an opening into this work.

Classical set theory, it is well known, cannot answer some fundamental questions about infinity, Cantor’s continuum hypothesis being the most famous. The theory is incomplete, just as Gödel predicted it would be. Inconsistent set theory, on the other hand, appears to be able to answer some of these questions. For instance, consider a large cardinal hypothesis, that there are cardinals λ such that for any κ < λ, also 2κ < λ. The existence of large cardinals is undecidable by classical set theory. But recall the universe, as we did in the introduction (section 1), and its size |V|. Almost obviously, |V| is such large a cardinal, just because everything is smaller than it. Taking the full sweep of sets into account, the hypothesis is true.

Set theory is the lingua franca of mathematics and the home of mathematical study of infinity. Since Zeno’s paradoxes it has been obvious that there is something paradoxical about infinity. Since Russell’s paradox, it has been obvious that there is something paradoxical about set theory. So a rigorously developed paraconsistent set theory serves two purposes. First, it provides a reliable (inconsistent) foundation for mathematics, at least in the sense of providing the basic toolkit for expressing mathematical ideas. Second, the mathematics of infinity can be refined to cover the inconsistent cases like Cantor’s paradox, and cases that have yet to be considered. See the references for what has been done in inconsistent set theory so far; what can be still be done in remains one of the discipline’s most exciting open questions.

5. Arithmetic

An inconsistent arithmetic may be considered an alternative or variant on the standard theory, like a non-euclidean geometry. Like set theory, though, there are some who think that an inconsistent arithmetic may be true, for the following reason.

Gödel, in 1931, found a true sentence G about numbers such that, if G can be decided by arithmetic, then arithmetic is inconsistent. This means that any consistent theory of numbers will always be an incomplete fragment of the whole truth about numbers. Gödel’s second incompleteness theorem states that, if arithmetic is consistent, then that very fact is unprovable in arithmetic. Gödel’s incompleteness theorems state that all consistent theories are terminally unable to process everything that we know is true about the numbers. Priest has argued in a series of papers that this means that the whole truth about numbers is inconsistent.

The standard axioms of arithmetic are Peano’s, and their consequences—the standard theory of arithmetic—is called P A. The standard model of arithmetic is N = {0, 1, 2, …}, zero and its successors. N is a model of arithmetic because it makes all the right sentences true. In 1934 Skolem noticed that there are other (consistent) models that make all the same sentences true, but have a different shape—namely, the non-standard models include blocks of objects after all the standard members of N. The consistent non-standard models are all extensions of the standard model, models containing extra objects. Inconsistent models of arithmetic are the natural dual, where the standard model is itself an extension of a more basic structure, which also makes all the right sentences true.

Part of this idea goes back to C. F. Gauss, who first introduced the idea of a modular arithmetic, like that we use to tell the time on analog clocks: On a clock face, 11 + 2 = 1, since the hands of the clock revolve around 12. In this case we say that 11 + 2 is congruent to 1 modulo 12. An important discovery in the late 19th century was that arithmetic facts are reducible to facts about a successor relation starting from a base element. In modular arithmetic, a successor function is wrapped around itself. Gauss no doubt saw this as a useful technical device. Inconsistent number theorists have considered taking such congruences much more seriously.

Inconsistent arithmetic was first investigated by Robert Meyer in the 1970’s. There he took the paraconsistent logic R and added to it axioms governing successor, addition, multiplication, and induction, giving the system R#. In 1975 Meyer proved that his arithemtic is non-trivial, because R# has models. Most notably, R# has finite models with a two element domain {0, 1}, with the successor function moving in a very tight circle over the elements. Such models make all the theorems of R# true, but keep equations like 0 = 1 just false.

The importance of such finite models is just this: The models can be represented within the theory itself, showing that a paraconsistent arithmetic can prove its own non-triviality. In the case of Meyer’s arithemetic, R# has a finitary consistency proof, formalizable in R#. Thus, in non-classical contexts, Gödel’s second incompleteness theorem loses its bite. Since 1976 relevance logicians have studied the relationship between R# and PA. Their hope was that R# contains PA as a subtheory and could replace PA as a stronger, more genuine arithmetic. The outcome of that project for our purposes is the development of inconsistent models of arithmetic. Following Dunn, Meyer, Mortensen, and Friedman, these models have now been extensively studied by Priest, who bases his work not on the relevant logic R but on the more flexible logic LP.

Priest has found inconsistent arithmetic to have an elegant general structure. Rather than describe the details, here is an intuitive example. We imagine the standard model of arithmetic, up to an inconsistent element

n = n + 1.

This n is suspected to be a very, very large number, “without physical reality or psychological meaning.” Depending on your tastes, it is the greatest finite number or the least inconsistent number. We further imagine that for j, k > n, we have j=k. If in the classical model jk, then this is true too; hence we have an inconsistency, j=k and jk. Any fact true of numbers greater than n are true of n, too, because after n, all numbers are identical to n. No facts from the consistent model are lost. This technique gives a collapsed model of arithmetic.

Let T be all the sentences in the language of arithmetic that are true of N; then let T(n) similarly be all the sentences true of the numbers up to n, an inconsistent number theory. Since T(n) does not contradict T about any numbers below n, if n > 0 then T(n) is non-trivial. (It does not prove 0 = 1, for instance.) The sentences of T(n) are representable in T(n), and its language contains a truth predicate for T(n). The theory can prove itself sound. The Gödel sentence for T(n) is provable in T(n), as is its negation, so the theory is inconsistent. Yet as Meyer proved, the non-triviality of T(n) can be established in T(n) by a finite procedure.

Most striking with respect to Hilbert’s program, there is a way, in principle, to figure out for any arithmetic sentence Φ whether or not Φ holds, just by checking all the numbers up to n. This means that T(n) is decidable, and that there must be axioms guaranteed to deliver every truth about the collapsed model. This means that an inconsistent arithmetic is coherent and complete.

6. Analysis

Newton and Leibniz independently developed the calculus in the 17th century. They presented ingenious solutions to outstanding problems (rates of change, areas under curves) using infinitesimally small quantities. Consider a curve and a tangent to the curve. Where the tangent line and the curve intersect can be though of as a point. If the curve is the trajectory of some object in motion, this point is an instant of change. But a bit of thought shows that it must be a little more than a point—otherwise, as a measure a rate of change, there would be no change at all, any more than a photograph is in motion. There must be some smudge. On the other hand, the instant must be less than any finite quantity, because there are infinitely many such instants. An infinitesimal would respect both these concerns, and with these provided, a circle could be construed as infinitely many infinitesimal tangent segments.

Infinitesimals were essential, not only for building up the conceptual steps to inventing calculus, but in getting the right answers. Yet it was pointed out, most famously by Bishop George Berkeley, that infinitesimals were poorly understood and were being used inconsistently in equations. Calculus in its original form was outright inconsistent. Here is an example. Suppose we are differentiating the polynomial f(x) =ax2+bx+c. Using the original definition of a derivative,

In the example, ε is an infinitesimal. It marks a small but non-trivial neighborhood around x, and can be divided by, so it is not zero. Nevertheless, by the end ε has simply disappeared. This example suggests that paraconsistent logic is more than a useful technical device. The example shows that Leibniz was reasoning with contradictory information, and yet did not infer everything. On the contrary, he got the right answer. Nor is this an isolated incident. Mathematicians seem able to sort through “noise” and derive interesting truths, even out of contradictory data sets. To capture this, Brown and Priest (2004) have developed a method they call “chunk and permeate” to model reasoning in the early calculus. The idea is to take all the information, including say ε = 0 and ε ≠ 0, and break it into smaller chunks. Each chunk is consistent, without conflicting information, and one can reason using classical logic inside of a chunk. Then a permeation relation is defined which controls the information flow between chunks. As long as the permeation relation is carefully defined, conclusions reached in one chunk can flow to another chunk and enter into reasoning chains there. Brown and Priest propose this as a model, or rational reconstruction, of what Newton and Leibniz were doing.

Another, more direct tack for inconsistent mathematics is to work with infinitesimal numbers themselves. There are classical theories of infinitesimals due to Abraham Robinson (the hyperreals), and J. H. Conway (the surreals). Mortensen has worked with differential equations using hyperreals. Another approach is from category theory. Tiny line segments (“linelets”) of length ϵ are considered, such that ϵ2 = 0 but it is not the case that ϵ = 0. In this theory, it is also not the case that ϵ ≠ 0, so the logical law of excluded middle fails. The category theory approach is the most like inconsistent mathematics, then, since it involves a change in the logic. However, the most obvious way to use linelets with paraconsistent logics, to say that both ϵ = 0 and ϵ ≠ 0 are true, means we are dividing by 0 and so is probably too coarse to work.

In general the concept of continuity is rich for inconsistent developments. Moments of change, the flow of time, and the very boundaries that separate objects have all been considered from the standpoint of inconsistent mathematics.

7. Computer Science

The questions posed by David Hilbert can be stated in very modern language:

Is there a computer program to decide, for any arithmetic statement, whether or not the statement can be proven? Is there a program to decide, for any arithmetic statement, whether or not the statement is true? We have already seen that Gödel’s theorems devastated Hilbert’s program, answering these questions in the negative. However, we also saw that inconsistent arithmetic overcomes Gödel’s results and can give a positive answer to these questions. It is natural to extend these ideas into computer science.

Hilbert’s program demands certain algorithms—a step-by-step procedure that can be carried out without insight or creativity. A Turing machine runs programs, some of which halt after a finite number of steps, and some of which keep running forever. Is there a program E that can tell us in advance whether a given program will halt or not? If there is, then consider the program E*, which exists if E does by defining it as follows. When considering some program x, E* halts if and only if x keeps running when given input x. Then

E* halts for E*
if and only if
E* does not halt for E*,

which implies a contradiction. Turing concluded that there is no E*, and so there is no E—that there cannot be a general decision procedure.

Any program that can decide in advance the behavior of all other programs will be inconsistent.

A paraconsistent system can occasionally produce contradictions as an output, while its procedure remains completely deterministic. (It is not that the machine occasionally does and does not produce an output.) There is, in principle, no reason a decision program cannot exist. Richard Sylvan identifies as a central idea of paraconsistent computability theory the development of machines “to compute diagonal functions that are classically regarded as uncomputable.” He discusses a number of rich possibilities for a non-classical approach to algorithms, including a fixed-point result on the set of all algorithmic functions, and a prototype for dialetheic machines.

Important results have been obtained by the paraconsistent school in Brazil—da Costa and Doria in 1994, and Agudelo and Carnielli in 2006. Like quantum computation, though, at present the theory of paraconsistent machines outstrips the hardware. Machines that can compute more than Turing machines await advances in physics.

8. References and Further Reading

a. Further Reading

Priest’s In Contradiction (2006) is the best place to start. The second edition contains material on set theory, continuity, and inconsistent arithmetic (summarizing material previously published in papers). A critique of inconsistent arithmetic is in Shapiro (2002). Franz Berto’s book, How to Sell a Contradiction (2007), is harder to find, but also an excellent and perhaps more gentle introduction.

Some of da Costa’s paraconsistent mathematics is summarized in the interesting collection Frontiers of Paraconsistency (2000)—the proceedings of a world congress on paraconsistency edited by Batens et al. More details are in Jacquette’s Philosophy of Logic (2007) handbook; Beall’s paper in that volume covers issues about truth and inconsistency.

Those wanting more advanced mathematical topics should consult Mortensen’s Inconsistent Mathematics (1995). For impossible geometry, his recent pair of papers with Leishman are a promising advance. His school’s website is well worth a visit. Brady’s Universal Logic (2006) is the most worked-out paraconsistent set theory to date, but not for the faint of heart.

If you can find it, read Routley’s seminal paper, “Ultralogic as Universal?”, reprinted as an appendix to his magnum opus, Exploring Meinong’s Jungle (1980). Before too much confusion arises, note that Richard Routley and Richard Sylvan, whose posthumous work is collected by Hyde and Priest in Sociative Logics and their Applications (2000), in a selfless feat of inconsistency, are the same person.

For the how-to of paraconsistent logics, consult both the entry on relevance and paraconsistency in Gabbay & Günthner’s Handbook of Philosophical Logic volume 6 (2002), or Priest’s textbook An Introduction to Non-Classical Logic (2008). For paraconsistent logic and its philosophy more generally see Routley, Priest and Norman’s 1989 edited collection. The collection The Law of Non-Contradiction (Priest et al. 2004) discusses the philosophy of paraconsistency, as does Priest’s Doubt Truth be a Liar (2006).

For the broader philosophical issues associated with inconsistent mathematics, especially in applications (for example, consequences for realism and antirealism debates), see Mortensen (2009a) and Colyvan (2009).

b. References

  • Arruda, A. I. & Batens, D. (1982). “Russell’s set versus the universal set in paraconsistent set theory.” Logique et Analyse, 25, pp. 121-133.
  • Batens, D., Mortensen, C. , Priest, G., & van Bendegem, J-P., eds. (2000). Frontiers of Paraconsistent Logic. Kluwer Academic Publishers.
  • Berto, Francesco (2007). How to Sell a Contradiction. Studies in Logic v. 6. College Publications.
  • Brady, Ross (2006). Universal Logic. CSLI Publications.
  • Brown, Bryson & Priest, G. (2004). “Chunk and permeate i: the infinitesimal calculus.” Journal of Philosophical Logic, 33, pp. 379–88.
  • Colyvan, Mark (2008). “The ontological commitments of inconsistent theories.” Philosophical Studies, 141(1):115 – 23, October.
  • Colyvan, Mark (2009). “Applying Inconsistent Mathematics,” in O. Bueno and Ø. Linnebo (eds.), New Waves in Philosophy of Mathematics, Palgrave MacMillan, pp. 160-72
  • da Costa, Newton C. A. (1974). “On the theory of inconsistent formal systems.” Notre Dame Journal of Formal Logic, 15, pp. 497– 510.
  • da Costa, Newton C. A. (2000). Paraconsistent mathematics. In Batens et al. 2000, pp. 165–180.
  • da Costa, Newton C.A., Krause, D´ecio & Bueno, Ot´avio (2007). “Paraconsistent logics and paraconsistency.” In Jacquette 2007, pp. 791 – 912.
  • Gabbay, Dov M. & Günthner, F. eds. (2002). Handbook of Philosophical Logic, 2nd Edition, volume 6, Kluwer.
  • Hinnion,Roland & Libert, Thierry (2008). “Topological models for extensional partial set theory.” Notre Dame Journal of Formal Logic, 49(1).
  • Hyde, Dominic & Priest, G., eds. (2000). Sociative Logics and their Applications: Essays by the Late Richard Sylvan. Ashgate.
  • Jacquette, Dale, ed. (2007). Philosophy of Logic. Elsevier: North Holland.
  • Libert, Thierry (2004). “Models for paraconsistent set theory.” Journal of Applied Logic, 3.
  • Mortensen, Chris (1995). Inconsistent Mathematics. Kluwer Academic Publishers.
  • Mortensen, Chris (2009a). “Inconsistent mathematics: Some philosophical implications.” In A.D. Irvine, ed., Handbook of the Philosophy of Science Volume 9: Philosophy of Mathematics. North Holland/Elsevier.
  • Mortensen, Chris (2009b). “Linear algebra representation of necker cubes II: The routley functor and necker chains.” Australasian Journal of Logic, 7.
  • Mortensen, Chris & Leishman, Steve (2009). “Linear algebra representation of necker cubes I: The crazy crate.” Australasian Journal of Logic, 7.
  • Priest, Graham, Beall, J.C. & Armour-Garb, B., eds. (2004). The Law of Non-Contradiction. Oxford: Clarendon Press.
  • Priest, Graham (1994). “Is arithmetic consistent?” Mind, 103.
  • Priest, Graham (2000). “Inconsistent models of arithmetic, II: The general case.” Journal of Symbolic Logic, 65, pp. 1519–29.
  • Priest, Graham (2002). “Paraconsistent logic.” In Gabbay and Günthner, eds. 2002, pp. 287–394.
  • Priest, Graham (2006a). Doubt Truth Be A Liar. Oxford University Press.
  • Priest, Graham (2006b). In Contradiction: A Study of the Transconsistent. Oxford University Press. second edition.
  • Priest, Graham (2008). An Introduction to Non-Classical Logic. Cambridge University Press, second edition.
  • Priest, Graham, Routley, R. & Norman, J. eds. (1989). Paraconsistent Logic: Essays on the Inconsistent. Philosophia Verlag.
  • Routley, Richard (1977). “Ultralogic as universal?” Relevance Logic Newsletter, 2, pp. 51–89. Reprinted in Routley 1980.
  • Routley, Richard (1980). “Exploring Meinong’s Jungle and Beyond.” Philosophy Department, RSSS, Australian National University, 1980. Interim Edition, Departmental Monograph number 3.
  • Routley, Richard & Meyer, R. K. (1976). “Dialectical logic, classical logic and the consistency of the world.” Studies in Soviet Thought, 16, pp. 1–25.
  • Shapiro, Stewart (2002). “Incompleteness and inconsistency.” Mind, 111, pp. 817 – 832.

Author Information

Zach Weber
Email: zweber@unimelb.edu.au
University of Sydney, University of Melbourne
Australia

Philosophy of Language

Those who use the term “philosophy of language” typically use it to refer to work within the field of Anglo-American analytical philosophy and its roots in German and Austrian philosophy of the early twentieth century. Many philosophers outside this tradition have views on the nature and use of language, and the border between “analytical” and “continental” philosophy is becoming more porous with time, but most who speak of this field are appealing to a specific set of traditions, canonical authors and methods. The article takes this more narrow focus in order to describe a tradition’s history, but readers should bear in mind this restriction of scope.

The history of the philosophy of language in the analytical tradition begins with advances in logic and with tensions within traditional accounts of the mind and its contents at the end of the nineteenth century. A revolution of sorts resulted from these developments, often known as the “Linguistic Turn” in philosophy. However, its early programs ran into serious difficulties by mid-twentieth century, and significant changes in direction came about as a result. Section 1 below addresses the precursors and early stages of the “Linguistic Turn,” while Section 2 addresses its development by the Logical Positivists and others. Section 3 outlines the sudden shifts that resulted from the works of Quine and Wittgenstein, and Section 4 charts the major approaches and figures that have followed from mid-century to the present.

Table of Contents

  1. Frege, Russell and the Linguistic Turn
    1. Referential Theories of Meaning
    2. Frege on Sense and Reference
    3. Russell
  2. Early Analytical Philosophy of Language
    1. The Tractatus Logico-Philosophicus
    2. The Vienna Circle and the Logical Positivists
    3. Tarski’s Theory of Truth
  3. Mid-century Revolutions
    1. Quine and the Analytic/Synthetic Distinction
    2. The Later Wittgenstein
  4. Major Areas in the Contemporary Field
    1. Truth-Conditional Theories of Meaning
    2. Meaning and Use
    3. Speech Act Theory and Pragmatics
  5. Future Directions and Emerging Debates
  6. References and Further Reading

1. Frege, Russell and the Linguistic Turn

a. Referential Theories of Meaning

Much of the stage-setting for the so-called “Linguistic Turn” in Anglo-American philosophy took place in the mid nineteenth century. Attention turned to language as many came to see it as a focal point in understanding belief and representation of the world. Language came to be seen as the “medium of conceptualization,” as Wilfrid Sellars would later put it. Idealists working in Kant’s wake had developed more sophisticated “transcendental” accounts of the conditions for the possibility of experience, and this evoked strong reactions from more realist philosophers and those sympathetic to the natural sciences. Scientists also made advances in the 1860s and 70s in describing cognitive functions, like speech production and comprehension, as natural phenomena, including their discovery of Broca’s area and Wernicke’s area, which are two neural centers of linguistic activity.

John Stuart Mill‘s work around this time reinvigorated British empiricism and included an approach to language that traced the meanings of individual words to the objects to which they referred (see 1843, 1, 2, sec. 5). Mill’s empiricism led him to think that for meaning to have any significance for our thought and understanding, we must explain it in terms of our experience. Thus, meaning should ultimately be understood in terms of words standing for sets of sense impressions. Not all those concerned with language shared Mill’s empiricist leanings, though most shared his sense that denotation, rather than connotation, should be at the center of an account of meaning. A word denotes something by standing for it, as my name stands for me, or “Baltimore” stands for a particular city on America’s East Coast; a word connotes something when it “implies an attribute” in Mill’s terms, as “professor” generally implies an expert in an academic field and someone with certain sorts of institutional authority. For most expressions, philosophers thought that to grasp their meaning was to know what they stood for, as we often think of proper names serving simply as labels for the things they denote. (Mill also tended to use “meaning” in talking about connotation, and might have reservations with saying that proper names had “meanings,” though this is not to deny that they denote things.) Thus,

(1) The cat sat on the refrigerator.

should be understood as a complex arrangement of signs. “The cat” denotes or refers to a particular furry domesticated quadruped, “the refrigerator” denotes something, and so forth. Some further elaboration would be needed for verbs, logical vocabulary and other categories of terms, but most philosophers took the backbone of an account of meaning to be denotation, and language use to be a process of the management of signs. These signs might denote objects directly, or they might do so indirectly by standing for something within our minds, following Locke, who described words as “signs of ideas” (1690, III, 1).

Accounts that emphasized the reference of terms as constitutive of the meaning of most expressions faced two serious problems, however. First, they failed to explain the possibility of non-referring terms and negative existential sentences. On such a referential picture of meaning, the meaning of most expressions would simply be their bearers, so an existential sentence like

(2) John Coltrane plays saxophone.

was easy to analyze. Its subject term, “John Coltrane,” referred to a particular person and the sentence says of him that he does a particular sort of thing: he plays saxophone. But what of a sentence like

(3) Phlogiston was thought to be the cause of combustion.

Assuming that there is not and never was such a thing as phlogiston, how can we understand such a sentence? If the meaning of those expressions is their referent, then this sentence should strike us as meaningless. Meinong (1904) suggested that such expressions denote entities that “subsist,” but do not exist, by which he granted them a sort of reality, albeit one outside the actual universe. The majority of philosophers treated this with suspicion. Others suggested that the expression above denotes the concept or idea of “phlogiston.” The difficulty facing such responses comes into sharper relief with consideration of negative existentials.

(4) Atlantis does not exist.

If Atlantis does not exist, the expression “Atlantis” does not refer to anything and would have no meaning. One could say that “Atlantis” refers not to a sunken city, but to our concept of a sunken city. But this has the paradoxical result of making (4) false, since the concept is there for us to refer to, thus rendering it impossible to deny. This might even entail that we could not truthfully deny the existence of anything of which we could conceive, which seems implausible.

The second serious problem for referential theories of meaning, noted by Frege (1892), was the informativeness of some identity sentences. Sentences of self-identity are true purely in virtue of their logical form, and we may affirm them even when we do not know what the expression refers to. For instance, anyone could affirm

(5) Mt. Kilimanjaro is Mt. Kilimanjaro.

even if they do not know what Mt. Kilimanjaro is. Making this statement in such a case would not inform our understanding of the world in any significant way. However, a sentence like

(6) Mt. Kilimanjaro is the tallest mountain in Africa.

would certainly be informative to those who first heard it. But remember that according to referential theories of meaning, “Mt. Kilimanjaro” and “the tallest mountain in Africa” refer to the same thing and hence mean the same thing according to these theories; therefore, (5) and (6) say the same thing and one should be no more or less informative than the other. Where we grasp the meaning of an expression or a sentence, philosophers have traditionally taken it that this should make some sort of cognitive difference, for example, we should be able to perform an action, make an inference, recognize something, and so on. Thus differences in the meanings of expressions should be reflected by some difference in cognitive significance between the expressions. But if expressions refer to the same thing, and their meaning consists solely in their picking out a referent, then there should be no such cognitive difference even if there is apparently a difference in meaning. Simple referential theories do not offer us an obvious solution to this problem and therefore fail to capture important intuitions about meaning.

b. Frege on Sense and Reference

To address these problems, Frege proposed that we should think of expressions as having two semantic aspects: a sense and a reference. The sense of an expression would be its “mode of presentation,” as Frege put it, that conveyed information to us in its own distinct way. That information would in turn determine a referent for each expression. This led to a credo pervasive in analytical philosophy: sense determines reference. This solved problems of reference by shifting the emphasis to the sense of expressions first and to their reference later. Negative existential sentences were intelligible because the sense of an expression like “largest prime number” or “Atlantis” could be logically analyzed or made explicit in terms of other descriptions, even if the set of things specified by this information was, in fact, empty. Our belief that these sentences and expressions were meaningful was a consequence of grasping their senses, even when we realized this left them without a referent. As Frege put it:

It can perhaps be granted that an expression has a sense if it is formed in a grammatically correct manner and stands for a proper name. But as to whether there is a denotation corresponding to the connotation is hereby not decided… [T]he grasping of a sense does not with certainty warrant a corresponding nominatum. [that is, referent] (1892: p. 153 in Beaney (1997))

The informativeness of some identity claims also became clearer. In a sentence like (5), we are simply stating self-identity, but in a sentence like (6), we express something of real cognitive significance, containing extensions of our knowledge that cannot generally be shown a priori. This would not be a trivial matter of logical form like “A=A,” but a discovery that two very different senses determined the same referent, which would suggest important conceptual connections between different ideas, inform further inferences, and thus enlighten us in various ways. Even if “Mt. Kilimanjaro” and “the tallest mountain in Africa” refer to the same thing, it would be informative to learn that they do, and we would augment our understanding of the world by learning this.

Frege also noted that expressions which shared their referents could generally be substituted for one another without changing the truth value of a sentence. For instance, “Elvis Costello” and “Declan McManus” refer to the same object, and so if “Elvis Costello was born in Liverpool” is true, so is, “Declan McManus was born in Liverpool.” Anything that we might predicate of the one, we may predicate of the other, so long as the two expressions co-refer. However, Frege realized that there were certain contexts in which this substitutability failed, or at least could not be guaranteed. For instance,

(7) Liz knows that Elvis Costello was born in Liverpool.

may be true, even when

(8) Liz knows that Declan McManus was born in Liverpool.

is false, especially in cases where Liz does not know that Elvis Costello is Declan McManus, or never learns the latter name at all. What has happened here? Note that (7) and (8) both include strings of words that could be sentences in their own right (“Elvis Costello was born in Liverpool” and “Declan McManus was born in Liverpool”). “Liz knows that…” expresses something about those propositions (namely, Liz’s attitude towards them). Frege suggested that in these cases, the reference of those embedded sentences is not a truth value, as it would customarily be, but is rather the sense of the sentence itself. Someone might grasp the sense of one sentence but not another, and hence sentences like (7) and (8) could vary in their truth values. Frege called these “indirect” contexts, and Quine would later dub such cases “opaque” contexts.

Rudolf Carnap would later replace the term “sense” with “intension” and “reference” with “extension.” Carnap’s terminology became prevalent in formal analysis of semantics by the 1950s, though it was Frege’s original insights that drove the field. Significant worries remained for the Fregean notion of sense, however. Names and other expressions in natural languages rarely have fixed sets of descriptions that are universally acknowledged as Frege’s senses would have to be. Frege might reply that he had no intention of making sense a matter of public consensus or psychological regularity, but this makes the status of a sense all the more mysterious, as well as our capacity to grasp them. Analytical philosophers of language would struggle with this for decades to come.

Still, Frege had effectively redrawn the map for philosophy. By introducing senses as a focal point of analysis, he had carved out a distinct territory for philosophical inquiry. Senses were not simply psychological entities, since they were both commonly accessible by different speakers and had a normative dimension to them, prescribing correct usage rather than simply describing performance. (See Frege (1884) for a thorough attack on psychologistic accounts of meaning.) Nor were they the causal and mechanical objects of natural science, reducible to accounts of lawlike regularity. They were entities playing a logical and cognitive role, and would be both explanatory of conceptual content and universal across natural languages, unlike the empirical details of linguistics and anthropology. Thus, there was a project for philosophy to undertake, separate from the natural sciences, and it was the logical analysis of the underlying structure of meaning. Though naturalistic concerns would be reasserted in the development of analytical philosophy, Frege’s project would come to dominate Anglo-American philosophy for much of the next century.

c. Russell

An important bridge between Frege and the English-speaking world was Bertrand Russell’s “On Denoting” (1905). Both men were mathematicians by training and shared a concern with the foundations of arithmetic. However, Russell shared a sense with some earlier philosophers that at least some expressions were meaningful in virtue of direct reference, contra Frege. Still, Russell saw the potential in Frege’s work and undertook an analysis of singular definite descriptions. These are complex expressions that purport to single out a particular referent by providing a description, for example, “the President of the USA,” or “the tallest person in this room right now.” Russell wondered how

(9) The present King of France is bald.

could be meaningful, given the absence of a present King of France. Russell’s solution was to analyze the logical role of such descriptions. Although a select few expressions referred directly to objects, most were either descriptions that picked out a referent by offering a list of properties, or disguised abbreviations of such descriptions. Russell even suggested that most proper names were abbreviated descriptions. Strictly speaking, descriptions would not refer at all; they would be quantified phrases that had or lacked extensions. What was needed was an account that could explain the meaning of descriptions in terms of the propositions that they abbreviated. Russell (1905) analyzed sentence (9) as implying three things that jointly gave us a definition of propositions involving descriptions. (A more succinct presentation comes in Russell (1919).) A sentence like “The author of Waverley was Scott” involves three logical constituents:

(10) “x wrote Waverley” is not always false (i.e at least one person wrote Waverley)

(11) “if x and y wrote Waverley , x and y are identical” is always true (that is, at most one person wrote Waverley)

(12) “if x wrote Waverley, x was Scott” is always true (that is, whoever wrote Waverley was Scott)

The first two here effectively assert the existence and uniqueness of the referent of this expression, respectively. We may generalize them and express them as a single proposition of the form “There is a term c such that Fx is true when x is c, and Fx is false when x is not c.” (Thus, F is held uniquely by c.) This asserts that there is a unique satisfier of the description given or implied by an expression, and this may be true or false depending on the expression at hand. We can then tack on an additional condition expressing whatever property is attributed to the referent (being bald, Scott, and so on) in the form “c has the property Y.” If nothing has the property F thus analyzed, (such as “being the present King of France” in (9) above) then “c has the property Y” is false, and we have a means to analyze non-denoting expressions. Such expressions are actually to be understood as quantified phrases and we may understand them as having objects over which they quantify or lacking such objects; the grasp of the logical structure of those phrases is what constitutes our understanding of them. While we grasp each of the parts abbreviated by the expression, we also understand that one of them is false—there is no unique satisfier of “the present King of France”—and thus we can understand the sentence “The present king of France is bald” even though one of its terms does not refer. That expression can have a significant occurrence once we understand it as an “incomplete” or “complex” symbol whose meaning is derived from its constituents. Most proper names, and indeed almost all expressions in a natural language, would submit to such an analysis, and Russell’s work thus kick-started analytical philosophy in the English-speaking world. (Significant contributions were also made by G.E. Moore in the fields of epistemology and ethics and hence he is often mentioned along with Russell, but Moore’s achievements are largely outside the scope of our focus here.)

2. Early Analytical Philosophy of Language

The achievements of Russell and Frege, in setting an agenda for analytical philosophers that promised to both resolve longstanding philosophical difficulties and preserve a role for philosophy on an equal footing with the natural sciences, electrified European and American academic philosophers. The following section focuses on three points of interest in the early phases of this tradition: (1) the early work of Ludwig Wittgenstein; (2) the Logical Positivists; and (3) Tarski‘s theory of truth.

a. The Tractatus Logico-Philosophicus

Ludwig Wittgenstein came to read Frege and Russell out of an interest in the foundations of mathematics and went to Cambridge to study with Russell. He studied there, but left to serve in the Austro-Hungarian army in 1914. While being held as a prisoner of war, he wrote drafts of a text that many saw as the high-water mark of early analytical philosophy, the Tractatus Logico-Philosophicus. In it, he wrote seven propositions and made extensive comments on six of them, with extensive comments on the comments, and so forth. He laid out a parsimonious and ambitious plan to systematically realize Frege and Russell’s aspirations of analyzing the logical structure of language and thought.

Through logical analysis, Wittgenstein held that we could arrive at a conception of language as consisting of elementary propositions related by the now-familiar elements of first-order logic. Any sentence with a sense could have that sense perspicuously rendered in such a system, and any sentence that did not yield to such analysis would not have a sense at all. “Everything that can be thought at all can be thought clearly. Everything that can be said can be said clearly.” (1922, §4.116) Wittgenstein’s claim here is not that we cannot string together words in unclear ways; indeed, we do that all the time. Rather, in doing so, we do not express anything that has a sense. What we say may get nods of approval from fellow speakers, and we may even be grasping at something important, but what we say does not convey anything meaningful.

In part, this reflects Wittgenstein’s early view that propositions “pictured” the world. This is not to say that a written inscription or a verbal utterance of a sentence visually resembles that state of affairs it expresses. “Elvin Jones played drums for John Coltrane” looks like neither Elvin Jones, nor John Coltrane, nor a drum set. Rather, the form of a proposition resembled the form of some fact of the world. What was required to understand this as a picture of the world was just what was needed in the case of actual pictures—a coordination of the elements in the picture with objects outside itself. (Logical truths would be true in virtue of relations among their propositions.) Where we could do this, the language was stating something clearly; where we could not, despite our best efforts, the words were not saying anything at all. However, this was not to say that everything about meaning and our understanding of the world was a matter of explicit definition, that is, something we could say. Rather than being said with our language, many things can only be shown. For instance, think of a logical expression like “and.” Any attempt to explain its sense, like putting two things side by side, or using another term like “both,” only recapitulates the structure of “and,” thus adding nothing. The form of our propositions shows how it works and we cannot say anything more informative about it. Wittgenstein also espoused a number of views at the end of the Tractatus on solipsism, the will, and ethics, and what could be said about them; but these remain some of the most difficult and contested points of interpretation in his work. Wittgenstein took himself to have prescribed the limits of what philosophy could say, and he closed the Tractatus without further comment by saying, “Whereof we cannot speak, we must remain silent.” (1922, §7)

b. The Vienna Circle and the Logical Positivists

Beginning in 1907, a group of European professors originally known as the Ernst Mach Society began to meet regularly for discussions on matters of logic, philosophy and science under the guidance of Moritz Schlick. They later took to calling themselves the Vienna Circle and their ongoing conversations became the nascence of a movement known as Logical Positivism, which would include Carl Hempel, Rudolf Carnap, and Hans Reichenbach, among many others. They rejected the Hegelian idealism prevalent in European academic circles, espoused the austere precision of science, particularly physics, as a model for their methods, and took the phenomenalist strains of British empiricism as a more suitable epistemological foundation for such goals. Carnap adopted the insights of Frege’s work and brought tremendous sophistication to the analytical enterprise, particularly in his The Logical Structure of the World (1928). The Logical Positivists also took inspiration from Wittgenstein’s Tractatus, but their fidelity to his more abstruse aims is tenuous at best. They shared Wittgenstein’s view that logical proofs were true in virtue of internal relations among their propositions, not by virtue of any actual facts about the world, and parsed this as support for a renewed version of the analytic/synthetic distinction. Analytic sentences were those true solely in virtue of the meanings of their constituent expressions (“All bachelors are unmarried”) while synthetic sentences were true partly in virtue of empirical facts beyond the meanings of their constituent terms (“Flynn is a bachelor”). Analytic sentences would be confirmed by logical analysis, while synthetic sentences would be confirmed by appeal to observation sentences, or to sense-data in even more rigorous accounts.

This led the Positivists to the Verificationist Theory of Meaning. Analytic sentences would be true in virtue of the meanings of their terms, while all synthetic sentences would have to admit to some sort of empirical verification criteria. Any sentence that could not be verified by one or the other of these means was deemed meaningless. This excluded claims with mystical or occult import, but also large areas of ethics and metaphysics as practiced by many philosophers. Schlick (1933) put it boldly, saying:

[A] proposition has a statable meaning only if it makes a verifiable difference whether it is true or false. A proposition which is such that the world remains the same whether it is true or false simply says nothing about the world; it is empty and communicates nothing; I can give it no meaning. We have a verifiable difference, however, only when it is a difference in the given… (Ayer 1959, p. 88)

By “given” here, Schlick alluded to the stream of sense-data that come before us. Few if any sentences were understood in such ways by most speakers, so the work of philosophy was logical analysis and definition of the concepts of the natural sciences into verificationist terms. While one could imagine empirical verification of many things in the physical sciences (for example, laboratory results, predictions with observable consequences), it would be far more difficult in fields like psychology and ethics. In these cases, the Positivists favored a type of logical reductionism for the pertinent sentences in the discourse. All sentences and key concepts in psychology would be reduced to empirically verifiable sentences about the behavior of thinking subjects, for instance. A sentence about a mental state like anger would be reduced to sentences about observable behavior such as raising one’s voice, facial expressions, becoming violent, and so on. This would require “bridge laws” or sentences of theoretical identity to equate the entities of, say, psychology with the entities of the physical sciences and thus translate the terms of older theories into new ones. (Again, in some cases the preferred mode would be to equate them directly with sense-data.) Where this could not be done, the Positivists took it that the sentences in question were meaningless, and they advocated the elimination of many canonical concepts, sentences and theories, derisively lumped under the term “metaphysics.” A sentence like “God exists outside of space and time” was certainly not true in virtue of the meanings of its terms and did not admit to any sort of empirical test, so it would be dismissed as gibberish.

The Verificationist theory of meaning ran into great difficulty almost immediately, often due to objections among the Positivists. For one, any sentence stating the theory itself was neither analytical, nor subject to empirical verification, so it would seem to be either self-refuting or meaningless. Universal generalizations including scientific laws like “All electrons have a charge of 1.6×10-19 coulombs” were also problematic, since they were not deducible from finite sets of observation sentences. (See Hempel (1950), esp. §2.1) Counterfactual sentences, such as “If we dropped this sugar cube in water, it would dissolve,” present similar problems. Efforts at refinement continued, though dissatisfaction with the whole program was growing by mid-century.

c. Tarski’s Theory of Truth

In two seminal works (1933 and 1944), Alfred Tarski made a great leap forward for the rigorous analysis of meaning, showing that semantics could be treated just as systematically as syntax could. Syntax, the rules and structures governing the recombination of words and phrases into sentences, had been analyzed with some success by logicians, but semantic notions like “meaning” or “truth” defied such efforts for many years.

Tarski sought an analysis of the concept of truth that would contain no explicit or implicit appeals to inherently semantic notions, and offered a definition of it in terms of syntax and set theory. He began by distinguishing metalanguage and object language; an object language is the language (natural or formal) that is our target for analysis, while the metalanguage is the language in which we conduct our analysis. Metalanguage is the language that we use to study another language, and the object language is the language that we study. For instance, children learning a second language typically take classes conducted in their mother tongue that treat the second language as an object to be studied. Thus, copies of all the sentences of the object language should be included in the metalanguage and the metalanguage should include sufficient resources to describe the syntax of the object language, as well. In effect, an object language would not contain its own truth predicate—this could only occur in a metalanguage, since it requires speakers to talk about sentences themselves, rather than actually to use them. There is great controversy about the shape that a metalanguague would have to take to enable analysis of a natural language, and Tarski openly doubted that these methods would transfer easily from formal to natural languages, but we will not delve into these issues here.

Tarski argued that a definition of truth would have to be “formally correct” or as he put it:

(14) For all x, True(x) iff Fx.

or a sentence provably equivalent to this, where “true” was not part of F. This much was a largely formal condition, but Tarski added a more robust call for “material adequacy” or a sense that our definition had succeeded in capturing the sorts of correspondence between states of affairs and sentences classically associated with truth. So, for instance, our truth definition had to imply a sentence like:

(15) “Snow is white” is true iff snow is white.

Note that the quotes here make the first half of this metalanguage sentence about the object language sentence “Snow is white”; the second half of the metalanguage sentence is about snow itself. Tarski then offered a definition of truth

“A sentence is true if it is satisfied by all objects and false otherwise.” (1944, p. 353)

where satisfaction is a relation between arbitrary objects and sentential functions, and sentential functions are expressions with a formal structure much like ordinary sentences, but which contain free variables, for example, “x is blue” or “x is greater than y.” Tarski thought we might indicate which objects satisfied the simplest sentential functions and then offer a further set of conditions under which compound functions were satisfied in terms of those simple functions. (Further refinements were made to a 1956 edition of the paper to accommodate certain features of model theory that we will not discuss here.) Once Tarksi added an inductive definition of the other operators of first-order logic, a definition of truth had apparently been given without appeal to inherently semantic notions, though Field (1972) would argue that “designation” and “satisfaction” were semantic notions as well. Whether this should be read as a deflationary account of truth or an analysis of a robust correspondence theory was a point of great debate among analytical philosophers, but much like Frege’s earlier work, it played the far more momentous role of convincing further generations of logicians and philosophers that the analysis of traditionally intractable philosophical notions with the tools of modern logic was both within their grasp and immensely rewarding.

3. Mid-century Revolutions

By the middle of the 20th century, the approach spawned by Frege, Moore and Russell had taken root with the Logical Positivists. The Second World War did a great deal to scatter the most talented philosophers from the Continent, and many settled at universities in Great Britain and the United States, spreading their views and influencing generations of philosophers to come. However, the analytical tradition always had a robust streak of criticism from within, and some of the pillars of the early orthodoxy were already under some suspicion from members of the Vienna Circle like Otto Neurath (see his (1933)) and gadflies like Karl Popper. The next section addresses the work of two figures, Quine and the later Wittgenstein, who challenged received views in the philosophy of language and served as transitional figures for contemporary views.

a. Quine and the Analytic/Synthetic Distinction

W.V.O. Quine (1953) went after the very core of Logical Positivism, and in effect analytical philosophy, by attacking the analytic/synthetic distinction. The Positivists had been happy to admit a distinction between sentences that were true in virtue of the meanings of their terms and those that were true in virtue of the facts, but Quine brought a certain skepticism about the meanings of individual expressions to the table. Much like the Positivists, he was wary of anything that would not admit to empirical confirmation and saw meaning as one more such item.

Quine dismissed the idea of a meaning as a real item somehow present in our minds beyond the ways in which it manifests itself in our behavior. He later dubbed this “the myth of the museum”—a place “in which the exhibits are the meanings and the words are the labels.” (1969, p. 27) In a strongly empiricist spirit, he argued that we have no access to such things in our experience, thus they could not explain our linguistic behavior, and therefore they had no rightful place in our account. Quine wondered whether there was a principled distinction between analytic and synthetic statements at all. In reviewing the prevailing ideas of analyticity, he found each one inadequate or question-begging. Analyticity was a dogma, an article of faith among empiricists (especially Logical Positivists) and one that could not stand closer scrutiny. Moreover, the Positivists paired analyticity with a second dogma, empirical reductionism, the view that each sentence or expression could be assigned its own distinctive slice of empirical content from our experience. Quine’s claim was not that we should not be empiricists or worry about such empirical content, but rather that no individual sentence or expression could be allotted such content all on its own. The sentences of our language operate in conjunction with one another to “face the tribunal of experience” as a whole. This holism entailed a certain egalitarianism among the sentences to which we commit ourselves, as well. Any claim could be held true, come what may, if we were willing to revise other parts of our “web of belief” to accommodate it, and any claim—even one we took to be a claim about meaning before, like “all bachelors are unmarried”—could be revised if conditions demanded it. (1953, p.43) Some sentences would have a relatively strong immunity from revision, for example, the laws of logic, but they enjoy that status only because of their centrality in our present ways of thinking. Other, less central claims could be revised more easily, perhaps with only passing interest, for example, claims about the number of red brick houses on Elm St. This wide-open revisability came to set a tone for epistemology in analytical philosophy during the latter half of the 20th century.

Without tidy parcels of empirical content or analytic truths to anchor an account of meaning, Quine saw little use for meaning at all. Instead, his work focused on co-reference and assent among speakers. In Word and Object (1960), he suggested that our position as speakers is much like that of a field linguist attempting to translate a newly discovered language with no discernible connections to other local languages. He dubbed this approach “radical translation.” Faced with such a situation, we would search for recurring expressions and attempt to secure referents for them. In his classic example, we stand around with the locals, notice that rabbits occasionally run by and that the locals mutter “Gavagai” when the rabbits pass; we might be moved by this to translate their utterances as our own word “rabbit.” Thinking of the translatability of one utterance with another thus achieves the same sort of theory-building effect that talk of shared meaning did, but without appeal to abstract objects like meanings. However, this also led to Quine’s thesis of the “indeterminacy of translation.” When we form such hypotheses based on observations of speakers’ behavior, that evidence always underdetermines our hypothesis, and the evidence could be made to fit other translations, even if they start to sound a bit strange to us. Hence, “gavagai” might also be translated as “dinner” (if the locals eat rabbits) or “Lo, an undetached rabbit part!” We might narrow the plausible translations a bit with further observation, though not to the logical exclusion of all others. Direct queries of the local speakers might also winnow the set of plausible translations a bit, but this presumes a command of a great deal of abstract terminology that we share with those speakers, and this command would presumably rest upon a shared understanding of the simpler sorts of vocabulary with which we started. Hence, nothing that we can observe about those speakers will completely determine the correctness of one translation over all competitors and translation is always indeterminate. This is not to say that we should not prefer some translations over others, but our grounds for doing so are usually pragmatic concerns about simplicity and efficiency, We should also note that each speaker is in much the same position when it comes to understanding other speakers even in her mother tongue; we have only the observable behaviors of other speakers and familiarity with our own usage of such terms, and we must make ongoing assessments of other speakers in conversation in just these ways. Donald Davidson, Quine’s student, would continue to develop these ideas even further in Quine’s wake. Davidson emphasized that the interpretations we create of the expressions in our native language are no less radical than what Quine was suggesting of the field linguist’s attempted translations of radically new expressions (see his 1984).

Quine’s work inspired many, but also came under sharp attack. The behaviorism at the heart of his account has fallen out of favor with the majority of philosophers and cognitive scientists. Much of Noam Chomsky’s (1959) critique of B.F Skinner may be said to apply to Quine’s work. The emphasis on innateness and tacit knowledge in Chomsky’s work has been subject to intense criticism as well, but this criticism has not pointed philosophers and linguists back towards the sort of strongly behaviorist empiricism on which Quine’s account was founded. Still, most contemporary philosophers of language owe some debt to Quine for dismantling the dogmas of early analytical philosophy and opening new avenues of inquiry.

b. The Later Wittgenstein

Wittgenstein left Cambridge in the early 1920s and pursued projects outside academia for several years. He returned in 1929 and began doing very different sorts of work. It is a matter of great debate, even among Wittgenstein acolytes, how much affinity there is between these stages. Many philosophers of language will speak of “the later Wittgenstein” as though the earlier views were wholly different and incompatible, while others insist that there is strong continuity of themes and methods. Though his early work was widely misunderstood at the time, there can be little doubt that some important changes took place, and these are worth noting here.

In the posthumously published Philosophical Investigations (1953), Wittgenstein broke with some of the theoretical aspirations of analytical philosophy in the first half of the century. Where analytical philosophers of language had strived for elegant, parsimonious logical systems, the Investigations suggested that language was a diverse, mercurial collection of “language games”—goal-directed social activities for which words were just so many tools to get things done, rather than fixed and eternal components in a logical structure. Representation, denotation and picturing were some of the goals that we might have in playing a language game, but they were hardly the only ones. This turn in Wittgenstein’s philosophy ushered in a new concern for the “pragmatic” dimensions of language usage. To speak of the pragmatic significance of an expression in this sense is to consider how grasping it might be manifested in actions, or the guiding of actions, and thus to turn our attention to usage rather than abstract notions of logical form common to earlier forms of analytical philosophy. (Speech act theorists will also distinguish between pragmatics and semantics in a slightly more restrictive sense, as we shall see in §4.2.) The view that “meaning is use” (1953, p.43) was often attributed to him, though interpretations of this view have varied widely. Wright (1980 and 2001) read this as a call to social conventionalism about meaning, McDowell (1984) explicitly rejected such a conclusion and Brandom (1994) took it as an entry point into an account of meaning that is both normative and pragmatic (that is, articulated in terms of obligations and entitlements to do things in certain ways according to shared practices). But it can be safely said that Wittgenstein rejected a picture of language as a detached, logical sort of picturing of the facts and inserted a concern for its pragmatic dimensions. One cannot look at the representational dimension of language alone and expect to understand what meaning is.

A second major development in the later Wittgenstein’s work was his treatment of rules and rule-following. Meaning claims had a certain hold over our actions, but not the sort that something like a law of nature would. Claims about meaning reflect norms of usage and Wittgenstein argued that this made the very idea of a “private language” absurd. By this, he means it would not be possible to have a language whose meanings were accessible to only one person, the speaker of that language. Much of modern philosophy was built on Cartesian models that grounded public language on a foundation of private episodes, which implied that much (perhaps all) of our initial grasp of language would also be private. The problem here, said Wittgenstein, is that to follow a rule for the use of an expression, appeal to something private will not suffice. Thus, a language intelligible to only one person would be impossible because it would be impossible for that speaker to establish the meanings of its putative signs.

If a language were private, then the only way to establish meanings would be by some form of private ostension, for example, concentrating on one’s experiences and privately saying, “I shall call this sensation ‘pain’.” But to establish a sign’s meaning, something must impress upon the speaker a way of correctly using that sign in the future, or else the putative ostension is of no value. Assuming we began with such a private episode, what could be happening on subsequent uses of the term? We cannot simply say that it feels the same to us as it did before, or strikes us the same way, for those sorts of impressions are common even when we make errors and therefore cannot constitute correctness. One might say that one only has to remember how one used the sign in the past, but this still leaves us wondering. What is one remembering in that case? Until we say how a private episode could establish a pattern of correct usage, memory is beside the point. To alleviate this difficulty, Wittgenstein turned his attention to the realm of public phenomena, and suggested that those who make the same moves with the rules share a “lebensform” or “form of life,” which most have taken to be one’s culture or the sum total of the social practices in which one takes part. Kripke (1982) offered a notable interpretation of Wittgenstein’s private language argument, though opinions vary on its fidelity to Wittgenstein’s work. Subsequent generations of philosophers on both sides of the Atlantic would be profoundly influenced by this argument and struggle with its implications for decades to come.

4. Major Areas in the Contemporary Field

After the seminal works of Quine and Wittgenstein at mid-century, the majority of views expressed in the field may be broadly lumped into two groups: those emphasizing truth conditions for sentences in a theory of meaning and those emphasizing use. Truth-conditional theories continue the formal analysis of Frege, Carnap and Tarski, minus Positivism’s more radical assumptions, while use theories and speech act theory take Wittgenstein’s emphasis on the pragmatic to heart. A brief overview of major figures and issues in each of these follows.

a. Truth-Conditional Theories of Meaning

The majority of philosophers of language working in the analytical tradition share Frege’s intuition that we know the meaning of a word when we know the role it plays in a sentence and we know the meaning of a sentence when we know the conditions under which it would be true. Davidson (1967) and Lewis (1972) argued for such an approach and stand as watersheds in its development. Truth-conditional theories generally begin with the assumption that something is a language or a linguistic expression if and only if its significant parts can represent the facts of the world. Sentences represent facts or states of affairs in the world, names refer to objects, and so forth. The central focus of a theory of meaning remains sentences though, since it is sentences that apparently constitute the most basic units of information. For instance, an utterance of the name “John Coltrane” does not seem to say anything until we point to someone and say, “This is John Coltrane” or assert “John Coltrane was born in North Carolina” and so on. This view of the sentence as the most basic units of meaning is compatible with compositionality, the view that sentences are composed of a finite stock of simpler elements that may be reused and recombined in novel ways, so long as we understand the meanings of those subsentential expressions as contributions to the meanings of sentences. We might understand names and other referring expressions as “picking out” their referents, to which the rest of a sentence attributes something, very roughly speaking. Truth-conditional theories of meaning have also been attractive to those who would prefer a naturalistic and reductionist semantics, appealing to nothing outside the natural world as an explainer of meaning. Strongly naturalistic accounts are also given by Evans (1983), Devitt (1981), and Devitt and Sterelny (1999).

Much attention in this area in the last twenty-five years has been directed at theories of reference, given the importance of explicating their contribution to truth-theoretical accounts. The view, often attributed to Frege, that the sense of proper names was a function of a set of descriptions led many philosophers seeking a truth-conditional account to include such descriptions in the truth conditions for sentences in which they occurred as a means of explaining their reference. However, a new wave of interest in more direct forms of reference began in the 1970s. The enthusiasm for this approach grew out of Kripke’s Naming and Necessity (1980) and a series of articles by Hilary Putnam. (1973 and 1975) There, they attacked the notion that identity statements expressed synonymies, known a priori at the time of their introduction. If we (or whoever introduces the term) stipulate that Aristotle is the author of Nicomachean Ethics, tutor of Alexander, and so on, it would seem to be known a priori that this was true of the referent of that name. The referent is just that thing which satisfies all or most of the “cluster of descriptions” that express the sense of that name. But if we discovered that much or all of this was false of the person we had called “Aristotle,” would this imply that Aristotle did not exist, or that someone else was Aristotle? Much the same could be said of natural kind terms: we took whales to be fish, but those big cetaceans have lungs and mammary glands, so are there no whales after all?

Instead, Putnam and Kripke suggested that proper names and natural kind terms (and descriptions like “the square root of 289”) were rigid designators, or expressions that referred to the same objects or kinds in every possible world without that relation being mediated by some form of descriptive content. Other pieces of descriptive content are actually associated with those expressions—we do say that Aristotle wrote Nicomachean Ethics and that whales are mammals, and so on—but their reference is fixed at the time of their introduction and our use preserves that reference, not the descriptive content. The descriptions associated with a rigid designator (“the author of Nicomachean Ethics,” and so on) are thus always revisable. This has been seen as a form of externalism in semantics, whereby the meanings of words are not entirely determined by psychological states of the speakers who use them, or as Putnam famously quipped, “meanings just ain’t in the head” (1975, p. 227). Notable recent works in this field include Kitcher and Stanford (2000), Soames (2002) and Berger (2002). Several accounts have suggested that while rigid designation in itself has some plausibility, the reductionist elements of these theories leave us with an implausibly direct and unmediated account of reference that must be refined or replaced (Dummett (1974), MacBeth (1995) and Wolf (2006)).

b. Meaning and Use

Verificationist theories fell out of favor after Quine, but were reinvigorated by Michael Dummett’s work on meaning and logic as well as his extensive exegetical work on Frege. (See his 1963, 1974, 1975 and 1976.) Dummett shared the Positivists’ concern with the cognitive significance of a statement, which he interpreted as Frege’s real concern in talking about sense in the first place. Many read Frege as a Platonist about meaning, but Dummett challenged the need for such ontological extensions and their plausibility as explainers of semantic facts in general. Dummett’s position was less a product of a priori ontological stinginess than a continuation of Wittgensteinian themes. Dummett argued that a model of meaning is a model of our understanding when we know such meanings. We are sometimes able to express this understanding explicitly, but a model of meaning could not include such a criterion of explicitness on pain of an infinite regress. (Note Wittgenstein’s Private Language Argument on this point.) Thus, the knowledge that generally constitutes understanding must be implicit knowledge and we can only ascribe such implicit knowledge when we have some sort of observable criteria by which to do so. These observable criteria will be matters of the use of sentences and expressions. (See Dummett 1973, pp. 216ff.)

While such a mix of usage and verification may be straightforward for sentences and conditions that occasionally obtain, it is quite another matter in cases in which they do not. We can grasp the meaning of a sentence whose truth conditions never actually obtain or can never (practically speaking) be verified, for example, “every even number is the sum of two primes.” Knowing what it is for some condition to obtain and knowing that a particular case exemplifies this are separable conditions, so meaning cannot be the simple verification of placing someone in a certain condition and seeing what sentences they utter. Dummett expanded his account by the inclusion of conditions like providing correct inferential consequences of a sentence, correct novel use of a sentence and judgments about sufficient or probable evidence for the truth or falsity of a sentence. He maintains that some form of self-verifying presentations will support these demands and allow us to derive all the features of language use and meaning, though this remains a sticking point for many who are skeptical of such episodes and epistemic foundationalism in general.

Dummett’s reading of Wittgenstein’s emphasis on use has not been the only one, though. Following Sellars (1967), theorists like Harman (1982 and 1987), Block (1986 and 1987), and Brandom (1994) have all pursued an “inferential role” or “conceptual role” semantics that characterized a grasp of the meaning of sentences as a grasp of the inferences one would make to and from that sentence. Block and Harman have explicitly taken this as a basis of a functionalist account of mental content in psychology, as well. Brandom has not pursued such causal explanatory strategies, but instead has emphasized the rational dimension of linguistic competence and the importance of inference to such an account. We grasp the meaning of a sentence when we understand other sentences as relevant to it and infer to and from them in the course of giving and asking for reasons for the claims that we make. A substantial extension of this work, offering a robustly normative account of meaning in sharp contrast to the causal reductionism mentioned above, is offered in Lance and O’Leary-Hawthorne (1997).

c. Speech Act Theory and Pragmatics

Wittgenstein’s later work sparked interest in the pragmatic dimensions of language use among some British philosophers working not long after his death, but a number grew exasperated with the more deflationary and “ordinary language” approaches of Wittgenstein’s acolytes, who saw almost no role for theoretical accounts in describing language at all. Some opted instead to pursue what has come to be known as speech act theory, led initially by the work of John Austin. (See Grice (1975), Austin (1962) and Searle (1969).) These philosophers sought an account of language by which sentences were tools for doing things, including a taxonomy of uses to which pieces of the language could be put. While conventional meaning remained important, speech act theorists extended their focus to an examination of the different ways in which utterances and inscriptions of sentences might play a role in achieving various goals. For instance, the sentence

(16) It is sunny outside.

could be a report, an admonition not to take an umbrella, a lie (if it’s not sunny), practicing English, a taunt and many other things depending on the scenario in which it is put to use.

To see clearly how speech act theorists might address these issues, we should take note of one of its central doctrines, the pragmatics/semantics distinction. We may state this generally by saying that semantic information pertains to linguistic expressions (such as words and sentences), while pragmatic information pertains to utterances and the facts surrounding them.  The study of pragmatics thus includes no attention to features like truth or the reference of words and expressions, but it does include attention to information about the context in which a speaker made the utterance and how those conditions allow the speaker to express one proposition rather than another. This strongly contextual element of pragmatics often leads to special attention to the goals that a speaker might achieve by uttering a sentence in a particular way in that context and why she might have done so. Thus, what a speaker means in saying something is often explained by an emphasis on the speaker’s intentions: to reveal to the hearer that the speaker wants the hearer to respond in a certain way and thus to get the hearer to respond in this way. However, there may be cases in which these intentions have nothing to do with the meaning of the sentence. I might say, “It is raining outside,” with the intention of getting you to take your umbrella, but that’s not what the sentence means. Likewise, I might have said, “The Weather Channel is predicting rain this afternoon,” with those intentions, but this does not entail that those two sentences mean the same thing.

Those intentions whose success is entirely a matter of getting a hearer’s recognition of the actual intention itself are called illocutionary intentions; those intentions whose success is entirely a matter of getting the hearer to do something (above and beyond understanding the semantic content of what is said) are called perlocutionary intentions. Perlocutionary intentions must be achieved through illocutionary acts, for example, making you aware of my intentions to get you to realize something about the weather leads you to think of your umbrella and take it. Following Bach and Harnish (1979), speech act theorists typically characterize speech acts by four analytical subcomponents of speech acts: (1) utterance acts, that is, the very voicing or inscribing of words and sentences; (2) propositional acts, that is, referring to things and predicating properties and relations of them; (3) illocutionary acts, by which speakers interact with other speakers and the utterances constitute moves in that interaction, for example, promises and commands; and (4) perlocutionary acts, by which speakers bring about or achieve something in others by what they say, for example, convincing or persuading someone. Some theorists would also add “meaning intention” and “communicative intention” to this list to emphasize shared understanding of the conventional meanings attached with words and the intersubjectivity of speech acts. As these categories might imply, speech act theory has also incorporated far more consideration of conversational features of discourse and the social aspects of communications than other branches of the philosophy of language. For this reason, it offers promising points of connection between sophisticated semantic accounts and the empirical research of social scientists.

Grice (1975) also suggested that philosophy must consider the ways in which speakers go beyond what is strictly, overtly said by their utterances to consider what is contextually implicated by them. By “implicated,” here, we are considering the ways in which the things a speaker says may invite another speaker to some further set of conclusions, but not in the strict logical sense of entailment or a purely formal matter of conventional meanings. Grice divided these implicatures into two large categories: conventional implicatures and conversational implicatures. Conventional implicatures are those assigned to utterances based on the conventional meanings of the words used, though not in the ways familiar from ordinary logical entailments. For instance:

(17) Michael is an Orioles fan, but he doesn’t live in Baltimore.

(18) Michael is an Orioles fan, and he doesn’t live in Baltimore.

(19) Michael’s being an Orioles fan is unexpected, given that he doesn’t live in Baltimore.

Here, (19) is implied by (17), but not by (18). This failure is not a matter of differences in what makes (17) and (18) true, but in the way in which conventions and conversational principles allow speakers to convey such information. Roughly, the word “but” is used by English speakers to emphasize contrast and surprise, as a speaker would in saying (17).

Conversational implicatures are assigned based on a series of maxims and assumptions by which speakers in conversation cooperate with one another, according to Grice. He suggests maxims of quantity (make your contribution informative but not excessively so), quality (make your contribution true), relation (be relevant), and manner (be perspicuous). To get a sense of how to apply these, consider one of Grice’s (1975) examples:

(20) Smith doesn’t seem to have a girlfriend these days.

(21) He has been paying a lot of visits to New York lately.

Imagine two people having a conversation, with A saying (20) and B saying (21). B implicates that Smith might have a girlfriend in New York, assuming that B is following the maxims mentioned above. If not, say, because B is saying something false or irrelevant, then speakers cannot cooperate and communication collapses. Grice contends that these conversational implicatures are calculable given the right sorts of contextual and background information, along with the linguistic meaning of what is said and the speakers’ adherence to the cooperative maxims described earlier, and much of the literature on conversational implicature has attempted to make good on this notion. Many philosophers working on these aspects of pragmatics worry that these maxims will not suffice as an account of implicature however, and readers should consult Davis (1998) for the most current set of objections to classic Gricean accounts.

Attention to both forms of implicature has drawn philosophers’ attention to matters of presupposition, as well. As the name would suggest, the discussion of this subject focuses on the sorts of information required as background for various sorts of logical and conversational features to obtain. The well-worn example, “Have you stopped robbing liquor stores?” presupposes that you have been robbing liquor stores. Implicatures of both forms thus involve various sorts of presupposition, for example the conventional implicature of “but” in (17) presupposes a proposition about the demographics of Orioles fans, and much recent work in pragmatics has been devoted to developing typologies of presupposition at work in conversation. The two most serious questions for theorists are (1) how presuppositions are introduced into or “triggered” in the sentences in which they play a role and (2) how they are “projected” or carried from the clauses and parts of sentences in which they appear up into the higher-level sentences. The origin of much of the work on this is Langendoen and Savin (1971), and a vast literature has developed in light of it in linguistics and formal semantics.

5. Future Directions and Emerging Debates

While linguistic analysis does not dominate thinking in analytical philosophy as it did for much of the twentieth century, it remains a vibrant field that continues to develop. As in the early days of analytical philosophy, there is great interest in parallels between the content of utterances and the attribution of content to mental states, but many cognitive scientists have moved away from the classic analytical assumption that thoughts had a symbolic or sentence-like content. Following the directions mapped out in Rumelhart and McClelland (1986) some cognitive scientists have embraced connectionism, a view that emphasizes the dynamic interaction between large sets of interconnected nodules (much like neurons in the brain), as a model for cognition. Thought would thus not be symbol processing, akin to an internal monologue, and the scope of traditional accounts of language and meaning would be greatly diminished. Readers may consult Tomberlin (1995) for an overview of the field and Churchland (1995) for one of its most ardent proponents. A defense of more traditional symbol-processing approaches has also developed, notably in the work of Fodor and Lepore (1999), complemented by even more radical challenges to symbol processing in the form of dynamic systems theory (see van Gelder 1995 and Rockwell 2005).

Much recent work in the philosophy of language has also been concerned with the context sensitivity of expressions and sentences. This has been driven in no small part by an increasing emphasis on context sensitivity in epistemology (DeRose 1998; Lewis 1996) and meta-ethics (Dancy 1993). Of course, much more emphasis had been put on context over the last fifty years by use and speech act theories. Recently, some have come out in favor of context insensitivity as the predominant mode of natural languages. Cappelen and Lepore (2005) do not argue that there are no context sensitive words or sentences, but rather for semantic minimalism, the view that there are relatively few and they are familiar categories like pronouns and indexicals. They combine this with new work on speech act content to mount a substantial challenge to a great many contemporary philosophers. This debate between minimalists and contextualists promises to be a lively one in the philosophy of language over the next few years.

6. References and Further Reading

  • (Works are listed first by their original dates of publication, with more recent and widely available editions included in some entries.)
  • Austin, J. L. (1962) How To Do Things With Words. Oxford: Oxford University Press.
  • Bach, K. and Harnish, R. (1979) Linguistic Communication and Speech Acts. Cambridge, MA: The MIT Press.
  • Berger, Alan. (2002) Terms and Truth: Reference Direct and Anaphoric. Cambridge, MA: The MIT Press.
  • Block, N. (1986) “Advertisement For a Semantics for Psychology.” In P. French, T. Uehling and H. Wettstein (Eds.). Midwest Studies in Philosophy, vol. 10, pp. 615-678. Minneapolis: University of Minnesota Press.
  • Block, N. (1987) “Functional Role and Truth Conditions,” Proceedings of the Aristotelian Society 61, 157-181.
  • Brandom, R. (1994) Making It Explicit. Cambridge, MA: Harvard University Press.
  • Cappelen, H. and Lepore, E. (2005) Insensitive Semantics. Oxford: Basil Blackwell Pub.
  • Carnap, R. (1928) The Logical Structure of the World (Die Logische Aufbau der Welt). George, E. (trans.) New York: Open Court Classics, 1999.
  • Chomsky, N. (1959) “A Review of B. F. Skinner’s Verbal Behavior.” In Language, 35(1), 26-58.
  • Churchland, P. (1995) Engine of Reason, Seat of the Soul: A Philosophical Journey Into the Brain. Cambridge, MA: The MIT Press.
  • Dancy, J. (1993) Moral Reasons. Oxford: Basil Blackwell Pub.
  • Davidson, D. (1967) “Truth and Meaning.” In Davidson (1984), pp. 17-36.
  • Davidson, D. (1984) Inquiries Into Truth and Interpretation. Oxford: Oxford University Press.
  • Davis, W. (1998) Implicature: Intention, Convention and Principle in the Failure of Gricean Theory. Cambridge: Cambridge University Press.
  • DeRose K. (1995) “Solving the Skeptical Problem.” The Philosophical Review 104(1), 1-7, 17-52.
  • Devitt, Michael. (1981) Designation. New York: Columbia University Press.
  • Devitt, M. and Sterelny, K. (1999) Language and Reality. Cambridge, MA: The MIT Press.
  • Dummett, M. (1963) “Realism.” In Dummett (1978), pp. 145-165.
  • Dummett, M. (1973) “The Philosophical Basis of Intuitionistic Logic.” In Dummett (1978), pp. 215-247.
  • Dummett, M. (1974) “The Social Character of Meaning.” In Dummett (1978), pp. 420-430.
  • Dummett, M. (1975) “Frege’s Distinction Between Sense and Reference.” In Dummett (1978), pp. 116-144.
  • Dummett, M. (1976) “What Is a Theory of Meaning? (II)” In Truth and Meaning: Essays in Semantics. G. Evans and J. McDowell. (Eds.) Oxford: Clarendon Press.
  • Dummett, M. (1978) Truth and Other Enigmas. Cambridge, MA: Harvard University Press.
  • Evans, G. (1983) The Varieties of Reference. Oxford: Oxford University Press.
  • Field, H. (1972) “Tarski’s Theory of Truth.” Journal of Philosophy 69, 347-75.
  • Field, H. (1977) “Logic, Meaning and Conceptual Role” Journal of Philosophy 74, 379-408.
  • Fodor, J and E. Lepore. (1999) “All at Sea in Semantic Space: Churchland on Meaning Similarity.” Journal of Philosophy 96, 381-403.
  • Frege, G. (1892) “On Sense and Reference.” In The Frege Reader. Beaney, M. (Ed.) London: Penguin Press, 1997.
  • Frege, G. (1884) The Foundations of Arithmetic: A Logico-Mathematical Enquiry into the Concept of Number. J. Austin (Trans.) Evanston: Northwestern University Press, 1980.
  • Grice, P. (1975) “Logic and Conversation.” In Studies in the Way of Words, pp. 22-40. Cambridge, MA: Harvard University Press, 1989.
  • Harman, G. (1982) “Conceptual Role Semantics.” Notre Dame Journal of Formal Logic 23, 242-56.
  • Harman, G. (1987) “(Non-solipsistic) Conceptual Role Semantics.” In New Directions in Semantics. E. Lepore. (Ed.) London: Academic Press.
  • Hempel, C. (1950) “Problems and Changes in the Empiricist Criterion of Meaning.” Revenue Internationale de Philosophie 11, 41-63.
  • Kitcher, P. and M. Stanford. (2000) “Refining the Causal Theory of Reference for Natural Kind Terms.” Philosophical Studies 97, 99-129.
  • Kripke, S. (1972) Naming and Necessity, Cambridge, MA: Harvard University Press.
  • Kripke, S. (1982) Wittgenstein on Rules and Private Language. Cambridge, MA: Harvard University Press.
  • Lance, M. and O’Leary-Hawthorne, J. (1997) The Grammar of Meaning. Cambridge, UK: Cambridge University Press.
  • Langendoen, D.T. and Savin, H.B. (1971) “The Projection Problem for Presuppositions.” In C.J. Fillmore and D.T. Langendoen (Eds.) Studies in Linguistic Semantics. New York: Holt, Reinhart and Winston.
  • Lewis, D. (1972) “General Semantics.” In G. Harman and D. Davidson (Eds.) Semantics of Natural Language. Dordrecht: D. Reidel Pub.
  • Lewis, D. (1996) “Elusive Knowledge.” Australasian Journal of Philosophy 74(4), 549-67.
  • Locke, J. (1690) An Essay Concerning Human Understanding. P. Nidditch. (Ed.) Oxford: Oxford University Press, 1975.
  • MacBeth, D. (1995) “Names, Natural Kinds and Rigid Designation.” Philosophical Studies 79, 259-281.
  • McDowell, J. (1984) “Wittgenstein on Following a Rule.” Synthese 58(3), 325-364.
  • Meinong, A. (1904) “Über Gegenstandstheorie.” In A. Meinong (ed.), Untersuchungen zur Gegenstandstheorie und Psychologie, Leipzig: Barth.
  • Mill, J.S. (1843) System of Logic: Ratiocinative and Inductive. Stockton, CA: University Press of the Pacific, 2002.
  • Neurath, O. (1933) “Protocol Sentences.” G. Shick. (Trans.) In A. Ayer (Ed.) Logical Positivism, pp. 199-208. New York: The Free Press, 1959.
  • Putnam, H. (1973) “Meaning and Reference.” The Journal of Philosophy 70, 699-711.
  • Putnam, H. (1975) “The Meaning of Meaning.” In Mind, Language and Reality, pp. 215-271. Cambridge: Cambridge University Press.
  • Rockwell, T. (2005) “Attractor Spaces as Modules: A Semi-Eliminative Reduction of Symbolic AI to Dynamic Systems Theory.” Minds and Machines 15(1), 23-95.
  • Rumelhart, D. and McClelland, J. and the PDP Research Group. (2006) Parallel Distributed Processing: Explorations in the Microstructure of Cognition, Vol. 2: Psychological and Biological Models. Cambridge, MA: The MIT Press.
  • Russell, B. (1905) “On Denoting.” Mind 14, 479-493.
  • Russell, B. (1919) “Descriptions.” In Introduction to Mathematical Philosophy pp. 167-180. London: George Allen and Unqin Ltd.
  • Quine, W.V.O. (1953) “Two Dogmas of Empiricism.” In From a Logical Point of View, pp. 20-46. Cambridge, MA: Harvard University Press.
  • Quine, W.V.O. (1960) Word and Object. Cambridge, MA: The MIT Press.
  • Quine, W.V.O. (1969) “Ontological Relativity.” In Ontological Relativity and Other Essays, pp 26-68. New York: Columbia University Press.
  • Schlick, M. (1933) “Positivism and Realism.” D. Rynin. (Trans.). In A. Ayer (Ed.) Logical Positivism, pp. 82-107. New York: The Free Press, 1959.
  • Searle, J. (1969) Speech Acts: An Essay in the Philosophy of Language. Cambridge, UK: Cambridge University Press.
  • Sellars, W. (1967) Science and Metaphysics. Atascasdero, CA: Ridgeview Press.
  • Soames, S. (2002) Beyond Rigidity: The Unfinished Semantic Agenda of Naming and Necessity. Oxford: Oxford University Press.
  • Tarski, A. (1933) “The concept of truth in the languages of the deductive sciences.” In A. Tarski. Logic, Semantics, Metamathematics, papers from 1923 to 1938, pp. 152-278. Corcoran, J. (Ed.). Indianapolis : Hackett Publishing Company, 1983.
  • Tarski, A. (1944) “The Semantic Conception of Truth and the Foundations of Semantics.” Philosophy and Phenomenological Research 4, 341-375
  • Tomberlin, J. (Ed.) (1995) Philosophical Perspectives 9: AI, Connectionism and Philosophical Psychology. Atascadero, CA: Ridgeview Press.
  • Van Gelder, T. (1995) “What Might Cognition Be If Not Computation?” Journal of Philosophy 92, 345-381.
  • Wittgenstein, L. (1922) Tractatus Logico-Philosophicus. C. Ogden. (Trans.) New York: Dover Pub., 1999.
  • Wittgenstein, L. (1953) Philosophical Investigations: The German Text, With a Revised English Translation. Anscombe, G. and Anscombe, E. (Trans.). Oxford: Basil Blackwell Pub., 2002.
  • Wolf, M. (2006) “Rigid Designation and Anaphoric Theories of Reference.” Philosophical Studies 130(2), 351-375.
  • Wright, C. (1980). Wittgenstein on the Foundations of Mathematics. Cambridge, MA: Harvard University Press.
  • Wright, C. (2001). Rails to Infinity. Cambridge, MA: Harvard University Press.

Author Information

Michael P. Wolf
Email: mwolf@washjeff.edu
Washington and Jefferson College
U. S. A.

Philosophy of Sexuality

Among the many topics explored by the philosophy of sexuality are procreation, contraception, celibacy, marriage, adultery, casual sex, flirting, prostitution, homosexuality, masturbation, seduction, rape, sexual harassment, sadomasochism, pornography, bestiality, and pedophilia. What do all these things have in common? All are related in various ways to the vast domain of human sexuality. That is, they are related, on the one hand, to the human desires and activities that involve the search for and attainment of sexual pleasure or satisfaction and, on the other hand, to the human desires and activities that involve the creation of new human beings. For it is a natural feature of human beings that certain sorts of behaviors and certain bodily organs are and can be employed either for pleasure or for reproduction, or for both.

The philosophy of sexuality explores these topics both conceptually and normatively. Conceptual analysis is carried out in the philosophy of sexuality in order to clarify the fundamental notions of sexual desire and sexual activity. Conceptual analysis is also carried out in attempting to arrive at satisfactory definitions of adultery, prostitution, rape, pornography, and so forth. Conceptual analysis (for example: what are the distinctive features of a desire that make it sexual desire instead of something else? In what ways does seduction differ from nonviolent rape?) is often difficult and seemingly picky, but proves rewarding in unanticipated and surprising ways.

Normative philosophy of sexuality inquires about the value of sexual activity and sexual pleasure and of the various forms they take. Thus the philosophy of sexuality is concerned with the perennial questions of sexual morality and constitutes a large branch of applied ethics. Normative philosophy of sexuality investigates what contribution is made to the good or virtuous life by sexuality, and tries to determine what moral obligations we have to refrain from performing certain sexual acts and what moral permissions we have to engage in others.

Some philosophers of sexuality carry out conceptual analysis and the study of sexual ethics separately. They believe that it is one thing to define a sexual phenomenon (such as rape or adultery) and quite another thing to evaluate it. Other philosophers of sexuality believe that a robust distinction between defining a sexual phenomenon and arriving at moral evaluations of it cannot be made, that analyses of sexual concepts and moral evaluations of sexual acts influence each other. Whether there actually is a tidy distinction between values and morals, on the one hand, and natural, social, or conceptual facts, on the other hand, is one of those fascinating, endlessly debated issues in philosophy, and is not limited to the philosophy of sexuality.

Table of Contents

  1. Metaphysics of Sexuality
  2. Metaphysical Sexual Pessimism
  3. Metaphysical Sexual Optimism
  4. Moral Evaluations
  5. Nonmoral Evaluations
  6. The Dangers of Sex
  7. Sexual Perversion
  8. Sexual Perversion and Morality
  9. Aquinas’s Natural Law
  10. Nagel’s Secular Philosophy
  11. Fetishism
  12. Female Sexuality and Natural Law
  13. Debates in Sexual Ethics
  14. Natural Law vs. Liberal Ethics
  15. Consent Is Not Sufficient
  16. Consent Is Sufficient
  17. What Is “Voluntary”?
  18. Conceptual Analysis
  19. Sexual Activity vs. “Having Sex”
  20. Sexual Activity and Sexual Pleasure
    1. Sexual Activity Without Pleasure
  21. References and Further Reading

1. Metaphysics of Sexuality

Our moral evaluations of sexual activity are bound to be affected by what we view the nature of the sexual impulse, or of sexual desire, to be in human beings. In this regard there is a deep divide between those philosophers that we might call the metaphysical sexual optimists and those we might call the metaphysical sexual pessimists.

The pessimists in the philosophy of sexuality, such as St. Augustine, Immanuel Kant, and, sometimes, Sigmund Freud, perceive the sexual impulse and acting on it to be something nearly always, if not necessarily, unbefitting the dignity of the human person; they see the essence and the results of the drive to be incompatible with more significant and lofty goals and aspirations of human existence; they fear that the power and demands of the sexual impulse make it a danger to harmonious civilized life; and they find in sexuality a severe threat not only to our proper relations with, and our moral treatment of, other persons, but also equally a threat to our own humanity.

On the other side of the divide are the metaphysical sexual optimists (Plato, in some of his works, sometimes Sigmund Freud, Bertrand Russell, and many contemporary philosophers) who perceive nothing especially obnoxious in the sexual impulse. They view human sexuality as just another and mostly innocuous dimension of our existence as embodied or animal-like creatures; they judge that sexuality, which in some measure has been given to us by evolution, cannot but be conducive to our well-being without detracting from our intellectual propensities; and they praise rather than fear the power of an impulse that can lift us to various high forms of happiness.

The particular sort of metaphysics of sex one believes will influence one’s subsequent judgments about the value and role of sexuality in the good or virtuous life and about what sexual activities are morally wrong and which ones are morally permissible. Let’s explore some of these implications.

2. Metaphysical Sexual Pessimism

An extended version of metaphysical pessimism might make the following claims: In virtue of the nature of sexual desire, a person who sexually desires another person objectifies that other person, both before and during sexual activity. Sex, says Kant, “makes of the loved person an Object of appetite. . . . Taken by itself it is a degradation of human nature” (Lectures on Ethics, p. 163). Certain types of manipulation and deception seem required prior to engaging in sex with another person, or are so common as to appear part of the nature of the sexual experience. As Bernard Baumrim makes the point, “sexual interaction is essentially manipulative—physically, psychologically, emotionally, and even intellectually” (“Sexual Immorality Delineated,” p. 300). We go out of our way, for example, to make ourselves look more attractive and desirable to the other person than we really are, and we go to great lengths to conceal our defects. And when one person sexually desires another, the other person’s body, his or her lips, thighs, toes, and buttocks are desired as the arousing parts they are, distinct from the person. The other’s genitals, too, are the object of our attention: “sexuality is not an inclination which one human being has for another as such, but is an inclination for the sex of another. . . . [O]nly her sex is the object of his desires” (Kant, Lectures, p. 164).

Further, the sexual act itself is peculiar, with its uncontrollable arousal, involuntary jerkings, and its yearning to master and consume the other person’s body. During the act, a person both loses control of himself and loses regard for the humanity of the other. Our sexuality is a threat to the other’s personhood; but the one who is in the grip of desire is also on the verge of losing his or her personhood. The one who desires depends on the whims of another person to gain satisfaction, and becomes as a result a jellyfish, susceptible to the demands and manipulations of the other: “In desire you are compromised in the eyes of the object of desire, since you have displayed that you have designs which are vulnerable to his intentions” (Roger Scruton, Sexual Desire, p. 82). A person who proposes an irresistible sexual offer to another person may be exploiting someone made weak by sexual desire (see Virginia Held, “Coercion and Coercive Offers,” p. 58).

Moreover, a person who gives in to another’s sexual desire makes a tool of himself or herself. “For the natural use that one sex makes of the other’s sexual organs is enjoyment, for which one gives oneself up to the other. In this act a human being makes himself into a thing, which conflicts with the right of humanity in his own person” (Kant, Metaphysics of Morals, p. 62). Those engaged in sexual activity make themselves willingly into objects for each other merely for the sake of sexual pleasure. Hence both persons are reduced to the animal level. “If . . . a man wishes to satisfy his desire, and a woman hers, they stimulate each other’s desire; their inclinations meet, but their object is not human nature but sex, and each of them dishonours the human nature of the other. They make of humanity an instrument for the satisfaction of their lusts and inclinations, and dishonour it by placing it on a level with animal nature” (Kant, Lectures, p. 164).

Finally, due to the insistent nature of the sexual impulse, once things get going it is often hard to stop them in their tracks, and as a result we often end up doing things sexually that we had never planned or wanted to do. Sexual desire is also powerfully inelastic, one of the passions most likely to challenge reason, compelling us to seek satisfaction even when doing so involves dark-alley gropings, microbiologically filthy acts, slinking around the White House, or getting married impetuously.

Given such a pessimistic metaphysics of human sexuality, one might well conclude that acting on the sexual impulse is always morally wrong. That might, indeed, be precisely the right conclusion to draw, even if it implies the end of Homo sapiens. (This doomsday result is also implied by St. Paul’s praising, in 1 Corinthians 7, sexual celibacy as the ideal spiritual state.) More frequently, however, the pessimistic metaphysicians of sexuality conclude that sexual activity is morally permissible only within marriage (of the lifelong, monogamous, heterosexual sort) and only for the purpose of procreation. Regarding the bodily activities that both lead to procreation and produce sexual pleasure, it is their procreative potential that is singularly significant and bestows value on these activities; seeking pleasure is an impediment to morally virtuous sexuality, and is something that should not be undertaken deliberately or for its own sake. Sexual pleasure at most has instrumental value, in inducing us to engage in an act that has procreation as its primary purpose. Such views are common among Christian thinkers, for example, St. Augustine: “A man turns to good use the evil of concupiscence, and is not overcome by it, when he bridles and restrains its rage . . . and never relaxes his hold upon it except when intent on offspring, and then controls and applies it to the carnal generation of children . . . , not to the subjection of the spirit to the flesh in a sordid servitude” (On Marriage and Concupiscence, bk. 1, ch. 9).

3. Metaphysical Sexual Optimism

Metaphysical sexual optimists suppose that sexuality is a bonding mechanism that naturally and happily joins people together both sexually and nonsexually. Sexual activity involves pleasing the self and the other at the same time, and these exchanges of pleasure generate both gratitude and affection, which in turn are bound to deepen human relationships and make them more emotionally substantial. Further, and this is the most important point, sexual pleasure is, for a metaphysical optimist, a valuable thing in its own right, something to be cherished and promoted because it has intrinsic and not merely instrumental value. Hence the pursuit of sexual pleasure does not require much intricate justification; sexual activity surely need not be confined to marriage or directed at procreation. The good and virtuous life, while including much else, can also include a wide variety and extent of sexual relations. (See Russell Vannoy’s spirited defense of the value of sexual activity for its own sake, in Sex Without Love.)

Irving Singer is a contemporary philosopher of sexuality who expresses well one form of metaphysical optimism: “For though sexual interest resembles an appetite in some respects, it differs from hunger or thirst in being an interpersonal sensitivity, one that enables us to delight in the mind and character of other persons as well as in their flesh. Though at times people may be used as sexual objects and cast aside once their utility has been exhausted, this is no[t] . . . definitive of sexual desire. . . . By awakening us to the living presence of someone else, sexuality can enable us to treat this other being as just the person he or she happens to be. . . . There is nothing in the nature of sexuality as such that necessarily . . . reduces persons to things. On the contrary, sex may be seen as an instinctual agency by which persons respond to one another through their bodies” (The Nature of Love, vol. 2, p. 382. See also Jean Hampton, “Defining Wrong and Defining Rape”).

Pausanias, in Plato’s Symposium (181a-3, 183e, 184d), asserts that sexuality in itself is neither good nor bad. He recognizes, as a result, that there can be morally bad and morally good sexual activity, and proposes a corresponding distinction between what he calls “vulgar” eros and “heavenly” eros. A person who has vulgar eros is one who experiences promiscuous sexual desire, has a lust that can be satisfied by any partner, and selfishly seeks only for himself or herself the pleasures of sexual activity. By contrast, a person who has heavenly eros experiences a sexual desire that attaches to a particular person; he or she is as much interested in the other person’s personality and well-being as he or she is concerned to have physical contact with and sexual satisfaction by means of the other person. A similar distinction between sexuality per se and eros is described by C. S. Lewis in his The Four Loves (chapter 5), and it is perhaps what Allan Bloom has in mind when he writes, “Animals have sex and human beings have eros, and no accurate science [or philosophy] is possible without making this distinction” (Love and Friendship, p. 19).

The divide between metaphysical optimists and metaphysical pessimists might, then, be put this way: metaphysical pessimists think that sexuality, unless it is rigorously constrained by social norms that have become internalized, will tend to be governed by vulgar eros, while metaphysical optimists think that sexuality, by itself, does not lead to or become vulgar, that by its nature it can easily be and often is heavenly. (See the entry, Philosophy of Love.)

4. Moral Evaluations

Of course, we can and often do evaluate sexual activity morally: we inquire whether a sexual act—either a particular occurrence of a sexual act (the act we are doing or want to do right now) or a type of sexual act (say, all instances of homosexual fellatio)—is morally good or morally bad. More specifically, we evaluate, or judge, sexual acts to be morally obligatory, morally permissible, morally supererogatory, or morally wrong. For example: a spouse might have a moral obligation to engage in sex with the other spouse; it might be morally permissible for married couples to employ contraception while engaging in coitus; one person’s agreeing to have sexual relations with another person when the former has no sexual desire of his or her own but does want to please the latter might be an act of supererogation; and rape and incest are commonly thought to be morally wrong.

Note that if a specific type of sexual act is morally wrong (say, homosexual fellatio), then every instance of that type of act will be morally wrong. However, from the fact that the particular sexual act we are now doing or contemplate doing is morally wrong, it does not follow that any specific type of act is morally wrong; the sexual act that we are contemplating might be wrong for lots of different reasons having nothing to do with the type of sexual act that it is. For example, suppose we are engaging in heterosexual coitus (or anything else), and that this particular act is wrong because it is adulterous. The wrongfulness of our sexual activity does not imply that heterosexual coitus in general (or anything else), as a type of sexual act, is morally wrong. In some cases, of course, a particular sexual act will be wrong for several reasons: not only is it wrong because it is of a specific type (say, it is an instance of homosexual fellatio), but it is also wrong because at least one of the participants is married to someone else (it is wrong also because it is adulterous).

5. Nonmoral Evaluations

We can also evaluate sexual activity (again, either a particular occurrence of a sexual act or a specific type of sexual activity) nonmorally: nonmorally “good” sex is sexual activity that provides pleasure to the participants or is physically or emotionally satisfying, while nonmorally “bad” sex is unexciting, tedious, boring, unenjoyable, or even unpleasant. An analogy will clarify the difference between morally evaluating something as good or bad and nonmorally evaluating it as good or bad. This radio on my desk is a good radio, in the nonmoral sense, because it does for me what I expect from a radio: it consistently provides clear tones. If, instead, the radio hissed and cackled most of the time, it would be a bad radio, nonmorally-speaking, and it would be senseless for me to blame the radio for its faults and threaten it with a trip to hell if it did not improve its behavior. Similarly, sexual activity can be nonmorally good if it provides for us what we expect sexual activity to provide, which is usually sexual pleasure, and this fact has no necessary moral implications..

It is not difficult to see that the fact that a sexual activity is perfectly nonmorally good, by abundantly satisfying both persons, does not mean by itself that the act is morally good: some adulterous sexual activity might well be very pleasing to the participants, yet be morally wrong. Further, the fact that a sexual activity is nonmorally bad, that is, does not produce pleasure for the persons engaged in it, does not by itself mean that the act is morally bad. Unpleasant sexual activity might occur between persons who have little experience engaging in sexual activity (they do not yet know how to do sexual things, or have not yet learned what their likes and dislikes are), but their failure to provide pleasure for each other does not mean by itself that they perform morally wrongful acts.

Thus the moral evaluation of sexual activity is a distinct enterprise from the nonmoral evaluation of sexual activity, even if there do remain important connections between them. For example, the fact that a sexual act provides pleasure to both participants, and is thereby nonmorally good, might be taken as a strong, but only prima facie good, reason for thinking that the act is morally good or at least has some degree of moral value. Indeed, utilitarians such as Jeremy Bentham and even John Stuart Mill might claim that, in general, the nonmoral goodness of sexual activity goes a long way toward justifying it. Another example: if one person never attempts to provide sexual pleasure to his or her partner, but selfishly insists on experiencing only his or her own pleasure, then that person’s contribution to their sexual activity is morally suspicious or objectionable. But that judgment rests not simply on the fact that he or she did not provide pleasure for the other person, that is, on the fact that the sexual activity was for the other person nonmorally bad. The moral judgment rests, more precisely, on his or her motives for not providing any pleasure, for not making the experience nonmorally good for the other person.

It is one thing to point out that as evaluative categories, moral goodness/badness is quite distinct from nonmoral goodness/badness. It is another thing to wonder, nonetheless, about the emotional or psychological connections between the moral quality of sexual activity and its nonmoral quality. Perhaps morally good sexual activity tends also to be the most satisfying sexual activity, in the nonmoral sense. Whether that is true likely depends on what we mean by “morally good” sexuality and on certain features of human moral psychology. What would our lives be like, if there were always a neat correspondence between the moral quality of a sexual act and its nonmoral quality? I am not sure what such a human sexual world would be like. But examples that violate such a neat correspondence are at the present time, in this world, easy to come by. A sexual act might be both morally and nonmorally good: consider the exciting and joyful sexual activity of a newly-married couple. But a sexual act might be morally good and nonmorally bad: consider the routine sexual acts of this couple after they have been married for ten years. A sexual act might be morally bad yet nonmorally good: one spouse in that couple, married for ten years, commits adultery with another married person and finds their sexual activity to be extraordinarily satisfying. And, finally, a sexual act might be both morally and nonmorally bad: the adulterous couple get tired of each other, eventually no longer experiencing the excitement they once knew. A world in which there was little or no discrepancy between the moral and the nonmoral quality of sexual activity might be a better world than ours, or it might be worse. I would refrain from making such a judgment unless I were pretty sure what the moral goodness and badness of sexual activity amounted to in the first place, and until I knew a lot more about human psychology. Sometimes that a sexual activity is acknowledged to be morally wrong contributes all by itself to its being nonmorally good.

6. The Dangers of Sex

Whether a particular sexual act or a specific type of sexual act provides sexual pleasure is not the only factor in judging its nonmoral quality: pragmatic and prudential considerations also figure into whether a sexual act, all things considered, has a preponderance of nonmoral goodness. Many sexual activities can be physically or psychologically risky, dangerous, or harmful. Anal coitus, for example, whether carried out by a heterosexual couple or by two gay males, can damage delicate tissues and is a mechanism for the potential transmission of various HIV viruses (as is heterosexual genital intercourse). Thus in evaluating whether a sexual act will be overall nonmorally good or bad, not only its anticipated pleasure or satisfaction must be counted, but also all sorts of negative (undesired) side effects: whether the sexual act is likely to damage the body, as in some sadomasochistic acts, or transmit any one of a number of venereal diseases, or result in an unwanted pregnancy, or even whether one might feel regret, anger, or guilt afterwards as a result of having engaged in a sexual act with this person, or in this location, or under these conditions, or of a specific type. Indeed, all these pragmatic and prudential factors also figure into the moral evaluation of sexual activity: intentionally causing unwanted pain or discomfort to one’s partner, or not taking adequate precautions against the possibility of pregnancy, or not informing one’s partner of a suspected case of genital infection (but see David Mayo’s provocative dissent, in “An Obligation to Warn of HIV Infection?”), can be morally wrong. Thus, depending on what particular moral principles about sexuality one embraces, the various ingredients that constitute the nonmoral quality of sexual acts can influence one’s moral judgments.

7. Sexual Perversion

In addition to inquiring about the moral and nonmoral quality of a given sexual act or a type of sexual activity, we can also ask whether the act or type is natural or unnatural (that is, perverted). Natural sexual acts, to provide merely a broad definition, are those acts that either flow naturally from human sexual nature, or at least do not frustrate or counteract sexual tendencies that flow naturally from human sexual desire. An account of what is natural in human sexual desire and activity is part of a philosophical account of human nature in general, what we might call philosophical anthropology, which is a rather large undertaking.

Note that evaluating a particular sexual act or a specific type of sexual activity as being natural or unnatural can very well be distinct from evaluating the act or type either as being morally good or bad or as being nonmorally good or bad. Suppose we assume, for the sake of discussion only, that heterosexual coitus is a natural human sexual activity and that homosexual fellatio is unnatural, or a sexual perversion. Even so, it would not follow from these judgments alone that all heterosexual coitus is morally good (some of it might be adulterous, or rape) or that all homosexual fellatio is morally wrong (some of it, engaged in by consenting adults in the privacy of their homes, might be morally permissible). Further, from the fact that heterosexual coitus is natural, it does not follow that acts of heterosexual coitus will be nonmorally good, that is, pleasurable; nor does it follow from the fact that homosexual fellatio is perverted that it does not or cannot produce sexual pleasure for those people who engage in it. Of course, both natural and unnatural sexual acts can be medically or psychologically risky or dangerous. There is no reason to assume that natural sexual acts are in general more safe than unnatural sexual acts; for example, unprotected heterosexual intercourse is likely more dangerous, in several ways, than mutual homosexual masturbation.

Since there are no necessary connections between, on the one hand, evaluating a particular sexual act or a specific type of sexual activity as being natural or unnatural and, on the other hand, evaluating its moral and nonmoral quality, why would we wonder whether a sexual act or a type of sex was natural or perverted? One reason is simply that understanding what is natural and unnatural in human sexuality helps complete our picture of human nature in general, and allows us to understand our species more fully. With such deliberations, the self-reflection about humanity and the human condition that is the heart of philosophy becomes more complete. A second reason is that an account of the difference between the natural and the perverted in human sexuality might be useful for psychology, especially if we assume that a desire or tendency to engage in perverted sexual activities is a sign or symptom of an underlying mental or psychological pathology.

8. Sexual Perversion and Morality

Finally (a third reason), even though natural sexual activity is not on that score alone morally good and unnatural sexual activity is not necessarily morally wrong, it is still possible to argue that whether a particular sexual act or a specific type of sexuality is natural or unnatural does influence, to a greater or lesser extent, whether the act is morally good or morally bad. Just as whether a sexual act is nonmorally good, that is, produces pleasure for the participants, may be a factor, sometimes an important one, in our evaluating the act morally, whether a sexual act or type of sexual expression is natural or unnatural may also play a role, sometimes a large one, in deciding whether the act is morally good or bad.

A comparison between the sexual philosophy of the medieval Catholic theologian St. Thomas Aquinas and that of the contemporary secular philosophy Thomas Nagel is in this regard instructive. Both Aquinas and Nagel can be understood as assuming that what is unnatural in human sexuality is perverted, and that what is unnatural or perverted in human sexuality is simply that which does not conform with or is inconsistent with natural human sexuality. But beyond these general areas of agreement, there are deep differences between Aquinas and Nagel.

9. Aquinas’s Natural Law

Based upon a comparison of the sexuality of humans and the sexuality of lower animals (mammals, in particular), Aquinas concludes that what is natural in human sexuality is the impulse to engage in heterosexual coitus. Heterosexual coitus is the mechanism designed by the Christian God to insure the preservation of animal species, including humans, and hence engaging in this activity is the primary natural expression of human sexual nature. Further, this God designed each of the parts of the human body to carry out specific functions, and on Aquinas’s view God designed the male penis to implant sperm into the female’s vagina for the purpose of effecting procreation. It follows, for Aquinas, that depositing the sperm elsewhere than inside a human female’s vagina is unnatural: it is a violation of God’s design, contrary to the nature of things as established by God. For this reason alone, on Aquinas’s view, such activities are immoral, a grave offense to the sagacious plan of the Almighty.

Sexual intercourse with lower animals (bestiality), sexual activity with members of one’s own sex (homosexuality), and masturbation, for Aquinas, are unnatural sexual acts and are immoral exactly for that reason. If they are committed intentionally, according to one’s will, they deliberately disrupt the natural order of the world as created by God and which God commanded to be respected. (See Summa Theologiae, vol. 43, 2a2ae, qq. 153-154.) In none of these activities is there any possibility of procreation, and the sexual and other organs are used, or misused, for purposes other than that for which they were designed. Although Aquinas does not say so explicitly, but only hints in this direction, it follows from his philosophy of sexuality that fellatio, even when engaged in by heterosexuals, is also perverted and morally wrong. At least in those cases in which orgasm occurs by means of this act, the sperm is not being placed where it should be placed and procreation is therefore not possible. If the penis entering the vagina is the paradigmatic natural act, then any other combination of anatomical connections will be unnatural and hence immoral; for example, the penis, mouth, or fingers entering the anus. Note that Aquinas’s criterion of the natural, that the sexual act must be procreative in form, and hence must involve a penis inserted into a vagina, makes no mention of human psychology. Aquinas’s line of thought yields an anatomical criterion of natural and perverted sex that refers only to bodily organs and what they might accomplish physiologically and to where they are, or are not, put in relation to each other.

10. Nagel’s Secular Philosophy

Thomas Nagel denies Aquinas’s central presupposition, that in order to discover what is natural in human sexuality we should emphasize what humans and lower animals have in common. Applying this formula, Aquinas concluded that the purpose of sexual activity and the sexual organs in humans was procreation, as it is in the lower animals. Everything else in Aquinas’s sexual philosophy follows more-or-less logically from this. Nagel, by contrast, argues that to discover what is distinctive about the natural human sexuality, and hence derivatively what is unnatural or perverted, we should focus, instead, on what humans and lower animals do not have in common. We should emphasize the ways in which humans are different from animals, the ways in which humans and their sexuality are special. Thus Nagel argues that sexual perversion in humans should be understood as a psychological phenomenon rather than, as in Aquinas’s treatment, in anatomical and physiological terms. For it is human psychology that makes us quite different from other animals, and hence an account of natural human sexuality must acknowledge the uniqueness of human psychology.

Nagel proposes that sexual interactions in which each person responds with sexual arousal to noticing the sexual arousal of the other person exhibit the psychology that is natural to human sexuality. In such an encounter, each person becomes aware of himself or herself and the other person as both the subject and the object of their joint sexual experiences. Perverted sexual encounters or events would be those in which this mutual recognition of arousal is absent, and in which a person remains fully a subject of the sexual experience or fully an object. Perversion, then, is a departure from or a truncation of a psychologically “complete” pattern of arousal and consciousness. (See Nagel’s “Sexual Perversion,” pp. 15-17.) Nothing in Nagel’s psychological account of the natural and the perverted refers to bodily organs or physiological processes. That is, for a sexual encounter to be natural, it need not be procreative in form, as long as the requisite psychology of mutual recognition is present. Whether a sexual activity is natural or perverted does not depend, on Nagel’s view, on what organs are used or where they are put, but only on the character of the psychology of the sexual encounter. Thus Nagel disagrees with Aquinas that homosexual activities, as a specific type of sexual act, are unnatural or perverted, for homosexual fellatio and anal intercourse may very well be accompanied by the mutual recognition of and response to the other’s sexual arousal.

11. Fetishism

It is illuminating to compare what the views of Aquinas and Nagel imply about fetishism, that is, the usually male practice of masturbating while fondling women’s shoes or undergarments. Aquinas and Nagel agree that such activities are unnatural and perverted, but they disagree about the grounds of that evaluation. For Aquinas, masturbating while fondling shoes or undergarments is unnatural because the sperm is not deposited where it should be, and the act thereby has no procreative potential. For Nagel, masturbatory fetishism is perverted for a quite different reason: in this activity, there is no possibility of one persons’ noticing and being aroused by the arousal of another person. The arousal of the fetishist is, from the perspective of natural human psychology, defective. Note, in this example, one more difference between Aquinas and Nagel: Aquinas would judge the sexual activity of the fetishist to be immoral precisely because it is perverted (it violates a natural pattern established by God), while Nagel would not conclude that it must be morally wrong—after all, a fetishistic sexual act might be carried out quite harmlessly—even if it does indicate that something is suspicious about the fetishist’s psychology. The move historically and socially away from a Thomistic moralistic account of sexual perversion toward an amoral psychological account such as Nagel’s is representative of a more widespread trend: the gradual replacement of moral or religious judgments, about all sorts of deviant behavior, by medical or psychiatric judgments and interventions. (See Alan Soble, Sexual Investigations, chapter 4.)

12. Female Sexuality and Natural Law

A different kind of disagreement with Aquinas is registered by Christine Gudorf, a Christian theologian who otherwise has a lot in common with Aquinas. Gudorf agrees that the study of human anatomy and physiology yields insights into God’s plan and design, and that human sexual behavior should conform with God’s creative intentions. That is, Gudorf’s philosophy is squarely within the Thomistic Natural Law tradition. But Gudorf argues that if we take a careful look at the anatomy and physiology of the female sexual organs, and especially the clitoris, instead of focusing exclusively on the male’s penis (which is what Aquinas did), quite different conclusions about God’s plan and design emerge and hence Christian sexual ethics turns out to be less restrictive. In particular, Gudorf claims that the female’s clitoris is an organ whose only purpose is the production of sexual pleasure and, unlike the mixed or dual functionality of the penis, has no connection with procreation. Gudorf concludes that the existence of the clitoris in the female body suggests that God intended that the purpose of sexual activity was as much for sexual pleasure for its own sake as it was for procreation. Therefore, according to Gudorf, pleasurable sexual activity apart from procreation does not violate God’s design, is not unnatural, and hence is not necessarily morally wrong, as long as it occurs in the context of a monogamous marriage (Sex, Body, and Pleasure, p. 65). Today we are not as confident as Aquinas was that God’s plan can be discovered by a straightforward examination of human and animal bodies; but such healthy skepticism about our ability to discern the intentions of God from facts of the natural world would seem to apply to Gudorf’s proposal as well.

13. Debates in Sexual Ethics

The ethics of sexual behavior, as a branch of applied ethics, is no more and no less contentious than the ethics of anything else that is usually included within the area of applied ethics. Think, for example, of the notorious debates over euthanasia, capital punishment, abortion, and our treatment of lower animals for food, clothing, entertainment, and in medical research. So it should come as no surprise than even though a discussion of sexual ethics might well result in the removal of some confusions and a clarification of the issues, no final answers to questions about the morality of sexual activity are likely to be forthcoming from the philosophy of sexuality. As far as I can tell by surveying the literature on sexual ethics, there are at least three major topics that have received much discussion by philosophers of sexuality and which provide arenas for continual debate.

14. Natural Law vs. Liberal Ethics

We have already encountered one debate: the dispute between a Thomistic Natural Law approach to sexual morality and a more liberal, secular outlook that denies that there is a tight connection between what is unnatural in human sexuality and what is immoral. The secular liberal philosopher emphasizes the values of autonomous choice, self-determination, and pleasure in arriving at moral judgments about sexual behavior, in contrast to the Thomistic tradition that justifies a more restrictive sexual ethics by invoking a divinely imposed scheme to which human action must conform. For a secular liberal philosopher of sexuality, the paradigmatically morally wrong sexual act is rape, in which one person forces himself or herself upon another or uses threats to coerce the other to engage in sexual activity. By contrast, for the liberal, anything done voluntarily between two or more people is generally morally permissible. For the secular liberal, then, a sexual act would be morally wrong if it were dishonest, coercive, or manipulative, and Natural Law theory would agree, except to add that the act’s merely being unnatural is another, independent reason for condemning it morally. Kant, for example, held that “Onanism . . . is abuse of the sexual faculty. . . . By it man sets aside his person and degrades himself below the level of animals. . . . Intercourse between sexus homogenii . . . too is contrary to the ends of humanity”(Lectures, p. 170). The sexual liberal, however, usually finds nothing morally wrong or nonmorally bad about either masturbation or homosexual sexual activity. These activities might be unnatural, and perhaps in some ways prudentially unwise, but in many if not most cases they can be carried out without harm being done either to the participants or to anyone else.

Natural Law is alive and well today among philosophers of sex, even if the details do not match Aquinas’s original version. For example, the contemporary philosopher John Finnis argues that there are morally worthless sexual acts in which “one’s body is treated as instrumental for the securing of the experiential satisfaction of the conscious self” (see “Is Homosexual Conduct Wrong?”). For example, in masturbating or in being anally sodomized, the body is just a tool of sexual satisfaction and, as a result, the person undergoes “disintegration.” “One’s choosing self [becomes] the quasi-slave of the experiencing self which is demanding gratification.” The worthlessness and disintegration attaching to masturbation and sodomy actually attach, for Finnis, to “all extramarital sexual gratification.” This is because only in married, heterosexual coitus do the persons’ “reproductive organs . . . make them a biological . . . unit.” Finnis begins his argument with the metaphysically pessimistic intuition that sexual activity involves treating human bodies and persons instrumentally, and he concludes with the thought that sexual activity in marriage—in particular, genital intercourse—avoids disintegrity because only in this case, as intended by God’s plan, does the couple attain a state of genuine unity: “the orgasmic union of the reproductive organs of husband and wife really unites them biologically.” (See also Finnis’s essay “Law, Morality, and ‘Sexual Orientation’.”)

15. Consent Is Not Sufficient

Another debate is about whether, when there is no harm done to third parties to be concerned about, the fact that two people engage in a sexual act voluntarily, with their own free and informed consent, is sufficient for satisfying the demands of sexual morality. Of course, those in the Natural Law tradition deny that consent is sufficient, since on their view willingly engaging in unnatural sexual acts is morally wrong, but they are not alone in reducing the moral significance of consent. Sexual activity between two persons might be harmful to one or both participants, and a moral paternalist or perfectionist would claim that it is wrong for one person to harm another person, or for the latter to allow the former to engage in this harmful behavior, even when both persons provide free and informed consent to their joint activity. Consent in this case is not sufficient, and as a result some forms of sadomasochistic sexuality turn out to be morally wrong. The denial of the sufficiency of consent is also frequently presupposed by those philosophers who claim that only in a committed relationship is sexual activity between two people morally permissible. The free and informed consent of both parties may be a necessary condition for the morality of their sexual activity, but without the presence of some other ingredient (love, marriage, devotion, and the like) their sexual activity remains mere mutual use or objectification and hence morally objectionable.

In casual sex, for example, two persons are merely using each other for their own sexual pleasure; even when genuinely consensual, these mutual sexual uses do not yield a virtuous sexual act. Kant and Karol Wojtyla (Pope John Paul II) take this position: willingly allowing oneself to be used sexually by another makes an object of oneself. For Kant, sexual activity avoids treating a person merely as a means only in marriage, since here both persons have surrendered their bodies and souls to each other and have achieved a subtle metaphysical unity (Lectures, p. 167). For Wojtyla, “only love can preclude the use of one person by another” (Love and Responsibility, p. 30), since love is a unification of persons resulting from a mutual gift of their selves. Note, however, that the thought that a unifying love is the ingredient that justifies sexual activity (beyond consent) has an interesting and ironic implication: gay and lesbian sexual relations would seem to be permissible if they occur within loving, monogamous homosexual marriages (a position defended by the theologians Patricia Jung and Ralph Smith, in Heterosexism). At this point in the argument, defenders of the view that sexual activity is justifiable only in marriage commonly appeal to Natural Law to rule out homosexual marriage.

16. Consent Is Sufficient

On another view of these matters, the fact that sexual activity is carried out voluntarily by all persons involved means, assuming that no harm to third parties exists, that the sexual activity is morally permissible. In defending such a view of the sufficiency of consent, Thomas Mappes writes that “respect for persons entails that each of us recognize the rightful authority of other persons (as rational beings) to conduct their individual lives as they see fit” (“Sexual Morality and the Concept of Using Another Person,” p. 204). Allowing the other person’s consent to control when the other may engage in sexual activity with me is to respect that person by taking his or her autonomy, his or her ability to reason and make choices, seriously, while not to allow the other to make the decision about when to engage in sexual activity with me is disrespectfully paternalistic. If the other person’s consent is taken as sufficient, that shows that I respect his or her choice of ends, or that even if I do not approve of his or her particular choice of ends, at least I show respect for his or her ends-making capability. According to such a view of the power of consent, there can be no moral objection in principle to casual sexual activity, to sexual activity with strangers, or to promiscuity, as long as the persons involved in the activity genuinely agree to engage in their chosen sexual activities.

If Mappes’s free and informed consent criterion of the morality of sexual activity is correct, we would still have to address several difficult questions. How specific must consent be? When one person agrees vaguely, and in the heat of the moment, with another person, “yes, let’s have sex,” the speaker has not necessarily consented to every type of sexual caress or coital position the second person might have in mind. And how explicit must consent be? Can consent be reliably implied by involuntarily behavior (moans, for example), and do nonverbal cues (erection, lubrication) decisively show that another person has consented to sex? Some philosophers insist that consent must be exceedingly specific as to the sexual acts to be carried out, and some would permit only explicit verbal consent, denying that body language by itself can do an adequate job of expressing the participant’s desires and intentions. (See Alan Soble, “Antioch’s ‘Sexual Offense Policy’.”)

Note also that not all philosophers agree with Mappes and others that fully voluntary consent is always necessary for sexual activity to be morally permissible. Jeffrie Murphy, for example, has raised some doubts (“Some Ruminations on Women, Violence, and the Criminal Law,” p. 218):

“Have sex with me or I will find another girlfriend” strikes me (assuming normal circumstances) as a morally permissible threat, and “Have sex with me and I will marry you” strikes me (assuming the offer is genuine) as a morally permissible offer. . . . We negotiate our way through most of life with schemes of threats and offers . . . and I see no reason why the realm of sexuality should be utterly insulated from this very normal way of being human.

Murphy implies that some threats are coercive and thereby undermine the voluntary nature of the participation in sexual activity of one of the persons, but, he adds, these types of threats are not always morally wrong. Alternatively, we might say that in the cases Murphy describes, the threats and offers do not constitute coercion at all and that they present no obstacle to fully voluntary participation. (See Alan Wertheimer, “Consent and Sexual Relations.”) If so, Murphy’s cases do not establish that voluntary consent is not always required for sexual activity to be morally right.

17. What Is “Voluntary”?

As suggested by Murphy’s examples, another debate concerns the meaning and application of the concept “voluntary.” Whether consent is only necessary for the morality of sexual activity, or also sufficient, any moral principle that relies on consent to make moral distinctions among sexual events presupposes a clear understanding of the “voluntary” aspect of consent. It is safe to say that participation in sexual activity ought not to be physically forced upon one person by another. But this obvious truth leaves matters wide open. Onora O’Neill, for example, thinks that casual sex is morally wrong because the consent it purportedly involves is not likely to be sufficiently voluntary, in light of subtle pressures people commonly put on each other to engage in sexual activity (see “Between Consenting Adults”).

One moral ideal is that genuinely consensual participation in sexual activity requires not a hint of coercion or pressure of any sort. Because engaging in sexual activity can be risky or dangerous in many ways, physically, psychologically, and metaphysically, we would like to be sure, according to this moral ideal, that anyone who engages in sexual activity does so perfectly voluntarily. Some philosophers have argued that this ideal can be realized only when there is substantial economic and social equality between the persons involved in a given sexual encounter. For example, a society that exhibits disparities in the incomes or wealth of its various members is one in which some people will be exposed to economic coercion. If some groups of people (women and members of ethnic minorities, in particular) have less economic and social power than others, members of these groups will be therefore exposed to sexual coercion in particular, among other kinds. One immediate application of this thought is that prostitution, which to many sexual liberals is a business bargain made by a provider of sexual services and a client and is largely characterized by adequately free and informed consent, may be morally wrong, if the economic situation of the prostitute acts as a kind of pressure that negates the voluntary nature of his or her participation. Further, women with children who are economically dependent on their husbands may find themselves in the position of having to engage in sexual activity whether they want to or not, for fear of being abandoned; these women, too, may not be engaging in sexual activity fully voluntarily. The woman who allows herself to be nagged into sex by her husband worries that if she says “no” too often, she will suffer economically, if not also physically and psychologically.

The view that the presence of any kind of pressure at all is coercive, negates the voluntary nature of participation in sexual activity, and hence is morally objectionable has been expressed by Charlene Muehlenhard and Jennifer Schrag (see their “Nonviolent Sexual Coercion”). They list, among other things, “status coercion” (when women are coerced into sexual activity or marriage by a man’s occupation) and “discrimination against lesbians” (which discrimination compels women into having sexual relationships only with men) as forms of coercion that undermine the voluntary nature of participation by women in sexual activity with men. But depending on the kind of case we have in mind, it might be more accurate to say either that some pressures are not coercive and do not appreciably undermine voluntariness, or that some pressures are coercive but are nevertheless not morally objectionable. Is it always true that the presence of any kind of pressure put on one person by another amounts to coercion that negates the voluntary nature of consent, so that subsequent sexual activity is morally wrong?

18. Conceptual Analysis

Conceptual philosophy of sexuality is concerned to analyze and to clarify concepts that are central in this area of philosophy: sexual activity, sexual desire, sexual sensation, sexual perversion, and others. It also attempts to define less abstract concepts, such as prostitution, pornography, and rape. I would like to illustrate the conceptual philosophy of sexuality by focusing on one particular concept, that of “sexual activity,” and explore in what ways it is related to another central concept, that of “sexual pleasure.” One lesson to be learned here is that conceptual philosophy of sexuality can be just as difficult and contentious as normative philosophy of sexuality, and that as a result firm conceptual conclusions are hard to come by.

19. Sexual Activity vs. “Having Sex”

According to a notorious study published in 1999 in the Journal of the American Medical Association (“Would You Say You ‘Had Sex’ If . . . ?” by Stephanie Sanders and June Reinisch), a large percent of undergraduate college students, about 60%, do not think that engaging in oral sex (fellatio and cunnilingus) is “having sex.” This finding is at first glance very surprising, but it is not difficult to comprehend sympathetically. To be sure, as philosophers we easily conclude that oral sex is a specific type of sexual activity. But “sexual activity” is a technical concept, while “having sex” is an ordinary language concept, which refers primarily to heterosexual intercourse. Thus when Monica Lewinsky told her confidant Linda Tripp that she did not “have sex” with William Jefferson Clinton, she was not necessarily self-deceived, lying, or pulling a fast one. She was merely relying on the ordinary language definition or criterion of “having sex,” which is not identical to the philosopher’s concept of “sexual activity,” does not always include oral sex, and usually requires genital intercourse.

Another conclusion might be drawn from the JAMA survey. If we assume that heterosexual coitus by and large, or in many cases, produces more pleasure for the participants than does oral sex, or at least that in heterosexual intercourse there is greater mutuality of sexual pleasure than in one-directional oral sex, and this is why ordinary thought tends to discount the ontological significance of oral sex, then perhaps we can use this to fashion a philosophical account of “sexual activity” that is at once consistent with ordinary thought.

20. Sexual Activity and Sexual Pleasure

In common thought, whether a sexual act is nonmorally good or bad is often associated with whether it is judged to be a sexual act at all. Sometimes we derive little or no pleasure from a sexual act (say, we are primarily giving pleasure to another person, or we are even selling it to the other person), and we think that even though the other person had a sexual experience, we didn’t. Or the other person did try to provide us with sexual pleasure but failed miserably, whether from ignorance of technique or sheer sexual crudity. In such a case it would not be implausible to say that we did not undergo a sexual experience and so did not engage in a sexual act. If Ms. Lewinsky’s performing oral sex on President Clinton was done only for his sake, for his sexual pleasure, and she did it out of consideration for his needs and not hers, then perhaps she did not herself, after all, engage in a sexual act.

Robert Gray is one philosopher who has taken up this line of ordinary thought and has argued that “sexual activity” should be analyzed in terms of the production of sexual pleasure. He asserts that “any activity might become a sexual activity” if sexual pleasure is derived from it, and “no activity is a sexual activity unless sexual pleasure is derived from it” (“Sex and Sexual Perversion,” p. 61). Perhaps Gray is right, since we tend to think that holding hands is a sexual activity when sexual pleasure is produced by doing so, but otherwise holding hands is not very sexual. A handshake is normally not a sexual act, and usually does not yield sexual pleasure; but two lovers caressing each other’s fingers is both a sexual act and produces sexual pleasure for them.

There is another reason for taking seriously the idea that sexual activities are exactly those that produce sexual pleasure. What is it about a sexually perverted activity that makes it sexual? The act is unnatural, we might say, because it has no connection with one common purpose of sexual activity, that is, procreation. But the only thing that would seem to make the act a sexual perversion is that it does, on a fairly reliable basis, nonetheless produce sexual pleasure. Undergarment fetishism is a sexual perversion, and not merely, say, a “fabric” perversion, because it involves sexual pleasure. Similarly, what is it about homosexual sexual activities that makes them sexual? All such acts are nonprocreative, yet they share something very important in common with procreative heterosexual activities: they produce sexual pleasure, and the same sort of sexual pleasure.

a. Sexual Activity Without Pleasure

Suppose I were to ask you, “How many sexual partners have you had during the last five years”? If you were on your toes, you would ask me, before answering, “What counts as a sexual partner?” (Maybe you are suspicious of my question because you had read Greta Christina’s essay on this topic, “Are We Having Sex Now or What?”) At this point I should give you an adequate analysis of “sexual activity,” and tell you to count anyone with whom you engaged in sexual activity according to this definition. What I should definitely not do is to tell you to count only those people with whom you had a pleasing or satisfactory sexual experience, forgetting about, and hence not counting, those partners with whom you had nonmorally bad sex. But if we accept Gray’s analysis of sexual activity, that sexual acts are exactly those and only those that produce sexual pleasure, I should of course urge you not to count, over those five years, anyone with whom you had a nonmorally bad sexual experience. You will end up reporting to me fewer sexual partners than you in fact had. Maybe that will make you feel better.

The general point is this. If “sexual activity” is logically dependent on “sexual pleasure,” if sexual pleasure is thereby the criterion of sexual activity itself, then sexual pleasure cannot be the gauge of the nonmoral quality of sexual activities. That is, this analysis of “sexual activity” in terms of “sexual pleasure” conflates what it is for an act to be a sexual activity with what it is for an act to be a nonmorally good sexual activity. On such an analysis, procreative sexual activities, when the penis is placed into the vagina, would be sexual activities only when they produce sexual pleasure, and not when they are as sensually boring as a handshake. Further, the victim of a rape, who has not experienced nonmorally good sex, cannot claim that he or she was forced to engage in sexual activity, even if the act compelled on him or her was intercourse or fellatio.

I would prefer to say that the couple who have lost sexual interest in each other, and who engage in routine sexual activities from which they derive no pleasure, are still performing a sexual act. But we are forbidden, by Gray’s proposed analysis, from saying that they engage in nonmorally bad sexual activity, for on his view they have not engaged in any sexual activity at all. Rather, we could say at most that they tried to engage in sexual activity but failed to do so. It may be a sad fact about our sexual world that we can engage in sexual activity and not derive any or much pleasure from it, but that fact should not give us reason for refusing to call these unsatisfactory events “sexual.”

21. References and Further Reading

  • Aquinas, St. Thomas. Summa Theologiae. Cambridge, Eng.: Blackfriars, 1964-76.
  • Augustine, St. (Aurelius). On Marriage and Concupiscence, in The Works of Aurelius Augustine, Bishop of Hippo, vol. 12, ed. Marcus Dods. Edinburgh, Scot.: T. & T. Clark, 1874.
  • Baker, Robert, Kathleen Wininger, and Frederick Elliston, eds. Philosophy and Sex, 3rd edition. Amherst, N.Y.: Prometheus, 1998.
  • Baumrin, Bernard. “Sexual Immorality Delineated,” in Robert Baker and Frederick Elliston, eds., Philosophy and Sex, 2nd edition. Buffalo, N.Y.: Prometheus, 1984, pp. 300-11.
  • Bloom, Allan. Love and Friendship. New York: Simon and Schuster, 1993.
  • Christina, Greta. “Are We Having Sex Now or What?” in Alan Soble, ed., The Philosophy of Sex, 3rd edition. Lanham, Md.: Rowman and Littlefield, 1997, pp. 3-8.
  • Finnis, John. “Law, Morality, and ‘Sexual Orientation’,” Notre Dame Law Review 69:5 (1994), pp. 1049-76.
  • Finnis, John and Martha Nussbaum. “Is Homosexual Conduct Wrong? A Philosophical Exchange,” in Alan Soble, ed., The Philosophy of Sex, 3rd edition. Lanham, Md.: Rowman and Littlefield, 1997, pp. 89-94.
  • Gray, Robert. “Sex and Sexual Perversion,” in Alan Soble, ed., The Philosophy of Sex, 3rd edition. Lanham, Md.: Rowman and Littlefield, 1997, pp. 57-66.
  • Grisez, Germain. The Way of the Lord Jesus. Quincy, Ill.: Franciscan Press, 1993.
  • Gudorf, Christine. Sex, Body, and Pleasure: Reconstructing Christian Sexual Ethics. Cleveland, Ohio: Pilgrim Press, 1994.
  • Hampton, Jean. “Defining Wrong and Defining Rape,” in Keith Burgess-Jackson, ed., A Most Detestable Crime: New Philosophical Essays on Rape. New York: Oxford University Press, 1999, pp. 118-56.
  • Held, Virginia. “Coercion and Coercive Offers,” in J. Roland Pennock and John W. Chapman, eds., Coercion: Nomos VIX. Chicago, Ill.: Aldine, 1972, pp. 49-62.
  • Jung, Patricia, and Ralph Smith. Heterosexism: An Ethical Challenge. Albany, N.Y.: State University of New York Press, 1993.
  • Kant, Immanuel. Lectures on Ethics. Translated by Louis Infield. New York: Harper and Row, 1963.
  • Kant, Immanuel. The Metaphysics of Morals . Translated by Mary Gregor. Cambridge, Eng.: Cambridge University Press, 1996.
  • Lewis, C. S. The Four Loves. New York: Harcourt Brace Jovanovich, 1960.
  • Mappes, Thomas. “Sexual Morality and the Concept of Using Another Person,” in Thomas Mappes and Jane Zembaty, eds., Social Ethics, 4th edition. New York: McGraw-Hill, 1992, pp. 203-26.
  • Mayo, David. “An Obligation to Warn of HIV Infection?” in Alan Soble, ed., Sex, Love and Friendship. Amsterdam. Hol.: Editions Rodopi, 1997, pp. 447-53.
  • Muehlenhard, Charlene, and Jennifer Schrag. “Nonviolent Sexual Coercion,” in A. Parrot and L. Bechhofer, eds, Acquaintance Rape. The Hidden Crime. New York: John Wiley, 1991, pp. 115-28.
  • Murphy, Jeffrie. “Some Ruminations on Women, Violence, and the Criminal Law,” in Jules Coleman and Allen Buchanan, eds., In Harm’s Way: Essays in Honor of Joel Feinberg. Cambridge, Eng.: Cambridge University Press, 1994, pp. 209-30.
  • Nagel, Thomas. “Sexual Perversion,” in Alan Soble, ed., The Philosophy of Sex, 3st edition. Lanham, Md.: Rowman and Littlefield, 1997, pp. 9-20.
  • O’Neill, Onora. “Between Consenting Adults,” Philosophy and Public Affairs 14:3 (1985), pp. 252-77.
  • Plato. Symposium. Translated by Michael Joyce, in E. Hamilton and H. Cairns, eds., The Collected Dialogues of Plato. Princeton, N.J.: Princeton University Press, 1961, pp. 526-74.
  • Posner, Richard. Sex and Reason. Cambridge, Mass.: Harvard University Press, 1992.
  • Sanders, Stephanie, and June Reinisch. “Would You Say You ‘Had Sex’ If . . . ?” Journal of the American Medical Association 281:3 (January 20, 1999), pp. 275-77.
  • Scruton, Roger. Sexual Desire: A Moral Philosophy of the Erotic. New York: Free Press, 1986.
  • Singer, Irving. The Nature of Love, vol. 2: Courtly and Romantic. Chicago, Ill.: University of Chicago Press, 1984.
  • Soble, Alan. “Antioch’s ‘Sexual Offense Policy’: A Philosophical Exploration,” Journal of Social Philosophy 28:1 (1997), pp. 22-36.
  • Soble, Alan. The Philosophy of Sex and Love: An Introduction. St. Paul, Minn.: Paragon House, 1998.
  • Soble, Alan. Sexual Investigations. New York: New York University Press,1996.
  • Soble, Alan. ed. Eros, Agape and Philia. New York: Paragon House, 1989.
  • Soble, Alan. ed. The Philosophy of Sex, 3rd edition. Lanham, Md.: Rowman & Littlefield, 1997.
  • Soble, Alan. ed. Sex, Love and Friendship. Amsterdam, Hol.: Editions Rodopi, 1996.
  • Solomon, Robert, and Kathleen Higgins, eds. The Philosophy of (Erotic) Love. Lawrence. Kan.: University Press of Kansas, 1991.
  • Stewart, Robert M., ed. Philosophical Perspectives on Sex and Love. New York: Oxford University Press, 1995.
  • Vannoy, Russell. Sex Without Love: A Philosophical Exploration. Buffalo, N.Y.: Prometheus, 1980.
  • Verene, Donald, ed. Sexual Love and Western Morality, 2nd edition. Boston, Mass.: Jones and Bartlett, 1995.
  • Wertheimer, Alan. “Consent and Sexual Relations,” Legal Theory 2:2 (1996), pp. 89-112.
  • Wojtyla, Karol [Pope John Paul II]. Love and Responsibility. New York: Farrar, Straus and Giroux, 1981.

Author Information

Alan Soble
Email: ags38@drexel.edu
Drexel University
U. S. A.

Plato (427—347 B.C.E.)

platoPlato is one of the world’s best known and most widely read and studied philosophers. He was the student of Socrates and the teacher of Aristotle, and he wrote in the middle of the fourth century B.C.E. in ancient Greece. Though influenced primarily by Socrates, to the extent that Socrates is usually the main character in many of Plato’s writings, he was also influenced by Heraclitus, Parmenides, and the Pythagoreans.

There are varying degrees of controversy over which of Plato’s works are authentic, and in what order they were written, due to their antiquity and the manner of their preservation through time. Nonetheless, his earliest works are generally regarded as the most reliable of the ancient sources on Socrates, and the character Socrates that we know through these writings is considered to be one of the greatest of the ancient philosophers.

Plato’s middle to later works, including his most famous work, the Republic, are generally regarded as providing Plato’s own philosophy, where the main character in effect speaks for Plato himself. These works blend ethics, political philosophy, moral psychology, epistemology, and metaphysics into an interconnected and systematic philosophy. It is most of all from Plato that we get the theory of Forms, according to which the world we know through the senses is only an imitation of the pure, eternal, and unchanging world of the Forms. Plato’s works also contain the origins of the familiar complaint that the arts work by inflaming the passions, and are mere illusions. We also are introduced to the ideal of “Platonic love:” Plato saw love as motivated by a longing for the highest Form of beauty—The Beautiful Itself, and love as the motivational power through which the highest of achievements are possible. Because they tended to distract us into accepting less than our highest potentials, however, Plato mistrusted and generally advised against physical expressions of love.

Table of Contents

  1. Biography
    1. Birth
    2. Family
    3. Early Travels and the Founding of the Academy
    4. Later Trips to Sicily and Death
  2. Influences on Plato
    1. Heraclitus
    2. Parmenides and Zeno
    3. The Pythagoreans
    4. Socrates
  3. Plato’s Writings
    1. Plato’s Dialogues and the Historical Socrates
    2. Dating Plato’s Dialogues
    3. Transmission of Plato’s Works
  4. Other Works Attributed to Plato
    1. Spuria
    2. Epigrams
    3. Dubia
  5. The Early Dialogues
    1. Historical Accuracy
    2. Plato’s Characterization of Socrates
    3. Ethical Positions in the Early Dialogues
    4. Psychological Positions in the Early Dialogues
    5. Religious Positions in the Early Dialogues
    6. Methodological and Epistemological Positions in the Early Dialogues
  6. The Middle Dialogues
    1. Differences between the Early and Middle Dialogues
    2. The Theory of Forms
    3. Immortality and Reincarnation
    4. Moral Psychology
    5. Critique of the Arts
    6. Platonic Love
  7. Late Transitional and Late Dialogues
    1. Philosophical Methodology
    2. Critique of the Earlier Theory of Forms
    3. The Myth of Atlantis
    4. The Creation of the Universe
    5. The Laws
  8. References and Further Reading
    1. Greek Texts
    2. Translations Into English
    3. Plato’s Socrates and the Historical Socrates
    4. Socrates and Plato’s Early Period Dialogues
    5. General Books on Plato

1. Biography

a. Birth

It is widely accepted that Plato, the Athenian philosopher, was born in 428-7 B.C.E and died at the age of eighty or eighty-one at 348-7 B.C.E. These dates, however, are not entirely certain, for according to Diogenes Laertius (D.L.), following Apollodorus’ chronology, Plato was born the year Pericles died, was six years younger than Isocrates, and died at the age of eighty-four (D.L. 3.2-3.3). If Plato’s date of death is correct in Apollodorus’ version, Plato would have been born in 430 or 431. Diogenes’ claim that Plato was born the year Pericles died would put his birth in 429. Later (at 3.6), Diogenes says that Plato was twenty-eight when Socrates was put to death (in 399), which would, again, put his year of birth at 427. In spite of the confusion, the dates of Plato’s life we gave above, which are based upon Eratosthenes’ calculations, have traditionally been accepted as accurate.

b. Family

Little can be known about Plato’s early life. According to Diogenes, whose testimony is notoriously unreliable, Plato’s parents were Ariston and Perictione (or Potone—see D. L. 3.1). Both sides of the family claimed to trace their ancestry back to Poseidon (D.L. 3.1). Diogenes’ report that Plato’s birth was the result of Ariston’s rape of Perictione (D.L. 3.1) is a good example of the unconfirmed gossip in which Diogenes so often indulges. We can be confident that Plato also had two older brothers, Glaucon and Adeimantus, and a sister, Potone, by the same parents (see D.L. 3.4). (W. K. C. Guthrie, A History of Greek Philosophy, vol. 4, 10 n. 4 argues plausibly that Glaucon and Adeimantus were Plato’s older siblings.) After Ariston’s death, Plato’s mother married her uncle, Pyrilampes (in Plato’s Charmides, we are told that Pyrilampes was Charmides’ uncle, and Charmides was Plato’s mother’s brother), with whom she had another son, Antiphon, Plato’s half-brother (see Plato, Parmenides 126a-b).

Plato came from one of the wealthiest and most politically active families in Athens. Their political activities, however, are not seen as laudable ones by historians. One of Plato’s uncles (Charmides) was a member of the notorious “Thirty Tyrants,” who overthrew the Athenian democracy in 404 B.C.E. Charmides’ own uncle, Critias, was the leader of the Thirty. Plato’s relatives were not exclusively associated with the oligarchic faction in Athens, however. His stepfather Pyrilampes was said to have been a close associate of Pericles, when he was the leader of the democratic faction.

Plato’s actual given name was apparently Aristocles, after his grandfather. “Plato” seems to have started as a nickname (for platos, or “broad”), perhaps first given to him by his wrestling teacher for his physique, or for the breadth of his style, or even the breadth of his forehead (all given in D.L. 3.4). Although the name Aristocles was still given as Plato’s name on one of the two epitaphs on his tomb (see D.L. 3.43), history knows him as Plato.

c. Early Travels and the Founding of the Academy

When Socrates died, Plato left Athens, staying first in Megara, but then going on to several other places, including perhaps Cyrene, Italy, Sicily, and even Egypt. Strabo (17.29) claims that he was shown where Plato lived when he visited Heliopolis in Egypt. Plato occasionally mentions Egypt in his works, but not in ways that reveal much of any consequence (see, for examples, Phaedrus 274c-275b; Philebus 19b).

Better evidence may be found for his visits to Italy and Sicily, especially in the Seventh Letter. According to the account given there, Plato first went to Italy and Sicily when he was “about forty” (324a). While he stayed in Syracuse, he became the instructor to Dion, brother-in-law of the tyrant Dionysius I. According to doubtful stories from later antiquity, Dionysius became annoyed with Plato at some point during this visit, and arranged to have the philosopher sold into slavery (Diod. 15.7; Plut. Dion 5; D.L. 3.19-21).

In any event, Plato returned to Athens and founded a school, known as the Academy. (This is where we get our word, “academic.” The Academy got its name from its location, a grove of trees sacred to the hero Academus—or Hecademus [see D.L. 3.7]—a mile or so outside the Athenian walls; the site can still be visited in modern Athens, but visitors will find it depressingly void of interesting monuments or features.) Except for two more trips to Sicily, the Academy seems to have been Plato’s home base for the remainder of his life.

d. Later Trips to Sicily and Death

The first of Plato’s remaining two Sicilian adventures came after Dionysius I died and his young son, Dionysius II, ascended to the throne. His uncle/brother-in-law Dion persuaded the young tyrant to invite Plato to come to help him become a philosopher-ruler of the sort described in the Republic. Although the philosopher (now in his sixties) was not entirely persuaded of this possibility (Seventh Letter 328b-c), he agreed to go. This trip, like the last one, however, did not go well at all. Within months, the younger Dionysius had Dion sent into exile for sedition (Seventh Letter 329c, Third Letter 316c-d), and Plato became effectively under house arrest as the “personal guest” of the dictator (Seventh Letter 329c-330b).

Plato eventually managed to gain the tyrant’s permission to return to Athens (Seventh Letter 338a), and he and Dion were reunited at the Academy (Plut. Dion 17). Dionysius agreed that “after the war” (Seventh Letter 338a; perhaps the Lucanian War in 365 B.C.E.), he would invite Plato and Dion back to Syracuse (Third Letter 316e-317a, Seventh Letter 338a-b). Dion and Plato stayed in Athens for the next four years (c. 365-361 B.C.E.). Dionysius then summoned Plato, but wished for Dion to wait a while longer. Dion accepted the condition and encouraged Plato to go immediately anyway (Third Letter 317a-b, Seventh Letter 338b-c), but Plato refused the invitation, much to the consternation of both Syracusans (Third Letter 317a, Seventh Letter 338c). Hardly a year had passed, however, before Dionysius sent a ship, with one of Plato’s Pythagorean friends (Archedemus, an associate of Archytas—see Seventh Letter 339a-b and next section) on board begging Plato to return to Syracuse. Partly because of his friend Dion’s enthusiasm for the plan, Plato departed one more time to Syracuse. Once again, however, things in Syracuse were not at all to Plato’s liking. Dionysius once again effectively imprisoned Plato in Syracuse, and the latter was only able to escape again with help from his Tarentine friends ( Seventh Letter 350a-b).

Dion subsequently gathered an army of mercenaries and invaded his own homeland. But his success was short-lived: he was assassinated and Sicily was reduced to chaos. Plato, perhaps now completely disgusted with politics, returned to his beloved Academy, where he lived out the last thirteen years of his life. According to Diogenes, Plato was buried at the school he founded (D.L. 3.41). His grave, however, has not yet been discovered by archeological investigations.

2. Influences on Plato

a. Heraclitus

Aristotle and Diogenes agree that Plato had some early association with either the philosophy of Heraclitus of Ephesus, or with one or more of that philosopher’s followers (see Aristotle Metaph. 987a32, D.L. 3.4-3.5). The effects of this influence can perhaps be seen in the mature Plato’s conception of the sensible world as ceaselessly changing.

b. Parmenides and Zeno

There can be no doubt that Plato was also strongly influenced by Parmenides and Zeno (both of Elea), in Plato’s theory of the Forms, which are plainly intended to satisfy the Parmenidean requirement of metaphysical unity and stability in knowable reality. Parmenides and Zeno also appear as characters in his dialogue, the Parmenides. Diogenes Laertius also notes other important influences:

He mixed together in his works the arguments of Heracleitus, the Pythagoreans, and Socrates. Regarding the sensibles, he borrows from Heraclitus; regarding the intelligibles, from Pythagoras; and regarding politics, from Socrates. (D.L. 3.8)

A little later, Diogenes makes a series of comparisons intended to show how much Plato owed to the comic poet, Epicharmus (3.9-3.17).

c. The Pythagoreans

Diogenes Laertius (3.6) claims that Plato visited several Pythagoreans in Southern Italy (one of whom, Theodorus, is also mentioned as a friend to Socrates in Plato’s Theaetetus). In the Seventh Letter, we learn that Plato was a friend of Archytas of Tarentum, a well-known Pythagorean statesman and thinker (see 339d-e), and in the Phaedo, Plato has Echecrates, another Pythagorean, in the group around Socrates on his final day in prison. Plato’s Pythagorean influences seem especially evident in his fascination with mathematics, and in some of his political ideals (see Plato’s political philosophy), expressed in various ways in several dialogues.

d. Socrates

Nonetheless, it is plain that no influence on Plato was greater than that of Socrates. This is evident not only in many of the doctrines and arguments we find in Plato’s dialogues, but perhaps most obviously in Plato’s choice of Socrates as the main character in most of his works. According to the Seventh Letter, Plato counted Socrates “the justest man alive” (324e). According to Diogenes Laertius, the respect was mutual (3.5).

3. Plato’s Writings

a. Plato’s Dialogues and the Historical Socrates

Supposedly possessed of outstanding intellectual and artistic ability even from his youth, according to Diogenes, Plato began his career as a writer of tragedies, but hearing Socrates talk, he wholly abandoned that path, and even burned a tragedy he had hoped to enter in a dramatic competition (D.L. 3.5). Whether or not any of these stories is true, there can be no question of Plato’s mastery of dialogue, characterization, and dramatic context. He may, indeed, have written some epigrams; of the surviving epigrams attributed to him in antiquity, some may be genuine.

Plato was not the only writer of dialogues in which Socrates appears as a principal character and speaker. Others, including Alexamenos of Teos (Aristotle Poetics 1447b11; De Poetis fr. 3 Ross [=Rose2 72]), Aeschines (D.L. 2.60-63, 3.36, Plato Apology 33e), Antisthenes (D.L. 3.35, 6; Plato, Phaedo 59b; Xenophon, Memorabilia 2.4.5, 3.2.17), Aristippus (D.L. 2.65-104, 3.36, Plato Phaedo 59c), Eucleides (D.L. 2.106-112), Phaedo (D.L. 2.105; Plato, Phaedo passim), Simon (D.L. 122-124), and especially Xenophon (see D.L. 2.48-59, 3.34), were also well-known “Socratics” who composed such works. A recent study of these, by Charles H. Kahn (1996, 1-35), concludes that the very existence of the genre—and all of the conflicting images of Socrates we find given by the various authors—shows that we cannot trust as historically reliable any of the accounts of Socrates given in antiquity, including those given by Plato.

But it is one thing to claim that Plato was not the only one to write Socratic dialogues, and quite another to hold that Plato was only following the rules of some genre of writings in his own work. Such a claim, at any rate, is hardly established simply by the existence of these other writers and their writings. We may still wish to ask whether Plato’s own use of Socrates as his main character has anything at all to do with the historical Socrates. The question has led to a number of seemingly irresolvable scholarly disputes. At least one important ancient source, Aristotle, suggests that at least some of the doctrines Plato puts into the mouth of the “Socrates” of the “early” or “Socrates” dialogues are the very ones espoused by the historical Socrates. Because Aristotle has no reason not to be truthful about this issue, many scholars believe that his testimony provides a solid basis for distinguishing the “Socrates” of the “early” dialogues from the character by that name in Plato’s supposedly later works, whose views and arguments Aristotle suggests are Plato’s own.

b. Dating Plato’s Dialogues

One way to approach this issue has been to find some way to arrange the dialogues into at least relative dates. It has frequently been assumed that if we can establish a relative chronology for when Plato wrote each of the dialogues, we can provide some objective test for the claim that Plato represented Socrates more accurately in the earlier dialogues, and less accurately in the later dialogues.

In antiquity, the ordering of Plato’s dialogues was given entirely along thematic lines. The best reports of these orderings (see Diogenes Laertius’ discussion at 3.56-62) included many works whose authenticity is now either disputed or unanimously rejected. The uncontroversial internal and external historical evidence for a chronological ordering is relatively slight. Aristotle (Politics 2.6.1264b24-27), Diogenes Laertius (3.37), and Olympiodorus (Prol. 6.24) state that Plato wrote the Laws after the Republic. Internal references in the Sophist (217a) and the Statesman (also known as the Politicus; 257a, 258b) show the Statesman to come after the Sophist. The Timaeus (17b-19b) may refer to Republic as coming before it, and more clearly mentions the Critias as following it (27a). Similarly, internal references in the Sophist (216a, 217c) and the Theaetetus (183e) may be thought to show the intended order of three dialogues: Parmenides, Theaetetus, and Sophist. Even so, it does not follow that these dialogues were actually written in that order. At Theaetetus 143c, Plato announces through his characters that he will abandon the somewhat cumbersome dialogue form that is employed in his other writings. Since the form does not appear in a number of other writings, it is reasonable to infer that those in which it does not appear were written after the Theaetetus.

Scholars have sought to augment this fairly scant evidence by employing different methods of ordering the remaining dialogues. One such method is that of stylometry, by which various aspects of Plato’s diction in each dialogue are measured against their uses and frequencies in other dialogues. Originally done by laborious study by individuals, stylometry can now be done more efficiently with assistance by computers. Another, even more popular, way to sort and group the dialogues is what is called “content analysis,” which works by finding and enumerating apparent commonalities or differences in the philosophical style and content of the various dialogues. Neither of these general approaches has commanded unanimous assent among scholars, and it is unlikely that debates about this topic can ever be put entirely to rest. Nonetheless, most recent scholarship seems to assume that Plato’s dialogues can be sorted into different groups, and it is not unusual for books and articles on the philosophy of Socrates to state that by “Socrates” they mean to refer to the character in Plato’s “early” or Socratic dialogues, as if this Socrates was as close to the historical Socrates as we are likely to get. (We have more to say on this subject in the next section.) Perhaps the most thorough examination of this sort can be found in Gregory Vlastos’s, Socrates: Ironist and Moral Philosopher (Cambridge and Cornell, 1991, chapters 2-4), where ten significant differences between the “Socrates” of Plato’s “early” dialogues and the character by that name in the later dialogues are noted. Our own view of the probable dates and groups of dialogues, which to some extent combine the results of stylometry and content analysis, is as follows (all lists but the last in alphabetical order):

Early
(All after the death of Socrates, but before Plato’s first trip to Sicily in 387 B.C.E.):

Apology, Charmides, Crito, Euthydemus, Euthyphro, Gorgias, Hippias Major, Hippias Minor, Ion, Laches, Lysis, Protagoras, Republic Bk. I.

Early-Transitional
(Either at the end of the early group or at the beginning of the middle group, c. 387-380 B.C.E.):

Cratylus, Menexenus, Meno

Middle
(c. 380-360 B.C.E.)

Phaedo, Republic Bks. II-X, Symposium

Late-Transitional
(Either at the end of the middle group, or the beginning of the late group, c. 360-355 B.C.E.)

Parmenides, Theaetetus, Phaedrus

Late
(c. 355-347 B.C.E.; possibly in chronological order)

Sophist, Statesman, Philebus, Timaeus, Critias, Laws

c. Transmission of Plato’s Works

Except for the Timaeus, all of Plato’s works were lost to the Western world until medieval times, preserved only by Moslem scholars in the Middle East. In 1578 Henri Estienne (whose Latinized name was Stephanus) published an edition of the dialogues in which each page of the text is separated into five sections (labeled a, b, c, d, and e). The standard style of citation for Platonic texts includes the name of the text, followed by Stephanus page and section numbers (e.g. Republic 511d). Scholars sometimes also add numbers after the Stephanus section letters, which refer to line numbers within the Stephanus sections in the standard Greek edition of the dialogues, the Oxford Classical texts.

4. Other Works Attributed to Plato

a. Spuria

Several other works, including thirteen letters and eighteen epigrams, have been attributed to Plato. These other works are generally called the spuria and the dubia. The spuria were collected among the works of Plato but suspected as frauds even in antiquity. The dubia are those presumed authentic in later antiquity, but which have more recently been doubted.

Ten of the spuria are mentioned by Diogenes Laertius at 3.62. Five of these are no longer extant: the Midon or Horse-breeder, Phaeacians, Chelidon, Seventh Day, and Epimenides. Five others do exist: the Halcyon, Axiochus, Demodocus, Eryxias, and Sisyphus. To the ten Diogenes Laertius lists, we may uncontroversially add On Justice, On Virtue, and the Definitions, which was included in the medieval manuscripts of Plato’s work, but not mentioned in antiquity.

Works whose authenticity was also doubted in antiquity include the Second Alcibiades (or Alcibiades II), Epinomis, Hipparchus, and Rival Lovers (also known as either Rivals or Lovers), and these are sometimes defended as authentic today. If any are of these are authentic, the Epinomis would be in the late group, and the others would go with the early or early transitional groups.

b. Epigrams

Seventeen or eighteen epigrams (poems appropriate to funerary monuments or other dedications) are also attributed to Plato by various ancient authors. Most of these are almost certainly not by Plato, but some few may be authentic. Of the ones that could be authentic (Cooper 1997, 1742 names 1, 2, 7, and especially 3 as possibly authentic), one (1) is a love poem dedicated to a student of astronomy, perhaps at the Academy, another (2) appears to be a funerary inscription for that same student, another (3) is a funerary inscription for Plato’s Syracusan friend, Dion (in which the author confesses that Dion “maddened my heart with erôs“), and the last (7) is a love poem to a young woman or girl. None appear to provide anything of great philosophical interest.

c. Dubia

The dubia present special risks to scholars: On the one hand, any decision not to include them among the authentic dialogues creates the risk of losing valuable evidence for Plato’s (or perhaps Socrates’) philosophy; on the other hand, any decision to include them creates the risk of obfuscating the correct view of Plato’s (or Socrates’) philosophy, by including non-Platonic (or non-Socratic) elements within that philosophy. The dubia include the First Alcibiades (or Alcibiades I), Minos, and Theages, all of which, if authentic, would probably go with the early or early transitional groups, the Cleitophon, which might be early, early transitional, or middle, and the letters, of which the Seventh seems the best candidate for authenticity. Some scholars have also suggested the possibility that the Third may also be genuine. If any are authentic, the letters would appear to be works of the late period, with the possible exception of the Thirteenth Letter, which could be from the middle period.

Nearly all of the dialogues now accepted as genuine have been challenged as inauthentic by some scholar or another. In the 19th Century in particular, scholars often considered arguments for and against the authenticity of dialogues whose authenticity is now only rarely doubted. Of those we listed as authentic, above (in the early group), only the Hippias Major continues occasionally to be listed as inauthentic. The strongest evidence against the authenticity of the Hippias Major is the fact that it is never mentioned in any of the ancient sources. However, relative to how much was actually written in antiquity, so little now remains that our lack of ancient references to this dialogue does not seem to be an adequate reason to doubt its authenticity. In style and content, it seems to most contemporary scholars to fit well with the other Platonic dialogues.

5. The Early Dialogues

a. Historical Accuracy

Although no one thinks that Plato simply recorded the actual words or speeches of Socrates verbatim, the argument has been made that there is nothing in the speeches Socrates makes in the Apology that he could have not uttered at the historical trial. At any rate, it is fairly common for scholars to treat Plato’s Apology as the most reliable of the ancient sources on the historical Socrates. The other early dialogues are certainly Plato’s own creations. But as we have said, most scholars treat these as representing more or less accurately the philosophy and behavior of the historical Socrates—even if they do not provide literal historical records of actual Socratic conversations. Some of the early dialogues include anachronisms that prove their historical inaccuracy.

It is possible, of course, that the dialogues are all wholly Plato’s inventions and have nothing at all to do with the historical Socrates. Contemporary scholars generally endorse one of the following four views about the dialogues and their representation of Socrates:

  1. The Unitarian View:
    This view, more popular early in the 20th Century than it is now, holds that there is but a single philosophy to be found in all of Plato’s works (of any period, if such periods can even be identified reliably). There is no reason, according to the Unitarian scholar, ever to talk about “Socratic philosophy” (at least from anything to be found in Plato—everything in Plato’s dialogues is Platonic philosophy, according to the Unitarian). One recent version of this view has been argued by Charles H. Kahn (1996). Most later, but still ancient, interpretations of Plato were essentially Unitarian in their approach. Aristotle, however, was a notable exception.
  2. The Literary Atomist View:
    We call this approach the “literary atomist view,” because those who propose this view treat each dialogue as a complete literary whole, whose proper interpretation must be achieved without reference to any of Plato’s other works. Those who endorse this view reject completely any relevance or validity of sorting or grouping the dialogues into groups, on the ground that any such sorting is of no value to the proper interpretation of any given dialogue. In this view, too, there is no reason to make any distinction between “Socratic philosophy” and “Platonic philosophy.” According to the literary atomist, all philosophy to be found in the works of Plato should be attributed only to Plato.
  3. The Developmentalist View:
    According to this view, the most widely held of all of the interpretative approaches, the differences between the early and later dialogues represent developments in Plato’s own philosophical and literary career. These may or may not be related to his attempting in any of the dialogues to preserve the memory of the historical Socrates (see approach 4); such differences may only represent changes in Plato’s own philosophical views. Developmentalists may generally identify the earlier positions or works as “Socratic” and the later ones “Platonic,” but may be agnostic about the relationship of the “Socratic” views and works to the actual historical Socrates.
  4. The Historicist View:
    Perhaps the most common of the Developmentalist positions is the view that the “development” noticeable between the early and later dialogues may be attributed to Plato’s attempt, in the early dialogues, to represent the historical Socrates more or less accurately. Later on, however (perhaps because of the development of the genre of “Socratic writings,” within which other authors were making no attempt at historical fidelity), Plato began more freely to put his own views into the mouth of the character, “Socrates,” in his works. Plato’s own student, Aristotle, seems to have understood the dialogues in this way.

Now, some scholars who are skeptical about the entire program of dating the dialogues into chronological groups, and who are thus strictly speaking not historicists (see, for example, Cooper 1997, xii-xvii) nonetheless accept the view that the “early” works are “Socratic” in tone and content. With few exceptions, however, scholars agreed that if we are unable to distinguish any group of dialogues as early or “Socratic,” or even if we can distinguish a separate set of “Socratic” works but cannot identify a coherent philosophy within those works, it makes little sense to talk about “the philosophy of historical Socrates” at all. There is just too little (and too little that is at all interesting) to be found that could reliably be attributed to Socrates from any other ancient authors. Any serious philosophical interest in Socrates, then, must be pursued through study of Plato’s early or “Socratic” dialogues.

b. Plato’s Characterization of Socrates

In the dialogues generally accepted as early (or “Socratic”), the main character is always Socrates. Socrates is represented as extremely agile in question-and-answer, which has come to be known as “the Socratic method of teaching,” or “the elenchus” (or elenchos, from the Greek term for refutation), with Socrates nearly always playing the role as questioner, for he claimed to have no wisdom of his own to share with others. Plato’s Socrates, in this period, was adept at reducing even the most difficult and recalcitrant interlocutors to confusion and self-contradiction. In the Apology, Socrates explains that the embarrassment he has thus caused to so many of his contemporaries is the result of a Delphic oracle given to Socrates’ friend Chaerephon (Apology 21a-23b), according to which no one was wiser than Socrates. As a result of his attempt to discern the true meaning of this oracle, Socrates gained a divinely ordained mission in Athens to expose the false conceit of wisdom. The embarrassment his “investigations” have caused to so many of his contemporaries—which Socrates claims was the root cause of his being brought up on charges (Apology 23c-24b)—is thus no one’s fault but his “victims,” for having chosen to live “the unexamined life” (see 38a).

The way that Plato’s represents Socrates going about his “mission” in Athens provides a plausible explanation both of why the Athenians would have brought him to trial and convicted him in the troubled years after the end of the Peloponnesian War, and also of why Socrates was not really guilty of the charges he faced. Even more importantly, however, Plato’s early dialogues provide intriguing arguments and refutations of proposed philosophical positions that interest and challenge philosophical readers. Platonic dialogues continue to be included among the required readings in introductory and advanced philosophy classes, not only for their ready accessibility, but also because they raise many of the most basic problems of philosophy. Unlike most other philosophical works, moreover, Plato frames the discussions he represents in dramatic settings that make the content of these discussions especially compelling. So, for example, in the Crito, we find Socrates discussing the citizen’s duty to obey the laws of the state as he awaits his own legally mandated execution in jail, condemned by what he and Crito both agree was a terribly wrong verdict, the result of the most egregious misapplication of the very laws they are discussing. The dramatic features of Plato’s works have earned attention even from literary scholars relatively uninterested in philosophy as such. Whatever their value for specifically historical research, therefore, Plato’s dialogues will continue to be read and debated by students and scholars, and the Socrates we find in the early or “Socratic” dialogues will continue to be counted among the greatest Western philosophers.

c. Ethical Positions in the Early Dialogues

The philosophical positions most scholars agree can be found directly endorsed or at least suggested in the early or “Socratic” dialogues include the following moral or ethical views:

  • A rejection of retaliation, or the return of harm for harm or evil for evil (Crito 48b-c, 49c-d; Republic I.335a-e);
  • The claim that doing injustice harms one’s soul, the thing that is most precious to one, and, hence, that it is better to suffer injustice than to do it (Crito 47d-48a; Gorgias 478c-e, 511c-512b; Republic I.353d-354a);
  • Some form of what is called “eudaimonism,” that is, that goodness is to be understood in terms of conduciveness to human happiness, well-being, or flourishing, which may also be understood as “living well,” or “doing well” (Crito 48b; Euthydemus 278e, 282a; Republic I. 354a);
  • The view that only virtue is good just by itself; anything else that is good is good only insofar as it serves or is used for or by virtue (Apology 30b; Euthydemus 281d-e);
  • The view that there is some kind of unity among the virtues: In some sense, all of the virtues are the same (Protagoras 329b-333b, 361a-b);
  • The view that the citizen who has agreed to live in a state must always obey the laws of that state, or else persuade the state to change its laws, or leave the state (Crito 51b-c, 52a-d).

d. Psychological Positions in the Early Dialogues

Socrates also appears to argue for, or directly makes a number of related psychological views:

  • All wrongdoing is done in ignorance, for everyone desires only what is good (Protagoras 352a-c; Gorgias 468b; Meno 77e-78b);
  • In some sense, everyone actually believes certain moral principles, even though some may think they do not have such beliefs, and may disavow them in argument (Gorgias 472b, 475e-476a).

e. Religious Positions in the Early Dialogues

In these dialogues, we also find Socrates represented as holding certain religious beliefs, such as:

  • The gods are completely wise and good (Apology 28a; Euthyphro 6a, 15a; Meno 99b-100b);
  • Ever since his childhood (see Apology 31d) Socrates has experienced a certain “divine something” (Apology 31c-d; 40a; Euthyphro 3b; see also Phaedrus 242b), which consists in a “voice” (Apology 31d; see also Phaedrus 242c), or “sign” (Apology 40c, 41d; Euthydemus 272e; see also Republic VI.496c; Phaedrus 242b) that opposes him when he is about to do something wrong (Apology 40a, 40c);
  • Various forms of divination can allow human beings to come to recognize the will of the gods (Apology 21a-23b, 33c);
  • Poets and rhapsodes are able to write and do the wonderful things they write and do, not from knowledge or expertise, but from some kind of divine inspiration. The same canbe said of diviners and seers, although they do seem to have some kind of expertise—perhaps only some technique by which to put them in a state of appropriate receptivity to the divine (Apology 22b-c; Laches 198e-199a; Ion 533d-536a, 538d-e; Meno 99c);
  • No one really knows what happens after death, but it is reasonable to think that death is not an evil; there may be an afterlife, in which the souls of the good are rewarded, and the souls of the wicked are punished (Apology 40c-41c; Crito 54b-c; Gorgias 523a-527a).

f. Methodological and Epistemological Positions in the Early Dialogues

In addition, Plato’s Socrates in the early dialogues may plausibly be regarded as having certain methodological or epistemological convictions, including:

  • Definitional knowledge of ethical terms is at least a necessary condition of reliable judging of specific instances of the values they name (Euthyphro 4e-5d, 6e; Laches 189e-190b; Lysis 223b; Greater Hippias 304d-e; Meno 71a-b, 100b; Republic I.354b-c);
  • A mere list of examples of some ethical value—even if all are authentic cases of that value—would never provide an adequate analysis of what the value is, nor would it provide an adequate definition of the value term that refers to the value. Proper definitions must state what is common to all examples of the value (Euthyphro 6d-e; Meno 72c-d);
  • Those with expert knowledge or wisdom on a given subject do not err in their judgments on that subject (Euthyphro 4e-5a; Euthydemus 279d-280b), go about their business in their area of expertise in a rational and regular way (Gorgias 503e-504b), and can teach and explain their subject (Gorgias 465a, 500e-501b, 514a-b; Laches 185b, 185e, 1889e-190b); Protagoras 319b-c).

6. The Middle Dialogues

a. Differences between the Early and Middle Dialogues

Scholarly attempts to provide relative chronological orderings of the early transitional and middle dialogues are problematical because all agree that the main dialogue of the middle period, the Republic, has several features that make dating it precisely especially difficult. As we have already said, many scholars count the first book of the Republic as among the early group of dialogues. But those who read the entire Republic will also see that the first book also provides a natural and effective introduction to the remaining books of the work. A recent study by Debra Nails (“The Dramatic Date of Plato’s Republic,” The Classical Journal 93.4, 1998, 383-396) notes several anachronisms that suggest that the process of writing (and perhaps re-editing) the work may have continued over a very long period. If this central work of the period is difficult to place into a specific context, there can be no great assurance in positioning any other works relative to this one.

Nonetheless, it does not take especially careful study of the transitional and middle period dialogues to notice clear differences in style and philosophical content from the early dialogues. The most obvious change is the way in which Plato seems to characterize Socrates: In the early dialogues, we find Socrates simply asking questions, exposing his interlocutors’ confusions, all the while professing his own inability to shed any positive light on the subject, whereas in the middle period dialogues, Socrates suddenly emerges as a kind of positive expert, willing to affirm and defend his own theories about many important subjects. In the early dialogues, moreover, Socrates discusses mainly ethical subjects with his interlocutors—with some related religious, methodological, and epistemological views scattered within the primarily ethical discussions. In the middle period, Plato’s Socrates’ interests expand outward into nearly every area of inquiry known to humankind. The philosophical positions Socrates advances in these dialogues are vastly more systematical, including broad theoretical inquiries into the connections between language and reality (in the Cratylus), knowledge and explanation (in the Phaedo and Republic, Books V-VII). Unlike the Socrates of the early period, who was the “wisest of men” only because he recognized the full extent of his own ignorance, the Socrates of the middle period acknowledges the possibility of infallible human knowledge (especially in the famous similes of light, the simile of the sun and good and the simile of the divided line in Book VI and the parable of the cave in Book VII of the Republic), and this becomes possible in virtue of a special sort of cognitive contact with the Forms or Ideas (eidê ), which exist in a supra-sensible realm available only to thought. This theory of Forms, introduced and explained in various contexts in each of the middle period dialogues, is perhaps the single best-known and most definitive aspect of what has come to be known as Platonism.

b. The Theory of Forms

In many of his dialogues, Plato mentions supra-sensible entities he calls “Forms” (or “Ideas”). So, for example, in the Phaedo, we are told that particular sensible equal things—for example, equal sticks or stones (see Phaedo 74a-75d)—are equal because of their “participation” or “sharing” in the character of the Form of Equality, which is absolutely, changelessly, perfectly, and essentially equal. Plato sometimes characterizes this participation in the Form as a kind of imaging, or approximation of the Form. The same may be said of the many things that are greater or smaller and the Forms of Great and Small (Phaedo 75c-d), or the many tall things and the Form of Tall (Phaedo 100e), or the many beautiful things and the Form of Beauty (Phaedo 75c-d, Symposium 211e, Republic V.476c). When Plato writes about instances of Forms “approximating” Forms, it is easy to infer that, for Plato, Forms are exemplars. If so, Plato believes that The Form of Beauty is perfect beauty, the Form of Justice is perfect justice, and so forth. Conceiving of Forms in this way was important to Plato because it enabled the philosopher who grasps the entities to be best able to judge to what extent sensible instances of the Forms are good examples of the Forms they approximate.

Scholars disagree about the scope of what is often called “the theory of Forms,” and question whether Plato began holding that there are only Forms for a small range of properties, such as tallness, equality, justice, beauty, and so on, and then widened the scope to include Forms corresponding to every term that can be applied to a multiplicity of instances. In the Republic, he writes as if there may be a great multiplicity of Forms—for example, in Book X of that work, we find him writing about the Form of Bed (see Republic X.596b). He may have come to believe that for any set of things that shares some property, there is a Form that gives unity to the set of things (and univocity to the term by which we refer to members of that set of things). Knowledge involves the recognition of the Forms (Republic V.475e-480a), and any reliable application of this knowledge will involve the ability to compare the particular sensible instantiations of a property to the Form.

c. Immortality and Reincarnation

In the early transitional dialogue, the Meno, Plato has Socrates introduce the Orphic and Pythagorean idea that souls are immortal and existed before our births. All knowledge, he explains, is actually recollected from this prior existence. In perhaps the most famous passage in this dialogue, Socrates elicits recollection about geometry from one of Meno’s slaves (Meno 81a-86b). Socrates’ apparent interest in, and fairly sophisticated knowledge of, mathematics appears wholly new in this dialogue. It is an interest, however, that shows up plainly in the middle period dialogues, especially in the middle books of the Republic.

Several arguments for the immortality of the soul, and the idea that souls are reincarnated into different life forms, are also featured in Plato’s Phaedo (which also includes the famous scene in which Socrates drinks the hemlock and utters his last words). Stylometry has tended to count the Phaedo among the early dialogues, whereas analysis of philosophical content has tended to place it at the beginning of the middle period. Similar accounts of the transmigration of souls may be found, with somewhat different details, in Book X of the Republic and in the Phaedrus, as well as in several dialogues of the late period, including the Timaeus and the Laws. No traces of the doctrine of recollection, or the theory of reincarnation or transmigration of souls, are to be found in the dialogues we listed above as those of the early period.

d. Moral Psychology

The moral psychology of the middle period dialogues also seems to be quite different from what we find in the early period. In the early dialogues, Plato’s Socrates is an intellectualist—that is, he claims that people always act in the way they believe is best for them (at the time of action, at any rate). Hence, all wrongdoing reflects some cognitive error. But in the middle period, Plato conceives of the soul as having (at least) three parts:

  1. a rational part (the part that loves truth, which should rule over the other parts of the soul through the use of reason),
  2. a spirited part (which loves honor and victory), and
  3. an appetitive part (which desires food, drink, and sex),

and justice will be that condition of the soul in which each of these three parts “does its own work,” and does not interfere in the workings of the other parts (see esp. Republic IV.435b-445b). It seems clear from the way Plato describes what can go wrong in a soul, however, that in this new picture of moral psychology, the appetitive part of the soul can simply overrule reason’s judgments. One may suffer, in this account of psychology, from what is called akrasia or “moral weakness”—in which one finds oneself doing something that one actually believes is not the right thing to do (see especially Republic IV.439e-440b). In the early period, Socrates denied that akrasia was possible: One might change one’s mind at the last minute about what one ought to do—and could perhaps change one’s mind again later to regret doing what one has done—but one could never do what one actually believed was wrong, at the time of acting.

e. Critique of the Arts

The Republic also introduces Plato’s notorious critique of the visual and imitative arts. In the early period works, Socrates contends that the poets lack wisdom, but he also grants that they “say many fine things.” In the Republic, on the contrary, it seems that there is little that is fine in poetry or any of the other fine arts. Most of poetry and the other fine arts are to be censored out of existence in the “noble state” (kallipolis) Plato sketches in the Republic, as merely imitating appearances (rather than realities), and as arousing excessive and unnatural emotions and appetites (see esp. Republic X.595b-608b).

f. Platonic Love

In the Symposium, which is normally dated at the beginning of the middle period, and in the Phaedrus, which is dated at the end of the middle period or later yet, Plato introduces his theory of erôs (usually translated as “love”). Several passages and images from these dialogues continued to show up in Western culture—for example, the image of two lovers as being each other’s “other half,” which Plato assigns to Aristophanes in the Symposium. Also in that dialogue, we are told of the “ladder of love,” by which the lover can ascend to direct cognitive contact with (usually compared to a kind of vision of) Beauty Itself. In the Phaedrus, love is revealed to be the great “divine madness” through which the wings of the lover’s soul may sprout, allowing the lover to take flight to all of the highest aspirations and achievements possible for humankind. In both of these dialogues, Plato clearly regards actual physical or sexual contact between lovers as degraded and wasteful forms of erotic expression. Because the true goal of erôs is real beauty and real beauty is the Form of Beauty, what Plato calls Beauty Itself, erôs finds its fulfillment only in Platonic philosophy. Unless it channels its power of love into “higher pursuits,” which culminate in the knowledge of the Form of Beauty, erôs is doomed to frustration. For this reason, Plato thinks that most people sadly squander the real power of love by limiting themselves to the mere pleasures of physical beauty.

7. Late Transitional and Late Dialogues

a. Philosophical Methodology

One of the novelties of the dialogues after those of the middle period is the introduction of a new philosophical method. This method was introduced probably either late in the middle period or in the transition to the late period, but was increasingly important in the late period. In the early period dialogues, as we have said, the mode of philosophizing was refutative question-and-answer (called elenchos or the “Socratic method”). Although the middle period dialogues continue to show Socrates asking questions, the questioning in these dialogues becomes much more overtly leading and didactic. The highest method of philosophizing discussed in the middle period dialogues, called “dialectic,” is never very well explained (at best, it is just barely sketched in the divided line image at the end of Book VI of the Republic). The correct method for doing philosophy, we are now told in the later works, is what Plato identifies as “collection and division,” which is perhaps first referred to at Phaedrus 265e. In this method, the philosopher collects all of the instances of some generic category that seem to have common characteristics, and then divides them into specific kinds until they cannot be further subdivided. This method is explicitly and extensively on display in the Sophist, Statesman, and Philebus.

b. Critique of the Earlier Theory of Forms

One of the most puzzling features of the late dialogues is the strong suggestion in them that Plato has reconsidered his theory of Forms in some way. Although there seems still in the late dialogues to be a theory of Forms (although the theory is, quite strikingly, wholly unmentioned in the Theaetetus, a later dialogue on the nature of knowledge), where it does appear in the later dialogues, it seems in several ways to have been modified from its conception in the middle period works. Perhaps the most dramatic signal of such a change in the theory appears first in the Parmenides, which appears to subject the middle period version of the theory to a kind of “Socratic” refutation, only this time, the main refuter is the older Eleatic philosopher Parmenides, and the hapless victim of the refutation is a youthful Socrates. The most famous (and apparently fatal) of the arguments provided by Parmenides in this dialogue has come to be known as the “Third Man Argument,” which suggests that the conception of participation (by which individual objects take on the characters of the Forms) falls prey to an infinite regress: If individual male things are male in virtue of participation in the Form of Man, and the Form of Man is itself male, then what is common to both The Form of Man and the particular male things must be that they all participate in some (other) Form, say, Man 2. But then, if Man 2 is male, then what it has in common with the other male things is participation in some further Form, Man 3, and so on. That Plato’s theory is open to this problem gains support from the notion, mentioned above, that Forms are exemplars. If the Form of Man is itself a (perfect) male, then the Form shares a property in common with the males that participate in it. But since the Theory requires that for any group of entities with a common property, there is a Form to explain the commonality, it appears that the theory does indeed give rise to the vicious regress.

There has been considerable controversy for many years over whether Plato believed that the Theory of Forms was vulnerable to the “Third Man” argument, as Aristotle believed it was, and so uses the Parmenides to announce his rejection of the Theory of Forms, or instead believed that the Third Man argument can be avoided by making adjustments to the Theory of Forms. Of relevance to this discussion is the relative dating of the Timaeus and the Parmenides, since the Theory of Forms very much as it appears in the middle period works plays a prominent role in the Timaeus. Thus, the assignment of a later date to the Timaeus shows that Plato did not regard the objection to the Theory of Forms raised in the Parmenides as in any way decisive. In any event, it is agreed on all sides that Plato’s interest in the Theory shifted in the Sophist and Stateman to the exploration of the logical relations that hold between abstract entities. In the Laws, Plato’s last (and unfinished) work, the Theory of Forms appears to have dropped out altogether. Whatever value Plato believed that knowledge of abstract entities has for the proper conduct of philosophy, he no longer seems to have believed that such knowledge is necessary for the proper running of a political community.

c. The “Eclipse” of Socrates

In several of the late dialogues, Socrates is even further marginalized. He is either represented as a mostly mute bystander (in the Sophist and Statesman), or else absent altogether from the cast of characters (in the Laws and Critias). In the Theaetetus and Philebus, however, we find Socrates in the familiar leading role. The so-called “eclipse” of Socrates in several of the later dialogues has been a subject of much scholarly discussion.

d. The Myth of Atlantis

Plato’s famous myth of Atlantis is first given in the Timaeus, which scholars now generally agree is quite late, despite being dramatically placed on the day after the discussion recounted in the Republic. The myth of Atlantis is continued in the unfinished dialogue intended to be the sequel to the Timaeus, the Critias.

e. The Creation of the Universe

The Timaeus is also famous for its account of the creation of the universe by the Demiurge. Unlike the creation by the God of medieval theologians, Plato’s Demiurge does not create ex nihilo, but rather orders the cosmos out of chaotic elemental matter, imitating the eternal Forms. Plato takes the four elements, fire, air, water, and earth (which Plato proclaims to be composed of various aggregates of triangles), making various compounds of these into what he calls the Body of the Universe. Of all of Plato’s works, the Timaeus provides the most detailed conjectures in the areas we now regard as the natural sciences: physics, astronomy, chemistry, and biology.

f. The Laws

In the Laws, Plato’s last work, the philosopher returns once again to the question of how a society ought best to be organized. Unlike his earlier treatment in the Republic, however, the Laws appears to concern itself less with what a best possible state might be like, and much more squarely with the project of designing a genuinely practicable, if admittedly not ideal, form of government. The founders of the community sketched in the Laws concern themselves with the empirical details of statecraft, fashioning rules to meet the multitude of contingencies that are apt to arise in the “real world” of human affairs. A work of enormous length and complexity, running some 345 Stephanus pages, the Laws was unfinished at the time of Plato’s death. According to Diogenes Laertius (3.37), it was left written on wax tablets.

8. References and Further Reading

a. Greek Texts

  • Platonis Opera (in 5 volumes) – The Oxford Classical Texts (Oxford: Oxford University Press):
  • Volume I (E. A. Duke et al., eds., 1995): Euthyphro, Apologia Socratis, Crito, Phaedo, Cratylus, Theaetetus, Sophista, Politicus.
  • Volume II (John Burnet, ed., 1901): Parmenides, Philebus, Symposium, Phaedrus, Alcibiades I, Alcibiades II, Hipparchus, Amatores.
  • Volume III (John Burnet, ed., 1903): Theages, Charmides, Laches, Lysis, Euthydemus, Protagoras, Gorgias, Meno, Hippias Maior, Hippias Minor, Io, Menexenus.
  • Volume IV (John Burnet, ed., 1978): Clitopho, Respublica, Timaeus, Critias.
  • Volume V (John Burnet, ed. 1907): Minos, Leges, Epinomis, Epistulae, Definitiones, De Iusto, De Virtute, Demodocus, Sisyphus, Eryxias, Axiochus.
    • The Oxford Classical Texts are the standard Greek texts of Plato’s works, including all of the spuria and dubia except for the epigrams, the Greek texts of which may be found in Hermann Beckby (ed.), Anthologia Graeca (Munich: Heimeran, 1957).

b. Translations into English

  • Cooper, J. M. (ed.), Plato: Complete Works (Indianapolis: Hackett, 1997).
    • Contains very recent translations of all of the Platonic works, dubia, spuria, and epigrams. Now generally regarded as the standard for English translations.

c. Plato’s Socrates and the Historical Socrates

  • Kahn, Charles H., Plato and the Socratic Dialogue (Cambridge: Cambridge University Press, 1996).
    • Kahn’s own version of the “unitarian” reading of Plato’s dialogues. Although scholars have not widely accepted Kahn’s positions, Kahn offers several arguments for rejecting the more established held “developmentalist” position.
  • Vlastos, Gregory, Socrates, Ironist and Moral Philosopher (Cambridge: Cambridge University Press and Ithaca, N.Y.: Cornell University Press, 1991).
    • Chapters 2 and 3 of this book are invariably cited as providing the most influential recent arguments for the “historicist” version of the “developmentalist” position.

d. Socrates and Plato’s Early Period Dialogues

  • Benson, Hugh H. (ed.), Essays on the Philosophy of Socrates (New York: Oxford University Press, 1992).
    • A collection of previously published articles by various authors on Socrates and Plato’s early dialogues.
  • Brickhouse, Thomas C. and Nicholas D. Smith, Plato’s Socrates (New York: Oxford University Press, 1994).
    • Six chapters, each on different topics in the study of Plato’s early or Socratic dialogues.
  • Brickhouse, Thomas C. and Nicholas D. Smith, The Philosophy of Socrates (Boulder: Westview, 2000).
    • Seven chapters, each on different topics in the study of Plato’s early or Socratic dialogues. Some changes in views from those offered in their 1994 book.
  • Prior, William (ed.), Socrates: Critical Assessments (London and New York, 1996) in four volumes: I: The Socratic Problem and Socratic Ignorance; II: Issues Arising from the Trial of Socrates; III: Socratic Method; IV: Happiness and Virtue.
    • A collection of previously published articles by various authors on Socrates and Plato’s early dialogues.
  • Santas, Gerasimos Xenophon, Socrates: Philosophy in Plato’s Early Dialogues (Boston and London: Routledge, 1979).
    • Eight chapters, each on different topics in the study of Plato’s early or Socratic dialogues.
  • Taylor, C. C. W. Socrates: A Very Short Introduction (Oxford: Oxford University Press, 1998).
    • Very short, indeed, but nicely written and generally very reliable.
  • Vlastos, Gregory, Socrates, Ironist and Moral Philosopher (Cambridge: Cambridge University Press and Ithaca, N.Y.: Cornell University Press, 1991). (Also cited in VIII.3, above.)
    • Eight chapters, each on different topics in the study of Plato’s early or Socratic dialogues.
  • Vlastos, Gregory, Socratic Studies (ed. Myles Burnyeat; Cambridge: Cambridge University Press, 1994).
    • Edited and published after Vlastos’s death. A collection of Vlastos’s papers on Socrates not published in Vlastos’s 1991 book.
  • Vlastos, Gregory (ed.) The Philosophy of Socrates (South Bend: University of Notre Dame Press, 1980).
    • A collection of papers by various authors on Socrates and Plato’s early dialogues. Although now somewhat dated, several articles in this collection continue to be widely cited and studied.

e. General Books on Plato

  • Cherniss, Harold, The Riddle of the Early Academy (Berkeley: University of California Press, 1945).
    • A study of reports in the Early Academy, following Plato’s death, of the so-called “unwritten doctrines” of Plato.
  • Fine, Gail (ed.), Plato I: Metaphysics and Epistemology and Plato II: Ethics, Politics, Religion and the Soul (Oxford: Oxford University Press, 1999).
    • A collection of previously published papers by various authors, mostly on Plato’s middle and later periods.
  • Grote, George, Plato and the Other Companions of Sokrates 2nd ed. 3 vols. (London: J. Murray, 1867).
    • 3-volume collection with general discussion of “the Socratics” other than Plato, as well as specific discussions of each of Plato’s works.
  • Guthrie, W. K. C., A History of Greek Philosophy (Cambridge: Cambridge University Press) vols. 3 (1969), 4 (1975) and 5 (1978).
    • Volume 3 is on the Sophists and Socrates; volume 4 is on Plato’s early dialogues and continues with chapters on Phaedo, Symposium, and Phaedrus, and then a final chapter on the Republic.
  • Irwin, Terence, Plato’s Ethics (New York and Oxford: Oxford University Press, 1995).
    • Systematic discussion of the ethical thought in Plato’s works.
  • Kraut, Richard (ed.), The Cambridge Companion to Plato (Cambridge: Cambridge University Press, 1992).
    • A collection of original discussions of various general topics about Plato and the dialogues.
  • Smith, Nicholas D. (ed.), Plato: Critical Assessments (London and New York: Routledge, 1998) in four volumes: I: General Issues of Interpretation; II: Plato’s Middle Period: Metaphysics and Epistemology; III: Plato’s Middle Period: Psychology and Value Theory; IV: Plato’s Later Works.
    • A collection of previously published articles by various authors on interpretive problems and on Plato’s middle and later periods. Plato’s early period dialogues are covered in this series by Prior 1996 (see VIII.4).
  • Vlastos, Gregory, Platonic Studies 2nd ed. (Princeton: Princeton University Press, 1981).
    • A collection of Vlastos’s papers on Plato, including some important earlier work on the early dialogues.
  • Vlastos, Gregory, Plato I: Metaphysics and Epistemology and Plato II: Ethics, Politics, and Philosophy of Art and Religion (South Bend: University of Notre Dame Press, 1987).
    • A collection of papers by various authors on Plato’s middle period and later dialogues. Although now somewhat dated, several articles in this collection continue to be widely cited and studied.

Author Information

Thomas Brickhouse
Email: brickhouse@lynchburg.edu
Lynchburg College
U. S. A.

and

Nicholas D. Smith
Email: ndsmith@lclark.edu
Lewis & Clark College
U. S. A.

Christian Philosophy: The 1930s French Debates

Between 1931 and 1935, important debates regarding the nature, possibility and history of Christian philosophy took place between major authors in French-speaking philosophical and theological circles. These authors include Etienne Gilson, Jacques Maritain, Maurice Blondel, Gabriel Marcel, Fernand Van Steenberghen and Antonin Sertillanges. The debates provided occasion for participants to clarify their positions on the relationships between philosophy, Christianity, theology and history, and they involved issues such as the relationship between faith and reason, the nature of reason, reason’s grounding in the concrete human subject, the problem of the supernatural, and the nature and ends of philosophy itself. The debates led participants to self-consciously re-evaluate their own philosophical commitments and address the problem of philosophy’s nature in a novel and rigorous manner.

Although these debates originally took place between Roman Catholics and secular Rationalists, fundamental differences between different Roman Catholic positions rapidly became apparent and assumed central importance. The debates also drew attention from Reformed Protestant thinkers. Eventually the debates sparked smaller discussions among scholars in English, German, Spanish, Portuguese and Italian-speaking circles, and these continue to the present day. This article provides a brief overview of the most important contributors, the central issues and the main positions of these debates.

Table of Contents

  1. Introduction
  2. The Historical Background and Development of the Debates
  3. Positions Against Christian Philosophy
    1. Gilson’s Overview
    2. Theologist (Fideist) Positions
    3. Rationalist Positions
    4. Neo-Scholastic Positions
  4. Positions For Christian Philosophy
    1. Etienne Gilson’s Position
    2. Jacques Maritain’s Position
    3. Maurice Blondel’s Position
    4. Gabriel Marcel’s Position
    5. Other Positions Reconciling the Gilson-Maritain and Blondel Positions
  5. References and Further Reading
    1. Literature from the 1930s Christian Philosophy Debates
    2. Selected Literature from 1940s and 50s Reformed Protestant Discussions about Christian Philosophy
    3. Selected Literature about the 1930s Christian Philosophy Debates and Positions on the Issue of Christian Philosophy

1. Introduction

The use of the term “Christian philosophy” and other similar expressions dates back to the early Christian era. However, considerable ambiguity surrounding the term pervades philosophical reflection regarding Christian philosophy’s possibility, historical reality and nature, and therefore affects efforts to generate and evaluate particular Christian philosophies. The 1930s French Debates represent a period of the most sustained and systematic examination of the problems concerning Christian philosophy, and are thus of philosophical significance for various reasons.

First, they involve perennial issues raised in philosophy, including the relationships between faith and reason, philosophy and theology, the nature of human reason and its limits in the face of religion, the nature of religion, historical relationships between Christian thought, practice and the development of particular philosophical systems and the nature of philosophy itself. The debates led participants to self-consciously re-evaluate their own philosophical commitments and address the problem of philosophy’s nature in a novel and rigorous manner.

Second, the debates are momentous due to the renown of their participants, most of whom had earned significant places in Francophone philosophical establishments, both secular or Christian. Practically all of the major interlocutors approached the issues armed with years of previous study, reflection and in some cases polemical engagements. Each of them was thus able to develop further insights and to more systematically elaborate their positions during the ensuing debates on the basis of their previous philosophical work.

Third, the debates and their participants’ personal positions on Christian philosophy have generated an ever-growing philosophical literature. Given that issues germane to Christian philosophy had never before nor since been examined so thoroughly, contemporary discussions regarding Christian philosophy greatly benefit from the 1930s Debates.

2. The Historical Background and Development of the Debates

Without providing a comprehensive historic overview for the 1930s Debates, several historical developments allowing context are to be considered at this juncture.

The onset of modernity produced radically new schools of philosophical thought, increasingly secularized culture, institutions, disciplines and discourses, and in some cases suspicion or outright repudiation of previous philosophical and theological traditions, religious authority and of Christianity itself. While issues raised by the contact between Christianity and philosophy were addressed in late antiquity, the “problem of Christian philosophy” was not explicitly framed until these developments came about. Thus Christian philosophy became a central problem for 17th and 18th century thinkers such as Pascal, Malebranche, Descartes, Hegel, Kierkegaard, Catholic Traditionalists (such as de Maistre and Lammenais), neo-Scholastics and other Thomists, and Maurice Blondel.

Another major development stemmed from the impetus given to Catholic philosophical work by several papal encyclicals. Leo XIII’s Aeterni Patris dealt explicitly with the relationship between philosophy and Christianity, and exhorted the return to study of Thomas Aquinas. While it never made Thomism the official philosophy of the Roman Catholic Church, it gave pride of place to Aquinas’ work, and within a generation Thomist philosophy became established as the dominant and representative form of Catholic philosophical thought. Aeterni Patris also had the side-effect of encouraging renewed attention to other mediaeval Christian thinkers, including Augustine, Anselm, Bonaventure, Scotus and Ockham. During the Modernism crisis, Pius X’s Pascendi exerted a different effect. The document diagnosed philosophical bases of the heresy of “modernism” and reinforced the centrality to be accorded to Thomism. With respect to Christian philosophy, the two documents might be summarized thus: the first suggested where Christian philosophy should be found and further developed; the second indicated where Christian philosophy could not be found and further developed.

Furthermore, in France a revitalization had taken place in metaphysics, moral philosophy and philosophical anthropology (all areas, as Etienne Gilson pointed out, central to Christian philosophy), due in part to renewed interest in Thomist and Augustinian studies and also to the influence of Henri Bergson and Maurice Blondel. In addition, the term “Christian philosophy” began to enjoy greater currency in the early part of the 20th century, particularly by the 1920s. This engendered two main lines of thought. First, the Debates provoked counter-responses by both secular, rationalist philosophers and by Catholic, neo-Scholastic philosophers who agreed for different reasons that the notion of Christian philosophy was a false one. Second, they produced reflection and dialogue on the part of Catholic and Reformed Protestant philosophers who considered the term to designate a distinctively Christian manner of philosophizing. By the time the debates officially began at the March 1931 meeting of the Société Française de Philosophie, the issue was primed for sustained discussion by the Francophone philosophical and theological communities.

Several participants had articulated their views on Christian philosophy prior to the debates. Emile Bréher dismissed the idea of Christian philosophy in relevant portions of his History of Philosophy, and in 1928 presented his argument at a set of conferences in Belgium. Etienne Gilson published books on Augustine, Bonaventure and Aquinas, making use of the term “Christian philosophy.” Along with Blondel and Jacques Maritain, she contributed discussions of Christian philosophy to various works commemorating the 1,500 year anniversary of the death of Augustine.

The specific catalyst for the debates was Xavier Leon’s proposal to Gilson that he and Léon Brunscvicg should debate the status of Thomist philosophy as a philosophy. Gilson in return proposed the broader topic “Christian philosophy”, asking that Brehier be included. Maritain also participated, taking Gilson’s side. Blondel contributed a letter highly critical of Gilson’s position at the meeting, and published a response to Bréhier’s criticisms.

The Debates expanded in numerous forums over the next four years. Articles and conference contributions by around fifty different authors appeared in journals, at first mainly in French, then later in German, Italian, Spanish, English and even Latin. Gilson, Maritain, Blondel and Regis Jolivet each published books focused on Christian philosophy in 1931-33. The Société Thomiste devoted their 1933 conference to the topic of Christian philosophy, and the Société d’Etudes Philosophiques devoted theirs that same year to discussion of Blondel’s Le problème de la philosophie chrétienne. By around 1936, the Debates came to a close. Although they did not end in conclusive or universally acknowledged success for any of the participants, the positions of dominant schools of thought regarding Christian philosophy had been firmly established.

The issue of Christian philosophy has continued to spur philosophical reflection, taking literary form in conference presentations, articles, books and papal documents (e.g. John Paul II’s Fides et Ratio and Benedict XVI’s recent Regensburg address on Faith, Reason and the University) and motivating a number of conferences and special journal volumes devoted to the topic. One smaller and later set of debates worth noting took place in the late 1940s and early 50s among Francophone Reformed Protestant philosophers and theologians, inspired by Roger Mehl’s The Condition of the Christian Philosopher, and included several Reformed thinkers who had played minor roles in the 1930s debates – Jacques Bois, Pierre Guérin and Arnold Reymond.

3. Positions Against Christian Philosophy

a. Gilson’s Overview

Etienne Gilson provides a useful overview and typology of the positions opposed to the possibility of Christian philosophy, distinguishing three main stances: “theologism” (now more generally called “fideism”), “rationalism” and certain types of Neo-Scholasticism.

Gilson had originally singled out “certain doctors of the Middle Ages” as representatives of theologism, for whom

the Christian religion excludes philosophy, because Christianity is a doctrine of salvation, because one can be saved without philosophy, and even because it is more difficult to be saved with philosophy than without it. . . . Medieval philosophy was the negation of this obscurantism, but still it did exist. For men of that type, the very notion of Christian philosophy could only rest on an equivocation. It signifies that where Christianity is, it is useless or dangerous that philosophy be. (Bulletin de la Société française de Philosophie, p. 41)

Gilson’s later works (The Spirit of Medieval Philosophy and Christianity and Philosophy ) expand this position, engaging the thought of Luther, Calvin and their later interpreters.

Gilson also criticizes another position regarding “theologism” (The Unity of Philosophical Experience, p.31-60): this is one where the term “Christian philosophy” signifies Christian revelation or Christian theology, disregarding the distinct role, discipline and methods of philosophy. In certain respects the rationalist position mirrors the theologist one:

[W]here philosophy is, it is dangerous that Christianity should be. This is the position of pure rationalism, i.e., of those who do not accept a limited role for rationalism. Whatever the content may be of the diverse philosophies reason elaborates, it is insofar as rational that they are philosophies. To want to subordinate them to a dogma or to a faith is to destroy philosophy’s essence….[T]heology bases itself on faith, which is something irrational. To make philosophy the servant of theology is therefore to make the rational depend on the irrational, i.e, to suppress its very rationality. (Bul. Soc fr. Phil., p. 41)

At their root, rationalist positions on Christian philosophy, on one ground or another, eliminate or exclude from the field of philosophy any philosophical system, doctrine or author who brings reason, the instrument of philosophy, into contaminating contact with religious faith, practice, or thought, which would vitiate the philosophy’s rational and autonomous development. Numerous philosophical positions, schools, or even environments of basic cultural and philosophical presuppositions developed during or in the wake of the European Enlightenment fit rationalism’s profile. Arguably, even philosophies critical of the Enlightenment but devotedly committed to a necessarily secularist view of philosophy can, on the issue of Christian philosophy, be regarded as analogues of rationalism.

From rationalist perspectives, Patristic and Medieval thought, as well as those of their modern interpreters, would not legitimately deserve the title of philosophy. Gilson notes, however, holding that “everything that either directly or indirectly undergoes the influence of a religious faith ceases, ipso facto, to retain any philosophical value,” really stems from and represents “a mere ‘rationalist’ postulate, directly opposed to reason.” (The Spirit of Medieval Philosophy, p. 406)

Despite their differences, Neo-Thomist or neo-Scholastic opponents of Christian philosophy also shared several key similarities with rationalists. As Gilson points out, neo-Scholastics retain some role for Christian faith, but one extrinsic to their philosophical activity:

[A]ll of them agree with Saint Thomas that truth cannot contradict truth and that, consequently, what faith finds agrees substantially with what reason proves. They would even go further, for if faith agrees with reason, if not in its method, at least in its content, all factual disagreement between the two is an indication of an error in the philosophical order and a warning that one has to reexamine the problem. Still, all of the neo-Scholastic philosophers add that, insofar as philosophy, philosophy is the exclusive work of reason. (Bul. Soc fr. Phil., p. 42)

The philosophy of the Christian, in their view, ought not to incorporate anything deriving from Christianity into itself, for then it passes over into theology. The neo-Scholastic position in effect adopts wholesale rationalist assumptions about human reason, philosophy and Christian faith, with the consequence that

[a]ccording to these neo-Scholastic philosophers, there cannot be Christian philosophy any more than there can be for a pure rationalist, because within the philosophical order, grasped with precision and insofar as philosophical, their rationalism is a pure one. (Bul. Soc fr. Phil., p. 42)

b. Theologist (Fideist) Positions

No thinker ascribing to Gilson’s description of theologism participated in the debates, with the possible exception of Lev Shestov, whose 1937 Athens and Jerusalem (a portion of which was published in 1935) may be described as advancing theologism. Still, fideism exercised a role in the debates by providing a counter-position to argue against. Gilson himself cited a number of past examples, including Tertullian, Peter Damian, the Franciscan spirituals, the Imitation of Christ’s anonymous author, Martin Luther and briefly discussed Karl Barth (Christianity and Philosophy, p. 44-48), remarking: “All the Barthian Calvinist asks of philosophy is that it recognize itself as damned and remain in that condition” (Christianity and Philosophy, p. 47).

Barth exercised considerable influence in Francophone Reformed Christian circles, and his thought would figure heavily in later 1940s-50s Reformed Protestant discussions about Christian philosophy, but he was not particularly well-known or engaged in French Catholic circles at the time of the debates. His perspective on philosophy and Christianity is clearly and rigorously fideist, holding that Christian philosophy is an impossibility since philosophy and Christian Revelation have essentially nothing in common. Philosophy, like human reason, remains fundamentally incapable of addressing an absolutely transcendent Christian revelation of Christ, which alone provides knowledge of and relation to God:

There never actually has been a philosophia christiana, for if it was philosophia it was not christiana, and if it was christiana it was not philosophia. (Church Dogmatics, v. 1 , p. 6)

The existentialist Jewish philosopher Lev Shestov provides an example of the theologist position, in which his central metaphor is the opposition (stemming from the Genesis narrative) between the Tree of Life, representing faith and human thought working by the guidance of faith, and the Tree of Knowledge of Good and Evil, identified with the temptations of human reason and philosophy. According to Shestov, important and basic dimensions of human existence are left behind, reductively misconstrued, or overlooked by reason and philosophy. By aiming at and striving for knowledge, philosophy attempts to draw everything into a rationalist universal system of necessity and restraint. Even when making autonomy a goal, philosophy turns out to be unable to maintain itself and its drive to dominate all it encounters within limits, so that it corrupts and distorts human freedom and renders the human being unable to adequately understand itself, God and faith.

Shestov criticizes Gilson specifically, summarizing the latter’s position as proposing

the revealed truth is founded on nothing, proves nothing, is justified before nothing, and – despite this – is transformed in our mind into a justified, demonstrated, self-evident truth. Metaphysics wishes to possess the revealed truth and it succeeds in doing so. (Athens and Jerusalem, p.271)

Shestov regards Gilson’s position on Christian philosophy, and those of the Medieval thinkers from whom Gilson takes inspiration, as more sophisticated, and therefore more dangerous, versions of the same rationalist movement involved in ancient and modern philosophy. As an alternative, he proposes a “Biblical” or “Judeo-Christian philosophy,” departing from norms of Western philosophy, accepting “neither the fundamental problems nor the principles nor the technique of thought of rational philosophy,” open to and taking its direction from the dimension of faith.

c. Rationalist Positions

Two major representatives of the rationalist position, the historian of philosophy Emile Bréhier, and the idealist Léon Brunschvicg, became directly involved in the Debates. Interestingly, while both argued against the possibility of Christian philosophy, their positions differed on basic assumptions about rationality. After presenting his position prior to and early on in the debates, Bréhier never provided responses to the arguments of his critics. In his later Raison et Religion, Brunchscvicg revisited the issues, but made no new contribution. By the middle stages of the Debates, the rationalists dropped out of the discussion, which had turned to intra-Christian (primarily intra-Catholic) issues.

Bréhier’s concluded that “one can no more speak of a Christian philosophy than of a Christian mathematics or a Christian physics,” (“Y-a-t’il une philosophie chrétienne?”, p. 162) arriving at this via two main argumentative strategies. Before examining these, two points bearing on Bréhier’s contribution to the debate require mention. First, Bréhier suggests that “the difficulty here is more normative than factual,” and then writes decisively “[t]he question of the existence of Christian philosophy can not be a pure question of fact.” (“Y-a-t’il”, p. 133-4). Judgment and resolution requires the historian’s active work of interpreting and discerning the philosophical value and content of candidates for the legitimate title of Christian philosophy. Second, he identifies reason, and rationality as such, with an idealization of Greek philosophy:

For the Hellene, the true object of philosophy was to discover order, or the cosmos: each being (and principally the directive forces of nature, souls, and God) must be defined by the exact, and ne varietur, place that it occupies in this eternal order. (“Y-a-t’il”, p. 134)

[T]he goal of Greek philosophy was to investigate the rational, consequently immovable and fixed, order which is in things. The universal Logos or Intelligence is only the metaphysical realization, the projection of this need. It is, set up within the ideal, the very order that the sensible world realizes more or less imperfectly. (“Y-a-t’il”, p. 139-40)

Bréhier’s first argumentative strategy took the form of a dilemma: there are two possible ways of understanding Christian philosophy, and adopting either one of these will lead to a rejection of Christian philosophy as philosophy:

The word “Christian philosophy” seems to me to have two extremely distinct senses….In a first sense, it exists, but it is of no interest to philosophers; in a second sense, it would have interest for philosophers if it did exist, but it does not exist. (Bul. Soc fr. Phil., p. 49)

In the first sense, Christianity is determined by some dogmatic authority, termed by Bréhier a “magisterium.”

[T]he only way to know what is Christian and what is not Christian is to consult those who say – and who have the right to say – what Christian doctrine is….In this sense, I will call “Christian philosophy” that which is in agreement with dogma, what the magisterium accepts. I will call “non-Christian philosophy” that which it rejects, and I will say that this question has not a bit of importance or interest for the philosopher as philosopher. (Bul. Soc fr. Phil., p. 50)

He provides two main and related reasons why the philosopher may set this question aside. Besides the fact of the existence of numerous Christian communities disagreeing on fundamental issues, the history of the Catholic magisterium reveals

an absence of precise limit in the philosophical domain this magisterium oversees, and a lack of consistency in its censure, and these make Christian philosophy in the first sense seem to be something completely arbitrary. (Bul. Soc fr. Phil., p. 50)

In addition, the mere condition of reason and philosophy being forced in its exercise to submit to any authority sets

in place of the autonomy of reason that takes the initiative of philosophical thought, the heteronomy of a reason completely incapable of directing itself and knowing the scope of its own conclusions. (“Y-a-t’il”, p. 150)

This irredeemably vitiates any Christian philosophy understood in the first sense.

In the second sense, Christian philosophy would be a historically observable case where Christianity has provided to philosophy a new concept, method or direction. Arguing against this, Bréhier examined the thought of the Church Fathers, Augustine, Thomas Aquinas, 17th Century Rationalists, 19th Century Traditionalists, Hegel and his successors, and Maurice Blondel, to show that none of them are both Christian and philosophical. The Church Fathers do not create a new philosophy, but rather “annex everything they can from pagan philosophy to Christianity” (“Y-a-t’il”, p. 135). What is philosophical in Augustine really comes from Plato and Plotinus, and likewise Aquinas’ philosophy is simply Aristotelianism, though marred by an additional problem:

Saint Thomas’ goal is to show the convergence of the two great movements that dominate the spiritual history of our West, Greek rationalism represented by Aristotle and Christian faith. One can only speak of convergence if each of these two movements has its own initiative, its own internal development: but, reason no longer possesses its own initiative once the results of its own activity are judged by a criterion that is foreign to it, by faith (“Y-a-t’il”, p. 144).

The 17th Century Rationalists develop a natural theology, but in the process dispense with any distinctive dependence on Christianity, while the Traditionalists render reason so entirely dependent on Christianity that

If ‘reason’ still retains some value, it is under the condition of not wanting to be anything more than a form of tradition, and its oldest aspect. This Christian philosophy, the better to dominate reason, annexes it thus into revelation (“Y-a-t’il”, p. 156)

Hegelianism rationalizes religion by absorbing it into philosophy, and eventually culminates in Feuerbach’s philosophical but atheist humanism. Bréhier then brings his review to a close in criticizing Blondel on two counts. First, the problem of action central to Blondel’s work has no intrinsic connection with Christianity. Second, Blondel’s work is really just an example of Christian apologetics rather than philosophy.

In contrast to Bréhier’s wholesale and unconvincing dismissal of any historical influence of Christianity on philosophy, Brunschvicg provides a more nuanced, though still largely negative, perspective on Christian philosophy. While acknowledging from the start that “I would not recognize myself in what I think and what I feel if the entire movement of Christianity had not existed,” (Bul. Soc fr. Phil., p. 73) he would sharpen the debates’ question into that of “a specifically Christian philosophy” (Bul. Soc fr. Phil., p. 73). His answer takes form within the general assumptions of Brunschvicg’s evolutionary and idealist philosophy of rationality’s development.

In his view, rationality and philosophy emerge from originally religious backgrounds, but become progressively freed from religion and immature forms of rationality. True spirituality is to be discovered in philosophy, since religion and religious thought provide only its symbols.

[W]e come back to the position that I have called, granted very naively, that of the Western consciousness, which is prior by five centuries to the blossoming of Christianity. From that point of view, faith, insofar as faith, is only the prefiguration, the sensible symbol, the approximation of what properly human effort will be able to set in full light. We understand then how one can recognize that philosophy exists, and Christianity exists, without having the right to conclude that a Christian philosophy would exist (Bul. Soc fr. Phil., p. 74-5).

Brunschvicg’s rationalist perspective eliminates one key aspect of the problem Christian philosophy poses for his Christian interlocutors. He holds that revelation is not really revelation, since what philosophy’s gradually ascending progress has revealed is that there is in reality no supernatural: Christian or otherwise. He also eliminates from consideration all pre-17th century philosophies as candidates for Christian philosophy, arguing that from the vantage of the present, the types of rationality developed prior to the 17th century were immature, and thus not adequately philosophical. Significantly, while this would disqualify Augustine’s or Aquinas’ thought (though not Hegel’s or Blondel’s) from being Christian philosophies, it would likewise disqualify the ancient conception of reason upon which Bréhier’s critique entirely relies.

There are three possible relations between a thinker’s philosophy and Christianity in Brunschvicg’s view. If one is primarily a philosopher and secondarily a Christian, it is not really Christian philosophy, just philosophy. Likewise if one is primarily a Christian and secondarily a philosopher, it is not really Christian philosophy. Pascal provides an example of this, where “his Christianity has truly taken possession of the entire man… by uncovering for him a way of philosophizing that is not that of philosophers” (Bul. Soc fr. Phil., 76). There is a third possibility

where we would have to recognize that there is something it would be appropriate to call, without equivocation and without compromise, a Christian philosophy. This is the case where a metaphysician, reflecting in a manner deep and “naive” at the same time, would arrive at that conviction that philosophy ends up only posing problems, entangling itself in difficulties. The clearer a consciousness it will have of these problems, the deeper it will sound the abyss into which these difficulties throw philosophy, the more it will be persuaded that only Christianity’s own solutions will satisfy philosophical problems. (Bul. Soc fr. Phil., 76).

Brunschvicg identifies this possibility with Malebranche (arguably, Blondel would also fit this description), and concedes to him

the privilege and the honor of being the representative, naturally not the sole representative, but the typical and essential representative of a Christian philosophy (Bul. Soc fr. Phil., 76).

d. Neo-Scholastic Positions

Certain neo-Scholastic philosophers and theologians (in particular those representing the Louvain school), while regarding Thomism as the truest and most adequate philosophy available, argued against the possibility or desirability of an explicitly Christian philosophy. Several concerns marked their position, not least of which was maintaining strict distinction between the disciplines of philosophy and theology, whose formulation in their eyes was a central accomplishment of Thomas Aquinas’ thought. Philosophy was to be, indeed could only be, an activity deriving from and employing only purely natural reason, evidence and principles, distinct from theology in which Christian revelation and faith play a role. Neo-Scholastics worried over any implication that human reason might not be essentially the same in the non-believer as in the believer, especially since this would seem to render discussion and comparison with non-Christian philosophies problematic. Their rallying point was the view that Thomism was a genuine philosophy precisely because it was a purely rational philosophy, independently arriving at coincidence with the truths of Christian faith and doctrine.

Pierre Mandonnet adopted the most extreme position, arguing at the 1933 Société Thomiste meeting for a historical interpretation reminiscent of Bréhier’s:

Certainly Christianity has transformed the world, but it has not transformed philosophy….Certainly Christianity has been a considerable factor of progress in humanity, but not progress of a philosophical order. Progress in the philosophical order does not take place by Scripture but by reason….Progress in philosophy therefore does not take place by the paths of religion. Even if there had been neither Revelation nor Incarnation, there would have been development of science and of thought. (La philosophie chrétienne: Juvisy, 11 Septembre 1933, p. 67-8)

He granted that one might speak of Christian philosophy as “a Christian philosophical product,” i.e., the product of the philosophical activity of philosophers who happen to be Christian.

But, this will be a purely personal matter. They have their reasons when they philosophize; they have their reasons for being Christian. The unity is in the subject, who finds himself being a believer and a philosopher; it is not in the work that they produce. (p. 63)

At any rate, Mandonnet avers, the purported Christian philosopher will not be engaging in philosophy, but rather a theology, which can neither be unified with philosophy, nor be made comprehensible to non-believers.

Léon Noël’s position, articulated through recourse both to Aquinas’ thought and to Husserlian phenomenology, demonstrates more flexibility than Mandonnet’s, and distinguishes between two points of view: that of the systematic philosopher, and that of the genesis of a philosophical system. From the former, in its exposition, a philosophy must be entirely rational, free from faith, so that it “rest[s] only on evidence” and remains “purely philosophical, communicable to any other mind, even if it be an unbelieving one, and able to be discussed on the common ground of certainties which all grant.” (“La notion de philosophie chrétienne”, p. 340). From the latter, Christianity can orient or aid the process of study, the development of a philosophical position or doctrine, and does so in and for the individual philosopher:

Christian doctrines do not enter as such into the objective exposition of a philosophy, or then that philosophy would cease to be a philosophy. They cannot serve as such for the basis of a reasoning. But their presence in the mind of the believer can orient the research with a new meaning. (“La notion”, p. 339-40)

In this limited sense, regarding a philosophy whose historical development took place through the influence of Christianity, Noël grants, we can speak of a Christian philosophy, but this is a less rigorous way of speaking and thinking. He maintains that the Christian philosopher who has been aided by Christianity in his or her philosophical research must then strive to remove any dependence on Christian faith or doctrine in their philosophical system, so that it is purely rational, as accessible to the non-believer as it is to his religious counterpart. A “transcendent aspect” will remain in Christian faith, life, and experience, and adequate study of this will require “subordinating one’s judgment to faith,” but this will then cross over the boundary from philosophy into theology. All the philosopher can do, as a philosopher, is note this aspect’s “irreducibility to rational explanation” (“La notion de philosophie chrétienne”, p. 342).

Fernand Van Steenberghen makes points analogous to those made by Noël and Mandonnet (though mildly criticizing the latter), agreeing with them in regarding the term “Christian philosophy” as either the product of, or liable to produce, misunderstandings.

There are Christian philosophers, because some Christians can give themselves over to philosophical research, and because their Christianity disposes them to give themselves over with perspicuity, with prudence, with serenity; it helps them with working out a true philosophy. To the degree that it is true, a philosophy is necessarily compatible with Christianity, open to Christianity, utilizable by Christianity and by theology; its content will be able to partially coincide with that of revelation. But a philosophy will never be “Christian” in the formal and rigorous sense. One can, doubtless, speak of Christian philosophers in a purely material sense, to designate philosophies that have been worked out by Christian thinkers. But since the facts demonstrate the latent danger of this usage, it would be better to avoid using an expression that, far from illuminating anything, is a source of confusions and equivocations. (“La IIe journée d’études de la Société Thomiste et la notion de ‘philosophie chrétienne’”, p. 554)

Van Steenberghen made several additional points. Agreeing with Blondel and Sertillanges in that philosophy’s task is to extend itself as far as it can to all of reality, he proposed the Philosophy of Religion in place of Christian philosophy, which should include the sub-discipline ‘Philosophy of Christianity’. He criticized Thomist proponents of Christian philosophy, in particular Gilson, Maritain and Sertillanges, for having “mix[ed] up things important to carefully distinguish” philosophy and theology, and “the personal attitude of the Christian philosopher and the method of philosophy…the psychological coming-to-being of a science and its logical coming-to-being.” (“La IIe journée”, p. 550-1)

4. Positions For Christian Philosophy

a. Etienne Gilson’s Position

Etienne Gilson argued for Christian philosophy’s legitimacy and observable historical reality, and explored particular achievements of Medieval Christian philosophies in depth. Contrary to Henri Gouhier’s critique in his work that “the dossier of the notion of ‘Christian philosophy’ does not appear to present any change, any evolution” (p. 66), Gilson continued to revise his assessment of significant authors during the Debates. Early on in the Debates, bringing up “Saint Augustine’s credo ut intelligam and Saint Anselm’s fides quaerens intellectum,” he considered “these two formulas…the true definition of Christian philosophy” (Bul. Soc fr. Phil., p. 48). He would later revise his assessment, narrowing the scope of Christian philosophy primarily to Thomism, construing Augustinianism as reflecting a primacy of faith over reason (Reason and Revelation in the Middle Ages, p. 17-33) and explicitly rejecting the Anselmian fides quaerens intellectum, now seeing “in that formula, an exclusive ambition and limitation, which forbids us from seeing in the definition of the attitude of a Christian philosopher” (“Sens et nature de l’argument de Saint Anselme,” p. 49, note 2).

Gilson grabbed Bréhier’s dilemma by its horns: “I will say that in my view the Christian philosophy he thinks is not interesting at all but does exist, does not exist, whereas the one he deems that it would be interesting but does not exist, does exist” (Bul. Soc fr. Phil., p. 52). Historical examination indicates that the Catholic magisterium (in Christianity and Philosophy, Gilson extends his purview to Reformed and Lutheran positions) addresses philosophy in a more complex manner than Bréhier’s simplistic interpretation, so that there never has been a philosophy simply dictated by a religious magisterium. Whether Christianity has in fact made any positive contributions to philosophy remains an open question requiring thorough historical study, which directed Gilson to the existence of Christian philosophies, particularly in the Middle Ages. “What I seek in the notion of Christian philosophy is therefore a conceptual translation of what I believe to be a historically observable object: philosophy in its Christian state” (Bul. Soc fr. Phil., p. 73).

He also criticized Neo-Scholastic opponents of Christian philosophy for unnecessarily “adopt[ing] the position of their opponents,” but also for assuming that

[i]n Thomism alone we have a system in which philosophic conclusions are deduced from purely rational premises….Philosophy, doubtless, is subordinate to theology, but, as philosophy, it depends on nothing but its own proper method; based on human reason, owing all of its truth to the self-evidence of its principles and the accuracy of its deduction, it reaches an accord spontaneously and without having to deviate in any way from its own proper path. (The Spirit of Medieval Philosophy, p. 6)

Any relation between philosophy and Christianity, however, becomes merely fortuitous and extrinsic. “Once reason, as regards its exercise, has been divorced from faith, all intrinsic relation between Christianity and philosophy becomes a contradiction” (The Spirit of Medieval Philosophy, p. 7). What the Neo-Thomists had forgotten was that “faith and reason are rooted in the unity of the concrete subject.” (Bul. Soc fr. Phil., p. 45-6)

Gilson also criticized another position, “philosophy of the concrete,” rightly identifying this with Bergson and wrongly with Blondel. In his view (and Maritain’s, who would make similar criticisms) these philosophies bore strong affinities with Augustinian positions and were favorable to Christian philosophy, but as they were hostile to conceptual articulation, they were liable to stray into theology or apologetics. He also argues against a plausibly Blondelian position: “[a] philosophy open to the supernatural would certainly be compatible with Christianity, but it would not necessarily be a Christian philosophy.”

In order to defend the notion of Christian philosophy, simply noting the existence of philosophies in which Christianity had made some contribution was not sufficient, and Gilson was particularly concerned to clarify Christian philosophy’s nature, providing several definitions of Christian philosophy:

I call Christian every philosophy which, although keeping the two orders formally distinct, nevertheless considers the Christian revelation as an indispensable auxiliary to reason….[T]he concept does not correspond to any simple essence susceptible of abstract definition; but corresponds much rather to a concrete historical reality as something calling for description….[It] includes in its extension all those philosophical systems which were in fact what they were because a Christian religion existed and because they were ready to submit to its influence. (The Spirit of Medieval Philosophy, p. 37)

If philosophical systems exist, purely rational in their principles and in their methods, whose existence is not explained without the existence of the Christian religion, the philosophies that they define merit the name of Christian philosophies. This notion does not correspond to a concept of a pure essence, that of the philosopher or that of the Christian, but to the possibility of a complex historical reality: that of a revelation generative of reason. (Bul. Soc fr. Phil., p. 39)

If there have been philosophies, i.e., systems of rational truths, whose existence cannot be explained historically without taking account of Christianity’s existence, these philosophies should bear the name of Christian philosophies…. For the relation between both concepts to be intrinsic, it is not enough that a philosophy be compatible with Christianity; it is necessary that Christianity have played an active role in the very establishment of that philosophy. (Bul. Soc fr. Phil., p. 46)

He also characterized the range, objects, and condition of Christian philosophy:

[T]he content of Christian philosophy is that body of rational truths discovered, explored, or simply safeguarded, thanks to the help that reason receives from revelation (The Spirit of Medieval Philosophy, p. 35)

[T]he essential domain of Christian philosophy corresponds exactly to the limits of natural theology, but accidentally, it exerts an influence on almost the whole of philosophy (Christianity and Philosophy, p. 131)

[E]very Christian philosophy will be traversed, impregnated, nourished by Christianity as by a blood that circulates in it, or rather, like a life that animates it. One will never be able to say that here the philosophical ends and the Christian begins; it will be integrally Christian and integrally philosophical or it will not be. (Bul. Soc fr. Phil., p. 46)

Gilson’s position made three additional contributions to understanding the nature and the problem of Christian philosophy. First, he repeatedly stresses that an aspect central to the problem of Christian philosophy was the problem of the relations between faith and reason. Second, he specifies that in the use of their reason and in the course of their philosophical activity, past Christian philosophers drew upon resources offered them by the Christian faith and revelation. One way this took place was by ideas, e.g. those of creation ex nihilo, of God as being, of personality, derived originally from the non-rational religious source, then appropriated by Christian (as well as Jewish and Muslim) thinkers, who fruitfully brought them into their philosophical activity and systems. Christian philosophy represents the philosophical activity of reason working on, and bringing rationality to data derived originally from non-rational religious sources.

[O]nce this philosopher is also a Christian, his reason’s exercise will be that of a Christian’s reason, i.e., not a reason of a different type than that of non-Christian philosophers, but a reason that labors under different conditions….[I]t is true that his reason is that of a subject in which there is something non-rational, his religious faith….I ask especially whether the philosophical life is not precisely a constant effort to bring what is irrational in us to the state of rationality….What is peculiar to the Christian is being convinced of the rational fertility of his faith and being sure that this fertility is inexhaustible. (Bul. Soc fr. Phil., p. 47)

Third, he redirects focus from abstract ways of framing this problem towards concrete philosophizing human subjects, in whom faith and reason coexist, and who both engage in and are formed by philosophy and Christianity. Gilson guardedly accepts the Augustinian position:

He knows that faith is faith and reason is reason, but he adds that a man’s faith and a man’s reason are not two uncoordinated accidents of the same substance. In his view, the real is the man himself, a profound unity, not dissociable into juxtaposed elements as fragments of a mosaic would be, a unity in which nature and grace, reason and faith, cannot function each one on its own, like in a mechanism whose pieces would have been purchased at the store as separate parts. If therefore a Christian man philosophizes, and if he expresses himself truly in his philosophy, this cannot fail to be a Christian philosophy. (Bul. Soc fr. Phil., p. 45)

Gilson argues that this correctly reflects “the real unity of the elements of the concrete in the subject where they are realized….If there were a faith and a reason in us, whose being was radically distinct from that of a thinking substance to which they belong, we could not say of any of us that he was a man” (Bul. Soc fr. Phil., p. 45-6).

b. Jacques Maritain’s Position

Maritain regarded his own position as a “doctrinal’ (that is, strictly philosophical) complement to Gilson’s historically derived position. Like Gilson, he criticized rationalist and neo-Scholastic opponents of Christian philosophy, but also articulated fuller criticisms of Blondel (An Essay on Christian Philosophy, p. 7-11, 55-61, Science and Wisdom, p. 82-86). He agreed with Blondel on the mistake of Christian thinkers calling for and generating a “separated philosophy,” which he regarded as “completely contrary to the spirit of Thomism” (Essay, p. 8), but saw three main flaws in Blondel’s position. First, he rightly notes the errors in Blondel’s own critique based on reductive misinterpretations of Gilson’s position. Second, he charges Blondel with a lack of clarity, blurring lines between philosophy and theology, thus

transfer[ring] to the heart of a philosophy what holds true of an apologetics…apologetics, by its own nature and essence presupposes the solicitations of grace and the operations of the heart and will on the part of the one who hears, and the light of faith already possessed on the part of the one who speaks; philosophy by its nature and essence exacts…only reason in the one who searches. (Essay, p. 9)

Third, admitting the “insufficiency of philosophy,” Maritain rejects Blondel’s call for and project of “philosophy of insufficiency,” making charges similar to Gilson’s, that by critiquing conceptualism, Blondel rejects concepts and objective knowledge.

Maritain’s most important contribution was to frame the useful distinction between the nature and the state of philosophy:

[W]e must distinguish between the nature of philosophy, or what it is in itself, and the state in which it exists in real fact, historically, in the human subject, and which pertains to its concrete conditions of existence and exercise. (Essay, p. 11-2)

In its nature or essence, philosophy is “intrinsically a natural and rational form of knowledge” (Essay, p. 14), entirely independent from faith. As a form of knowledge, philosophy is specified by its object(s): “within the realm of the real, created and uncreated…a whole class of objects which are of their nature attainable through the natural faculties of the human mind” (Essay, p. 14). In its nature, however, philosophy is

a pure abstract essence. It is all too easy a matter to endow such an abstraction with reality, to clothe it as such with a concrete existence. An ideological monster results; such, in my opinion, occurred in the case both of the rationalists and the neo-Thomists whom Mr. Gilson has called to task (Essay, p. 14).

In its essence, philosophy is neither Christian nor non-Christian. Turning to concrete states in which philosophy actually exists, it becomes possible for a philosopher to be a Christian and for his or her philosophy to be a Christian philosophy. On this basis, Maritain supplies several characterizations of Christian philosophy. From the start, he frames it as not “a simple essence, but a complex: an essence grasped in a certain state” (Bul. Soc fr. Phil., p. 67), later adding: “under conditions of performance, of existence and of life, for or against which one is in fact obliged to make a choice” (Science and Wisdom, p. 81). He clarifies:

Christian philosophy is not a determinate body of truths, although, in my opinion, the doctrine of St. Thomas exemplifies its amplest and purest form. Christian philosophy is philosophy itself in so far as it is situated in those utterly distinctive conditions of existence and exercise into which Christianity has ushered the thinking subject, and as a result of which philosophy perceives certain objects and validly demonstrates certain propositions, which in any other circumstances would to a greater or lesser extent elude it. (Essay, p. 30)

Maritain distinguishes two main ways in which Christianity aids the activity of philosophy in concrete states: objective contributions and subjective reinforcements. Christianity makes objective contributions by supplying philosophy with data and ideas. Some of these “belong within the field of philosophy, but….philosophers failed to recognize [them] explicitly” (Essay, p. 18), e.g. the ideas of creation or of sin. Others are “objective data which philosophy knew well but which it approached with much hesitancy and which…was corroborated by revelation” (Essay, p. 21). Even in cases of mysteries of the Christian faith, philosophy develops further, as an instrument of theology it “learn[s] many things whole being thus led along paths which are not its own” (Essay, p. 22). It also has its field of inquiry, its possible objects of study, expanded, as happened with “speculation on the dogmas of the Trinity and the Incarnation,” productive of “an awareness of the metaphysical problem of the person” (Essay, p. 23).

Subjective reinforcements are the ways in which Christian faith and practice concretely aid the philosophical activity of the human person by putting them in a better condition to do philosophy. Though strictly speaking these are numberless, Maritain identifies several subjective reinforcements bearing on philosophy as a habitus, which attains a better use when set in “synergy and vital solidarity, this dynamic continuity of habitus” with theology (Essay, p. 27). Divine grace also removes or ameliorates impediments to philosophizing well, so that “the more the philosopher remains faithful to grace, the more easily will he free himself of manifold futilities and opacities.” (Essay, p. 28)

c. Maurice Blondel’s Position

Blondel, universally acknowledged by French commentators as the third main proponent of Christian philosophy, developed a complex position intimately connected with previous and later works, and resisting brief summarization. Accordingly, only four main components of his position are addressed here: his critique of rationalists and Neo-Scholastics, his critique of Gilson, the philosophy of insufficiency, history and the problem of the supernatural, and the stages of Christian philosophy.

Since his early works (cf. the Letter on Apologetics), Blondel had criticized the “separated philosophy” of certain Neo-Scholastics for ignoring the problematic imposed on philosophy by the “religious problem” (a meta-philosophical requirement for philosophy to fully take Christianity into account without thereby rationalizing it). By their care to exclude anything explicitly Christian from their philosophizing while still desiring to generate philosophy substantially in agreement with Christian theology, Neo-Scholastic philosophy lapsed into a philosophically sterile “concordism” in which philosophy and Christianity are only extrinsically related to each other, but philosophical doctrines are nevertheless judged correct or incorrect by their agreement with dogma. Blondel also took on Bréhier directly, charging him with relying on his own “dogmatism imposing itself by authority” (“Y-a-t’il”, p. 601), characterized by a reductive and rigid conception of reason and straw-man caricatures of Christian thinkers Bréhier claimed to rationally critique. In this way, “dogmatic rationalism becomes irrational and seems to mutilate history just as much as philosophical speculation itself” (“Y-a-t’il”, p. 600). In particular, Bréhier’s two criticisms of Blondel turn out not only to be untrue, but also mutually inconsistent.

At much greater length and with greater severity, Blondel consistently criticized Gilson’s (and by implication, Maritain’s) position. Though incorrect (and uncharitable) in ascribing these to Gilson, Blondel’s identification and criticism of several errors in handling the problem of Christian philosophy nevertheless retain their philosophical merit. He diagnosed two main (meta-)philosophical mistakes: conceptualism and historicism. Conceptualism maintains

philosophical doctrines, as different as they may be, ultimately aim at sealing themselves off in closed, sufficient, and exclusive systems; these systems organize themselves with and terminate in concepts, and all that does not succeed in being raised into concepts repulses philosophy. (Bul. Soc fr. Phil., p.87-8)

This reduces philosophy to an abstract, static construction of concepts, hampering philosophy from engaging its full range of objects, obscuring that

this is precisely what is in question: can it not be philosophical, is it not “conceivable”, is it not even normal, that philosophy opens ulterior perspectives…orients and stimulates spiritual life’s dynamism by posing inevitable problems whose complete solution it does not provide, even though it serves to not allow them to be misunderstood nor falsely resolved? (Bul. Soc fr. Phil., p. 88)

What Blondel terms “historicism” reflects attempts to resolve the problem of Christian philosophy through direct appeal to the discipline of history (or history of philosophy). This introduces a dilemma, however, “doubly compromising both to Philosophy and to the Christian Revelation”:

[I]f history as an intermediary, provides data taken from Christianity in a mixture of public facts or of private experiences to the laboratory of philosophical reflection, it is by forcibly stripping the data of their supernatural originality; it accepts them, puts them into its mill, experiments on them in its own natural and rational activity. (Bul. Soc fr. Phil., p. 89)

Inversely, by wanting to integrate dogmas, ideas, ascetic practices, mystical experiences coming to it from outside within itself, philosophy that would not have preliminarily opened in itself this empty space of which we spoke, by its very care not to alter the supernatural character of Christian data, introduces a foreign body into its flesh, a packet of incurably wounding spines. (Bul. Soc fr. Phil., p. 89)

His reference to the “empty space” leads into Blondel’s positive conception of Christian philosophy, which will be in part “an open philosophy…recogniz[ing] its limits by being ready to accept ulterior data” (Bul. Soc fr. Phil., p. 90). This will be a philosophy of insufficiency, i.e., philosophy that thematizes philosophy’s own insufficiency to fully comprehend, rationally articulate, and systematize its own objects, the ranges of realities to which it extends, and the human subject engaged in philosophizing. It will also acknowledge that philosophy’s own intrinsic requirement of autonomy culminates in philosophy freely allowing itself to be further determined, guided and shaped by something transcending philosophy. Against conceptualism, Blondel proposes another possibility:

must philosophy end up, whatever the level of its development may be, in recognizing how it is normally incomplete, how it opens in itself and before itself an empty space prepared not only for its own ulterior discoveries and on its own ground, but for illuminations and contributions whose real origin it is not and cannot become?…[I]t is this second thesis, philosophically definable and supportable, i.e. without proceeding from a revelation, that is alone in spontaneous and deep agreement with Christianity. Bul. Soc fr. Phil., p. 90)

He expands the metaphor, employing similar terminology, e.g.:

[a] gap coming from above (Bul. Soc fr. Phil., p. 91)

[the] interior open space or the silence of the soul (Bul. Soc fr. Phil., p. 91)

infinitesimal and real fissures, ‘holes’ that require being filled and which admit consequently the presence or even the need of another reality, of a heterogeneous and complementary datum. (“Le problème de la philosophie catholique,” p. 43)

These spaces occur throughout the fabric of philosophical thought. There are “relations of emptiness and fullness where two incommensurable orders unfold themselves,” (Le problème de la philosophie chrétienne, p. 147) within the same concrete human subject. These spaces are not simply philosophical voids:

[W]e do not remain in the presence of a black hole, of an ocean for which neither ship nor sail would seem possible. The empty space that we spoke of earlier is not a chimerical fiction, projection of restlessness, sickness of the soul. It has…contours to discern, a reason for being to meditate on and to render rationally admissible, an attractive and imperious character. (Bul. Soc fr. Phil., p. 90)

Blondel’s attitude towards history and Christian philosophy is considerably more complex than a simple rejection. From within the perspective generated and secured by a philosophy of insufficiency, appeal to history and reinterpretation of historical examples of Christian philosophy becomes legitimate. History in fact displays a “chronic condition” in which philosophy and Christianity generate “incessant antagonisms or the renewed efforts of compenetration…throughout the ages.” This condition “possesses an intelligible signification”, and it is “philosophy’s role to seek out its causes and to discern its enduring reasons.” (“Le problème,” p. 14) In modernity and through modern thought, the most fundamental aspect of the problem of Christian philosophy come to light. Previous, ultimately unsuccessful, attempts at Christian philosophies have made “the very conception of philosophy evolve….preparing discernment of what remains incommensurable between the rational order and the supernatural order.” (“Le problème,” p. 17) in the end

bringing the always looming crisis between rational autonomy and Christian demands to a vital point that historical, exegetical, and apologetic considerations do not reach, insofar as they appear in isolation without the preliminary question being raised, the question whose precise meaning, normal character, and essential scope we have just tried to exhibit. (“Le problème ,” p. 18-9)

This central question is the “problem of the supernatural” and Christian philosophy has to self-consciously grapple with, conceptualize, and bring about a condition involving:

[n]either dependence nor independence nor simple juxtaposition of the rational order and the Christian order; but a type of heterogeneity in compenetration and of symbiosis in the very incommensurability. (Le problème, p. 145)

In Le problème de la philosophie chrétienne (cf. also “Pour une philosophie intégrale”, p. 57-62), Blondel explicitly construed Christian philosophy as a three-stage set of projects correlated to several states or conditions of human being. Among these is a “a state of nature that actually could subsist, but which also actually has never existed for humanity in the historical and concrete order,” (Le problème, p. 25) i.e. actually an abstraction. The others include those of “original justice,” and of “decay,” the “transnatural state,” and the state in which “a person is introduced into the supernatural order.” (Le problème, p. 25-27)

Each state is a possible object of study for philosophy. Corresponding to the state of nature, “essential philosophy” (that is, philosophy of insufficiency) systematically examines necessary and possible conditions and structures of human thought and action. At this stage, philosophy becomes critically aware of its own insufficiencies, and human reason is brought to recognition, opening, and orientation towards the “empty space” but not yet to determinately entering it.

The second stage, in which philosophy enters the opened space seeking the supernatural, involves a second philosophical project: “a sort of mixed philosophy, a philosophy of the possible relations…between essential possibilities or necessities and realizable contingents.” (Le problème, p. 167). In the third philosophical project, philosophy engages what Christianity teaches to be humanity’s and all other created being’s real condition, becoming reoriented and expanded in the process. At this stage, it becomes possible “to study the repercussions in natural man of the different states – transnatural, supernatural or rebel – that awaken in consciousness and the will data or reactions other than those of a pure state of nature.” (Le problème, p. 171)

d. Gabriel Marcel’s Position

In his position on Christian philosophy, Marcel harmonized the positions, believed incompatible by their authors, of Gilson and Maritain on one side, and Blondel on the other. He also made enough original contributions of his own to justify interpreting his position as a fourth main position for Christian philosophy. One of these contributions was raising an additional problem for rationalist or neo-Scholastic opponents of Christian philosophy:

If it was admitted that Christianity has had no positive influence on philosophical development, this would entail saying that it has never actually been able to be thought – for there is no thought worthy of that name that does not contribute to transforming all the other thoughts….To say that Christianity has never been thought is to let it be understood that it is not thinkable. (“A propos de L’esprit de la Philosophie médiévale par M. E. Gilson,” p. 309)

While praising Gilson’s The Spirit of Medieval Philosophy, Marcel argued, in terms similar to Blondel’s, that

[t]he contribution here is a certain datum – a revealed datum – whose signification, whose value is absolutely transcendent to any experience susceptible of being constituted on purely human bases. There is the paradox, the scandal, if you like. I would be disposed for my part, to think that there is Christian philosophy only there where this paradox, this scandal is not only admitted or even accepted, but embraced with a passionate and unrestricted gratitude. From the moment on when, to the contrary, philosophy seeks by some procedure to attenuate this scandal, to mask the paradox, to reabsorb the revealed datum in a dialectic of pure reason or mind, to this precise degree it ceases to be a Christian philosophy (“A propos”, p. 311-2)

The paradox or scandal Marcel regards as most central to Christian philosophy is the Incarnation, which bears important implications for philosophy and reason itself.

Perhaps it would not be abusive to claim that the essence of such a philosophy is a meditation on that datum’s implications and consequences of every order, not only unpredictable but contrary to reason’s superficial demands from the very start wrongly posing themselves as inviolable. But, the essential function of metaphysical reflection will consist in critiquing these demands in the name of higher demands, and consequently in the name of a superior reason that faith in the Incarnation puts precisely in the condition of becoming fully conscious of itself. (“A propos”, p. 312)

He adds that “the central light residing in the Incarnation radiates in reality through all of the regions of metaphysics” (“A propos”, p. 312), generating the historical examples of Christian philosophy Gilson studied and identified in his works. Christian philosophy, as Marcel envisioned it, has the task not only of noting cases where Christianity has exerted a generative effect on philosophy, but also of investigating how this is possible. This, in turn, requires that “our reason – a created reason ordered to the intelligence of created nature – must, in deepening itself, recognize what in it exceeds the domain of adequacy to itself” (“A propos”, p. 1305).

e. Other Positions Reconciling the Gilson-Maritain and Blondel Positions

Although numerous philosophers have accepted the verdict of fundamental incompatibility between the Gilson-Maritain and Blondel positions, many participants in and commentators on the debates early on saw not only compatibility but even complementarity between their positions, among them Antonin Sertillanges, Bruno De Solages, Aimé Forest, and Henri De Lubac (all of whom were Thomists). Asserting this involved not only arguing compatibility between the positions on Christian philosophy, but also interpreting Thomism as being compatible with the requirements of Blondel’s non-Thomist philosophy.

De Solages likens Gilson’s, Maritain’s and Blondel’s positions on Christian philosophy to three different paths climbing the same mountain:

None of the three lead to the same peak, for our mountain has three peaks, but it seems to me that the view that one has from each of them marvelously completes the view that one has from the others, and that all three allow one to make for oneself a sufficiently complex and exact idea of this complex reality. (“Le problème de la philosophie chrétienne,” p. 232)

De Lubac, drawing from De Solages and Sertillanges, provides a classic account reconciling Blondel with Gilson and Maritain, as well as noting certain differences between the latter two.

If we believe Maritain and Gilson, their two positions come together, one in treating the problem from the historical point of view and the other. In practice, however, Gilson, who is the better historian, admits a greater influence than Maritain concedes…. [O]nly the third thesis, that of Blondel, establishes a truly intrinsic relationship between rational speculation and supernatural revelation, without, for all that, opening to philosophy the mysterious content of this revelation. (“Retrieving the Tradition: On Christian Philosophy”, p.482-3)

He distinguishes several different distinguishable types of Christian philosophy:

[T]here is another sense in which one can and must speak of a Christian philosophy…a sense no longer historical but metaphysical. It is, then, no longer a matter of a philosophy, or of philosophies, which, in fact, find themselves to be Christian because they have received a Christian contribution…Instead, it is a question of the philosophy, which, to be truly and integrally philosophy, must, in a certain way, be Christian. (“Retrieving the Tradition”, p 486)

The relationship between these types is not one of opposition or exclusion, but one going beyond even compatibility or complementarity to mutual requirement. The Gilson-Maritain position needs to be completed and self-critically secured by the Blondelian one: “[T]o the double recognition of the subjective comforts and the objective contributions which philosophy owes to Christianity, it is indispensable to add the elaboration of a philosophy of insufficiency.” Additionally, “posing the problem of the relationship between supernatural mystery and the reason it fertilizes, leads us to look for another more comprehensive meaning of Christian philosophy.” (“Retrieving the Tradition”, p. 494-5) Blondel’s thought is possible, however, only on the unacknowledged basis of the type of Christian philosophy Gilson and Maritain focused on:

[I]f we speak concretely, psychologically, and historically, we will say that this absolute Christian philosophy presupposes the first kind of Christian philosophy, which is completely contingent. We add that it presupposes this contingent Christian philosophy as already established and developed for enough time to have profoundly penetrated the understanding and to have laid bare the secret law. (“Retrieving the Tradition,” p. 488)

5. References and Further Reading

This selective bibliography provides reference to only a portion of the literature either from or about the debates about Christian philosophy, positions developed, and issues involved. For more extensive bibliographies, cf. Bernard Badoux, O.F.M., “Quaestio de philosophia christiana,” Antonianum, vol. 11, p. 487-552; and Luigi Bogliolo. La Filosophia Cristiana: Il problema, la storia, la struttura (Rome: Libreria Editrice Vaticana. 1986). All translations from the French, unless otherwise noted in the bibliography, are the author’s.

a. Literature from the 1930s Christian Philosophy Debates

This list includes two types of literature: 1) books, articles, and conference reports directly part of the debates; 2) books, articles, and conference reports subsequent to the debates in which the positions of these participants are further developed. Many other documents not listed here, of lesser importance or centrality, also form part of the debates.

  • “La notion de philosophie chrétienne”, Session of 21 March 1931, Bulletin de la Société française de Philosophie, v. 31. Includes:
    • Main Presentation by Etienne Gilson
      Presentations by Emile Bréhier, Jacques Maritain, Léon Brunschvicg, Edouard Le Roy, and Raymond Lenoir
      Discussion between Gilson, Bréhier, and Brunschvicg
      Letters from Maurice Blondel and Jacques Chevalier
  • La philosophie chétienne: Juvisy, 11 Septembre 1933 (Account of the 2nd Day of Studies of the Société Thomiste). (Paris: Cerf. 1933) Includes:
    • M.D. Chenu, O. P. “Allocation d’Ouverture”
      Aimé Forest, “Le problème historique de la philosophie chrétienne”
      A.R. Motte, “Vers une solutions doctrinale du problème de la philosophie chrétienne”
      Discussion by numerous members of the Société Thomiste, including substantive presentations made by Festugière, Etienne Gilson, Pierre Mandonnet, Antonin Sertillanges, Daniel Feuling, Masnovo, Cochet,
      Appendix: Correspondence from Jacques Maritain, M.E. Baudin, Roland-Gosselin, O.P. , M.G. Rabeau
  • Blondel, Maurice. “Autonomie normale et connexion réelle de la philosophie et de la religion,” in Library of the 10th international congress of philosophy (Amsterdam 1948). Amsterdam : North Holland, 1948, vol. 1, p. 207-208
  • Blondel, Maurice. “La philosophie ouverte” in Henri Bergson: Essais et témoignages inédits. Albert Béguin, Pierre Thévenaz, eds. (Neuchâtel: Baconnière. 1941), p. 73-90
  • Blondel, Maurice. “Le centre de perspective où il faut se placer pour que la philosophie catholique soit concevable.” Archivio di filosofia, vol. 2, no. 2, p. 3-15 (1932).
  • Blondel, Maurice. “Le devoir intégral de la philosophie” in Actas del primer congreso nacional de filosofia (1949). (Mendoza, Argentina: Univ. Nacional de Cuyo. 1950), vol. 2, p. 884-889.
  • Blondel, Maurice. Le problème de la philosophie catholique (Paris: Bloud & Gay. 1932)
  • Blondel, Maurice. “Le problème de la philosophie catholique: Seance of 26 Nov 1932”, Les Etudes Philosophiques vol. 7, no. 1.
    • Includes letters and discussion by: Enrico Castelli, Jean Delvolvé, Henri Gouhier, Joseph Maréchal, S.J, Jacques Palliard, Gaston Berger
  • Blondel, Maurice. “Office du philosophe”, Revue Thomiste, vol. 19, p. 587-592 (1936).
  • Blondel, Maurice. “Philosophie et Christianisme,” Vie Intellectuelle, 25 Jan 1940, p. 96-105.
  • Blondel, Maurice. “Pour la philosophie integrale”, Revue néoscholastique de Philosophie, vol. 37, p. 49-64. (1934).
  • Blondel, Maurice. “Réponse irénique à des méprises : Comment comprendre et justifier l’accès à la vie surnaturelle?”Giornale di metafisica vol. 3, p. 44-48 (1948).
  • Blondel, Maurice. (under the pseudonym “X”), “Une philosophie chrétienne est-elle rationallement concevable? Est-elle historiquement réalisé? Etat actuel de ce debat”, Revue des Questions Historiques, vol. 116, p. 389-393 (1932).
  • Blondel, Maurice. “Y-a-t’il une philosophie chrétienne?”, Revue de Métaphysique et de Morale, vol 38, no.4 (1931).
  • Borne, Etienne. “D’une ‘Philosophie Chrétienne’ qui serait philosophique,” Esprit, November 1932, p. 335-340.
  • Bréhier, Emile. “Comment je comprends l’histoire de la philosophie,” Etudes Philosophiques, p. 105-13 (1947). Reprinted in Etudes de philosophie antique (Paris: PUF. 1955), p. 1-9.
  • Bréhier, Emile. “Y-a-t’il une philosophie chrétienne?” Revue de Métaphysique et de la Morale, vol. 38 no. 2, p. 133-162 (1931).
  • Brunschvicg, Léon. “De la vraie et fausse conversion,” (parts 1-2) Revue de Métaphysique et de la Morale., vol. 38 no. 1, p. 29-60, n. 2, p. 187-235. All parts later published as De la vraie et de la fausse conversion: suivi de La querelle de l’athéisme (Paris: Presses Universitaires de France. 1951)
  • Brunschvicg, Léon. “Religion et Philosophie”, Revue de la Métaphysique et de la Morale, vol. 42, no. 1, p. 1-13. (1935).
  • Brunschvicg, Léon. La Raison et la Religion (Paris: Felix Alcan. 1939)
  • Chestov, Léon. “Athènes et Jérusalem (Concupiscentia irresistibilis)”, Revue Philosophique, vol. 120, p. 305-349. Later becomes part 3 of Athènes et Jérusalem (Paris. 1937)
  • Gilson, Etienne. “Autour de la philosophie chrétienne. La spécificité de l’ordre philosophique”, La Vie Intellectuelle, vol. 21, no. 3, p. 404-424. Translated as “Concerning Christian Philosophy: the Distinctiveness of the Philosophic Order” in Philosophy and history: Essays Presented to Ernst Cassirer (Oxford: Clarendon Press. 1936), p. 61-76.
  • Gilson, Etienne. Christianisme et Philosophie. (Paris: Vrin. 1936). Translated as Christianity and Philosophy by Ralph MacDonald, C.S.B. (New York: Sheet & Ward. 1939).
  • Gilson, Etienne. Elements of Christian Philosophy. (Garden City, N.Y.: Doubleday: 1960).
  • Gilson, Etienne. History of Christian philosophy in the Middle Ages (New York: Random House, 1955).
  • Gilson, Etienne. “La possibilité philosophique de la philosophie chrétienne”, Revue des sciences religieuses, vol. 32.
  • Gilson, Etienne. Introduction à la Philosophie Chrétienne. (Paris: Vrin, 1960) translated by Armand Maurer as Christian Philosophy: An Introduction (Toronto: Pontifical Institute of Mediaeval Studies. 1993).
  • Gilson, Etienne. L’esprit de la Philosophie médiévale. Translated by A.H.C. Downes as The Spirit of Medieval Philosophy (Gifford Lectures 1931-1932) (New York: Charles Scribner’s Sons. 1936).
  • Gilson, Etienne. “Le christianisme et la tradition philosophique,” Sciences Philosophiques et Théologiques, vol. 20, p. 249-266. (1941).
  • Gilson, Etienne. Le Philosophe et la Théologie (Paris: Fayard. 1960) Translated by Cecile Gilson as The Philosopher and Theology (New York: Random House. 1962).
  • Gilson, Etienne. Reason and Revelation in the Middle Ages. (New York: Scribner’s. 1938)
  • Gilson, Etienne. The Unity of Philosophical Experience. (New York: Charles Scribner’s Sons, 1937)
  • Gilson, Etienne. “What is Christian Philosophy?” in A Gilson Reader. Anton Pegis, ed. (Garden City, NY: Hanover House, 1957) p. 177-191
  • de Lubac, Henri. “Sur la philosophie chretienne, reflexions a la suite d’un debat”, Nouvelle Revue Théologique, vol. 63, no. 3, p. 125-53, English translation: “Retrieving the Tradition: On Christian Philosophy”, Communio, vol. 19, p. 478-506 (1992).
  • Marc, André, S.J. “La philosophie chrétienne et la théologie”, La Vie Intellectuelle, vol. 24, p. 21-27(1933).
  • Marcel, Gabriel. “A propos de L’esprit de la Philosophie médiévale par M. E. Gilson”, Nouvelle Revue des Jeunes, vol. 4, no. 3, p. 308-315 (1932).
  • Marcel, Gabriel. “A propos de L’esprit de la Philosophie médiévale par M. E. Gilson”, Nouvelle Revue des Jeunes, vol. 4, no. 12, p. 1302-1309 (1932).
  • Marcel, Gabriel. “Position du mystère ontologique et ses approches concrètes”, Les Etudes Philosophiques, vol. 7, no. 3, p. 95-102 (with responses by Blondel and Bréhier). Later translated in Being and Having: An Existentialist Diary. Trans. Katherine Farrer. (New York: Harper. 1965) p.116-121.
  • Maritain, Jacques. Approches sans entraves. (Paris: Fayard.1973). Translated as Untrammeled Approaches (Notre Dame: University of Notre Dame Press. 1997).
  • Maritain, Jacques. “A propos de la philosophie chrétienne,” translated as “About Christian Philosophy,” in The Human Person and the World of Values Balduin Schwarz, ed. (New York: Fordham University. Press. 1960), p. 1-11.
  • Maritain, Jacques. “De la notion de philosophie chrétienne”, Revue néo-scolastique de philosophie, vol. 36, p. 153-86. (1932).
  • Maritain, Jacques. Essai sur la philosophie chrétienne Translated as An Essay on Christian Philosophy, by Edward Flannery (New York: Philosophical Library. 1955)
  • Maritain, Jacques. Raison et raisons, essais détachés (Paris: Egloff. 1948) later expanded and translated as The Range of Reason (New York: Charles Scribner’s Sons. 1952).
  • Maritain, Jacques. Science et sagesse, suivi d’éclaircissements sur ses frontières et son objet (Paris: Téqui. 1935). translated by Bernard Wall as Science and Wisdom (New York: Charles Scribner’s Sons, 1940)
  • Noël, Léon. “La notion de philosophie chrétienne,” Revue néoscholastique de Philosophie, vol. 37 (1934).
  • Sertillanges, Antonin D., O.P.“De la philosophie chrétienne”, La Vie Intellectuelle, vol. 24. no. 1, p. 9-20 (1933).
  • Sertillanges, Antonin D., O.P. “L’apport philosophique du Christianisme d’après M. Etienne Gilson”, La Vie Intellectuelle, vol. 14, p. 386-402 (1932).
  • Sertillanges, Antonin D., O.P. Le Christianisme et les philosophies (Paris: Aubier. 1939)
  • de Solages, Bruno. “Le problème de la philosophie chrétienne,” La Vie Intellectuelle, vol. 25, no. 3, p. 215-228 (1933).
  • Van Steenberghen, Fernand. “Etienne Gilson: historian de la pensée médievale”, Revue Philosophique de Louvain, vol. 77, p. 487-508 (1979).
  • Van Steenberghen, Fernand. Etudes philosophiques (Longueuil, Canada: Le Préambule. 1980)
  • Van Steenberghen, Fernand. Histoire de la philosophie; période chrétienne. (Paris: Nauwelaerts, 1964)
  • Van Steenberghen, Fernand. Introduction à l’étude de la philosophie médiévale (Paris, Béatrice-Nauwelaerts. 1974)
  • Van Steenberghen, Fernand. “L’interpretation de la pensée médievale au cours du siècle écoulé,” Revue Philosophique de Louvain, vol. 49, p. 108-19 (1951).
  • Van Steenberghen, Fernand. “La IIe journée d’études de la Société Thomiste et la notion de ‘philosophie chrétienne’”, Revue néoscholastique de Philosophie, vol. 35, p. 539-554 (1933).
  • Van Steenberghen, Fernand. “La Philosophie de S. Augustin d’après les travaux du centenaire”, Revue Néoscholastique, vol. 35, pp. 106-127, 231-281 (1933).
  • Van Steenberghen, Fernand. “Philosophie et christianisme: Épilogue d’un débat ancien”, Revue Philosophique de Louvain, v. 86 (1988).

b. Selected Literature from 1940s and 50s Reformed Protestant Discussions about Christian Philosophy

  • Le problème de la philosophie chrétienne (Paris: P.U.F. 1949), includes :
    • Jean Boisset, “Introduction”
      Edmond Rochedieu, “Philosophie chrétienne et vérité théologique”
      Paul Ricouer, “Le renouvellement du problème de la philosophie chrétienne par les philosophies de l’existence”
      Paul Arbouse-Bastide, “Les voies de la raison et la voie de l’amour”
      Jacques Bois, “Unité du christianisme et de la philosophie”
      Maurice Neeser, “La théologie chrétienne peut-elle prétendre à une place dans l’organisme des sciences humaines?”
  • Bois, Jacques. “Philosophie et Religion” (1st part), Études Théologiques et religieuses, Nov. (1933).
  • Bois, Jacques. “Philosophie et Religion” (2nd part), Études Théologiques et religieuses, vol. 9, no. 1, p. 35-49 (1934).
  • Guérin, Pierre. “A propos de la philosophie chrétienne”, Revue d’Histoire et de Philosophie religeuses, p. 210-242. (1935)
  • Guérin, Pierre. “La condition du philosophe chrétien”, Revue de Théologie et de Philosophie, vol. 37, p. 65-78. (1949).
  • Mehl, Roger. “Die Philosophie vor der Théologie,” Theologische Literaturzeitung, no. 10, p. 586-90 (1950).
  • Mehl, Roger. Le condition du philosophe chrétien. (Paris: Niestlé. 1947) Translated as The Condition of the Christian philosopher by Eva Kushner (Philadelphia: Fortress Press. 1963).
  • Reymond, A. “Philosophie et théologie dialectique”, Revue de Théologie et de Philosophie, v. 33, p. 255-281. Later published in Philosophie spiritualiste.
  • Ricouer, Paul. “Le renouvellement du problème de la philosophie chrétienne par les philosophiques de l’existence,” in Les Problèmes de la Pensèe Chrétienne, vol. 4: Le Problème de la Philosophie Chrétienne (Paris: 1949), p. 43-67.
  • Ricouer, Paul. “l’Homme de Science at l’Homme de Foi”, in Récherches et Débats: Pensée Scientifique et foi chrétienne, vol. 4 (1953)
  • Souriau, Michel, “Qu’est-ce qu’une philosophie chrétienne?” Revue de Métaphysique et de Morale, vol 39, no. 3, p. 353-385 (1932)
  • Thévenaz, Pierre. “De la philosophie divine à la philosophie chrétienne,” Revue de Théologie et de Philosophie, vol. 1, p. 4-20 (1951).
  • Thévenaz, Pierre. “Dieu des philosophes et Dieu des chrétiens,” Revue de Théologie et de Philosophie, v. 6, p. 203-15 (1954).

c. Selected Literature about the 1930s Christian Philosophy Debates and Positions on the Issue of Christian Philosophy

  • d’Andrea, Thomas, “Rethinking the Christian Philosophy Debate: An Old Puzzle and Some New Points of Orientation,” Acta Philosophica, vol. 1, no. 2, p. 191-214.
  • Badoux, Bernard, O.F.M., “Quaestio de philosophia christiana,” Antonianum, vol. 11, p. 487-552 (1936).
  • de Blic, J., S.J., “Quonam sensu recta sit locutio ‘philosophia christiana’?”, Acta Secundi Congressus Thomistici Internationalis, p. 450-453 (1936).
  • Bremond, André, S.J. “Rationalisme et Religion,” Archives de philosophie, vol. 11, no. 4, p. 1-59 (1934)
  • Bogliolo, Luigi. Il problema della filosophia cristiana (Brescia: Morcelliana. 1959)
  • Bogliolo, Luigi. La Filosophia Cristiana: Il problema, la storia, la struttura (Rome: Libreria Editrice Vaticana. 1986)
  • Chenu, Marie-Domnique. “Les ‘Philosophes’ dans la philosophie chrétienne médievale,” Revue des Sciences philosophiques et théologiques, vol. 27, no. 1, p. 27-40 (1937).
  • Chenu, Marie-Domnique.  “Note pour l’histoire de la notion de philosophie chrétienne,” Revue des Sciences philosophiques et théologiques, vol. 21 no. 2, p. 230-5 (1932).
  • Chenu, Marie-Domnique.  “Ratio superior et inferior. Un cas de philosophie chrétienne,” Laval Théologique et Philosophique, vol. 1 , no. 1, p. 119-23 (1945).
  • Coreth Emmerich, W. M. Neidl and G. Pfligersdorffer, eds. Christliche Philosophie im katholischen Denken des 19. und 20. Jahrhunderts, v. Neue Ansätze im 19. Jahrhundert (Graz/Wien/Köln: 1987).
  • Coreth Emmerich, W. M. Neidl and G. Pfligersdorffer, eds. Christliche Philosophie im katholischen Denken des 19. und 20. Jahrhunderts, v. 2: Rückgriff auf scholastisches Erbe. (Graz/Wien/Köln: 1988).
  • Coreth Emmerich, W. M. Neidl and G. Pfligersdorffer, eds. Christliche Philosophie im katholischen Denken des 19. und 20. Jahrhundert,v. 3: Moderne Strömungen im 20. Jahrhundert (Graz/Wien/Köln: 1990).
  • Donneaud, Henry, O.P, “Etienne Gilson et Maurice Blondel dans le débat sur la philosophie chrétienne”, Revue Thomiste. vol. 99, p. 497-516
  • English, Adam C. The Possibility of Christian Philosophy : Maurice Blondel at the Intersection of Theology and Philosophy. (New York : Routledge. 2007)
  • Forest, Aimé. “Deux historiens de la philosophie”in Philosophe de la chrétienité. (Paris: Cerf. 1949)
  • Forest, Aimé. “‘La philosophie du Moyen Age’ d’après M. Emile Bréhier”, Revue de Métaphysique et de la Morale (1939).
  • Floucat, Yves. Métaphysique et religion. Vers une sagesse chrétienne intégrale (Paris: Téqui 1989).
  • Floucat, Yves. Pour une philosophie chrétienne: élements d’un débat fondamental (Paris: Téqui. 1983)
  • Gouhier, Henri. “Digression sur la philosophie à propos de la philosophie chrétienne”, Recherches Philosophiques, vol. 3, p. 211-236 (1933).
  • Gouhier, Henri. Etienne Gilson: Trois Essais: Bergson, La philosophie chrétienne, l’art. (Paris: Vrin. 1993)
  • Gouhier, Henri.  La philosophie et son histoire. (Paris: Vrin. 1947)
  • Gouhier, Henri.  “De l’histoire de la Philosophie à la Philosophie” in Etienne Gilson: Philosophe de la chrétienité. (Paris: Cerf. 1949)
  • Gouhier, Henri.  “Philosophie chrétienne et théologie”, Revue Philosophique de la France et de l’étranger, vol.125, p. 23-65 (1938).
  • Hayen, André. “Philosophie de conversion – philosophie du converti”, L’ami du Clergé, no. 46, p. 705-12. Translated as “Philosophy of the Converted – Philosophy of Conversion: Blondel and Maritain,” Philosophy Today, vol. 6, no. 2, p. 283-94.
  • Henrici, Peter. Aufbrüche christlichen Denkens (Einsiedeln: Johannes 1978)
  • Henrici, Peter. “Der Beitrag christlichen Philosophierens heute”, in Die Philosophie in der modernen Welt. Gedenkschrift Alwin Diemer, ed. U. Hinke-Dürnemann (Frankfurt: Peter Lang. 1988) p. 819-31.
  • Henrici, Peter. “Der Gott der Philosophen”, Internationale Katholische Zeitschrift Communio, v. 17
  • Henrici, Peter. “Philosophieren aus dem Glauben: Hundert Jahre nach Aeterni Patris,” Zeitschrift für katholische Theologie, vol. 103, p. 361-73.
  • Henrici, Peter. “The One Who Went Unnamed: Maurice Blondel in the Encyclical Fides et Ratio, Communio, vol. 26, p. 609-621.
  • Copleston, Frederick Charles, S.J. History of Philosophy, vol. 9: Maine De Biran to Sartre (Mahwah, N.J.: Paulist Press. 1975)
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Author Information

Greg Sadler
Email: greg@reasonio.com
Marist College and ReasonIO
U. S. A.

Philosophy of Law

law_scalesPhilosophy of law (or legal philosophy) is concerned with providing a general philosophical analysis of law and legal institutions. Issues in the field range from abstract conceptual questions about the nature of law and legal systems to normative questions about the relationship between law and morality and the justification for various legal institutions.

Topics in legal philosophy tend to be more abstract than related topics in political philosophy and applied ethics. For example, whereas the question of how properly to interpret the U.S. Constitution belongs to democratic theory (and hence falls under the heading of political philosophy), the analysis of legal interpretation falls under the heading of legal philosophy. Likewise, whereas the question of whether capital punishment is morally permissible falls under the heading of applied ethics, the question of whether the institution of punishment can be justified falls under the heading of legal philosophy.

There are roughly three categories into which the topics of legal philosophy fall: analytic jurisprudence, normative jurisprudence, and critical theories of law. Analytic jurisprudence involves providing an analysis of the essence of law so as to understand what differentiates it from other systems of norms, such as ethics. Normative jurisprudence involves the examination of normative, evaluative, and otherwise prescriptive issues about the law, such as restrictions on freedom, obligations to obey the law, and the grounds for punishment. Finally, critical theories of law, such as critical legal studies and feminist jurisprudence, challenge more traditional forms of legal philosophy.

Table of Contents

  1. Analytic Jurisprudence
    1. Natural Law Theory
    2. Legal Positivism
      1. The Conventionality Thesis
      2. The Social Fact Thesis
      3. The Separability Thesis
    3. Ronald Dworkin’s Third Theory
  2. Normative Jurisprudence
    1. Freedom and the Limits of Legitimate Law
      1. Legal Moralism
      2. Legal Paternalism
      3. The Offense Principle
    2. The Obligation to Obey Law
    3. The Justification of Punishment
  3. Critical Theories of Law
    1. Legal Realism
    2. Critical Legal Studies
    3. Law and Economics
    4. Outsider Jurisprudence
  4. References and Further Reading

1. Analytic Jurisprudence

The principal objective of analytic jurisprudence has traditionally been to provide an account of what distinguishes law as a system of norms from other systems of norms, such as ethical norms. As John Austin describes the project, analytic jurisprudence seeks “the essence or nature which is common to all laws that are properly so called” (Austin 1995, p. 11). Accordingly, analytic jurisprudence is concerned with providing necessary and sufficient conditions for the existence of law that distinguish law from non-law.

While this task is usually interpreted as an attempt to analyze the concepts of law and legal system, there is some confusion as to both the value and character of conceptual analysis in philosophy of law. As Brian Leiter (1998) points out, philosophy of law is one of the few philosophical disciplines that takes conceptual analysis as its principal concern; most other areas in philosophy have taken a naturalistic turn, incorporating the tools and methods of the sciences. To clarify the role of conceptual analysis in law, Brian Bix (1995) distinguishes a number of different purposes that can be served by conceptual claims:

  1. to track linguistic usage;
  2. to stipulate meanings;
  3. to explain what is important or essential about a class of objects; and
  4. to establish an evaluative test for the concept-word.

Bix takes conceptual analysis in law to be primarily concerned with (3) and (4).

In any event, conceptual analysis of law remains an important, if controversial, project in contemporary legal theory. Conceptual theories of law can be divided into two main headings: (a) those that affirm there is a conceptual relation between law and morality and (b) those that deny that there is such a relation. Nevertheless, Ronald Dworkin’s view is often characterized as a third theory partly because it is not clear where he stands on the question of whether there is a conceptual relation between law and morality.

a. Natural Law Theory

All forms of natural law theory subscribe to the Overlap Thesis, which is that there is a necessary relation between the concepts of law and morality. According to this view, then, the concept of law cannot be fully articulated without some reference to moral notions. Though the Overlap Thesis may seem unambiguous, there are a number of different ways in which it can be interpreted.

The strongest form of the Overlap Thesis underlies the classical naturalism of St. Thomas Aquinas and William Blackstone. As Blackstone describes the thesis:

This law of nature, being co-eval with mankind and dictated by God himself, is of course superior in obligation to any other. It is binding over all the globe, in all countries, and at all times: no human laws are of any validity, if contrary to this; and such of them as are valid derive all their force, and all their authority, mediately or immediately, from this original (1979, p. 41).

In this passage, Blackstone articulates the two claims that constitute the theoretical core of classical naturalism: 1) there can be no legally valid standards that conflict with the natural law; and 2) all valid laws derive what force and authority they have from the natural law. On this view, to paraphrase Augustine, an unjust law is no law at all.

Related to Blackstone’s classical naturalism is the neo-naturalism of John Finnis (1980). Finnis believes that the naturalism of Aquinas and Blackstone should not be construed as a conceptual account of the existence conditions for law. According to Finnis (see also Bix, 1996), the classical naturalists were not concerned with giving a conceptual account of legal validity; rather they were concerned with explaining the moral force of law: “the principles of natural law explain the obligatory force (in the fullest sense of “obligation”) of positive laws, even when those laws cannot be deduced from those principles” (Finnis 1980, pp. 23-24). On Finnis’s view of the Overlap Thesis, the essential function of law is to provide a justification for state coercion. Accordingly, an unjust law can be legally valid, but cannot provide an adequate justification for use of the state coercive power and is hence not obligatory in the fullest sense; thus, an unjust law fails to realize the moral ideals implicit in the concept of law. An unjust law, on this view, is legally binding, but is not fully law.

Lon Fuller (1964) rejects the idea that there are necessary moral constraints on the content of law. On Fuller’s view, law is necessarily subject to a procedural morality consisting of eight principles:

P1: the rules must be expressed in general terms;
P2: the rules must be publicly promulgated;
P3: the rules must be prospective in effect;
P4: the rules must be expressed in understandable terms;
P5: the rules must be consistent with one another;
P6: the rules must not require conduct beyond the powers of the affected parties;
P7: the rules must not be changed so frequently that the subject cannot rely on them; and
P8: the rules must be administered in a manner consistent with their wording.

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

b. Legal Positivism

Opposed to all forms of naturalism is legal positivism, which is roughly constituted by three theoretical commitments: (i) the Social Fact Thesis, (ii) the Conventionality Thesis, and (iii) the Separability Thesis. The Social Fact Thesis (which is also known as the Pedigree Thesis) asserts that it is a necessary truth that legal validity is ultimately a function of certain kinds of social facts. The Conventionality Thesis emphasizes law’s conventional nature, claiming that the social facts giving rise to legal validity are authoritative in virtue of some kind of social convention. The Separability Thesis, at the most general level, simply denies naturalism’s Overlap Thesis; according to the Separability Thesis, there is no conceptual overlap between the notions of law and morality.

i. The Conventionality Thesis

According to the Conventionality Thesis, it is a conceptual truth about law that legal validity can ultimately be explained in terms of criteria that are authoritative in virtue of some kind of social convention. Thus, for example, H.L.A. Hart (1996) believes the criteria of legal validity are contained in a rule of recognition that sets forth rules for creating, changing, and adjudicating law. On Hart’s view, the rule of recognition is authoritative in virtue of a convention among officials to regard its criteria as standards that govern their behavior as officials. While Joseph Raz does not appear to endorse Hart’s view about a master rule of recognition containing the criteria of validity, he also believes the validity criteria are authoritative only in virtue of a convention among officials.

ii. The Social Fact Thesis

The Social Fact Thesis asserts that legal validity is a function of certain social facts. Borrowing heavily from Jeremy Bentham, John Austin (1995) argues that the principal distinguishing feature of a legal system is the presence of a sovereign who is habitually obeyed by most people in the society, but not in the habit of obeying any determinate human superior. On Austin’s view, a rule R is legally valid (that is, is a law) in a society S if and only if R is commanded by the sovereign in S and is backed up with the threat of a sanction. The relevant social fact that confers validity, on Austin’s view, is promulgation by a sovereign willing to impose a sanction for noncompliance.

Hart takes a different view of the Social Fact Thesis. Hart believes that Austin’s theory accounts, at most, for one kind of rule: primary rules that require or prohibit certain kinds of behavior. On Hart’s view, Austin overlooked the presence of other primary rules that confer upon citizens the power to create, modify, and extinguish rights and obligations in other persons. As Hart points out, the rules governing the creation of contracts and wills cannot plausibly be characterized as restrictions on freedom that are backed by the threat of a sanction.

Most importantly, however, Hart argues Austin overlooks the existence of secondary meta-rules that have as their subject matter the primary rules themselves and distinguish full-blown legal systems from primitive systems of law:

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

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

According to Hart’s view of the Social Fact Thesis, then, a proposition P is legally valid in a society S if and only if it satisfies the criteria of validity contained in a rule of recognition that is binding in S. As we have seen, the Conventionality Thesis implies that a rule of recognition is binding in S only if there is a social convention among officials to treat it as defining standards of official behavior. Thus, on Hart’s view, “[the] rules of recognition specifying the criteria of legal validity and its rules of change and adjudication must be effectively accepted as common public standards of official behaviour by its officials” (Hart 1994, p. 113).

iii. The Separability Thesis

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

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

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

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

c. Ronald Dworkin’s Third Theory

Ronald Dworkin rejects positivism’s Social Fact Thesis on the ground that there are some legal standards the authority of which cannot be explained in terms of social facts. In deciding hard cases, for example, judges often invoke moral principles that Dworkin believes do not derive their legal authority from the social criteria of legality contained in a rule of recognition (Dworkin 1977, p. 40). Nevertheless, since judges are bound to consider such principles when relevant, they must be characterized as law. Thus, Dworkin concludes, “if we treat principles as law we must reject the positivists’ first tenet, that the law of a community is distinguished from other social standards by some test in the form of a master rule” (Dworkin 1977, p. 44).

Dworkin believes adjudication is and should be interpretive: “judges should decide hard cases by interpreting the political structure of their community in the following, perhaps special way: by trying to find the best justification they can find, in principles of political morality, for the structure as a whole, from the most profound constitutional rules and arrangements to the details of, for example, the private law of tort or contract” (Dworkin 1982, p. 165). There are, then, two elements of a successful interpretation. First, since an interpretation is successful insofar as it justifies the particular practices of a particular society, the interpretation must fit with those practices in the sense that it coheres with existing legal materials defining the practices. Second, since an interpretation provides a moral justification for those practices, it must present them in the best possible moral light. Thus, Dworkin argues, a judge should strive to interpret a case in roughly the following way:

A thoughtful judge might establish for himself, for example, a rough “threshold” of fit which any interpretation of data must meet in order to be “acceptable” on the dimension of fit, and then suppose that if more than one interpretation of some part of the law meets this threshold, the choice among these should be made, not through further and more precise comparisons between the two along that dimension, but by choosing the interpretation which is “substantively” better, that is, which better promotes the political ideals he thinks correct (Dworkin 1982, p. 171).

Accordingly, on Dworkin’s view, the legal authority of a binding principle derives from the contribution it makes to the best moral justification for a society’s legal practices considered as a whole. Thus, a legal principle maximally contributes to such a justification if and only if it satisfies two conditions:

  1. the principle coheres with existing legal materials; and
  2. the principle is the most morally attractive standard that satisfies (1).

The correct legal principle is the one that makes the law the moral best it can be.

In later writings, Dworkin expands the scope of his “constructivist” view beyond adjudication to encompass the realm of legal theory. Dworkin distinguishes conversational interpretation from artistic/creative interpretation and argues that the task of interpreting a social practice is more like artistic interpretation:

The most familiar occasion of interpretation is conversation. We interpret the sounds or marks another person makes in order to decide what he has said. Artistic interpretation is yet another: critics interpret poems and plays and paintings in order to defend some view of their meaning or theme or point. The form of interpretation we are studying-the interpretation of a social practice-is like artistic interpretation in this way: both aim to interpret something created by people as an entity distinct from them, rather than what people say, as in conversational interpretation” (Dworkin 1986, p. 50).

Artistic interpretation, like judicial interpretation, is constrained by the dimensions of fit and justification: “constructive interpretation is a matter of imposing purpose on an object or practice in order to make of it the best possible example of the form or genre to which it is taken to belong” (Dworkin 1986, p. 52).

On Dworkin’s view, the point of any general theory of law is to interpret a very complex set of related social practices that are “created by people as an entity distinct from them”; for this reason, Dworkin believes the project of putting together a general theory of law is inherently constructivist:

General theories of law must be abstract because they aim to interpret the main point and structure of legal practice, not some particular part or department of it. But for all their abstraction, they are constructive interpretations: they try to show legal practice as a whole in its best light, to achieve equilibrium between legal practice as they find it and the best justification of that practice. So no firm line divides jurisprudence from adjudication or any other aspect of legal practice (Dworkin 1986, p. 90).

Indeed, so tight is the relation between jurisprudence and adjudication, according to Dworkin, that jurisprudence is no more than the most general part of adjudication; thus, Dworkin concludes, “any judge’s opinion is itself a piece of legal philosophy” (Dworkin 1986, p. 90).

Accordingly, Dworkin rejects not only positivism’s Social Fact Thesis, but also what he takes to be its underlying presuppositions about legal theory. Hart distinguishes two perspectives from which a set of legal practices can be understood. A legal practice can be understood from the “internal” point of view of the person who accepts that practice as providing legitimate guides to conduct, as well as from the “external” point of view of the observer who wishes to understand the practice but does not accept it as being authoritative or legitimate.

Hart understands his theory of law to be both descriptive and general in the sense that it provides an account of fundamental features common to all legal systems-which presupposes a point of view that is external to all legal systems. For this reason, he regards his project as “a radically different enterprise from Dworkin’s conception of legal theory (or ‘jurisprudence’ as he often terms it) as in part evaluative and justificatory and as ‘addressed to a particular legal culture’, which is usually the theorist’s own and in Dworkin’s case is that of Anglo-American law” (Hart 1994, p. 240).

These remarks show Hart believes Dworkin’s theoretical objectives are fundamentally different from those of positivism, which, as a theory of analytic jurisprudence, is largely concerned with conceptual analysis. For his part, Dworkin conceives his work as conceptual but not in the same sense that Hart regards his work:

We all-at least all lawyers-share a concept of law and of legal right, and we contest different conceptions of that concept. Positivism defends a particular conception, and I have tried to defend a competing conception. We disagree about what legal rights are in much the same way as we philosophers who argue about justice disagree about what justice is. I concentrate on the details of a particular legal system with which I am especially familiar, not simply to show that positivism provides a poor account of that system, but to show that positivism provides a poor conception of the concept of a legal right (Dworkin 1977, 351-52).

These differences between Hart and Dworkin have led many legal philosophers, most recently Bix (1996), to suspect that they are not really taking inconsistent positions at all. Accordingly, there remains an issue as to whether Dworkin’s work should be construed as falling under the rubric of analytic jurisprudence.

2. Normative Jurisprudence

Normative jurisprudence involves normative, evaluative, and otherwise prescriptive questions about the law. Here we will examine three key issues: (a) when and to what extent laws can restrict the freedom of citizens, (b) the nature of one’s obligation to obey the law, and (c) the justification of punishment by law.

a. Freedom and the Limits of Legitimate Law

Laws limit human autonomy by restricting freedom. Criminal laws, for example, remove certain behaviors from the range of behavioral options by penalizing them with imprisonment and, in some cases, death. Likewise, civil laws require people to take certain precautions not to injure others and to honor their contracts. Given that human autonomy deserves prima facie moral respect, the question arises as to what are the limits of the state’s legitimate authority to restrict the freedom of its citizens.

John Stuart Mill provides the classic liberal answer in the form of the harm principle:

[T]he sole end for which mankind are warranted, individually or collectively, in interfering with the liberty of action of any of their number is self-protection. The only purpose for which power can rightfully be exercised over any member of a civilised community against his will is to prevent harm to others. His own good, either physical or moral, is not a sufficient warrant. Over himself, over his own body and mind, the individual is sovereign (Mill 1906, pp. 12-13).

While Mill left the notion of harm underdeveloped, he is most frequently taken to mean only physical harms and more extreme forms of psychological harm.

Though Mill’s view—or something like it—enjoys currency among the public, it has generated considerable controversy among philosophers of law and political philosophers. Many philosophers believe that Mill understates the limits of legitimate state authority over the individual, claiming that law may be used to enforce morality, to protect the individual from herself, and in some cases to protect individuals from offensive behavior.

i. Legal Moralism

Legal moralism is the view that the law can legitimately be used to prohibit behaviors that conflict with society’s collective moral judgments even when those behaviors do not result in physical or psychological harm to others. According to this view, a person’s freedom can legitimately be restricted simply because it conflicts with society’s collective morality; thus, legal moralism implies that it is permissible for the state to use its coercive power to enforce society’s collective morality.

The most famous legal moralist is Patrick Devlin, who argues that a shared morality is essential to the existence of a society:

[I]f men and women try to create a society in which there is no fundamental agreement about good and evil they will fail; if, having based it on common agreement, the agreement goes, the society will disintegrate. For society is not something that is kept together physically; it is held by the invisible bonds of common thought. If the bonds were too far relaxed the members would drift apart. A common morality is part of the bondage. The bondage is part of the price of society; and mankind, which needs society, must pay its price. (Devlin 1965, p. 10).

Insofar as human beings cannot lead a meaningful existence outside of society, it follows, on Devlin’s view, that the law can be used to preserve the shared morality as a means of preserving society itself.

H.L.A. Hart (1963) points out that Devlin overstates the extent to which preservation of a shared morality is necessary to the continuing existence of a society. Devlin attempts to conclude from the necessity of a shared social morality that it is permissible for the state to legislate sexual morality (in particular, to legislate against same-sex sexual relations), but Hart argues it is implausible to think that “deviation from accepted sexual morality, even by adults in private, is something which, like treason, threatens the existence of society” (Hart 1963, p. 50). While enforcement of certain social norms protecting life, safety, and property are likely essential to the existence of a society, a society can survive a diversity of behavior in many other areas of moral concern-as is evidenced by the controversies in the U.S. surrounding abortion and homosexuality.

ii. Legal Paternalism

Legal paternalism is the view that it is permissible for the state to legislate against what Mill calls “self-regarding actions” when necessary to prevent individuals from inflicting physical or severe emotional harm on themselves. As Gerald Dworkin describes it, a paternalist interference is an “interference with a person’s liberty of action justified by reasons referring exclusively to the welfare, good, happiness, needs, interests or values of the person being coerced” (G. Dworkin 1972, p. 65). Thus, for example, a law requiring use of a helmet when riding a motorcycle is a paternalistic interference insofar as it is justified by concerns for the safety of the rider.

Dworkin argues that Mill’s view that a person “cannot rightfully be compelled to do or forbear because it will be better for him” (Mill 1906, p. 13) precludes paternalistic legislation to which fully rational individuals would agree. According to Dworkin, there are goods, such as health and education, that any rational person needs to pursue her own good-no matter how that good is conceived. Thus, Dworkin concludes, the attainment of these basic goods can legitimately be promoted in certain circumstances by using the state’s coercive force.

Dworkin offers a hypothetical consent justification for his limited legal paternalism. On his view, there are a number of different situations in which fully rational adults would consent to paternalistic restrictions on freedom. For example, Dworkin believes a fully rational adult would consent to paternalistic restrictions to protect her from making decisions that are “far-reaching, potentially dangerous and irreversible” (G. Dworkin 1972, p. 80). Nevertheless, he argues that there are limits to legitimate paternalism: (1) the state must show that the behavior governed by the proposed restriction involves the sort of harm that a rational person would want to avoid; (2) on the calculations of a fully rational person, the potential harm outweighs the benefits of the relevant behavior; and (3) the proposed restriction is the least restrictive alternative for protecting against the harm.

iii. The Offense Principle

Joel Feinberg believes the harm principle does not provide sufficient protection against the wrongful behaviors of others, as it is inconsistent with many criminal prohibitions we take for granted as being justified. If the only legitimate use of the state coercive force is to protect people from harm caused by others, then statutes prohibiting public sex are impermissible because public sex might be offensive but it does not cause harm (in the Millian sense) to others.

Accordingly, Feinberg argues the harm principle must be augmented by the offense principle, which he defines as follows: “It is always a good reason in support of a proposed criminal prohibition that it would probably be an effective way of preventing serious offense (as opposed to injury or harm) to persons other than the actor, and that it is probably a necessary means to that end” (Feinberg 1985). By “offense,” Feinberg intends a subjective and objective element: the subjective element consists in the experience of an unpleasant mental state (for example, shame, disgust, anxiety, embarrassment); the objective element consists in the existence of a wrongful cause of such a mental state.

b. The Obligation to Obey Law

Natural law critics of positivism (for example, Fuller 1958) frequently complain that if positivism is correct, there cannot be a moral obligation to obey the law qua law (that is, to obey the law as such, no matter what the laws are, simply because it is the law). As Feinberg (1979) puts the point:

The positivist account of legal validity is hard to reconcile with the [claim] that valid law as such, no matter what its content, deserves our respect and general fidelity. Even if valid law is bad law, we have some obligation to obey it simply because it is law. But how can this be so if a law’s validity has nothing to do with its content?

The idea is this: if what is essential to law is just that there exist specified recipes for making law, then there cannot be a moral obligation to obey a rule simply because it is the law.

Contemporary positivists, for the most part, accept the idea that positivism is inconsistent with an obligation to obey law qua law (compare Himma 1998), but argue that the mere status of a norm as law cannot give rise to any moral obligation to obey that norm. While there might be a moral obligation to obey a particular law because of its moral content (for example, laws prohibiting murder) or because it solves a coordination problem (for example, laws requiring people to drive on the right side of the road), the mere fact that a rule is law does not provide a moral reason for doing what the law requires.

Indeed, arguments for the existence of even a prima facie obligation to obey law (that is, an obligation that can be outweighed by competing obligations) have largely been unsuccessful. Arguments in favor of an obligation to obey the law roughly fall into four categories: (1) arguments from gratitude; (2) arguments from fair play; (3) arguments from implied consent; and (4) arguments from general utility.

The argument from gratitude begins with the observation that all persons, even those who are worst off, derive some benefit from the state’s enforcement of the law. On this view, a person who accepts benefits from another person thereby incurs a duty of gratitude towards the benefactor. And the only plausible way to discharge this duty towards the government is to obey its laws. Nevertheless, as M.B.E. Smith points out (1973, p. 953), “if someone confers benefits on me without any consideration of whether I want them, and if he does this in order to advance some purpose other than promotion of my particular welfare, I have no obligation to be grateful towards him.” Since the state does not give citizens a choice with respect to such benefits, the mere enjoyment of them cannot give rise to a duty of gratitude.

John Rawls (1964) argues that there is a moral obligation to obey law qua law in societies in which there is a mutually beneficial and just scheme of social cooperation. What gives rise to a moral obligation to obey law qua law in such societies is a duty of fair play: fairness requires obedience of persons who intentionally accept the benefits made available in a society organized around a just scheme of mutually beneficial cooperation. There are a couple of problems here. First, Rawls’s argument does not establish the existence of a content-independent obligation to obey law; the obligation arises only in those societies that institutionalize a just scheme of social cooperation. Second, even in such societies, citizens are not presented with a genuine option to refuse those benefits. For example, I cannot avoid the benefits of laws ensuring clean air. But accepting benefits one is not in a position to refuse cannot give rise to an obligation of fair play.

The argument from consent grounds an obligation to obey law on some sort of implied promise. As is readily evident, we can voluntarily assume obligations by consenting to them or making a promise. Of course, most citizens never explicitly promise or consent to obey the laws; for this reason, proponents of this argument attempt to infer consent from such considerations as continued residence and acceptance of benefits from the state. Nevertheless, acceptance of benefits one cannot decline no more implies consent to obey law than it does duties of fair play or gratitude. Moreover, the prohibitive difficulties associated with emigration preclude an inference of consent from continued residence.

Finally, the argument from general utility grounds the duty to obey the law in the consequences of universal disobedience. Since, according to this argument, the consequences of general disobedience would be catastrophic, it is wrong for any individual to disobey the law; for no person may disobey the law unless everyone may do so. In response, Smith points out that this strategy of argument leads to absurdities: “We will have to maintain, for example, that there is a prima facie obligation not to eat dinner at five o’clock, for if everyone did so, certain essential services could not be maintained” (Smith 1973, p. 966).

c. The Justification of Punishment

Punishment is unique among putatively legitimate acts in that its point is to inflict discomfort on the recipient; an act that is incapable of causing a person minimal discomfort cannot be characterized as a punishment. In most contexts, the commission of an act for the purpose of inflicting discomfort is morally problematic because of its resemblance to torture. For this reason, institutional punishment requires a moral justification sufficient to distinguish it from other practices of purposely inflicting discomfort on other people.

Justifications for punishment typically take five forms: (1) retributive; (2) deterrence; (3) preventive; (4) rehabilitative; and (5) restitutionary. According to the retributive justification, what justifies punishing a person is that she committed an offense that deserves the punishment. On this view, it is morally appropriate that a person who has committed a wrongful act should suffer in proportion to the magnitude of her wrongdoing. The problem, however, is that the mere fact that someone is deserving of punishment does not imply it is morally permissible for the state to administer punishment; it would be wrong for me, for example, to punish someone else’s child even though her behavior might deserve it.

In contrast to the retributivist theories that look back to a person’s prior wrongful act as justification for punishment, utilitarian theories look forward to the beneficial consequences of punishing a person. There are three main lines of utilitarian reasoning. According to the deterrence justification, punishment of a wrongdoer is justified by the socially beneficial effects that it has on other persons. On this view, punishment deters wrongdoing by persons who would otherwise commit wrongful acts. The problem with the deterrence theory is that it justifies punishment of one person on the strength of the effects that it has on other persons. The idea that it is permissible to deliberately inflict discomfort on one person because doing so may have beneficial effects on the behavior of other persons appears inconsistent with the Kantian principle that it is wrong to use people as mere means.

The preventive justification argues that incarcerating a person for wrongful acts is justified insofar as it prevents that person from committing wrongful acts against society during the period of incarceration. The rehabilitative justification argues that punishment is justified in virtue of the effect that it has on the moral character of the offender. Each of these justifications suffers from the same flaw: prevention of crime and rehabilitation of the offender can be achieved without the deliberate infliction of discomfort that constitutes punishment. For example, prevention of crime might require detaining the offender, but it does not require detention in an environment that is as unpleasant as those typically found in prisons.

The restitutionary justification focuses on the effect of the offender’s wrongful act on the victim. Other theories of punishment conceptualize the wrongful act as an offense against society; the restitutionary theory sees wrongdoing as an offense against the victim. Thus, on this view, the principal purpose of punishment must be to make the victim whole to the extent that this can be done: “The point is not that the offender deserves to suffer; it is rather that the offended party desires compensation” (Barnett 1977, p. 289). Accordingly, a criminal convicted of wrongdoing should be sentenced to compensate her victim in proportion to the victim’s loss. The problem with the restitutionary theory is that it fails to distinguish between compensation and punishment. Compensatory objectives focus on the victim, while punitive objectives focus on the offender.

3. Critical Theories of Law

a. Legal Realism

The legal realist movement was inspired by John Chipman Gray and Oliver Wendall Holmes and reached its apex in the 1920s and 30s through the work of Karl Llewellyn, Jerome Frank, and Felix Cohen. The realists eschewed the conceptual approach of the positivists and naturalists in favor of an empirical analysis that sought to show how practicing judges really decide cases (see Leiter 1998). The realists were deeply skeptical of the ascendant notion that judicial legislation is a rarity. While not entirely rejecting the idea that judges can be constrained by rules, the realists maintained that judges create new law through the exercise of lawmaking discretion considerably more often than is commonly supposed. On their view, judicial decision is guided far more frequently by political and moral intuitions about the facts of the case (instead of by legal rules) than theories like positivism and naturalism acknowledge.

As an historical matter, legal realism arose in response to legal formalism, a particular model of legal reasoning that assimilates legal reasoning to syllogistic reasoning. According to the formalist model, the legal outcome (that is, the holding) logically follows from the legal rule (major premise) and a statement of the relevant facts (minor premise). Realists believe that formalism understates judicial lawmaking abilities insofar as it represents legal outcomes as entailed syllogistically by applicable rules and facts. For if legal outcomes are logically implied by propositions that bind judges, it follows that judges lack legal authority to reach conflicting outcomes.

Legal realism can roughly be characterized by the following claims:

  1. the class of available legal materials is insufficient to logically entail a unique legal outcome in most cases worth litigating at the appellate level (the Local Indeterminacy Thesis);
  2. in such cases, judges make new law in deciding legal disputes through the exercise of a lawmaking discretion (the Discretion Thesis); and
  3. judicial decisions in indeterminate cases are influenced by the judge’s political and moral convictions, not by legal considerations.

Though (3) is logically independent of (1) and (2), (1) seems to imply (2): insofar as judges decide legally indeterminate cases, they must be creating new law.

It is worth noting the relations between legal realism, formalism, and positivism. While formalism is often thought to be entailed by positivism, it turns out that legal realism is not only consistent with positivism, but also presupposes the truth of all three of positivism’s core theses. Indeed, the realist acknowledges that law is essentially the product of official activity, but believes that judicial lawmaking occurs more frequently than is commonly assumed. But the idea that law is essentially the product of official activity presupposes the truth of positivism’s Conventionality, Social Fact, and Separability theses. Though the preoccupations of the realists were empirical (that is, attempting to identify the psychological and sociological factors influencing judicial decision-making), their implicit conceptual commitments were decidedly positivistic in flavor.

b. Critical Legal Studies

The critical legal studies (CLS) movement attempts to expand the radical aspects of legal realism into a Marxist critique of mainstream liberal jurisprudence. CLS theorists believe the realists understate the extent of indeterminacy; whereas the realists believe that indeterminacy is local in the sense that it is confined to a certain class of cases, CLS theorists argue that law is radically (or globally) indeterminate in the sense that the class of available legal materials rarely, if ever, logically/causally entails a unique outcome.

CLS theorists emphasize the role of ideology in shaping the content of the law. On this view, the content of the law in liberal democracies necessarily reflects “ideological struggles among social factions in which competing conceptions of justice, goodness, and social and political life get compromised, truncated, vitiated, and adjusted” (Altman 1986, p. 221). The inevitable outcome of such struggles, on this view, is a profound inconsistency permeating the deepest layers of the law. It is this pervasive inconsistency that gives rise to radical indeterminacy in the law. For insofar as the law is inconsistent, a judge can justify any of a number of conflicting outcomes.

At the heart of the CLS critique of liberal jurisprudence is the idea that radical indeterminacy is inconsistent with liberal conceptions of legitimacy. According to these traditional liberal conceptions, the province of judges is to interpret, and not make, the law. For, on this view, democratic ideals imply that lawmaking must be left to legislators who, unlike appointed judges, are accountable to the electorate. But if law is radically indeterminate, then judges nearly always decide cases by making new law, which is inconsistent with liberal conceptions of the legitimate sources of lawmaking authority.

c. Law and Economics

The law and economics movement argues for the value of economic analysis in the law both as a description about how courts and legislators do behave and as a prescription for how such officials should behave. The legal economists, led by Richard Posner, argue that the content of many areas of the common law can be explained in terms of its tendency to maximize preferences:

[M]any areas of law, especially the great common law fields of property, torts, crimes, and contracts, bear the stamp of economic reasoning. It is not a refutation that few judicial opinions contain explicit references to economic concepts. Often the true grounds of decision are concealed rather than illuminated by the characteristic rhetoric of judicial opinions. Indeed, legal education consists primarily of learning to dig beneath the rhetorical surface to find those grounds, many of which may turn out to have an economic character (Posner 1992, p. 23).

Posner subscribes to the so-called efficiency theory of the common law, according to which “the common law is best (not perfectly) explained as a system for maximizing the wealth of society” (Posner 1992, p. 23).

More influential than Posner’s descriptive claims is his normative view that law should strive to maximize wealth. According to Posner, the proper goal of the statutory and common law is to promote wealth maximization, which can best be done by facilitating the mechanisms of the free market. Posner’s normative view combines elements of utilitarian analysis with a Kantian respect for autonomy. On the utilitarian side, markets tend to maximize wealth and the satisfaction of preferences. In a market transaction with no third-party effects, wealth is increased because all parties are made better off by the transaction-otherwise there would be no incentive to consummate the transaction-and no one is made worse off.

On the Kantian side, the law should facilitate market transactions because market transactions best reflect autonomous judgments about the value of individual preferences. At least ideally, individuals express and realize their preferences through mutually consensual market transactions consummated from positions of equal bargaining power. Thus, market transactions tend, ideally, to be both efficient (because they tend to maximize wealth without harmful third-party effects) and just (because all parties are consenting).

d. Outsider Jurisprudence

So-called “outsider jurisprudence” is concerned with providing an analysis of the ways in which law is structured to promote the interests of white males and to exclude females and persons of color. For example, one principal objective of feminist jurisprudence is to show how patriarchal assumptions have shaped the content of laws in a wide variety of areas: property, contract, criminal law, constitutional law, and the law of civil rights. Additionally, feminist scholars challenge traditional ideals of judicial decision-making according to which judges decide legal disputes by applying neutral rules in an impartial and objective fashion. Feminists have, of course, always questioned whether it is possible for judges to achieve an objective and impartial perspective, but now question whether the traditional model is even desirable.

Critical race theory is likewise concerned to point up the way in which assumptions of white supremacy have shaped the content of the law at the expense of persons of color. Additionally, critical race theorists show how the experience, concerns, values, and perspectives of persons of color are systematically excluded from mainstream discourse among practicing lawyers, judges, and legislators. Finally, such theorists attempt to show how assumptions about race are built into most liberal theories of law.

4. References and Further Reading

  • Andrew Altman (1986), “Legal Realism, Critical Legal Studies, and Dworkin,” Philosophy and Public Affairs, vol. 15, no. 2, pp. 205-236.
  • Thomas Aquinas (1988), On Law, Morality and Politics (Indianapolis: Hackett Publishing Co.).
  • John Austin (1977), Lectures on Jurisprudence and the Philosophy of Positive Law (St. Clair Shores, MI: Scholarly Press.
  • John Austin (1995), The Province of Jurisprudence Determined (Cambridge: Cambridge University Press).
  • Randy E. Barnett (1977), “Restitution: A New Paradigm of Criminal Justice,” Ethics, vol. 87, no. 4, pp. 279-301.
  • Jeremy Bentham (1988), A Fragment of Government (Cambridge: Cambridge University Press).
  • Jeremy Bentham (1970), Of Laws In General (London: Athlone Press).
  • Brian Bix (1995), “Conceptual Questions and Jurisprudence,” Legal Theory, vol. 1, no. 4 (December), pp. 465-479.
  • Brian Bix (1996a), Jurisprudence: Theory and Context (Boulder, CO: Westview Press).
  • Brian Bix (1996b), “Natural Law Theory,” in Dennis M. Patterson (ed.), A Companion to Philosophy of Law and Legal Theory (Cambridge: Blackwell Publishing Co.).
  • William Blackstone (1979), Commentaries on the Law of England (Chicago: The University of Chicago Press).
  • Jules L. Coleman (1989), “On the Relationship Between Law and Morality,” Ratio Juris, vol. 2, no. 1, pp. 66-78.
  • Jules L. Coleman (1982), “Negative and Positive Positivism,” 11 Journal of Legal Studies vol. 139, no. 1, pp. 139-164.
  • Jules L. Coleman (1996), “Authority and Reason,” in Robert P. George, The Autonomy of Law: Essays on Legal Positivism (Oxford: Clarendon Press), pp. 287-319.
  • Jules L. Coleman (1998), “Incorporationism, Conventionality and The Practical Difference Thesis,” Legal Theory, vol. 4, no. 4, pp. 381-426.
  • Jules L. Coleman and Jeffrie Murphy (1990), Philosophy of Law (Boulder, CO: Westview Press).
  • Kimberle Crenshaw, Neil Gotanda, Gary Peller, and Kendall Thomas, eds. (1995), Critical Race Theory: The Key Writings That Formed the Movement (New York: The New Press).
  • Patrick Devlin (1965), The Enforcement of Morals (Oxford: Oxford University Press).
  • Gerald Dworkin (1972), “Paternalism,” The Monist, vol. 56, pp. 64-84.
  • Ronald Dworkin (1978), Taking Rights Seriously (Cambridge: Harvard University Press).
  • Ronald Dworkin (1982), “‘Natural’ Law Revisited,” University of Florida Law Review vol. 34, no. 2, pp. 165-188.
  • Ronald Dworkin (1986), Law’s Empire (Cambridge: Harvard University Press).
  • Joel Feinberg (1985), Offense to Others (Oxford: Oxford University Press).
  • Joel Feinberg (1979), “Civil Disobedience in the Modern World,” Humanities in Review, vol. 2, pp. 37-60.
  • John Finnis (1980), Natural Law and Natural Rights (Oxford: Clarendon Press).
  • William Fisher, Morton Horovitz, and Thomas Reed, eds. (1993), American Legal Realism (New York: Oxford University Press).
  • Jerome Frank (1930), Law and the Modern Mind (New York: Brentano’s Publishing).
  • Lon L. Fuller (1964), The Morality of Law (New Haven, CT: Yale University Press).
  • Lon L. Fuller (1958), “Positivism and Fidelity to Law,” Harvard Law Review, vol. 71, no. 4, pp. 630-672 .
  • Klaus Füßer (1996), “Farewell to ‘Legal Positivism’: The Separation Thesis Unravelling,” in Robert P. George, The Autonomy of Law: Essays on Legal Positivism (Oxford: Clarendon Press), pp. 119-162.
  • John Chipman Gray (1921), The Nature and Source of Law (New York: Macmillan).
  • Kent Greenawalt (1987), Conflicts of Law and Morality (Oxford: Clarendon Press).
  • H.L.A. Hart (1994), The Concept of Law, 2nd Edition (Oxford: Oxford University Press).
  • H.L.A. Hart (1983), Essays in Jurisprudence and Philosophy (Oxford: Clarendon Press).
  • H.L.A. Hart (1963), Law, Liberty and Morality (Oxford: Oxford University Press).
  • Kenneth Einar Himma (1998), “Positivism, Naturalism, and the Obligation to Obey Law,” Southern Journal of Philosophy, vol. 36, no. 2, pp. 145-161.
  • Oliver Wendall Holmes (1898), “The Path of the Law,” Harvard Law Review, vol. 110, no. 5, pp. 991-1009 .
  • Brian Leiter (1998), “Naturalism and Naturalized Jurisprudence,” in Brian Bix (ed.), Analyzing Law: New Essays in Legal Theory (Oxford: Clarendon Press).
  • Brian Leiter, “Legal Realism,” in Dennis M. Patterson, ed. (1996), A Companion to Philosophy of Law and Legal Theory (Oxford: Blackwell Publishers).
  • John Stuart Mill (1906), On Liberty (New York: Alfred A. Knopf).
  • Michael Moore (1992), “Law as a Functional Kind,” in Robert P. George (ed.), Natural Law Theories: Contemporary Essays (Oxford: Clarendon Press).
  • Michael Moore, “The Moral Worth of Retribution,” in Ferdinand Schoeman, ed. (1987), Responsibility, Character, and the Emotions (Cambridge: Cambridge University Press).
  • Richard Posner (1992), Economic Analysis of Law, 4th Edition (Boston: Little, Brown, and Company).
  • John Rawls (1964), “Legal Obligation and the Duty of Fair Play,” in Sidney Hook (ed.), Law and Philosophy (New York: New York University Press), pp. 3-18.
  • Joseph Raz (1979), The Authority of Law: Essays on Law and Morality (Oxford: Clarendon Press).
  • Joseph Raz (1980), The Concept of a Legal System: An Introduction to the Theory of Legal Systems, Second Edition (Oxford: Clarendon Press).
  • Roger Shiner (1992), Norm and Nature (Oxford: Clarendon Press).
  • M.B.E. Smith (1973), “Do We have a Prima Facie Obligation to Obey the Law,” 82 Yale Law Journal 950-976.
  • Patricia Smith, ed. (1993), Feminist Jurisprudence (Oxford: Oxford University Press).
  • C.L. Ten (1987), Crime, Guilt, and Punishment (Oxford: Oxford University Press).
  • W.J. Waluchow (1994), Inclusive Legal Positivism (Oxford: Clarendon Press).

Author Information

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

Naturalism

Naturalism is an approach to philosophical problems that interprets them as tractable through the methods of the empirical sciences or at least, without a distinctively a priori project of theorizing. For much of the history of philosophy it has been widely held that philosophy involved a distinctive method, and could achieve knowledge distinct from that attained by the special sciences. Thus, metaphysics and epistemology have often jointly occupied a position of “first philosophy,” laying the necessary grounds for the understanding of reality and the justification of knowledge claims. Naturalism rejects philosophy’s claim to that special status. Whether in epistemology, ethics, philosophy of mind, philosophy of language, or other areas, naturalism seeks to show that philosophical problems as traditionally conceived are ill-formulated and can be solved or displaced by appropriately naturalistic methods. Naturalism often assigns a key role to the methods and results of the empirical sciences, and sometimes aspires to reductionism and physicalism. However, there are many versions of naturalism and some are explicitly non-scientistic. What they share is a repudiation of the view of philosophy as exclusively a priori theorizing concerned with a distinctively philosophical set of questions.

Naturalistic thinking has a long history, but it has been especially prominent since the last decades of the twentieth century, and its influence is felt all across philosophy. This article looks at why and in what ways it is prominent and describes some of the most influential versions of naturalism.

Table of Contents

  1. Introduction
  2. Basic Elements of Naturalism Concerning Reality and Knowledge
    1. What There Is
    2. How We Know
  3. Naturalism in Various Versions and Various Contexts
    1. Naturalism in Ethics
    2. Naturalism in the Philosophy of Mind
  4. Overview of the Debate About Naturalism
    1. Conclusion
  5. References and Further Reading

1. Introduction

“Naturalism” is a term that is applied to many doctrines and positions in philosophy, and in fact, just how it is to be defined is itself a matter of philosophical debate. Still, the overall landscape of naturalism can be surveyed, and that is what we will do here. This discussion will not present a defense or critique of one or another specific version of naturalism. Its aim is to characterize the broad range of views typically identified as naturalistic and to say something about what motivates them. It will also locate the debate about naturalism in the larger setting of philosophical inquiry and theorizing overall.

Different periods in the history of philosophy exhibit different emphases in what are the most prominent and pressing concerns, and there are reasons why different issues are at the forefront at different times. In antiquity, basic questions about the constitution of reality motivated various conceptions about the material substance of things, about whether that substance is material, and about the relation between matter and whatever else might be constitutive of reality. Views ranged from variants of (recognizably naturalistic) materialism to those that included decidedly non-materialist and non-naturalist elements, such as Platonism and Aristotelianism. During the Medieval Period, debates over the status of universals and the nature of the intellect, the will, and the soul were especially central. In large part, this had to do with their significance for issues in natural theology. Also, questions concerning the relation between soul and body and whether and how the soul survives the death of the body were prominent. This was because of their significance for the individuation of persons, the possibility and nature of immortality, and for the nature of providence. These families of issues were prominent in all three of the great Western religious traditions. They are though, enduring philosophical questions. Many of them have roots in the Classical tradition.

In the Early Modern Period debates about the respective roles of reason and the senses in knowledge were especially prominent. They had long been important, but there was a revived interest in skepticism and the possibility of knowledge. Also, debates concerning determinism and free will attained high visibility. In both cases, the explanation had to do, in part, with the impact of dramatic developments in scientific theorizing. Those developments led to large-scale revisions in the conceptions of many things, including human nature and human action. In the twentieth century a focus on questions of meaning and semantic issues played a role in many different philosophical movements (from logical positivism to ordinary language philosophy). It was widely thought that linguistic approaches might untie some age-old philosophical knots.

The main problems of philosophy have not really changed over time, but there are differences in what motivates certain formulations of them and ways of addressing them. Since the Early Modern Period, the methods and the results of the sciences are again playing an increasingly important role in motivating new philosophical conceptions, and indeed, overall conceptions of philosophy itself. Various versions and defenses of naturalism are currently at the center of many philosophical debates. Naturalism is a philosophical view, but one according to which philosophy is not a distinct mode of inquiry with its own problems and its own special body of (possible) knowledge. According to many naturalists, philosophy is a certain sort of reflective attention to the sciences and it is continuous with them. They maintain that this is so not only in the sense that philosophy’s problems are motivated by the sciences, but also in that its methods are not fundamentally distinct. It might be said that the sciences afford us a more systematic, rigorous, and explanatory conception of the world than is supplied by common sense. In turn, we might say that philosophy is motivated by, and remains connected to the scientific conception of the world. There may be ways in which the scientific conception dramatically departs from common sense, but it is rooted in experience and the questions that arise at the level of common sense. Similarly, according to many defenders of naturalism, philosophy is not discontinuous with science. While it attains a kind of generality of conceptions and explanations that is perhaps not attained by the special sciences, it is not an essentially different inquiry. There are no separate philosophical problems that need to be addressed in a distinctive manner. Moreover, philosophy does not yield results that are different in content and kind from what could be attained by the sciences. Thus, in being a view about the world, naturalism is also a view about the nature of philosophy.

It is worthy of remark that while the sources of naturalism go back a very long way in Western philosophy, it has been especially prominent in philosophy in America. The pragmatist tradition, in which philosophers such as C. S. Peirce, William James, John Dewey, W. V. O. Quine, and Richard Rorty are key figures, has been crucial to the development of recent and contemporary naturalism. (There are other key figures in the American pragmatist tradition less clearly associated with its naturalist dimension. In recent years Nelson Goodman [1978; 1979] and Hilary Putnam [1981] are examples.) There is a naturalistic cast to a great deal of pragmatist thought in a number of respects. It regards the general skeptical problem in epistemology as less than genuine. (We will see the significance of this below.) It closely ties meaning to experiential consequences, and it closely ties truth to methods of inquiry and the practical consequences of belief. Also, it often emphasizes the public or social and non-a priori character of inquiry (in contrast to the ego-situated method described by René Descartes, for example). It is anti-foundational, anti-skeptical, and fallibilist. It tends to put a great deal of weight on the accessibility to scientific resolution of genuine intellectual problems. In the American pragmatist tradition there is a wide spectrum of views, of course. But it is an outstanding example of a significant, modern, and still evolving tradition with significant naturalistic currents running in it. Peirce and other American pragmatists have influenced a great deal of recent philosophy of many types. As a result, they are beginning to be more thoroughly studied, after having been widely neglected for several decades.

At numerous places in this discussion we will see that the affirmation of science as the only genuine approach to acquiring knowledge is often a feature of naturalism. However, naturalism is not always narrowly scientistic. There are versions of naturalism that repudiate supernaturalism and various types of a priori theorizing without exclusively championing the natural sciences.

2. Basic Elements of Naturalism Concerning Reality and Knowledge

The debate about naturalism ranges across many areas of philosophy, including metaphysics, epistemology, ethics, and philosophy of mind, just to mention areas where it is especially prominent. There are two basic dimensions in which the debate takes place. One of them concerns (to put it simply) what there is, and the other concerns methods of acquiring belief and knowledge. There are several affiliated issues (supervenience, objectivity, various realism/antirealism debates, the character of norms of epistemic justification, the theory of meaning, and so forth) but they are all connected through those two main concerns.

a. What There Is

With respect to the first, the naturalist maintains that all of what there is belongs to the natural world. Obviously, a great deal turns on how nature is understood. But the key point is that an accurate, adequate conception of the world does not (according to the naturalist) include reference to supernatural entities or agencies. According to the naturalist, there are no Platonic forms, Cartesian mental substances, Kantian noumena, or any other agents, powers, or entities that do not (in some broad sense) belong to nature. As a very loose characterization, it may suffice to say that nature is the order of things accessible to us through observation and the methods of the empirical sciences. If some other method, such as a priori theorizing, is needed to have access to the alleged entity or to the truth in question, then it is not a real entity or a genuine truth. According to the naturalist, there is only the natural order. If something is postulated or claimed to exist, but is not described in the vocabulary that describes natural phenomena, and not studied by the inquiries that study natural phenomena, it is not something we should recognize as real.

Unsurprisingly, the success of the sciences has been one of the main motivations for thinkers to embrace naturalism. The sciences have proved to be powerful tools for making the world intelligible. They seem to have such a strong claim to yield genuine knowledge that it is widely thought that whatever there is, is a proper object of science. That does not require that in embracing naturalism one also embrace determinism, physicalism, and reductionism. (However, it is true that many advocates of some or all of those are also very often naturalists.) While those specific theses about the structure or character of the world are not essential features of naturalism, many who endorse naturalism believe that over time scientific progress will make the case for physicalism, in particular. Even if, for example, attempts to provide fully reductive accounts of mental phenomena, certain biological phenomena, and values do not succeed, that would not be an insurmountable impediment to physicalism; or, at least that is the view of some defenders of naturalism. There is only the physical natural order, even if there are various constituents and aspects of it that are to be described in their own non-reducible vocabularies.

Naturalism could be said to involve a denial that there is any distinctively metaphysical area of inquiry. Thus, even if one’s preferred interpretation of naturalism is not reductionist or even physicalist (in a non-reductionist form), naturalism is a conception of reality as homogeneous in the sense that there is one natural order that comprises all of reality. There are no objects or properties that can only be identified or comprehended by metaphysical theorizing or non-empirical understanding. What exactly is the true theory of that single natural order may remain open to dispute. The key points are that our conception of reality need include nothing that is exclusively accessible to a priori theorizing, or to “first philosophy,” and there is only one natural order.

b. How We Know

For naturalistic epistemology, the main claim is roughly the following: the acquisition of belief and knowledge is a (broadly) causal process within the natural order, and a priori norms, principles, and methods are not essential to the acquisition or justification of beliefs and knowledge. Compare David Hume and Descartes, for example. Hume explains our acceptance of beliefs on the basis of habits of association—causal tendencies that we can reflectively articulate into rules of epistemic practice. There are processes of belief acquisition and acceptance, but they are not underwritten by principles formulated a priori, nor are they structured by such principles. Epistemology is part of the overall science of human nature. It is not a project that is prior to or independent of the empirical sciences. There are norms of belief acceptance and of inquiry, but they are derived from consideration of experience and practice. (Here too, there is also an important point of contrast with Kant and also with the Platonic theory of knowledge as recollection of innate ideas, as well as with Descartes.)

Descartes held that the norms and method of belief acceptance must be independent of experience, and must have their grounds in reason alone. Otherwise, they would be vulnerable to exactly the sorts of skeptical objections that led to the search for epistemic principles in the first place. Even if one does not defend rationalism or a conception of the synthetic a priori, one might still think (as most philosophers have) that there are certain distinctively philosophical epistemological issues that can be dealt with only by distinctively philosophical (that is, a priori) methods. Hume and Descartes’ positions are rather like bookends, and there are many other, less “pure” or radical positions, in between theirs. But they are excellent examples of a causal-empirical approach on the one hand and a rationalist-a priori normative approach on the other.

There is a vast contemporary literature on the extent to which epistemology can be naturalized and what a naturalized epistemology would or should look like. At the core of the controversy is whether we need a philosophical theory in order to understand knowledge or epistemic justification, or is the so-called “problem of knowledge” really just another (broadly) empirical problem. If it is, then perhaps it can be addressed by the methods of the sciences (psychology, linguistics, neuroscience, cognitive science, etc.). This is not just the same as the debate between rationalists and empiricists, though it is related to it. It is open to an empiricist to argue that there are analytic truths that are known just by consideration of their meanings, and that this knowledge is not explicable in exclusively naturalistic terms. Similarly, if there are conceptual truths or logical truths that are not explicated in naturalistic terms, then that could be an important part of an empiricism that is not also a variant of naturalism. Still, there are some affinities between empiricism and naturalism that make them plausible candidates for having close relations.

Most epistemological theories are not as purely rationalistic as Descartes’. Also, though Kant’s influence has been enormous, there are few contemporary theorists who accept the conception of synthetic a priori knowledge on the basis of Kant’s transcendental idealism. Nonetheless, many epistemologists argue that fundamental issues concerning skepticism and the nature of epistemic justification cannot be successfully handled by the resources of naturalism. Or, they argue that they can only be handled in a question begging way by those resources. On the other hand, naturalists insist that there is nothing for a priori epistemology to be. Unless epistemology remains fully grounded in and tethered to the practices of scientific inquiry and the results they yield, it is cut off from the only sorts of evidence and strategies of explanation that can be conclusively vindicated or confirmed.

Recent decades have seen the development of not only different versions of naturalized epistemology, but also different overall approaches to it. One of the key distinctions is between what are sometimes called “replacement” theories and theories that develop naturalistic accounts of epistemic justification instead of repudiating the traditional epistemological project. The former are attempts to abandon the normative issue of epistemic justification. They substitute for it a more fully descriptive and causal account of our beliefs.

For example, at some points in his career, Quine openly rejected the traditional project of justification (at least as he construed it). He sought to fully assimilate epistemology to psychology (broadly construed), making it a part of empirical science, rather than a special inquiry that might underwrite scientific knowledge claims. He held that we should abandon (as hopeless) the project of identifying epistemically privileged foundational beliefs and inferring other beliefs from them, via a priori rules. Moreover, there is no clean break between supposed analytic truths on the one hand and synthetic truths on the other, and there is no realm of meanings distinct from linguistic behavior and the rest of behavior that it is embedded in. The philosophical distinction between truths of meaning and truths of fact does not reflect a genuine, explanatorily significant distinction. Like the entire project of a priori epistemology, it is a misrepresentation of what the actual problems of knowledge are. Also, while Hume had shown that there is no a priori justification of inductive inference, Quine maintained that that does not leave us with a profound skeptical difficulty. Rather, we are to examine and adjust our inductive practices in light of what we find to be empirically effective and supported without first (or ever) requiring that they be justified on non-empirical grounds. There is no “first philosophy” that underwrites science.

Other defenders of naturalistic epistemology, such as Alvin Goldman (1979; 1986), have developed causal accounts of justified beliefs or of knowledge, but still regard the philosophical project of epistemology as a genuine project, though it is to be carried out with naturalistic resources. We still are to speak in terms of beliefs being justified. In that respect there are versions of naturalism that continue to regard epistemology as involving normative considerations about belief and knowledge. Also, if we ascertain what is involved in beliefs being caused by reliable processes, we can deflect or defeat various general skeptical challenges. Those can be taken seriously, but naturalism can meet them. In meeting them, we will have attained substantive conditions of justification, but without requiring that they be accessible to a cognitive agent in order to be fulfilled. The causality of justified beliefs is one thing; whether an agent can articulate grounds for his beliefs is another. Justification can be explicated in non-epistemic terms, in terms of processes that are reliably truth-conducive. The problems of epistemology admit of naturalistic solutions, but need not repudiate the problems as unwelcome and less than genuine philosophical artifice.

Both the more and the less radical approaches share the central claim that the correct account of knowledge is in terms of reliable processes of belief-acquisition that are themselves explicated in empirical, and mainly causal, terms. The true beliefs of cognitive subjects, we might say, are one type of phenomenon that occurs in the natural world. We need not leave the latter in order to explain the former. There is no stand-alone problem of epistemic justification, requiring its own distinctive vocabulary and evidential considerations. Epistemic value, we might say, can be interpreted in terms of naturalistic facts and properties.

3. Naturalism in Various Versions and Various Contexts

On the basis of the discussion so far, it might appear that naturalism is more or less a type of scientism, the view that only the methods of the sciences are legitimate in seeking knowledge, and that only the things recognized by the sciences as real are real. There are indeed naturalists who hold that view, but it is not a necessary feature of naturalism. As noted at the outset, there is considerable debate over what sorts of views should be recognized as naturalistic. There are theorists who wish to identify their views and approaches as naturalistic without embracing reductionist physicalism. There are also some approaches that can plausibly be described as naturalistic that are quite self-consciously anti-scientistic. In particular, there are philosophers who have been influenced by the later work of Ludwig Wittgenstein (1953) who regard their general approach as naturalistic, though it is just as critical of scientism as it is of traditional metaphysics.

This is not to say that Wittgenstein was deliberately making a case for naturalism. Rather, because of his emphasis on the importance of looking at actual practice, the significance of the wider social context of practices, and the avoidance of a priori theorizing, his work can be seen as having features of naturalism. Like G. E. Moore before him, Wittgenstein argued that the refutation of skeptical hypotheses is not required in order to succeed in making knowledge claims, and that we have knowledge of the external world without first proving that such knowledge is possible. Moreover, Wittgenstein rejected the view that there is some single, global method (including the scientific method) for arriving at a true account of the world, and his approach is explicitly oriented to honoring the differences between contexts. This is evident in his discussion of language games, for example. His philosophical explorations are anti-reductionist. They disavow any attempt to capture and explain everything in the terms of some overall theory within one or another special science. He vigorously opposed the attempt to force phenomena to “fit” some preferred theory or vocabulary. Indeed, in some important ways, his work is anti-theoretical without being anti-philosophical. (The same might be said of Thomas Reid [1785] in the eighteenth century. It is also plausible to regard his views as naturalistic in important respects. One can see this especially in contrast to Kant, for example.)

If it is appropriate to describe this approach as naturalistic it is because of the ways in which Wittgenstein insisted that philosophical examination should look closely at the facts and should avoid theorizing about them in ways that lead to a large scale reconceiving of them or to postulation of entities, agencies, and processes. Very often the truth is disclosed by looking carefully, rather than by discovering something “behind” or distinct from what we encounter in experience. There is not some order of the “really real” or a transcendent order beyond what we meet with in the natural world. Yet, this does not mean that only a narrowly scientific understanding of it is a correct understanding. That sort of view itself would be an example of an overly restrictive approach that misrepresents the world and our understanding of it.

In addition, Wittgenstein was especially concerned to understand normative issues (such as the normativity involved in the use of concepts and in engaging in various practices) without explaining them away or reducing them to something non-normative. There are important normative issues even in contexts where we are not directly investigating questions concerning values. All sorts of practices, including various kinds of thinking and the use of language, have normative dimensions. Their normativity cannot be reduced to the occurrence of this or that event, or state, or causal process. For example, there may be no specific physical or psychological state or process that underlies or causally explains how a person is able to go on applying a concept to new cases, and to use a term in indefinitely many new situations, and to do so correctly in ways that are understood by others. That might mean that there is an irreducible normativity involved in the use of concepts and terms. There is nothing metaphysically exotic about that. It does not indicate that there are special normative entities or properties in addition to the practices and activities in question. There just is the normative, but natural activity of speaking, understanding, and making judgments. These are altogether familiar to all of us. If we want to understand what makes for the correct use of a term, for example, we should look at the way that it is used rather than look for some other fact or entity underlying its use. There is no special realm of meanings, or a thinking substance that grasps them, or a world of universals outside of space and time that is grasped by thought. (It is noteworthy that Plato understood the forms to be not only real, but normative realities.)

Many approaches to meaning, to the explication of inference and thought in general, and to the acquisition of concepts that have been influenced by Wittgenstein (see Wittgenstein on meaning), are naturalistic in an anti-metaphysical regard and in their close descriptive attention to the actual facts and natural and social contexts of the phenomena at issue. Traditional, central, philosophical debates, such as those between realism and nominalism in regard to universals, are purportedly deflated by Wittgensteinian approaches. That makes it plausible to regard them as naturalistic in at least a broad sense, though there is a very wide spectrum of Wittgenstein-influenced views and of Wittgenstein interpretation. Many different “-isms” can be interpretively connected to Wittgenstein’s work. Some Wittgensteinians and interpreters of Wittgenstein seem to support antirealism and nominalism. Others present views plausibly described as realist, but in a distinctively Wittgensteinian way. The range of Wittgenstein-influenced views is so wide, in large part, because he refused to be drawn into the use of many of the prevailing formulations of issues.

Wittgensteinian approaches have been very influential in the philosophy of social explanation, an area in which there has long been a debate about whether the methods of the natural sciences are appropriate to the kinds of phenomena it is claimed are uniquely encountered in social explanation. This is a place where we can see the breadth of the field of interpretation of naturalism. In one sense, Wittgensteinian approaches are naturalistic, in the ways described. At the same time, they are decidedly not naturalistic, if by “naturalism” we mean that the categories, concepts, and methods of the natural sciences are the only ones that are needed to explain whatever there is.

There are some affinities between Wittgenstein and some currents in American pragmatism with respect to the emphasis on the importance of the shared, public world for understanding language and the significance of practices. In particular, recent work by Richard Rorty (1979; 1982) has been important in drawing attention to that tradition and reinvigorating pragmatism in a post-Wittgensteinian context. His views and others like them have also attracted a great deal of criticism, reinvigorating debates about the interpretation and plausibility of naturalism. At the center of the debate is the issue of whether there are enduring philosophical problems about the nature of reality, and truth, and about value, for example, or just the more concrete, contingent, but still significant problems that individuals and societies encounter in the business of living.

As might be expected, many naturalistic thinkers feel discomfort at being grouped with Wittgenstein under the same heading. They regard his approach as unscientific and as much more permissive in regard to interpretation than more empirically fastidious approaches can accept. Still, it is plausible to regard at least some of Wittgenstein’s views as naturalistic even though they constitute a version of naturalism that differs from others in important respects.

a. Naturalism in Ethics

Ethics is a context in which there are important non-scientistic versions of naturalism. For example, there are respects in which neo-Aristotelian virtue ethics can be regarded as naturalistic. It does not involve a non-natural source or realm of moral value, as does Kant’s ethical theory, or Plato’s or Moore’s. For Aristotle, judgments of what are goods for a human being are based upon considerations about human capacities, propensities, and the conditions for successful human activity of various kinds. Thus, while it is not a scientistic conception of human agency or moral value, it also contrasts clearly with many clearly non-naturalistic conceptions of agency and moral value. Central to the view are the notions that there are goods proper to human nature and that the virtues are excellent states of character enabling an agent to act well and realize those goods. This can be construed as naturalism in that many defenders of the view, especially recent ones, have argued that familiar versions of the so-called “fact-value distinction” are seriously mistaken. Correlatively, they have argued that the distinction between descriptive meaning and evaluative meaning is mistaken. Their view is that various types of factual considerations have ethical significance—not as a non-natural supervening property, and not merely expressively or projectively. The agent with virtues is able to acknowledge and appreciate the ethical significance of factual considerations, and act upon them accordingly.

While it is apt to call this “naturalism,” it is quite different from some paradigmatic examples of moral naturalism, such as the hedonistic utilitarianism of John Stuart Mill. Mill attempted to explain moral value in non-moral (naturalistic) terms—in terms of what people desire for its own sake and what they find pleasing. He sought to do this without any non-empirical assumptions or commitments about what people should desire, or what are proper goods for human beings. (He tried to make distinctions between inferior and superior pleasures on an empirical basis independent of antecedent normative commitments.) This is an attempt to demystify moral value by showing that it can be explained (even if not outright defined) in terms of facts and properties that are themselves non-moral and accessible to observation and the methods of the sciences. Other theorists, whether or not they accept Mill’s conception of what in fact has moral value, have pursued the project of theorizing in the same general direction in so far as they wish to show that moral values can be understood in terms of natural (including social) facts and properties.

In some respects, this is analogous to showing how, say, biological phenomena are explicable in physico-chemical terms. There are theories of moral value according to which it is constituted by, supervenes upon, or is defined in terms of non-moral, natural facts and properties. (Each is a different account of the relation between the moral and the non-moral. They are not simply different ways of saying the same thing.) This does not turn moral thought into a department of natural science, but it does mean that the explanation of what moral thought is about may very well depend extensively upon scientific methods. There may be regular and even law-like relations between non-moral facts and properties on the one hand, and moral facts and properties on the other. It may be that moral concepts are not entailed by or reducible to non-moral ones, but moral values have no independent ontological standing and are not essentially different in kind from natural phenomena in the way that Moore, for example, understood them to be. At the same time, moral values are real, and there are moral facts. The evaluative meaning of moral judgments is not merely expressive (see non-cognitivism in ethics). Moral judgments report moral facts, and moral claims are literally true or false. There are numerous versions of naturalistic moral realism.

There are other versions of ethical naturalism that owe much more to Hume and make the case for antirealism rather than realism. It was central to Hume’s moral theory that there are no value-entities or special faculties for perceiving or knowing them. According to Hume, moral value and moral motivation are to be explained in terms of facts about human sensibility. In this type of view, moral judgments are to be interpreted projectively, but they are also to be regarded as having all the form and force of cognitive discourse. On the one hand, commitment to objective values (with all of their alleged metaphysical and epistemological difficulties) is avoided. On the other hand, there is ample scope for moral argument, for critical assessment of moral views, and for regarding moral language as having much richer meaning than just being emotive in a person-relative way. The learning of moral concepts, the practice of reason-giving, and the adjustment of moral beliefs that we take to be part of moral experience and practice really are parts of it, though their genuineness does not depend upon there being moral facts or objective values. All that is needed is a common human sensibility and our propensity to make action-guiding judgments. To defenders of this approach, naturalism is not a way of explaining away moral values, or translating moral language into non-moral language. Instead it is the project of explaining all that moral values can be, in terms of sensibility, and showing how that is sufficient for full-fledged morality. It may be instructive to interpret this account of moral thought and discourse as analogous to Hume’s treatment of causal thought and discourse. There too, he severely criticized realist interpretations, but he also sought to show that his account could preserve the significance and the form of causal claims and causal reasoning. In that regard, the Humean approach can be said to explain moral judgments and causal judgments, rather than explaining them away.

Some Humean-influenced views of morality put weight on the role of evolutionary explanations. They can be important to the story of how there came to be creatures with morally relevant sentiments and moral concern, and also why certain kinds of cooperative and coordinated behavior—certain types of moral behavior—well-serve us as a species, and are regarded by us as valuable. That does not mean that we are “naturally” moral, but that naturalistic explanations are central to the account of the possibility and character of morality. The Humean-influenced approach (of which there are many variants) to meta-ethics is not reductive naturalism, but it certainly seems to count as a type of naturalism. And, as we have noted, special argumentation is needed to show why naturalism would have to be reductive.

There are also versions of evolutionary ethics that are not much influenced by Hume. Ethical theories strongly influenced by evolutionary thinking but without ties to Hume’s philosophy were developed in the latter half of the nineteenth century and the first half of the twentieth. Some were crude variants of Social Darwinism, but others were sophisticated attempts to show the naturalistic origin and ground of ethical value and practice. (Thomas Henry Huxley [1893] is a good example of a subtle, sophisticated nineteenth century exponent of the role of evolution in ethics.) In recent decades there have been important developments in this tradition, incorporating knowledge of genetics and animal behavior and its physiological bases.

In general terms, evolutionary ethics attempts to show that the attitudes, motives, and practices that are part and parcel of ethical life are to be accounted for in terms of how they are adaptive. Virtues, vices, moral rules and principles, and so forth do not have an independent standing, or a basis in a priori reasoning. Moral values are not detected by a quasi-perceptual moral sense or by a faculty of intuition. This does not mean that morally significant behavior is robotic or uninfluenced by judgment and reasoning. Rather, the point is that needs are met by certain dispositions, susceptibilities, and behaviors, and the presence of those things themselves is explicable in terms of selective advantage in the struggle for existence. Altruism and various patterns of coordinated behaviors are explained in terms of the biological benefits they confer. They enhance fitness. That there is morality and concern for moral issues at all are facts that can be accounted for in terms of an account of how we came to be, and came to be the sorts of animals we are in a process of natural selection. Defenders of this view argue that only if one thinks morality must have its source in God or reason would one find this threatening to morality. It does not subvert virtue, or render moral motivation something base or no more than an animal function, like digestion or excretion. Morality is a no less real or significant part of our lives, but it is in our lives at all, in the ways that it is, because of our evolutionary history. We need not look elsewhere.

b. Naturalism in the Philosophy of Mind

The philosophy of mind is another area in which naturalistic views have been prominent and highly controversial in recent times. Many theorists hold that the categories, concepts, and vocabulary needed to explain consciousness, experience, thought, and language are those of the natural sciences (and perhaps some of the social sciences, understood naturalistically). The impetus for this view comes from a number of directions, including developments in biological sciences, linguistics, artificial intelligence, and cognitive science. To many theorists it seems increasingly clear, or at least plausible, that the mind is as fully a part of nature as anything else. They hold that while the properties and processes of mental life may have distinctive features, (which, admittedly, may be especially difficult to study and to understand) they are not ultimately inexplicable by the methods of the sciences. The study of them is especially complicated because of the ways in which biochemical, physiological, social, developmental, and many other processes and events interact. But according to the naturalist, the mind is not “outside of nature.” It operates in accordance with principles fundamentally like those that govern other natural phenomena. Here again, the naturalist need not be a reductionist physicalist. The theorist of mind may be a non-reductionist physicalist (taking the view that the mental supervenes on the physical) or not take an explicit stand on physicalism one way or the other. Rather, the naturalist with respect to philosophy of mind may emphasize the claim that the study of the mind does not involve any methods other than those recognized in the various natural sciences. It requires no commitments to the existence of entities and properties other than those recognized in the sciences.

As before, Plato, Descartes, and Kant are excellent examples of non-naturalism concerning the mind. Their theories differ in important ways, but they all share the principle that the mind and its activities are not physical and are not governed by the laws of nature. This is not because of pre-scientific ignorance or lack of sophistication. It is because they found it virtually or literally incoherent that awareness, comprehension, and the activity of thought should just be part of what goes on in the natural order. Many theorists still find that incoherent. They argue that either the object of cognition is something non-natural, such as a state of affairs, or a proposition, or a universal (or a complex of instances of universals), or that cognition itself is something non-natural—or that both are. Thinking, the objects of thought, and the relations between them (which are often necessary relations, but not causally necessary relations) seem to be matters that are not susceptible to being rendered in naturalistic terms. (It may be that the objects of cognition are not exactly the same things as the objects of perception, which are natural objects and also artifacts made by human beings.) Indeed, even apart from disputes focused on naturalism these are some of the persistent, fundamental problems of philosophy of mind, and its relations to epistemology, metaphysics, and philosophy of language.

Modern critics of naturalism often point to (at least) two especially significant problem areas for naturalism. One of them concerns how a naturalistic conception of mind is to handle intentional states—states such as belief, desire, hope, fear, and others that have objects. These are expressed in the form, “X believes that…” or “X hopes that…” and so forth. These are states that are about something. Many mental states are intentional in this way, and this feature of being about something seems to be distinctive of mental states. A state of temperature, or a quantity, or a positive or negative charge, or a valence, or combustion, or the suppression of an immunological response is not about something. These and other states, events, and processes have causes (and effects) but do not have objects. They are not directed at anything in the way that many mental states are. There are difficult questions concerning the nature of intentionality and also the nature and status of the objects of intentional states. Are the latter propositions, or states of affairs, or something else? Many mental states (such as belief) seem to be representational. How is representation to be understood?

A second issue is the following. Is understanding the meaning of a sentence, or the grasp of a mathematical truth, or the grasp of other sorts of necessary truths (as in logic) something that can be exhaustively explained in terms confined to the language of the natural sciences and its referents? In addition to questions about how thought has intentional objects and about the objects of thought, there are questions about the form and structure of thought and whether they are susceptible to naturalistic treatment. Is the necessity of logical validity something that can be completely accounted for in causal-empirical terms? Are relations between concepts supervenient upon, or explicable in terms of, relations between events? Are they resistant to assimilation into natural causal processes, even if they are dependent upon them? (There are analogies here to the issue of epistemic justification and the status of moral values, which too may be dependent upon naturalistic phenomena, though not simply “nothing but” naturalistic phenomena.)

The insistence that the mind is not a separate substance is not sufficient to make for naturalism about the mind. Similarly, insisting that we can only learn language and develop cognitive abilities because of the way we have evolved is not enough to underwrite naturalism. It is not a view only about what is relevant to explain or understand a certain range of phenomena. It is a view about what is sufficient to do so. Substance dualism is very much out of favor, but it is hardly the only alternative to naturalism with regard to the mind. In this context, as in the other contexts, there is a broad range of views, many of them naturalistic, many of them not. It is not as though there is a single, prevailing naturalistic theory of mind. The debate about what naturalism about the mind should look like remains very much open and ongoing.

4. Overview of the Debate About Naturalism

The debate about naturalism remains so very much alive and so complex. Much of it concerns just how narrowly or broadly to construe naturalism and how open it should be to the form and content of what is accepted as belonging to science. What if our best understanding of the sciences indicates that reductionism is at best “local,” confined to certain areas, and there is no single, fundamental level of description in which all scientific truths can be expressed? And what if the interpretation of the “physical” is expanded to include supervenient properties, including mental properties, and moral values? Would that be a defeat for naturalism, or only for certain versions of it? Or, suppose a theorist claimed that philosophy could dispense with a priori theorizing or with attempts to arrive at highly general theories altogether (the theory of knowledge, the theory of morality, the theory of meaning, etc.), say, in the manner of the later Wittgenstein? Would that rejection of “first philosophy” and the search for foundations or essences constitute a kind of naturalism? We can imagine a defender of that approach answering in the affirmative, and other self-avowed naturalists finding that inappropriate and misleading. In their view naturalism requires certain quite specific commitments about what there is and how it can be known or explained.

This does not mean that the debate about naturalism is merely or mainly verbal. There are significant, substantive issues involved. Some of them concern just how naturalism is to be interpreted, and some of them concern the truth of naturalism in one or another area. These are not matters of stipulation, but difficult, complex issues. In trying to resolve them there is considerable traffic back and forth between philosophical theorizing and empirical science. One could, for example, be a naturalist about moral value, but not a “global” naturalist, a naturalist about all things. Moral theorizing has some important relations with epistemology, metaphysics, and philosophy of mind, but one need not tackle all of those issues and relations at once in order to assess the claims of naturalism in one area. Or, at least that appears to be a workable approach. At the same time, part of the appeal of naturalism is its potentially global scope. It has the apparent merit of providing a single, or at least integrated overall account of what there is, and what it is like, and how it works—including the actions, experiences, and thoughts of rational animals.

a. Conclusion

Totalizing views have often had considerable appeal to philosophers. Such views promise to make the world intelligible with a single array of fundamental concepts. They purport to overcome the perplexities attending views in which the world is ultimately heterogeneous, with objects, properties, and processes of fundamentally different kinds, belonging to different categories. Objective idealism such as Hegel’s is one sort of totalizing view, and so is global naturalism, though the two are radically different from each other. Spinoza’s metaphysical theory according to which there is just one substance is another totalizing view, and so is phenomenalism, in its own way. Each is an attempt to produce the widest and most thorough intelligibility by identifying a small number of basic categories and principles through which things can be understood.

It is understandable that a great deal of philosophical theorizing should have a tendency to be reductionist or to seek a “privileged” vocabulary for describing the ultimate constituents of reality or the basic activities or processes that govern it. After all, many philosophers conceive the project of philosophy to include the task of articulating an account of the most general features of reality, knowledge, value, and so forth. In one respect, naturalism resists that tendency, in so far as it rejects the project of a priori theorizing as hopeless, irrelevant, or obsolete. Given the guiding intellectual disposition of naturalism, it seems that it would countenance as real whatever the progress of (empirical) enquiry indicates is required for complete explanations. It would be open to what is found. Rather than fashioning a completely general and abstract conception of reality, it focuses on the substantive explanations and theories that are developed in specific areas of inquiry. According to naturalism, if philosophy becomes detached from those, it is mere theory-building and does not afford us real understanding.

In another respect though, naturalism is a decidedly philosophical approach and an entrant in the grand debate about what is the true global view. As noted above, naturalism is itself a philosophical view, though it claims to be a rejection of a great deal that historically has been distinctive of philosophy. Even if naturalism is articulated in strictly empirical terms, and strives to be scientific, we are still faced with the issue of whether strictly empirical terms are adequate to capture and express all that there is and all we can know. It is not as though naturalism can avoid questions about whether it is itself a true view, and all the associated concerns about how to interpret truth, and what would make it a true view. The issue of whether naturalism is true may be the sort of issue that is not clearly resolvable in exclusively naturalistic terms. At least it seems that the view that it can be, is itself a distinctively philosophical view. Once we begin to explore such questions, we are of course doing philosophy, even if our aim is to make the case for naturalism.

For critiques of naturalism, see the Social Science article.

5. References and Further Reading

This list indicates titles of selected sources and is not an attempt to be exhaustive. It includes some of the most relevant works of thinkers referred to in the article and also some important works by thinkers who are not named in the article.

  • Aristotle. Nicomachean Ethics.
  • Blackburn, Simon (1988). “How To be an Ethical Anti-realist,” Midwest Studies in Philosophy 12, pp. 361-375.
  • Blackburn, Simon (1998). Ruling Passions, Oxford University Press.
  • Churchland, P. M. (1988). Matter and Consciousness, MIT Press.
  • Descartes, René (1641). Meditations on First Philosophy.
  • Dewey, John (1920). Reconstruction in Philosophy, N.Y.: Henry Holt and Company.
  • Dewey, John (1925). Experience and Nature, Chicago: Open Court.
  • Foot, Philippa (2003). Natural Goodness, Oxford University Press.
  • Gibbard, Alan (1990). Wise Choices, Apt Feelings: A Theory of Normative Judgment, Oxford University Press.
  • Goldman, Alvin (1979) “What is Justified Belief?” in George S. Pappas Justification and Knowledge Dordrecht, pp. 1-23.
  • Goldman, Alvin (1986). Epistemology and Cognition, Harvard University Press
  • Goodman, Nelson (1978). Ways of Worldmaking, Hackett Publishing Company.
  • Goodman, Nelson (1979). Fact, Fiction, and Forecast, Harvard University Press.
  • Hume, David (1748). An Enquiry Concerning Human Understanding.
  • Hume, David (1751). An Enquiry Concerning the Principles of Morals.
  • Huxley, Thomas Henry (1893). Evolution and Ethics, Pilot Press.
  • Jackson, Frank (1982). “Epiphenomenal Qualia” The Philosophical Quarterly, Vol. 32, No. 127 April, pp. 127-136.
  • James, William (1907/1979). Pragmatism: A New Name for Some Old Ways of Thinking, Cambridge, MA: Harvard University Press, 1979 (originally published in 1907).
  • Kant, Immanuel (1781/87). Critique of Pure Reason, Werner Pluhar (trans.), Indianapolis: Hackett, 1996. (First edition originally published in 1781, second edition in 1787.)
  • Kant, Immanuel (1783). Prolegomena to Any Future Metaphysics, Gary Hatfield (trans.), New York: Cambridge University Press, 1997 (originally published in1783).
  • Kim, Jaegwon: “What Is ‘Naturalized Epistemology’?” Philosophical Perspectives 2, James E. Tomberlin (ed.), Asascadero, CA: Ridgeview Publishing Co., pp. 381-406.
  • Kornblith, Hilary, ed. (1985). Naturalizing Epistemology, MIT Press.
  • McDowell, John (1995). “Two Sorts of Naturalism” in Virtues and Reasons: Philippa Foot and Moral Theory, Rosalind Hursthouse, Gavin Lawrence, and Warren Quinn (eds.), Oxford: Clarendon Press, pp. 149-79.
  • McDowell, John (1996). Mind and World, Harvard University Press.
  • Mill, John Stuart (1861/1998). Utilitarianism, Roger Crips (ed.), Oxford University Press. (Originally published in 1861).
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Author Information

Jon Jacobs
Email: jojacobs@jjay.cuny.edu
Colgate University
U. S. A.

Feminist Jurisprudence

American feminist jurisprudence is the study of the construction and workings of the law from perspectives which foreground the implications of the law for women and women’s lives. This study includes law as a theoretical enterprise as well its practical and concrete effects in women’s lives. Further, it includes law as an academic discipline, and thus incorporates concerns regarding pedagogy and the influence of teachers. On all these levels, feminist scholars, lawyers, and activists raise questions about the meaning and the impact of law on women’s lives. Feminist jurisprudence seeks to analyze and redress more traditional legal theory and practice. It focuses on the ways in which law has been structured (sometimes unwittingly) that deny the experiences and needs of women. Feminist jurisprudence claims that patriarchy (the system of interconnected relations and institutions that oppress women) infuses the legal system and all its workings, and that this is an unacceptable state of affairs. Consequently, feminist jurisprudence is not politically neutral, but a normative approach, as expressed by philosopher Patricia Smith: “[F]eminist jurisprudence challenges basic legal categories and concepts rather than analyzing them as given. Feminist jurisprudence asks what is implied in traditional categories, distinctions, or concepts and rejects them if they imply the subordination of women. In this sense, feminist jurisprudence is normative and claims that traditional jurisprudence and law are implicitly normative as well” (Smith 1993, p. 10). Feminist jurisprudence sees the workings of law as thoroughly permeated by political and moral judgments about the worth of women and how women should be treated. These judgments are not commensurate with women’s understandings of themselves, nor even with traditional liberal conceptions of (moral and legal) equality and fairness.

Although feminist jurisprudence revolves around a number of questions and features a diversity of focus and approach, two characteristics are central to it. First, because the Anglo-American legal tradition is built on liberalism and its tenets, feminist jurisprudence tends to respond to liberalism in some way. The second characteristic is the goal of bringing the law and its practitioners to recognize that law as currently constructed does not acknowledge or respond to the needs of women, and must be changed. These two features can be seen in the major debates in current feminist jurisprudence, which range from questions of the proper perspective from which to understand the problems of the law, to questions of legal theory and practice.

Table of Contents

  1. Responding to Liberalism: Questions of Perspective
  2. Central Concerns: Questions of Theory and Practice
    1. Equality and Rights
    2. Understanding Harm
    3. The Processes of Adjudication
  3. Trajectories
  4. References and Further Reading

1. Responding to Liberalism: Questions of Perspective

As a critical theory, feminist jurisprudence responds to the current dominant understanding of legal thought, which is usually identified with the liberal Anglo-American tradition. (This tradition is represented by such authors as Hart 1961 and Dworkin 1977, 1986.) Two major branches of this tradition have been legal positivism, on the one hand, and natural law theory on the other. Feminist jurisprudence responds to both these branches of the American legal tradition by raising questions regarding their assumptions about the law, including:

  • that law is properly objective and thus must have recourse to objective rules or understandings at some level
  • that law is properly impartial, especially in that it is not to be tainted by the personal experience of any of its practitioners, particularly judges
  • that equality must function as a formal notion rather than a substantive one, such that in the eyes of the law, difference must be shown to be “relevant” in order to be admissible/visible
  • that law, when working properly, should be certain, and that the goal of lawmaking and legal decision-making is to gain certainty
  • that justice can be understood as a matter of procedures, such that a proper following of procedures can be understood as sufficient to rendering justice.

Each of these assumptions, although contested and debated, has remained a significant feature of the liberal tradition of legal understanding.

Feminist jurisprudence usually frames its responses to traditional legal thought in terms of whether or not the critic is maintaining some commitment to the tradition or some particular feature of it. This split in responses has been formulated in a number of different ways, according to the particular concerns they emphasize. The two formulations found most frequently in American feminist jurisprudence characterize the split either as the reformist/radical debate or as the sameness/difference debate. Within the reformist/radical debate, reformist feminists argue that the liberal tradition offers much that can be shaped to fit feminist hands and should be retained for all that it offers. These feminists approach jurisprudence with an eye to what needs to be changed within the system that already exists. Their work, then, is to gain entry into that system and use its own tools to construct a legal system which prevents the inequities of patriarchy from affecting justice.

Those who see the traditional system as either bankrupt or so problematic that it cannot be reshaped are often referred to as transformist or radical feminists. According to this approach, the corruption of the legal tradition by patriarchy is thought to be too deeply embedded to allow for any significant adjustments to the problems that women face. Feminists using this approach tend to argue that the legal system, either parts or as a whole, must be abandoned. They argue that liberal legal concepts, categories and processes must be rejected, and new ones put in place which can be free from the biases of the current system. Their work, then, is to craft the transformations that are necessary in legal theory and practice and to create a new legal system that can provide a more equitable justice.

Under the sameness/difference debate, the central concern for feminists is to understand the role of difference and how women’s needs must be figured before the law. Sameness feminists argue that to emphasize the differences between men and women is to weaken women’s abilities to gain access to the rights and protections that men have enjoyed. Their concern is that it is women’s difference that has been used to keep women from enjoying a legal status equal to men’s. Consequently, they see difference as a concept that must be de-emphasized. Sameness feminists work to highlight the ways in which women can be seen as the same as men, entitled to the same rights, protections, and privileges.

Difference feminists argue that (at least some of) the differences between men and women, as well as other types of difference such as race, age, and sexual orientation, are significant. These significant differences must be taken into account by the law in order for justice and equity to be achieved. What has been good law for men cannot simply be adopted by women, because women are not in fact the same as men. Women have different needs which require different legal remedies. The law must be made to recognize differences that are relevant to women’s lives, status and possibilities.

The two characterizations of the debate about what perspective is best for understanding the problems of the law do share some features. Those who argue a sameness position are often thought to fit, to some degree, with the reformist view. Difference feminists are seen as sharing much with radicals. The parallel between the two characterizations is that both argue over how much, if any, of the current legal system can and must be preserved and put to use in the service of feminist concerns. The two characterizations are not the same, but the important parallel between them allows for some generalization regarding the ways in which each is likely to respond to particular theoretical and substantive issues. However, while the two may reasonably be grouped for some purposes, they must not be conflated.

From these perspectives, feminist jurisprudence emphasizes two kinds of question: the theoretical and the substantive. These two kinds of question are, perhaps especially for feminists, deeply connected and overlapping. Discussions of central theoretical issues in feminist jurisprudence are punctuated by elaboration of the substantive issues with which they are intertwined.

2. Central Concerns: Questions of Theory and Practice

In asking theoretical questions, feminists are concerned with how to understand the law itself, its proper scope, legitimacy, and meaning. Many of these are the questions of traditional legal theory, but asked in the context of the feminist project: What is the proper moral foundation of the law, especially given that any answer depends on the moral principles of the dominant structure of the society? What is the meaning of rule of law, especially given that obedience to law has been an important part of the history of subjugation? What is the meaning of equality, especially in a world of diversity? What is the meaning of harm, especially in a world in which women, not men, are subjected by men to certain kinds of violence? How can adjudication of conflict be properly and fairly achieved, especially when not all persons are able to come to the adjudication process on a “level playing field”? What is the meaning of property, and how can women avoid being categorized as property? Is law the best and most appropriate channel for the resolution of conflict, especially given its traditional grounding in patriarchal goals and structures?

Although feminists have addressed all these questions and more, perhaps one issue stands out in many feminists’ eyes as a matter of special importance, encompassing as it does some aspect of many of the questions noted above. The issue that for many feminists is at the heart of concerns is that of equality and rights. Two others that may be considered nearly as central are problems of harm, and of the processes of adjudication.

a. Equality and Rights

Law works partly by drawing abstract guiding principles out of the specifics of the cases it adjudicates. On this abstract level, theoretical questions arise for feminist jurisprudence regarding equality and rights, including the following: what understanding of equality will make it possible for women to have control over their lives, in both the private and public spheres? What understanding of equality will provide an adequate grounding for the concept of rights, such that women’s rights can protect both their individual liberty and their identity as women?

In general, the feminist concern with equality involves the claim that equality must be understood not simply as a formal concept that functions rhetorically and legally. Equality must be a substantive concept which can actually make changes in the power structure and the relative power positions of men and women generally. Although equality is examined in a wide variety of specific applications, the major concern is the goal of making equality meaningful in the lives of women. But for many feminists, concerns with equality cannot be addressed without also attending to rights. Because the liberal tradition figures rights as the hallmark of equality, it is in terms of rights that we are expected to see ourselves as equals before the law. Further, rights discourse has structured both our understanding of equality, and our claims to it.

Examinations of equality are, therefore, often framed by particular substantive issues. For example, much feminist jurisprudence regarding equality is framed in terms of concerns about work. If women are equal, then how will this be expressed in workplace law and policy? One of the key issues in this field has been how to treat pregnancy in the workplace: Is it fair for women to have extended or paid leave for pregnancy and birthing? Under what circumstances, or limitations? Are women being given “special” rights if they have a right to such leave? The struggle over the proper understanding of pregnancy and work raises questions about whether women should be treated in such law as individuals or as a class. As individuals, it has seemed relatively easy for workplaces to claim that not all employees are given such leave, and thus that women who do not are being treated “equally”. One feminist strategy has been to attempt to revise such law to recognize the particular difference of women as a class. Herma Hill Kay, for example, argues that pregnancy can be seen as an episode which affects women’s ability to take advantage of opportunities in the workplace, and that pregnant workers must be protected against loss of equal opportunity during episodes of pregnancy. (Kay, 1985)

Concerns over pregnancy express the fundamental questions of the sameness/difference debate. The sameness position suggests difference should be erased to the greatest extent possible, because it has been used as a basis for discrimination. Difference proponents argue that pregnancy involves significant differences which should be seen as a linchpin of legal understanding. Does equality mean that women should wish to be treated exactly the same as men, or does it mean that women should wish to be treated differently, because their differences are such that same treatment cannot provide equity?

Feminists who argue that equality requires creating for women the same opportunities and rights which are currently available to men of the ruling class are bringing the reformist or sameness approach to bear. Approaches to rights and equality which focus on women’s individuality, emphasizing it in the way that law has done for men and requiring women to show that they are like men and thus may be treated like men, tend then to be reformist or sameness oriented. Because these approaches are seen as requiring that women become as much like men as possible, and that law treat women as it does men, they are often referred to as assimilationist.

Christine Littleton (Littleton, 1987) offers a further set of terms for approaches to understanding equality: symmetrical (paralleling reformist and sameness approaches) and asymmetrical (paralleling radical and difference approaches). This classification refers to how women and men are “located in society” with regard to issues, norms and rules. If a theorist sees men and women as sharing a location regarding an issue, then that theorist has a symmetrical approach; if not, then the approach is asymmetrical. Littleton classifies assimilationist approaches as symmetrical, along with what she calls the androgyny approach. The androgyny approach argues that men and women are very much alike, but that equality will require social institutions to pick a “mean” between the two, and apply that standard to all persons. This model is less frequently argued than the assimilation model.

There are also many radical and difference approaches to equality. What they share is the desire to avoid having to take on all that is questionable and/or undesirable about (society’s construction of) men in order to be considered equal before the law. Thus many radical approaches (although not all – MacKinnon, below, is an example of one which is not) emphasize similar questions and problems as difference approaches. How to recognize relevant difference, and what kind of difference law must be responsive to, is a crucial part of these feminist examinations of equality. Ann Scales, for example, argues that liberal/reformist approaches do not do enough to really make the changes that are necessary, because the problem in equality is a problem of understanding how domination works. We must learn to see how equality has formally been tied in to domination through the liberal framework. In her view, a certain kind of inequality needs to be recognized and worked with, rather than ignored or assimilated. (Scales, 1986)

Other difference/radical approaches include the special rights, accommodation, acceptance, and empowerment models. (Littleton, 1987) The special rights model suggests that justice requires our recognizing that equality is too easily understood as “sameness”, where men and women are not the same. Rights should be based on needs, and if women have needs that men do not, that should not limit their rights. The accommodation model asserts that differences which are not fundamental or biologically based should be treated under a symmetrical or assimilation model. But this leaves those differences which are fundamental (such as the ability to be pregnant) as differences which must be recognized in the law and accommodated by it.

Littleton’s own approach is expressed in the acceptance model. This argues that (gender) difference must be accepted, and that law should focus on the consequences of such differences, rather than the differences themselves. Although differences exist between men and women, equality should function to make these differences “costless” relative to each other. Equality should function to prevent women’s being penalized on the basis of their difference. Thus equality should require us to institute paid leave for pregnancy and birthing, and to guarantee women’s return to their jobs after birthing.

Empowerment models reject difference as irrelevant, and shift focus to levels of empowerment. Equality, then, is understood as what balances power for groups and individuals, and dismantles the ability of some to dominate others. This radical and asymmetrical view does not, however, fit well with the categorization of feminist positions in terms of sameness and difference. The empowerment model’s focus on domination and the ways in which power is distributed seems to represent a significant departure from the parallel suggested above. Thus some feminist jurists have suggested that it be understood as a separate approach. Judith Baer calls it simply the domination model of feminist jurisprudence. Catherine MacKinnon is one well-known scholar who holds this view. (MacKinnon, 1987) In her theorizing of pornography, for example, she focuses on the question of how power is used in pornography to maintain a structure of domination which belies the possibility of equality between men and women.

Feminist critiques of rights in general assert that rights have been apportioned based on notions of equality that deliberately exclude the needs of women. If rights are to be truly equal, they must be apportioned on a more equitable basis, informed by the experience of women and others previously excluded. Or, following MacKinnon or Patricia Williams (discussed below), rights must be apportioned based on how they empower those to whom they are granted. Feminist scholars debate the ground for understanding rights while working to create a foundation from which women can claim and exercise rights that will be meaningful in their lives.

b. Understanding Harm

Perhaps the most difficult question for feminist jurisprudence regarding the issue of harm is that of perspective: who defines and identifies harm in specific cases? Given that law has traditionally worked from a patriarchal perspective, it is perhaps not surprising that identifying harm to women has been problematic. A patriarchal system will benefit from a very stingy recognition of harms against women. Feminist jurisprudence, therefore, must examine the basic question, what is harm? It also must ask, what counts as harm in our legal system, and why? What has been excluded from definitions of harm that women need included, and how can such trends be overturned?

Three types of harm-causing actions that are typically and systematically directed against women have formed the background for discussion about what harm means, and what counts as harm: rape, sexual harassment, and battering. Until fairly recently (for example, before the legislative reform movements of the 1970s), some forms of these actions were not considered actionable offenses under the law. This was largely due to the history of understanding women not as independent and autonomous agents, but as property belonging to men (thus issues of the meaning of property are also crucial to understanding harm). Feminist jurisprudence has challenged this state of affairs. As a result, changes have been made in the laws regarding each of the three categories, although the effectiveness of these changes is widely disputed (see, e.g., Schulhofer 1998 for an excellent review of this law). At the very least, work by feminists has made it possible to speak of these harms by providing a vocabulary for them, by raising awareness about them, and by prosecuting them more frequently and with some success.

Discussions of rape attempt to answer many of the questions that apply to all three types of harm-causing actions. Cases of all three types give rise to similar problems that prevent women from being treated justly: blaming the victim; privileging the point of view of “the” agent, i.e., the male perpetrator; indicting the woman’s sexual history while ignoring the man’s history, whether sexual or violent. Underlying all these problems are assumptions about gender and agency which encourage the law to place responsibility for their own harm on women rather than on the men who cause it. Women have been believed to be mentally unstable or at least weak-minded, to be scheming and deceptive, and to have an improper motivation for making claims of harm against men. For these reasons, they tend to be seen as untrustworthy witnesses. Because they have been characterized as sexually insatiable and indiscriminate, they tend to be seen as deserving whatever harm they “provoke” from men. Corresponding assumptions about men’s rational superiority encourage their being seen as believable witnesses. At the same time, assumptions about men’s natural sexual needs are taken as justification for their violations of women. Feminist jurisprudence attempts to respond to these problems as double standards and matters of equality and rights.

Other issues of harm require different responses. Harm-causing actions tend to be defined in terms of external and observable characteristics (levels of force), of intention on the part of the agent (mens rea), and of the consent of the one harmed. Consequently, what is at issue is how law uses these criteria in determining both when harm has occurred and whether it is to be justified or excused. What feminist jurisprudence has found is that women and men frequently differ over the understanding of each of these criteria. But since it is a patriarchal understanding which grounds the law, women’s understandings tend not to be given a proper hearing.

In Susan Estrich’s discussion of rape (Estrich, 1987, 1987a), she claims that the mens rea criterion can be used to create either too much emphasis on the perpetrator’s intention, or too little. In either case, she believes the focus on this criterion makes evident the law’s lack of understanding of and concern for the harms women suffer. The law’s focus is to not wrongly punish men, which is achieved at the cost of not protecting women.

Further, Estrich argues that the force criterion is understood from a patriarchal perspective: force is seen as a matter of what “boys do in schoolyards.” This criterion figures force as a simple matter of the straightforward use of physical strength, or the use of implements of violence. But it ignores the kinds of force that are most frequently used in rape and other types of harm to women, such as psychological coercion. If the courts expect women to resist physical and psychological coercion in the same ways and at the same level that men do, then the courts impose an unreasonable expectation on the “reasonable” woman.

Regarding consent, Estrich explains that the courts have believed that if consent is given, then rape (or other harms) do not occur. This places responsibility on the one who has been harmed to show that she did not, in fact, consent. But patriarchal courts have held that only the strongest and most emphatic expression of non-consent functions as evidence. This means that in many cases, women have been said to have “consented” even though they were physically carried off by men and verbally expressed non-consent (Schulhofer 1998). Non-consent has not been easily proven unless the woman has been severely beaten, or unless a significant weapon (that is, gun or knife) was used, or death was threatened in a way that convinces the court. Thus what non-consent means for the court has been very different from what women themselves have said about (their) consent.

Robin West (West, 1988) argues along similar lines, claiming that women’s social training does not impart the same fundamental values that men’s training does. She theorizes that men value separation and autonomy to the point that they would physically fight, desperately, to maintain theirs. But because women value connection and relation most highly, they find it difficult to respond to physical violence with violence of their own. Violence destroys connection and relationship, which is what women are socialized to value most. This makes it difficult for women to respond to rape, and other harms, in a way which convinces masculine courts that they did not consent. Women’s definition and identification of these harms is very different from what the courts have so far constructed.

It is difficult to separate out some parts of the reformist or sameness and radical or difference approaches with regard to harm. In general, however, those who argue that current laws can be changed to adequately protect women have reformist or sameness views. Those arguing that the current definitions of harm simply cannot be revised sufficiently have radical or difference views. Thus Estrich, who concludes that we need to treat rape as we treat other kinds of crime which require nonconsent (theft, for example) could be considered a reformist view. Mary Lou Fellows and Bev Balos offer a similar analysis of how women’s perception of the harms of date rape can be accommodated in current law. This can be accomplished by the application of the heightened duty of care that exists already in the common law doctrine of confidential relationship. (Fellows and Balos, 1991) West’s argument, based on recognizing and responding to fundamental differences between men and women regarding harm, could be seen as a radical or difference view. MacKinnon’s analysis of sexual harassment, which focuses on the need for women to be empowered to define the harms against them, represents a dominance view on harms.

c. The Processes of Adjudication

Many feminist jurists challenge the processes of adjudication by raising questions about the neutrality or impartiality that such processes are assumed to embody. Neutrality is believed to function in the law in at least two ways. It is assumed to be built into the processes of the law, and it is assumed to be produced by those processes. Feminist jurisprudence challenges the first set of assumptions by raising questions about legal reasoning. It challenges the second by raising questions about how a law created and applied by partial and biased persons can itself be neutral. Thus feminist jurisprudence also raises the question of whether neutrality is a possible, or an appropriate, goal of the law.

As traditionally understood, neutrality in law is supposed to protect us from a number of ills. It protects from personal bias by insisting that judges, attorneys, law enforcement officers, etc., treat us not as people with specific characteristics, but as interchangeable subjects. We should be seen only in terms of certain specific actions and our intentions with regard to those specific actions. Officials are expected not to bring their personal biases to bear on those who come before them, and certain personal aspects of those brought before the law are not permitted to come under scrutiny. For example, if a judge personally believes that women are pathological liars, this is not supposed to influence his or her interpretation of any particular woman’s testimony. Similarly, no person’s race is supposed to influence any judge’s understanding of their case. Feminist jurisprudence challenges such claims to neutrality.

Neutrality in law is supposed to protect against ideological bias as well. It does this by taking a supposedly universal perspective on a case, rather than a particular perspective. This belief that law and its practitioners can see, and judge, from the “view from nowhere” has been criticized by feminist jurisprudence. Feminists claim that such complete objectivity seems not to be fully possible. They also argue that claiming such neutrality deflects attention away from the fact that a partial view – a masculinist view – is being presented as universal. Feminist jurisprudence, like most feminist theory, rejects the claim of law that it is a neutral practice, and instead points to the ways in which law is clearly not neutral.

One of the ways law is not neutral is through the individual people that work in law. Feminist jurisprudence argues that because there is no such thing as the “view from nowhere”, every understanding has a perspective. This perspective influences it, and provides an interpretive field for whatever matters of fact there may be. Since law is made, administered and enforced by people, and people must have a perspective, law must reflect those perspectives at least to some degree. Feminists tend to agree that to the extent that a practice or person is unaware of their own perspective, that perspective will more strongly influence their interpretations of the world. It is when we become aware of biases that we are able, through critical reflection, to reduce their influence and thus move toward a greater (although not a perfect) objectivity.

Another way that law is not neutral is in its content. Because it is made by people, many of whom have not critically examined their own standpoints, the content of law may be unfair or discriminatory. Such content would require officials to act in ways that are not impartial, or not fair. But even if law is written by those whose perspectives are relatively objective, our legislative system often imposes compromises on laws. Some compromises required to pass law may change or weaken its objectives in ways that prevent its functioning as intended. These criticisms show that the content of the law, affected by the contestations of our legislative system, may not be neutral. Further, it shows that the processes of the law do not guarantee the neutrality that they are assumed to do.

Neutrality is also assumed to be built into certain processes of the law, and in particular the processes of judicial reasoning. The traditional model of judicial decision-making relies on case law, which uses precedent and analogy to provide evidence and justification. Interpretation of statutes in prior cases provides precedent or rules. Courts then attempt to determine how the facts of current cases require one rule or another to be brought to bear. This way of making decisions has itself been thought to be neutral, and the formalities of due process that support it are thought to reinforce that neutrality. This feature of law, relying on past judgments to influence current and future ones, also makes it peculiarly resistant to change. For feminist jurisprudence, use of precedent allows the law to insulate itself against the critiques of outsiders, including women.

Use of precedent has been challenged by a feminist and non-feminist critiques, including the pragmatism of Margaret Radin (Radin, 1990) and Jerome Frank’s legal realism (Frank, 1963). Feminist jurisprudence responds to use of precedent by pointing out those areas which are most likely to be subject to sexist understandings. For example, case law that has derived from cases in which plaintiffs and defendants are men will assume that the circumstances for those men are simply the “normal” circumstances. Workplace law has frequently been challenged by feminist critics for this reason. The law assumes, based on cases in which the workplace was populated mainly by men, that everyone who works shares men’s circumstances. This assumption entails that workers are supported by a full-time homemaker, such that the burdens of home life and child rearing should not affect one’s ability to function efficiently in the workplace. But such assumptions work against women, who usually are supporting someone else in this way rather than being supported.

Reform and sameness feminists argue that case law is not a bad system but that reforms are needed to emphasize to the realities of women’s lives. Radical and difference feminists are more likely to argue that case law is itself a system that is too heavily entrenched in patriarchy to be maintained. Its reliance on precedent makes it too conservative a system of decision-making to be adequately brought to the service of feminism.

3. Trajectories

Although it seems that the sameness/difference and the reform/radical debates could create an impasse for feminists, some theorists believe that some combination of the two views can be more effective than either alone. Patricia Williams (Williams, 1991), for example, believes that rights can function as powerful liberatory tools for the traditionally disadvantaged. However, she also believes that in a racist society such as contemporary America, racial difference must be recognized because it creates disadvantage before the law. In this way, she claims that some features of the liberal tradition, like rights, need to be maintained for the liberatory work they can do. However, she argues that the liberal tradition of formal equality is damaging to historically marginalized groups. This aspect of law needs to be completely transformed.

As an example of the ways in which rights are still needed by the traditionally disadvantaged, she examines the relationship to rights that is enjoyed by a white male colleague. His sense of his rights is so entrenched that he sees them as creating distance between himself and others, and believes that rights should be played down. In contrast, Williams expresses her own relationship to rights, being a black woman, as much more tenuous. The history of American slavery, under which black Americans were literally owned by whites, makes it difficult for both blacks and whites to figure blacks as empowered by rights in the same ways that whites are.

This example shows how Williams weaves together important elements of both reform and radical positions, and at the same time includes the element of empowerment that is seen in dominance positions. She claims that for blacks, and for any traditionally disadvantaged group, rights are a significant part of a program of advancement. One’s relationship to rights depends on who one is, and how one is empowered by one’s society and law. For those whose rights are already guaranteed, what may be necessary for social change is to challenge the power of rights rhetoric for one’s group. But for those whose rights have never been secure, this will not look like the best course of action. Williams’ suggestion is that we recognize that rights and rights rhetoric function differently in different settings and for different people. But this, then, is a response which relies on the radical and difference premise that difference must in fact be attended to rather than elided. In order that rights be made effective for historically marginalized people, we must first see that they do not in fact function for all people in the way that they do for those they were created for.

Another approach to drawing the two sides of the debate in feminist jurisprudence together is offered by Judith Baer, whose claim is that feminist jurisprudence to date has failed to either reform or transform law because feminists in both camps have made crucial mistakes. (Baer, 1999) The primary error has been that feminist jurisprudence has tended to misunderstand the tradition it criticizes. Although feminist jurists recognize that the liberal tradition has secured rights for men but not women, they have failed to make explicit the corresponding asymmetry of responsibility. Women are accorded responsibility for themselves and others in ways that men are not. For example, women are expected to be responsible for the lives of children in ways that men are not; as noted above, this has implications in areas like workplace law.

The second major error Baer sees in feminist jurisprudence is that it, along with most feminism, has tended to focus almost exclusively on women. This has drawn feminist attention away from men and the institutions that feminism needs to study, criticize, challenge and change. It has also created a series of debates within feminism that are divisive and draining of feminist energy. Again, the solution is to recognize when reform (sameness) and radical (difference) approaches are effective, and to use each as appropriate. Baer argues that

[f]eminist jurists need not – indeed, we must not – choose between laws that treat men and women the same and laws that treat them differently. We already know that both kinds of law can be sexist. Our gender-neutral law of reproductive rights treats women worse than men, but so did “protective” labor legislation. Conversely, both gender-neutral and gender-specific laws can promote sexual equality. Comparable worth legislation would make women more nearly equal with men. So have affirmative action policies. Women can have it both ways. Law can treat men and women alike where they are alike and differently where they are different. (Baer 1999, 55)

Baer provides critiques of both reform and radical feminist jurisprudence. She concludes that neither alone is sufficient, but that both, applied where appropriate, could be. She argues that the feminist focus on women has encouraged an inability to think on a universal scale. This leaves feminists, and law under feminist jurisprudence, mired in the particularities of individual cases and individual traits. To move out of this mire, she suggests three tasks for feminist jurisprudence:

First, it must do the opposite of what conventional theory and feminist critiques have done: posit rights and question responsibility. Second, it must develop analyses that will separate situations from the people experiencing them, so we can talk about women’s victimization without labeling them as victims. Finally, it must move beyond women and begin scrutinizing men and institutions. (Baer 1999, 68)

Baer does not suggest that feminism, nor feminist jurisprudence, should give up the study of women and women’s situations. Rather, her suggestion is that this study as an exclusive focus is not sufficient for either reform or transformation. Because “women neither create nor sustain their position in society” feminists need to scrutinize those who do. Baer’s suggestion is that what is needed is an account of “what it means to be a human being, a man, or a woman, which makes equality possible.” (Baer 1999, 192) The mistakes that feminist jurisprudence has made have prevented its developing this account, which Baer thinks could be the foundation of what she calls a feminist postliberalism sufficient for feminist jurisprudence.

4. References and Further Reading

  • Baer, Judith A, Our Lives Before the Law: Constructing a Feminist Jurisprudence (Princeton, NJ: Princeton University Press, 1999)
  • Cornell, Drucilla, Beyond Accommodation: Ethical Feminism, Deconstruction and the Law (New York: Routledge, 1990)
  • Dworkin, Andrea, Intercourse, (New York: The Free Press, 1987)
  • Dworkin, Ronald, Law’s Empire (Cambridge: Harvaard University Press, 1986)
  • Dworkin, Ronald, Taking Rights Seriously (Cambridge, MA: Harvard University Press, 1977)
  • Estrich, Susan, “Rape,” 95 Yale Law Journal 1087-1184 (1987)
  • Estrich, Susan, Real Rape (Cambrdige: Harvard University Press, 1987a)
  • Fellows, Mary Louise and Beverly Balos, “Guilty of the Crime of Trust: Nonstranger Rape” 75 Minnesota Law Review 599 (1991)
  • Hart, H.L.A., The Concept of Law, (New York, Oxford University Press, 1961)
  • Jerome, Frank, Law and the Modern Mind (New York: Doubleday and Co., 1963)
  • Kay, Herma Hill, “Equality and Difference: The Case of Pregnancy,” 1 Berkeley Women’s Law Journal 1-37 (1985)
  • Littleton, Christine A., “Reconstructing Sexual Equality,” 75 California Law Review 1279-1337 (1987)
  • MacKinnon, Catherine, Feminism Unmodified: Discourses on Life and Law (Cambridge: Harvard University Press, 1987)
  • Minow, Martha, Making All the Difference: Inclusion, Exclusion and American Law (Ithaca: Cornell University Press, 1991)
  • Radin, Margaret Jane, “The Pragmatist and the Feminist,” 63 Southern California Law Review, 1699 (1990)
  • Scales, Ann C., “The Emergence of Feminist Jurisprudence: An Essay,” 95 Yale Law Journal 1373-1403 (1986)
  • Schulhofer, Stephen J., Unwanted Sex: The Culture of Intimidation and the Failure of Law (Cambridge: Harvard University Press, 1998)
  • Smith, Patricia, ed., Feminist Jurisprudence (New York: Oxford University Press, 1993)
  • Tong, Rosemarie, Women, Sex and the Law (Totowa, NJ: Rowman and Littlefield, 1984)
  • West, Robin, “Jurisprudence and Gender,” 55 University of Chicago Law Review 1 (1988)
  • Williams, Patricia, The Alchemy of Race and Rights (Cambridge: Harvard University Press, 1991)

Author Information

Melissa Burchard
Email: mburchard@unca.edu
University of North Carolina – Asheville
U. S. A.

Animal Minds

This article surveys philosophical issues related to the nature and scope of animal mentality, as well as to our commonsense understanding and scientific knowledge of animal minds. Two general sets of problems have played a prominent role in defining the field and will take center stage in the discussion below: (i) the problems of animal thought and reason, and (ii) the problems of animal consciousness.

The article begins by examining three historically influential views on animal thought and reason. The first is David Hume’s analogical argument for the existence of thought and reason in animals. The second is René Descartes‘ two arguments against animal thought and reason. And the third is Donald Davidson‘s three arguments against ascribing thought and reason to animals.

Next, the article examines contemporary philosophical views on the nature and limits of animal reason by Jonathan Bennett, José Bermúdez, and John Searle, as well as four prominent arguments for the existence of animal thought and reason: (i) the argument from the intentional systems theory by Daniel Dennett, (ii) the argument from common-sense functionalism by Jerry Fodor, Peter Carruthers, and Stephen Stich, (iii) the argument from biological naturalism by John Searle, and (iv) the argument from science by Colin Allen and Marc Bekoff, and José Bermúdez.

The article then turns to the important debate over animal consciousness. Three theories of consciousness—the inner-sense theory, the higher-order thought theory, and the first-order theory—are examined in relation to what they have to say about the possibility and existence of animal consciousness.

The article ends with a brief description of other important issues within the field, such as the nature and existence of animal emotions and propositional knowledge, the status of Lloyd Morgan’s canon and other methodological principles of simplicity used in the science of animal minds, the nature and status of anthropomorphism employed by scientists and lay folk, and the history of the philosophy of animal minds. The field has had a long and distinguished history and has of late seen a revival.

Table of Contents

  1. The Problems of Animal Thought and Reason
    1. Hume’s Argument for Animal Thought and Reason
    2. Descartes’ Two Arguments Against Animal Thought and Reason
      1. The Language-Test Argument
      2. The Action-Test Argument
    3. Davidson’s Arguments Against Animal Thought and Reason
      1. The Intensionality Test
      2. The Argument from Holism
      3. Davidson’s Main Argument
    4. Contemporary Philosophical Arguments on Animal Reason
    5. Contemporary Philosophical Arguments for Animal Thought and Reason
      1. The Intentional Systems Theory Argument
      2. The Argument from Common-Sense Functionalism
      3. The Argument from Biological Naturalism
      4. The Argument from Science
  2. The Problems of Animal Consciousness
    1. Higher-Order Theories of Consciousness
      1. Inner-Sense Theories
      2. Higher-Order Thought Theories
    2. First-Order Theories
  3. Other Issues
  4. References and Further Reading
    1. References
    2. Suggested Further Readings

1. The Problems of Animal Thought and Reason

Given what we know or can safely assume to be true of their behaviors and brains, can animals have thought and reason? The answer depend in large measure on what one takes thought and reason to be, as well as what animals one is considering. Philosophers have held various views about the nature and possession conditions of thought and reason and, as a result, have offered various arguments for and against thought and reason in animals. Below are the most influential of such arguments.

a. Hume’s Argument for Animal Thought and Reason

David Hume (1711-1776) famously proclaimed that “no truth appears to be more evident, than that beast are endow’d with thought and reason as well as men” (1739/1978, p. 176). The type of thought that Hume had in mind here was belief, which he defined as a “lively idea” or “image” caused by (or associated with) a prior sensory experience (1739/1978, p. 94). Reason Hume defined as a mere disposition or instinct to form associations among such ideas on the basis of past experience. In the section of A Treatise of Human Nature entitled, “Of the Reason of Animals,” Hume argued by analogy that since animals behave in ways that closely resemble the behaviors of human beings that we know to be caused by associations among ideas, animals also behave as a result of forming similar associations among ideas in their minds. Given Hume’s definitions of “thought” and “reason,” he took this analogical argument to give “incontestable” proof that animals have thought and reason.

A well-known problem with Hume’s argument is the fact that “belief” does not appear to be definable in terms of vivid ideas presented to consciousness. Beliefs have propositional content, whereas ideas, as Hume understood them, do not (or need not). To have a belief or thought about some object (for example, the color red) always involves representing some fact or proposition about it (for example, that red is the color of blood), but one can entertain an image of something (for example, the color red) without representing any fact or proposition about it. Also, beliefs aim at the truth, they represent states of affairs as being the case, whereas ideas, even vivid ideas, do not. Upon looking down a railway track, for instance, one could close one’s eyes and entertain a vivid idea of the tracks as they appeared a moment ago (that is, as converging in the distance) without thereby believing that the tracks actually converge. And it is further argued, insofar as “belief” fails to be definable in terms of vivid ideas presented to consciousness, “reason” fails to be definable in terms of a disposition to form associations among such ideas; for whatever else reason might be, so the argument goes, it is a surely a relation among beliefs. Finally, and independently of Hume’s definitions of “belief” and “reason,” there is a serious question about how incontestable his analogical proof is, since similar types of behaviors can often be caused by very different types of processes. Toy robotic dogs, computers, and even radios behave in ways that are similar to the ways that human beings behave when we have vivid ideas presented to our consciousness, but few would take this fact alone as incontestable proof that these objects act as a result of vivid ideas presented to their consciousness (Searle 1994).

b. Descartes’ Two Arguments Against Animal Thought and Reason

Equally as famous as Hume’s declaration that animals have thought and reason is René Descartes’ (1596-1650) declaration that they do not. “[A]fter the error of those who deny God, ” Descartes wrote, “there is none that leads weak minds further from the straight path of virtue than that of imagining that the souls of beasts are of the same nature as our own” (1637/1988, p. 46). Descartes gave two independent arguments for his denial of animal thought and reason, which have come to be called his language-test argument and his action-test argument, respectively (Radner & Radner 1989).

i. The Language-Test Argument

Not surprising, Descartes meant something different from Hume by “thought.” In the context of denying it of animals, Descartes appears to take the term to stand for occurrent thought—that is, thoughts that one entertains, brings to mind, or is suddenly struck by (Malcolm 1973). Normal adult human beings, of course, express their occurrent thoughts through their declarative speech; and declarative speech and occurrent thoughts share some important features. Both, for example, have propositional content, both are stimulus independent (that is, thoughts can occur to one, and declarative speech can be produced, quite independently of what is going on in one’s immediate perceptual environment), and both are action independent (that is, thoughts can occur to one, and declarative speech can be produced, that are quite irrelevant to one’s current actions or needs). In light of these commonalities, it is understandable why Descartes took declarative speech to be “the only certain sign of thought hidden in a body” (1649/1970, p. 244-245).

In addition to taking speech to be thought’s only certain sign, Descartes argued that the absence of speech in animals could only be explained in terms of animals lacking thought. Descartes was well aware that animals produce calls, cries, songs, and various gestures that function to express their “passions,” but, he argued, they never produce anything like declarative speech in which they “use words, or put together other signs, as we do in order to declare our thoughts to others” (1637/1988, p. 45). This fact, Descartes reasoned, could not be explained in terms of animals lacking the necessary speech organs, since, he argued, speech organs are not required, as evidenced by the fact that humans born “deaf” or “dumb” typically invent signs to engage in declarative speech, and some animals (for example, magpies and parrots) who have the requisite speech organs never produce declarative speech; nor could it be explained as a result of speech requiring a great deal of intelligence, since even the most “stupid” and “insane” humans beings are capable of it; and neither could it be explained, as it is in the case of human infants who are incapable of speech but nevertheless possess thought, in terms of animals failing to develop far enough ontogenetically, since “animals never grow up enough for any certain sign of thought to be detected in them” (1649/1970, p. 251). Rather, Descartes concluded, the best explanation for the absence of speech in animals is the absence of what speech expresses—thought. There are various places in his writings where Descartes appears to go on from this conclusion to maintain that since all modes of thinking and consciousness depend upon the existence of thought, animals are devoid of all forms of thinking and consciousness and are nothing but mindless machines or automata. It should be noted, however, that not every commentator has accepted this interpretation (see Cottingham 1978).

Various responses have been given to Descartes’ language-test argument. Malcolm (1973), for example, argued that dispositional thinking is not dependent upon occurrent thought, as Descartes seemed to suppose, and is clearly possessed by many animals. The fact that Fido cannot entertain the thought, the cat is in the tree, Malcolm argued, is not a reason to doubt that he thinks that the cat is in the tree. Others (Hauser et al. 2002), following Noam Chomsky, have argued that the best explanation for the absence of speech in animals is the not the absence of occurrent thought but the absence of the capacity for recursion (that is, the ability to produce and understand a potentially infinite number of expressions from a finite array of expressions). And others (Pepperberg 1999; Savage-Rumbaugh et al. 1998; Tetzlaff & Rey 2009) have argued that, contrary to Descartes and Chomsky, some animals, such as grey parrots, chimpanzee, and honeybees, possess the capacity to put together various signs in order to express their thoughts. Finally, it has been argued that there are behaviors other than declarative speech, such as insight learning, that can reasonably be taken as evidence of occurrent thought in animals (see Köhler 1925; Heinrich 2000).

ii. The Action-Test Argument

Whereas Descartes’ principal aim in his language-test argument was to prove that animals lack thought, his principal aim in his action-test argument is prove that animals lack reason. By “reason,” Descartes meant “a universal instrument which can be used in all kinds of situations” (1637/1988, p. 44). For Descartes, to act through reason is to act on general principles that can be applied to an open-ended number of different circumstances. Descartes acknowledged that animals sometime act in accordance with such general rules of reason (for example, as when the kingfisher is said to act in accordance with Snell’s Law when it dives into a pond to catch a fish (see Boden 1984)), but he argued that this does not show that they act for these reasons, since animals show no evidence of transferring this knowledge of the general principles under which their behaviors fall to an open-ended number of novel circumstances.

Some researchers and philosophers have accepted Descartes’ definition of “reason” but have argued that some animals do show the capacity to transfer their general knowledge to a wide (or wide enough) range of novel situations. For example, honey bees that were trained to fly down a corridor that had the same (or different) color as the entry room into which they had initially flown automatically transferred this knowledge to the novel stimulus dimension of smell: those that were trained to choose the corridor with the same color, flew down the corridor with the same smell as in the entry room; and those that were trained to choose the corridor with a different color, flew down the corridor with a different smell as in the entry room. It is difficult to resist interpreting the bees’ performance here, as the researchers do, in terms of their grasping and then transferring the general rule, “pick the same/different feature” (Giurfa et al. 2001). Other researchers and philosophers, however, have objected to Descartes’ definition of “reason.” They argue that reason is not, as Descartes conceived it, a universal instrument but is more like a Swiss army knife in which there is a collection of various specialized capacities dedicated to solving problems in particular domains (Hauser 2000; Carruthers 2006). On this view of intelligence, sometimes called the massive modularity thesis, subjects have various distinct mechanisms, or modules, in their brains for solving problems in different domains (for example, a module for solving navigation problems, a module for solving problems in the physical environment, a module for solving social problems within a group, and so on). It is not to be expected on this theory of intelligence that an animal capable of solving problems in one domain, such as exclusion problems for food, should be capable of solving similar problems in a variety of other domains, such as exclusion problems for predators, mates, and offspring. Therefore, on the massive modularity thesis, the fact that “many animals show more skill than we do in some of their actions, yet the same animals show none at all in many others” is not evidence, as Descartes saw it (1637/1988, p. 45), that animals lack intelligence and reason but that their intelligence and reason are domain specific.

c. Davidson’s Arguments Against Animal Thought and Reason

No 20th century philosopher is better known for his denial of animal thought and reason than Donald Davidson (1917-2003). In a series of articles (1984, 1985, 1997), Davidson put forward three distinct but related arguments against animal thought and reason: the intensionality test, the argument from holism, and his main argument. Although Davidson’s arguments are not much discussed these days (for exceptions, see Beisecker 2001; Glock 2000; Fellows 2000), they were quite influential in shaping the direction of the contemporary debate in philosophy on animal thought and reason and continue to pose a challenging skeptical position on this topic, which makes them deserved of close examination.

i. The Intensionality Test

The intensionality test rest on the assumption that the contents of beliefs (and thought in general) are finer grained than the states of affairs they are about. The belief that Benjamin Franklyn was the inventor of bifocals, for example, is not the same as the belief that the first postmaster general of the US was the inventor of bifocals, even though both beliefs are about the same state of affairs. This fine-grained nature of belief content is reflected in the sentences we use to ascribe them. Thus, the sentence, “Sam believes that Benjamin Franklyn was the inventor of bifocals,” may be true while the sentence, “Sam believes that the first postmaster general of the US was the inventor of bifocals,” may be false. Belief ascriptions that have this semantic feature—that is, their truth value may be affected by the substitution of co-referring expressions within their “that”-clauses—are called intensional (or semantically opaque). The reason that is typically given for why belief ascriptions are intensional is that their purpose is to describe the way the subject thinks or conceives of some object or state of affairs. Belief ascriptions with this purpose are called de dicto ascriptions, as opposed to de re ascriptions (see below).

Our de dicto belief ascriptions to animals are unjustified, Davidson argued, since for any plausible de dicto belief ascription that we make there are countless others and no principled way of deciding which is the correct way of describing how the animal thinks. Take, for instance, the claim that Fido believes that the cat is in the tree. It seems that one could just as well have said that Fido believes that the small furry object is in the tree, or that the small furry object is in the tallest object in the yard, and so on. And yet there does not appear to be any objective fact of the matter that would determine the correct translation into our language of the way Fido thinks about the cat and the tree. Davidson concludes that “unless there is behaviour that can be interpreted as speech, the evidence will not be adequate to justify the fine distinctions we are used to making in attribution of thought” (1984, p. 164).

Some philosophers (Searle 1994; McGinn 1982) have interpreted Davidson’s argument here as aiming to prove that animals cannot have thought on the basis of a verificationist principle which holds that if we cannot determinately verify what a creature thinks, then it cannot think. Such philosophers reject this principle on the grounds that absence of proof of what is thought is not thereby proof of the absence of thought. But Davidson himself states that he is not appealing to such a principle in his argument (1985, p. 476), and neither does he say that he takes the intensionality test to prove that animals cannot have thought. Rather, he takes the argument to undermine our intuitive confidence in our ascriptions of de dicto beliefs to animals.

However, even on this interpretation of the intensionality test, objections have been raised. Some philosophers (Armstrong 1973; Allen & Bekoff 1997; Bermúdez 2003a, 2003b) have argued that, contrary to Davidson’s claim, there is a principled way of deciding among the alternative de dicto belief ascriptions to animals—by scientifically studying their discriminatory behaviors under various conditions and by stipulating the meanings of the terms used in our de dicto ascriptions so the they do not attribute more than what is necessary to capture the way the animal thinks. Although at present we may not be completely entitled to any one of the many de dicto belief ascriptions to animals, according to this view, there is no reason to think that we could not come to be so entitled through future empirical research on animal behavior and by the stipulation of the meanings of the terms used in our belief ascriptions. Also, it is important to mention that Bermúdez (2003a; 2003b) has developed a fairly well worked out theory of how to make de dicto ascriptions to animals that takes the practice of making such attributions to be a form of success semantics—”the idea that true beliefs are functions from desires to action that cause thinkers to behave in the ways that will satisfy their desires” (2003a, p. 65). (See Fodor 2003 for a criticism of Bermúdez’s success semantic approach.)

In addition, David Armstrong (1973) has objected that the intensionality test merely undermines our justification of de dicto belief ascriptions to animals, not de re belief ascriptions, since the latter do not aim to describe how the animal thinks but simply to identify the state of affairs the animal’s thought is about. Furthermore, Armstrong argues that it is in fact de re belief ascriptions, not de dicto belief ascriptions, that we ordinarily use to describe animal beliefs. When we say that Fido believes that the cat is up the tree, for example, our intention is simply to pick out the state of affairs that Fido’s belief is about, while remaining neutral with respect to how Fido thinks about it. Roughly, what we are saying, according to Armstong, is that Fido believes a proposition of the form Rab, where “R” is Fido’s relational concept that picks out the same two-place relation as our term “up,” “a” is Fido’s concept that refers to the same class of animals as our word “cat,” and “b” is Fido’s concept that refers to the same class of objects as our word “tree.”

ii. The Argument from Holism

One thing that Armstrong’s objection assumes is that we are at present justified in saying what objects, properties, or states of affairs in the world an animal’s belief is about. Davidson’s second argument, the argument from holism, aims to challenge this assumption. Davidson endorses a holistic principle regarding how the referents or extension of beliefs are determined. According to this principle, “[b]efore some object in, or aspect of, the world can become part of the subject matter of a belief (true or false) there must be endless true beliefs about the subject matter” (1984, p. 168). Applying this principle to the case of animals, Davidson argues that in order for us to be entitled to fix the extension of an animal’s belief, we must suppose that the animal has an endless stock of other beliefs. So, according to Davidson, to be entitled to say that Fido has a belief about a cat, we must assume that Fido has a large stock of other beliefs about cats and related things, such as that cats are three-dimensional objects that persist through various changes, that they are animals, that animals are living organisms, that cats can move freely about their environment, and so on. There is no fixed list of beliefs about cats and related items that Fido needs to possess in order to have a belief about cats, Davidson maintains, but unless Fido has a very large stock of such general beliefs, we will not be entitled to say that he has a belief about a cat as opposed to something else, such as undetached cat parts, or the surface of a cat, or a cat appearance, or a stage in the history of a cat. But in the absence of speech, Davidson claims, “there could [not] be adequate grounds for attributing the general beliefs needed for making sense of any thought” (Davidson 1985, p. 475). The upshot is that we are not, and never will be, justified even in our de re ascriptions of beliefs to animals.

One chief weakness with Davidson’s argument here is that its rests upon a radical form of holism that would appear to deny that any two human beings could have beliefs about the same things, since no two human beings ever share all (or very nearly all) the same general background beliefs on some subject. This has been taken by some philosophers as a reductio of the theory (Fodor and Lepore 1992).

iii. Davidson’s Main Argument

Davidson’s main argument against animal thought consists of the following two steps:

First, I argue that in order to have a belief, it is necessary to have the concept of belief.

Second, I argue that in order to have the concept of belief one must have language.
(1985, p. 478)

Davidson concludes from these steps that since animals do not understand or speak a language, they cannot have beliefs. Davidson goes on to defend the centrality of belief, which holds that no creature can have thought or reason of any form without possessing beliefs, and concludes that animals are incapable of any form of thought or reason.

Davidson supports the first step of his main argument by pointing out what he sees as a logical connection between the possession of belief and the capacity for being surprised, and between the capacity for being surprised and possessing the concept belief. The idea, roughly, is that for any (empirical) proposition p, if one believes that p, then one should be surprised to discover that p is not the case, but to be surprised that p is not the case involves believing that one’s former belief that p was false, which, in turn, requires one to have the concept belief (as well as the concept falsity). (See Moser (1983) for a rendition of Davidson’s argument that avoids Davidson’s appeal to surprise.)

Davidson’s defense of the second step of his main argument is sketchier and more speculative. The general idea, however, appears to be as follows. If one has the concept belief and is thereby able to comprehend that one has beliefs, then one must also be able to comprehend that one’s beliefs are sometimes true and sometimes false, since beliefs are, by their nature, states capable of being true or false. However, to comprehend that one’s beliefs are true or false is to comprehend that they succeed or fail to depict the objective facts. But the only way for a creature to grasp the idea of a world of objective facts, Davidson speculates, is through its ability to triangulate—that is, through its ability to compare its own beliefs with those of others. Therefore, Davidson argues, since triangulation necessarily involves the capacity of ascribing beliefs to others and this capacity, according to the intensionality test and the argument from holism (see sections 1c.i and 1c.ii. above), requires language, possessing the concept belief requires the possession of language.

A number of commentators of Davidson’s main argument have raised objections to his defense of its first step—that having beliefs requires having the concept belief. Carruthers (2008), Tye (1997) and Searle (1996), for example, all argue that having beliefs does not require having the concept belief. These philosophers agree that beliefs, by their nature, are states that are revisable in light of supporting or countervailing evidence presented to the senses but maintain that this process of belief revision does not require the creature to be aware of the process or to have the concept belief. Carruthers (2008) offers the most specific defense of this claim by developing an account of surprise that does not involve higher-order beliefs, as Davidson maintains. According to Carruthers’ account, being surprised simply involves a mechanism that is sensitive to conflicts between the contents of one’s beliefs—that is, conflicts with what one believes, not conflicts with the fact that one believes such contents. On this model, being surprised that there is no coin in one’s pocket involves having a mechanism in one’s head that takes as its input the content that there is a coin in one’s pocket (not the fact that one believes this content) and the content that there is no coin in one’s pocket (again, not the fact that one believes this content) and produces as its output a suite of reactions, such as releasing chemicals into the bloodstream that heightens alertness, widening the eyes, and orienting towards and attending to the perceived state of affairs one took as evidence that there is no coin in one’s pocket. It is one’s awareness of these changes, Carruthers argues, not one’s awareness that one’s former belief was false, as Davidson maintains, that constitutes being surprised.

Compared with the commentary on the first step of his main argument, there is little critical commentary in print on Davidson’s defense of the second step of his main argument. However, Lurz (1998) has raised the following objection. He argues that the intensionality test and the argument from holism at most show that belief attributions to nonlinguistic animals are unjustified but not that they are impossible. The fact that we routinely attribute beliefs to nonlinguistic animals shows that such attributions are quite possible. But, Lurz argues, if we can attribute beliefs to nonlinguistic animals on the basis of their nonlinguistic behavior, then there is no reason to think (at least, none provided by the intensionality test and the argument from holism) that a nonlinguistic animal could not in principle attribute beliefs to other nonlinguistic animals on the same basis. Of course, if the intensionality test and argument from holism are sound, such belief attributions would be unjustified, but this alone is irrelevant to whether it is possible for nonlinguistic animals to attribute beliefs to others and thereby engage in triangulation; for triangulation requires the capacity for belief attribution, not the capacity for justified belief attribution. Therefore, Lurz argues, if triangulation is possible without language, then Davidson has failed to prove that having the concept belief requires language. Furthermore, if some animals actually are capable of attributing beliefs to others, as some researchers (Premack & Woodruff 1978; Menzel 1974; Tschudin 2001) have suggested that chimpanzees and dolphins may be (thought such claims are considered highly controversial at present), then even if triangulation is a requirement for having beliefs, as Davidson maintains, it may turn out that some animals (for example, chimpanzees and dolphins) actually have beliefs, contrary to what Davidson’s main argument concludes.

d. Contemporary Philosophical Arguments on Animal Reason

Although the vast majority of contemporary philosophers do not go as far as Descartes and Davidson in denying reason to animals completely, a number of them have argued for important limits on animal rationality. The arguments here are numerous and complex; so only an outline of the more influential ones is provided.

In Rationality (1964/1989), Jonathan Bennett argued that since it is impossible for animals without language to express universal beliefs (for example, All As are Bs) and past-tensed beliefs (for example, A was F) separately, they cannot posses either type of belief, on the grounds that what cannot be manifested separately in behavior cannot exist as distinct and separate states in the mind. A consequence of this argument is that animals cannot think or reason about matters beyond their own particular and immediate circumstances. In Linguistic Behaviour (1976), Bennett went further and argued that animals cannot draw logical inferences from their beliefs, on the grounds that if they did, they would do so for every belief that they possessed, which is absurd. According to this argument, Fido may believe that the cat is in tree, as well as believe that there is an animal in the tree, but he cannot come to have the latter belief as result of inferring it from the former.

More recently, José Bermúdez (2003a) has argued that the ability to think about thoughts (what Bermúdez calls “intentional ascent”) requires the ability to think about words in one’s natural language (what Bermúdez calls “semantic ascent”), and that since animals cannot do the latter, they cannot do the former. Bermudez’s argument that intentional ascent requires semantic ascent is, roughly, that thinking about thought involves the ability to “‘to hold a thought in mind’ in such a way that can only be done if the thought is linguistically vehicled” via a natural language sentence that one understand (p. ix). The idea is that the only way for a creature to grasp and think about a thought (that is, an abstract proposition) is by its saying, writing, or bringing to mind a concrete sentence that expresses the thought in question. Bermúdez goes on to argue that the ability to think about thoughts (propositions) is involved in a wide variety of types of reasoning, from thinking about and reasoning with truth-functional, temporal, modal, and quantified propositions, to thinking and reasoning about one’s own and others’ propositional attitudes (for example, beliefs and desires). Bermúdez concludes that since animals do no think about words or sentences in a natural language, their thinking and reasoning are restricted to observable states of affairs in their environment. However, see Lurz (2007) for critical comment on Bermúdez’s argument here.

Finally, John Searle (1994) has argued that since animals lack certain linguistic abilities, they cannot think or reasons about institutional facts (for example, facts about money or marriages), facts about the distant past (for example, facts about matters before their birth), logically complex facts (for example, subjunctive facts or facts that involve mixed quantifies), or facts that can only be represented via some symbolic system (for example, facts pertaining to the days of the week). In addition, and more interesting, Searle (2001) has argued that since animals cannot perform certain speech acts such as asserting, they cannot have desire-independent reasons for action. According to this argument, animals act only for the sake of satisfying some non-rationally assessable desire (for example, the satisfaction of hunger) and never out of a sense of commitment. Consequently, if acts of courage, fidelity, loyalty, and parental commitment involve desire-independent reasons for action, as they arguably do, then on Searle’s argument here, no animal is or can be courageous, faithful, loyal, or a committed parent.

e. Contemporary Philosophical Arguments for Animal Thought and Reason

There are four types of arguments in contemporary philosophy for animal thought and reason. The first is the argument from the intentional systems theory championed by Daniel Dennett (1987, 1995, 1997). The second is the argument from common-sense functionalism championed by (among others) Jerry Fodor (1987), Stephen Stich (1979) and Peter Carruthers (2004). The third is the argument from biological naturalism, championed by John Searle (1994). And the fourth is the argument from science championed by (among others) Allen and Bekoff (1997) and Bermúdez (2003a).

i. The Intentional Systems Theory Argument

The intentional systems theory consists of two general ideas. The first is that our concepts of intentional states, such as our concepts belief, desire, and perceiving, are theoretical concepts whose identity and existence are determined by a common-sense psychological theory or folk-psychology. Folk psychology is a set of general principles that state that subjects, on the assumption that they are rational, tend to believe what they perceive, tend to draw obvious logical inferences from their beliefs, and tend act so as to satisfy their desires given what they believe. In many cases, we apply our folk psychology to animals to predict and make sense of their behaviors. When we do, we view animals as intentional systems and take up, what Dennett (1987) calls, the intentional stance toward them. The second important idea of the intentional systems theory is its instrumentalist interpretation of folk psychology. On the instrumentalist interpretation, what it is for a creature to have intentional states is for its behaviors to be well predicted and explained by the principles of folk psychology. Nothing more is required. There need not be anything inside the creature’s brain or body, for instance, that corresponds to or has structural or functional features similar to the intentional state concepts employed in our folk psychology. Our intentional state concepts, on the instrumentalist reading, do not aim to refer to real, concrete internal states of subjects but to abstract entities that are merely useful constructs for predicting and explaining various behaviors (much like centers of gravity used in mechanics). Therefore, according to the intentional systems theory argument, the fact that much of animal behavior is usefully predicted and explained from the intentional stance makes animals genuine thinkers and reasoners.

There are two general types of objections raised against the intentional systems theory argument. First, some have argued (Searle 1983) that our intentional state concepts are not theoretical concepts, since intentional states are experienced and, hence, our concepts of them are independent of our having any theory about them. Second, some (Braddon-Mitchell & Jackson 2007) have objected to the intentional systems theory’s commitment to instrumentalism, arguing that on such an interpretation of folk psychology, even lowly thermostats, laptop computers, and Blockheaded robots have beliefs and desires, since it is useful to predict and explain behaviors of such objects from the intentional stance.

ii. The Argument from Common-Sense Functionalism

Similar to the intentional systems theory, common-sense functionalism holds that our intentional state concepts are theoretical concepts that belong to and are determined by our folk psychology. Unlike the intentional systems theory, however, common-sense functionalism takes a realist interpretation of folk psychology. (In addition, many common-sense functionalists reject the rationality assumption that the intentional systems theory places on folk psychology (Fodor 1987, 1991).) On the realist interpretation, for a subject to have intentional states is for the subject to have in his brain a variety of discrete internal states that play the causal roles and have the internal structures that our intentional state concepts describe. According to this view, if Fido believes that the cat is up the tree, then he has in his brain an individual state, s, that plays the causal role that beliefs play according to our folk psychology, and s has an internal structure similar to the “that”-clause used to specify its content—that is, s has the structure Rxy where “R” represents the two-place relation up, “x” represents the cat, and “y” represents the tree. Since the internal state s is seen as having an internal structure similar to the sentence “the cat is up the tree,” common-sense functionalism is often taken to support the view that thinking involves an internal language or language of thought (Fodor 1975). It is then argued that since animal behavior is successfully predicted and explained by our folk psychology, there is defeasible grounds for supposing that animals actually have such internal states in their heads (Fodor 1987; Stich 1979; Carruthers 2004).

Two problems are typically raised regarding the argument from common-sense functionalism. Some (Stalnaker 1999) have objected that if, as common-sense functionalism claims, our ascriptions of intentional states to animals commit us to thinking that the animals have in their heads states that have the same representational structure as the “that”-clauses we use to specify their contents, then intentional ascriptions to animals (and to ourselves) would be a far more speculative practice than it actually is. The objection here does not deny that animals actually have such representational structures in their heads, it simply denies that that is what we are saying or thinking when we ascribe intentional states to them. Others (Camp, 2009) accept the common-sense functionalist account of intentional state concepts but have argued, on the basis of Evan’s (1982) generality constraint principle, that few animals have the sorts of structured representational states in their heads that folk psychology describes them as having. If Fido’s thoughts are structured in the way that common-sense functionalism claims, the objection runs, then if Fido is able to think that he is chasing a cat, then he must also be capable of thinking that a cat is chasing him, but, it is argued, this may be a thought that is completely unthinkable by Fido. However, see Carruthers (2009) and Tetzlaff and Rey (2009) for important objections to this type of argument.

iii. The Argument from Biological Naturalism

Biological naturalism is the theory, championed by John Searle (1983, 1992), that holds that our concepts of intentional states are concepts of experienced subjective states. The concept belief, for example, is the concept of an experienced, conscious state that has truth conditions and world-to-mind direction of fit; whereas, our concept desires is the concept of an experienced, conscious state that has satisfaction conditions and mind-to-world direction of fit. Intentional states, according to this theory, are irreducibly subjective states that are caused by low-level biochemical states of the brain in virtue of their causal structures, not in virtue of their functional or causal roles, or, if they have such, their representational structures. According to biological naturalism, if Fido believes that the cat is in the tree, then he has in his brain a low-level biochemical state, s, that, in virtue of its unique causal structure, causes Fido to have a subjective experience that has a world-to-mind direction of fit and is true if and only if the cat is in the tree.

Searle argues that there are two main reasons why we find it irresistible to suppose that animals have intentional states, as biological naturalism conceives them. First, many animals have perceptual organs (for example, eyes, ears, mouths, and skin) that we see as similar to our own and which, we assume, operate according to similar physiological principles. Since we know in our own case that the stimulation of our perceptual organs leads to certain physiological processes which cause us to have certain perceptual experiences, we reason, from the principle of similar cause-similar effect, that the stimulation of perceptual organs in animals leads to similar physiological processes which cause them to have similar perceptual experiences. The behavior of animals, Searle repeatedly stresses, is by itself irrelevant to why we think animals have perceptual experiences; it is only relevant if we take the behavior to be caused by the stimulation of perceptual organs and underlying physiological processes relevantly similar to our own. This argument, of course, would only account for why we think that animals have perceptual experiences, not why we think that they have beliefs, desires, and other intentional states that are only distantly related to the stimulation of sensory organs. So Searle adds that the second reason we find it irresistible that animals have intentional states is that we cannot make sense of their behaviors otherwise. To make sense of why Fido is still barking up the tree when the cat is long out of sight, for example, we must suppose that Fido continues to want to catch the cat and continues to think that the cat is up the tree.

There are two main problems with Searle’s argument for animal thought and reason. First, according to biological naturalism, animals have intentional states solely in virtue of their having brain states that are relevantly similar in causal structure to those in human beings which cause us to have intentional states. But this raises the question: how are we to determine whether the brain states of animals are relevantly similar to our own? They will not be exactly similar, since animal brains and human brains are different. Suppose, for example, scientists discover that a certain type of electro-chemical process (XYZ) in human brains is necessary and sufficient for intentional states in us, and that an electro-chemical process (PDQ) similar to XYZ occurs in animal brains. Is PDQ similar enough to XYZ to produce intentional states in animals? Well, suppose PDQ produces behaviors in animals that are similar to those that XYZ produces in humans. Would that show that PDQ is enough like XYZ to produce intentional states in animals? No, says Searle, for unless those behaviors are produced by relevantly similar physiological processes they are simply irrelevant to whether the animal has intentional states. But that is precisely what we are trying to determine here, of course. It would appears that the only way to determine whether PDQ is similar enough to XYZ, on biological naturalism, is if we humans could temporarily exchange our brains for those of animals and see whether PDQ produces intentional states in us. This, of course, is impossible. And so it would appear that the question of whether animals have intentional states is, on biological naturalism, unknowable in principle.

Finally, Searle’s explanation for why we find it irresistible to ascribe perceptual experiences to animals seems questionable in some cases. If Searle’s explanation were correct, then most ordinary individuals should not find it at all compelling, for example, to ascribe auditory experiences (that is, hearing) to birds, or tactile experiences (that is, feelings of pressures, pain, or temperature) to fish or armadillos, since most ordinary individuals do not see anything on birds’ heads that looks like ears or on the outer surface of fish or armadillos that looks like skin.

iv. The Argument from Science

Why should we believe that colds are caused by viruses and not by drastic changes in weather, as many folk had (and still do) believe? A reasonable answer is that our best scientific theory of the causes of colds is in terms of viruses, commonsense notwithstanding. Sometimes, of course, science and commonsense agree, and when they do, commonsense can be said to be vindicated by science. In either case, it is science that ultimately determines what should (and should not) be believed. This type of argument, sometimes called the argument from science, has been used to justify the claim that animals have thought, reason, consciousness, and other folk-psychological states of mind (see Allen & Bekoff 1997; Bermúdez 2003a). In the past thirty years or so, due in large measure to the demise of radical behaviorism and the birth of cognitivism in psychology, as well as from the influential writings of ethologist Donald Griffin (1976, 1984, 2001), scientists from various fields have found it increasingly useful to propose, test, and ultimately accept hypotheses about the causes of animal behavior in explicitly folk-psychological terms. It is quite common these days to see scientific articles on whether, for example, animals have conscious experiences such as painseeing and (even) joy (Griffin & Speck 2004; Panksepp & Burgdorf 2003), on whether scrub jays have desires, and beliefs, and can recollect their pasts (Clayton et al. 2006), on whether primates understand that other animals knowsee, and hear(Hare et al. 2000; Hare et al. 2001; Santos et al. 2006), on whether primates make judgments about their own states of knowledge and ignorance (Hampton et al. 2004; Smith et al. 2003), and so on. According to the argument, since scientists are finding it useful to test and accept hypothesis about animal behavior in folk-psychological terms, we are justified in believing that animals have such states of mind.

Not everyone has found the argument from science here convincing, however. The chief concern is whether explanations of animal behavior in folk-psychological terms are, as the argument assumes, scientifically respectable (see Kennedy 1992). There are two features of scientific explanations of animal behavior that appear to count against their being so. First, scientific explanations of animal behavior are causal explanations in terms of concrete internal states of the animal, but on some models of folk-psychology, such as Dennett’s intentional systems theory (see 1.e.i. above), folk-psychological explanations are neither causal explanations nor imply anything about the internal states of the animal. Second, scientific explanations of animal behavior are objective in that there is typically a general agreement among researchers in the field on what would count in favor of or against the explanation; however, it has been argued that since the only generally agreed upon indicators of consciousness are verbal reports of the subject, explanations of animal behavior in terms of consciousness are unscientific (see Clayton et al. 2006, p. 206).

One standard type of reply to these objections has been to adopt a common-sense functionalist model of folk-psychology (see 1e.ii above) which interprets folk-psychological explanations as imputing causally efficacious internal states while denying that these explanations imply anything about the consciousness of the internal states. (This seems to be the approach that Clayton et al. (2006) take in their explanation of the behaviors of scrub jays in terms of “episodic-like” memories, which are episodic memories minus consciousness.) This, of course, raises the vexing issue of whether our folk-psychological concepts, such as beliefdesireintentionseeing, and so forth, imply consciousness (see Carruthers 2005; Lurz 2002a; Searle 1992; Stich 1979). Others have responded to the above objections by developing non-subjective measures for consciousness that could be applied to animals (and humans) incapable of verbal reports (Dretske 2006). And still others have proposed objective measures of consciousness in animals by appealing to the communicative signals of animals as non-verbal reports of the presence of conscious experiences (Griffin 1976, 1984, 2001).

2. The Problems of Animal Consciousness

It is generally accepted that most (if not all) types of mental states can be either conscious or unconscious, and that unconscious mental states can have effects on behavior that are not altogether dissimilar from those of their conscious counterparts. It is quite common, for example, for one to have a belief (for example, that one’s keys are in one’s jacket pocket) and a desire (for example, to locate one’s keys) that are responsible for some behavior (for example, reaching into one’s jacket pocket as one approaches one’s apartment) even though at the time of the behavior (and beforehand) one’s mind is preoccupied with matters completely unrelated to one’s belief or desire. Similarly, scientists have shown through various masking experiments and the like that our behaviors are often influenced by stimuli that are perceived below the level of consciousness (Marcel 1983). Also some philosophers have argued that even pains and other bodily sensations can be unconscious, such as when one continues to limp from a pain in one’s leg though at the time one is preoccupied with other matters and is not attending to the pain (Tye 1995).

Given this distinction between conscious and unconscious mental states, the question arises whether the mental states of animals are or can be conscious. It should be noted that this question not only has theoretical import but moral and practical import, as well. For arguably the fact that conscious pains and experiences feel a certain way to their subjects makes them morally relevant conditions, and it is, therefore, of moral and practical concern to determine whether the mental states of animals are conscious (Carruthers 1992). Of course, as with the question of animal thought and reason, the answer to this question depends in large part on what one takes consciousness to be. There are two general philosophical approaches to consciousness—typically referred to as first-order and higher-order theories—that have played a prominent role in the debate over the status of animal consciousness. These two approaches and their relevance to the question of conscious states in animals are described below.

a. Higher-Order Theories of Consciousness

Higher-order theories of consciousness start with the common assumption that conscious mental states are states of which one is higher-order aware, and unconscious mental states are states of which one is not higher-order aware. The theories diverge, however, over what is involved in being higher-order aware of one’s mental states.

i. Inner-Sense Theories

Inner-sense theories take a subject’s higher-order awareness to be a type of perceptual awareness, akin to seeing, that is directed inwardly toward the mind as opposed to outwardly toward the world (Lycan 1996; Armstrong 1997). Since higher-order awareness is a species of perceptual awareness, on this view, it is not usually taken to require the capacity for higher-order thought or the possession of mental-state concepts. A subject need not be able to think that he is in pain or have the concepts I or pain, for example, in order for him to be higher-order aware of his pain. On the inner-sense theory, then, the mental states of animals will be conscious just in case they are higher-order aware of them by means of an inner perception.

Some inner-sense theorists have argued that since higher-order awareness does not require higher-order thought or the possession of mental-state concepts, it is quite consistent with what we know about animal behavior and brains that many animals may have such an awareness of their own mental states. Furthermore, there are recent studies in comparative psychology (Smith et al. 2003; Hampton et al. 2004) that suggest that monkeys, apes and dolphins actually have the capacity to be higher-order aware of their own states of certainty, memory, and knowledge. However, the results of these studies have not gone unchallenged (see Carruthers 2008).

The chief problem with inner-sense theories, however, is not so much their account of animal consciousness but their account of higher-order awareness. Some (Rosenthal 1986; Shoemaker 1996) have argued against a perceptual account of higher-order awareness on the grounds that (i) there is no dedicated perceptual organ in the brain for such a perception as there is for external perception; (ii) there is no distinct phenomenology associated with higher-order awareness as there is for all other types of perceptual modalities; and (iii) it is impossible to reposition oneself in relation to one’s mental states so as to get a better perception of them as one can do in the case of perception of external objects. And still others (Lurz 2003) have objected that the inner-sense theory cannot explain how concept-involving mental states, such as beliefs and desires, can be conscious, since to be aware of such states would require being aware of their conceptual contents, which cannot be done by way of a perceptual awareness that is not itself concept-involving.

ii. Higher-Order Thought Theories

Problems such as these have led a number of higher-order theorists (Rosenthal 1986; Carruthers 2000) to embrace some version or other of the higher-order thought theory. According to this theory, a mental state is conscious just in case one has (or is disposed to have) the higher-order thought that one is in such a mental state. Animals will have conscious mental states, on this theory, if and only if that they are capable of higher-order thoughts about themselves as having mental states. The question of animal consciousness, then, becomes the question of whether animals are capable of such higher-order thought.

A number of philosophers have argued that animals are incapable of such thought. Some have argued that since higher-order thoughts require the possession of the first-person I-concept, it is unlikely that animals are capable of having them. The selves of animals, the argument runs, are selves that experience numerous mental states at any one moment in time and that persist through various changes to their mental states. Thus, if an animal possessed the I-concept, it must be capable of understanding itself as such an entity—that is, it must be capable of thinking not only, I am currently in pain, for example, but I am currently in pain, am seeing, am hearingam smelling, as well as be capable of thinking I was in such-and-such mental states but am not now. However, such thoughts appear to involve the mental equivalent of pronominal reference and past-tensed thoughts, both of which, it is argued, are impossible without language (see Quine 1995; Bermúdez 2003a; Bennett 1964, 1966, 1988).

Various objections have been raised against this argument on behalf of the higher-order theory and animal consciousness. Gennaro (2004, 2009) argues that that the I-concept involved in higher-order thoughts need be no more sophisticated than the concept this particular body or the concept experiencer of mental states, and that the results of various self-recognition studies with apes, dolphins and elephants, as well as the results of a number of episodic memory tests with scrub jays, suggest that many animals possess such minimal I-concepts (Parker et al. 1994; Clayton et al., 2003). Lurz (1999) goes further and argues that insofar as higher-order thoughts confer consciousness on mental states, they need not involve any I-concept at all. The idea here is that just as one can be aware that it is raining, where the “it” here is not used to express one’s concept of a thing or a subject—for there is no thing or subject that is raining—an animal can be aware that it hurts or thinks that p, where the “it” here does not express a concept of a thing or a subject that is thought to possess pain or to think that p. Animals, on this view, are thought to conceive of their mental states as we conceive of rain and snow—that is, as subject-less features placed at a time (see Strawson (1959) and Proust (2009) for similar arguments).

The most common argument against animals possessing higher-order thought, however, is that such thoughts requires linguistic capabilities and mental-state concepts that animals do not possess. Dennett (1991), for example, argues that the ability to say what mental state one is in is the very basis of one’s having the higher-order thought that one is in such mental state, and not the other way round. To think otherwise, Dennett argues, is to commit oneself to an objectionable Cartesian theater view of the mind. According to Dennett’s argument, since animals are incapable of saying what they are feeling or thinking, they are incapable of thinking that they are feeling or thinking. In reply, Carruthers (1996) has argued that there is a way of understand higher-order thoughts that is not tied to linguistic expression of any kind or committed to a Cartesian theater view of the mind.

In a somewhat similar vein of thought to Dennett’s, Davidson (1984, 1985) and Bermúdez (2003a) argue, although on different grounds, that since animals are incapable of speaking and interpreting a natural language, they cannot possess mental-state concepts for propositional attitudes and, therefore, cannot have higher-order thoughts about their own or others propositional attitudes (see sections 1c and 1d.iii above). This alone, of course, is not sufficient to prove that animals are incapable of higher-order thoughts about non-propositional mental states, such as bodily sensations and perceptual experiences. However, some have gone further and argued that animals are incapable of possessing any type of mental-state concept and, therefore, any type of higher-order thought. The argument for this view generally consist of the following two main premises: (1) if animals possess mental-state concepts, then they must have the capacity to apply these concepts to themselves as well as to other animals; and (2) animals have been shown to perform poorly in some important experiments designed to test whether they can apply mental-state concepts to other animals.

Premise (1) of this argument is sometimes supported (Seager 2004) by an appeal to Evan’s generality constraint (see section 1e.ii above); roughly, the argument runs, if an animal can think, for example, I am in pain, and can think of another animal that, for example, he walks, then the animal in question must be capable of thinking of another animal, he is pain, as well as be capable of thinking of himself, I walk. Others, however, have supported premise (1) on evolutionary grounds, arguing that animals would not have evolved the capacity to think with mental-state concepts unless their doing so was of some selective advantage, and the only selective advantage of thinking with mental-state concepts is its use in anticipating and manipulating other animals’ behaviors (Humphrey 1976). Premise (2) of this argument has been supported mainly by the results of a series of experiments conducted by Povinelli and colleagues (see Povinelli & Vonk 2004) which appear to show that chimpanzees are incapable of discriminating betweenseeing and not seeing in other subjects.

Various objections have been raised against such defenses of premises (1) and (2). Gennaro (2009), for example, has argued against the defense of premise (1) based on Evan’s generality constraint. Others have argued that, contrary to the evolutionary defense given for premise (1), the principal selective advantage of thinking with mental-state concepts is its use in recognizing and correcting errors in one’s own thinking, and that the results of various meta-cognition studies have shown that various animals are capable of reflecting upon and improving their pattern of thinking (Smith et al., 2003). (However, see Carruthers (2008) for a critique of such higher-order interpretations of these studies.) And with respect to premise (2), others have argued that, contrary to Povinelli’s interpretation, chimpanzees fail such discrimination tasks not because they are unable to attribute mental states to others but because the experimental tasks are unnatural and confusing for the animals, and that when the experimental tasks are more suitable and natural, such as those used in competitive paradigms (Hare et al. 2000; Hare et al. 2001; Santos et al. 2006), the animals show signs of mental-state attribution. However, see Penn and Povinelli (2007) for challenges to the supposed successes of mental-state attributions by animals in these new experimental protocols and for suggestions on how to improve experimental methods used in testing mental-state attributions in animals.

b. First-Order Theories

According to first-order theories, conscious mental states are those that make one conscious of things or facts in the external environment (Evans 1982; Tye 1995; Dretske 1995). Mental states are not conscious because one is higher-order aware of them but because the states themselves make one aware of the external world. Unconscious mental states, therefore, are mental states that fail to make one conscious of things or facts in the environment—although, they may have various effects on one’s behavior. Furthermore, mental states that make subjects conscious of things or facts in the environment do so, according to first-order theories, in virtue of their effecting, or being poised to effect, subjects’ belief-forming system. So, for example, one’s current perception of the computer screen is conscious, on such theories, because it causes, or is poised to cause, one to believe that there is a computer screen before one; whereas, those perceptual states that are involved in subliminal perception, for instance, are not conscious because they do not cause, nor are poised to cause, subjects to form beliefs about the environment.

First-order theorists argue (Tye 1997; Dretske 1995) that many varieties of animals, from fish to bees to chimpanzees, form beliefs about their environment based upon their perceptional states and bodily sensations and, therefore, enjoy conscious perceptual states and bodily sensations. Additional virtues of first-order theories, it is argued, are that they offer a more parsimonious account of consciousness than higher-order theories, since they do not require higher-order awareness for consciousness, and that they provide a more plausible account of animal consciousness than higher-order theories, since they ascribe consciousness to animals that we intuitively believe to possess conscious perceptual states (for example, bats and mice) but do not intuitively believe to possess higher-order awareness.

It has been argued (Lurz 2004, 2006), however, that first-order theories are at their best when explaining the consciousness of perceptual states and bodily sensations but have difficultly explaining the consciousness of beliefs and desires. Most first-order theorists have responded to this problem by endorsing a higher-order thought theory of consciousness for such mental states (Tye 1997; Dretske 2000, p. 188). On such a hybrid view, beliefs and desires are conscious in virtue of having higher-order thoughts about them, while perceptual states and bodily sensations are conscious in virtue of their being poised to make an impact on one’s belief-forming system. This hybrid view faces two important problems, however. First, on such a view, few, if any, animals would be capable of conscious beliefs and desires, since it seems implausible, for various reasons, to suppose that many animals are capable of higher-order thoughts about their own beliefs and desires. And yet it has been argued (Lurz 2002b) that there is intuitively compelling grounds for thinking that many animals are capable of conscious beliefs and desires, since their behaviors are quite often predictable and explainable in terms of the concepts beliefand desire of our folk psychology, which is a set of laws about the causal properties and interactions ofconscious beliefs and desires (or, at the very least, a set of laws about the causal properties and interactions of beliefs and desires that are apt to be conscious (Stich 1978)). However, see Carruthers (2005) for a reply to this argument.

The second problem for the hybrid view is that on its most plausible rendition it would ascribe consciousness to the same limited class of animals as higher-order thought theory and, thereby, provide no more of an intuitively plausible account of animal consciousness than its main competitor. For it seems intuitively plausible to suppose that a perceptual state or bodily sensation will be conscious only if it effects, or is poised to effect, a subject’s conscious belief-forming system. If it were discovered, for example, that the perceptual states involved in subliminal perception (or blindsight) caused subjects to form unconscious beliefs about the environment, no one but the most committed first-order theorist would conclude from this alone that these perceptual states were, after all, conscious. But if perceptual states and bodily sensations are conscious only insofar as they effect (or are poised to effect) a subject’sconscious belief-forming system, and conscious beliefs, on the hybrid view, require higher-order thought, then to possess conscious perceptions and bodily sensations, an animal would have to be, as higher-order thought theories maintain, capable of higher-order thought. What appears to be need here in order to save first-order theories from this problem is a first-order account of conscious beliefs and desires. See Lurz (2006) for a sketch of such an account.

3. Other Issues

There are many other important issues in the philosophy of animal minds in addition to those directly related to the nature and scope of animal thought, reason, and consciousness. Due to considerations of length, however, only a brief list of such issues with reference to a few relevant and important sources is provided.

The nature and extent of animal emotions has been, and continues to be, an important issue in the philosophy of animal minds (see Nussbaum 2001; Roberts 1996, 2009: Griffiths 1997), as well as the nature and extent of propositional knowledge in animals (see Korblith 2002). Philosophers have also been particularly interested in the philosophical foundations and the methodological principles, such as Lloyd Morgan’s canon, employed in the various sciences that study animal cognition and consciousness (see Bekoff et al. 2002; Allen and Bekoff 1997; Fitzpatrick 2007, 2009; Sober 1998, 2001a, 2001b, 2005). Philosophers have also been interested in the nature and justification of the practice of anthropomorphism by scientists and lay folk (Mitchell at al.1997; Bekoff & Jamieson 1996; Datson & Mitman 2005). And finally, there is a rich history of philosophical thought on animal minds dating back to the earliest stages of philosophy and, therefore, there has been, and continues to be, philosophical interest and issues related to the history of the philosophy of animal minds (see Sorabji, 1993; Wilson, 1995; DeGrazia, 1994).

4. References and Further Reading

a. References

  • Allen, C. & Bekoff, M. (1997). Species of Mind. Cambridge, MA: MIT Press.
  • Armstrong, D. (1973). Belief, Truth and Knowledge. Cambridge: Cambridge University Press.
  • Armstrong. D. (1997). What Is Consciousness? In N. Block, O. Flanagan & G. Güzledere (Eds.) The Nature of Consciousness: Philosophical Debates. Cambridge, Mass.: MIT Press.
  • Beisecker, D. (2002). Some More Thoughts About Thought and Talk: Davidson and Fellows on Animal Belief. Philosophy 77: 115-124.
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  • Gennaro, R. (2004). Higher-order thoughts, animal consciousness, and misrepresentation: A reply to Carruthers and Levine. In R. Gennaro (Ed.) Higher-Order Theories of Consciousness. Amsterdam & Philadelphia: John Benjamins.
  • Gennaro, R. (2009). Animals, Consciousness, and I-thoughts. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
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  • Griffin, D. & Speck, G. (2007). New Evidence of Animal Consciousness. Animal Cognition 7:5-18.
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  • Hare, B. Call, J. & Tomasello, M. (2001). Do Chimpanzees Know What Conspecifics Do and Do Not See? Animal Behavior 59:771-785.
  • Hauser, M. (2000). Wild Minds. New York: Henry Holt and Co.
  • Hauser, M., Chomsky, N. & Fitch, W. T. (2002). The Faculty of Language: What Is It, Who Has It, and How Did It Evolve? Science 298: 1569-1579.
  • Hampton, R., Zivin, A., & Murray, E. (2004). Rhesus Monkeys (Macaca mulatta) Discriminate Between Knowing and not Knowing and Collect Information as Needed Before Acting. Animal Cognition, 7, 239-246.
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  • Hurley, S. & Nudds, M. (2006). Rational Animals? Oxford: Oxford University Press.
  • Kennedy, J. (1992). The New Anthropomorphism. Cambridge: Cambridge University Press.
  • Köhler, W. (1925). The Mentality of Apes. London: Routledge and Kegan Paul.
  • Kornblith, H. (2002). Knowledge and its Place in Nature. Oxford: Oxford University Press.
  • Lurz, R. (1998). Animal Minds: The Possibility of Second-Order Beliefs in Non- Linguistic Animals. (Doctoral dissertation Temple University, 1998). Dissertation Abstracts International,59, no. 03A.
  • Lurz, R. (1999). Animal Consciousness. Journal of Philosophical Research 24: 149-168.
  • Lurz, R. (2002a). Reducing Consciousness by Making it HOT: A Commentary on Carruthers’Phenomenal ConsciousnessPsyche 8.
  • Lurz, R. (2002b). Neither HOT nor COLD: An Alternative Account of Consciousness. Psyche 9.
  • Lurz, R. (2003). Advancing the Debate Between HOT and FO Theories of Consciousness. Journal of Philosophical Research 28: 23-44.
  • Lurz, R. (2004). Either FOR or HOR: A False Dichotomy, in R. Gennaro (Ed.) Higher- Order Theories of Consciousness, John Benjamins, Amsterdam, 2004, pp. 226- 54.
  • Lurz, R. (2007). In Defense of Wordless Thoughts about Thoughts. Mind and Language 22 : 270-296.
  • Lurz. R. (2006). Conscious Beliefs and Desires: A Same-Order Approach, in U. Kriegel and K. Williford (Eds.) Self-Representational Approaches to Consciousness, MIT Press.
  • Lurz, R. (2009). Philosophy of Animal Minds : New Essays on Animal Thought and Consciousness. Cambridge : Cambridge University Press.
  • Lurz, R. (2011). Mindreading Animals: The Debate over What Animals Know about Other Minds. Cambridge, MA: MIT Press.
  • Lycan, W. (1996). Consciousness and Experience. Cambridge, Mass.: MIT Press.
  • Malcolm, N. (1977). Thoughtless Brutes. In Thought and Knowledge. Ithaca: Cornell University Press.
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  • Menzel, E. (1974). A Group of Chimpanzees in a 1-Acre Field: Leadership and Communication. In A. M. Shrier & F. Stollnitz (Eds.) Behaviour of Nonhuman Primates. New York: Academic Press.
  • McGinn, C. (1982). The Character of Mind. Oxford: Oxford University Press.
  • Mitchell, R., Thompson, N. & Miles, H. (1997). Anthropomorphism, Anecdotes, and Animals. New York: SUNY Press.
  • Moser, P. (1983). Rationality without Surprise: Davidson on Rational Belief. Dialectica 37: 221-226.
  • Nussbaum, M. (2001). Upheavals of Thought: The Intelligence of Emotions. Cambridge: Cambridge University Press.
  • Panksepp, J. & Burgdorf, J. (2003). “Laughing Rats and the Evolutionary Antecedents of Human Joy?Physiology and Behavior 79:533-547.
  • Parker, S. T., Mitchell, R. & Boccia, M. (1994). Self-Awareness in Animals and Humans: Developmental Perspectives. Cambridge: Cambridge University Press.
  • Penn, D. & Povinelli, D. (2007). On the Lack of Evidence that Non-Human Animals Possess Anything Remotely Resembling a “Theory of Mind.” Philosophical Transactions of the Royal Society B362: 731-744.
  • Pepperberg, E. (1999). The Alex Studies: Cognitive and Communicative Abilities of Grey Parrots.Cambridge, MA: Harvard University Press.
  • Povinelli, D & Vonk, J. (2004). We don’t need a microscope to explore the chimpanzee’s mind.Mind and language 19: 1-28. Reprinted in Hurley and Nudds (Eds.) Rational Animals? 2006. Oxford: Oxford University Press.
  • Premack, D. & Woodruff, G. (1978). Does the Chimpanzee have a Theory of Mind? Behaviorial and Brain Sciences 1: 515-526.
  • Proust, J. (2009). Metacognitive states in non-human animals: a defense. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Quine, W. V. O. (1995). From Stimulus to Science. Cambridge, Mass.: Harvard University Press.
  • Radner, D. and Radner, M. (1989). Animal Consciousness. Buffalo, NY: Prometheus Books.
  • Rey, G. & Tetzlaff, M. (forthcoming). Systematicity in Honeybee Navigation. In Lurz Ed.) Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Roberts, R. (1996). Propositions and Animal Emotion. Philosophy 71:147-156.
  • Roberts, R. (2009). The Sophistication of Non-Human Emotion. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Rosenthal, D. (1986). Two Concepts of Consciousness. Philosophical Studies 49: 329-359.
  • Santos, L., Nissen, A., & Ferrugia, J. (2006). Rhesus Monkeys, Macca mulatta, Know What Others Can and Cannot Hear. Animal Behavior 71:1175-1181.
  • Savage-Rumbaugh, S., Shanker, S. and Taylor, T. (1998). Apes, Language, and the Human Mind. Oxford: Oxford University Press.
  • Seager, W. (2004). A Cold Look at HOT Theory. In R. Gennaro (Ed.) Higher-Order Theories of Consciousness. Amsterdam: John Benjamins.
  • Searle, J. (1983). Intentionality. Cambridge: Cambridge University Press.
  • Searle, J. (1992). The Rediscovery of Mind. Cambridge, Mass.: MIT Press.
  • Searle, J. (1994). Animal Minds. Midwest Studies in Philosophy 19: 206-219.
  • Searle. J. (2001). Rationality in Action. Cambridge, Mass.: MIT Press. Shoemaker, S. (1996). Self-Knowledge and “Inner Sense.” Lecture I: The Object Perception Model. In The First-Person Perspective and Other Essays. Cambridge: Cambridge University Press.
  • Stich, S. (1978). Belief and Subdoxastic States. Philosophy of Science 45: 499-518.
  • Stich, S. (1979). Do Animals Have Beliefs? Australasian Journal of Philosophy 57: 15- 28.
  • Stalnaker, R. (1999). Mental Content and Linguistic Form. In Context and Content. Oxford: Oxford University Press.
  • Smith, J., Shields, W., & Washburn, D. (2003). The Comparative Psychology of Uncertainty Monitoring and Meta-Cognition. Behavioral and Brain Sciences 26, 317-373.
  • Sober, E. (1998). Morgan’s Canon. In C. Allen and D. Cummins (Eds.) The Evolution of Mind. Oxford: Oxford University Press.
  • Sober, E. (2001a). Simplicity. In W.H. Newton-Smith (Ed.), Companion to the Philosophy of Science. Oxford: Blackwell Publishing.
  • Sober, E. (2001b). The Principle of Conservatism in Cognitive Ethology. In D. Walsh (Ed.)Naturalism, Evolution, and Mind. Cambridge: Cambridge University Press.
  • Sober, E. (2005). Comparative Psychology Meets Evolutionary Biology: Morgan’s Canon and Cladistic Parsimony. In L. Daston & G. Mitman (Eds.) Thinking With Animals: New Perspectives on Anthropomorphism. New York. Columbia University Press.
  • Sorabji, R. (1993). Animal Minds and Human Morals: The Origins of the Western Debate. Ithaca: Cornell University Press.
  • Tetzlaff, M. & Rey, G. (2009). Systematicity in Honeybee Navigation. In R. Lurz (Ed.) Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Tschudin , A.J-P.C. (2001). “Mindreading” mammals? Attribution of belief tasks with dolphins . Animal Welfare , 10 , 119-127 .
  • Tye, M. (1995). Ten Problems of Consciousness. Cambridge, Mass.: MIT Press.
  • Tye, M. (1997). The Problem of Simple Minds: Is There Anything it is Like to be a Honey Bee?Philosophical Studies 88: 289-317.
  • Wilson, M. D. (1995). Animal Ideas. Proceedings and Addresses of the American Philosophical Association 69:7-25.

b. Suggested Further Readings

Recent Volumes of New Essays in the Philosophy of Animal Mind

  • Lurz, R. (2009). The Philosophy of Animal Minds: New Essays on Animal Thought and Consciousness. Cambridge : Cambridge University Press.
  • Hurley, S. & Nudds, M. (2006). Rational Animals? Oxford: Oxford University Press.

Articles and Books on Contemporary Issues in Philosophy of Mind

  • Akins, K. A. (1993) A Bat Without Qualities. In M. Davies and G. Humphreys (Eds.) Consciousness. Oxford: Blackwell.
  • Allen, C. and Hauser, M. (1991). Concept Attribution in Non-Human Animals:Theoretical and Methodological Problems of Ascribing Complex Mental Processes. Philosophy of Science 58: 221-240.
  • Allen, C. (1995) Intentionality: Natural and Artificial. In H. Roitblat and J.-A.Meyer (Eds.)Comparative Approaches to Cognitive Science. Cambridge, MA: MIT Press.
  • Allen, C. (1999). Animal Concepts Revisted: The Use of Self-Monitoring as An Empirical Approach. Erkenntnis 51: 33-40.
  • Allen, C. (2004). Animal Pain. Noûs 38: 617-643.
  • Allen, C. (2004). Animal Consciousness. Stanford Encyclopedia of Philosophy.
  • Bennett, J. (1990). How to Read Minds in Behaviour: A Suggestion from a Philosopher. In A. Whiten’s (Ed.) The Emergence of Mindreading. Oxford: Blackwell.
  • Bennett, J. (1996). How is Cognitive Ethology Possible? In C. Ristau (Ed.) Cognitive Ethology: The Minds of Other Animals. New Jersey: Lawrence Erlbaum Associates.
  • Bermúdez, J. (2009). Mindreading in the Animal Kingdom? In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Bishop, J. (1980). More Thought on Thought and Talk. Mind 89:1-16. Browne, D. (2004) “Do Dolphins Know Their Own Minds?” Biology & Philosophy 19: 633-653.
  • Carruthers, P. (1989). Brute Experience. The Journal of Philosophy 86: 258-269.
  • Carruthers, P. (1998). Animal Subjectivity. Psyche 4, .
  • Cherniak, C. (1986). Minimal Rationality. Cambridge, MA: MIT Press.
  • Dennett, D. (1983). Intentional Systems in Cognitive Ethology: The “Panglossian Paradigm” Defended.Behavioral and Brain Sciences 6:343-390.
  • Dennett, D. (1995). Animal Consciousness: What Matters and Why. Social Research 62: 691-711.
  • DeGrazia, D. (2009). Self-Awareness in Animals. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Dixon, B. (2001). Animal Emotions. Ethics and the Environment 6.2: 22-30.
  • Dreckmann, F. (1999). Animal Beliefs and Their Contents. Erkenntnis 51:93-111.
  • Dretske, F. (1999). Machines, Plants and Animals: The Origins of Agency. Erkenntnis 51: 19-31.
  • Dummett, M. (1993). Language and Communication. In The Seas of Language. Oxford: Clarendon Press.
  • Dummett, M. (1993). The Origins of Analytic Philosophy. London: Duckworth.
  • Fodor, J. (1986). Why Paramecia Don’t Have Mental Representations. Midwest Studies in Philosophy 10: 3-23.
  • Graham, G. (1993). Belief in Animals. In Philosophy of Mind: An Introduction. Oxford: Blackwell.
  • Griffiths, P. E. (2003). Basic Emotions, Complex Emotions, Machiavellian Emotions. In Philosophy and the Emotions A. Hatzimoysis (Ed.), Cambridge, CUP: 39-67.
  • Griffiths, P and Scarantino, A. (in press). Emotions in the Wild: The situated perspective on emotion. in P. Robbins and M. Aydede (eds.) Cambridge Handbook of Situated Cognition, Cambridge: Cambridge University Press.
  • Heil, J. (1982). Speechless Brutes. Philosophy and Phenomenological Research 42: 400-406.
  • Heil, J. (1992). Talk and Thought. In The Nature of True Minds. Cambridge: Cambridge University Press.
  • Jamieson, D. and Bekoff, M. (1992) Carruthers on Nonconscious Experience. Analysis 52: 23-28.
  • Jamieson, D. (1998). Science, Knowledge, and Animals Minds. Proceedings of the Aristotelian Society 98: 79-102.
  • Jamieson, D. (2009). What Do Animals Think? In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Kornblith, H. (1999). Knowledge in Humans and Other Animals. Philosophical Perspectives 13: 327-346.
  • Marcus, R. B. (1995). The Anti-Naturalism of Some Language Centered Accounts of Belief.Dialectica 49: 113-129.
  • McAninch, A., Goodrich, G. & Allen, C. (2009). Animal Communication and Neo- Expressivism. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • McGinn, C. (1995). Animal Minds, Animal Morality. Journal of Social Research 62: 731-747.
  • Millikan, R. G. (1997). Varieties of Purposive Behavior. In R. Mitchell, N. Thompson, and H. L. Miles (Eds.) Anthropomorphism, Anecdotes, and Animals. New York: State University of New York Press.
  • Nagel, T. (1974). What is it Like to be a Bat? Philosophical Review 83: 435-450.
  • Papineau, D. (2001). The Evolution of Means-End Reasoning. Philosophy 49: 145-178.
  • Proust, J. (1999). Mind, Space and Objectivity in Non-Human Animals. Erkenntnis 51: 41-58.
  • Proust, J. (2000). L’animal intentionnel. Terrain 34:23-36.
  • Proust, J. (2000). Can Non-Human Primates Read Minds? Philosophical Topics 27:203-232.
  • Putnam, H. (1992). Intentionality and Lower Animals. In Renewing Philosophy. Cambridge, MA: Harvard University Press.
  • Radner, D. (1993) Direct Action and Animal Communication. Ratio 6: 135-154.
  • Radner, D. (1994) Heterophenomenology: Learning About the Birds and the Bees. Journal of Phiosophy 91: 389-403.
  • Radner, D. (1999). Mind and function in animal communication. Erkenntnis 51: 129-144.
  • Rescorla, M. (2009). Chrysippus’s Dog as a Case Study in Non-Linguistic Cognition. In R. Lurz (Ed.)The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Ridge, M. (2001). Taking Solipsism Seriously: Nonhuman Animals and Meta-Cognitive Theories of Consciousness. Philosophical Studies 103: 315-340.
  • Rollin, B. E. (1989) The Unheeded Cry: Animal Consciousness, Animal Pain and Science. Oxford: Oxford University Press.
  • Rowlands, M. (2002). Do Animals Have Minds? In Animals Like Us. New York: Verso.
  • Routley, R. (1981). Alleged Problems in Attributing Beliefs and Intentionality to Animals. Inquiry, 24, 385-417.
  • Saidel, E. (2002). Animal Minds, Human Minds. In M. Bekoff, C. Allen, and G. M. Burghardt The Cognitive Animal. Cambridge, MA: MIT Press.
  • Saidel, E. (2009). Attributing Mental Representations to Animals. In R. Lurz (Ed.) The Philosophy of Animal Minds. Cambridge: Cambridge University Press.
  • Smith, P. (1982). On Animal Beliefs. Southern Journal of Philosophy 20, 503-512.
  • Sober, E. (2001). The Principle of Conservatism in Cognitive Ethology. In Denis M. Walsh (ed.)Naturalism, Evolution, and Mind. Cambridge University Press.
  • Sober, E. (2001). Comparative Psychology Meets Evolutionary Biology: Morgan’s Canon and Cladistic Parsimony. In L. Daston and G. Mitman (Eds.) Thinking With Animals: New Perspective on Anthropomorphism. Columbia University Press.
  • Stephan, A. (1999). Are Animals Capable of Concepts? Erkenntnis 51:79-92.
  • Sterelny, K. (1995). Basic Minds. Philosophical Perspectives 9: 251-270.
  • Sterelny, K. (2000). Primate Worlds. In C. Heyes and L. Huber (Eds.) Evolution and Cognition. Cambridge, MA: MIT Press.
  • Stich, S. (1983). Animal Beliefs. In From Folk Psychology to Cognitive Science. Cambridge, MA: MIT Press.
  • Ward, A. (1988). Davidson on Attributions of Beliefs to Animals. Philosophia 18: 97-106.

Historical Works on Animal Minds

  • Arnold, D. G. (1995). Hume on the Moral Difference Between Humans and Other Animals. History of Philosophy Quarterly 12: 303-316.
  • Beauchamp, T. L. (1999). Hume on the Nonhuman Animal. Journal of Medicine and Philosophy 24:322-335.
  • Boyle, D. (2003). Hume on Animal Reason. Hume Studies 29: 3-28.
  • Churchill, J. (1989). If a Lion Could Talk. Philosophical Investigations 12: 308-324.
  • Fuller, B. A. G. (1949). The Messes Animals Make in Metaphysics. The Journal of Philosophy 46: 829—838.
  • Frongia, G. (1995). Wittgenstein and the Diversity of Animals. Monist 78: 534-552.
  • Glock, H. J. (2000). Animals, Thoughts and Concepts. Synthese 123:35-64.
  • Gordon, D. M. (1992). Wittgenstein and Ant-Watching. Biology and Philosophy 7: 13- 25.
  • Harrison, P. (1992). Descartes on Animals. Philosophical Quarterly 42: 219-227.
  • Seidler, M. J. (1977). Hume and the Animals. Southern Journal of Philosophy 15:361- 372.
  • Squadrito, K. (1980). Descartes, Locke and the Soul of Animals. Philosophy Research Archives 6.
  • Squadrito, K. (1991). Thoughtful Brutes: The Ascription of Mental Predicates to Animals in Locke’s EssayDialogos 91: 63-73.
  • Sorabji, R. (1992). Animal Minds. Southern Journal of Philosophy 31: 1-18.
  • Tranoy, K. (1959). Hume on Morals, Animals, and Men. Journal of Philosophy 56: 94- 192.

Author Information

Robert Lurz
Email: Rlurz@brooklyn.cuny.edu
Brooklyn College
U. S. A.

Evolutionary Psychology

In its broad sense, the term “evolutionary psychology” stands for any attempt to adopt an evolutionary perspective on human behavior by supplementing psychology with the central tenets of evolutionary biology. The underlying idea is that since our mind is the way it is at least in part because of our evolutionary past, evolutionary theory can aid our understanding not only of the human body, but also of the human mind. In this broad sense, evolutionary psychology is a general field of inquiry that includes such diverse approaches as human behavioral ecology, memetics, dual-inheritance theory, and Evolutionary Psychology in the narrow sense.

The latter is a narrowly circumscribed adaptationist research program which regards the human mind as an integrated collection of cognitive mechanisms that guide our behavior and form our universal human nature. These cognitive mechanisms are supposed to be adaptations—the result of evolution by natural selection, that is, heritable variation in fitness. Adaptations are traits present today because in the past they helped our ancestors to solve recurrent adaptive problems. In particular, Evolutionary Psychology is interested in those adaptations that have evolved in response to characteristically human adaptive problems that have shaped our ancestors’ lifestyle as hunter-gatherers during our evolutionary past in the Pleistocence, like choosing and securing a mate, recognizing emotional expressions, acquiring a language, distinguishing kin from non-kin, detecting cheaters or remembering the location of edible plants. The purpose of Evolutionary Psychology is to discover and explain these cognitive mechanisms that guide current human behavior because they have been selected for as solutions to the recurrent adaptive problems prevalent in the evolutionary environment of our ancestors.

Evolutionary Psychology thus rests on a couple of key arguments and ideas: (1) The claim that the cognitive mechanisms that are underlying our behavior are adaptations. (2) The idea that they cannot be studied directly, for example, through observation of the brain or our overt behavior, but have to be discovered by means of a method known as “functional analysis,” where one starts with hypotheses about the adaptive problems faced by our ancestors, and then tries to infer the cognitive adaptations that must have evolved to solve them. (3) The claim that these cognitive mechanisms are adaptations not for solving problems prevalent in our modern environment, but for solving recurrent adaptive problems in the evolutionary environment of our ancestors. (4) The idea that our mind is a complex set of such cognitive mechanisms, or domain-specific modules. (5) The claim that these modules define who we are, in the sense that they define our universal human nature and ultimately trump any individual, cultural or societal differences.

Table of Contents

  1. Historic and Systematic Roots
    1. The Computational Model of the Mind
    2. The Modularity of Mind
    3. Adaptationism
  2. Key Concepts and Arguments
    1. Adaptation and Adaptivity
    2. Functional Analysis
    3. The Environment of Evolutionary Adaptedness
    4. Domain-specificity and Modularity
    5. Human Nature
  3. Examples of Empirical Research
  4. Problems and Objections
    1. Genetic Determinism
    2. Moral and Societal Issues
    3. Untestability and Story Telling
    4. Psychological Inadequacy
  5. Evolutionary Approaches to Mind, Culture, and Behavior: Alternatives to Evolutionary Psychology
    1. Human Behavioral Ecology
    2. Memetics
    3. Gene-Culture Coevolution
  6. References and Further Reading
    1. Suggested Further Reading
    2. Other Referenced Works

1. Historic and Systematic Roots

Modern Evolutionary Psychology has its roots in the late 1980s and early 1990s, when psychologist Leda Cosmides and anthropologist John Tooby from Harvard joined the anthropologist Donald Symons at The University of California, Santa Barbara (UCSB) where they currently co-direct the Center for Evolutionary Psychology. It gained wide attention in 1992 with the publication of the landmark volume The Adapted Mind by Jerome Barkow, Leda Cosmides and John Tooby, and since then numerous textbooks (for example, Buss 1999) and popular presentations (for example, Pinker 1997, 2002; Wright 1994) have appeared. These days, Evolutionary Psychology is a powerful research program that has generated some interesting research, but it has also sparked a heated debate about its aspirations and limitations (see, for example, Rose and Rose 2000).

Evolutionary Psychology is effectively a theory about How the Mind Works (Pinker 1997). The human mind is not an all-purpose problem solver relying on a limited number of general principles that are universally applied to all problems—a view that dominated early artificial intelligence (AI) and behaviorism (for example, Skinner 1938, 1957). (For the idea of an all-purpose problem solver see, for example, Newell and Simon 1972; for some of the earliest AI work related to this idea see, for example, Newell and Simon 1961, Newell et al. 1958.) Rather, the human mind is a collection of independent, task-specific cognitive mechanisms, a collection of instincts adapted for solving evolutionary significant problems. The human mind is sort of a Swiss Army knife (Pinker 1994). This conception of the mind is based on three important ideas adopted from other disciplines (Cosmides and Tooby 2003, 54; Samuels 1998, 577): the computational model of the mind, the assumption of modularity, and the thesis of adaptationism.

a. The Computational Model of the Mind

Following the development of modern logic (Boole 1847; Frege 1879) and the formalization of the notion of computation (Turing 1936), early AI construed logical operations as mechanically executable information processing routines. Eventually, this led to the idea that mental processes (for example, reasoning) and mental states (for example, beliefs and desires) may themselves also be analyzable in purely syntactic terms. The “Computational Theory of Mind,” developed by philosophers like Hilary Putnam (1963) and Jerry Fodor (1975, 1981), for instance, conceives of mental states as relations between a thinker and symbolic representations of the content of the states, and of mental processes as formal operations on the syntactic features of those representations.

Evolutionary Psychology endorses the computational model of the mind as an information processing system or a formal symbol manipulator and thus treats the mind as a collection of “computational machines” (Cosmides and Tooby 2003, 54) or “information-processing mechanisms” (Tooby and Cosmides 1990a, 21) that receive input from the environment and produce behavior or physiological changes as output. To this, it adds an evolutionary perspective: “The evolutionary function of the human brain is to process information in ways that lead to adaptive behavior; the mind is a description of the operation of a brain that maps informational input onto behavioral output” (Cosmides and Tooby 1987, 282). The brain is thus not just like a computer. “It is a computer—that is, a physical system that was designed to process information” (Tooby and Cosmides 2005, 16; italics added).

The Computational Model of the Mind: The human mind is an information processing system, physically realized in the brain, and can be described at a computational level as a device whose evolutionary function is to process information by mapping informational input onto behavioral output.

b. The Modularity of Mind

Early attempts at simulating human intelligence revealed that artificial cognitive systems that are not already equipped with a fair amount of “innate knowledge” about a particular problem domain are unable to solve even the easiest problems (see, for example, the idea of “scripts” in Schank and Abelson 1977). In the 1970s and 1980s, the work of scientists like Noam Chomsky, Jerry Fodor, or David Marr further undermined the idea of the mind as a “blank slate” which acquires knowledge about the world by means of only a couple of general learning mechanisms. Their findings suggested instead that the mind incorporates a number of cognitive subsystems that are triggered only by a certain kind of input. While Marr (1982) was working on the neuroscience of vision, Chomsky famously criticized the behaviorist idea that language acquisition is just an ordinary kind of learning that follows the stimulus-response model by proving the intractability of some learning algorithms (see, for example, his 1959 review of Skinner’s Verbal Behavior or Chomsky 1957; for a later statement of similar ideas see Chomsky 1975). According to his “Poverty of the Stimulus” argument, a child cannot learn her first language through observation because the available stimuli (that is, the utterances of adult speakers) neither enable her to produce grammatically correct nor prevent her from producing grammatically incorrect sentences. Instead, Chomsky argued, we possess a “language acquisition device” which, rather than extracting all information from the world through some general mechanism, comes already equipped with a certain amount of “innate knowledge.” Just as our body contains a number of innate, genetically predisposed organs that serve a specific function, our mind also contains a number of information processing systems (like the language acquisition device), so called mental organs or modules in Fodor’s (1983) terminology, that are designed to perform a particular cognitive function.

The model of the mind as a general learning mechanism that is indiscriminately applied to any problem domain was also disconfirmed in other areas of cognitive science. Garcia and Koelling (1966) showed that while rats can learn some associations by means of stimulus-response mechanisms, others, albeit structurally similar, cannot be learned at all, or only much slower: rats that are given food that makes them nauseous subsequently avoid that kind of food, but they are unable to learn an association between a sound or a light and feeling nauseous. Galef (1990) demonstrated that rats readily eat a new kind of food if they smell it at another rat’s mouth, but not if they smell it at another part of the body. Mineka and Cook (1988) showed that a laboratory raised monkey that initially did not show fear of snakes started to do so once he observed another monkey exhibiting fear of snakes; yet, he didn’t start to show fear of flowers when observing the other doing so. Comparable “learning biases” have been found for humans in various areas (for example, Cook et al. 1986; Marks and Nesse 1994; Seligman and Hagar 1972).

Evolutionary Psychologists conclude that the assumption that the human mind is composed mainly of a few content-free cognitive processes that are “thought to govern how one acquires a language and a gender identity, an aversion to incest and an appreciation for vistas, a desire for friends and a fear of spiders—indeed, nearly every thought and feeling of which humans are capable” (Ermer et al. 2007, 155) is inadequate. Such mechanisms would be “limited to knowing what can be validly derived by general processes from perceptual information” (Cosmides and Tooby 1994, 92) and thus incapable of efficiently solving adaptive problems (see section 2d). Instead, Evolutionary Psychologists claim, “our cognitive architecture resembles a confederation of hundreds or thousands of functionally dedicated computers” (Tooby and Cosmides 1995, xiii), the so-called “modules”:

Modularity: The mind consists of a (possibly large) number of domain-specific, innately specified cognitive subsystems, called “modules.”

c. Adaptationism

Since cognitive mechanisms are not directly observable, studying them requires some indirect way of discovering them (see section 2b). Evolutionary Psychologists adopt the kind of adaptationist reasoning well known from evolutionary biology that also characterizes many works in sociobiology (Wilson 1975). Ever since Charles Darwin (1859/1964) proposed his theory of evolution by natural selection, evolutionary biologists quite successfully offer adaptationist explanations of physiological features of living things that explain the presence of a trait by claiming that it is an adaptation, that is, a trait current organisms possess because it enhanced their ancestors’ fitness. During the 1970s, sociobiologists argued that “social behaviors [too] are shaped by natural selection” (Lumsden and Wilson 1981, 99; for the original manifesto of sociobiology see Wilson 1975) and started to seek adaptationist explanations for cognitive, cultural, and social traits, like the ability to behave altruistically, different mating preferences in males and females, or the frequently observed parent-offspring conflicts.

Evolutionary Psychologists have inherited sociobiology’s adaptationist program: “The core idea … is that many psychological characteristics are adaptations—just as many physical characteristics are—and that the principles of evolutionary biology that are used to explain our bodies are equally applicable to our minds” (Durrant and Ellis 2003, 5). Our mind, they argue, is a complex, functionally integrated collection of cognitive mechanisms, and since the only known natural process that can bring about such functional complexity is evolution by natural selection (Cosmides and Tooby 1991, 493; Symons 1987, 126; Tooby and Cosmides 1990b, 382), these cognitive mechanisms are likely to be adaptations to the adaptive problems of our ancestors. This, Evolutionary Psychologists hold, intimately links psychology with evolutionary theory: “Because the architecture of the human mind acquired its functional organization through the evolutionary process, theories of adaptive function are the logical foundation on which to build theories of the design of cognitive mechanisms” (Ermer et al. 2007, 153–4). While evolutionary theory is used to describe the relevant ancestral problems and to make educated guesses about the information processing cognitive mechanisms that have been shaped by natural selection in response, the task of psychology is to establish that current humans actually possess these mechanisms (see section 2b).

Adaptationism: The human mind, like any other complex feature, was shaped by a process of evolution through natural selection. Its subsystems, the modules, are adaptations for solving recurrent information processing problems that arose in our ancestors’ evolutionary environment.

2. Key Concepts and Arguments

According to Evolutionary Psychology, the human mind is a set of cognitive adaptations designed by natural selection. Since such design takes time, the adaptive problems that shaped our mind are not the ones we know from our life as industrialists during the past 200 years, or from our life as agriculturalists during the past 10,000 years, but those characteristic of our past life as hunter-gatherers. Since these problems varied considerably, the human mind contains many problem-specific adaptations. The task of Evolutionary Psychology is to discover these modules by means of what is called a “functional analysis,” where one starts with hypotheses about the adaptive problems faced by our ancestors, and then tries to infer the cognitive adaptations that must have evolved to solve them.

This theoretical framework of Evolutionary Psychology centers on a couple of key ideas which will be explained in this section: (1) The cognitive mechanisms that underlie our behavior are adaptations. (2) They have to be discovered by means of functional analysis. (3) They are adaptations for solving recurrent adaptive problems in the evolutionary environment of our ancestors. (4) Our mind is a complex set of such mechanisms, or domain-specific modules. (5) These modules define our universal human nature.

a. Adaptation and Adaptivity

That our evolutionary history influenced not only our bodies, but also our brains, and thus our minds, is not very controversial. But how exactly has evolution affected the way we are, mind-wise? How exactly can evolutionary theory elucidate the structure and function of the human mind?

It may seem that “behavioral traits are like any other class of characters” (Futuyama 1998, 579), so that they can be subject to natural selection in the same way as physiological traits. In that case, an evolutionary study of human behavior could then proceed by studying behavioral variants and see which of them are adaptive and which selectively neutral or detrimental. However, since natural selection is heritable variation in fitness, it can act only on entities that are transmitted between generations, and behavior as such is not directly transmitted between generations, but only via the genes that code for the proximal cognitive mechanisms that trigger it. Hence, “[t]o speak of natural selection as selecting for ‘behaviors’ is a convenient shorthand, but it is misleading usage. … Natural selection cannot select for behavior per se; it can only select for mechanisms that produce behavior” (Cosmides and Tooby 1987, 281).

Hence, an evolutionary approach to human psychology must proceed by studying the cognitive mechanisms that underlie our behavior: “In the rush to apply evolutionary insights to a science of human behavior, many researchers have made a conceptual ‘wrong turn,’ … [which] has consisted of attempting to apply evolutionary theory directly to the level of manifest behavior, rather than using it as a heuristic guide for the discovery of innate psychological mechanisms” (Cosmides and Tooby 1987, 278–9). By sharply distinguishing between adaptive behavior and the cognitive mechanisms that are adaptations for producing adaptive behavior, Evolutionary Psychologists provide “the missing link between evolutionary theory and manifest behavior” (Tooby and Cosmides 1989, 37). [The drawback is that things become more complicated since “it is less easy to sustain claims that a trait is a product of natural selection than claims that it confers reproductive benefits on individuals in contemporary populations” (Caro and Borgerhoff Mulder 1987, 66). Section 2b shows how Evolutionary Psychologists try to cope with this difficulty, and section 5a discusses a version of evolutionary psychology that focuses on adaptive behavior.]

We quite often do things detrimental to survival and reproduction (we use contraceptives, consume unhealthy doses of fatty food, and blow ourselves up in the middle of crowded market places). We also willfully refrain from doing things that would be conducive to survival (buy some healthy food, exercise) or boost our potential for reproduction (donate our sperm or eggs to cryobanks). If Evolutionary Psychology is right that our mind contains cognitive mechanisms that are adaptations for producing adaptive behavior, then why are we behaving maladaptively so often?

The claim that the brain is an adaptation for producing adaptive behavior does not entail that it is currently producing adaptive behavior. Adaptations are traits that are present today because of the selective advantage they offered in the past, and the past environment arguably differed notably from the current one. The modern metropolis in which we live in unprecedented large groups, consume fast food and use contraceptives is not even 100 years old, and even agriculture arose only some 10,000 years ago. Compared to this, our ancestors spent an unimaginably long time in Pleistocene conditions (roughly, the period spanning 1.8 million years ago to 10,000 years ago) living in small nomadic hunter-gatherer bands. The cognitive mechanisms produced by natural selection are adaptations for producing adaptive behavior in these circumstances, not for playing chess, passing logic exams, navigating through lower Manhattan, or keeping ideal weight in an environment full of fast food restaurants. [Which is why we are so bad at these things: “it is highly unlikely that the cognitive architecture of the human mind includes procedures that are dedicated to solving any of these problems: The ability to solve them would not have enhanced the survival or reproduction of the average Pleistocene hunter-gatherer” and hence “the performance of modern humans on such tasks is generally poor and uneven” (Cosmides and Tooby 1994, 95).]

Among the day-to-day problems of our ancestors that shaped the human mind are: “giving birth, winning social support from band members, remembering the locations of edible plants, hitting game animals with projectiles, …, recognizing emotional expressions, protecting family members, maintaining mating relationships, …, assessing the character of self and others, causing impregnation, acquiring language, maintaining friendships, thwarting antagonists, and so on” (Cosmides and Tooby 2003, 59). In these areas, we still behave the way we do because our behavior is guided by cognitive mechanisms that have been selected for because they produced behavior that was adaptive in our ancestors’ evolutionary environment. As Evolutionary Psychologists colorfully put it: “Our modern skulls house a Stone Age mind” (Cosmides and Tooby 1997, 85).

It is thus crucial to distinguish between a trait’s being an adaptation and its being adaptive. A trait is an adaptation if it was “designed” by natural selection to solve the specific problems posed by the regularities of the physical, chemical, ecological, informational, and social environments encountered by the ancestors of a species during the course of its evolution” (Tooby and Cosmides 1990b, 383), while a trait is adaptive if it currently enhances its bearer’s fitness. Since the environment in which a trait was selected for may differ from the current one, “[t]he hypothesis that a trait is an adaptation does not imply that the trait is currently adaptive” (Symons 1990, 430). But if cognitive adaptations can neither be discovered in the brain, nor by observing current human behavior, how can they be studied?

b. Functional Analysis

Verifying the claim that a trait is an adaptation is difficult because this is essentially a historical claim. A trait is an adaptation because it was adaptive in the past, and it is unclear what the past was like, let alone what would have been adaptive under past conditions. According to Evolutionary Psychology, however, it is possible to verify adaptationist claims:

Researchers can identify an aspect of an organism’s physical, developmental, or psychological structure … as an adaptation by showing that (1) it has many design features that are improbably well suited to solving an ancestral adaptive problem, (2) these phenotypic properties are unlikely to have arisen by chance alone, and (3) they are not better explained as the by-product of mechanisms designed to solve some alternative adaptive problem or some more inclusive class of adaptive problem. Finding that a reliably developing feature of the species’ architecture solves an adaptive problem with reliability, precision, efficiency, and economy is prima facie evidence that an adaptation has been located. (Tooby and Cosmides 2005, 28)

What Tooby and Cosmides suggest is a procedure known as functional analysis. One uses evolutionary reasoning to identify the adaptive problems our ancestors presumably awaited in their evolutionary environment, infers from this the cognitive mechanisms that one thinks must have evolved to solve these problems, conducts psychological experiments to show that they are actually found in current human beings, and rules out alternative explanations.

A bit more precisely, identifying adaptations by means of functional analysis proceeds in six steps (Tooby and Cosmides 1989, 40–1):

Step 1 uses evolutionary considerations to formulate a model of the past adaptive problems the human mind had to solve.

Step 2 generates hypotheses about exactly how these problems would have manifested themselves under the selection pressures present in the evolutionary environment of our ancestors.

Step 3 formulates a “computational theory” that specifies “a catalog of the specific information processing problems” (Cosmides and Tooby 1987, 289) that had to be solved to overcome the adaptive problems identified in step 2.

Step 4 uses the computational theory “as a heuristic for generating testable hypotheses about the structure of the cognitive programs that solve the adaptive problems in question” (Cosmides and Tooby 1987, 302).

Step 5 rules out alternative accounts of the cognitive mechanisms in question that do not treat them as the result of evolution by natural selection.

Step 6 tests the adaptationist hypotheses by checking whether modern Homo sapiens indeed possess the cognitive mechanisms postulated in step 4. If this test is successful, Evolutionary Psychologists contend, it is quite likely that the cognitive mechanisms are indeed adaptations for solving the problems identified in step 1. (For examples of empirical research that, by and large, follow this theoretical framework, see section 3.)

(One may add a seventh step which tries to discover the neural basis of the cognitive mechanisms, so that eventually theories of adaptive problems guide the search for the cognitive mechanisms that solve them, while knowing what cognitive mechanisms exist in turn guides the search for their neural basis.)

The procedure of functional analysis shows what sort of evidence would support the claim that a cognitive mechanism is an adaptation for solving a given adaptive problem. However, since functional analysis itself relies on hypotheses about the adaptive problems prevalent in our ancestors’ past, the obvious question is: How can we today know with any certainty which adaptive problems our ancestors faced?

c. The Environment of Evolutionary Adaptedness

Since the “description of ancestral conditions is one indispensable aspect of characterizing an adaptation” (Tooby and Cosmides 1990b, 387), discovering the mind’s modules requires knowing what exactly the environment that Bowlby (1969) calls the environment of evolutionary adaptedness (EEA) looked like. The human EEA consists in the set of environmental conditions encountered by human populations during the Pleistocene (from 1.8 million years ago to 10,000 years ago), when early hominids lived on the savannahs of eastern Africa as hunter-gatherers. Yet, the EEA “is not a place or a habitat, or even a time period. Rather, it is a statistical composite of the adaptation-relevant properties of the ancestral environments encountered by members of ancestral populations, weighted by their frequency and fitness consequences” (Tooby and Cosmides 1990b, 386–7). More specifically, it is a “composite of environmental properties of the most recent segment of a species’ evolution that encompasses the period during which its modern collection of adaptations assumed their present form” (Tooby and Cosmides 1990b, 388). Importantly, “different adaptations will have different EEAs. Some, like language, are firmly anchored in approximately the last two million years; others, such as infant attachment, reflect a much lengthier evolutionary history” (Durrant and Ellis 2003, 10). Speaking about the EEA is thus at least misleading, since strictly speaking one has to distinguish between the EEA of a species and the EEA of particular cognitive adaptations.

There are two crucial questions with regard to the EEA: First, why suppose that our cognitive mechanisms, even if they are adaptations, are adaptations to exactly the problems faced by our ancestors in the EEA? Second, how can we today determine the EEA of a particular adaptation in enough detail?

Evolutionary Psychologists offer two related arguments in response to the first question. The first draws attention to the large amount of time our ancestors spent in Pleistocene conditions compared to the brief stretch of time that has passed since the advent of agriculture or industrialization: “Our species spent over 99% of its evolutionary history as hunter-gatherers in Pleistocene environments. Human psychological mechanisms should be adapted to those environments, not necessarily to the twentieth-century industrialized world” (Cosmides and Tooby 1987, 280). The second argument maintains that since natural selection is a slow process, there just have not been enough generations for it to design new cognitive mechanisms that are well-adapted to our post-agricultural industrial life: “It is no more plausible to believe that whole new mental organs could evolve since the Pleistocene … than it is to believe that whole new physical organs such as eyes would evolve over brief spans. … [and] major and intricate changes in innately specified information-processing procedures present in human psychological mechanisms do not seem likely to have taken place over brief spans of historical time” (Tooby and Cosmides 1989, 34).

Both arguments seem to suffer from the same difficulty. The 10,000 years that have passed since the Pleistocene correspond to roughly 400 generations, and if the selection pressure and the heritability (roughly, a measure of the response to selection) are high enough, quite a lot can happen in 400 generations. In particular, no one needs to hold that “whole new mental organs could evolve since the Pleistocene.” In order to undermine the claim that we are walking fossils with Stone Age minds in our heads, it is sufficient to show that significant changes can occur within 400 generations. The same observation threatens the first argument: How much time our ancestors spent in one environment as compared to another is completely irrelevant, if the selection pressures in one differ radically from those in the other.

In response to the second question, Evolutionary Psychologists point out that, first, we can be relatively sure that the physical conditions were comparable to the ones today—”an enormous number of factors, from the properties of light to chemical laws to the existence of parasites, have stably endured” (Tooby and Cosmides 1990b, 390)—and, second, we can be relatively certain on paleontological grounds that a great deal of our ancestors spend a great deal of their time on African savannahs as hunter-gatherers. Yet, since it is in response to the social problems faced by our ancestors that our cognitive adaptations are said to have evolved, what matters is not so much the physical environment (which may have stayed constant, by and large) but the social environment, and the question is what we can know with any certainty about the social life of our ancestors, given that social traits do not fossilize.

Evolutionary Psychologists contend that with regard to the social environment little has changed, too: our ancestors arguably had to attract and retain mates, provide care for their children, understand the intentions and emotions of those with whom they engaged in social exchange, and so forth, just as we do. However, such general knowledge about the EEA seems to be of little use, for discovering cognitive adaptations requires formulating a computational theory that provides “a catalog of the specific information processing problems” (Cosmides and Tooby 1987, 289; italics added), and that goes significantly beyond being told that our ancestors had to find mates, care for children, find food and so forth (for more on this see section 4c).

d. Domain-specificity and Modularity

Empiricism in philosophy, behaviorism in psychology and the rules and representation approach to artificial cognitive systems characteristic of GOFAI (“good old fashioned artificial intelligence”), roughly speaking, shared the belief that our mind contains only a few domain-general cognitive mechanisms that account for everything we can learn, be it speaking and understanding a language, solving algebra equations, playing chess or driving a bike. In contrast, Evolutionary Psychologists insist that “[f]rom an evolutionary perspective, the human cognitive architecture is far more likely to resemble a confederation of hundreds or thousands of functionally dedicated computers … than it is to resemble a single general purpose computer equipped with a small number of domain-general procedures” (Tooby and Cosmides 2000, 1171).

Evolutionary Psychologists have advanced three arguments for this modularity, or massive modularity, hypothesis. In short, a domain-general psychological architecture cannot guide behavior in ways that promote fitness for at least three related reasons:

  1. What counts as fit behavior differs from domain to domain, so there is no domain-general criterion of success or failure that correlates with fitness.
  2. Adaptive courses of action can be neither deduced nor learned by general criteria, because they depend on statistical relationships between features of the environment, behavior, and fitness that emerge over many generations and are, therefore, not observable during a single lifetime.
  3. Combinatorial explosion paralyzes any truly domain-general system when encountering real-world complexity. (Cosmides and Tooby 1994, 91)

Simply put, the idea behind the first argument is that “[t]here is no such thing as a ‘general problem solver’ because there is no such thing as a general problem” (Symons 1992, 142). Our ancestors faced a host of different adaptive problems, and “different adaptive problems frequently have different optimal solutions” (Cosmides and Tooby 1991, 500): what counts as a successful solution to one, say choosing a mate, arguably differs from what counts as a successful solution to another, say choosing nutritious food. Hence, there is no domain-general criterion of success or failure: “A woman who used the same taste preference mechanisms in choosing a mate that she used to choose nutritious foods would choose a very strange mate indeed, and such a design would rapidly select itself out” (Cosmides and Tooby 1994, 90). Hence, because different solutions can be implemented only by different, functionally distinct mechanisms, there must be as many domain-specific subsystems as there are domains in which the definitions of successful behavior differ. “The human mind … is composed of many different programs for the same reason that a carpenter’s toolbox contains many different tools: Different problems require different solutions” (Tooby and Cosmides 2000, 1168). In response to this argument, the critics have pointed out that there is no reason why a cognitive system that relies on a few domain-general mechanisms that are fed with innate domain-specific information should not be as good as a modular cognitive architecture (see, for example, Samuels 1998, 587).

According to the second argument, a domain general decision rule such as “Do that which maximizes your inclusive fitness” cannot efficiently guide behavior because whether or not a behavior is fitness enhancing is something an individual often cannot find out within its own lifetime, given that the fitness impact of a design feature relative to alternative designs “is inherently unobservable at the time the design alternative actually impacts the world, and therefore cannot function as a cue for a decision rule” (Tooby and Cosmides 1990b, 417). As Buss has put it: “the relevant fitness information only becomes known generations later and hence is not accessible to individual actors” (Buss 1995, 10). For instance, whether one should prefer fatty food over vegetables, or whether one should decide to have children with potential partner A or with rival B are behavioral decisions whose impact on one’s fitness clearly cannot be learned empirically at the time these decisions have to be made. While in the former case, it may help to have a look at what others are doing, that strategy is of no avail in the latter case. And even in the former case the appeal to the possibility of learning from others only pushes the problem one step further because “[i]mitation is useless unless those imitated have themselves solved the problem of the adaptive regulation of behavior” (Cosmides and Tooby 1987, 295).

As Ermer et al. (2007) have put the point, the problem for domain-general cognitive architectures is that we are living in “clueless environments”:

Content-free architectures are limited to knowing what can be validly derived by general processes from perceptual information available during an individual’s lifetime. This sharply limits the range of problems they can solve: When the environment is clueless, the mechanism will be, too. Domain-specific mechanisms are not limited in this way. They can be constructed to embody clues that fill in the blanks when perceptual evidence is lacking or difficult to obtain (Ermer et al. 2007, 157).

At this point, a natural question to ask for the critic would be how natural selection is supposed to operate if “relevant fitness information” is indeed not available. As Buss puts it: would the result of a really “clueless environment” not be extinction, rather than adaptation?

Cosmides and Tooby’s third argument for the claim that domain-general systems could not live up to the tasks our mind regularly solves concerns the general computational problems faced by such systems. As they put it, a domain-general architecture “is defined by what it lacks: It lacks any content, either in the form of domain-specific knowledge or domain-specific procedures, that can guide it toward the solution of an adaptive problem” (Cosmides and Tooby 1994, 94). Therefore, they argue, a domain-general system must evaluate all alternatives it can define, and this raises an obvious problem: “Permutations being what they are, alternatives increase exponentially as the problem complexity increases. By the time you analyze any biological problem of routine complexity, a mechanism that contains no domain-specific rules of relevance, procedural knowledge, or privileged hypotheses could not solve the problem in the amount of time the organism has to solve it” (Cosmides and Tooby 1994, 94). Given that a specialization-free architecture contains no rules of relevance, or domain-specialized procedural knowledge, to restrict its search of a problem space, it could not solve any biological problem of routine complexity in time.

These theoretical considerations (see Samuels 1998 and Buller 2005, ch. 4 for criticism), together with the empirical support for the modularity hypothesis that comes from cognitive science (see section 1b), have led Evolutionary Psychologists to the conclusion that “the mind is organized into modules or mental organs, each with a specialized design that makes it an expert in one area of interaction with the world” (Pinker 1997, 21). The mind is a Swiss Army knife containing evolved, functionally specialized computational devices like, for example, “face recognition systems, a language acquisition device, mindreading systems, navigation specializations, animate motion recognition, cheater detection mechanisms, and mechanisms that govern sexual attraction” (Cosmides and Tooby 2003, 63).

Although there can be little doubt that the mind is modular to some extent, it is currently a hotly debated question exactly how modular it is. Is it really massively modular in the sense that it is a collection of hundreds or thousands of modules, or is it modular in a weaker sense (see, for example, the debate between Carruthers 2006, Prinz 2006, and Samuels 2006)? Interestingly, even the most ardent advocates of Evolutionary Psychology have recently acknowledged that “[t]he mind presumably does contain a number of functionally specialized programs that are relatively content-free and domain-general,” but they have insisted that “these can regulate behavior adaptively only if they work in tandem with a bevy of content-rich, domain-specialized ones …” (Ermer et al. 2007, 156; see also Tooby and Cosmides 1998, 200).

e. Human Nature

According to Evolutionary Psychologists, since the modules of which the human mind is made up have been constantly selected for during a vast stretch of time there is ample reason to think that “human universals … exist at the level of the functionally described psychological mechanism” (Tooby and Cosmides 1989, 36; italics added). That is, the modules discovered by functional analysis constitute “an array of psychological mechanisms that is universal among Homo sapiens” (Symons 1992, 139), they are “the psychological universals that constitute human nature” (Tooby and Cosmides 1990a, 19). As a consequence, Evolutionary Psychology has the potential to discover a “human nature [that] is everywhere the same” (Tooby and Cosmides 1992, 38).

Apart from the observation that enough time has passed with constant selection pressures for our cognitive modules virtually being driven to fixation, Cosmides and Tooby have offered two arguments for the universality of our psychological adaptations (see also Buller 2005, 73–4). The first argument is more or less a plausibility argument, according to which since our bodies and our minds are both the result of evolution by natural selection, and our bodies are universal, so should be our minds:

[T]he fact that any given page out of Gray’s Anatomy describes in precise anatomical detail individual humans from around the world demonstrates the pronounced monomorphism present in complex human physiological adaptations. Although we cannot directly ‘see’ psychological adaptations …, no less could be true of them. (Tooby and Cosmides 1992, 38)

The second argument first appeared in Tooby and Cosmides (1990a), has been repeated in Tooby and Cosmides (1992) and is treated by Evolutionary Psychologists as a definite proof of universal panhuman design. In a nutshell, the argument is that since in sexual reproduction a child’s genome is a mixture of its father’s and its mother’s genes, and since cognitive adaptations are complex and thus not coded for by a single gene but require hundreds or thousands of genes to work in concert for their development, “it is improbable that all of the genes necessary for a complex adaptation would be together in the same individual if the genes coding for the components of complex adaptations varied substantially between individuals” (Tooby and Cosmides 1992, 78–9).

If there is a complex series of interdependent adaptations required to produce a sex, a behavioral strategy, or a personality type, there is only one way to ensure the necessary coordination. All of the parts of the genetic programs necessary to build the integrated design must be present when needed in every individual of a given type. The only way that the 50 genes, or 100 genes, or 1,000 genes that may be required to assemble all of the features defining a given type can rely on each other’s mutual presence is that they are all present in every individual. (Tooby and Cosmides 1990a, 45)

Evolutionary Psychologists are thus not claiming that human behavior or culture is the same everywhere. Quite obviously, there is significant behavioral and cultural diversity throughout the world. What they claim is that the genes that are required for our cognitive adaptations to develop, and thus the cognitive adaptations themselves, must be the same all over the world, although, of course, the behavior that results from them may differ (for more on this, see section 4a).

3. Examples of Empirical Research

Evolutionary Psychology has sparked an enormous amount of empirical research covering nearly any imaginable topic, including issues as diverse as language, morality, emotions, parental investment, homicide, social coercion, rape, psychopathologies, landscape preferences, spatial abilities, or pregnancy sickness (see, for example, Buss 1999, 2005; Barkow et al. 1992 for an overview).

For instance, Margie Profet (1992) has argued that pregnancy sickness—a set of symptoms like food aversion, nausea, and vomiting that some women experience during the first three months of pregnancy—is an adaptation for protecting the embryo against maternal ingestion of toxins abundant in natural foods by lowering the typical human threshold of tolerance to toxins during the period of the embryo’s maximum susceptibility to toxins. Irwin Silverman and Marion Eals (1992) have argued that from an evolutionary point of view the male advantage in spatial abilities usually found in psychological experiments does not make sense. Although hunting, the primary task of our male ancestors, clearly required spatial abilities, no less is true of gathering plants, the primary task of our female ancestors. In order to be efficient foragers, our female ancestors must have been able to encode and remember the locations of thousands of different plants. When Silverman and Eals designed spatial tests that measured subjects’ ability to recall the location of items in a complex array or objects in a room, they found that women indeed consistently recalled more objects than men did, and recalled their location more accurately.

David Buss has argued that there are major differences between males and females regarding mate choice and jealousy that are evolved responses to different selection pressures (see, for example, Buss 1992, 1994, 2000; Buss and Schmitt 1993). For instance, he reasoned that because men need to guard against cuckoldry, while women need to guard against losing their mate’s economic resources, men should be concerned more by signs of sexual infidelity than about the loss of their partner’s emotional attachment, while women should be troubled more by cues that signal emotional infidelity than by signs of sexual infidelity. Buss et al. (1992) asked males and females from the USA, Europe and Asia whether they would be more distressed by sexual or emotional infidelity:

Please think of a serious committed romantic relationship that you have had in the past, that you currently have, or that you would like to have. Imagine that you discover that the person with whom you’ve been seriously involved became interested in someone else. What would distress or upset you more (please circle only one):

(A) Imagining your partner forming a deep emotional attachment to that person.

(B) Imagining your partner enjoying passionate sexual intercourse with that other person.

(Buss et al. 1992, 252)

Nowhere did women report sexual infidelity to be more upsetting than men, and on average, 51% of the men, but only 22% of the women chose option B above (for data and critical discussion, see Buller 2005, 316–45). These results have been taken to confirm Buss’ evolutionary hypothesis about sex differences with regard to jealousy (for a dissenting view see, for example, DeSteno and Salovey 1996; Harris and Christenfeld 1996).

The flagship example of Evolutionary Psychology is still Cosmides and Tooby’s work on cheater detection. In the 1960s, the Swedish psychologist Peter Wason devised the so-called “Wason Selection Task” in order to investigate how good subjects are at checking conditional rules (Wason 1966). He gave subjects a rule of the form “If P, then Q” (for example, “If a person goes to Boston, then that person takes the subway”), and showed them four cards. Two of the cards exemplified the P– and not-P-option, respectively (for example, “Boston” and “New York”), and two of them exemplified the Q and not-Q-option, respectively (for example, “subway” and “cab”). The subjects were told that the unseen sides of the P and not-P-cards could contain an instance of either Q or not-Q, and vice versa, and that they should indicate all and only the cards that would definitely have to be turned over in order to determine whether they violated the rule. Since a material conditional is false if and only if its antecedent is true and its consequent is false, the logically correct response would be to pick the P– and the not-Q-card. However, Wason discovered that most subjects choose either only the P-card or the P– and the Q-card, while few choose the P– and the not-Q-card. More importantly, subjects’ performance was apparently influenced by the content of the rules. While 48% correctly solved the Boston/transportation problem, successful performance dropped to less then 25% for the rule “If a person has a ‘D’ rating, then his documents must be marked code ‘3’” (with the options ‘D’, ‘F’, ‘3’, ‘7’), and increased to nearly 75% for the rule “If a person is drinking beer, then he must be over 21 years old” (with the options “drinking beer,” “drinking coke,” “25 years old,” “16 years old”) (Cosmides and Tooby 1992, 182–3). By the 1980s, the psychological literature was full with reports of such “content effects,” but there was no satisfying theory to explain them.

Evolutionary biologists had long been puzzled by our ability to engage in altruistic behavior—behavior an individual A performs for the benefit of another individual B, associated with some significant cost for A (like warning calls, help in raising offspring, saving a drowning child, and so forth). How could a tendency to behave in a way that increases another individual’s fitness at some non-negligible cost to oneself be produced and retained by natural selection? Robert Trivers (1971) argued that altruistic behavior can evolve if it is reciprocal, that is, if A‘s act a has benefit bB for B and cost cA for A, B reciprocates with some act a* with benefit bA for A and cost cB for B, where bA outweighs cA and bB outweighs cB. Interactions that satisfy this cost-benefit structure constitute what is called a “social exchange.” Since in social exchanges both A and B incur a net-benefit, Trivers reasoned, altruistic behavior can evolve. Yet, the problem is that once a propensity for altruistic behavior has evolved, it is obviously better for an individual to cheat by accepting the benefit of an altruistic act without paying the cost of reciprocation. In the long run, this would lead to an increase in the number of cheaters until altruism was driven to extinction. In order for altruism to evolve, Trivers (1971, 48) concluded, natural selection must “favor more acute abilities to detect cheating.”

Cosmides and Tooby saw a connection between the need to detect cheaters in acts of social exchange and the content effect discovered by Wason (Cosmides 1989; Cosmides and Tooby 1989, 1992). Since the ability to test abstract logical rules would not have had any adaptive value in the EEA, we should not expect natural selection to have endowed the human mind with some general conditional reasoning capacity. Rather, natural selection should have designed a module that allows us to detect those who accept the benefit without reciprocating accordingly in situations of social exchange. Consequently, we should be better at testing social contract rules that say “If person A provides the requested benefit to or meets the requirement of person or group B, then B will provide the rationed benefit to A” (Cosmides and Tooby 2000, 1260) than at testing conditional rules that do not describe such conditions.

When Cosmides and Tooby categorized “content effects according to whether they conformed to social contracts, a striking pattern emerged. Robust and replicable content effects were found only for rules that related terms that are recognizable as benefits and cost/requirements in the format of a standard social contract” (Cosmides and Tooby 1992, 183). They argued that the content effect found in Wason Selection Tasks is due to the fact that some tasks involve a social contract rule.

In order to substantiate this hypothesis, they conducted a series of experiments designed to rule out alternative explanations of the content effects. One plausible explanation, for instance, would be that our cognitive system is able to deal better and more effectively with familiar problems (like the drinking/age problem) than with unfamiliar problems (like the letter/number problem). They therefore compared performance on unfamiliar social rules with performance on unfamiliar non-social rules. If familiarity is the issue, then subjects should perform equally bad on both unfamiliar rules. If, however, the increased performance in the drinking/age problem is due to the fact that here the subjects are dealing with a social contract rule, then performance should be better on the unfamiliar social than on the unfamiliar non-social rule.

Cosmides designed two unfamiliar Wason Selection Tasks. One rule read “If a man eats cassava root, then he must have a tattoo on his face” (with the options “eats cassava root,” “eats molo nuts,” “tattoo,” “no tattoo”). The other read “If you eat duiker meat, then you have found an ostrich eggshell” (with the options “duiker,” “weasel,” “ostrich eggshell,” “quail eggshell”). The first was accompanied by a story according to which the inhabitants of a Polynesian island have strict sexual mores that prohibit sex between unmarried people and thus mark married men with a facial tattoo and do not permit unmarried men to eat cassava root, which is a very powerful aphrodisiac. The second story said that anthropologists who notice that the natives frequently say that if someone eats duiker meat, then he has found an ostrich shell hypothesize that this is because duikers often feed on ostrich shells. Thus, the first rule clearly represents a social contract—having a tattoo is the requirement one has to meet if one is being permitted the benefit of eating cassava root—while the second is a non-social rule which simply expresses the hypothesis that duikers and ostrich eggs are frequently found in close proximity.

The results confirmed the cheater detection prediction (Cosmides and Tooby 1992, 186–7): 75% correctly answered the unfamiliar social problem, but only 21% the unfamiliar non-social problem.

Cosmides also hypothesized that if there is a cheater detection module, then subjects should pick the cards that represent cheating even if they correspond to the logically incorrect answer. She thus switched the logical role of the P/not-P– and the Q/not-Q-cards in both the cassava root/tattoo and the duiker meat/ostrich shell problem. The switched rules read “If a man has a tattoo on his face, then he eats cassava root” and “If you have found an ostrich eggshell, then you eat duiker meat.” Since the not-P– and the Q-card (“no tattoo” and “eats cassava root”) still represent accepting a benefit without meeting the requirement, the cheater detection hypothesis predicts that subjects should pick the logically incorrect cards in the first case, whereas performance in the ostrich shell/duiker meat case should be unaffected. Again, the prediction was confirmed (Cosmides and Tooby 1992, 188–9): 67% of the subjects chose the logically incorrect not-P– and Q-cards in response to the switched social problem, but only 4% did so for the switched non-social problem. (For a criticism of Cosmides and Tooby’s work on cheater detection and for further references see Buller 2005, 163–90.)

4. Problems and Objections

Evolutionary Psychology is a successful research program, but it has its problems. Some difficulties have already been mentioned in section 2 in connection with the theoretical underpinnings of Evolutionary Psychology (for a recent critique of Evolutionary Psychology at a methodological and conceptual level see Panksepp and Panksepp 2000). These and a couple of others will be briefly reviewed in this section.

a. Genetic Determinism

One of the most often heard criticisms is also one of the least convincing. The charge is that Evolutionary Psychology is committed to, or at least willfully embraces, a genetic determinism according to which our behavior is determined by our genetic make-up, which, since it is a human universal, cannot be influenced by means of social learning, education, and so forth, Dorothy Nelkin (2000, 27), for instance, claims that Evolutionary Psychology implies “genetic destiny,” and Robin Dunbar maintains that it seems “to be looking for genetically determined characters that are universally valid for all humans,” observing that this makes little sense because the “number of genuinely universal traits are … likely to run to single figures at most” (Dunbar 1988, 168).

It is true that Evolutionary Psychologists are looking for human universals, and it is also true that they think that if humans were not genetically very similar, there could be no cognitive adaptations (see section 2e). Yet, they are not committed to “a form of ‘genetic determinism,’ if by that one means the idea that genes determine everything, immune from an environmental influence” (Tooby and Cosmides 1990a, 19). Their claim is that the cognitive mechanisms underlying behavior are human universals, and that does not entail that our behavior is genetically determined, or the same all over the world. Quite the contrary: It is universally agreed among Evolutionary Psychologists that behavior, like any other human trait, is the result of the complex interplay between genetic and environmental factors. Genetic determinism is false because “every feature of every phenotype is fully and equally codetermined by the interaction of the organism’s genes … and its ontogenetic environments” (Tooby and Cosmides 1992, 83; italics added), as is nicely illustrated by the fact that not even genetic clones, monozygotic twins, are phenotypically identical. In fact, work in Evolutionary Psychology has emphasized the highly flexible and contingent nature of cognitive adaptations. For instance, Martin Daly and Margo Wilson’s often cited work on violence toward children by stepparents (for example, Daly and Wilson 1988a, 1988b) is in fact entirely concerned with contextual factors—the presence of a stepparent in a household, they argue, is one of the primary predictors of fatal violence toward children.

b. Moral and Societal Issues

A related charge is that Evolutionary Psychology is defending the status quo regarding sex, race, intelligence differences, and so forth, by arguing that, first, there is nothing we can do, given that these differences are the result of our hard-wired cognitive mechanisms, and, second, there is no need to do something, because these differences, being the result of natural selection, are optimal solutions to longstanding adaptive problems.

The first claim is just wrong. As seen in section 4a, it is not “all in our genes” because the environment heavily influences what behavior issues forth from cognitive mechanisms, even if the latter are evolutionarily hard-wired.

The second claim is an instance of what many scholars would regard as the fallacious inference from “is” to “ought” (see Naturalistic Fallacy). As Robert Kurzban (2002) has pointed out, Evolutionary Psychologists are well aware that it is illegitimate to move from the first to the second, that there is a difference “between science, which can help us to understand what is, and morality, which concerns questions about what ought to be.” Regarding cognitive adaptations, one cannot infer “ought” from “is” because (1) there is no guarantee that natural selection always finds an optimal solution, (2) since the environment has changed, something that was good for our ancestors may no longer be good for us, and (3) the sense in which it was “good” for our ancestors that, say, they possessed a cognitive mechanism that pre-disposed them to kill children of their mating partners that were not their own (“good” in the sense of “fitness increasing”) is definitely not the sense of “good” that is relevant to ethical discourse (“good” in the sense of “morally praiseworthy/obligatory”).

c. Untestability and Story Telling

One of the key problems for Evolutionary Psychologists is to show that the adaptationist explanations they offer are indeed explanations properly so called and not mere “just-so-stories” that feature plausible scenarios without its being certain that they are historical fact. Stephen Jay Gould, for instance, who famously criticized evolutionary biology for its unreflected and widespread adaptationism that tends to ignore other plausible evolutionary explanations (Gould and Lewontin 1979), has argued that the sole task of Evolutionary Psychology has become “a speculative search for reasons why a behavior that harms us now must once have originated for adaptive purposes” (Gould 2000, 119).

There is something to this charge, but things are more difficult. Evolutionary Psychologists stress that “[i]t is difficult to reconcile such claims with the actual practice of EP, since in evolutionary psychology the evolutionary model or prediction typically precedes and causes the discovery of new facts, rather than being constructed post hoc to fit some known fact” (Sell et al. 2003, 52). The discussion of functional analysis in section 2b has shown that there is a clear sense in which adaptationist hypotheses can be tested: functional analysis predicts the existence of yet unknown cognitive mechanisms on the grounds of evolutionary reasoning about potential adaptive problems in the EEA, and these predictions are then empirically tested. The hypotheses Evolutionary Psychologists derive from their computational theory thus allow them “to devise experiments that make possible the detection and mapping of mechanisms that no one would otherwise have thought to test for in the absence of such theories” (Sell et al. 2003, 48). It is therefore not true that “claims about an EEA usually cannot be tested in principle but only subjected to speculation” (Gould 1997, 51) because if the purported cognitive mechanisms fail to show up in psychological experiments, the adapationist explanation is falsified.

First, however, this holds only for research that conforms to Cosmides and Tooby’s theoretical model (arguably, Cosmides and Tooby’s work on cheater detection, Buss’ work on sex differences with regard to jealousy, and Silverman and Eals’ work on differences in spatial abilities belong to this category). It does not apply to research that does not generate a prediction based on a putative problem, but tries to infer the historical function of an organism’s traits from its current structure. Profet’s work on pregnancy sickness would be a case in point: here, one already knows the trait (pregnancy sickness) and merely speculates about its historic function, in contrast to the other cases, where the existence of the trait (an ability to detect cheaters, sex specific responses to jealousy, or sex specific spatial abilities) is inferred from evolutionary considerations about the problems prevalent in the EEA.

Second, the controversial claim is not that our psychological faculties have evolved. It is that they are adaptations, and, more specifically, adaptations for solving particular adaptive problems. Successful psychological tests that show that current Homo sapiens indeed possesses the hypothesized cognitive mechanisms establish that these traits have evolved, but they fail to establish that they are adaptations, let alone adaptations for, say, detecting cheaters or remembering the location of edible plants. For all these tests tell us, the traits in question could still be exaptations, or even spandrels. In order to show that they are indeed adaptations, a point that is forcefully made by Richardson (2008), additional information would be needed, and it is not clear that this additional information can be had (for a sketch of Richardson’s argument see Walter 2009).

Third, there seems to be a sense in which adaptationist explanations are still “just-so-stories.” Functional analysis relies on claims about the nature of the EEA which cannot be directly verified because there is very little we can know with any confidence about the conditions that obtained in the EEA. As Evolutionary Psychologists like to point out, there are some things which have arguably stayed constant since the EEA:

[R]esearchers know with certainty of high confidence thousands of important things about our ancestors, many of which can be used to derive falsifiable predictions about our psychological architecture: our ancestors had two sexes; contracted infections by contact, collected plant foods; inhabited a world where the motions of objects conformed to the principles of kinematic geometry; had color vision; were predated upon; had faces; lived in a biotic environment with a hierarchical taxonomic structure, and so forth (Sell et al. 2003, 52–3).

The problem is that knowing that our ancestors inhabited a world with two sexes where the motions of objects conformed to the principles of kinematic geometry does not enable us to formulate the adaptive problems our ancestors putatively faced in enough detail. Both our male and female ancestors lived in such a world (as, by the way, did the ancestors of apes, spiders and flies), and yet they evolved different mating strategies, different responses to emotional versus sexual infidelity, different spatial abilities, and so forth. The descriptions of the past adaptive problems that Evolutionary Psychologists rely on in order to explain these differences are much more specific than the platitudes of which we can be relatively certain, and it is unclear how we could ever be confident that we got the specific details right. As Stephen Jay Gould puts it vividly:

But how can we possibly know in detail what small bands of hunter-gatherers did in Africa two million years ago? These ancestors left some tools and bones, and paleoanthropologists can make some ingenious inferences from such evidence. But how can we possibly obtain the key information that would be required to show the validity of adaptive tales about an EEA: relations of kinship, social structures and sizes of groups, different activities of males and females, the roles of religion, symbolizing, storytelling, and a hundred other central aspects of human life that cannot be traced in fossils? (Gould 1997, §31; see also Gould 2000, 120)

In the case of Buss’ research on the evolution of sex differences with regard to jealousy, for instance, we can only hypothesize about such things as group structure and size, mating structures, similarities between ancestral and current group structures, or the alleged differences in mating behavior in ancestral groups that are appealed to or presupposed in the formulation of the adaptive problem (again, a point made convincingly by Richardson 2008).

Of course, as Sell et al. (2003) point out, if our assumptions about our ancestors’ problems are wrong, our computational theory is wrong, too, and should thus predict the existence of cognitive mechanisms that will not be found when checked for empirically. Yet, even if this is so, the two qualifications above apply to this move mutatis mutandis. (For more on the role of historical evidence in the search for adaptations and the kinds of problems that may arise, see Kaplan 2002.)

d. Psychological Inadequacy

In Adapting Minds: Evolutionary Psychology and the Persistent Quest for Human Nature, David Buller argues “not only that the theoretical and methodological doctrines of Evolutionary Psychology are problematic, but that Evolutionary Psychology has not, in fact, produced any solid empirical results” (Buller 2005, 15). What is wrong with Evolutionary Psychology is that the psychological experiments used to establish the existence of the hypothesized cognitive mechanisms in current Homo sapiens are flawed because the data are exiguous, inconclusive and do not support the claims made by Evolutionary Psychologists, as Buller tries to show in detail for the classical studies of Cosmides and Tooby, Buss, and Daly and Wilson on cheater detection, mating strategies, jealousy, and discriminative parenthood. Whereas Richardson (2008) claims that Evolutionary Psychology is problematic as Evolutionary Psychology, Buller challenges the psychological credentials of evolutionary psychology, arguing that Evolutionary Psychology fails as Evolutionary Psychology.

5. Evolutionary Approaches to Mind, Culture, and Behavior: Alternatives to Evolutionary Psychology

In its broad sense, evolutionary psychology attempts to adopt “an evolutionary perspective on human behavior and psychology” (Barrett et al. 2002, 1) by applying Darwinian reasoning to behavioral, cognitive, social, or cultural characteristics of humans. Evolutionary Psychology is one strand of evolutionary psychology, but there are others, and the literature is full of different labels: “sociobiology,” “evolutionary anthropology,” “human behavioral ecology,” “Darwinian psychology,” “gene-culture coevolution,” to name just a few. These approaches share the idea that evolutionary reasoning can enhance our understanding of mind, culture, and society, but they disagree about exactly how Darwinian thinking ought to enter the picture. This is not the place to go into the details, but a brief survey of the theoretical landscape (see Laland and Brown 2002 for a book-length overview) may help to understand the difference between evolutionary psychology as a general field of inquiry and Evolutionary Psychology as a narrowly circumscribed research paradigm.

a. Human Behavioral Ecology

Evolutionary Psychologists insist that an evolutionary approach to human psychology must ask whether a trait is an adaptation, not whether it is currently adaptive. They thereby separate themselves sharply from an approach Symons (1989) dubbed “Darwinian anthropology” that instead focuses on the current adaptiveness of our behavior (for a more reconciliatory approach see, for example, Downes 2001). Human behavioral ecology, as it is nowadays called (Borgerhoff Mulder 1991), originated in the late 1970s when, after the upheaval caused by Wilson’s Sociobiology, some anthropologists decided to go out and test the controversial hypotheses of Wilson and others by means of real data from hunter-gatherer populations (Chagnon and Irons 1979; Hinde 1974). Using quantitative ethnographic information and optimality models, human behavioral ecologists investigate whether and how the current adaptiveness of an individual’s behavior is influenced by its ecological and cultural environment and in which way the different behaviors individuals develop to cope with environmental challenges lead to and account for cultural differences between them.

Natural selection, human behavioral ecologists argue, has created an extraordinary flexibility—known as phenotypic plasticity—that allows our “behavior to assume the form that maximizes inclusive fitness” (Irons 1979, 33) across a wide variety of widely diverse habitats. Since there has been selection for a general phenotypic plasticity, we are not so much “adaptation executers” as rather “fitness maximizers”: “Modern Darwinian theory predicts that human behavior will be … designed to promote maximum reproductive success” (Turke and Betzig 1985, 79; italics added). As a consequence, human behavioral ecologists are less interested in discovering proximal cognitive mechanisms than in checking whether the behavior they trigger is actually adaptive (a strategy known as phenotypic gambit).

b. Memetics

A rather different approach is adopted by memetics (Blackmore 1999; Distin 2005). Memetics tries to explain cultural characteristics and processes and the way they influence our behavior by postulating a process of cultural evolution that is analogous to the process of biological evolution, but largely independent of it. Dawkins (1976) introduced the idea that evolution by natural selection is a substrate neutral process that can act on what he called a “replicator,” that is, any heritable entity for which there is variation in a population and that is associated with different degrees of fitness. The gene, Dawkins said, is the replicator in biological evolution, but the cultural realm also has a replicator, which he famously dubbed a meme: a meme is “a unit of cultural inheritance, hypothesized as analogous to the particulate gene, and as naturally selected in virtue of its phenotypic consequences on its own survival and replication in the cultural environment” (Dawkins 1982, 290). Memes form the substrate of cultural evolution, a process in which different memes are differentially transmitted from individual to individual. One of the key challenges for memetics is to spell out exactly what memes are, and although suggestions abound, there is no agreed consensus [for instance, according to Dawkins “examples of memes are tunes, ideas, catch-phrases, clothes fashions, ways of making pots or of building arches” (Dawkins 1976, 206), while Dennett (1995, 347–8) cites the ideas of the wheel, of wearing clothes, the vendetta, the right triangle, the alphabet, chess, perspective drawing, Impressionism, Greensleeves, and deconstructionism as examples]. Importantly, whatever memes are, they must be sufficiently similar to genes to warrant the claim that cultural evolution is more or less analogous to biological evolution, and critics of memetics argue that this constraint is unlikely to be met (for example, Boyd and Richerson 2000; for a more optimistic view, see Blackmore 1999, ch. 5).

c. Gene-Culture Coevolution

Defenders of what is known as “gene-culture coevolution” or “dual inheritance theory” (Boyd and Richerson 1985, 2005a, 2005b; Cavalli-Sforza and Feldmann 1981; Durham 1991) agree with memetics that transmitted cultural information is too important a factor to be ignored by an evolutionary approach to human culture and behavior. After all, one of the most striking facts about humans is that there are important and persistent differences between human groups that are due to culturally transmitted ideas, and not to genetic, biological, or ecological factors. Yet, although culture is a Darwinian force in its own right, they argue, there is no substantial analogy between cultural and biological evolution. In both processes information is transmitted between individuals and both create patterns of heritable variation, but the differences are much more salient: culture is not based on direct replication but upon teaching, imitation, and other forms of social learning, the transmission of culture is temporally extended and not restricted to parents and their offspring, cultural evolution is not necessarily particulate, and not necessarily random (Boyd and Richerson 2000).

Culture is part of human biology, gene-culture coevolutionists argue, but accounts concerned solely with genetic factors are inadequate because they ignore the fact that culture itself shapes the adaptive environment in which biological evolution takes place by creating a culturally constructed environment in which human genes must evolve. Conversely, accounts aimed solely at explaining cultural replication are also inadequate because they ignore the fact that genes affect cultural evolution, for instance by forming psychological predispositions that bias what people imitate, teach, or are able to learn. Hence, a truly evolutionary approach to culture must acknowledge that genesand culture coevolve, and try to investigate the circumstances under which the cultural habits adopted by individuals are influenced by their genes, and how the natural selection pressures that guide biological evolution may be generated by culture.

6. References and Further Reading

a. Suggested Further Reading

  • Barkow, Jerome, Leda Cosmides, and John Tooby, eds. (1992). The Adapted Mind: Evolutionary Psychology and the Generation of Culture. Oxford: Oxford University Press.
    • The manifesto of Evolutionary Psychology.
  • Barrett, Louise, Robin Dunbar, and John Lycett, eds. (2002). Human Evolutionary Psychology. Princeton, NJ: Princeton University Press.
    • A very useful textbook of evolutionary psychology in the broad sense, covering both Evolutionary Psychology and Human Behavioral Ecology.
  • Buller, David (2005). Adapting Minds: Evolutionary Psychology and the Persistent Quest for Human Nature. Cambridge, MA: MIT Press.
    • A philosophical critique of Evolutionary Psychology, arguing that the empirical tests Evolutionary Psychologists rely on to establish that current Homo sapiens possesses the postulated cognitive adaptations in the areas of cheater detection, mating, marriage, and parenthood are flawed.
  • Buss, David (1999). Evolutionary Psychology: The New Science of the Mind. Boston: Allyn and Bacon.
    • The textbook of Evolutionary Psychology, written by one of its most ardent advocates.
  • Cosmides, Leda, and John Tooby (1992). “Cognitive Adaptations for Social Exchange.” In: The Adapted Mind: Evolutionary Psychology and the Generation of Culture. Eds. Jerome Barkow, Leda Cosmides, and John Tooby. Oxford: Oxford University Press, 163–228.
    • The classic paper on cheater detection.
  • Dawkins, Richard (1976). The Selfish Gene. Oxford: Oxford University Press.
    • A must-read for anyone interested in evolutionary biology in general, in which Dawkins introduces the concept of the meme and defends his theory of evolution from the gene’s eye point of view (also known as the “selfish gene theory”) according to which the ultimate beneficiary of the evolutionary process is neither the species, nor the individual, nor a particular trait, but the gene.
  • Laland, Kevin, and Gillian Brown (2002). Sense or Nonsense: Evolutionary Perspectives on Human Behavior. Oxford: Oxford University Press.
    • A highly laudable introduction to sociobiology, Evolutionary Psychology, human behavioral ecology, memetics, and gene-culture coevolution.
  • Pinker, Steven (1997). How the Mind Works. New York: Norton.
    • A very accessible introduction to Evolutionary Psychology and to the kinds of issues discussed in cognitive science in general.
  • Pinker, Steven (2002). The Blank Slate: The Modern Denial of Human Nature. New York: Penguin.
    • Another very accessible introduction to the ideas of Evolutionary Psychology, written by one of the most gifted writers in academia.
  • Richardson, Robert (2008). Evolutionary Psychology as Maladapted Psychology. Cambridge, MA: MIT Press.
    • A philosophical critique of Evolutionary Psychology from the perspective of evolutionary biology.
  • Samuels, Richard (1998). “Evolutionary Psychology and the Massive Modularity Hypothesis.” British Journal for the Philosophy of Science, 49, 575–602.
    • Criticizes Evolutionary Psychology’s insistence on the domain-specificity of cognitive mechanisms, arguing that a domain-general architecture that uses domain-specific information would be equally good.
  • Tooby, John, and Leda Cosmides (1990a). “On the Universality of Human Nature and the Uniqueness of the Individual: The Role of Genetics and Adaptation.” Journal of Personality, 58, 17–67.
    • Contains Cosmides and Tooby’s genetic argument (discussed in section 2e) for the claim that our cognitive adaptations are human universals.
  • Tooby, John, and Leda Cosmides (2005). “Conceptual Foundations of Evolutionary Psychology.” In: The Handbook of Evolutionary Psychology. Ed. David Buss. Hoboken, NJ: Wiley, 5–67.
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Author Information

Author Information

Sven Walter
Email: s.walter@philosophy-online.de
University of Osnabrueck
Germany

Design Arguments for the Existence of God

Design arguments are empirical arguments for the existence of God. These arguments typically, though not always, proceed by attempting to identify various empirical features of the world that constitute evidence of intelligent design and inferring God’s existence as the best explanation for these features. Since the concepts of design and purpose are closely related, design arguments are also known as teleological arguments, which incorporates “telos,” the Greek word for “goal” or “purpose.”

Design arguments typically consist of (1) a premise that asserts that the material universe exhibits some empirical property F; (2) a premise (or sub-argument) that asserts (or concludes) that F is persuasive evidence of intelligent design or purpose; and (3) a premise (or sub-argument) that asserts (or concludes) that the best or most probable explanation for the fact that the material universe exhibits F is that there exists an intelligent designer who intentionally brought it about that the material universe exists and exhibits F.

There are a number of classic and contemporary versions of the argument from design. This article will cover seven different ones. Among the classical versions are: (1) the “Fifth Way” of St. Thomas Aquinas; (2) the argument from simple analogy; (3) Paley’s watchmaker argument; and (4) the argument from guided evolution. The more contemporary versions include: (5) the argument from irreducible biochemical complexity; (6) the argument from biological information; and (7) the fine-tuning argument.

Table of Contents

  1. The Classical Versions of the Design Argument
    1. Scriptural Roots and Aquinas’s Fifth Way
    2. The Argument from Simple Analogy
    3. Paley’s Watchmaker Argument
    4. Guided Evolution
  2. Contemporary Versions of the Design Argument
    1. The Argument from Irreducible Biochemical Complexity
    2. The Argument from Biological Information
    3. The Fine-Tuning Arguments
      1. The Argument from Suspicious Improbability
      2. The Confirmatory Argument
  3. The Scientifically Legitimate Uses of Design Inferences
  4. References and Further Reading

1. The Classical Versions of the Design Argument

a. Scriptural Roots and Aquinas’s Fifth Way

The scriptures of each of the major classically theistic religions contain language that suggests that there is evidence of divine design in the world. Psalms 19:1 of the Old Testament, scripture to both Judaism and Christianity, states that “The heavens declare the glory of God; and the firmament sheweth his handywork.” Similarly, Romans 1:19-21 of the New Testament states:

For what can be known about God is plain to them, because God has shown it to them. Ever since the creation of the world his eternal power and divine nature, invisible though they are, have been understood and seen through the things he has made. So they are without excuse.

Further, Koran 31:20 asks “Do you not see that Allah has made what is in the heavens and what is in the earth subservient to you, and made complete to you His favors outwardly and inwardly?” While these verses do not specifically indicate which properties or features of the world are evidence of God’s intelligent nature, each presupposes that the world exhibits such features and that they are readily discernable to a reasonably conscientious agent.

Perhaps the earliest philosophically rigorous version of the design argument owes to St. Thomas Aquinas. According to Aquinas’s Fifth Way:

We see that things which lack knowledge, such as natural bodies, act for an end, and this is evident from their acting always, or nearly always, in the same way, so as to obtain the best result. Hence it is plain that they achieve their end, not fortuitously, but designedly. Now whatever lacks knowledge cannot move towards an end, unless it be directed by some being endowed with knowledge and intelligence; as the arrow is directed by the archer. Therefore some intelligent being exists by whom all natural things are directed to their end; and this being we call God (Aquinas, Summa Theologica, Article 3, Question 2).

It is worth noting that Aquinas’s version of the argument relies on a very strong claim about the explanation for ends and processes: the existence of any end-directed system or process can be explained, as a logical matter, only by the existence of an intelligent being who directs that system or process towards its end. Since the operations of all natural bodies, on Aquinas’s view, are directed towards some specific end that conduces to, at the very least, the preservation of the object, these operations can be explained only by the existence of an intelligent being. Accordingly, the empirical fact that the operations of natural objects are directed towards ends shows that an intelligent Deity exists.

This crucial claim, however, seems to be refuted by the mere possibility of an evolutionary explanation. If a Darwinian explanation is even coherent (that is, non-contradictory, as opposed to true), then it provides a logically possible explanation for how the end-directedness of the operations of living beings in this world might have come about. According to this explanation, such operations evolve through a process by which random genetic mutations are naturally selected for their adaptive value; organisms that have evolved some system that performs a fitness-enhancing operation are more likely to survive and leave offspring, other things being equal, than organisms that have not evolved such systems. If this explanation is possibly true, it shows that Aquinas is wrong in thinking that “whatever lacks knowledge cannot move towards an end, unless it be directed by some being endowed with knowledge and intelligence.”

b. The Argument from Simple Analogy

The next important version of the design argument came in the 17th and 18th Centuries. Pursuing a strategy that has been adopted by the contemporary intelligent design movement, John Ray, Richard Bentley, and William Derham drew on scientific discoveries of the 16th and 17th Century to argue for the existence of an intelligent Deity. William Derham, for example, saw evidence of intelligent design in the vision of birds, the drum of the ear, the eye-socket, and the digestive system. Richard Bentley saw evidence of intelligent design in Newton’s discovery of the law of gravitation. It is noteworthy that each of these thinkers attempted to give scientifically-based arguments for the existence of God.

David Hume is the most famous critic of these arguments. In Part II of his famous Dialogues Concerning Natural Religion, Hume formulates the argument as follows:

Look round the world: contemplate the whole and every part of it: you will find it to be nothing but one great machine, subdivided into an infinite number of lesser machines, which again admit of subdivisions to a degree beyond what human senses and faculties can trace and explain. All these various machines, and even their most minute parts, are adjusted to each other with an accuracy which ravishes into admiration all men who have ever contemplated them. The curious adapting of means to ends, throughout all nature, resembles exactly, though it much exceeds, the productions of human contrivance; of human designs, thought, wisdom, and intelligence. Since, therefore, the effects resemble each other, we are led to infer, by all the rules of analogy, that the causes also resemble; and that the Author of Nature is somewhat similar to the mind of man, though possessed of much larger faculties, proportioned to the grandeur of the work which he has executed. By this argument a posteriori, and by this argument alone, do we prove at once the existence of a Deity, and his similarity to human mind and intelligence.

Since the world, on this analysis, is closely analogous to the most intricate artifacts produced by human beings, we can infer “by all the rules of analogy” the existence of an intelligent designer who created the world. Just as the watch has a watchmaker, then, the universe has a universe-maker.

As expressed in this passage, then, the argument is a straightforward argument from analogy with the following structure:

  1. The material universe resembles the intelligent productions of human beings in that it exhibits design.
  2. The design in any human artifact is the effect of having been made by an intelligent being.
  3. Like effects have like causes.
  4. Therefore, the design in the material universe is the effect of having been made by an intelligent creator.

Hume criticizes the argument on two main grounds. First, Hume rejects the analogy between the material universe and any particular human artifact. As Hume states the relevant rule of analogy, “wherever you depart in the least, from the similarity of the cases, you diminish proportionably the evidence; and may at last bring it to a very weak analogy, which is confessedly liable to error and uncertainty” (Hume, Dialogues, Part II). Hume then goes on to argue that the cases are simply too dissimilar to support an inference that they are like effects having like causes:

If we see a house,… we conclude, with the greatest certainty, that it had an architect or builder because this is precisely that species of effect which we have experienced to proceed from that species of cause. But surely you will not affirm that the universe bears such a resemblance to a house that we can with the same certainty infer a similar cause, or that the analogy is here entire and perfect (Hume, Dialogues, Part II).

Since the analogy fails, Hume argues that we would need to have experience with the creation of material worlds in order to justify any a posteriori claims about the causes of any particular material world; since we obviously lack such experience, we lack adequate justification for the claim that the material universe has an intelligent cause.

Second, Hume argues that, even if the resemblance between the material universe and human artifacts justified thinking they have similar causes, it would not justify thinking that an all-perfect God exists and created the world. For example, there is nothing in the argument that would warrant the inference that the creator of the universe is perfectly intelligent or perfectly good. Indeed, Hume argues that there is nothing there that would justify thinking even that there is just one deity: “what shadow of an argument… can you produce from your hypothesis to prove the unity of the Deity? A great number of men join in building a house or ship, in rearing a city, in framing a commonwealth; why may not several deities combine in contriving and framing a world” (Hume Dialogues, Part V)?

c. Paley’s Watchmaker Argument

Though often confused with the argument from simple analogy, the watchmaker argument from William Paley is a more sophisticated design argument that attempts to avoid Hume’s objection to the analogy between worlds and artifacts. Instead of simply asserting a similarity between the material world and some human artifact, Paley’s argument proceeds by identifying what he takes to be a reliable indicator of intelligent design:

[S]uppose I found a watch upon the ground, and it should be inquired how the watch happened to be in that place, I should hardly think … that, for anything I knew, the watch might have always been there. Yet why should not this answer serve for the watch as well as for [a] stone [that happened to be lying on the ground]?… For this reason, and for no other; namely, that, if the different parts had been differently shaped from what they are, if a different size from what they are, or placed after any other manner, or in any order than that in which they are placed, either no motion at all would have been carried on in the machine, or none which would have answered the use that is now served by it (Paley 1867, 1).

There are thus two features of a watch that reliably indicate that it is the result of an intelligent design. First, it performs some function that an intelligent agent would regard as valuable; the fact that the watch performs the function of keeping time is something that has value to an intelligent agent. Second, the watch could not perform this function if its parts and mechanisms were differently sized or arranged; the fact that the ability of a watch to keep time depends on the precise shape, size, and arrangement of its parts suggests that the watch has these characteristics because some intelligent agency designed it to these specifications. Taken together, these two characteristics endow the watch with a functional complexity that reliably distinguishes objects that have intelligent designers from objects that do not.

Paley then goes on to argue that the material universe exhibits the same kind of functional complexity as a watch:

Every indicator of contrivance, every manifestation of design, which existed in the watch, exists in the works of nature; with the difference, on the side of nature, of being greater and more, and that in a degree which exceeds all computation. I mean that the contrivances of nature surpass the contrivances of art, in the complexity, subtilty, and curiosity of the mechanism; and still more, if possible, do they go beyond them in number and variety; yet in a multitude of cases, are not less evidently mechanical, not less evidently contrivances, not less evidently accommodated to their end, or suited to their office, than are the most perfect productions of human ingenuity (Paley 1867, 13).

Since the works of nature possess functional complexity, a reliable indicator of intelligent design, we can justifiably conclude that these works were created by an intelligent agent who designed them to instantiate this property.

Paley’s watchmaker argument is clearly not vulnerable to Hume’s criticism that the works of nature and human artifacts are too dissimilar to infer that they are like effects having like causes. Paley’s argument, unlike arguments from analogy, does not depend on a premise asserting a general resemblance between the objects of comparison. What matters for Paley’s argument is that works of nature and human artifacts have a particular property that reliably indicates design. Regardless of how dissimilar any particular natural object might otherwise be from a watch, both objects exhibit the sort of functional complexity that warrants an inference that it was made by an intelligent designer.

Paley’s version of the argument, however, is generally thought to have been refuted by Charles Darwin’s competing explanation for complex organisms. In The Origin of the Species, Darwin argued that more complex biological organisms evolved gradually over millions of years from simpler organisms through a process of natural selection. As Julian Huxley describes the logic of this process:

The evolutionary process results immediately and automatically from the basic property of living matter—that of self-copying, but with occasional errors. Self-copying leads to multiplication and competition; the errors in self-copying are what we call mutations, and mutations will inevitably confer different degrees of biological advantage or disadvantage on their possessors. The consequence will be differential reproduction down the generations—in other words, natural selection (Huxley 1953, 4).

Over time, the replication of genetic material in an organism results in mutations that give rise to new traits in the organism’s offspring. Sometimes these new traits are so unfavorable to a being’s survival prospects that beings with the traits die off; but sometimes these new traits enable the possessors to survive conditions that kill off beings without them. If the trait is sufficiently favorable, only members of the species with the trait will survive. By this natural process, functionally complex organisms gradually evolve over millions of years from primordially simple organisms.

Contemporary biologist, Richard Dawkins (1986), uses a programming problem to show that the logic of the process renders the Darwinian explanation significantly more probable than the design explanation. Dawkins considers two ways in which one might program a computer to generate the following sequence of characters: METHINKS IT IS LIKE A WEASEL. The first program randomly producing a new 28-character sequence each time it is run; since the program starts over each time, it incorporates a “single-step selection process.” The probability of randomly generating the target sequence on any given try is 2728 (that is, 27 characters selected for each of the 28 positions in the sequence), which amounts to about 1 in (10,000 x 1,000,0006). While a computer running eternally would eventually produce the sequence, Dawkins estimates that it would take 1,000,0005 years—which is 1,000,0003 years longer than the universe has existed. As is readily evident, a program that selects numbers by means of such a “single-step selection mechanism” has a very low probability of reaching the target.

The second program incorporates a “cumulative-step selection mechanism.” It begins by randomly generating a 28-character sequence of letters and spaces and then “breeds” from this sequence in the following way. For a specified period of time, it generates copies of itself; most of the copies perfectly replicate the sequence, but some copies have errors (or mutations). At the end of this period, it compares all of the sequences with the target sequence METHINKS IT IS LIKE A WEASEL and keeps the sequence that most closely resembles it. For example, a sequence that has an E in the second place more closely resembles a sequence that is exactly like the first except that it has a Q in the second place. It then begins breeding from this new sequence in exactly the same way. Unlike the first program which starts afresh with each try, the second program builds on previous steps, getting successively closer to the program as it breeds from the sequence closest to the target. This feature of the program increases the probability of reaching the sequence to such an extent that a computer running this program hit the target sequence after 43 generations, which took about half-an-hour.

The problem with Paley’s watchmaker argument, as Dawkins explains it, is that it falsely assumes that all of the other possible competing explanations are sufficiently improbable to warrant an inference of design. While this might be true of explanations that rely entirely on random single-step selection mechanisms, this is not true of Darwinian explanations. As is readily evident from Huxley’s description of the process, Darwinian evolution is a cumulative-step selection method that closely resembles in general structure the second computer program. The result is that the probability of evolving functionally complex organisms capable of surviving a wide variety of conditions is increased to such an extent that it exceeds the probability of the design explanation.

d. Guided Evolution

While many theists are creationists who accept the occurrence of “microevolution” (that is, evolution that occurs within a species, such as the evolution of penicillin-resistant bacteria) but deny the occurrence of “macroevolution” (that is, one species evolving from a distinct species), some theists accept the theory of evolution as consistent with theism and with their own denominational religious commitments. Such thinkers, however, frequently maintain that the existence of God is needed to explain the purposive quality of the evolutionary process. Just as the purposive quality of the cumulative-step computer program above is best explained by intelligent design, so too the purposive quality of natural selection is best explained by intelligent design.

The first theist widely known to have made such an argument is Frederick Robert Tennant. As he puts the matter, in Volume 2 of Philosophical Theology, “the multitude of interwoven adaptations by which the world is constituted a theatre of life, intelligence, and morality, cannot reasonably be regarded as an outcome of mechanism, or of blind formative power, or aught but purposive intelligence” (Tennant 1928-30, 121). In effect, this influential move infers design, not from the existence of functionally complex organisms, but from the purposive quality of the evolutionary process itself. Evolution is, on this line of response, guided by an intelligent Deity.

2. Contemporary Versions of the Design Argument

Contemporary versions of the design argument typically attempt to articulate a more sophisticated strategy for detecting evidence of design in the world. These versions typically contain three main elements—though they are not always explicitly articulated. First, they identify some property P that is thought to be a probabilistically reliable index of design in the following sense: a design explanation for P is significantly more probable than any explanation that relies on chance or random processes. Second they argue that some feature or features of the world exhibits P. Third, they conclude that the design explanation is significantly more likely to be true.

As we will see, however, all of the contemporary versions of the design inference seem to be vulnerable to roughly the same objection. While each of the design inferences in these arguments has legitimate empirical uses, those uses occur only in contexts where we have strong antecedent reason for believing there exist intelligent agents with the ability to bring about the relevant event, entity, or property. But since it is the very existence of such a being that is at issue in the debates about the existence of God, design arguments appear unable to stand by themselves as arguments for God’s existence.

a. The Argument from Irreducible Biochemical Complexity

Design theorists distinguish two types of complexity that can be instantiated by any given structure. As William Dembski describes the distinction: a system or structure is cumulatively complex “if the components of the system can be arranged sequentially so that the successive removal of components never leads to the complete loss of function”; a system or structure is irreducibly complex “if it consists of several interrelated parts so that removing even one part completely destroys the system’s function” (Dembski 1999, 147). A city is cumulatively complex since one can successively remove people, services, and buildings without rendering it unable to perform its function. A mousetrap, in contrast, is irreducibly complex because the removal of even one part results in complete loss of function.

Design proponents, like Michael J. Behe, have identified a number of biochemical systems that they take to be irreducibly complex. Like the functions of a watch or a mousetrap, a cilium cannot perform its function unless its microtubules, nexin linkers, and motor proteins are all arranged and structured in precisely the manner in which they are structured; remove any component from the system and it cannot perform its function. Similarly, the blood-clotting function cannot perform its function if either of its key ingredients, vitamin K and antihemophilic factor, are missing. Both systems are, on this view, irreducibly complex—rather than cumulatively complex.

According to Behe, the probability of evolving irreducibly complex systems along Darwinian lines is sufficiently small that it can be ruled out as an explanation of irreducible biochemical complexity:

An irreducibly complex system cannot be produced … by slight, successive modifications of a precursor system, because any precursor to an irreducibly complex system that is missing a part is by definition nonfunctional…. Since natural selection can only choose systems that are already working, if a biological system cannot be produced gradually it would have to arise as an integrated unit, in one fell swoop, for natural selection to have anything to act on (Behe 1996, 39; emphasis added).

Since, for example, a cilium-precursor (that is, one that lacks at least one of a cilium’s parts) cannot perform the function that endows a cilium with adaptive value, organisms that have the cilium-precursor are no “fitter for survival” than they would have been without it. Since chance-driven evolutionary processes would not select organisms with the precursor, intelligent design is a better explanation for the existence of organisms with fully functional cilia.

Though Behe states his conclusion in categorical terms (that is, irreducibly complex systems “cannot be produced gradually”), he is more charitably construed as claiming only that the probability of gradually producing irreducibly complex systems is very small. The stronger construction of the conclusion (and argument) incorrectly presupposes that Darwinian theory implies that every precursor to a fully functional system must itself perform some function that makes the organism more fit to survive. Organisms that have, say, a precursor to a fully functional cilium are no fitter than they would have been without it, but there is nothing in Darwinian theory that implies they are necessarily any less fit. Thus, there is no reason to think that it is logically or nomologically impossible, according to Darwinian theory, for a set of organisms with a precursor to a fully functional cilium to evolve into a set of organisms that has fully functional cilia. Accordingly, the argument from irreducible biochemical complexity is more plausibly construed as showing that the design explanation for such complexity is more probable than the evolutionary explanation.

Nevertheless, this more modest interpretation is problematic. First, there is little reason to think that the probability of evolving irreducibly complex systems is, as a general matter, small enough to warrant assuming that the probability of the design explanation must be higher. If having a precursor to an irreducibly complex system does not render the organism less fit for survival, the probability a subspecies of organisms with the precursor survives and propagates is the same, other things being equal, as the probability that a subspecies of organisms without the precursor survives and propagates. In such cases, then, the prospect that the subspecies with the precursor will continue to thrive, leave offspring, and evolve is not unusually small.

Second, the claim that intelligent agents of a certain kind would (or should) see functional value in a complex system, by itself, says very little about the probability of any particular causal explanation. While this claim surely implies that intelligent agents with the right causal abilities have a reason for bringing about such systems, it does not tell us anything determinate about whether it is likely that intelligent agents with the right causal powers did bring such systems about—because it does not tell us anything determinate about whether it is probable that such agents exist. As a logical matter, the mere fact that some existing thing has a feature, irreducibly complex or otherwise, that would be valuable to an intelligent being with certain properties, by itself, does not say anything about the probability that such a being exists.

Accordingly, even if we knew that the prospect that the precursor-subspecies would survive was “vanishingly small,” as Behe believes, we would not be justified in inferring a design explanation on probabilistic grounds. To infer that the design explanation is more probable than an explanation of vanishingly small probability, we need some reason to think that the probability of the design explanation is not vanishingly small. The problem, however, is that the claim that a complex system has some property that would be valued by an intelligent agent with the right abilities, by itself, simply does not justify inferring that the probability that such an agent exists and brought about the existence of that system is not vanishingly small. In the absence of some further information about the probability that such an agent exists, we cannot legitimately infer design as the explanation of irreducible biochemical complexity.

b. The Argument from Biological Information

While the argument from irreducible biochemical complexity focuses on the probability of evolving irreducibly complex living systems or organisms from simpler living systems or organisms, the argument from biological information focuses on the problem of generating living organisms in the first place. Darwinian theories are intended only to explain how it is that more complex living organisms developed from primordially simple living organisms, and hence do not even purport to explain the origin of the latter. The argument from biological information is concerned with an explanation of how it is that the world went from a state in which it contained no living organisms to a state in which it contained living organisms; that is to say, it is concerned with the explanation of the very first forms of life.

There are two distinct problems involved in explaining the origin of life from a naturalistic standpoint. The first is to explain how it is that a set of non-organic substances could combine to produce the amino acids that are the building blocks of every living substance. The second is to explain the origin of the information expressed by the sequences of nucleotides that form DNA molecules. The precise ordering of the four nucleotides, adenine, thymine, guanine, and cytosine (A, T, G, and C, for short), determine the specific operations that occur within a living cell and is hence fairly characterized as representing (or embodying) information. As Stephen C. Meyer puts the point: “just as the letters in the alphabet of a written language may convey a particular message depending on their sequence, so too do the sequences of nucleotides or bases in the DNA molecule convey precise biochemical instructions that direct protein synthesis within the cell” (Meyer 1998, 526).

The argument from biological information is concerned with only the second of these problems. In particular, it attempts to evaluate four potential explanations for the origin of biological information: (1) chance; (2) a pre-biotic form of natural selection; (3) chemical necessity; and (4) intelligent design. The argument concludes that intelligent design is the most probable explanation for the information present in large biomacromolecules like DNA, RNA, and proteins.

The argument proceeds as follows. Pre-biotic natural selection and chemical necessity cannot, as a logical matter, explain the origin of biological information. Theories of pre-biotic natural selection are problematic because they illicitly assume the very feature they are trying to explain. These explanations proceed by asserting that the most complex nonliving molecules will reproduce more efficiently than less complex nonliving molecules. But, in doing so, they assume that nonliving chemicals instantiate precisely the kind of replication mechanism that biological information is needed to explain in the case of living organisms. In the absence of some sort of explanation as to how non-organic reproduction could occur, theories of pre-biotic natural selection fail.

Theories of chemical necessity are problematic because chemical necessity can explain, at most, the development of highly repetitive ordered sequences incapable of representing information. Because processes involving chemical necessity are highly regular and predictable in character, they are capable of producing only highly repetitive sequences of “letters.” For example, while chemical necessity could presumably explain a sequence like “ababababababab,” it cannot explain specified but highly irregular sequences like “the house is on fire.” The problem is that highly repetitive sequences like the former are not sufficiently complex and varied to express information. Thus, while chemical necessity can explain periodic order among nucleotide letters, it lacks the resources logically needed to explain the aperiodic, highly specified, complexity of a sequence capable of expressing information.

Ultimately, this leaves only chance and design as logically viable explanations of biological information. Although it is logically possible to obtain functioning sequences of amino acids through purely random processes, some researchers have estimated the probability of doing so under the most favorable of assumptions at approximately 1 in 1065. Factoring in more realistic assumptions about pre-biotic conditions, Meyer argues the probability of generating short functional protein is 1 in 10125—a number that is vanishingly small. Meyer concludes: “given the complexity of proteins, it is extremely unlikely that a random search through all the possible amino acid sequences could generate even a single relatively short functional protein in the time available since the beginning of the universe (let alone the time available on the early earth)” (Meyer 2002, 75).

Next, Meyer argues that the probability of the design explanation for the origin of biological information is considerably higher:

[O]ne can detect the past action of an intelligent cause from the presence of an information-rich effect, even if the cause itself cannot be directly observed. For instances, visitors to the gardens of Victoria harbor in Canada correctly infer the activity of intelligent agents when they see a pattern of red and yellow flowers spelling “Welcome to Victoria”, even if they did not see the flowers planted and arranged. Similarly, the specifically arranged nucleotide sequences—the complex but functionally specified sequences—in DNA imply the past action of an intelligent mind, even if such mental agency cannot be directly observed (Meyer 2002, 93).

Further, scientists in many fields typically infer the causal activity of intelligent agents from the occurrence of information content. As Meyer rightly observes by way of example, “[a]rcheologists assume a mind produced the inscriptions on the Rosetta Stone” (Meyer 2002, 94).

Meyer’s reasoning appears vulnerable to the same objection to which the argument from biochemical complexity is vulnerable. In all of the contexts in which we legitimately make the design inference in response to an observation of information, we already know that there exist intelligent agents with the right sorts of motivations and abilities to produce information content; after all, we know that human beings exist and are frequently engaged in the production and transmission of information. It is precisely because we have this background knowledge that we can justifiably be confident that intelligent design is a far more probable explanation than chance for any occurrence of information that a human being is capable of producing. In the absence of antecedent reason for thinking there exist intelligent agents capable of creating information content, the occurrence of a pattern of flowers in the shape of “Welcome to Victoria” would not obviously warrant an inference of intelligent design.

The problem, however, is that it is the very existence of an intelligent Deity that is at issue. In the absence of some antecedent reason for thinking there exists an intelligent Deity capable of creating biological information, the occurrence of sequences of nucleotides that can be described as “representing information” does not obviously warrant an inference of intelligent design—no matter how improbable the chance explanation might be. To justify preferring one explanation as more probable than another, we must have information about the probability of each explanation. The mere fact that certain sequences take a certain shape that we can see meaning or value in, by itself, tells us nothing obvious about the probability that it is the result of intelligent design.

It is true, of course, that “experience affirms that information content not only routinely arises but always arises from the activity of intelligent minds” (Meyer 2002, 92), but our experience is limited to the activity of human beings—beings that are frequently engaged in activities that are intended to produce information content. While that experience will inductively justify inferring that some human agency is the cause of any information that could be explained by human beings, it will not inductively justify inferring the existence of an intelligent agency with causal powers that depart as radically from our experience as the powers that are traditionally attributed to God. The argument from biological information, like the argument from biochemical complexity, seems incapable of standing alone as an argument for God’s existence.

c. The Fine-Tuning Arguments

Scientists have determined that life in the universe would not be possible if more than about two dozen properties of the universe were even slightly different from what they are; as the matter is commonly put, the universe appears “fine-tuned” for life. For example, life would not be possible if the force of the big bang explosion had differed by one part in 1060; the universe would have either collapsed on itself or expanded too rapidly for stars to form. Similarly, life would not be possible if the force binding protons to neutrons differed by even five percent.

It is immediately tempting to think that the probability of a fine-tuned universe is so small that intelligent design simply must be the more probable explanation. The supposition that it is a matter of chance that so many things could be exactly what they need to be for life to exist in the universe just seems implausibly improbable. Since, on this intuition, the only two explanations for the highly improbable appearance of fine-tuning are chance and an intelligent agent who deliberately designed the universe to be hospitable to life, the latter simply has to be the better explanation.

This natural line of argument is vulnerable to a cogent objection. The mere fact that it is enormously improbable that an event occurred by chance, by itself, gives us no reason to think that it occurred by design. Suppose we flip a fair coin 1000 times and record the results in succession. The probability of getting the particular outcome is vanishingly small: 1 in 21000 to be precise. But it is clear that the mere fact that such a sequence is so improbable, by itself, does not give us any reason to think that it was the result of intelligent design. As intuitively tempting as it may be to conclude from just the apparent improbability of a fine-tuned universe that it is the result of divine agency, the inference is unsound.

i. The Argument from Suspicious Improbabilitys

George N. Schlesinger, however, attempts to formalize the fine-tuning intuition in a way that avoids this objection. To understand Schlesinger’s argument, consider your reaction to two different events. If John wins a 1-in-1,000,000,000 lottery game, you would not immediately be tempted to think that John (or someone acting on his behalf) cheated. If, however, John won three consecutive 1-in-1,000 lotteries, you would immediately be tempted to think that John (or someone acting on his behalf) cheated. Schlesinger believes that the intuitive reaction to these two scenarios is epistemically justified. The structure of the latter event is such that it is justifies a belief that intelligent design is the cause: the fact that John got lucky in three consecutive lotteries is a reliable indicator that his winning was the intended result of someone’s intelligent agency. Despite the fact that the probability of winning three consecutive 1-in-1,000 games is exactly the same as the probability of winning one 1-in-1,000,000,000 game, the former event is of a kind that is surprising in a way that warrants an inference of intelligent design.

Schlesinger argues that the fact that the universe is fine-tuned for life is improbable in exactly the same way that John’s winning three consecutive lotteries is improbable. After all, it is not just that we got lucky with respect to one property-lottery game; we got lucky with respect to two dozen property-lottery games—lotteries that we had to win in order for there to be life in the universe. Given that we are justified in inferring intelligent design in the case of John’s winning three consecutive lotteries, we are even more justified in inferring intelligent design in the case of our winning two dozen much more improbable property lotteries. Thus, Schlesinger concludes, the most probable explanation for the remarkable fact that the universe has exactly the right properties to sustain life is that an intelligent Deity intentionally created the universe such as to sustain life.

This argument is vulnerable to a number of criticisms. First, while it might be clear that carbon-based life would not be possible if the universe were slightly different with respect to these two-dozen fine-tuned properties, it is not clear that no form of life would be possible. Second, some physicists speculate that this physical universe is but one material universe in a “multiverse” in which all possible material universes are ultimately realized. If this highly speculative hypothesis is correct, then there is nothing particularly suspicious about the fact that there is a fine-tuned universe, since the existence of such a universe is inevitable (that is, has probability 1) if all every material universe is eventually realized in the multiverse. Since some universe, so to speak, had to win, the fact that ours won does not demand any special explanation.

Schlesinger’s fine-tuning argument also appears vulnerable to the same criticism as the other versions of the design argument (see Himma 2002). While Schlesinger is undoubtedly correct in thinking that we are justified in suspecting design in the case where John wins three consecutive lotteries, it is because—and only because—we know two related empirical facts about such events. First, we already know that there exist intelligent agents who have the right motivations and causal abilities to deliberately bring about such events. Second, we know from past experience with such events that they are usually explained by the deliberate agency of one or more of these agents. Without at least one of these two pieces of information, we are not obviously justified in seeing design in such cases.

As before, the problem for the fine-tuning argument is that we lack both of the pieces that are needed to justify an inference of design. First, the very point of the argument is to establish the fact that there exists an intelligent agency that has the right causal abilities and motivations to bring the existence of a universe capable of sustaining life. Second, and more obviously, we do not have any past experience with the genesis of worlds and are hence not in a position to know whether the existence of fine-tuned universes are usually explained by the deliberate agency of some intelligent agency. Because we lack this essential background information, we are not justified in inferring that there exists an intelligent Deity who deliberately created a universe capable of sustaining life.

ii. The Confirmatory Argument

Robin Collins defends a more modest version of the fine-tuning argument that relies on a general principle of confirmation theory, rather than a principle that is contrived to distinguish events or entities that are explained by intelligent design from events or entities explained by other factors. Collins’s version of the argument relies on what he calls the Prime Principle of Confirmation: If observation O is more probable under hypothesis H1 than under hypothesis H2, then O provides a reason for preferring H1 over H2. The idea is that the fact that an observation is more likely under the assumption that H1 is true than under the assumption H2 is true counts as evidence in favor of H1.

This version of the fine-tuning argument proceeds by comparing the relative likelihood of a fine-tuned universe under two hypotheses:

  1. The Design Hypothesis: there exists a God who created the universe such as to sustain life;
  2. The Atheistic Single-Universe Hypothesis: there exists one material universe, and it is a matter of chance that the universe has the fine-tuned properties needed to sustain life.

Assuming the Design Hypothesis is true, the probability that the universe has the fine-tuned properties approaches (if it does not equal) 1. Assuming the Atheistic Single-Universe Hypothesis is true, the probability that the universe has the fine-tuned properties is very small—though it is not clear exactly how small. Applying the Prime Principle of Confirmation, Collins concludes that the observation of fine-tuned properties provides reason for preferring the Design Hypothesis over the Atheistic Single-Universe Hypothesis.

At the outset, it is crucial to note that Collins does not intend the fine-tuned argument as a proof of God’s existence. As he explains, the Prime Principle of Confirmation “is a general principle of reasoning which tells us when some observation counts as evidence in favor of one hypothesis over another” (Collins 1999, 51). Indeed, he explicitly acknowledges that “the argument does not say that the fine-tuning evidence proves that the universe was designed, or even that it is likely that the universe was designed” (Collins 1999, 53). It tells us only that the observation of fine-tuning provides one reason for accepting the Theistic Hypothesis over the Atheistic Single-Universe Hypothesis—and one that can be rebutted by other evidence.

The confirmatory version of the fine-tuning argument is not vulnerable to the objection that it relies on an inference strategy that presupposes that we have independent evidence for thinking the right kind of intelligent agency exists. As a general scientific principle, the Prime Principle of Confirmation can be applied in a wide variety of circumstances and is not limited to circumstances in which we have other reasons to believe the relevant conclusion is true. If the observation of a fine-tuned universe is more probable under the Theistic Hypothesis than under the Atheistic Single-Universe Hypothesis, then this fact is a reason for preferring the Design Hypothesis to Atheistic Single-Universe Hypothesis.

Nevertheless, the confirmatory version of the argument is vulnerable on other fronts. As a first step towards seeing one worry, consider two possible explanations for the observation that John Doe wins a 1-in-7,000,000 lottery (see Himma 2002). According to the Theistic Lottery Hypothesis, God wanted John Doe to win and deliberately brought it about that his numbers were drawn. According to the Chance Lottery Hypothesis, John Doe’s numbers were drawn by chance. It is clear that John’s winning the lottery is vastly more probable under the Theistic Lottery Hypothesis than under the Chance Lottery Hypothesis. By the Prime Principle of Confirmation, then, John’s winning the lottery provides a reason to prefer the Theistic Lottery Hypothesis over the Chance Lottery Hypothesis.

As is readily evident, the above reasoning, by itself, provides very weak support for the Theistic Lottery Hypothesis. If all we know about the world is that John Doe won a lottery and the only possible explanations for this observation are the Theistic Lottery Hypothesis and the Chance Lottery Hypothesis, then this observation provides some reason to prefer the former. But it does not take much counterevidence to rebut the Theistic Lottery Hypothesis: a single observation of a lottery that relies on a random selection process will suffice. A single application of the Prime Principle of Confirmation, by itself, is simply not designed to provide the sort of reason that would warrant much confidence in preferring one hypothesis to another.

For this reason, the confirmatory version of the fine-tuning argument, by itself, provides a weak reason for preferring the Design Hypothesis over the Atheistic Single Universe Hypothesis. Although Collins is certainly correct in thinking the observation of fine-tuning provides a reason for accepting the Design Hypothesis and hence rational ground for belief that God exists, that reason is simply not strong enough to do much in the way of changing the minds of either agnostics or atheists.

3. The Scientifically Legitimate Uses of Design Inferences

It is worth noting that proponents are correct in thinking that design inferences have a variety of legitimate scientific uses. Such inferences are used to detect intelligent agency in a large variety of contexts, including criminal and insurance investigations. Consider, for example, the notorious case of Nicholas Caputo. Caputo, a member of the Democratic Party, was a public official responsible for conducting drawings to determine the relative ballot positions of Democrats and Republicans. During Caputo’s tenure, the Democrats drew the top ballot position 40 of 41 times, making it far more likely that an undecided voter would vote for the Democratic candidate than for the Republican candidate. The Republican Party filed suit against Caputo, arguing he deliberately rigged the ballot to favor his own party. After noting that the probability of picking the Democrats 40 out of 41 times was less than 1 in 50 billion, the court legitimately made a design inference, concluding that “few persons of reason will accept the explanation of blind chance.”

What proponents of design arguments for God’s existence, however, have not noticed is that each one of these indubitably legitimate uses occurs in a context in which we are already justified in thinking that intelligent beings with the right motivations and abilities exist. In every context in which design inferences are routinely made by scientists, they already have conclusive independent reason for believing there exist intelligent agents with the right abilities and motivations to bring about the apparent instance of design.

Consider, for example, how much more information was available to the court in the Caputo case than is available to the proponent of the design argument for God’s existence. Like the proponent of the design argument, the court knew that (1) the relevant event or feature is something that might be valued by an intelligent agent; and (2) the odds of it coming about by chance are astronomically small. Unlike the proponent of the design argument, however, the court had an additional piece of information available to it: the court already knew that there existed an intelligent agent with the right causal abilities and motives to bring about the event; after all, there was no dispute whatsoever about the existence of Caputo. It was that piece of information, together with (1), that enabled the court to justifiably conclude that the probability that an intelligent agent deliberately brought it about that the Democrats received the top ballot position 40 of 41 times was significantly higher than the probability that this happened by chance. Without this crucial piece of information, however, the court would not have been so obviously justified in making the design inference. Accordingly, while the court was right to infer a design explanation in the Caputo case, this is, in part, because the judges already knew that the right kind of intelligent beings exist—and one of them happened to have occupied a position that afforded him with the opportunity to rig the drawings in favor of the Democrats.

In response, one might be tempted to argue that there is one context in which scientists employ the design inference without already having sufficient reason to think the right sort of intelligent agency exists. As is well-known, researchers monitor radio transmissions for patterns that would support a design inference that such transmissions are sent by intelligent beings. For example, it would be reasonable to infer that some intelligent extraterrestrial beings were responsible for a transmission of discrete signals and pauses that effectively enumerated the prime numbers from 2 to 101. In this case, the intelligibility of the pattern, together with the improbability of its occurring randomly, seems to justify the inference that the transmission sequence is the result of intelligent design.

As it turns out, we are already justified in thinking that the right sort of intelligent beings exist even in this case. We already know, after all, that we exist and have the right sort of motivations and abilities to bring about such transmissions because we send them into space hoping that some other life form will detect our existence. While our existence in the universe—and this is crucial—does not, by itself, justify thinking that there are other intelligent life forms in the universe, it does justify thinking that the probability that there are such life forms is higher than the astronomically small probability (1 in 21136 to be precise) that a sequence of discrete radio signals and pauses that enumerates the prime numbers from 2 to 101 is the result of chance. Thus, we would be justified in inferring design as the explanation of such a sequence on the strength of three facts: (1) the probability of such a chance occurrence is 1 in 21136; (2) there exist intelligent beings in the universe capable of bringing about such an occurrence; and (3) the sequence of discrete signals and pauses has a special significance to intelligent beings. In particular, (2) and (3) tell us that the probability that design explains such an occurrence is significantly higher than 1 in 21136—though it is not clear exactly what the probability is.

Insofar as the legitimate application of design inferences presupposes that we have antecedent reason to believe the right kind of intelligent being exists, they can enable us to distinguish what such beings do from what merely happens. If we already know, for example, that there exist beings capable of rigging a lottery, then design inferences can enable us to distinguish lottery results that merely happen from lottery results that are deliberately brought about by such agents. Similarly, if we already have adequate reason to believe that God exists, then design inferences can enable us to distinguish features of the world that merely happen from features of the world that are deliberately brought about by the agency of God. Indeed, to the extent that we are antecedently justified in believing that God exists, it is obviously more reasonable to believe that God deliberately structured the universe to have the fine-tuned properties than it is to believe that somehow this occurred by chance.

If this is correct, then design inferences simply cannot do the job they are asked to do in design arguments for God’s existence. Insofar as they presuppose that we already know the right kind of intelligent being exists, they cannot stand alone as a justification for believing that God exists. It is the very existence of the right kind of intelligent being that is at issue in the dispute over whether God exists. While design inferences have a variety of scientifically legitimate uses, they cannot stand alone as arguments for God’s existence.

4. References and Further Reading

  • Michael J. Behe, Darwin’s Black Box: The Biochemical Challenge to Evolution (New York: Touchstone Books, 1996)
  • Richard Bentley, A Confutation of Atheism from the Origin and Frame of the World (London: H. Mortlock, 1692-1693)
  • Robin Collins, “A Scientific Argument for the Existence of God,” in Michael J. Murray (ed.), Reason for the Hope Within (Grand Rapids, MI: William B. Eerdmans Publishing Co., 1999)
  • Charles Darwin, The Origin of Species, Everyman’s Library (London: J.M. Dent, 1947)
  • Richard Dawkins, The Blind Watchmaker: Why the Evidence of Evolution Reveals a Universe without Design (New York: Norton Publishing, 1996; originally published in 1986)
  • William Dembski, The Design Inference (Cambridge: Cambridge University Press, 1998)
  • William Dembski, No Free Lunch: Why Specified Complexity Cannot Be Purchased without Intelligence (Rowman & Littlefield, 2002)
  • William Derham, Physico-theology, or, A Demonstration of the Being and Attributes of God from his Works of Creation Being the Substance of XVI Sermons Preached in St. Mary le Bow-Church, London, at the Hon’ble Mr. Boyle’s Lectures in the Years 1711 and 1712 (London: W. Innys, 1713)
  • William Derham, Astro-theology, or, A Demonstration of the Being and Attributes of God: From a Survey of the Heavens (London: W. Innys, 1715)
  • Kenneth Einar Himma, “Prior Probabilities and Confirmation Theory: A Problem with the Fine-Tuning Argument,” International Journal for Philosophy of Religion, vol. 51, no. 4 (June 2002)
  • Kenneth Einar Himma, “The Application-Conditions for Design Inferences: Why the Design Arguments Need the Help of Other Arguments for God’s Existence,”International Journal for Philosophy of Religion., vol. 57, no. 1 (February 2005).
  • David Hume, Dialogues Concerning Natural Religion, edited with an introduction by Norman Kemp Smith, (New York: Social Sciences Publishers, 1948)
  • Julian Huxley, Evolution as Process (New York: Harper and Row, 1953).
  • Stephen C. Meyer, “DNA by Design: An Inference to the Best Explanation,” Rhetoric and Public Affairs, vol. 1, no. 4 (Winter 1998)
  • Stephen C. Meyer, “Evidence for Design in Physics and Biology: From the Origin of the Universe to the Origin of Life,” in Behe, Dembski, and Meyer (eds.), Science and Evidence for Design in the Universe (San Francisco: Ignatius Press, 2002)
  • William Paley, Natural Theology: Or Evidences of the Existence and Attributes of the Deity Collected from the Appearances of Nature (Boston: Gould and Lincoln, 1867)
  • Del Ratzsch, Nature, Design, and Science: The Status of Design in Natural Science (Albany, NY: SUNY Press, 2001)
  • John Ray, The Wisdom of God Manifested in the Works of the Creation Being the Substance of Some Common Places Delivered in the Chappel of Trinity-College, in Cambridge (London: Printed for Samuel Smith, 1691)
  • Hugh Ross, Beyond the Cosmos: What Recent Discoveries in Astronomy and Physics Reveal about the Nature of God (Colorado Springs: Nav Press, 1996)
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  • Frederick Robert Tennant, Philosophical Theology, Volume 2 (1928-30)

Author Information

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

Humor

The philosophical study of humor has been focused on the development of a satisfactory definition of humor, which until recently has been treated as roughly co-extensive with laughter. The main task is to develop an adequate theory of just what humor is.

According to the standard analysis, humor theories can be classified into three neatly identifiable groups:incongruity, superiority, and relief theories. Incongruity theory is the leading approach and includes historical figures such as Immanuel Kant, Søren Kierkegaard, and perhaps has its origins in comments made by Aristotle in the Rhetoric. Primarily focusing on the object of humor, this school sees humor as a response to an incongruity, a term broadly used to include ambiguity, logical impossibility, irrelevance, and inappropriateness. The paradigmatic Superiority theorist is Thomas Hobbes, who said that humor arises from a “sudden glory” felt when we recognize our supremacy over others. Plato and Aristotle are generally considered superiority theorists, who emphasize the aggressive feelings that fuel humor. The third group, Relief theory, is typically associated with Sigmund Freud and Herbert Spencer, who saw humor as fundamentally a way to release or save energy generated by repression. In addition, this article will explore a fourth group of theories of humor: play theory. Play theorists are not so much listing necessary conditions for something’s counting as humor, as they are asking us to look at humor as an extension of animal play.

While the task of defining humor is a seemingly simple one, it has proven quite difficult. Each theory attempts to provide a characterization of what is at least at the core of humor. However, these theories are not necessarily competing; they may be seen as simply focusing on different aspects of humor, treating certain aspects as more fundamental than others.

Table of Contents

  1. What Is Humor?
    1. Humor, Laughter, and the Holy Grail
    2. Problems Classifying Theorists
  2. Theories of Humor
    1. Superiority Theory
    2. Relief Theory
    3. Incongruity Theory
    4. Play Theory
    5. Summary of Humor Theories
  3. Reference and Further Reading

1. What is Humor?

Almost every major figure in the history of philosophy has proposed a theory, but after 2500 years of discussion there has been little consensus about what constitutes humor. Despite the number of thinkers who have participated in the debate, the topic of humor is currently understudied in the discipline of philosophy. There are only a few philosophers currently focused on humor-related research, which is most likely due to two factors: the problems in the field have proved incredibly difficult, inviting repeated failures, and the subject is erroneously dismissed as an insignificant concern. Nevertheless, scope and significance of the study of humor is reflected in the interdisciplinary nature of the filed, which draws insights from philosophy, psychology, sociology, anthropology, film, and literature. It is rare to find a philosophical topic that bares such direct relevance to our daily lives, our social interactions, and our nature as humans.

a. Humor, Laughter, Comedy, and the Holy Grail

The majority of the work on humor has been occupied with the following foundational question: What is humor? The word “humor” itself is of relatively recent origin. According to the Oxford English Dictionary, it arose during the 17th century out of psycho-physiological scientific speculation on the effects of various humors that might affect a person’s temperament. Much of the earlier humor research is riddled with equivocations between humor and laughter, and the problem continues into recent discussions. John Dewey states one reason to make the distinction: “The laugh is by no means to be viewed from the standpoint of humor; its connection with humor is only secondary. It marks the ending [. . .] of a period of suspense, or expectation, all ending which is sharp and secondary” (John Dewey, 558). We laugh for a variety of reasons—hearing a funny joke, inhaling laughing gas, being tickled—not all of which result from what we think of as humor. Attempting to offer a general theory of laughter and humor, John Morreall (manuscript) makes a finer distinction: laughter results from a pleasant psychological shift, whereas, humor arises from a pleasant cognitive shift. Noting the predominance of non-humorous laughter, researcher Robert Provine (2000) argues that laughter is most often found in non-humorous social interactions, deployed as some sort of tension relief mechanism. If humor is not a necessary condition of laughter, then we might ask if it is sufficient. Often humor will produce laughter, but sometimes it results in only a smile. Obviously, these relatively distinct phenomena are intimately connected in some manner, but to understand the relationship we need clearer notions of both laugher and humor.

Laughter is a fairly well described physiological process that results in a limited range of characteristic vocal patterns that are only physiologically possible, as Provine suggests, for bi-pedal creatures with breath control. If we describe humorous laughter as laughter in response to humor, then we must answer the question, What is humor? This topic will be explored in the next few sections, but for starters, we can say that humor or amusement is widely regarded as a response to a certain kind of stimulus. The comic, on the other hand, is best described as a professionally produced source of humor, a generic element of various artforms. In distinguishing between humorous and non-humorous laughter we presuppose a working definition of humor, based partly on the character of our response and partly on the properties of humorous objects. This is not necessarily to beg the question about what is humor, but to enter into the real world process of correctively developing a definition. The first goal of a humor theory is to look for the basis of our practical ability to identify humor.

Most definitions of humor are essentialist in that they try to list the necessary and sufficient conditions something must meet in order to be counted as humor. Some theories isolate a common element supposedly found in all humor, but hold back from making claims about the sufficient conditions. Many theorists seem to confuse offering the necessary conditions for a response to count as humor with explaining why we find one thing funny rather than another. This second question, what would be sufficient for an object to be found funny, is the Holy Grail of humor studies, and must be kept distinct from the goals of a definition of the humor response. The Holy Grail is often confused with a question regarding the sufficient conditions for our response to count as humorous amusement, but a crucial distinction needs to be made: identifying the conditions of a response is different from the isolating the features something must possess in order to provoke such a response. The first task is much different from suggesting what features are sufficient to provoke a response of humorous amusement. What amounts to a humor response is different from what makes something humorous. The noun (humor) and adjectival (humorous) senses of the term are difficult to keep distinct due to the imprecision of our language in this area. Much of the dissatisfaction with traditional humor theories can be traced back to an equivocation between these two senses of the term.

b. Problems Classifying Theorists

The standard analysis, developed by D. H. Monro, that classifies humor theories into superiority, incongruity, and relief theories sets up a false expectation of genuine competition between the views. Rarely do any of the historical theorists in any of these schools state their theories as listing necessary of sufficient conditions for something to count as humor, much less put their views in competition with others. A further problem concerns just what the something is that might be called humor. Some theories address the object of humor, whereas others are concerned primarily with the characteristics of the response, and other theories discuss both.

The popular reduction of humor theories into three groups—Incongruity, Relief, and Superiority theories—is an over simplification. Several scholars have identified over 100 types of humor theories, and Patricia Keith-Spiegel’s classification of humor theories into 8 major types (biological, superiority, incongruity, surprise, ambivalence, release, configuration, and psychoanalytic theories) has been fairly influential. Jim Lyttle suggests that, based on the question they are primarily addressing humor, theories can be classified into 3 different groups. He argues that, depending on their focus, humor theories can be grouped under these categories: functional, stimuli, and response theories. (1) Functional theories of humor ask what purpose humor has in human life. (2) Stimuli theories ask what makes a particular thing funny. (3)Response theorists ask why we find things funny. A better way to phrase this concern is to say that response theorists ask what is particular about feelings of humor.

A little probing shows that Lyttle’s grouping is strained, since many of the humor theories address more than one of these questions, and an answer to one often involves an answer to the other questions. For instance, though focused on the function of humor, relief theories often have something to say about all three questions: humor serves as a tension release mechanism, the content often concerns the subject of repressed desires, and finding these funny involves a feeling of relief.

Regardless of the classificatory scheme, when analyzing the tradition of humor theories we need to consider how each of the traditionally defined schools answers the major questions that occupy the bulk of the discussion. The primary questions of humor theory include:

1. Humor question: What is humor?

(An answer to this question often entails answers to questions regarding the object and the response. This is the central question of any humor theory.)

2. Object Feature Questions:

  1. Are there any features frequently found in what is found funny?
  2. Are there any features necessary for something to have in order to be found funny?
  3. Are there any features that by themselves or considered jointly are sufficient for something to be found funny? (Answering this question affirmatively would amount to discovering the holy grail of humor theory.)

3. Response Question: Is there anything psychologically or cognitively distinctive or characteristic about finding something funny?

4. Laughter Question: How is humor related to laughter?

Given this list, we may ask what would a theory of humor amount to? To count as a humor theory and not just an approach to humor, a theory must attempt an answer to Question 1—What is humor? Like the relief theories, most humor theorists do not attempt to answer this question head on, but discuss some important or necessary characteristics of humor. Since the various theories of humor are addressing different sets of questions within this cluster as well as related question in the general study of humor, it is often difficult to put them in competition with each other. Accepting this limitation, we can proceed to explore a few of the major humor theories listed in the widely influential standard analysis.

2. Theories of Humor

a. Superiority Theory

We can give two forms to the claims of the superiority theory of humor: (1) the strong claim holds that all humor involves a feeling of superiority, and (2) the weak claim suggests that feelings of superiority are frequently found in many cases of humor. It is not clear that many superiority theorists would hold to the strong claim if pressed, but we will evaluate as a necessary condition nonetheless.

Neither Plato nor Aristotle makes clear pronouncements about the essence of humor, though their comments are preoccupied with the role of feelings of superiority in our finding something funny. In the “Philebus,” Plato tries to expose the “mixture of pleasure and pain that lies in the malice of amusement.” He argues that ignorance is a misfortune that when found in the weak is considered ridiculous. In comedy, we take malicious pleasure from the ridiculous, mixing pleasure with a pain of the soul. Some of Aristotle’s brief comments in the Poetics corroborate Plato’s view of the pleasure had from comedy. Tragedy deals with subjects who are average or better than average; however, in comedy we look down upon the characters, since it presents subjects of lesser virtue than, or “who are inferior to,” the audience. The “ludicrous,” according to Aristotle, is “that is a failing or a piece of ugliness which causes no pain of destruction” (Poetics, sections 3 and 7). Going beyond the subject of comedy, in the Rhetoric (II, 12) Aristotle defines wit as “educated insolence,” and in the Nicomachean Ethics (IV, 8) he describes jokes as “a kind of abuse” which should ideally be told without producing pain. Rather than clearly offering a superiority theory of humor, Plato and Aristotle focus on this common comic feature, bringing it to our attention for ethical considerations.

Thomas Hobbes developed the most well known version of the Superiority theory. Giving emphatic expression to the idea, Hobbes says “that the passion of laughter is nothing else but sudden glory arising from some sudden conception of some eminency in ourselves, by comparison with the infirmity of others, or with our own formerly” (Human Nature, ch. 8). Motivated by the literary conceit of the laugh of triumph, Hobbes’s expression the superiority theory looks like more of a theory of laughter than a theory of humor. Charles Baudelaire (1956) offers an interesting variation on Hobbes’ superiority theory, mixing it with mortal inferiority. He argues that that “laughter is satanic”—an expression of dominance over animals and a frustrated complaint against our being merely mortal.

Critically reversing the superiority theory, Robert Solomon (2002) offers an inferiority theory of humor. He thinks that self-recognition in the silly antics and self-deprecating behavior of the Three Stooges is characteristic of a source of humor based in inferiority or modesty. Rather than comparing our current with our former inferior selves, Solomon sees the ability to not take yourself seriously, or to see yourself as less than ideal, as a source of virtuous modesty and compassion. Solomon’s analysis of the Three Stooges is not a full-blown theory of humor, in that it does not make any pronouncements about the necessary or sufficient conditions of humor; however, it is a theory of humor in the sense that it suggests a possible source of humor or what humor can be and how it might function.

Solomon’s inferiority theory of humor raises a central objection against the Superiority theory, namely, that a feeling of superiority is not a necessary condition of humor. Morreall offers several examples, such as finding a bowling ball in his refrigerator, that could be found funny, but do not clearly involve superiority. If feelings of superiority are not necessary for humor, are they sufficient? Undoubtedly, this is not the case. As an 18th century critic of Hobbes, Francis Hutcheson, points out, we can feel superior to lots of things, dogs, cats, trees, etc, without being amused: “some ingenuity in dogs and monkeys, which comes near to some of our own arts, very often makes us merry; whereas their duller actions, in which the are much below us, are no matter of jest at all” (p. 29). However, if we evaluate the weaker version of the superiority theory—that humor is often fueled by feelings of superiority—then we have a fairly well supported empirical claim, easily confirmable by first hand observation.

b. Relief Theory

Relief theories attempt to describe humor along the lines of a tension-release model. Rather than defining humor, they discuss the essential structures and psychological processes that produce laughter. The two most prominent relief theorists are Herbert Spencer and Sigmund Freud. We can consider two version of the relief theory: (1) the strong version holds that all laughter results from a release of excessive energy; (2) the weak version claims that it is often the case that humorous laughter involves a release of tension or energy. Freud develops a more specific description of the energy transfer mechanism, but the process he describes is not essential to the basic claims of the relief theory of humor.

In “The Physiology of Laughter” (1860), Spencer develops a theory of laughter that is intimately related to his “hydraulic” theory of nervous energy, whereby excitement and mental agitation produces energy that “must expend itself in some way or another.” He argues that “nervous excitation always tends to beget muscular motion.” As a form of physical movement, laughter can serve as the expressive route of various forms of nervous energy. Spencer did not see his theory as a competitor to the incongruity theory of humor; rather, he tried to explain why it is that a certain mental agitation arising from a “descending incongruity” results in this characteristically purposeless physical movement. Spencer never satisfactorily answers this specific question, but he presents the basic idea that laughter serves to release pent up energy.

One criticism of Spencer’s theory of energy relief is that it does not seem to describe most cases of humor that occur quickly. Many instances of jokes, witticisms, and cartoons do not seem to involve a build up of energy that is then released. Perhaps Spencer thinks that the best explanation for laughter, an otherwise purposeless expenditure of energy, must be that it relieves energy produced from humor. However, since most of our experiences of humor do not seem to involve an energy build up, and humor does not seem forthcoming when we are generally agitated, a better explanation might be that laughter is not as purposeless as it seems or that all expenditures of energy, purposeful or not, need involve a build up.

Spencer might reply that everyone is continuously building up energy simply through the process of managing everyday stress. As such, most people have excess energy, a form of energy potential, waiting to be released by humor. For example, one often hears it said that humor allows one to “blow off steam” after a stressful day at work. The problem with this line of argument is that those who are most “stressed out” seem the least receptive to humor. Not only do attempts at humor frequently fall flat on the hurried, the amusement that results is typically minimal. Perhaps Spencer could argue that at a certain threshold the pent up energy jams the gates such that humor is unable to provide a release. This line of defense might be plausible, but the tension release theory starts to look a bit ad hoc when you have to posit things such as jammed energy release gates and the like.

In Jokes and Their Relation to the Unconscious (1905), Freud develops a more fine grained version of the relief theory of laughter, that amounts to a restatement of Spencer’s theory with the addition of a new process. He describes three different sources of laughter—joking, the comic, and humor—which all involve the saving of some psychic energy that is then discharged through laughter. In joking, the energy that would have been used to repress sexual and hostile feelings is saved and can be released in laughter. In the comic, cognitive energy to be used to solve an intellectual challenge is left over and can be released. The humorous involves a saving of emotional energy, since what might have been an emotion provoking situation turns out to be something we should treat non-seriously. The energy building up for the serious emotional reaction can then be released.

The details of Freud’s discussions of the process of energy saving, are widely regarded as problematic. His notion of energy saving is unclear, since it is not clear what sense it makes to say that energy which is never called upon is saved, rather than saying that no energy was expended. Take his theory of jokes, where the energy that otherwise would have been used to repress a desire is saved by joking which allows for aggression to be released. John Morreall and Noel Carroll make a similar criticism of this theory of energy management. We may have an idea of what it is like to express pent up energy, but we have no notion of what it would be to release energy that is used to repress a desire. Beyond the claim of queerness, this theory of joking does not result in the expected empirical observations. On Freud’s explanation, the most inhibited and repressed people would seem to enjoy joking the most, though the opposite is the case.

Relief theories of laughter do not furnish us a way to distinguish humorous from non-humorous laughter. Freud’s saved energy is perceptually indistinguishable with other forms of energy. As we saw with Spencer, Relief theories must be saddled to another theory of humor. Freud’s attempt to explain why we laugh is also an effort to explain why we find certain tendentious jokes especially funny, though it is not clear what he is getting at in his account of the saving of energy. He commits the fundamental mistake of relief theorists—they erroneously assume that since mental energy often finds release in physical movement, any physical movement must be explainable by an excess of nervous energy.

c. Incongruity Theory

The incongruity theory is the reigning theory of humor, since it seems to account for most cases of perceived funniness, which is partly because “incongruity” is something of an umbrella term. Most developments of the incongruity theory only try to list a necessary condition for humor—the perception of an incongruity—and they stop short of offering the sufficient conditions.

In the Rhetoric (III, 2), Aristotle presents the earliest glimmer of an incongruity theory of humor, finding that the best way to get an audience to laugh is to setup an expectation and deliver something “that gives a twist.” After discussing the power of metaphors to produce a surprise in the hearer, Aristotle says that “[t]he effect is produced even by jokes depending upon changes of the letters of a word; this too is a surprise. You find this in verse as well as in prose. The word which comes is not what the hearer imagined.” These remarks sound like a surprise theory of humor, similar to that later offered by René Descartes, but Aristotle continues to explain how the surprise must somehow “fit the facts,” or as we might put it today, the incongruity must be capable of a resolution.

In the Critique of Judgment, Immanuel Kant gives a clearer statement of the role of incongruity in humor: “In everything that is to excite a lively laugh there must be something absurd (in which the understanding, therefore, can find no satisfaction). Laughter is an affection arising from the sudden transformation of a strained expectation into nothing” (I, I, 54).

Arthur Schopenhauer offers a more specific version of the incongruity theory, arguing that humor arising from a failure of a concept to account for an object of thought. When the particular outstrips the general, we are faced with an incongruity. Schopenhauer also emphasizes the element of surprise, saying that “the greater and more unexpected [. . .] this incongruity is, the more violent will be his laughter” (1818, I, Sec. 13).

As stated by Kant and Schopenhauer, the incongruity theory of humor specifies a necessary condition of the object of humor. Focusing on the humorous object, leaves something out of the analysis of humor, since there are many kinds of things that are incongruous which do not produce amusement. A more robust statement of the incongruity theory would need to include the pleasurable response one has to humorous objects. John Morreall attempts to find sufficient conditions for identifying humor by focusing on our response. He defines humorous amusement as taking pleasure in a cognitive shift. The incongruity theory can be stated as a response focused theory, claiming that humor is a certain kind of reaction had to perceived incongruity.

Henri Bergson’s essay “Laughter” (1980) is perhaps the one of the most influential and sophisticated theories of humor. Bergson’s theory of humor is not easily classifiable, since it has elements of superiority and incongruity theories. In a famous phrase, Bergson argues that the source of humor is the “mechanical encrusted upon the living” (p. 84) According to Bergson “the comic does not exist outside of what is strictly human.” He thinks that humor involve an incongruous relationship between human intelligence and habitual or mechanical behaviors. As such, humor serves as a social corrective, helping people recognize behaviors that are inhospitable to human flourishing. A large source of the comic is in recognizing our superiority over the subhuman. Anything that threatens to reduce a person to an object—either animal or mechanical—is prime material for humor. No doubt, Bergson’s theory accounts for much of physical comedy and bodily humor, but he seems to over-estimate the necessity of mechanical encrustation. It is difficult to see how his theory can accommodate most jokes and sources of humor coming from wit.

Three major criticisms of the incongruity theory are that it is too broad to be very meaningful, it is insufficiently explanatory in that it does not distinguish between non-humorous incongruity and basic incongruity, and that revised versions still fail to explain why some things, rather than others, are funny. We have already addressed the third criticism: it confuses the object of humor with the response. What is at issue is the definition of humor, or how to identify humor, not how to create a humor-generating algorithm. The incongruity theorist has a response to this criticism as well, since they can claim that humor is pleasure in incongruity.

d. Play Theories

Describing play theories of humor as an independent school or approach might overstate their relative importance, although they do serve as a good representative of theories focused on the functional question. By looking at the contextual characteristic, play theories try to classify humor as a species of play. In this general categorization effort, the play theorists are not so much listing necessary conditions, as they are asking us to look at humor as an extension of animal play. They try to call our attention to the structural similarities between play contexts and humorous context, to suggest that what might be true of play, might be true of humor as well.

Play theorists often take an ethological approach to studying humor, tracing it back through evolutionary development. They look at laughter triggers like tickling, that are found in other species, to suggest that in humor ontogeny recapitulates phylogeny. In The Enjoyment of Laughter (1936), Max Eastman develops a play theory of humor with an adaptive story. He thinks we can find analogies of humor in the behavior of animals, especially in the proto-laughter of chimps to tickling. He goes so far as to argue that the wagging tail of a happy dog is a form of humorous laughter, since Eastman wants to broaden the definition of laughter to encompass other rhythmic responses to pleasure. Speaking more specifically of humor, he argues that “we come into the world endowed with an instinctive tendency to laugh and have this feeling in response to pains presented playfully” (p. 45). On Eastman’s account, what is central to humor and play is that both require taking a disinterested attitude towards what might otherwise be seen as serious.

Eastman considers humor to be a form of play, because humor involves a disinterested stance, certain kinds of humor involve mock aggression and insults, and because some forms of play activities result in humorous amusement. Since Eastman defines play as the adoption of this disinterested attitude, humor would count as a form of play on his definition, but this seems both too restrictive and too vague to serve as an adequate definition of play. In Homo Ludens (1938), Johan Huizinga criticizes identifying play with laughter or the comic. Though both seem to involve “the opposite of seriousness,” there are crucial asymmetries. Laughter, he argues, is particular to humans, whereas, play is found in other mammals and birds. Also, if we allow for certain types of competitive play, then a non-serious attitude is not essential to play, as it seems to be for humor. Identifying the comic, or humor, with play is problematic, since “in itself play is not comical for either for the player or public” (1938, p. 6). Huizinga questions whether humor and play share any necessary conditions, a requirement of the relationship if humor is a subtype of play. This will, of course, depend on how we describe humor and play, two equally elusive notions.

Play theorists are primarily concerned with the problem of determining the function of humor in order to explain how it might have adaptive value, a task taken up by other biological theories of humor. They argue that similarities between play and humor suggest that the adaptive value of play might be similar to that of humor. Other researchers focused on the functional questions have described humor as having value in cognitive development, social skill learning, tension relief, empathy management, immune system benefits, stress relief, and social bonding. Though these questions are primarily addressed by psychologists, sociologist, anthropologists, and medical researchers, their studies rely on and contribute to an evolving notion of just what counts as humor. Though the functional question is foremost in these theories, play theory tries to give humor a genus by offering some differentiating characteristics, essential to humor.

e. Summary of Humor Theories

We discussed four different schools of humor theories and noted how each reveals aspects common, if not necessary, to humor. Presenting these theories as rivals is misleading since, as we have seen, theorists in each classification focus on different problems and may draw upon the answers to different questions from another school. For instance, while focusing on why we find something funny, Spencer offers a functional explanation and relies on the answer incongruity theorists give to the question of what we find funny. Relief theories and Play theories tend to focus on the function humor serves in human life, though the functional question cannot be separated from characterizing amusement, or the humor response. Superiority theorists tend to focus on what feelings are necessary for there to be humor, or why we find some things funny. Incongruity theories have the most to say about the object of humor, though variants identify humor with the way we respond to a perceived incongruity. Though the functional, stimuli, and response questions are not neatly separated, the differing schools tend to assume that one question is more basic than the others.

3. References and Further Reading

  • Audi, Robert (1994). “Dispositional Beliefs and Dispositions to Believe.” Nous 28 (4), pp. 419-434.
  • Bateson, Gregory (2000). Steps to an Ecology of Mind. Chicago: University of Chicago Press.
  • Baudelaire, Charles (1956). “The Essence of Laughter and More Especially of the Comic in Plastic Arts.” Trans. Gerald Hopkins. In The Essence of Laughter and other Essays, Journals, and Letters, ed. Peter Qeennell. New York: Meridian Books.
  • Bergson, Henri (1980). “Laughter.” Trans. Wylie Sypher, in Comedy, eds. Wylie Sypher. Baltimore: Johns Hopkins University Press.
  • Berman, Merrie (1986). “How Many Feminists Does It Take To Make A Joke? Sexist Humor and What’s Wrong With It.” Hypatia, vol. 1, no. 1, Spring, pp. 63-82.
  • Caplow, Theodore (1968). Two Against One: Coalitions in Triads. Englewood Cliffs: Prentice Hall.
  • Carroll, Noel, ed. (2001a). Beyond Aesthetics: Philosophical Essays. New York: Cambridge University Press.
  • Carroll, Noel (2001b). “Horror and Humor” in Carroll (2001a), pp. 235-253.
  • Carroll, Noel (2001c). “Moderate Moralism” in Carroll (2001a), pp. 293- 306.
  • Carroll, Noel (2001d). “On Jokes” in Carroll (2001), pp. 317-334.
  • Carroll, Noel (1996). “Notes on the Sight Gag” in Noel Carroll Theorizing the Moving Image. New York, Cambridge Univesrity Press.
  • Carroll, Noel (1997). “Words, Images, and Laughter.” Persistence of Vision, no. 14, pp. 42-52.
  • Chapman, A. J., & Foot, H. C., eds. (1976). Humour and laughter: Theory, research, and applications. London: John Wiley & Sons.
  • Cohen, Ted (1999). Jokes: Philosophical Perspectives on Laughing Matters. Chicago: Chicago Univesrity Press.
  • Critchley, Simon (2002). On Humour. New York: Routledge.
  • De Sousa, Ronald (1987). “When is it Wrong to Laugh?” Ch. 11 of The Rationality of Emotion. Cambridge, MIT.
  • Descartes, René. (1649/1987). Les Passions de L’ame. Paris. Excerpts in Morreall.
  • Dundes, Alan (1987). Cracking Jokes: Studies of Sick Humor Cycles and Stereotypes. Berkeley: Ten Speed Press.
  • Dwyer, Tom (1991). “Humor, Power, and Change in organizations.” Human Relations, vol. 44, no. 1, pp. 1-19.
  • Eastman, Max (1936). Enjoyment of Laughter. New York: Halcyon House.
  • Eitzen, Dirk (2000). “Comedy and Classicism.” Film Theory and Philosophy. Eds. Richard Allen and Murray Smith. New York: Oxford Univesrity Press.
  • Freud, Sigmund (1928). “Humor.” International Journal of Psychoanalysis, 9, pp. 1-6.
  • Freud, Sigmund (1905/1960). Jokes and their Relation to the Unconscious. Trans. J. Strachey. New York: W. W. Norton. (Original work published 1905).
  • Gaut, Berys (1998). “Just Joking: The Ethics and Aesthetics of Humor.” Philosophy and Literature, 22 (1), pp. 51-68.
  • Goldstein, J. H., & McGhee, P. E., eds. (1972). The Psychology of Humor: Theoretical Perspectives and Empirical Issues. New York: Academic Press.
  • Gregory, J. C. (1924). The Nature of Laughter. New York: HBC.
  • Handelman, Don (1990/1998). Models and Mirrors: towards and anthropology of public events. New York: Berghahn Books. (Originally published by Cambridge University Press in 1990.)
  • Hobbes, Thomas (1840). Human Nature, in The English Works of Thomas Hobbes of Malmesbury, Volume IV, ed. William Molesworth, London: Bohn.
  • Horton, Andrew S. (1991). Comedy Cinema / Theory. Berkeley: University of California Press.
  • Huizinga, Johan (1938/1971). Homo Ludens. Beacon Press. (Originally published in 1938).
  • Kant, Immanuel. (1951). Critique of Judgment. J. H. Bernard, Trans. New York: Hafner.
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    Rape Attitudes, and Relationship Aggression in College Students.” Sex Roles, vol. 38, no. 9/10, May, pp. 743-756.
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Author Information

Aaron Smuts
Email: asmuts@gmail.com
University of Wisconsin-Madison
U. s. A.

Joseph Butler (1692—1752)

butlerBishop Joseph Butler is a well-known religious philosopher of the eighteenth century. He is still read and discussed among contemporary philosophers, especially for arguments against some major figures in the history of philosophy, such as Thomas Hobbes and John Locke. In his Fifteen Sermons Preached at the Rolls Chapel (1729), Butler argues against Hobbes’s egoism, and in the Analogy of Religion (1736), he argues against Locke’s memory-based theory of personal identity.

Overall, Butler’s philosophy is largely defensive. His general strategy is to accept the received systems of morality and religion and, then, defend them against those who think that such systems can be refuted or disregarded. Butler ultimately attempts to naturalize morality and religion, though not in an overly reductive way, by showing that they are essential components of nature and common life. He argues that nature is a moral system to which humans are adapted via conscience. Thus, in denying morality, Butler takes his opponents to be denying our very nature, which is untenable. Given this conception of nature as a moral system and certain proofs of God’s existence, Butler is then in a position to defend religion by addressing objections to it, such as the problem of evil.

This article provides an overview of Butler’s life, works, and influence with special attention paid to his writings on religion and ethics. The totality of his work addresses the questions: Why be moral? Why be religious? Which morality? Which religion? In attempting to answer such questions, Butler develops a philosophy that possesses a unity often neglected by those who read him selectively. The philosophy that develops is one according to which religion and morality are grounded in the natural world order.

Table of Contents

  1. Life
  2. Human Nature as Made for Virtue
  3. Human Life as in the Presence of God
  4. This Life as a Prelude to a Future Life
  5. The World as a Moral Order
  6. The Christian Scriptures as a Revelation
  7. Public Institutions as Moral Agents
  8. Butler’s Influence
  9. References and Further Reading
    1. Works by Butler
    2. Secondary Literature

1. Life

Joseph Butler was born into a Presbyterian family at Wantage. He attended a dissenting academy, but then converted to the Church of England intent on an ecclesiastical career. Butler expressed distaste for Oxford’s intellectual conventions while a student at Oriel College; he preferred the newer styles of thought, especially those of John Locke, the 3rd Earl of Shaftesbury and Francis Hutcheson, leading David Hume to characterize Butler as one of those “who have begun to put the science of man on a new footing, and have engaged the attention, and excited the curiosity of the public.” Butler benefited from the support of Samuel Clarke and the Talbot family.

In 1719, Butler was appointed to his first job, preacher to the Rolls Chapel in Chancery Lane, London. Butler’s anonymous letters to Clarke had been published in 1716, but a selection of his Fifteen Sermons Preached at the Rolls Chapel (1729) was the first work published under his name. The Rolls sermons are still widely read and have held the attention of secular philosophers more than any other sermons in history. Butler moved north and became rector of Stanhope in 1725. Only at this point is his life documented in any detail, and his tenure is remembered mainly for the Analogy of Religion (1736). Soon after publication of that work, Butler became Bishop of Bristol. Queen Caroline had died urging his preferment, but Bristol was one of the poorest sees, and Butler expressed some displeasure in accepting it. Once Butler became dean of St. Paul’s in 1740, he was able to use that income to support his work in Bristol. In 1750, not long before his death, Butler was elevated to Durham, one of the richest bishoprics. The tradition that Butler declined the See of Canterbury was conclusively discredited by Norman Sykes (1936), but continues to be repeated uncritically in many reference works. Butler’s famous encounter with John Wesley has only recently been reconstructed in as full detail as seems possible given the state of the surviving evidence, and we are now left with little hope of ever knowing what their actual relationship was. They disagreed, certainly, on Wesley’s right to preach without a license, and on this point Butler seems entirely in the right; but Butler may have supported Wesley more than he opposed him, and Wesley seems entirely sincere in his praise of the Analogy.

Butler has become an icon of a highly intellectualized, even rarefied, theology, “wafted in a cloud of metaphysics,” as Horace Walpole said. Ironically, Butler refused as a matter of principle to write speculative works or to pursue curiosity. All his writings were directly related to the performance of his duties at the time or to career advancement. From the Rolls sermons on, all his works are devoted to pastoral philosophy.

A pastoral philosopher gives philosophically persuasive arguments for seeing life in a particular way when such a seeing-as may have a decisive effect on practice. Butler had little interest in, and only occasionally practiced, natural theology in the scholastic sense; his intent is rather defensive: to answer those who claim that morals and religion, as conventionally understood, may be safely disregarded. Butler tried to show, as a refutation of the practice of his day (as he perceived it), that morals and religion are natural extensions of the common way of life usually taken for granted, and thus that those who would dispense with them bear a burden of proof they are unable to discharge. In arguing that morals and religion are favored by a presumption already acknowledged in ordinary life, Butler employs many types of appeal, at least some of which would be fallacious if used in an attempted demonstrative argument.

2. Human Nature as Made for Virtue

Butler’s argument for morality, found primarily in his sermons, is an attempt to show that morality is a matter of following human nature. To develop this argument, he introduces the notions of nature and of a system. There are, he says, various parts to human nature, and they are arranged hierarchically. The fact that human nature is hierarchically ordered is not what makes us manifestly adapted to virtue, rather, it is what Butler calls “conscience” that is at the top of this hierarchy. Butler does sometimes refer to the conscience as the voice of God; but, contrary to what is sometimes alleged, he never relies on divine authority in asserting the supremacy, the universality or the reliability of conscience. Butler clearly believes in the autonomy of the conscience as a secular organ of knowledge.

Whether the conscience judges principles, actions or persons is not clear, perhaps deliberately since such distinctions are of no practical significance. What Butler is concerned to show is that to dismiss morality is in effect to dismiss our own nature, and therefore absurd. As to which morality we are to follow, Butler seems to have in mind the common core of civilized standards. He stresses the degree of agreement and reliability of conscience without denying some differences remain. All that is required for his argument to go through is that the opponent accept in practice that conscience is the supreme authority in human nature and that we ought not to disregard our own nature.

The most significant recent challenge to Butler’s moral theory is by Nicholas Sturgeon (1976), a reply to which appears in Stephen Darwall (1995).

Besides the appeal to the rank of conscience, Butler offered many other observations in his attempt to show that we are made for (that is, especially suited to) virtue. In a famous attack on the egoistic philosophy of Thomas Hobbes, he argues that benevolence is as much a part of human nature as self-love. Butler also argues that various other aspects of human nature are adapted to virtue, sometimes in surprising ways. For example, he argues that resentment is needed to balance benevolence. He also deals forthrightly with self-deception.

Only three of the fifteen sermons deal with explicitly religious themes: the sermons on the love of God and the sermon on ignorance.

3. Human Life as in the Presence of God

Butler’s views on our knowledge of God are among the most frequently misstated aspects of his philosophy. Lewis White Beck’s exposition (1937) of this neglected aspect of Butler’s philosophy has itself been generally neglected, and both friends and foes frequently assert that Butler “assumed” that God exists. Butler never assumes the existence of God; rather, at least after his exchange with Clarke, he takes it as granted that God’s existence can be and has been proved to the satisfaction of those who were party to the discussion in his time. The charge, frequently repeated since the mid-nineteenth century, that Butler’s position is reversible once an opponent refuses to grant God’s existence, is therefore groundless. It is true that Butler does not expound any proof of God’s existence. (Notice that this fact makes it problematic to identify him with the character Cleanthes in Hume’s Dialogues Concerning Natural Religion.) However, he does endorse many such proofs, using common names rather than citing specific texts.

The sermons on the love of God are rarely read today, but they provide abundant evidence that Butler’s God is not some remote deity who created the world and then lost interest in it. On the contrary, the difference that God makes to us is the difference that a lively sense of God’s presence makes.

4. This Life as a Prelude to a Future Life

Butler considered the expectation of a future life to be the foundation of all our hopes and fears. He does not state exactly why this is so, and most commentators have concluded that he is referring to hopes and fears regarding what will happen to us as individuals when we die. Such an intention would be contrary to Butler’s general line of thought. More consonant with what Butler does say is the Platonic point that one cannot truly benefit by acting viciously and then escaping punishment. Since that is what appears to happen in this world, appearances must be denied. Secondly, and here Butler would agree with Hume, in this world there is an appearance that the superintendence of the universe is not entirely just. Thus, there are three logical options: (1) the universe is ultimately unjust, (2) contrary to appearances, this world is somehow just, or (3) the universe is just, but only when viewed more broadly than we are able to see now. Given these options, Butler thinks there are good practical reasons for accepting the third in practice.

The first chapter of the Analogy is devoted to the argument that what little we know of the nature of death is insufficient to warrant an assurance that death is the end of us. And when we lack sufficient warrant for acting on the presumption of a change, we must act on the presumption of continuance. The recurrent objection, offered by such otherwise sympathetic readers as Richard Swinburne, is that in the physical destruction of the body, we do have sufficient warrant. Roderick Chisholm (1986) has proposed a counter to this criticism.

Butler appends to his discussion of a future life a brief essay on personal identity, and this is the only part of the Analogy widely read today. That it is read independently is perhaps just as well since it is difficult to see how it is related to the general argument. Butler says he needs to answer objections to personal identity continuing after death, which he certainly must do. But the view he proposes to refute is Locke’s, and Locke seemed not to see that his theory of personal identity presented a problem for expectation of a future life. Locke’s theory was that memory is constitutive of personal identity. Even if Butler is right in his objection to Locke’s theory, he certainly needs personal memories to be retained since they are presupposed by his theory of rewards and punishments after death.

5. The World as a Moral Order

Butler’s work is directed mainly against skeptics (and those inclined toward skepticism) and as an aid for those who propose to argue with skeptics. The general motivation for his work is to overcome intellectual embarrassment at accepting the received systems of morals and religion. To succeed, Butler must present a case that is plausible if not fully probative, and he must do so without resorting to an overly reductive account of morals and religion. Butler’s strategy is to naturalize morals and religion. Although generally scorning scholastic methods, Butler does accept the ontological argument for God’s existence, the appeal to the unity and simplicity of the soul and the distinction of natural and revealed religion. The fundamental doctrine of natural religion is the efficacy of morals—that the categories of virtue and vice, already discussed in terms of human nature, have application to the larger world of nature. To some, fortune and misfortune in this world seem not to be correlated with any moral scheme. But, with numerous examples, Butler argues that the world as we ordinarily experience it does have the appearance of a moral order.

Butler takes up two objections: the possibility that the doctrine of necessity is true and the familiar problem of evil. With regard to necessity, he argues that, even if such is the case, we are in no position to live in accord with necessity since we cannot see our own or others’ actions as entirely necessitated. Butler’s approach to the problem of evil is to appeal to human ignorance, a principal theme in various aspects of his work. What Butler must show is that we do not know of the actual occurrence of any event such that it could not be part of a just world. Since he does appeal to our ignorance, Butler cannot be said to have produced a theodicy, a justification of the ways of God to us, but his strategy may show a greater intellectual integrity, and may be sufficient for his purposes.

6. The Christian Scriptures as a Revelation

Butler’s treatment of revealed religion is less satisfactory, since he had only a partial understanding of modern biblical criticism. Butler does insist on treating the Bible like any other book for critical purposes. He maintains that if any biblical teaching appears immoral or contrary to what we know by our natural faculties, then that alone is sufficient reason for seeking another interpretation of the scripture. The point of a revelation is to supplement natural knowledge, not to overrule it. Far from compromising the role of religion, this view is entailed by the fact that nature, natural knowledge and revelation all have a common source in God.

It is only in the second part of his Analogy that Butler argues against the deists. The characterization of his work as on the whole a reply to the deists is entirely a modern invention and is not found anywhere in the first century of reactions.

Only one chapter of the Analogy is devoted to the “Christian evidences” of miracles and prophecy, and even there Butler confines himself to some judicious remarks on the logical character of the arguments, especially with regard to miracles. In general, Butler presents revelation as wholly consistent with, but also genuinely supplemental of, natural knowledge. Hume says he castrated his Treatise of Human Nature (1739/1740) out of regards for Butler. But based on the texts that survive, there is no reason to think Hume would have gotten the better of the argument. Charles Babbage (1837) eventually showed why Hume had no valid objection to Butler.

Unfortunately, Butler’s account of scripture is entirely two-dimensional. He does not doubt the point that scripture was written in terms properly applicable to a previous state of society, but he has little sense of the canonical books themselves being redactions of a multitude of oral and literary traditions and sources.

7. Public Institutions as Moral Agents

In the six sermons preserved from the years he served as the Bishop of Bristol, Butler defends the moral nature of various philanthropic and political institutions of his day. And in his Charge to the Clergy at Durham, he presents a concise rationale for the Church.

8. Butler’s Influence

Ernest Mossner (1936) is still the most useful survey of Butler’s influence. Mossner claims that Butler was widely read in his own time, but his evidence may be insufficient to convince some. However that may be, there is no doubt that by the late eighteenth century Butler was widely read in Scottish universities, and from the early nineteenth century at Oxford, Cambridge and many American colleges, perhaps especially because the Scottish influence was so strong in America. Butler’s work impressed David Hume and John Wesley, and Thomas Reid, Adam Smith and David Hartley considered themselves Butlerians. Butler was a great favorite of the Tractarians, but the association with them may have worked against his ultimate influence in England, especially since Newman attributed his own conversion to the Roman Church to his study of Butler. S. T. Coleridge was among the first to urge study of the sermons and to disparage the Analogy. The decline of interest in the Analogy in the late nineteenth century has never been satisfactorily explained, but Leslie Stephen’s critical work was especially influential.

The editions most frequently cited today appeared only after wide interest in Butler’s Analogy had evaporated. The total editions are sometimes said to be countless, but this is true only in the sense that there are no agreed criteria for individuating editions. The numerous ancillary essays and study guides are still useful as evidence of how Butler was studied and understood. At its height, Butler’s influence cut across protestant denominational lines and party differences in the Church of England, but serious interest in the Analogy is now concentrated among certain Anglican writers.

9. References and Further Reading

Butler’s first biography appeared in the supplement to the Biographia Britannica (London, 1766). The most frequently reprinted biography is by Andrew Kippis and appeared in his second edition of the Biographia Britannica (London, 1778-93). This second edition is often confused with the supplement to the first edition. The only full biography is Bartlett (1839).

The best modern edition of Butler’s works is J.H. Bernard’s, but it is a modernized text, as of 1900, and contains errors. Serious readers may consult the original editions, now available on microfilm.

a. Works by Butler

  • Several Letters to the Reverend Dr. Clarke. London: Knapton, 1716.
  • Fifteen Sermons Preached at the Rolls Chapel. London: second edition, 1729; six sermons added in the 1749 edition.
  • Analogy of Religion, Natural and Revealed, to the Constitution and Nature. London: Knapton, 1736.
  • Charge Delivered to the Clergy. Durham: Lane, 1751.

b. Secondary Literature

  • Babbage, Charles. Ninth Bridgewater Treatise. London: J. Murray, 1837.
  • Babolin, Albino. Joseph Butler. Padova: LaGarangola, 1973. 2 vols.
  • Baker, Frank. “John Wesley and Bishop Joseph Butler: A Fragment of Wesley’s Manuscript Journal 16th to 24th August 1739.” Proceedings of the Wesley Historical Society. 42 (May 1980) 93-100.
  • Bartlett, Thomas. Memoirs of the Life, Character and Writings of Joseph Butler. London: John W. Parker, 1839.
  • Beck, Lewis White. “A Neglected Aspect of Butler’s Ethics.” Sophia 5 (1937) 11-15.
  • Butler, J.F. “John Wesley’s Defense Before Bishop Butler.” Proceedings of the Wesley Historical Society. 20 (1935) 63-67.
  • Butler, J.F. “John Wesley’s Defense Before Bishop Butler: A Further Note.” Proceedings of the Wesley Historical Society. 20 (1936) 193-194.
  • Chisholm, Roderick. “Self-Profile” in Roderick M. Chisholm, ed. Radu J. Bogdan. Dordrecht:Reidel, 1986.
  • Cunliffe, Christopher, ed. Joseph Butler’s Moral and Religious Thought: Tercentenary Essays. Oxford: Clarendon Press, 1992.
  • Darwall, Stephen. The British Moralists and the Internal ‘Ought’ 1640-1740. Cambridge: Cambridge University Press, 1995.
  • Mossner, E.C. Bishop Butler and the Age of Reason. New York: Macmillan, 1936.
  • Penelhum, Terence. Butler. London: Routledge & Kegan Paul, 1985.
  • Stephen, Leslie. “Butler, Joseph.” Dictionary of National Biography, 1886.
  • Sturgeon, Nicholas L. “Nature and Conscience in Butler’s Ethics.” Philosophical Review 85 (1976) 316-356.
  • Sykes, Norman. “Bishop Butler and the Primacy” Theology (1936) 132- 137.
  • Sykes, Norman. “Bishop Butler and the Primacy” (letter) Theology (1958) 23.

Author Information

David E. White
Email: dr.david.e.white@gmail.com
St. John Fisher College
U. S. A.

Phenomenology

In its central use, the term “phenomenology” names a movement in twentieth century philosophy. A second use of “phenomenology” common in contemporary philosophy names a property of some mental states, the property they have if and only if there is something it is like to be in them. Thus, it is sometimes said that emotional states have a phenomenology while belief states do not.  For example, while there is something it is like to be angry, there is nothing it is like to believe that Paris is in France. Although the two uses of “phenomenology” are related, it is the first which is the current topic.  Accordingly, “phenomenological” refers to a way of doing philosophy that is more or less closely related to the corresponding movement. Phenomenology utilizes a distinctive method to study the structural features of experience and of things as experienced. It is primarily a descriptive discipline and is undertaken in a way that is largely independent of scientific, including causal, explanations and accounts of the nature of experience. Topics discussed within the phenomenological tradition include the nature of intentionality, perception, time-consciousness, self-consciousness, awareness of the body and consciousness of others. Phenomenology is to be distinguished from phenomenalism, a position in epistemology which implies that all statements about physical objects are synonymous with statements about persons having certain sensations or sense-data. George Berkeley was a phenomenalist but not a phenomenologist.

Although elements of the twentieth century phenomenological movement can be found in earlier philosophers—such as David Hume, Immanuel Kant and Franz Brentano—phenomenology as a philosophical movement really began with the work of Edmund Husserl. Following Husserl, phenomenology was adapted, broadened and extended by, amongst others, Martin Heidegger, Jean-Paul Sartre, Maurice Merleau-Ponty, Emmanuel Levinas and Jacques Derrida. Phenomenology has, at one time or another, been aligned with Kantian and post-Kantian transcendental philosophy, existentialism and the philosophy of mind and psychology.

This article introduces some of the central aspects of the phenomenological method and also concrete phenomenological analyses of some of the topics that have greatly exercised phenomenologists.

Table of Contents

  1. Introduction
  2. Phenomenological Method
    1. Phenomena
    2. Phenomenological Reduction
    3. Eidetic Reduction
    4. Heidegger on Method
  3. Intentionality
    1. Brentano and Intentional Inexistence
    2. Husserl’s Account in Logical Investigations
    3. Husserl’s Account in Ideas I
    4. Heidegger and Merleau-Ponty on Intentionality
  4. Phenomenology of Perception
    1. Naïve Realism, Indirect Realism and Phenomenalism
    2. Husserl’s Account: Intentionality and Hyle
    3. Husserl’s Account: Internal and External Horizons
    4. Husserl and Phenomenalism
    5. Sartre Against Sensation
  5. Phenomenology and the Self
    1. Hume and the Unity of Consciousness
    2. Kant and the Transcendental I
    3. Husserl and the Transcendental Ego
    4. Sartre and the Transcendent Ego
  6. Phenomenology of Time-Consciousness
    1. The Specious Present
    2. Primal Impression, Retention and Protention
    3. Absolute Consciousness
  7. Conclusion
  8. References and Further Reading

1. Introduction

The work often considered to constitute the birth of phenomenology is Husserl’s Logical Investigations (Husserl 2001). It contains Husserl’s celebrated attack on psychologism, the view that logic can be reduced to psychology; an account of phenomenology as the descriptive study of the structural features of the varieties of experience; and a number of concrete phenomenological analyses, including those of meaning, part-whole relations and intentionality.

Logical Investigations seemed to pursue its agenda against a backdrop of metaphysical realism. In Ideas I (Husserl 1982), however, Husserl presented phenomenology as a form of transcendental idealism. This apparent move was greeted with hostility from some early admirers of Logical Investigations, such as Adolph Reinach. However, Husserl later claimed that he had always intended to be a transcendental idealist. In Ideas I Husserl offered a more nuanced account of the intentionality of consciousness, of the distinction between fact and essence and of the phenomenological as opposed to the natural attitude.

Heidegger was an assistant to Husserl who took phenomenology in a rather new direction. He  married Husserl’s concern for legitimating concepts through phenomenological description with an overriding interest in the question of the meaning of being, referring to his own phenomenological investigations as “fundamental ontology.” His Being and Time (Heidegger 1962) is one of the most influential texts on the development of European philosophy in the Twentieth Century. Relations between Husserl and Heidegger became strained, partly due to the divisive issue of National Socialism, but also due to significant philosophical differences. Thus, unlike his early works, Heidegger’s later philosophy bears little relation to classical Husserlian phenomenology.

Although he published relatively little in his lifetime, Husserl was a prolific writer leaving a large number of manuscripts. Alongside Heidegger’s interpretation of phenomenology, this unpublished work had a decisive influence on the development of French existentialist phenomenology. Taking its lead from Heidegger’s account of authentic existence, Sartre’s Being and Nothingness (Sartre 1969) developed a phenomenological account of consciousness, freedom and concrete human relations that perhaps defines the term “existentialism.” Merleau-Ponty’s Phenomenology of Perception (Merleau-Ponty 1962) is distinctive both in the central role it accords to the body and in the attention paid to the relations between phenomenology and empirical psychology.

Although none of the philosophers mentioned above can be thought of straightforwardly as classical Husserlian phenomenologists, in each case Husserl sets the phenomenological agenda. This remains the case, with a great deal of the contemporary interest in both phenomenological methodology and phenomenological topics drawing inspiration from Husserl’s work. Accordingly, Husserl’s views are the touchstone in the following discussion of the topics, methods and significance of phenomenology.

2. Phenomenological Method

Husserlian phenomenology is a discipline to be undertaken according to a strict method. This method incorporates both the phenomenological and eidetic reductions.

a. Phenomena

Phenomenology is, as the word suggests, the science of phenomena. But this just raises the questions: “What are phenomena?” and “In what sense is phenomenology a science?”.

In answering the first question, it is useful to briefly turn to Kant. Kant endorsed “transcendental idealism,” distinguishing between phenomena (things as they appear) and noumena (things as they are in themselves), claiming that we can only know about the former (Kant 1929, A30/B45). On one reading of Kant, appearances are in the mind, mental states of subjects. On another reading, appearances are things as they appear, worldly objects considered in a certain way.

Both of these understandings of the nature of phenomena can be found in the phenomenological literature. However, the most common view is that all of the major phenomenologists construe phenomena in the latter way: phenomena are things as they appear. They are not mental states but worldly things considered in a certain way. The Phenomenologists tend, however, to reject Kantian noumena. Also, importantly, it is not to be assumed that the relevant notion of appearing is limited to sensory experience. Experience (or intuition) can indeed be sensory but can, at least by Husserl’s lights, be understood to encompass a much broader range of phenomena (Husserl 2001, sec. 52). Thus, for example, although not objects of sensory experience, phenomenology can offer an account of how the number series is given to intuition.

Phenomenology, then, is the study of things as they appear (phenomena). It is also often said to be descriptive rather than explanatory: a central task of phenomenology is to provide a clear, undistorted description of the ways things appear (Husserl 1982, sec. 75). This can be distinguished from the project of giving, for example, causal or evolutionary explanations, which would be the job of the natural sciences.

b. Phenomenological Reduction

In ordinary waking experience we take it for granted that the world around us exists independently of both us and our consciousness of it. This might be put by saying that we share an implicit belief in the independent existence of the world, and that this belief permeates and informs our everyday experience. Husserl refers to this positing of the world and entities within it as things which transcend our experience of them as “the natural attitude” (Husserl 1982, sec. 30). In The Idea of Phenomenology, Husserl introduces what he there refers to as “the epistemological reduction,” according to which we are asked to supply this positing of a transcendent world with “an index of indifference” (Husserl 1999, 30). In Ideas I, this becomes the “phenomenological epoché,” according to which, “We put out of action the general positing which belongs to the essence of the natural attitude; we parenthesize everything which that positing encompasses with respect to being” (Husserl 1982, sec. 32). This means that all judgements that posit the independent existence of the world or worldly entities, and all judgements that presuppose such judgements, are to be bracketed and no use is to be made of them in the course of engaging in phenomenological analysis. Importantly, Husserl claims that all of the empirical sciences posit the independent existence of the world, and so the claims of the sciences must be “put out of play” with no use being made of them by the phenomenologist.

This epoché is the most important part of the phenomenological reduction, the purpose of which is to open us up to the world of phenomena, how it is that the world and the entities within it are given. The reduction, then, is that which reveals to us the primary subject matter of phenomenology—the world as given and the givenness of the world; both objects and acts of consciousness.

There are a number of motivations for the view that phenomenology must operate within the confines of the phenomenological reduction. One is epistemological modesty. The subject matter of phenomenology is not held hostage to skepticism about the reality of the “external” world. Another is that the reduction allows the phenomenologist to offer a phenomenological analysis of the natural attitude itself. This is especially important if, as Husserl claims, the natural attitude is one of the presuppositions of scientific enquiry. Finally, there is the question of the purity of phenomenological description. It is possible that the implicit belief in the independent existence of the world will affect what we are likely to accept as an accurate description of the ways in which worldly things are given in experience. We may find ourselves describing things as “we know they must be” rather than how they are actually given.

The reduction, in part, enables the phenomenologist to go “back to the ‘things themselves'”(Husserl 2001, 168), meaning back to the ways that things are actually given in experience. Indeed, it is precisely here, in the realm of phenomena, that Husserl believes we will find that indubitable evidence that will ultimately serve as the foundation for every scientific discipline. As such, it is vital that we are able to look beyond the prejudices of common sense realism, and accept things as actually given. It is in this context that Husserl presents his Principle of All Principles which states that, “every originary presentive intuition is a legitimizing source of cognition, that everything originally (so to speak, in its ‘personal’ actuality) offered to us in ‘intuition’ is to be accepted simply as what it is presented as being, but also only within the limits in which it is presented there” (Husserl 1982, sec. 24).

c. Eidetic Reduction

The results of phenomenology are not intended to be a collection of particular facts about consciousness, but are rather supposed to be facts about the essential natures of phenomena and their modes of givenness. Phenomenologists do not merely aspire to offer accounts of what their own experiences of, say, material objects are like, but rather accounts of the essential features of material object perception as such. But how is this aspiration to be realized given that the method of phenomenology is descriptive, consisting in the careful description of experience? Doesn’t this, necessarily, limit phenomenological results to facts about particular individuals’ experience, excluding the possibility of phenomenologically grounded general facts about experience as such?

The Husserlian answer to this difficulty is that the phenomenologist must perform a second reduction called “eidetic” reduction (because it involves a kind of vivid, imagistic intuition). The purpose of the eidetic reduction in Husserl’s writings is to bracket any considerations concerning the contingent and accidental, and concentrate on (intuit) the essential natures or essences of the objects and acts of consciousness (Husserl 1982, sec. 2). This intuition of essences proceeds via what Husserl calls “free variation in imagination.” We imagine variations on an object and ask, “What holds up amid such free variations of an original […] as the invariant, the necessary, universal form, the essential form, without which something of that kind […] would be altogether inconceivable?” (Husserl 1977, sec. 9a). We will eventually come up against something that cannot be varied without destroying that object as an instance of its kind. The implicit claim here is that if it is inconceivable that an object of kind K might lack feature F, then F is a part of the essence of K.

Eidetic intuition is, in short, an a priori method of gaining knowledge of necessities. However, the result of the eidetic reduction is not just that we come to knowledge of essences, but that we come to intuitive knowledge of essences. Essences show themselves to us (Wesensschau), although not to sensory intuition, but to categorial or eidetic intuition (Husserl 2001, 292-4). It might be argued that Husserl’s methods here are not so different from the standard methods of conceptual analysis: imaginative thought experiments (Zahavi 2003, 38-39).

d. Heidegger on Method

It is widely accepted that few of the most significant post-Husserlian phenomenologists accepted Husserl’s prescribed methodology in full. Although there are numerous important differences between the later phenomenologists, the influence of Heidegger runs deep.

On the nature of phenomena, Heidegger remarks that “the term ‘phenomenon’…signifies ‘to show itself'” (Heidegger 1962, sec. 7). Phenomena are things that show themselves and the phenomenologist describes them as they show themselves. So, at least on this score there would appear to be some affinity between Husserl and Heidegger. However, this is somewhat controversial, with some interpreters understanding Husserlian phenomena not as things as given, but as states of the experiencing subject (Carman 2006).

It is commonly held that Heidegger reject’s the epoché: “Heidegger came to the conclusion that any bracketing of the factual world in phenomenology must be a crucial mistake” (Frede 2006, 56). What Heidegger says in his early work, however, is that, for him, the phenomenological reduction has a different sense than it does for Husserl:

For Husserl, phenomenological reduction… is the method of leading phenomenological vision from the natural attitude of the human being whose life is involved in the world of things and persons back to the transcendental life of consciousness…. For us phenomenological reduction means leading phenomenological vision back from the apprehension of a being…to the understanding of the being of this being.
(Heidegger 1982, 21)

Certainly, Heidegger thinks of the reduction as revealing something different—the Being of beings. But this is not yet to say that his philosophy does not engage in bracketing,for we can distinguish between the reduction itself and its claimed consequences. There is, however, some reason to think that Heidegger’s position is incompatible with Husserl’s account of the phenomenological reduction. For, on Husserl’s account, the reduction is to be applied to the “general positing” of the natural attitude, that is to a belief. But, according to Heidegger and those phenomenologists influenced by him (including both Sartre and Merleau-Ponty), our most fundamental relation to the world is not cognitive but practical (Heidegger 1962, sec. 15).

Heidegger’s positive account of the methods of phenomenology is explicit in its ontological agenda. A single question dominates the whole of Heidegger’s philosophy: What is the meaning of being? To understand this, we can distinguish between beings (entities) and Being. Heidegger calls this “the ontological difference.”  According to Heidegger, “ontology is the science of Being. But Being is always the being of a being. Being is essentially different from a being, from beings…We call it the ontological difference—the differentiation between Being and beings” (Heidegger 1982, 17). Tables, chairs, people, theories, numbers and universals are all beings. But they all have being, they all are. An understanding at the level of beings is “ontical,” an understanding at the level of being is “ontological”. Every being has being, but what does it mean to say of some being that it is? Might it be that what it means to say that something is differs depending on what sort of thing we are talking about? Do tables, people, numbers have being in the same way? Is there such a thing as the meaning of being in general? The task is, for each sort of being, to give an account of the structural features of its way of Being, “Philosophy is the theoretical conceptual interpretation of being, of being’s structure and its possibilities” (Heidegger 1982, 11).

According to Heidegger, we have a “pre-ontological” understanding of being: “We are able to grasp beings as such, as beings, only if we understand something like being. If we did not understand, even though at first roughly and without conceptual comprehension, what actuality signifies, then the actual would remain hidden from us…We must understand being so that we may be able to be given over to a world that is” (Heidegger 1982, 10-11). Our understanding of being is manifested in our “comportment towards beings” (Heidegger 1982, 16). Comportment is activity, action or behaviour. Thus, the understanding that we have of the Being of beings can be manifested in our acting with them. One’s understanding of the being of toothbrushes, for example, is manifested in one’s capacity for utilizing toothbrushes. Understanding need not be explicit, nor able to be articulated conceptually. It is often embodied in “know-how.” This is the sense, on Heidegger’s account, that our most fundamental relation to the world is practical rather than cognitive. It is this that poses a challenge to the phenomenological reduction.

Heidegger’s relation to the eidetic reduction is complex. The purpose of the eidetic reduction in Husserl’s writings is to bracket any considerations concerning the contingent and accidental, and concentrate on (intuit) the essential natures of the objects and acts of consciousness. Heidegger’s concentration on the meaning of the Being of entities appears similar in aim. However, insofar as the Being of entities relies on the notion of essence, Heidegger’s project calls it into question. The idea that there are different “ways of being” looks as though it does not abide by the traditional distinction between existence and essence. So, on Heidegger’s account, what it takes for something to have being is different for different sorts of thing.

3. Intentionality

How is it that subjective mental processes (perceptions, thoughts, etc.) are able to reach beyond the subject and open us up to an objective world of both worldly entities and meanings? This question is one that occupied Husserl perhaps more than any other, and his account of the intentionality of consciousness is central to his attempted answer.

Intentionality is one of the central concepts of Phenomenology from Husserl onwards. As a first approximation, intentionality is aboutness or directedness as exemplified by mental states. For example, the belief that The Smiths were from Manchester is about both Manchester and The Smiths. One can also hope, desire, fear, remember, etc. that the Smiths were from Manchester.

Intentionality is, say many, the way that subjects are “in touch with” the world. Two points of terminology are worth noting. First, in contemporary non-phenomenological debates, “intentional” and its cognates is often used interchangeably with “representational” and its cognates. Second, although they are related, “intentionality” (with a “t”)  is not to be confused with “intensionality” (with an “s”). The former refers to aboutness (which is the current topic), the latter refers to failure of truth-preservation after substitution of co-referring terms.

a. Brentano and Intentional Inexistence

Franz Brentano, Husserl’s one time teacher, is the origin of the contemporary debate about intentionality. He famously, and influentially claimed:

Every mental phenomenon is characterised by what the Scholastics of the Middle Ages called the intentional (or mental) inexistence of an object, and what we might call, though not wholly unambiguously, reference to a content, direction towards an object (which is not to be understood here as meaning a thing) or immanent objectivity. Every mental phenomenon includes something as object within itself, although they do not all do so in the same way. In presentation, something is presented, in judgement something is affirmed or denied, in love loved, in hate hated, in desire desired and so on.
(Brentano 1995, 88)

Brentano thought that all and only psychological states exhibit intentionality, and that in this way the subject matter of psychology could be demarcated. His, early and notorious, doctrine of intentional inexistence maintains that the object of an intentional state is literally a part of the state itself, and is, therefore, an “immanent” psychological entity. This position is based on Brentano’s adherence to (something like) the first interpretation of the Kantian notion of phenomena mentioned above (Crane 2006).

b. Husserl’s Account in Logical Investigations

Since phenomenology is descriptive, Husserl’s aim is to describe (rather than explain or reduce) intentionality. Husserl differs from Brentano in that he thinks that, apart from some special cases, the object of an intentional act is a transcendent object. That is, the object of an intentional act is external to the act itself (Husserl 2001, 126-7) (Husserl’s “acts” are not to be thought of as actions, or even as active. For example, on Husserl’s view, a visual experience is a conscious act (Husserl 2001, 102)). The object of the belief that Paris is the capital of France is Paris (and France). This is in keeping with the suggestion above that when phenomenologists describe phenomena, they describe worldly things as they are presented in conscious acts, not mental entities.

Intentionality is not a relation, but rather an intrinsic feature of intentional acts. Relations require the existence of their relata (the things related to one another), but this is not true of intentionality (conceived as directedness towards a transcendent object). The object of my belief can fail to exist (if my belief is, for example, about Father Christmas). On Husserl’s picture, every intentional act has an intentional object, an object that the act is about, but they certainly needn’t all have a real object (Husserl 2001, 127).

Husserl distinguishes between the intentional matter (meaning) of a conscious act and its intentional quality, which is something akin to its type (Husserl 2001, 119-22). Something’s being a belief, desire, perception, memory, etc. is its intentional quality. A conscious act’s being about a particular object, taken in a particular way, is its intentional matter. An individual act has a meaning that specifies an object. It is important to keep these three distinct. To see that the latter two are different, note that two intentional matters (meanings) can say the same thing of the same object, if they do it in a different way. Compare: Morrissey wrote “I know it’s Over,” and The lead singer of the Smiths wrote the second track on The Queen is Dead. To see that the first two (act and meaning) are distinct, on Husserl’s view, meanings are ideal (that is, not spatio-temporal), and therefore transcend the acts that have them (Husserl 2001, 120). However, intentional acts concretely instantiate them. In this way, psychological subjects come into contact with both ideal meaning and the worldly entities meant.

c. Husserl’s Account in Ideas I

In his Ideas I, Husserl introduced a new terminology to describe the structure of intentionality. He distinguished between the noesis and the noema, and he claimed that phenomenology involved both noetic and noematic analysis (Husserl 1982, pt. 3, ch.6). The noesis is the act of consciousness; this notion roughly corresponds to what Husserl previously referred to as the “intentional quality.” Thus, noetic analysis looks at the structure of conscious acts and the ways in which things are consciously intended. The noema is variously interpreted as either the intentional object as it is intended or the ideal content of the intentional act. Thus, noematic analysis looks at the structure of meaning or objects as they are given to consciousness. Exactly how to interpret Husserl’s notions of the noema and noematic analysis are much debated (Smith 2007, 304-11), and this debate goes right to the heart of Husserlian phenomenology.

d. Heidegger and Merleau-Ponty on Intentionality

On Husserl’s view, intentionality is aboutness or directedness as exemplified by conscious mental acts. Heidegger and, following him, Merleau-Ponty broaden the notion of intentionality, arguing that it fails to describe what is in fact the most fundamental form of intentionality. Heidegger argues:

The usual conception of intentionality…misconstrues the structure of the self-directedness-toward….  An ego or subject is supposed, to whose so-called sphere intentional experiences are then supposed to belong…. [T]he mode of being of our own self, the Dasein, is essentially such that this being, so far as it is, is always already dwelling with the extant. The idea of a subject which has intentional experiences merely inside its own sphere and is not yet outside it but encapsulated within itself is an absurdity.
(Heidegger 1982, 63-4)

Heidegger introduces the notion of comportment as a meaningful directedness towards the world that is, nevertheless, more primitive than the conceptually structured intentionality of conscious acts, described by Husserl (Heidegger 1982, 64). Comportment is an implicit openness to the world that continually operates in our habitual dealings with the world. As Heidegger puts it, we are “always already dwelling with the extant”.

Heidegger’s account of comportment is related to his distinction, in Being and Time, between the present-at-hand and the ready-to-hand. These describe two ways of being of worldly entities. We are aware of things as present-at-hand, or occurrent, through what we can call the “theoretical attitude.” Presence-at-hand is the way of being of things—entities with determinate properties.
Thus, a hammer, seen through the detached contemplation of the theoretical attitude, is a material thing with the property of hardness, woodenness etc. This is to be contrasted with the ready-to-hand. In our average day-to-day comportments, Dasein encounters equipment as ready-to-hand,
“The kind of Being which equipment possesses – in which it manifests itself in its own right – we call ‘readiness-to-hand‘” (Heidegger 1962, sec. 15). Equipment shows itself as that which is in-order-to, that is, as that which is for something. A pen is equipment for writing, a fork is equipment for eating, the wind is equipment for sailing, etc. Equipment is ready-to-hand, and this means that it is ready to use, handy, or available. The readiness-to-hand of equipment is its manipulability in our dealings with it.

A ready-to-hand hammer has various properties, including Being-the-perfect-size-for-the-job-at-hand. Heidegger claims that these “dealings” with “equipment” have their own particular kind of “sight”: “[W]hen we deal with them [equipment] by using them and manipulating them, this activity is not a blind one; it has its own kind of sight, by which our manipulation is guided… the sight with which they thus accommodate themselves is circumspection” (Heidegger 1962, sec. 15). Circumspection is the way in which we are aware of the ready-to-hand. It is the kind of awareness that we have of “equipment” when we are using it but are not explicitly concentrating on it or contemplating it, when it recedes. For example, in driving, one is not explicitly aware of the wheel. Rather, one knowledgeably use it; one has “know how.” Thus, circumspection is the name of our mode of awareness of the ready-to-hand entities with which Dasein comports in what, on Heidegger’s view, is the most fundamental mode of intentionality.

Merleau-Ponty’s account of intentionality introduces, more explicitly than does Heidegger’s, the role of the body in intentionality. His account of “motor intentionality” treats bodily activities, and not just conscious acts in the Husserlian sense, as themselves intentional. Much like Heidegger, Merleau-Ponty describes habitual, bodily activity as a directedness towards worldly entities that are for something, what he calls “a set of manipulanda” (Merleau-Ponty 1962, 105). Again, like Heidegger, he argues that motor intentionality is a basic phenomenon, not to be understood in terms of the conceptually articulated intentionality of conscious acts, as described by Husserl. As Merleau-Ponty says, “it is the body which ‘catches’ and ‘comprehends movement’. The acquisition of a habit is indeed the grasping of a significance, but it is the motor grasping or a motor significance” (Merleau-Ponty 1962, 142-3). And again, “it is the body which ‘understands'” (Merleau-Ponty 1962, 144).

4. Phenomenology of Perception

Perceptual experience is one of the perennial topics of phenomenological research. Husserl devotes a great deal of attention to perception, and his views have been very influential. We will concentrate, as does Husserl, on the visual perception of three dimensional spatial objects. To understand Husserl’s view, some background will be helpful.

a. Naïve Realism, Indirect Realism and Phenomenalism

We ordinarily think of perception as a relation between ourselves and things in the world. We think of perceptual experience as involving the presentation of three dimensional spatio-temporal objects and their properties. But this view, sometimes known as naïve realism, has not been the dominant view within the history of modern philosophy. Various arguments have been put forward in an attempt to show that it cannot be correct. The following is just one such:

  1. If one hallucinates a red tomato, then one is aware of something red.
  2. What one is aware of cannot be a red tomato (because there isn’t one); it must be a private, subjective entity (call this a sense datum).
  3. It is possible to hallucinate a red tomato while being in exactly the same bodily states as one would be in if one were seeing a red tomato.
  4. What mental/experiential states people are in are determined by what bodily states they are in.
  5. So: When one sees a red tomato, what one is (directly) aware of cannot be a red tomato but must be a private, subjective entity (a sense datum).

The conclusion of this argument is incompatible with naïve realism. Once naïve realism is rejected, and it is accepted that perception is a relation, not to an ordinary worldly object, but to a private mental object, something must be said about the relation between these two types of object. An indirect realist view holds that there really are both kinds of object. Worldly objects both cause and are represented by sense data. However, this has often been thought to lead to a troubling skepticism regarding ordinary physical objects: one could be experiencing exactly the same sense data, even if there were no ordinary physical objects causing one to experience them. That is, as far as one’s perceptual experience goes, one could be undergoing one prolonged hallucination. So, for all one knows, there are no ordinary physical objects.

Some versions of a view known as phenomenalism answer this skeptical worry by maintaining that ordinary physical objects are nothing more than logical constructions out of (collections of) actual and possible sense data. The standard phenomenalist claim is that statements about ordinary physical objects can be translated into statements that refer only to experiences (Ayer 1946). A phenomenalist might claim that the physical object statement “there is a white sheep in the kitchen” could be analysed as “if one were to currently be experiencing sense-data as of the inside of the kitchen, then one would experience a white, sheep-shaped sense-datum.” Of course, the above example is certainly not adequate. First, it includes the unanalysed physical object term “kitchen.” Second, one might see the kitchen but not the sheep. Nevertheless, the phenomenalist is committed to the claim that there is some adequate translation into statements that refer only to experiences.

b. Husserl’s Account: Intentionality and Hyle

However, another route out of the argument from hallucination is possible. This involves the denial that when one suffers a hallucination there is some object of which one is aware. That is, one denies premise 1 of the argument. Intentional theories of perception deny that perceptual experience is a relation to an object. Rather, perception is characterised by intentionality. The possibility of hallucinations is accounted for by the fact that my perceptual intentions can be inaccurate or “non-veridical.” When one hallucinates a red tomato, one “perceptually intends” a red tomato, but there is none. One’s conscious experience has an intentional object, but not a real one.

This, of course, is the fundamental orientation of Husserl‘s view. In sensory perception we are intentionally directed toward a transcendent object. We enjoy, “concrete intentive mental processes called perceivings of physical things” (Husserl 1982, sec. 41). Further, Husserl takes this view to be consistent with the intuition that in part drives naïve realism, that in perception we are aware of three-dimensional physical things, not subjective mental representations of them. As Husserl writes, “The spatial physical thing which we see is, with all its transcendence, still something perceived, given ‘in person’ in the manner peculiar to consciousness” (Husserl 1982, sec. 43). If the intentional account of perceptual experience is correct, we can agree that naïve realism is false while avoiding the postulation of private sense data.

But if perceiving is characterised by intentionality, what distinguishes it from other intentional phenomena, such as believing? What is the difference between seeing that there is a cat on the mat and believing that there is a cat on the mat? Part of Husserl’s answer to this is that perception has a sensory character. As one commentary puts it, “The authentic appearance of an object of perception is the intentional act inasmuch and to the extent that this act is interwoven with corresponding sensational data” (Bernet, Kern, and Marbach 1993, 118). The “sensational data” (also called hyle) are non-intentional, purely sensory aspects of experience. Sensory data are, on Husserl’s account, “animated” by intentions, which “interpret” them (Husserl 1982, 85). Thus, although perception is an intentional phenomenon, it is not purely intentional; it also has non-intentional, sensory qualities. In contemporary debates over intentionality and consciousness, those who believe that experiences have such non-intentional qualities are sometimes said to believe in qualia.

c. Husserl’s Account: Internal and External Horizons

When we visually perceive a three-dimensional, spatial object, we see it from one particular perspective. This means that we see one of its sides at the expense of the others (and its insides). We see a profile, aspect or, as Husserl puts it, “adumbration.” Should we conclude from this that the other sides of the object are not visually present? Husserl thinks not, claiming that a more phenomenologically adequate description of the experience would maintain that, “Of necessity a physical thing can be given only ‘one-sidedly;’… A physical thing is necessarily given in mere ‘modes of appearance’ in which necessarily a core of what is actually presented‘ is apprehended as being surrounded by a horizon of ‘co-givenness‘” (Husserl 1982, sec. 44).

Husserl refers to that which is co-given as a “horizon,” distinguishing between the internal and external horizons of a perceived object (Husserl 1973, sec. 8). The internal horizon of an experience includes those aspects of the object (rear aspect and insides) that are co-given. The external horizon includes those objects other than those presented that are co-given as part of the surrounding environment. In visual experience we are intentionally directed towards the object as a whole, but its different aspects are given in different ways.

Husserl often uses the term “anticipation” to describe the way in which the merely co-presented is present in perceptual experience. As he says, “there belongs to every external perception its reference from the ‘genuinely perceived’ sides of the object of perception to the sides ‘also meant’—not  yet perceived, but only anticipated and, at first, with a non-intuitional emptiness… the perception has horizons made up of other possibilities of perception, as perceptions that we could have, if we actively directed the course of perception otherwise” (Husserl 1960, sec. 19). In these terms, only the front aspect of an object is “genuinely perceived.” Its other features (rear aspect and insides) are also visually present, but by way of being anticipated. This anticipation consists, in part, in expectations of how the object will appear in subsequent experiences. These anticipations count as genuinely perceptual, but they lack the “intuitional fullness” of the fully presented. The non-intuitional emptiness of the merely co-given can be brought into intuitional fullness precisely by making the previously co-given rear aspect fully present, say, by moving around the object. Perceptual anticipations have an “if…then…” structure, that is, a perceptual experience of an object is partly constituted by expectations of how it would look were one to see it from another vantage point.

d. Husserl and Phenomenalism

Above, phenomenalism was characterised in two ways. On one, the view is that ordinary physical objects are nothing more than logical constructions out of (collections of) actual and possible sense data. One the other, the view is that statements about ordinary physical objects can be translated into statements that refer only to experiences. But, in fact, these views are not equivalent. The first, but not the second, is committed to the existence of sense data.

Husserl’s intentional account of perception does not postulate sense data, so he is not a phenomenalist of the first sort. However, there is some reason to believe that he may be a phenomenalist of the second sort. Concerning unperceived objects, Husserl writes:

That the unperceived physical thing “is there” means rather that, from my actually present perceptions, with the actually appearing background field, possible and, moreover, continuously-harmoniously motivated perception-sequences, with ever new fields of physical things (as unheeded backgrounds) lead to those concatenations of perceptions in which the physical thing in question would make its appearance and become seized upon.
(Husserl 1982, sec. 46)

Here Husserl seems to be claiming that what it is for there to be a currently unperceived object  is for one to have various things given, various things co-given and various possibilities of givenness. That is, he appears to endorse something that looks rather like the second form of phenomenalism—the view that statements about physical objects can be translated into statements that only make reference to actual and possible appearances. Thus, there is some reason to think that Husserl may be a phenomenalist, even though he rejects the view that perceptual experience is a relation to a private, subjective sense datum.

e. Sartre Against Sensation

Sartre accepts, at least in broad outline, Husserl’s view of intentionality (although he steers clear of Husserl’s intricate detail). Intentionality, which Sartre agrees is characteristic of consciousness, is directedness toward worldly objects and, importantly for Sartre, it is nothing more than this. He writes, “All at once consciousness is purified, it is clear as a strong wind. There is nothing in it but a movement of fleeing itself, a sliding beyond itself” (Sartre 1970, 4). Consciousness is nothing but a directedness elsewhere, towards the world. Sartre’s claim that consciousness is empty means that there are no objects or qualities in consciousness. So, worldly objects are not in consciousness; sense data are not in consciousness; qualia are not in consciousness; the ego is not in consciousness. In so far as these things exist, they are presented to consciousness. Consciousness is nothing more than directedness toward the world. Thus, Sartre rejects Husserl’s non-intentional, purely sensory qualities.

A test case for Sartre’s view concerning the emptiness of consciousness is that of bodily sensation (for example, pain). A long tradition has held that bodily sensations, such as pain, are non-intentional, purely subjective qualities (Jackson 1977, chap. 3). Sartre is committed to rejecting this view. However, the most obvious thing with which to replace it is the view according to which bodily sensations are perceptions of the body as painful, or ticklish, etc. On such a perceptual view, pains are experienced as located properties of an object—one’s body. However, Sartre also rejects the idea that when one is aware of one’s body as subject (and being aware of something as having pains is a good candidate for this), one is not aware of it as an object (Sartre 1969, 327). Thus, Sartre is committed to rejecting the perceptual view of bodily sensations.

In place of either of these views, Sartre proposes an account of pains according to which they are perceptions of the world. He offers the following example:

My eyes are hurting but I should finish reading a philosophical work this evening…how is the pain given as pain in the eyes? Is there not here an intentional reference to a transcendent object, to my body precisely in so far as it exists outside in the world? […] [P]ain is totally void of intentionality…. Pain is precisely the eyes in so far as consciousness “exists them”…. It is the-eyes-as-pain or vision-as-pain; it is not distinguished from my way of apprehending transcendent words.
(Sartre 1969, 356)

Bodily sensations are not given to unreflective consciousness as located in the body. They are indicated by the way objects appear. Having a pain in the eyes amounts to the fact that, when reading, “It is with more difficulty that the words are detached from the undifferentiated ground” (Sartre 1969, 356). What we might intuitively think of as an awareness of a pain in a particular part of the body is nothing more than an awareness of the world as presenting some characteristic difficulty. A pain in the eyes becomes an experience of the words one is reading becoming indistinct, a pain in the foot might become an experience of one’s shoes as uncomfortable.

5. Phenomenology and the Self

There are a number of philosophical views concerning both the nature of the self and any distinctive awareness we may have of it. Husserl’s views on the self, or ego, are best understood in relation to well known discussions by Hume and Kant. Phenomenological discussions of the self and self-awareness cannot be divorced from issues concerning the unity of consciousness.

a. Hume and the Unity of Consciousness

Hume’s account of the self and self-awareness includes one of the most famous quotations in the history of philosophy. He wrote:

There are some philosophers, who imagine we are every moment intimately conscious of what we call our SELF; that we feel its existence and its continuance in existence…. For my part, when I enter most intimately into what I call myself, I always stumble on some particular perception or other, or heat or cold, light or shade, love or hatred, pain or pleasure. I never can catch myself at any time without a perception, and never can observe anything but the perception.
(Hume 1978, 251-2)

Hume claims that reflection does not reveal a continuously existing self. Rather, all that reflection reveals is a constantly changing stream of mental states. In Humean terms, there is no impression of self and, as a consequence of his empiricism, the idea that we have of ourselves is rendered problematic. The concept self is not one which can be uncritically appealed to.

However, as Hume recognized, this appears to leave him with a problem, a problem to which he could not see the answer: “…all my hopes vanish when I come to explain the principles, that unite our successive perceptions in our thought or consciousness” (Hume 1978, 635-6). This problem concerns the unity of consciousness. In fact there are at least two problems of conscious unity.

The first problem concerns the synchronic unity of consciousness and the distinction between subjects of experience. Consider four simultaneous experiences: e1, e2, e3 and e4. What makes it the case that, say, e1 and e2 are experiences had by one subject, A, while e3 and e4 are experiences had by another subject, B? One simple answer is that there is a relation that we could call ownership such that A bears ownership to both e1 and e2, and B bears ownership to both e3 and e4. However if, with Hume, we find the idea of the self problematic, we are bound to find the idea of ownership problematic. For what but the self could it be that owns the various experiences?

The second problem concerns diachronic unity. Consider four successive conscious experiences, e1, e2, e3 and e4, putatively had by one subject, A. What makes it the case that there is just one subject successively enjoying these experiences? That is, what makes the difference between a temporally extended stream of conscious experience and merely a succession of experiences lacking any experienced unity? An answer to this must provide a relation that somehow accounts for the experienced unity of conscious experience through time.

So, what is it for two experiences, e1 and e2, to belong to the same continuous stream of consciousness? One thought is that e1 and e2 must be united, or synthesised, by the self. On this view, the self must be aware of both e1 and e2 and must bring them together in one broader experience that encompasses them. If this is right then, without the self to unify my various experiences, there would be no continuous stream of conscious experience, just one experience after another lacking experiential unity. But our experience is evidently not like this. If the unity of consciousness requires the unifying power of the self, then Hume’s denial of self-awareness, and any consequent doubts concerning the legitimacy of the idea of the self, are deeply problematic.

b. Kant and the Transcendental I

Kant’s view of these matters is complex. However, at one level, he can be seen to agree with Hume on the question of self-awareness while disagreeing with him concerning the legitimacy of the concept of the self. His solution to the two problems of the unity of concious is, as above, that diverse experiences are unified by me. He writes:

The thought that these representations given in intuition all together belong to me means, accordingly, the same as that I unite them in a self-consciousness, or at least can unite them therein…for otherwise I would have as multicoloured, diverse a self as I have representations of which I am conscious.
(Kant 1929, sec. B143)

Thus, Kant requires that the notion of the self as unifier of experience be legitimate. Nevertheless, he denies that reflection reveals this self to direct intuition:

…this identity of the subject, of which I can be conscious in all my representations, does not concern any intuition of the subject, whereby it is given as an object, and cannot therefore signify the identity of the person, if by that is understood the consciousness of the identity of one’s own substance, as a thinking being, in all change of its states.
(Kant 1929, sec. B408)

The reason that Kant can allow the self as a legitimate concept despite the lack of an intuitive awareness of the self is that he does not accept the empiricism that drove Hume’s account. On the Kantian view, it is legitimate to appeal to an I that unifies experience since such a thing is precisely a condition of the possibility of experience. Without such a unifying self, experience would not be possible, therefore the concept is legitimate. The I, on this account, is transcendental—it is brought into the account as a condition of the possibility of experience (this move is one of the distinctive features of Kantian transcendental philosophy).

c. Husserl and the Transcendental Ego

Husserl‘s views on the self evolved over his philosophical career. In Logical Investigations, he accepted something like the Humean view (Husserl 2001, 91-3), and did not appear to find overly problematic the resulting questions concerning the unity of consciousness. However, by the time of Ideas I, he had altered his view. There he wrote that, “all mental processes…as belonging to the one stream of mental processes which is mine, must admit of becoming converted into actional cogitationes…In Kant’s words, ‘The ‘I think’ must be capable to accompanying all my presentations.'” (Husserl 1982, sec. 57). Thus, Husserl offers an account of unity that appeals to the self functioning transcendentally, as a condition of the possibility of experience.

However, Husserl departs from Kant, and before him Hume, in claiming that this self is experienced in direct intuition. He claims that, “I exist for myself and am constantly given to myself, by experiential evidence, as ‘I myself.’ This is true of the transcendental ego and, correspondingly, of the psychologically pure ego; it is true, moreover, with respect to any sense of the word ego.” (Husserl 1960, sec. 33).

On Kant’s view, the I is purely formal, playing a role in structuring experience but not itself given in experience. On Husserl’s view, the I plays this structuring role, but is also given in inner experience. The ego appears but not as (part of) a mental process. It’s presence is continual and unchanging. Husserl says that it is, “a transcendency within immanency” (Husserl 1982, sec. 57). It is immanent in that it is on the subject side of experience; It is transcendent in that it is not an experience (or part of one). What Husserl has in mind here is somewhat unclear, but one might liken it to the way that the object as a whole is given through an aspect—except that the ego is at “the other end” of intentional experience.

d. Sartre and the Transcendent Ego

Sartre’s view that consciousness is empty involves the denial not only of sensory qualities but also of the view that we are experientially aware of an ego within consciousness. Sartre denies that the ego is given in pre-reflective experience, either in the content of experience (as an object) or as a structural feature of the experience itself (as a subject). As he puts it, “while I was reading, there was consciousness of the book, of the heroes of the novel, but the I was not inhabiting this consciousness. It was only consciousness of the object and non-positional consciousness of itself” (Sartre 1960, 46-7). Again, “When I run after a streetcar, when I look at the time, when I am absorbed in contemplating a portrait, there is no I.” (Sartre 1960, 48-9).

Here Sartre appears to be siding with Hume and Kant on the question of the givenness of the self with respect to everyday, pre-reflective consciousness. However, Sartre departs from the Humean view, in that he allows that the ego is given in reflective consciousness:

…the I never appears except on the occasion of a reflexive act. In this case, the complex structure of consciousness is as follows: there is an unreflected act of reflection, without an I, which is directed on a reflected consciousness. The latter becomes the object of the reflecting consciousness without ceasing to affirm its own object (a chair, a mathematical truth, etc.). At the same time, a new object appears which is the occasion of an affirmation by reflective consciousness…This transcendent object of the reflective act is the I.
(Sartre 1960, 53)

On this view, the self can appear to consciousness, but it is paradoxically experienced as something outside of, transcendent to, consciousness. Hence the transcendence of the ego, Sartre’s title.

With respect to unreflective consciousness, however, Sartre denies self-awareness. Sartre also denies that the ego is required to synthesise, or unite, one’s various experiences. Rather, as he sees it, the unity of consciousness is achieved via the objects of experience, and via the temporal structure of experience. Although his explanation is somewhat sketchy, his intent is clear:

…it is certain that phenomenology does not need to appeal to any such unifying and individualizing I…The object is transcendent to the consciousness which grasps it, and it is in the object that the unity of the consciousness is found…It is consciousness which unifies itself, concretely, by a play of “transversal” intentionalities which are concrete and real retentions of past consciousnesses. Thus consciousness refers perpetually to itself.
(Sartre 1960, 38-9)

6. Phenomenology of Time-Consciousness

Various questions have occupied phenomenologists concerning time-consciousness—how our conscious lives take place over time. What exactly does this amount to? This question can be seen as asking for more detail concerning the synthesising activity of the self with respect to the diachronic unity of consciousness. Related to this, temporal objects (such as melodies or events) have temporal parts or phases. How is it that the temporal parts of a melody are experienced as parts of one and the same thing? How is it that we have an experience of succession, rather than simply a succession of experiences? This seems an especially hard question to answer if we endorse the claim that we can only be experientially aware of the present instant. For if, at time t1 we enjoy experience e1 of object (or event) o1, and at t2 we enjoy experience e2 of object (or event) o2, then it seems that we are always experientially confined to the present. An account is needed of how is it that our experience appears to stream through time.

a. The Specious Present

When faced with this problem, a popular view has been that we are simultaneously aware of more than an instant. According to William James, “the practically cognized present is no knife-edge, but a saddle-back, with a certain breadth of its own on which we sit perched, and from which we look in two directions into time. The unit of composition of our perception of time is a duration” (James 1981, 609).The doctrine of the specious present holds that we are experientially aware of a span of time that includes the present and past (and perhaps even the future). So, at t2 we are aware of the events that occur at both t2 and t1 (and perhaps also t3).

The specious present is present in the sense that the phases of the temporal object are experienced as present. The specious present is specious in that those phases of the temporal object that occur at times other than the present instant are not really present. But this would seem to have the bizarre consequence that we experience the successive phases of a temporal object as simultaneous. That is, a moving object is simultaneously experienced as being at more than one place. It goes without saying that this is not phenomenologically accurate.

Also, given that our experience at each instant would span a duration longer than that instant, it seems that we would experience everything more than once. In a sequence of notes c, d, e we would experience c at the time at which c occurs, and then again at the time at which d occurs. But, of course, we only experience each note once.

b. Primal Impression, Retention and Protention

Husserl’s position is not entirely unlike the specious present view. He maintains that, at any one instant, one has experience of the phase occurring at that instant, the phase(s) that has just occurred, and that phase that is just about to occur. His labels for these three aspects of experience are “primal impression,” “retention” and “protention.”  All three must be in place for the proper experience of a temporal object, or of the duration of a non-temporal object.

The primal impression is an intentional awareness of the present event as present. Retention is an intentional awareness of the past event as past. Protention is an intentional awareness of the future event as about to happen. Each is an intentional directedness towards a present, past and future event respectively. As Husserl puts matters, “In each primal phase that originally constitutes the immanent content we have retentions of the preceding phases and protentions of the coming phases of precisely this content” (Husserl 1991, sec. 40). The movement from something’s being protended, to its being experienced as a primal impression, to its being retained, is what accounts for the continuous stream of experience. Retention and protention form the temporal horizon against which the present phase is perceived. That is, the present is perceived as that which follows a past present and anticipates a future present.

c. Absolute Consciousness

Not only does the present experience include a retention of past worldly events, it also includes a retention of the past experiences of those past events. The same can be said with regard to protention. The fact that past and future experiences are retained and protended respectively, points towards this question: What accounts for the fact that mental acts themselves are experienced as enduring, or as having temporal parts? Do we need to postulate a second level of conscious acts (call it “consciousness*”) that explains the experienced temporality of immanent objects? But this suggestion looks as though it would involve us in an infinite regress, since the temporality of the stream of experiences constituting consciousness* would need to be accounted for.

Husserl’s proposed solution to this puzzle involves his late notion of “absolute constituting consciousness.” The temporality of experiences is constituted by a consciousness that is not itself temporal. He writes: “Subjective time becomes constituted in the absolute timeless consciousness, which is not an object” (Husserl 1991, 117). Further, “The flow of modes of consciousness is not a process; the consciousness of the now is not itself now…therefore sensation…and likewise retention, recollection, perception, etc. are nontemporal; that is to say, nothing in immanent time.” (Husserl 1991, 345-6).

The interpretation of Husserl’s notion of absolute constituting consciousness is not helped by the fact that, despite the non-temporal nature of absolute consciousness, Husserl describes it in temporal terms, such as “flow.” Indeed, Husserl seems to have thought that here we have come up against a phenomenon intrinsically problematic to describe:

Now if we consider the constituting appearances of the consciousness of internal time we find the following: they form a flow…. But is not the flow a succession? Does it not have a now, an actually present phase, and a continuity of pasts which I am now conscious in retentions? We have no alternative here but to say: the flow is something we speak of in conformity with what is constituted, but it is not “something in objective time.” It…has the absolute properties of something to be designated metaphorically as “flow”…. For all of this we have no names. (Husserl 1991, 381-2)

7. Conclusion

Husserlian and post-Husserlian phenomenology stands in complex relations to a number of different philosophical traditions, most notably British empiricism, Kantian and post-Kantian transcendental philosophy, and French existentialism. One of the most important philosophical movements of the Twentieth Century, phenomenology has been influential, not only on so-called “Continental” philosophy (Embree 2003), but also on so-called “analytic” philosophy (Smith and Thomasson 2005). There continues to be a great deal of interest in the history of phenomenology and in the topics discussed by Twentieth Century phenomenologists, topics such as intentionality, perception, the self and time-consciousness.

8. References and Further Reading

  • Ayer, A. J. 1946. Phenomenalism. Proceedings of the Aristotelian Society 47: 163-96
  • Bernet, Rudolf, Iso Kern, and Eduard Marbach. 1993. An Introduction to Husserlian Phenomenology. Evanston, Ill: Northwestern University Press.
  • Brentano, Franz. 1995. Psychology from an Empirical Standpoint. Ed. Oskar Kraus. Trans. Antos C. Rancurello, D. B. Terrell, and Linda L. McAlister. 2nd ed. London: Routledge.
  • Carman, Taylor. 2006. The Principle of Phenomenology. In The Cambridge Companion to Heidegger, ed. Charles, B. Guignon. 2nd ed. Cambridge: Cambridge University Press.
  • Carman, Taylor. 2008. Merleau-Ponty. London: Routledge.
  • Cerbone, David R. 2006. Understanding Phenomenology. Chesham: Acumen.
  • Crane, T. 2006. Brentano’s Concept of Intentional Inexistence. In The Austrian Contribution to Analytic Philosophy, ed. Mark Textor. London: Routledge.
  • Dreyfus, Hubert L. 1991. Being-in-the-World: A Commentary on Heidegger’s Being and Time, Division I. Cambridge, Mass: MIT Press.
  • Embree, L. 2003. Husserl as Trunk of the American Continental Tree. International Journal of Philosophical Studies 11, no. 2: 177-190.
  • Frede, Dorothea. 2006. The Question of Being:Heidegger’s Project. In The Cambridge Companion to Heidegger, trans. Charles, B. Guignon. 2nd ed. Cambridge: Cambridge University Press.
  • Gallagher, Shaun, and Dan Zahavi. 2008. The Phenomenological Mind: An Introduction to Philosophyof Mind and Cognitive Science. London: Routledge.
  • Gennaro, Rocco. 2002. Jean-Paul Sartre and the HOT Theory of Consciousness. Canadian Journal of Philosophy 32, no.3: 293-330.
  • Hammond, Michael, Jane Howarth, and Russell Keat. 1991. Understanding Phenomenology. Oxford: Basil Blackwell.
  • Heidegger, Martin. 1962 [1927]. Being and Time. Trans. John Macquarrie and Edward Robinson. Oxford: Blackwell.
  • Heidegger, Martin. 1982 [1927]. The Basic Problems of Phenomenology. Trans. Albert Hofstadter. Bloomington: Indiana University Press.
  • Hume, David. 1978 [1739-40]. A Treatise of Human Nature. Ed. L. A Selby-Bigge, rev. P. H. Nidditch. 2nd ed. Oxford: Clarendon Press.
  • Husserl, Edmund. 1960 [1931]. Cartesian Meditations: An Introduction to Phenomenology. Trans. Dorion Cairns. The Hague: Nijhoff.
  • Husserl, Edmund. 1973 [1939]. Experience and Judgement: Investigations in a Genealogy of Logic. Evanston: Northwestern University Press.
  • Husserl, Edmund. 1977 [1925]. Phenomenological Psychology: Lectures, Summer Semester, 1925. Trans. John Scanlon. The Hague: Martinus Nijhoff.
  • Husserl, Edmund. 1982 [1913]. Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy. Trans. F. Kersten. The Hague: Nijhoff.
  • Husserl, Edmund. 1991 [1893-1917]. On the Phenomenology of the Consciousness of Internal Time (1893-1917). Trans. John B Brough. Dordrecht: Kluwer.
  • Husserl, Edmund. 1999 [1907]. The Idea of Phenomenology. Trans. Lee Hardy. Dordrecht: Kluwer.
  • Husserl, Edmund. 2001 [1900/1901]. Logical Investigations. Ed. Dermot Moran. 2nd ed. 2 vols. London: Routledge.
  • Jackson, Frank. 1977. Perception: A Representative Theory. Cambridge: Cambridge University Press.
  • James, William. 1981 [1890]. The Principles of Psychology. Cambridge, Mass: Harvard University Press.
  • Kant, Immanuel. 1929 [1781/1787]. Critique of Pure Reason. Trans. Norman Kemp Smith. London: Macmillan.
  • Merleau-Ponty, Maurice. 1989 [1945]. Phenomenology of Perception. Trans. Colin Smith. London: Routledge.
  • Moran, Dermot. 2000. Introduction to Phenomenology. London: Routledge.
  • Polt, Richard F. H. 1999. Heidegger: An Introduction. London: UCL Press.
  • Sartre, Jean-Paul. 1972 [1936-7]. The Transcendence of the Ego: An Existentialist Theory of Consciousness. New York: Noonday.
  • Sartre, Jean-Paul. 1989 [1943]. Being and Nothingness: An Essay on Phenomenological Ontology. Trans. Hazel E. Barnes. London: Routledge.
  • Sartre, Jean-Paul. 1970 [1939]. Intentionality: A fundamental idea of Husserl’s Phenomenology. Trans. J. P. Fell. Journal of the British Society for Phenomenology 1, no. 2.
  • Smith, David Woodruff. 2007. Husserl. London: Routledge.
  • Smith, David Woodruff, and Amie L Thomasson, eds. 2005. Phenomenology and Philosophy of Mind. Oxford: Clarendon Press.
  • Sokolowski, Robert. 2000. Introduction to Phenomenology. Cambridge: Cambridge University Press.
  • Wider, Kathleen. 1997. The Bodily Nature of Consciousness. Ithaca: Cornell University Press.
  • Zahavi, Dan. 2003. Husserl’s Phenomenology. Stanford: Stanford University Press

Author Information

Joel Smith
Email: joel.smith@manchester.ac.uk
University of Manchester
United Kingdom

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

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

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

Table of Contents

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

1. Doctrine of Air

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

2. Doctrine of Change

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

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

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

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

3. Origin of the Cosmos

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

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

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

4. Influence on Later Philosophy

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

5. References and Further Reading

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

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

Author Information

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

Conceptual Role Semantics

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

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

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

Table of Contents

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

1. Preparing the Ground

a. A Theory of Linguistic Meaning

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

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

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

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

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

x is a brother” → “x has parents”

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

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

b. A Theory of Content

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

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

x is a female fox → x is a vixen

x is a vixen → x is a mammal

c. Normativism and Naturalism

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

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

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

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

d. Perception and Action

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

e. Language and Mind

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

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

f. Provisional Summary

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

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

2. Is it normativist or naturalist?

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

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

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

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

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

2. A Very Brief History

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

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

Likewise:

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

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

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

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

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

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

3. Arguments for CRS

a. Attributions of Meaning and Understanding

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

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

b. The No Intrinsic Meaning Thesis

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

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

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

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

c. The Insufficiency of Causation

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

d. The Frege-problem

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

(1) Table salt dissolves.

but not:

(2) Sodium chloride dissolves.

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

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

e. Methodological Solipsism

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

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

4. Problems for CRS

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

a. Holism, Compositionality and Analyticity

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

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

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

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

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

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

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

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

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

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

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

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

(3) All bachelors are unmarried men.

is equivalent to:

(3’) All unmarried men are unmarried men.

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

b. Proper Names

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

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

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

the greatest pupil of Plato

the author of De Anima

the most famous teacher of Alexander the Great

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

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

c. Externalism

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

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

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

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

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

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

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

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

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

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

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

d. Truth, Reference and Intentionality

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

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

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

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

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

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

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

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

e. Indeterminacy

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

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

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

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

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

f. Defective Expressions and Conservatism

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

Tonk-introduction: p


p tonk q

Tonk-elimination: p tonk q


q

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

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

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

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

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

Boche-introduction: x is German


x is Boche

Boche-elimination: x is Boche


x is cruel

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

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

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

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

This proposal might generate the following worry:

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

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

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

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

g. Circularity

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

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

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

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

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

5. Prospects and Applications

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

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

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

6. References and Further Reading

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  • Block, N. 1993: Holism, hyper-analyticity and hyper-compositionality. Mind and Language 3: 1-27.
  • Block, N. 1995: An argument for holism. Proceedings of the Aristotelian Society 95: 151-69.
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  • Boghossian, P. 2000: Knowledge of logic. In New Essays on the A Priori, ed. P. Boghossian and C. Peacocke. Oxford: Oxford University Press.
  • Boghossian, P. 2003: Blind reasoning. The Aristotelian Society Supplementary Volume 77: 225-48.
  • Brandom, R. 1994: Making it Explicit. Cambridge, Massachusetts: Harvard University Press.
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  • Burge, T. 1979: Individualism and the mental. Midwest Studies in Philosophy 4: 73-121.
  • Dancy, J. 2006: Ethics without Principles. Oxford: Oxford University Press.
  • Davidson, D. 2001: Inquiries into Truth and Interpretation, 2nd ed. Oxford: Oxford University Press.
  • Davidson, D. 2005: Truth, Language, and History. Oxford: Oxford University Press.
  • Dretske, F. 1981: Knowledge and the Flow of Information. Cambridge, Massachusetts: Harvard University Press.
  • Dummett, M. 1973: Frege: Philosophy of Language. London: Duckworth.
  • Dummett, M. 1991: The Logical Basis of Metaphysics. London: Duckworth.
  • Dummett, M. 1996: The Seas of Language. Oxford: Oxford University Press.
  • Field, H. 1977: Logic, meaning and conceptual role. Journal of Philosophy 69: 379-409.
  • Field, H. 1994: Deflationist views of meaning and content. Mind 103: 249-85.
  • Fodor, J. 1990: A Theory of Content. Cambridge, Massachusetts: MIT Press.
  • Fodor, J. and Lepore, E. 1992: Holism. Oxford: Blackwell.
  • Frege, G. 1997: The Frege Reader, ed. M. Beaney. Oxford: Blackwell.
  • Glock, H-J. 1996: Abusing use. Dialectica 50: 205-233.
  • Glock, H-J. 2003: Quine and Davidson on Thought, Language, and Reality. Cambridge: Cambridge University Press.
  • Glock, H-J. 2005: The normativity of meaning made simple. In Philosophy—Science—Scientific Philosophy, ed. A. Beckermann and C. Nimtz. Paderborn: Mentis.
  • Grice, P. 1989: Studies in the Way of Words. Cambridge, Massachusetts: Harvard University Press.
  • Grice, P. and Strawson, P. 1989: In defense of dogma. In Studies in the Way of Words. Cambridge, Massachusetts: Harvard University Press.
  • Hale, B. and Wright, C. 2000: Implicit definition and the a priori. In New Essays on the A Priori, ed. P. Boghossian and C. Peacocke. Oxford: Oxford University Press.
  • Harman, G. 1993: Meaning holism defended. Grazer Philosophische Studien 46: 163-71.
  • Harman, G. 1999: Reasoning, Meaning and Mind. Oxford: Oxford University Press.
  • Hattiangadi, A. 2007: Oughts and Thoughts. Oxford: Oxford University Press.
  • Heidegger, M. 1962: Being and Time, trans. J. Macquarrie and E. Robinson. Oxford: Blackwell.
  • Hornsby, J. 2001: Meaning and uselessness. Midwest Studies in Philosophy 25: 128-41.
  • Horwich, P. 1990: Truth. Oxford: Oxford University Press.
  • Horwich, P. 1998: Meaning. Oxford: Oxford University Press.
  • Horwich, P. 2005: Reflections on Meaning. Oxford: Oxford University Press.
  • Kripke, S. 1980: Naming and Necessity. Oxford: Blackwell.
  • Kripke, S. 1982: Wittgenstein on Rules and Private Language. Oxford: Blackwell.
  • Lance, M. and Hawthorne, J. 1997: The Grammar of Meaning. Cambridge: Cambridge University Press.
  • Loar, B. 1981: Mind and Meaning. Cambridge: Cambridge University Press.
  • Lepore, E. 1994: Conceptual role semantics. In A Companion to the Philosophy of Mind, ed. S. Guttenplan. Oxford: Blackwell.
  • Loewer, B. 1997: A guide to naturalizing semantics. In A Companion to the Philosophy of Language, ed. B. Hale and C. Wright. Oxford: Blackwell.
  • Lycan, W. 2000: Philosophy of Language. London: Routledge.
  • McCulloch, G. 1995: The Mind and its World. London: Routledge.
  • McDowell, J. 1998: Mind, Value, and Reality. Cambridge, Massachusetts: Harvard University Press.
  • McGinn, C. 1982: The structure of content. In Thought and Object, ed. A. Woodfield. Oxford: Oxford University Press.
  • Miller, A. 2007: Philosophy of Language, 2nd ed. London: Routledge.
  • Pagin, P. 2006: Meaning holism. In The Oxford Handbook of Philosophy of Language, ed. E. Lepore and B. Smith. Oxford: Oxford University Press.
  • Peacocke, C. 1992: A Study of Concepts. Cambridge, Massachusetts: MIT Press.
  • Prior, A. 1960: The runabout inference ticket. Analysis 21: 38-9.
  • Putnam, H. 1975: The meaning of ‘meaning’. In Mind, Language and Reality Cambridge: Cambridge University Press.
  • Putnam, H. 1978: Meaning and the Moral Sciences. London: Routledge.
  • Putnam, H. 1991: Representation and Reality. Cambridge, Massachusetts: MIT Press.
  • Quine, W. 1980: From a Logical Point of View, 2nd ed. Cambridge, Massachusetts: Harvard University Press.
  • Quine, W. 1993: Mind and verbal dispositions. In Meaning and Reference, ed. A. Moore. Oxford: Oxford University Press.
  • Rundle, B. 2001: Meaning and understanding. In Wittgenstein: A Critical Reader, ed. H-J. Glock. Oxford: Blackwell.
  • Ryle, G. 1968: Use, usage and meaning. In The Theory of Meaning, ed. G. Parkinson. Oxford: Oxford University Press.
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  • Sellars, W. 2007: In the Space of Reasons, ed. K. Scharp and R. Brandom. Cambridge, Massachusetts: Harvard University Press.
  • Skorupski, J. 1997: Meaning, use, verification. In A Companion to the Philosophy of Language, ed. B. Hale and C. Wright. Oxford: Blackwell.
  • Strawson, P. F. 2004: Logico-Linguistic Papers, new ed. Aldershot: Ashgate.
  • Stroud, B. 2002: Meaning, Understanding, and Practice. Oxford: Oxford University Press.
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  • Whiting, D. 2008: Conservatives and racists. Philosophia 375-88.
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Author Information

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

Disjunctivism

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

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

Table of Contents

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

1. Introduction

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

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

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

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

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

2. Disjunctivism and Naïve Realism

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

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

3. Types of Disjunctivism

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

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

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

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

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

4. Arguments for Disjunctivism

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

a. Epistemological Motivations

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

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

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

b. Modesty

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

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

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

c. Naïve Realism: Phenomenology

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

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

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

d. Naïve Realism: Demonstrative Reference

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

5. Objections to Disjunctivism

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

a. The Causal Argument

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

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

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

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

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

b. The “Screening Off” Objection

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

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

c. Matching Hallucinations to Perceptions

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

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

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

6. Theories of Hallucination

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

a. Positive Disjunctivism

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

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

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

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

b. Negative Disjunctivism

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

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

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

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

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

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

c. Negative Disjunctivism and Indiscriminability: Objections

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

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

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

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

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

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

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

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

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

7. Theories of Illusion

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

a. Illusion as Hallucination

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

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

b. Illusion as Veridical Perception

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

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

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

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

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

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

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

8. Conclusion

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

9. References and Further Reading

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

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

Introduction

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

Disjunctivism and Naïve Realism

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

Types of Disjunctivism

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

Arguments for Disjunctivism

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

Epistemological Motivations

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

Modesty

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

Naïve Realism: Phenomenology

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

Naïve Realism: Demonstrative Reference

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

The Causal Argument

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

The “Screening Off” Objection

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

Matching Hallucinations to Perceptions

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

Positive Disjunctivism

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

Negative Disjunctivism

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

Negative Disjunctivism and Indiscriminability: Objections

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

Illusion as Hallucination

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

Illusion as Veridical Perception

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

Other References

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

Author Information

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

The Aesthetics of Popular Music

music-poPopular music is widely assumed to be different in kind from the serious music or art music that, until very recently, monopolized attention in philosophical discussions of music. In recent years, however, popular music has become an important topic for philosophers pursuing either of two projects. First, popular music receives attention from philosophers who see it as a test case for prevailing philosophies of music. Even now, most philosophy of music concentrates on the European classical repertoire. Therefore, if there are important differences between popular and art music, widening the discussion to include popular music might encourage us to reconsider the nature of music. Second, popular music increasingly serves as a focal point in general debates about art and aesthetic value. A growing number of philosophers regard popular music as a vital and aesthetically rich field that has been marginalized by traditional aesthetics. They argue that popular music presents important counterexamples to entrenched doctrines in the philosophy of art. Similar issues arise for the aesthetics of jazz, but the special topic of jazz is beyond the scope of this article.

Although the category of popular music presupposes differences from serious music, there is limited consensus about the nature of these differences beyond the near-tautology that most people prefer popular music to art music. This obvious disparity in popular reception generates philosophical (and not merely sociological) issues when it is combined with the plausible assumption that popular music is aesthetically different from folk music, art music, and other music types. There is general agreement about the concept’s extension or scope of reference – agreement that the Beatles made popular music but Igor Stravinsky did not. However, there is no comparable agreement about what “popular music” means or which features of the music are distinctively popular. Recent philosophizing about popular music generally sidesteps the issue of defining it. Discussion of particular genres or examples of popular music can be used to advance broader philosophical projects. Such arguments have concentrated on rock music, blues, and hip-hop.

Among the topics that have benefited from this reconsideration are the nature of music’s aesthetic value, music’s claim to autonomy, and the ontology of music.

Table of Contents

  1. Historical Background
  2. Adorno and Standard Criticisms
  3. Defending Popular Music
  4. Race, Gender, and Expressive Authenticity
  5. Ontology of Music
  6. References and Further Reading

1. Historical Background

Since both Plato and Aristotle philosophized about music, philosophy of music predates and is not identical with modern philosophy of art. Nonetheless, most philosophy of music is strongly influenced by the aesthetic assumptions of modernism. Eighteenth-century philosophers organized a new field of study, aesthetics, around the search for a unifying principle for the disparate “fine arts” of post-Renaissance Europe. This principle would distinguish science and craft from such activities as music, poetry, theater, dance, painting, and sculpture. Following this precedent, most subsequent theorizing about music inherited distinctively modernist biases about art. Three ideas proved to be particularly relevant to later efforts to distinguish art from popular art. First, art is the product of genius. Art is constantly evolving, so successful new art involves progress. Second, the value of art is aesthetic, and aesthetic value is autonomous. Artistic value cannot be reduced to utility, moral effects, or social functions. Third, whatever is true about fine art is true about music. From the middle of the eighteenth century until the middle of the nineteenth, philosophers regarded music as a pillar of the emerging system of the fine arts. As a result, music could not be regarded as art if it lacked genius and autonomy. By the beginning of the twentieth century, most intellectuals endorsed the elitist consensus that popular music lacks these features.

Despite its influence on subsequent theorizing, the eighteenth-century intellectual framework did not recognize a clear distinction between fine art and popular art. For example, Immanuel Kant’s philosophy of art is a landmark work in eighteenth-century aesthetics. It places great emphasis on genius and artistic autonomy. These elements of the Kantian aesthetic are often cited to dismiss the art status of popular music. Many subsequent philosophical analyses of the distinction between art music and popular music draw on his proposal that the lesser arts dull the mind. Lacking the interplay of ideas and formal experimentation that characterizes fine art, the popular arts are mere entertainment (see Kaplan, 354-55). Nonetheless, it is important to note that Kant does not himself recognize the field of popular art, so he does not align the lesser arts and popular art. Furthermore, his general position on the value of music is inconclusive. Given his subsequent reputation as a formalist, readers are often surprised to discover his worry that instrumental music “merely plays with sensations” and therefore “has the lowest place among the fine arts” (Kant, 199). Taken seriously, Kant’s remarks suggest that songs are to be ranked higher than instrumental music. As such, Kant might assign greater artistic value to a folk song than to J. S. Bach’s Brandenburg concertos.

Eighteenth century philosophy’s silence on differences between art songs and popular songs must not be construed as evidence that no one yet discussed “popular” music. Where we do find discussion of this topic in the eighteenth-century, popularity is not yet opposed to art. For instance, at roughly the same time that Kant questions instrumental music’s merits as a fine art, the composer W. A. Mozart writes of the importance of providing his operas with memorable, popular melodies. Even here, however, it would be anachronistic to suppose that Enlightenment categories support a clear distinction between art music and popular music. At best, philosophers of this period postulated differences between refined and vulgar taste. This distinction between better and worse taste gradually developed into an explicit recognition of a distinctive sphere of popular culture and music, with a corresponding stigmatization of the “low” or popular (Shiner, 94-98).

A more rigid distinction between art music and other music gradually emerges during the nineteenth century. By the middle of the century, philosophical discussions of music begin to make sporadic reference to what we now recognize as popular music. Philosophy of music increasingly concentrates on explaining why recent European concert music is musically distinctive and superior. Emphasizing Kant’s idea of autonomous aesthetic value, Eduard Hanslick focuses on pure instrumental music. The art of music is the art of structuring tones. Only structural properties matter, and they matter only for themselves. Impure music that relies on words or emotional expression pleases audiences with non-musical attractions. In this analysis, most popular music pleases its audience by its extra-musical rewards. In defending the aesthetic superiority of instrumental music, Hanslick’s aesthetic formalism reinforces the view that popular music, which emphasizes song, lacks artistic merit. Hanslick deploys a Kantian aesthetic to undermine Kant’s concerns about instrumental music’s lack of artistic value.

A quarter century later, Edmund Gurney provides additional arguments for musical autonomy. Although he allows that popular music can be melodically valuable, Gurney’s attack on the distractions of emotional expression clearly consigns most popular music to an inferior category. Hanslick and Gurney are both reacting against the Romantic tendency to value music’s expressive capacity. Responding to the longstanding idea that music expresses emotion by generating a felt, bodily response, both Hanslick and Gurney insist that bodily engagement indicates an inferior response. Again, they extend a Kantian theme. Kant argues that bodily responses create a personal interest that is incompatible with a universalizable and “pure” aesthetic judgment. Together, Hanslick and Gurney are an important source of the view that popular music is inferior because its primary appeal is visceral, bodily, and felt. In contrast, the abstract structures of classical music demand an intellectual response. The body hears, but only the intellect listens (see Baugh 1993, Gracyk 2007).

Gurney is not entirely negative about popular music. He distinguishes between popular music as “low” commercial music found “in common theaters and places of public entertainment” and popular music as that which appeals to virtually anyone in a society who is exposed to it (407). Folk music comprises most of the latter category. This category also includes appealing melodies of operatic arias and other classical works. Gurney already recognizes, in 1880, that the maintenance of social strata requires stereotypes that unnecessarily limit access to a wide variety of music. Consequently, true popularity is seldom cultivated. Gurney is particularly critical of Richard Wagner’s idea that genuine popularity is constrained by nationalism. For Gurney, music cannot be popular if its appeal is limited by social boundaries of any sort.

Setting a different precedent, Friedrich Nietzsche’s views on music are a byproduct of his general philosophy of culture. Nietzsche initially defends the superiority of certain strains of European classical music. He praises composers whose irrational genius provides the Dionysian energy needed to correct the rational excesses of European culture. Nietzsche eventually reverses himself. In an extended attack on Richard Wagner’s operas, he rejects the continuing value of the “great” style that characterizes art music. In what amounts to a reversal of Kantian aesthetic priorities, Nietzsche praises Georges Bizet’s widely popular opera Carmen (1875) for its triviality and simplicity (see Sweeney-Turner). However, most philosophers ignore Nietzsche’s defense of “light” music.

Nietzsche aside, philosophy of music has been dominated by the view that the best music is autonomous and formally complex (John Dewey is almost alone in defending the vitality of popular art during this time period. Unfortunately, Dewey said very little about music.). As recently as 1990, philosophy of popular music consisted of variations on a single theme. Philosophers defended the twin assumptions that popular music is essentially different from “serious” or art music, and that the former is aesthetically inferior to the latter. As a result, most philosophers who bothered to discuss popular music concentrated on identifying the aesthetic deficiencies inherent in such music.

2. Adorno and Standard Criticisms

Theodor Adorno offers an influential, philosophically sophisticated account of the nature of twentieth-century popular music. He is the single best source for the view that popular music is simplistic, repetitive, and boring, and that it remains this way because commercial forces manipulate it in order to placate and manipulate the masses who passively respond to it. Although a Marxist orientation influences almost all of his arguments, his influence is apparent in many writers who are not explicitly Marxists. Unfortunately, Adorno is a notoriously difficult writer. His writings on music are subtle, dense, and fill many hundreds of pages.

Adorno begins with the insight that popular music is characterized by the synthesis of entertainment values and mass art. Twentieth-century popular music is mass art because commercial forces now produce it on an industrial model. It is a commodity aimed at the largest possible number of consumers. Therefore it must combine a high degree of standardization with relative accessibility, and so the same rhythms and structures appear again and again. Yet a constant supply of new “product” must be marketed to consumers. As a result, popular music competes with and replaces local and regional folk traditions (In the wake of the industrial revolution, genuine folk art is no longer possible.). In a commercial world where one popular song sounds much like any other, popular music cannot function as a medium of genuine communication. At best, a philosophically reflective stance sees that its standardization and commercial presentation reflects important facets of the socio-economic conditions that shape it. Its standardization reflects the alienating, oppressive standardization of modern capitalism. The momentarily pleasurable diversions offered by popular music are mere distractions from this alienation – a process that the music itself reinforces. Since it fails to satisfy any genuine needs, exposure to popular music encourages an endless repetition of the cycle of consumption, boredom, alienation, and fresh distraction through consumption.

Adorno’s analysis of popular music is transformed into outright criticism of it when he contrasts it with “art” music. We cannot complain about popular music if our culture cannot provide a more satisfying alternative. If nothing better is available, then there is nothing especially wrong with popular music. Adorno argues that objectively better music is available. He is sophisticated enough to avoid a simple contrast of classical and popular music. For Adorno, almost all of the music that passes as art music is just as bad. It is barely comprehended by its audience, most of whom respond approvingly to its familiarity. Radical composers such as Arnold Schoenberg, however, provide art music that is socially progressive. This music challenges listeners by presenting them with more “truth” than other twentieth-century music. For Adorno, artistic truth is neither a matter of saying conventionally true things nor of making socially oppositional statements (Within the socio-economic framework of capitalism, the political stance of punk or hip-hop is just another “hook” and marketing tool.). Artistic truth is relative to the time and place of its creation and reception. It requires music that is sufficiently autonomous from socio-economic pressures to permit compositional integrity. For example, our expectations for aesthetic pleasure previously placed a premium on beauty. The quest for beauty curtails genuine autonomy. Therefore musical integrity comes at a cost: good music no longer offers us the beauty of conventional fine art. Instead, it must be compositionally complex enough to incorporate and display the contradictory demands that we impose on art. By comparison, music that is readily understood and immediately pleasurable is not autonomous. It neither discloses nor opposes society’s dominant socio-economic framework. Given these requirements, very little music succeeds in forcing listeners to deal with the contradictions of modernity. Popular music fares worst of all. Its requirement of accessibility deprives it of social truth, so it lacks any genuinely progressive social role.

Adorno sees no important distinctions within popular music. His analysis is subject to challenge on the grounds that some popular music lacks conventional beauty and easy pleasures. However, Adorno can reply that such music cannot simultaneously achieve popularity while offering artistic truth, for that truth cannot be conveyed by music that is accessible enough to generate a commercial profit. Several philosophers (Brown 2005, Gracyk 1996) have responded that some jazz and rock musicians are counterexamples to Adorno’s analysis. Charlie Parker and John Coltrane made commercial recordings and so must be “popular,” as Adorno understands the category. Yet they created autonomous, challenging music. The commercial framework of twentieth century music has not eradicated artistic truth as Adorno defines it.

Adorno aside, popular music received limited philosophical attention before the early 1960s. Then the British Journal of Aesthetics published articles on the topic by Frank Howes and Peter Stadlen. Although the Beatles are not mentioned in either article, it is interesting to note that this pair of essays appeared in the same year and country that gave the world the Beatles’s debut recordings, “Love Me Do” and “Please Please Me.” Within two years, the Beatles’s musical intelligence and emergence as an international cultural force invited serious reconsideration of the claim that repetition and cognitive vapidity define popular music. Although neither Howes nor Stadlen cites Adorno, their analyses endorse many of his basic ideas. Howes sets out to explain why “there is little bad folk music and much bad popular music” (247). Where Gurney treats folk music as a species of popular music, Howes opposes the two categories. Howes proposes that the communal composition and ongoing re-fashioning of folk music ensures a unique combination of simplicity and excellence. In contrast, popular music is created for immediate widespread consumption and thus prioritizes “ease of comprehension,” discouraging musical development and subtlety. Popular music is more often “indifferent” than it is bad through incompetence. Like Adorno, Howes thinks that popular music must employ excessive repetition and crude clichés.

Stadlen departs from Howes in recognizing that the emergence of blues music represented a “novel type of virtuosity” and an unheralded combination of tragic and comic elements (359). Otherwise, Stadlen regards popular or “light” music as aesthetically impoverished for its avoidance of musical complication and for its juvenile emotional ambivalence about sex, which it exploits for its emotional impact. In a few short paragraphs, Stadlen encapsulates most of the position that Allan Bloom revived more hyperbolically in 1987.

3. Defending Popular Music

To summarize the modernist view, genres of art develop a hierarchy. “Higher” forms of music satisfy the most advanced modes of response. Superior genres require attention to abstract structures, so they require active, focused listening. Therefore the best music is found in the classical repertoire, where composers have emphasized autonomy and cognitive complexity. By comparison, popular music is aesthetically deficient. It sacrifices autonomy because its design is driven by functional demands for emotional expression and for dance rhythms. Popularity requires accessibility, so popular music cannot combine popularity and complexity.

Richard Shusterman has produced several essays that challenge these standard dismissals of popular music. Bringing a more balanced perspective to the philosophical debate, these essays demonstrate that popular music is philosophically more interesting than modernism suggests. Inspired by Dewey’s pragmatism, Shusterman argues that the social distinction between high and low music does not correspond to any distinctive aesthetic differences. He offers no analysis of either “popular art” or “popular music.” Instead, he focuses on highly selective examples of popular music that achieve “complex aesthetic effects,” thereby satisfying our “central artistic criteria” (2000b, pp. 215-16). Good popular music satisfies the aesthetic criteria routinely used to praise serious music. Although Shusterman concedes that a great deal of popular music is aesthetically poor and may have negative social effects, he argues that at least some of it succeeds aesthetically while offering a socially progressive challenge to prevailing cultural biases.

Shusterman’s arguments are based on a very small sample of rock, hip-hop, and country music. He identifies and criticizes a core set of criticisms that are typically directed against popular music. He focuses on its alleged lack of creativity, originality, and artistic autonomy. He also replies to claims that it degrades culture generally by offering an inferior substitute for better music, that its escapism makes for shallow rewards, and that it encourages an uncritical passivity that generates a disengaged populace (2000b, pp. 173-77). (Most of these arguments originate in Adorno. Several of them are found in Roger Scruton and Julian Johnson, neither of whom endorses Adorno’s Marxism.) Against these criticisms, Shusterman argues that the rewards and pleasures of art music are no less transitory than those of popular music, that critics over-emphasize art’s capacity to engage the intellect, and that the standards used to discredit popular art are essentially Romantic in origin and therefore offer a historically limited perspective on the nature and value of art.

Directly responding to Adorno, Shusterman’s pragmatism rejects the modernist opposition of art and “life” (2000b). Shusterman recommends aesthetic criteria that are broad enough to endorse the functional dimension of every art form. These proposals gain specificity in Shusterman’s response to the charge that popular music is formulaic and falls short of the formal achievement of good music. Resisting the traditional association of form and intellectual engagement, he argues that musical form should be rooted in “organic bodily rhythms” and the social conditions that make them meaningful (199). Popular music’s continuing reliance on dance rhythms returns Western music to its “natural roots” (2000a, p. 4). The fundamental structure of popular music lies in its bodily rhythms, so movement is necessary for appreciating it. Since these movements bear meanings, a genuine response to music is both physical and intellectual. This active, bodily engagement is also supplemented by awareness of lyrics because songs dominate popular music. When language is connected to the music’s rhythms, the integrated experience of music and language is as creative and complex as is the experience of “high” or classical music.

Shusterman’s most important essays are “Form and Funk: The Aesthetic Challenge of Popular Art” and “The Fine Art of Rap” (both in 2000b). The latter focuses on hip-hop recordings that are verbally complex, philosophically insightful, and rhythmically funky. They are aesthetically satisfying in a way that integrates both bodily and intellectual responses. The best hip-hop presents a life philosophy. However, concentrating on a handful of exemplary cases does not demonstrate that popular music is generally complex in this manner. For this purpose, Shusterman’s arguments should be considered in light of the recent outpouring of books that discuss philosophy’s relevance to different popular musicians. These books feature essays that explore the philosophical underpinnings of groups such as the Beatles, the Grateful Dead, Metallica, and U2. These analyses show that Shusterman’s limited examples cannot be dismissed as the rare exceptions in popular music. They also correct another major bias. Adopting Hanslick’s position that an aesthetics of music must be an aesthetics of instrumental or “absolute” music, traditional philosophy of music pays little attention to songs. It is clear that many accessible popular songs grapple with complex ideas and issues, however.

Finally, Shusterman argues that some popular music has the additional merit of presenting a postmodern challenge to the modernist categories that have dominated philosophical aesthetics (2000a). In particular, hip-hop often highlights postmodern strategies of recycling and appropriation. It engages with the concerns of subcultures and localized communities rather than with an allegedly universal perspective. These strategies reverse and thus repudiate modernist standards of artistic value. This line of argument does little to address traditional criticisms of popular music, however. Instead, it acknowledges that popular music is deficient according to traditional standards while also contending that cultural change renders those standards irrelevant. This argument does not answer critics who still endorse traditional views about art because the force of this argument depends on a complex understanding of historical developments in art and aesthetics. Furthermore, Shusterman’s appeal to postmodernism suggests that when we find anything in popular music that is not endorsed by traditional aesthetic theory, its presence can be interpreted as a challenge to the dominant tradition. Shusterman thus weakens his earlier charge that aesthetic theory has systematically misrepresented the nature of most art. Traditional aesthetic categories still frame the debate as popular music divides into two broad categories. Good popular music succeeds according to either modernist or postmodernist values. Either way, popular music is evaluated according to fine art standards (see Gracyk 2007). Shusterman supplements his discussions of rock and hip-hop with an independent essay on country music (2000a). He focuses on a small genre of films about the careers of fictional country singers. This essay moves Shusterman away from the bifurcation just outlined. Country music is discussed without reference to either modernist or postmodernist standards. Instead of arguing that country music is aesthetically complex and socially progressive, Shusterman focuses on the issue of how country music succeeds in conveying emotional authenticity to its fans. He thus endorses a line of analysis that is found in many ethnomusicological analyses of popular music. Shusterman concedes that country music is excessively sentimental and that commercial processes undercut its claim to authenticity. Nonetheless, it is comparatively authentic to its fans for a variety of reasons. First, its working class white audience is generally “uncritical” and, due to social circumstances, seeks “easy emotional release” in music (86). Second, it is commercially positioned as more authentic than contemporary alternatives in popular music. Third, its emphasis on first-person storytelling has a self-validating authority. Together, these factors give country music an aura of authenticity that explains its appeal. It is striking that this analysis cites neither aesthetic excellence nor progressive ideas to account for the music’s popular success, however. Hence Shusterman’s analysis offers no answer to critics who dismiss country music as simplistic and politically reactionary.

Inspired by Shusterman’s analysis of hip-hop, Crispin Sartwell offers an alternative and arguably more satisfying account of the value of blues and country music. Building on the general theme that a modernist aesthetic does not apply to most art produced by most cultures, Sartwell builds on Dewey’s theme that healthy arts involve form and expression that give a unifying coherence to everyday experiences. Hence, popular music should not be judged against the elitist ideals that have dominated aesthetic theory. It must be judged in relation to its capacity to embody and consolidate social relationships and values that are central to the society that creates and assimilates it.

In place of Shusterman’s appeal to a comparative authenticity, Sartwell calls attention to the importance of genuine tradition in blues and country music. For several generations, both kinds of music have evolved organically in response to social change. These musical traditions have not changed for the sake of originality and novelty, as encouraged by modernist aesthetics. Art music embraces progress that dictates continuously new forms, experiments, and innovations. Blues and country music constantly re-adapt established forms and signifiers. They change as necessary to remain relevant in the face of changing circumstances. As a result, ongoing styles of American popular music are extraordinarily successful at expressing racial, generational, and class-specific values in a way that remains comprehensible and emotionally satisfying to almost everyone in their respective audiences. As such, the vitality of popular music is best seen by highlighting its commonalities with non-Western art. Sartwell argues that the continuity of American popular music does an admirable job of satisfying non-Western expectations for art, especially those articulated in Asian traditions infused with Confucianism.

Bruce Baugh (1993) defends popular music by concentrating on rock music. His position recalls Shusterman’s argument that the best popular music exhibits a postmodern rejection of modernist aesthetic standards. Baugh contends that rock music and European concert music succeed according to different and opposing aesthetic standards. Traditional musical aesthetics was formulated by reference to the European classical repertoire. Therefore what is valuable about rock music cannot be explained by appeal to aesthetic standards appropriate to Mozart or Wagner. Baugh proposes that rock music is best appreciated by “turning Kantian or formalist aesthetics on its head” (26), literally reversing traditional priorities. Rock places more value on performance than composition, more on material embodiment than structure, more on rhythm than melody and harmony, more on expressivity than formal beauty, and more on heteronomy than autonomy. Like Shusterman, Baugh thinks that this music is fundamentally experienced in the body, especially through dancing, rather than by listening intellectually, without moving. Rock music thus serves as evidence of the limitations of traditional musical aesthetics. Traditional aesthetics concentrates on aesthetic standards “appropriate to only a very small fragment of the world’s music” (28).

Against Baugh, James O. Young and Stephen Davies argue that rock and classical music do not invite evaluation under distinct standards. Young argues that Baugh merely shows that rock music tends to employ different means of expression, not that the music has different ends. The European concert tradition includes a great deal of music that prioritizes expressivity and requires performance practices that highlight the music’s material embodiment. Consequently, Baugh has not identified standards that are unique to rock. Davies (1999) criticizes Baugh’s strategy of aligning classical and rock with intellect and body, respectively. Since music is patterned sound, anything that counts as listening to music will require attention to both form and matter. Davies also attacks Baugh’s assumption that a bodily or somatic response is noncognitive. A somatic response to music is a response to its pattern of movement. This response requires awareness of its distinctive pattern of tensions and relaxations, which requires knowledge of the “grammar” of the appropriate musical style. A visceral, somatic response seems immediate and nonintellectual to listeners. The response actually requires a considerable amount of cognitive processing, however. In a similar manner, the expressive power of rock music is due to, and not opposed to, a cognitive response.

In their responses to Baugh, Young and Davies spend much of their time summarizing and refuting the alleged differences between rock and classical music. As a consequence, it is easy to lose sight of the larger issue that emerges. To what extent is there such a thing as “traditional musical aesthetics,” and to what extent have philosophers adequately formulated the standards for any music? Shusterman and Baugh assume that Hanslick and Gurney accurately describe European art music and its associated listening standards. This assumption leads them to reason that because popular music is different from art music, popular music cannot be understood by appeal to prevailing standards of musical value. Young and Davies suggest a more radical response, however, by proposing that classical music is far more varied than modernism allows. To the extent that modernist standards of musical excellence fail to make sense of popular music, those standards may be equally distorting for most of the European classical repertoire. (To some extent, Adorno already recognizes this point when he argues that Stravinsky and Schoenberg are engaged in very different aesthetic projects, so that Stravinsky has more in common with popular music than with Schoenberg’s rejection of a tonal hierarchy.)

4. Race, Gender, and Expressive Authenticity

In the second half of the twentieth century, philosophy of art came to be seen as a kind of meta-criticism, identifying legitimate and illegitimate patterns of critical activity directed toward the arts. Derived from analytic philosophy’s concern for language and logic, this approach must not be confused with Adorno’s Marxist position that the best art is always a powerful vehicle for cultural criticism, demonstrating a corresponding failure of the popular arts due to their critical passivity. For the most part, philosophers in the so-called “analytic” tradition do not claim to have any special insights into the nature of music. With a few notable exceptions, such as Roger Scruton, they have abandoned the traditional project of developing a privileged critical perspective from which to sort music into better and worse kinds. Today, analytic philosophers are more likely to examine what is characteristically said about music as a starting point for examining our implicit assumptions about it. Once the emphasis shifts to an examination of the logic of what is said about music, popular and art music are revealed to be equally rich fields for philosophical analysis. As a result, an increasing number of philosophers have investigated popular music by identifying and critiquing key concepts that shape our response to this music. These investigations frequently incorporate insights gained from social and political philosophy.

Joel Rudinow adopts the analytic method in order to summarize and respond to the enormous body of non-philosophical writing about authenticity and the blues. He calls attention to the logic that supports criticisms of musical borrowing or appropriation of African-American music by white musicians and audiences. Addressing selected critics of white appropriation, Rudinow focuses on the social and conceptual issues embodied by white blues musicians.

Rudinow identifies, summarizes, and challenges the two most common arguments advanced against the phenomenon of blues music performed by white musicians. The first is the proprietary argument. It says that when one cultural community owns a musical style, its appropriation by another group constitutes a serious wrong. According to this argument, white blues players participate in a racist appropriation that deprives African-Americans of what is rightfully theirs. The second argument addresses experiential access. It says that white musicians lack relevant experiences that are necessary for expressive authenticity in the blues tradition. At best, white musicians produce blues-sounding music that cannot mean what the blues have traditionally meant. Unable to draw on the full cultural resources that inform the blues, white appropriations will be expressively superficial.

Rudinow responds to the proprietary argument by arguing there is no plausible analysis of ownership according to which a community or culture can “own” an artistic style. He responds to the experiential access argument by arguing that, absent a double standard, it will assign inauthenticity to recent African-American blues performances as readily as to white appropriations. In an argument that echoes Sartwell’s reflections on tradition, Rudinow points out that, after a century of development and change, the African-American experiences that were expressed in early blues cannot plausibly be the standard for evaluating contemporary blues. An evolving tradition that includes white participants is neither more nor less a departure from the core tradition than was, for example, the introduction of electric guitars. Furthermore, African-American experience is sufficiently diverse to allow some white musicians routes of initiation into experiences that can, in combination with mastery of the musical idiom, defuse the charge of mere posturing.

Paul Taylor responds by reviving the experiential access argument. He argues that the blues tradition was, and remains, a racial project. A blues performance is authentic only if it “can properly bear witness to the racialized moral pain that the blues is about” (314), and it only does so if it generates an appropriate feeling in informed listeners. These listeners care very much about the racial identity of performers and regard white performers as less capable of bearing witness about African-American experience. As a result, white appropriations do not generate the proper feeling in blues fans. Therefore white blues performances are not expressively authentic. Rudinow responds with two arguments. First, Taylor postulates a criterion for expressive authenticity that cannot be applied to most other music. Second, Taylor’s argument involves a question-begging assumption that the blues is a homogenous and static racial project. Because this assumption cannot be accepted a priori, it is readily challenged a posteriori by the fact that many African-American musicians and audiences admire the best white blues performers. Since Taylor’s argument links authenticity with audience response, these facts about audience response appear to certify the expressive authenticity of some white blues performances.

As Rudinow predicts (1996, p. 317), his exchange with Taylor merely sets the stage for further argument. Lee B. Brown (2004) explores the overlap between arguments about blues authenticity and longstanding debates about white jazz musicians. He documents and criticizes the outmoded essentialism found in such arguments. Expanding this topic to embrace the popularity of “world music,” Theodore Gracyk (2001) outlines and criticizes common assumptions about the communicative processes involved in popular music. Given that so much popular music is created and heard in recorded form, it is foolish to postulate a unified audience that responds uniformly. There are at least four distinct kinds of musical appropriation that can affect expressive authenticity, and there are at least three kinds of musical reception for any music listening that cross cultural boundaries. So it is implausible to maintain that blues music, to take one example, continues to be a unified cultural project. Popular music authenticity can only be determined on a case-by-case basis, by inspecting the complex interplay of cultural processes, musician’s intentions, and listener’s activities.

Jeanette Bicknell argues that the logic of authenticity is particularly complicated when it involves the singing of songs, as is the case with most popular music. Although some popular musicians compose their own material, such is not always the case. When listening to a song performance, audiences for popular music do not necessarily demand authenticity, narrowly construed. Because singing is akin to acting, each singer’s public persona influences the audience’s aesthetic response whenever a song is sung. This persona includes relatively obvious facts about a singer, such as ethnicity and gender, together with readily available information about the singer’s personal history. Bicknell proposes that most of the popular audience understands that few singers have a public persona that closely matches their “true personality” (263). Hence the actual standard of authenticity is the degree to which the material’s meaning seems appropriate to the singer’s public persona. Furthermore, singing is a physical activity. Few singers will seem authentic when they perform material that the audience regards as unsuitable for someone of their apparent race, gender, or age. For example, Johnny Cash’s performance of “Hurt” in the final year of his life is more expressively authentic than are performances by its composer, rock musician Trent Reznor. Due to the prominence of race in a singer’s persona, most white musicians will find it difficult to sing the blues convincingly. It is not impossible, however.

Feminist aesthetics raises many of the same issues that dominate debates about race and ethnicity. Furthermore, feminist aesthetics frequently discusses performance art. Exploring song performance, Bicknell argues that gender and race are equally relevant for popular song reception. Renée Cox and Claire Detels have provided a philosophical foundation for further work and Gracyk has outlined several philosophically rich issues that deserve further attention (Gracyk 2001). Yet as is the case with aesthetics in general, explicitly feminist analyses are usually directed at fine art and far more attention is paid to the visual arts than to music. In contrast, musicologists have produced many essays and books that highlight feminist perspectives on popular music.

5. Ontology of Music

Philosophy contains the sub-field of ontology. Proceeding from the assumption that different kinds of things exist in very different ways, ontology examines different categories of things that exist. Philosophers engage in musical ontology when they identify and analyze the various distinct kinds of things that count as music. For example, traditional philosophy of music distinguishes between a musical work and its performances. Unlike physical objects, the same musical work can be in different places at the same time, simply by being performed in two places simultaneously. Furthermore, not every performance seems to require reference to a pre-existing musical work. Many musicians improvise without performing any recognizable work. What kind of thing, then, is a musical work, such that George Gershwin’s “Summertime” remains the same musical work in a jazz performance by Billie Holiday and a rock performance by Janis Joplin? What is the shared object of musical attention when current audiences access these performances through the mediation of recording?

A number of philosophers think that popular music complicates the traditional ontology of music because the established distinction between works and performances has been supplemented by music that exists as recorded sound. Reflecting on popular music’s reliance on mass-mediation, Gracyk (1996, 2001), Fisher, Brown (2000), Davies (2001), and Kania argue that there are important aesthetic dimensions to the processes by which popular music, particularly rock music, is created and shared as recorded music. It is here, rather than in stylistic differences, that recent popular music differs most sharply from the classical repertoire.

Granted, most popular musicians make a significant amount of their income from live performances. Dedicated fans will often follow their favorite performers from show to show on the concert circuit. Others pay exorbitantly inflated prices to ticket agencies in order to secure prime seats when their favorite singer performs. Nonetheless, the audience for popular music generally spends more time with recorded music than with live music. Furthermore, the enormous return on investment made by the recording industry throughout most of the twentieth century led the industry to invest considerable time and creative energy in the process of recording music. These shifts of listening activity and creative investment have encouraged philosophers to examine the kinds of musical objects that are involved.

Before music was recorded, musical works were known almost exclusively by listening to musical performances or, for those with the proper training, by reading a score. This state of affairs presented a simple ontological or metaphysical analysis of the fundamental nature of musical works. Musical works are not physical particulars. Particular events and objects (performances and scores) provide access to the repeatable sound structures that constitute musical works. For example, Beethoven’s “Moonlight” piano sonata (Opus 27, No. 2) has received many thousands of performances since its composition in 1801. Each complete performance exists at a particular location for about a quarter hour. However, the musical work is an abstract structure that cannot be identified with any of its particular instantiations. The musical work is distinct from its performances, and the performances exist in order to make the work accessible to listeners.

Recordings complicate this straightforward ontological distinction between works and performances. Once recording technology became advanced enough to allow for the production of multiple copies of the same recording, it became necessary to distinguish between a recording (for example, Aretha Franklin’s 1967 hit record “Respect”), its various physical copies (for example, your 8-track and my vinyl 45), and the particular events that listeners hear (for example, the sounds produced from various car radios when a radio station broadcasts a copy of the record). Gracyk (1996) proposes that the experience of popular music now involves a complex web of particulars (for example, distinct performances and recording playbacks) and abstract objects (the song “Respect” and the 1967 “track” or recording of it). The song “Respect” was written by Otis Redding. Franklin subsequently performed the song in a studio, from which record producer Jerry Wexler created a recorded track. Gracyk proposes that Wexler’s recorded track is a distinct musical work, a work-for-playback related to but distinct from both Redding’s song and Franklins’ performance of it.

The relevance of ontological analysis begins to emerge in Davies’s (1999) response to Baugh’s analysis of rock music. Baugh contends that rock music places more emphasis on performances than compositions. Davies responds by noting that Baugh’s sweeping generalization arises from his failure to discuss ontology. Rock musicians, blues singers, and wedding bands do not fill their performances with free improvisations. They perform musical works. Successful performances of both “Respect” and Beethoven’s “Moonlight” piano sonata require performers to correctly perform that musical work and not some other. Whenever Franklin performs “Respect,” she is constrained by Redding’s musical composition (minimal as it may be). For Davies, the most important difference between the rock and classical traditions is that two very different kinds of musical works are normally performed. Beethoven’s sonatas are compositions of the European concert tradition and these works are ontologically “thicker” than popular songs. This simply means a work like the “Moonlight” sonata specifies relatively more of what should be heard during an authentic performance than is the case with the song “Respect” and other musical works in folk and popular music. The sonata is presented in a performance only if a high degree of what occurs during the performance is work-determinative. In other words, far more of the properties of a performance of the piano sonata are dictated by the musical work than is the case for a performance of “Respect.” In contrast, popular songs are generally “thinner” than works of the classical repertoire. Relatively few of the properties that appear in a given performance of “Respect” are present because they are essential to the identity of the musical work that is being performed.

Based on this distinction between thicker and thinner musical works, Baugh is wrong to contrast rock music and European art music by saying that rock music requires far less “faithfulness” to the music being performed. It is certainly true that performances of “Respect” will vary greatly in their performance arrangements and particular realizations. Where Redding is the only vocalist present on his 1965 recording of it, Franklin’s features backing vocalists. Where Franklin spells out the word “respect,” Redding does not. Both Redding and Franklin perform the same song, and they produce equally faithful or authentic performances of the same musical work despite their very different presentations of it. Their interpretative freedom is due to the fact that popular songs are thin with respect to work-constitutive properties and not because the performance matters more than the work that is being performed (Davies 1999).

Additional ontological complications arise when we address the nature of recorded music in each tradition. In the classical tradition, recordings function either to capture the sound of a particular live performance or they attempt to present the sound of an ideal performance (Davies 2001). Popular music developed a third function by exploiting studio technology to create inventive sonic presentations that are not meant to be judged by reference to what can be duplicated in live performance. Philosophers debate whether these recorded tracks constitute distinct, thick musical works. Gracyk (1996) and Kania propose that the studio engineering that is typical of rock and other popular music identifies such recordings as musical works in their own right. Like some electronic music of the European art tradition, the tracks created by many record producers are musical works that can only be instantiated through electronic playback (In fact, some popular music simply is electronic music.). Tracks are extremely thick musical works. The work (the track) determines most of what is heard during its instantiations, which are its playbacks.

Unlike works-for-playback in the art music tradition, popular music tracks feature songs or instrumental compositions that can also be performed live. Returning to the 1968 hit recording of “Respect,” Wexler’s track offers access to Redding’s song. Just as there are multiple performances of “Respect,” there are multiple recordings of it. Where each performance of “Respect” is a distinct instantiation of the song, something else must be said about Wexler’s track, which itself has distinct instantiations in its various playbacks. Listening to recorded music, the popular audience attends to both an ontologically thick work-for-playback and an ontologically thin song. A track’s production style can be distinguished from the song’s musical style. Thus there is a way in which popular music tracks are more complex than is electronic art music Electronic music offers no parallel distinction between track and composition.

Davies (2001) rejects the proposal that most popular song recordings feature two distinct musical works, the track and the song. He contends that there are very few cases in which two musical works are simultaneously available to an audience. For Davies, a recording is a distinct musical work only if the music cannot possibly be performed live. With music that can be performed live, one of two situations holds. Either way, the recorded track does not count as a distinct musical work. First, some recordings represent a studio performance of an ordinary musical work. An example is Franklin’s recorded performance of “Respect.” Second, the recording studio is sometimes used to create compositions or arrangements that are too complex or too electronically sophisticated to be performed live. Only derivative arrangements can be performed live. For example, the Beatles’s studio production of their 1966 song “Rain” features guitar and vocal parts that were created by reversing the tape on which the music was recorded. Treating the studio as special kind of performance space, Davies classifies “Rain” as a work for studio performance. Other musicians have since performed this song for an audience, but to do so they must substitute different guitar passages. According to Davies, these performances require the musicians to perform a simpler, derivate musical work, an ordinary song for performance. By distinguishing between three kinds of musical works (works for performance, works for studio performance, and works-for-playback), Davies maintains that recorded tracks of popular music seldom count as works-for-playback.

Gracyk and Kania disagree with Davies on the grounds that popular music audiences regard tracks as distinct objects of critical attention. In the same way that an audience for a live performance of a song can critically distinguish between the song and its performance (for example, recognizing a weak performance of a superior song), audiences distinguish between and critically assess songs, performances, and their recordings. As evidence, Kania notes that “cover” versions or remakes are discussed and assessed by reference to previous recordings, not simply as new recordings of familiar songs. Furthermore, because recordings have sonic properties that belong to neither songs nor their originating performances, they ought to be regarded as distinct musical works. Like electronic music, popular music tracks are ontologically thick works-for-playback. Unlike electronic art music, popular music tracks generally present the audience with a distinct, ontologically thin work that can be authentically instantiated in other recordings and in live performance. Thus, when a Beatles cover band gives a live performance of the song “Rain,” the song that is being performed is not, as Davies contends, a different work from the one that the Beatles recorded. Where Davies thinks that a work for performance has been derived from a work for studio performance, Gracyk and Kania recognize one song, “Rain,” which is the same song in either case.

This debate about the ontology of recorded tracks might seem to be a dispute over mere semantics. However, it has many implications for the aesthetics of popular music. In part, it reveals disagreement on whether a musical event can belong to multiple ontological categories at the same time. Davies thinks not; Gracyk and Kania regard this result as relatively common with recorded popular music. The debate also reveals assumptions about what counts as genuine music making. Elevating tracks to the status of full-fledged musical works implies that record producers and sound engineers are as important as songwriters and performers. This status will, in turn, complicate attributions of authorship and thus interpretation. Furthermore, treating tracks as works suggests that a great deal of popular music might be better understood by exploring its connections with film rather than with other music (Gracyk 1996, Kania).

One need not classify tracks as musical works in order to see that a great deal of popular music culture centers on recorded music. This phenomenon has consequences for philosophy of music. Although Davies and his opponents disagree on the correct analysis of these recordings, both lines of analysis imply that listening to popular music is cognitively quite complex. Contrary to stereotypes about passive reception, listening involves complex discriminations regarding multiple objects of interest. Furthermore, this debate demonstrates the incompleteness of a philosophy of music derived from reflection on the European classical tradition. Analyses of popular music must develop conceptual tools that move beyond discussion compositions and performances. For good or ill, recordings are ubiquitous in our musical culture. Philosophy of music must come to grips with its status and its role in musical culture.

6. References and Further Reading

  • Adorno, Theodor W. “On Popular Music” In Essays on Music. Ed. Richard Leppert. Berkeley and Los Angeles: University of California Press, 2002, pp. 437-69.
    • This 1941 essay is the most accessible place to begin reading Adorno on popular music.
  • Baugh, Bruce. “Music for the Young at Heart.” The Journal of Aesthetics and Art Criticism 53:1 (1995): 81-83.
    • Responds to criticisms of his analysis of the contrast between rock music and classical music.
  • Baugh, Bruce. “Prolegomena to Any Aesthetics of Rock Music.” The Journal of Aesthetics and Art Criticism 51:1 (1993): 23-29.
    • Analysis of rock music that contrasts it with classical music in order to show that traditional music aesthetics does not adequately account for some music.
  • Baur, Michael, and Stephen Baur, eds. The Beatles and Philosophy: Nothing You Can Think That Can’t Be Thunk. Chicago: Open Court, 2006.
    • Multiple essays demonstrate that a popular group can be socially progressive and philosophically insightful.
  • Bicknell, Jeanette. “Just a Song? Exploring the Aesthetics of Popular Song Performance.” The Journal of Aesthetics and Art Criticism 63:3 (2005): 261-70.
    • Sophisticated analysis of what audiences find authentic about a popular song performance.
  • Bloom, Allan. The Closing of the American Mind. New York: Simon and Schuster, 1987.
    • A much-discussed and frequently cited book on American culture, one chapter of which utilizes Plato’s philosophy of art to condemn American popular music.
  • Brown, Lee B. “Adorno’s Case Against Popular Music.” Aesthetics: A Reader in Philosophy of the Arts. 2nd ed. Ed. David Goldblatt and Lee B. Brown. Upper Saddle River: Pearson/Prentice Hall, 2005, pp. 378-85.
    • Extremely accessible introduction to Adorno’s philosophy of music.
  • Brown, Lee B. “Marsalis and Baraka: An Essay in Comparative Cultural Discourse.” Popular Music 23 (2004): 241-55.
    • Argues that major accounts of the authenticity of African-American music are burdened by a philosophically questionable essentialism.
  • Brown, Lee B. “Phonography, Rock Records, and the Ontology of Recorded Music.” The Journal of Aesthetics and Art Criticism 58:4 (2000): 361-72.
    • Criticizes, revises, and extends Gracyk’s account of recording technology in popular music.
  • Carroll, Noël. The Philosophy of Mass Art. Oxford: Clarendon Press, 1998.
    • Defends the importance of thinking about mass art instead of popular art. Although it is not Carroll’s primary focus, he often discusses popular music.
  • Collingwood, R. G. The Principles of Art. Oxford: Oxford University Press, 1938, reprint 1958.
    • Classic statement of the position that popular music and other popular arts are insufficiently expressive to be genuine art.
  • Cox, Renée. “A History of Music.” The Journal of Aesthetics and Art Criticism 48:4 (1990): 395-409.
    • An overview of how music has been conceptualized in the Western tradition that concludes with interesting reflections on popular music.
  • Davies, Stephen. Musical Works and Performances: A Philosophical Exploration. Oxford: Clarendon Press, 2001.
    • Extremely thorough examination of the nature of musical works and their presentation in performances; takes seriously the need to address these topics in relation to popular music.
  • Davies, Stephen. “Rock versus Classical Music.” The Journal of Aesthetics and Art Criticism 57:2 (1999): 193-204.
    • Criticizes Baugh’s contrast of rock music and classical music.
  • Detels, Claire. Soft Boundaries: Re-Visioning the Arts and Aesthetics in American Education. Westport, CT: Berfin and Garvey, 1999.
    • Challenges standard disciplinary and cultural boundaries imposed on music, including boundaries between art and popular music.
  • Dewey, John. Art as Experience. New York: Minton, Balch and Co., 1934.
    • Despite its limited discussion of music, presents a non-elitist, pragmatist aesthetic that opposes the thesis of artistic autonomy.
  • Eliot, T. S. “Marie Lloyd.” Selected Prose of T. S. Eliot. Ed. Frank Kermode. New York: Harcourt Brace Jovanovich, 1976, pp. 172-74.
    • Although Eliot is regarded as an exponent of aesthetic modernism, this 1922 essay applauds the “art” of a popular music-hall singer and comedian.
  • Fisher, John Andrew. “Rock ‘n’ Recording: The Ontological Complexity of Rock Music.” Musical Works: New Directions in the Philosophy of Music. Ed. Philip Alperson. University Park: Pennsylvania State University Press, 1998, pp. 109-23.
    • Argues that rock music is distinctive in placing recordings, rather than performances or compositions, as its primary musical object.
  • Frith, Simon. Performing Rites: On the Value of Popular Music. Cambridge, MA: Harvard University Press, 1996.
    • Engages with philosophical aesthetics but ultimately argues that sociology of music is the basis of all music aesthetics.
  • Gracyk, Theodore. I Wanna Be Me: Rock Music and the Politics of Identity. Philadelphia: Temple University Press, 2001.
    • Begins with an account of how popular music expresses meanings and cultural values, then analyzes and responds to controversies surrounding musical appropriation and gendered communication in popular music.
  • Gracyk, Theodore. Listening to Popular Music: Or, How I Learned to Stop Worrying and Love Led Zeppelin. Ann Arbor: University of Michigan Press, 2007.
    • Analyzes aesthetic value in music and argues that popular music’s aesthetic value is a central element of its appeal.
  • Gracyk, Theodore. Rhythm and Noise: An Aesthetics of Rock. Durham: Duke University Press, 1996.
    • The opening three chapters explore the ontological and interpretive implications of rock music’s exploitation of recording technology; the remainder defends rock against a range of common criticisms, including those offered by Adorno and Bloom.
  • Gurney, Edmund. The Power of Sound. London: Smith, Elder, and Company,1880. Reprint New York: Basic Books, 1966.
    • Long article that offers important arguments against musical expression and in favor of musical autonomy.
  • Hanslick, Eduard. On the Musically Beautiful. Trans. Geoffrey Payzant. Indianapolis: Hackett Publishing, 1986.
    • A historically influential work that emphasizes musical autonomy.
  • Howes, Frank. “A Critique of Folk, Popular, and ‘Art’ Music.” British Journal of Aesthetics 2:3 (1962): 239-48.
    • Provides an analysis of the differences between art music, folk music, and popular music and offers reasons why popular music is generally inferior to music in the other categories.
  • Irwin, William, ed. Metallica and Philosophy: A Crash Course in Brain Surgery. Malden, MA: Blackwell, 2007.
    • Multiple essays demonstrate that a popular rock band can be philosophically insightful.
  • Johnson, Julian. Who Needs Classical Music? Cultural Choice and Musical Value. New York and Oxford: Oxford University Press, 2002.
    • An articulate defense of traditional elitism that regards the classical repertoire as superior to popular music.
  • Kania, Andrew. “Making Tracks: The Ontology of Rock Music.” The Journal of Aesthetics and Art Criticism 64:4 (2006): 401-14.
    • Summarizes the debate between Davies and Gracyk about the ontology of recorded music and offers original arguments against Davies.
  • Kant, Immanuel. Critique of Judgment. Trans. Werner Pluhar. Indianapolis: Hackett, 1987. Contains Kant’s aesthetic theory.
    • Although Kant does not distinguish between art music and popular music, his theory of aesthetic judgment is an important source for the doctrines of artistic genius and autonomy that have been used against popular music.
  • Kaplan, Abraham. “The Aesthetics of the Popular Arts.” The Journal of Aesthetics and Art Criticism 24:3 (1966): 351-364.
    • Argues that popular art is essentially formulaic, and therefore of limited aesthetic value.
  • Kraut, Robert. “Why Does Jazz Matter to Aesthetic Theory?” The Journal of Aesthetics and Art Criticism 63:1 (2005): 3-15.
    • Using the example of jazz, argues that prevailing aesthetic theory pays insufficient attention to the ways that some music functions linguistically.
  • Meltzer, Richard. The Aesthetics of Rock. New York: Something Else Press, 1970.
    • The argument is free-form and not intended as serious philosophy, yet Meltzer is philosophically knowledgeable and occasionally makes connections between popular music and philosophical aesthetics.
  • Nietzsche, Friedrich. The Birth of Tragedy and The Case of Wagner. Trans. Walter Kaufmann. New York: Random House, 1967.
    • Contains both Nietzsche’s original position on European classical music and his later misgivings.
  • Porter, Carl, and Peter Vernezze, eds. Bob Dylan and Philosophy: It’s Alright, Ma (I’m Only Thinking). Chicago: Open Court Publishing, 2006.
    • Multiple essays demonstrate that the work of a prominent popular songwriter and performer can be philosophically engaging.
  • Rudinow, Joel. “Race, Ethnicity, Expressive Authenticity: Can White People Sing the Blues?” The Journal of Aesthetics and Art Criticism 52:1 (1994): 127-37.
    • An important essay on white appropriation of African-American music.
  • Rudinow, Joel. “Reply to Taylor.” The Journal of Aesthetics and Art Criticism 53:3 (1995): 316-18.
    • Continuation of an exchange about the expressive authenticity of white blues performers.
  • Sartwell, Crispin. The Art of Living: Aesthetics of the Ordinary in World Spiritual Traditions. Albany: State University of New York Press, 1995.
    • Contains a chapter defending the vitality of blues and country music.
  • Shiner, Larry. The Invention of Art: A Cultural History. Chicago and London: University of Chicago Press, 2001.
    • Examines the social transformations that accompanied the modern development of the category of fine art.
  • Scruton, Roger. The Aesthetics of Music. Oxford: Oxford University Press, 1997.
    • A review of all major topics in the aesthetics of music; argues, at some length, that the aesthetic inferiority of recent popular music is calamitous for Western culture.
  • Shusterman, Richard. Performing Live: Aesthetic Alternatives for the End of Art. Ithaca and London: Cornell University Press, 2000a.
    • Continues ongoing project of defending popular art; contains several essays on popular music.
  • Shusterman, Richard. “Popular Art and Entertainment Value,” in Philosophy and the Interpretation of Pop Culture. Ed. William Irwin and Jorge Gracia. Lanham, MD: Rowman & Littlefield, 2006: pp. 131-57.
    • Provides a historically informed analysis of the concept of entertainment as distinct from the concept of the popular.
  • Shusterman, Richard. Pragmatist Aesthetics: Living Beauty, Rethinking Art. 2nd edition. Lanham, MD: Rowman & Littlefield, 2000b.
    • Outlines a pragmatist aesthetic as an antidote to traditional, elitist accounts of art and collects two seminal papers on popular music.
  • Stadlen, Peter. “The Aesthetics of Popular Music.” British Journal of Aesthetics 2:4 (1962), pp. 351-61.
    • Argues that popular music is not inherently non-artistic and then concentrates on explaining why it is nonetheless so aesthetically impoverished.
  • Taylor, Paul. “Black and Blue: Response to Rudinow.” The Journal of Aesthetics and Art Criticism53:3 (1995): 313-16.
    • Challenges Rudinow by offering a reformulated and more sophisticated criticism of white appropriations of African-American music.
  • von Appen, Ralf. “On the Aesthetics of Popular Music.” Music Therapy Today 8:1 (2007): 5-25.
    • Distinguishing among three dimensions of aesthetic experience, argues that popular music often invites the same response as does art music.
  • Wicke, Peter. Rock Music: Culture, Aesthetics and Sociology. Trans. Rachel Fogg. Cambridge: Cambridge University Press, 1990.
    • More sociology than philosophy, explores the opposition of popular and art music and suggests several major aesthetic differences.
  • Wrathall, Mark, ed. U2 and Philosophy: How to Dismantle an Atomic Band. Chicago: Open Court Press, 2006. Multiple essays demonstrate that a popular rock band can be socially progressive and philosophically insightful.
  • Young, James O. “Between Rock and a Harp Place.” The Journal of Aesthetics and Art Criticism 53:1 (1995): 78-81.
    • Criticizes Baugh’s contrast of rock music and classical music.
  • Zabel, Gary. “Adorno on Music: A Reconsideration.” The Musical Times 130:1754 (April 1989): 198-201.
    • A good starting point for those seeking a very brief introduction to Adorno.

Author Information:

Theodore Gracyk
Email: gracyk@mnstate.edu
Minnesota State University Moorhead
U. S. A.

Thomas Aquinas: Political Philosophy

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

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

Table of Contents

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

1. Natural Law

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

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

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

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

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

2. The Political Nature of Man

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

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

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

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

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

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

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

3. Human Legislation

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

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

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

4. The Requirements of Justice

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

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

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

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

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

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

5. The Limitations of Politics

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

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

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

6. References and Further Reading

a. Primary Sources

i. Aquinas’ Political Writings in English

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

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

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

b. Secondary Sources

i. Books

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

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  • Blythe, James. 1986. “The Mixed Constitution and the Distinction between Regal and Political Power in the Work of Thomas Aquinas,” Journal of the History of Ideas 47: 547-565.
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  • Crofts, Richard. 1973. “The Common Good in the Political Theory of Thomas Aquinas,” Thomist 37: 155-173.
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  • Dewan, Lawrence, O.P. 2002. “Jean Porter on Natural Law: Thomistic Notes,” Thomist 66 (2): 275-309.
  • Dewan, Lawrence, O.P. 2000. “St. Thomas, John Finnis, and the Political Good,” Thomist 64 (3): 337-374.
  • Dewan, Lawrence, O.P. 1996. “Natural Law and the First Act of Freedom: Maritain Revisited” Maritain Studies 12: 3-32.
  • Eschmann, I.T. 1958. “St. Thomas Aquinas on the Two Powers,” Mediaeval Studies 20: 177-205.
  • Eschmann, I.T. 1946, “Studies on the Notion of Society in St. Thomas Aquinas, Part I” Mediaeval Studies 8: 1-42.
  • Eschmann, I.T. 1943. “A Thomistic Glossary on the Principle of the Preeminence of a Common Good,”Mediaeval Studies 5: 123-166.
  • Finnis, John. 2001. “Natural Law, God, Religion, and Human Fulfillment,” American Journal of Jurisprudence, 46: 3-36.
  • Finnis, John. 1998. “Public Good: The Specifically Political Common Good in Aquinas” in Natural Law and Moral Inquiry: Ethics, Metaphysics, and Politics in the Work of Germain Grisez, ed., Robert George, (Washington DC: Georgetown University Press) 174-209.
  • Finnis, John. 1987. “Natural Law and Natural Inclinations: Some Comments and Clarifications,” New Scholasticism 61: 307-20.
  • Finnis, John. 1981. “The Basic Principles of Natural Law: A Reply to Ralph McInerny,” American Journal of Jurisprudence 26: 21-31.
  • Foley, Michael. 2004. “Thomas Aquinas’ Novel Modesty,” History of Political Thought 25: 402-423.
  • Fortin, Ernest. 1987. “Thomas Aquinas” In The History of Political Philosophy, eds. Leo Strauss and Joseph Cropsey. University of Chicago Press, 248-275.
  • Froelich, Gregory. 1993. “Ultimate End and Common Good,” Thomist 57 (4): 609-619.
  • Froelich, Gregory. 1989. “The Equivocal Status of the Common Good,” New Scholasticism 63: 38-57.
  • Gelinas, E.T. 1971. “Right and Law in Aquinas,” Proceedings of the American Catholic Philosophical Association 45: 130-138.
  • Grisez, Germain. 1965. “The First Principle of Practical Reason: A Commentary on the Summa Theologiae, 1-2, Question 94, Article 2″, Natural Law Forum 10: 168-201.
  • Henle, R.J. 1990. “Sanction and the Law According to St. Thomas Aquinas,” Vera Lex 5-6.
  • Kreyche, Robert. 1974. “Virtue and Law in Aquinas: Some Modern Implications,” Southwestern Journal of Philosophy 5: 111-140.
  • Koritansky, Peter. 2005. “Two Theories of Retributive Punishment: Immanuel Kant and Thomas Aquinas,” History of Philosophy Quarterly 22 (4) 319-338.
  • Kries, Douglas. 1990. “Thomas Aquinas and the Politics of Moses,” Review of Politics 52: 1-21.
  • Lee, Patrick. 1997. “Is Thomas’ Natural Law Theory Naturalist?” American Catholic Philosophical Quarterly 71: 567-587.
  • Lee, Patrick. 1982. “Aquinas and Scotus on Liberty and Natural Law,” Proceedings of the American Catholic Philosophical Association 56: 70-78.
  • Lustig, Andrew. 1991. “Natural Law, Property, and Justice: The General Justification of Property in Aquinas and Locke,” Journal of Religious Ethics 19: 119-149.
  • Lutz-Bachman, Matthias. 2000. “The Discovery of a Normative Theory of Justice in Medieval Philosophy: On the Reception and Further Development of Aristotle’s Theory of Justice by St. Thomas Aquinas,” Medieval Philosophy and Theology 9: 1-14.
  • McInerny, Ralph. 1980. “The Principles of Natural Law,” American Journal of Jurisprudence 25: 1-15.
  • MacIntyre, Alasdair. 1996. “Natural Law as Subversive: the Case of Aquinas,” Journal of Medieval and Early Modern Studies 26: 61-83.
  • Osborne, Thomas. 2000. “Dominium regale et politicum: Sir John Fortescue’s Response to the Problem of Tyranny As Presented by Thomas Aquinas and Ptolemy of Lucca,” Medieval Studies 62: 161-187.
  • Pakaluk, Michael. 2001. “Is the Common Good of Political Society Limited and Instrumental?” Review of Metaphysics 55: 57-94.
  • Pope, Stephen. 1991. “Aquinas on Almsgiving, Justice and Charity: An Interpretation and Reassessment,”Heythrop Journal 32: 167-191.
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Author Information

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

Artificial Intelligence

Artificial intelligence (AI) would be the possession of intelligence, or the exercise of thought, by machines such as computers. Philosophically, the main AI question is “Can there be such?” or, as Alan Turing put it, “Can a machine think?” What makes this a philosophical and not just a scientific and technical question is the scientific recalcitrance of the concept of intelligence or thought and its moral, religious, and legal significance. In European and other traditions, moral and legal standing depend not just on what is outwardly done but also on inward states of mind. Only rational individuals have standing as moral agents and status as moral patients subject to certain harms, such as being betrayed. Only sentient individuals are subject to certain other harms, such as pain and suffering. Since computers give every outward appearance of performing intellectual tasks, the question arises: “Are they really thinking?” And if they are really thinking, are they not, then, owed similar rights to rational human beings? Many fictional explorations of AI in literature and film explore these very questions.

A complication arises if humans are animals and if animals are themselves machines, as scientific biology supposes. Still, “we wish to exclude from the machines” in question “men born in the usual manner” (Alan Turing), or even in unusual manners such as in vitro fertilization or ectogenesis. And if nonhuman animals think, we wish to exclude them from the machines, too. More particularly, the AI thesis should be understood to hold that thought, or intelligence, can be produced by artificial means; made, not grown. For brevity’s sake, we will take “machine” to denote just the artificial ones. Since the present interest in thinking machines has been aroused by a particular kind of machine, an electronic computer or digital computer, present controversies regarding claims of artificial intelligence center on these.

Accordingly, the scientific discipline and engineering enterprise of AI has been characterized as “the attempt to discover and implement the computational means” to make machines “behave in ways that would be called intelligent if a human were so behaving” (John McCarthy), or to make them do things that “would require intelligence if done by men” (Marvin Minsky). These standard formulations duck the question of whether deeds which indicate intelligence when done by humans truly indicate it when done by machines: that’s the philosophical question. So-called weak AI grants the fact (or prospect) of intelligent-acting machines; strong AI says these actions can be real intelligence. Strong AI says some artificial computation is thought. Computationalism says that all thought is computation. Though many strong AI advocates are computationalists, these are logically independent claims: some artificial computation being thought is consistent with some thought not being computation, contra computationalism. All thought being computation is consistent with some computation (and perhaps all artificial computation) not being thought.

Table of Contents

  1. Thinkers, and Thoughts
    1. What Things Think?
    2. Thought: Intelligence, Sentience, and Values
  2. The Turing Test
  3. Appearances of AI
    1. Computers
      1. Prehistory
      2. Theoretical Interlude: Turing Machines
      3. From Theory to Practice
    2. “Existence Proofs” of AI
      1. Low-Level Appearances and Attributions
      2. Theorem Proving and Mathematical Discovery
      3. Game Playing
      4. Planning
      5. Robots
      6. Knowledge Representation (KR)
      7. Machine Learning (ML)
      8. Neural Networks and Connectionism
      9. Natural Language Processing (NLP)
    3. On the Behavioral Evidence
  4. Against AI: Objections and Replies
    1. Computationalism and Competing Theories of Mind
    2. Arguments from Behavioral Disabilities
      1. The Mathematical Objection
      2. The Rule-bound Inflexibility or “Brittleness” of Machine Behavior
      3. The Lack of Feelings Objection
      4. Scalability and Disunity Worries
    3. Arguments from Subjective Disabilities
      1. Free Will: Lady Lovelace’s Objection?
      2. Intentionality: Searle’s Chinese Room Argument
      3. Consciousness: Subjectivity and Qualia
  5. Conclusion: Not the Last Word
  6. References and Further Reading

1. Thinkers, and Thoughts

a. What Things Think?

Intelligence might be styled the capacity to think extensively and well. Thinking well centrally involves apt conception, true representation, and correct reasoning. Quickness is generally counted a further cognitive virtue. The extent or breadth of a thing’s thinking concerns the variety of content it can conceive, and the variety of thought processes it deploys. Roughly, the more extensively a thing thinks, the higher the “level” (as is said) of its thinking. Consequently, we need to distinguish two different AI questions:

  1. Can machines think at all?
  2. Can machine intelligence approach or surpass the human level?

In Computer Science, work termed “AI” has traditionally focused on the high-level problem; on imparting high-level abilities to “use language, form abstractions and concepts” and to “solve kinds of problems now reserved for humans” (McCarthy et al. 1955); abilities to play intellectual games such as checkers (Samuel 1954) and chess (Deep Blue); to prove mathematical theorems (GPS); to apply expert knowledge to diagnose bacterial infections (MYCIN); and so forth. More recently there has arisen a humbler seeming conception – “behavior-based” or “nouvelle” AI – according to which seeking to endow embodied machines, or robots, with so much as “insect level intelligence” (Brooks 1991) counts as AI research. Where traditional human-level AI successes impart isolated high-level abilities to function in restricted domains, or “microworlds,” behavior-based AI seeks to impart coordinated low-level abilities to function in unrestricted real-world domains.

Still, to the extent that what is called “thinking” in us is paradigmatic for what thought is, the question of human level intelligence may arise anew at the foundations. Do insects think at all? And if insects … what of “bacteria level intelligence” (Brooks 1991a)? Even “water flowing downhill,” it seems, “tries to get to the bottom of the hill by ingeniously seeking the line of least resistance” (Searle 1989). Don’t we have to draw the line somewhere? Perhaps seeming intelligence – to really be intelligence – has to come up to some threshold level.

b. Thought: Intelligence, Sentience, and Values

Much as intentionality (“aboutness” or representation) is central to intelligence, felt qualities (so-called “qualia”) are crucial to sentience. Here, drawing on Aristotle, medieval thinkers distinguished between the “passive intellect” wherein the soul is affected, and the “active intellect” wherein the soul forms conceptions, draws inferences, makes judgments, and otherwise acts. Orthodoxy identified the soul proper (the immortal part) with the active rational element. Unfortunately, disagreement over how these two (qualitative-experiential and cognitive-intentional) factors relate is as rife as disagreement over what things think; and these disagreements are connected. Those who dismiss the seeming intelligence of computers because computers lack feelings seem to hold qualia to be necessary for intentionality. Those like Descartes, who dismiss the seeming sentience of nonhuman animals because he believed animals don’t think, apparently hold intentionality to be necessary for qualia. Others deny one or both necessities, maintaining either the possibility of cognition absent qualia (as Christian orthodoxy, perhaps, would have the thought-processes of God, angels, and the saints in heaven to be), or maintaining the possibility of feeling absent cognition (as Aristotle grants the lower animals).

2. The Turing Test

While we don’t know what thought or intelligence is, essentially, and while we’re very far from agreed on what things do and don’t have it, almost everyone agrees that humans think, and agrees with Descartes that our intelligence is amply manifest in our speech. Along these lines, Alan Turing suggested that if computers showed human level conversational abilities we should, by that, be amply assured of their intelligence. Turing proposed a specific conversational test for human-level intelligence, the “Turing test” it has come to be called. Turing himself characterizes this test in terms of an “imitation game” (Turing 1950, p. 433) whose original version “is played by three people, a man (A), a woman (B), and an interrogator (C) who may be of either sex. The interrogator stays in a room apart from the other two. … The object of the game for the interrogator is to determine which of the other two is the man and which is the woman. The interrogator is allowed to put questions to A and B [by teletype to avoid visual and auditory clues]. … . It is A’s object in the game to try and cause C to make the wrong identification. … The object of the game for the third player (B) is to help the interrogator.” Turing continues, “We may now ask the question, `What will happen when a machine takes the part of A in this game?’ Will the interrogator decide wrongly as often when the game is being played like this as he does when the game is played between a man and a woman? These questions replace our original, `Can machines think?'” (Turing 1950)  The test setup may be depicted this way:

(C) Questioner:
aims to discover if A or B is the Computer
Questions
<———
———->
Answers
(A) Computer: aims to fool the questioner.(B) Human: aims to help the questioner

This test may serve, as Turing notes, to test not just for shallow verbal dexterity, but for background knowledge and underlying reasoning ability as well, since interrogators may ask any question or pose any verbal challenge they choose. Regarding this test Turing famously predicted that “in about fifty years’ time [by the year 2000] it will be possible to program computers … to make them play the imitation game so well that an average interrogator will have no more than 70 per cent. chance of making the correct identification after five minutes of questioning” (Turing 1950); a prediction that has famously failed. As of the year 2000, machines at the Loebner Prize competition played the game so ill that the average interrogator had 100 percent chance of making the correct identification after five minutes of questioning (see Moor 2001).

It is important to recognize that Turing proposed his test as a qualifying test for human-level intelligence, not as a disqualifying test for intelligence per se (as Descartes had proposed); nor would it seem suitably disqualifying unless we are prepared (as Descartes was) to deny that any nonhuman animals possess any intelligence whatsoever. Even at the human level the test would seem not to be straightforwardly disqualifying: machines as smart as we (or even smarter) might still be unable to mimic us well enough to pass. So, from the failure of machines to pass this test, we can infer neither their complete lack of intelligence nor, that their thought is not up to the human level. Nevertheless, the manners of current machine failings clearly bespeak deficits of wisdom and wit, not just an inhuman style. Still, defenders of the Turing test claim we would have ample reason to deem them intelligent – as intelligent as we are – if they could pass this test.

3. Appearances of AI

The extent to which machines seem intelligent depends first, on whether the work they do is intellectual (for example, calculating sums) or manual (for example, cutting steaks): herein, an electronic calculator is a better candidate than an electric carving knife. A second factor is the extent to which the device is self-actuated (self-propelled, activated, and controlled), or “autonomous”: herein, an electronic calculator is a better candidate than an abacus. Computers are better candidates than calculators on both headings. Where traditional AI looks to increase computer intelligence quotients (so to speak), nouvelle AI focuses on enabling robot autonomy.

a. Computers

i. Prehistory

In the beginning, tools (for example, axes) were extensions of human physical powers; at first powered by human muscle; then by domesticated beasts and in situ forces of nature, such as water and wind. The steam engine put fire in their bellies; machines became self-propelled, endowed with vestiges of self-control (as by Watt’s 1788 centrifugal governor); and the rest is modern history. Meanwhile, automation of intellectual labor had begun. Blaise Pascal developed an early adding/subtracting machine, the Pascaline (circa 1642). Gottfried Leibniz added multiplication and division functions with his Stepped Reckoner (circa 1671). The first programmable device, however, plied fabric not numerals. The Jacquard loom developed (circa 1801) by Joseph-Marie Jacquard used a system of punched cards to automate the weaving of programmable patterns and designs: in one striking demonstration, the loom was programmed to weave a silk tapestry portrait of Jacquard himself.

In designs for his Analytical Engine mathematician/inventor Charles Babbage recognized (circa 1836) that the punched cards could control operations on symbols as readily as on silk; the cards could encode numerals and other symbolic data and, more importantly, instructions, including conditionally branching instructions, for numeric and other symbolic operations. Augusta Ada Lovelace (Babbage’s software engineer) grasped the import of these innovations: “The bounds of arithmetic” she writes, “were … outstepped the moment the idea of applying the [instruction] cards had occurred” thus “enabling mechanism to combine together with general symbols, in successions of unlimited variety and extent” (Lovelace 1842). “Babbage,” Turing notes, “had all the essential ideas” (Turing 1950). Babbage’s Engine – had he constructed it in all its steam powered cog-wheel driven glory – would have been a programmable all-purpose device, the first digital computer.

ii. Theoretical Interlude: Turing Machines

Before automated computation became feasible with the advent of electronic computers in the mid twentieth century, Alan Turing laid the theoretical foundations of Computer Science by formulating with precision the link Lady Lovelace foresaw “between the operations of matter and the abstract mental processes of the most abstract branch of mathematical sciences” (Lovelace 1942). Turing (1936-7) describes a type of machine (since known as a “Turing machine”) which would be capable of computing any possible algorithm, or performing any “rote” operation. Since Alonzo Church (1936) – using recursive functions and Lambda-definable functions – had identified the very same set of functions as “rote” or algorithmic as those calculable by Turing machines, this important and widely accepted identification is known as the “Church-Turing Thesis” (see, Turing 1936-7: Appendix). The machines Turing described are

only capable of a finite number of conditions … “m-configurations.” The machine is supplied with a “tape” (the analogue of paper) running through it, and divided into sections (called “squares”) each capable of bearing a “symbol.” At any moment there is just one square … which is “in the machine.” … The “scanned symbol” is the only one of which the machine is, so to speak, “directly aware.” However, by altering its m-configuration the machine can effectively remember some of the symbols which it has “seen” (scanned) previously. The possible behavior of the machine at any moment is determined by the m-configuration … and the scanned symbol …. This pair … called the “configuration” … determines the possible behaviour of the machine. In some of the configurations in which the square is blank … the machine writes down a new symbol on the scanned square: in other configurations it erases the scanned symbol. The machine may also change the square which is being scanned, but only by shifting it one place to right or left. In addition to any of these operations the m-configuration may be changed. (Turing 1936-7)

Turing goes on to show how such machines can encode actionable descriptions of other such machines. As a result, “It is possible to invent a single machine which can be used to compute any computable sequence” (Turing 1936-7). Today’s digital computers are (and Babbage’s Engine would have been) physical instantiations of this “universal computing machine” that Turing described abstractly. Theoretically, this means everything that can be done algorithmically or “by rote” at all “can all be done with one computer suitably programmed for each case”; “considerations of speed apart, it is unnecessary to design various new machines to do various computing processes” (Turing 1950). Theoretically, regardless of their hardware or architecture (see below), “all digital computers are in a sense equivalent”: equivalent in speed-apart capacities to the “universal computing machine” Turing described.

iii. From Theory to Practice

In practice, where speed is not apart, hardware and architecture are crucial: the faster the operations the greater the computational power. Just as improvement on the hardware side from cogwheels to circuitry was needed to make digital computers practical at all, improvements in computer performance have been largely predicated on the continuous development of faster, more and more powerful, machines. Electromechanical relays gave way to vacuum tubes, tubes to transistors, and transistors to more and more integrated circuits, yielding vastly increased operation speeds. Meanwhile, memory has grown faster and cheaper.

Architecturally, all but the earliest and some later experimental machines share a stored program serial design often called “von Neumann architecture” (based on John von Neumann’s role in the design of EDVAC, the first computer to store programs along with data in working memory). The architecture is serial in that operations are performed one at a time by a central processing unit (CPU) endowed with a rich repertoire of basic operations: even so-called “reduced instruction set” (RISC) chips feature basic operation sets far richer than the minimal few Turing proved theoretically sufficient. Parallel architectures, by contrast, distribute computational operations among two or more units (typically many more) capable of acting simultaneously, each having (perhaps) drastically reduced basic operational capacities.

In 1965, Gordon Moore (co-founder of Intel) observed that the density of transistors on integrated circuits had doubled every year since their invention in 1959: “Moore’s law” predicts the continuation of similar exponential rates of growth in chip density (in particular), and computational power (by extension), for the foreseeable future. Progress on the software programming side – while essential and by no means negligible – has seemed halting by comparison. The road from power to performance is proving rockier than Turing anticipated. Nevertheless, machines nowadays do behave in many ways that would be called intelligent in humans and other animals. Presently, machines do many things formerly only done by animals and thought to evidence some level of intelligence in these animals, for example, seeking, detecting, and tracking things; seeming evidence of basic-level AI. Presently, machines also do things formerly only done by humans and thought to evidence high-level intelligence in us; for example, making mathematical discoveries, playing games, planning, and learning; seeming evidence of human-level AI.

b. “Existence Proofs” of AI

i. Low-Level Appearances and Attributions

The doings of many machines – some much simpler than computers – inspire us to describe them in mental terms commonly reserved for animals. Some missiles, for instance, seek heat, or so we say. We call them “heat seeking missiles” and nobody takes it amiss. Room thermostats monitor room temperatures and try to keep them within set ranges by turning the furnace on and off; and if you hold dry ice next to its sensor, it will take the room temperature to be colder than it is, and mistakenly turn on the furnace (see McCarthy 1979). Seeking, monitoring, trying, and taking things to be the case seem to be mental processes or conditions, marked by their intentionality. Just as humans have low-level mental qualities – such as seeking and detecting things – in common with the lower animals, so too do computers seem to share such low-level qualities with simpler devices. Our working characterizations of computers are rife with low-level mental attributions: we say they detect key presses, try to initialize their printers, search for available devices, and so forth. Even those who would deny the proposition “machines think” when it is explicitly put to them, are moved unavoidably in their practical dealings to characterize the doings of computers in mental terms, and they would be hard put to do otherwise. In this sense, Turing’s prediction that “at the end of the century the use of words and general educated opinion will have altered so much that one will be able to speak of machines thinking without expecting to be contradicted” (Turing 1950) has been as mightily fulfilled as his prediction of a modicum of machine success at playing the Imitation Game has been confuted. The Turing test and AI as classically conceived, however, are more concerned with high-level appearances such as the following.

ii. Theorem Proving and Mathematical Discovery

Theorem proving and mathematical exploration being their home turf, computers have displayed not only human-level but, in certain respects, superhuman abilities here. For speed and accuracy of mathematical calculation, no human can match the speed and accuracy of a computer. As for high level mathematical performances, such as theorem proving and mathematical discovery, a beginning was made by A. Newell, J.C. Shaw, and H. Simon’s (1957) “Logic Theorist” program which proved 38 of the first 51 theorems of B. Russell and A.N. Whitehead’s Principia Mathematica. Newell and Simon’s “General Problem Solver” (GPS) extended similar automated theorem proving techniques outside the narrow confines of pure logic and mathematics. Today such techniques enjoy widespread application in expert systems like MYCIN, in logic tutorial software, and in computer languages such as PROLOG. There are even original mathematical discoveries owing to computers. Notably, K. Appel, W. Haken, and J. Koch (1977a, 1977b), and computer, proved that every planar map is four colorable – an important mathematical conjecture that had resisted unassisted human proof for over a hundred years. Certain computer generated parts of this proof are too complex to be directly verified (without computer assistance) by human mathematicians.

Whereas attempts to apply general reasoning to unlimited domains are hampered by explosive inferential complexity and computers’ lack of common sense, expert systems deal with these problems by restricting their domains of application (in effect, to microworlds), and crafting domain-specific inference rules for these limited domains. MYCIN for instance, applies rules culled from interviews with expert human diagnosticians to descriptions of patients’ presenting symptoms to diagnose blood-borne bacterial infections. MYCIN displays diagnostic skills approaching the expert human level, albeit strictly limited to this specific domain. Fuzzy logic is a formalism for representing imprecise notions such as most and baldand enabling inferences based on such facts as that a bald person mostly lacks hair.

iii. Game Playing

Game playing engaged the interest of AI researchers almost from the start. Samuel’s (1959) checkers (or “draughts”) program was notable for incorporating mechanisms enabling it to learn from experience well enough to eventually to outplay Samuel himself. Additionally, in setting one version of the program to play against a slightly altered version, carrying over the settings of the stronger player to the next generation, and repeating the process – enabling stronger and stronger versions to evolve – Samuel pioneered the use of what have come to be called “genetic algorithms” and “evolutionary” computing. Chess has also inspired notable efforts culminating, in 1997, in the famous victory of Deep Blue over defending world champion Gary Kasparov in a widely publicized series of matches (recounted in Hsu 2002). Though some in AI disparaged Deep Blue’s reliance on “brute force” application of computer power rather than improved search guiding heuristics, we may still add chess to checkers (where the reigning “human-machine machine champion” since 1994 has been CHINOOK, the machine), and backgammon, as games that computers now play at or above the highest human levels. Computers also play fair to middling poker, bridge, and Go – though not at the highest human level. Additionally, intelligent agents or “softbots” are elements or participants in a variety of electronic games.

iv. Planning

Planning, in large measure, is what puts the intellect in intellectual games like chess and checkers. To automate this broader intellectual ability was the intent of Newell and Simon’s General Problem Solver (GPS) program. GPS was able to solve puzzles like the cannibals missionaries problem (how to transport three missionaries and three cannibals across a river in a canoe for two without the missionaries becoming outnumbered on either shore) by “setting up subgoals whose attainment leads to the attainment of the [final] goal” (Newell & Simon 1963: 284). By these methods GPS would “generate a tree of subgoals” (Newell & Simon 1963: 286) and seek a path from initial state (for example, all on the near bank) to final goal (all on the far bank) by heuristically guided search along a branching “tree” of available actions (for example, two cannibals cross, two missionaries cross, one of each cross, one of either cross, in either direction) until it finds such a path (for example, two cannibals cross, one returns, two cannibals cross, one returns, two missionaries cross, … ), or else finds that there is none. Since the number of branches increases exponentially as a function of the number of options available at each step, where paths have many steps with many options available at each choice point, as in the real world, combinatorial explosion ensues and an exhaustive “brute force” search becomes computationally intractable; hence, heuristics (fallible rules of thumb) for identifying and “pruning” the most unpromising branches in order to devote increased attention to promising ones are needed. The widely deployed STRIPS formalism first developed at Stanford for Shakey the robot in the late sixties (see Nilsson 1984) represents actions as operations on states, each operation having preconditions (represented by state descriptions) and effects (represented by state descriptions): for example, the go(there) operation might have the preconditions at(here) & path(here,there) and the effect at(there). AI planning techniques are finding increasing application and even becoming indispensable in a multitude of complex planning and scheduling tasks including airport arrivals, departures, and gate assignments; store inventory management; automated satellite operations; military logistics; and many others.

v. Robots

Robots based on sense-model-plan-act (SMPA) approach pioneered by Shakey, however, have been slow to appear. Despite operating in a simplified, custom-made experimental environment or microworld and reliance on the most powerful available offboard computers, Shakey “operated excruciatingly slowly” (Brooks 1991b), as have other SMPA based robots. An ironic revelation of robotics research is that abilities such as object recognition and obstacle avoidance that humans share with “lower” animals often prove more difficult to implement than distinctively human “high level” mathematical and inferential abilities that come more naturally (so to speak) to computers. Rodney Brooks’ alternative behavior-based approach has had success imparting low-level behavioral aptitudes outside of custom designed microworlds, but it is hard to see how such an approach could ever “scale up” to enable high-level intelligent action (see Behaviorism: Objections & DiscussionMethodological Complaints). Perhaps hybrid systems can overcome the limitations of both approaches. On the practical front, progress is being made: NASA’s Mars exploration rovers Spirit and Opportunity, for instance, featured autonomous navigation abilities. If space is the “final frontier” the final frontiersmen are apt to be robots. Meanwhile, Earth robots seem bound to become smarter and more pervasive.

vi. Knowledge Representation (KR)

Knowledge representation embodies concepts and information in computationally accessible and inferentially tractable forms. Besides the STRIPS formalism mentioned above, other important knowledge representation formalisms include AI programming languages such as PROLOG, and LISP; data structures such as frames, scripts, and ontologies; and neural networks (see below). The “frame problem” is the problem of reliably updating dynamic systems’ parameters in response to changes in other parameters so as to capture commonsense generalizations: that the colors of things remain unchanged by their being moved, that their positions remain unchanged by their being painted, and so forth. More adequate representation of commonsense knowledge is widely thought to be a major hurdle to development of the sort of interconnected planning and thought processes typical of high-level human or “general” intelligence. The CYC project (Lenat et al. 1986) at Cycorp and MIT’s Open Mind project are ongoing attempts to develop “ontologies” representing commonsense knowledge in computer usable forms.

vii. Machine Learning (ML)

Learning – performance improvement, concept formation, or information acquisition due to experience – underwrites human common sense, and one may doubt whether any preformed ontology could ever impart common sense in full human measure. Besides, whatever the other intellectual abilities a thing might manifest (or seem to), at however high a level, without learning capacity, it would still seem to be sadly lacking something crucial to human-level intelligence and perhaps intelligence of any sort. The possibility of machine learning is implicit in computer programs’ abilities to self-modify and various means of realizing that ability continue to be developed. Types of machine learning techniques include decision tree learning, ensemble learning, current-best-hypothesis learning, explanation-based learning, Inductive Logic Programming (ILP), Bayesian statistical learning, instance-based learning, reinforcement learning, and neural networks. Such techniques have found a number of applications from game programs whose play improves with experience to data mining (discovering patterns and regularities in bodies of information).

viii. Neural Networks and Connectionism

Neural or connectionist networks – composed of simple processors or nodes acting in parallel – are designed to more closely approximate the architecture of the brain than traditional serial symbol-processing systems. Presumed brain-computations would seem to be performed in parallel by the activities of myriad brain cells or neurons. Much as their parallel processing is spread over various, perhaps widely distributed, nodes, the representation of data in such connectionist systems is similarly distributed and sub-symbolic (not being couched in formalisms such as traditional systems’ machine codes and ASCII). Adept at pattern recognition, such networks seem notably capable of forming concepts on their own based on feedback from experience and exhibit several other humanoid cognitive characteristics besides. Whether neural networks are capable of implementing high-level symbol processing such as that involved in the generation and comprehension of natural language has been hotly disputed. Critics (for example, Fodor and Pylyshyn 1988) argue that neural networks are incapable, in principle, of implementing syntactic structures adequate for compositional semantics – wherein the meaning of larger expressions (for example, sentences) are built up from the meanings of constituents (for example, words) – such as those natural language comprehension features. On the other hand, Fodor (1975) has argued that symbol-processing systems are incapable of concept acquisition: here the pattern recognition capabilities of networks seem to be just the ticket. Here, as with robots, perhaps hybrid systems can overcome the limitations of both the parallel distributed and symbol-processing approaches.

ix. Natural Language Processing (NLP)

Natural language processing has proven more difficult than might have been anticipated. Languages are symbol systems and (serial architecture) computers are symbol crunching machines, each with its own proprietary instruction set (machine code) into which it translates or compiles instructions couched in high level programming languages like LISP and C. One of the principle challenges posed by natural languages is the proper assignment of meaning. High-level computer languages express imperatives which the machine “understands” procedurally by translation into its native (and similarly imperative) machine code: their constructions are basically instructions. Natural languages, on the other hand, have – perhaps principally – declarative functions: their constructions include descriptions whose understanding seems fundamentally to require rightly relating them to their referents in the world. Furthermore, high level computer language instructions have unique machine code compilations (for a given machine), whereas, the same natural language constructions may bear different meanings in different linguistic and extralinguistic contexts. Contrast “the child is in the pen” and “the ink is in the pen” where the first “pen” should be understood to mean a kind of enclosure and the second “pen” a kind of writing implement. Commonsense, in a word, is how we know this; but how would a machine know, unless we could somehow endow machines with commonsense? In more than a word it would require sophisticated and integrated syntactic, morphological, semantic, pragmatic, and discourse processing. While the holy grail of full natural language understanding remains a distant dream, here as elsewhere in AI, piecemeal progress is being made and finding application in grammar checkers; information retrieval and information extraction systems; natural language interfaces for games, search engines, and question-answering systems; and even limited machine translation (MT).

c. On the Behavioral Evidence

Low level intelligent action is pervasive, from thermostats (to cite a low tech. example) to voice recognition (for example, in cars, cell-phones, and other appliances responsive to spoken verbal commands) to fuzzy controllers and “neuro fuzzy” rice cookers. Everywhere these days there are “smart” devices. High level intelligent action, such as presently exists in computers, however, is episodic, detached, and disintegral. Artifacts whose intelligent doings would instance human-level comprehensiveness, attachment, and integration – such as Lt. Commander Data (of Star Trek the Next Generation) and HAL (of 2001 a Space Odyssey) – remain the stuff of science fiction, and will almost certainly continue to remain so for the foreseeable future. In particular, the challenge posed by the Turing test remains unmet. Whether it ever will be met remains an open question.

Beside this factual question stands a more theoretic one. Do the “low-level” deeds of smart devices and disconnected “high-level” deeds of computers – despite not achieving the general human level – nevertheless comprise or evince genuine intelligence? Is it really thinking? And if general human-level behavioral abilities ever were achieved – it might still be asked – would that really be thinking? Would human-level robots be owed human-level moral rights and owe human-level moral obligations?

4. Against AI: Objections and Replies

a. Computationalism and Competing Theories of Mind

With the industrial revolution and the dawn of the machine age, vitalism as a biological hypothesis – positing a life force in addition to underlying physical processes – lost steam. Just as the heart was discovered to be a pump, cognitivists, nowadays, work on the hypothesis that the brain is a computer, attempting to discover what computational processes enable learning, perception, and similar abilities. Much as biology told us what kind of machine the heart is, cognitivists believe, psychology will soon (or at least someday) tell us what kind of machine the brain is; doubtless some kind of computing machine. Computationalism elevates the cognivist’s working hypothesis to a universal claim that all thought is computation. Cognitivism’s ability to explain the “productive capacity” or “creative aspect” of thought and language – the very thing Descartes argued precluded minds from being machines – is perhaps the principle evidence in the theory’s favor: it explains how finite devices can have infinite capacities such as capacities to generate and understand the infinitude of possible sentences of natural languages; by a combination of recursive syntax and compositional semantics. Given the Church-Turing thesis (above), computationalism underwrites the following theoretical argument for believing that human-level intelligent behavior can be computationally implemented, and that such artificially implemented intelligence would be real.

  1. Thought is some kind of computation (Computationalism).
  2. Digital computers, being universal Turing machines, can perform all possible computations. (Church-Turing thesis)    therefore,
  3. Digital computers can think.

Computationalism, as already noted, says that all thought is computation, not that all computation is thought. Computationalists, accordingly, may still deny that the machinations of current generation electronic computers comprise real thought or that these devices possess any genuine intelligence; and many do deny it based on their perception of various behavioral deficits these machines suffer from. However, few computationalists would go so far as to deny the possibility of genuine intelligence ever being artificially achieved. On the other hand, competing would-be-scientific theories of what thought essentially is – dualism and mind-brain identity theory – give rise to arguments for disbelieving that any kind of artificial computational implementation of intelligence could be genuine thought, however “general” and whatever its “level.”

Dualism – holding that thought is essentially subjective experience – would underwrite the following argument:

  1. Thought is some kind of conscious experience. (Dualism)
  2. Machines can’t have conscious experiences.   therefore,
  3. Machines can’t think.

Mind-brain identity theory – holding that thoughts essentially are biological brain processes – yields yet another argument:

  1. Thoughts are specific biological brain processes. (Mind-Brain Identity)
  2. Artificial computers can’t have biological brain processes. (By our initial definition of the “artificial” in AI, above).    therefore,
  3. Artificial computers can’t think.

While seldom so baldly stated, these basic theoretical objections – especially dualism’s – underlie several would-be refutations of AI. Dualism, however, is scientifically unfit: given the subjectivity of conscious experiences, whether computers already have them, or ever will, seems impossible to know. On the other hand, such bald mind-brain identity as the anti-AI argument premises seems too speciesist to be believed. Besides AI, it calls into doubt the possibility of extraterrestrial, perhaps all nonmammalian, or even all nonhuman, intelligence. As plausibly modified to allow species specific mind-matter identities, on the other hand, it would not preclude computers from being considered distinct species themselves.

b. Arguments from Behavioral Disabilities

i. The Mathematical Objection

Objection: There are unprovable mathematical theorems (as Gödel 1931 showed) which humans, nevertheless, are capable of knowing to be true. This “mathematical objection” against AI was envisaged by Turing (1950) and pressed by Lucas (1965) and Penrose (1989). In a related vein, Fodor observes “some of the most striking things that people do – ‘creative’ things like writing poems, discovering laws, or, generally, having good ideas – don’t feel like species of rule-governed processes” (Fodor 1975). Perhaps many of the most distinctively human mental abilities are not rote, cannot be algorithmically specified, and consequently are not computable.

Reply: First, “it is merely stated, without any sort of proof, that no such limits apply to the human intellect” (Turing 1950), i.e., that human mathematical abilities are Gödel unlimited. Second, if indeed such limits are absent in humans, it requires a further proof that the absence of such limitations is somehow essential to human-level performance more broadly construed, not a peripheral “blind spot.” Third, if humans can solve computationally unsolvable problems by some other means, what bars artificially augmenting computer systems with these means (whatever they might be)?

ii. The Rule-bound Inflexibility or “Brittleness” of Machine Behavior

Objection: The brittleness of von Neumann machine performance – their susceptibility to cataclysmic “crashes” due to slight causes, for example, slight hardware malfunctions, software glitches, and “bad data” – seems linked to the formal or rule-bound character of machine behavior; to their needing “rules of conduct to cover every eventuality” (Turing 1950). Human performance seems less formal and more flexible. Hubert Dreyfus has pressed objections along these lines to insist there is a range of high-level human behavior that cannot be reduced to rule-following: the “immediate intuitive situational response that is characteristic of [human] expertise” he surmises, “must depend almost entirely on intuition and hardly at all on analysis and comparison of alternatives” (Dreyfus 1998) and consequently cannot be programmed.

Reply: That von Neumann processes are unlike our thought processes in these regards only goes to show that von Neumann machine thinking is not humanlike in these regards, not that it is not thinking at all, nor even that it cannot come up to the human level. Furthermore, parallel machines (see above) whose performances characteristically “degrade gracefully” in the face of “bad data” and minor hardware damage seem less brittle and more humanlike, as Dreyfus recognizes. Even von Neumann machines – brittle though they are – are not totally inflexible: their capacity for modifying their programs to learn enables them to acquire abilities they were never programmed by us to have, and respond unpredictably in ways they were never explicitly programmed to respond, based on experience. It is also possible to equip computers with random elements and key high level choices to these elements’ outputs to make the computers more “devil may care”: given the importance of random variation for trial and error learning this may even prove useful.

iii. The Lack of Feelings Objection

Objection: Computers, for all their mathematical and other seemingly high-level intellectual abilities have no emotions or feelings … so, what they do – however “high-level” – is not real thinking.

Reply: This is among the most commonly heard objections to AI and a recurrent theme in its literary and cinematic portrayal. Whereas we have strong inclinations to say computers see, seek, and infer things we have scant inclinations to say they ache or itch or experience ennui. Nevertheless, to be sustained, this objection requires reason to believe that thought is inseparable from feeling. Perhaps computers are just dispassionate thinkers. Indeed, far from being regarded as indispensable to rational thought, passion traditionally has been thought antithetical to it. Alternately – if emotions are somehow crucial to enabling general human level intelligence – perhaps machines could be artificially endowed with these: if not with subjective qualia (below) at least with their functional equivalents.

iv. Scalability and Disunity Worries

Objection: The episodic, detached, and disintegral character of such piecemeal high-level abilities as machines now possess argues that human-level comprehensiveness, attachment, and integration, in all likelihood, can never be artificially engendered in machines; arguably this is because Gödel unlimited mathematical abilities, rule-free flexibility, or feelings are crucial to engendering general intelligence. These shortcomings all seem related to each other and to the manifest stupidity of computers.

Reply: Likelihood is subject to dispute. Scalability problems seem grave enough to scotch short term optimism: never, on the other hand, is a long time. If Gödel unlimited mathematical abilities, or rule-free flexibility, or feelings, are required, perhaps these can be artificially produced. Gödel aside, feeling and flexibility clearly seem related in us and, equally clearly, much manifest stupidity in computers is tied to their rule-bound inflexibility. However, even if general human-level intelligent behavior is artificially unachievable, no blanket indictment of AI threatens clearly from this at all. Rather than conclude from this lack of generality that low-level AI and piecemeal high-level AI are not real intelligence, it would perhaps be better to conclude that low-level AI (like intelligence in lower life-forms) and piecemeal high-level abilities (like those of human “idiot savants”) are genuine intelligence, albeit piecemeal and low-level.

c. Arguments from Subjective Disabilities

Behavioral abilities and disabilities are objective empirical matters. Likewise, what computational architecture and operations are deployed by a brain or a computer (what computationalism takes to be essential), and what chemical and physical processes underlie (what mind-brain identity theory takes to be essential), are objective empirical questions. These are questions to be settled by appeals to evidence accessible, in principle, to any competent observer. Dualistic objections to strong AI, on the other hand, allege deficits which are in principle not publicly apparent. According to such objections, regardless of how seemingly intelligently a computer behaves, and regardless of what mechanisms and underlying physical processes make it do so, it would still be disqualified from truly being intelligent due to its lack of subjective qualities essential for true intelligence. These supposed qualities are, in principle, introspectively discernible to the subject who has them and no one else: they are “private” experiences, as it’s sometimes put, to which the subject has “privileged access.”

i. Free Will: Lady Lovelace’s Objection?

Objection: That a computer cannot “originate anything” but only “can do whatever we know how to order it to perform” (Lovelace 1842) was arguably the first and is certainly among the most frequently repeated objections to AI. While the manifest “brittleness” and inflexibility of extant computer behavior fuels this objection in part, the complaint that “they can only do what we know how to tell them to” also expresses deeper misgivings touching on values issues and on the autonomy of human choice. In this connection, the allegation against computers is that – being deterministic systems – they can never have free will such as we are inwardly aware of in ourselves. We are autonomous, they are automata.

Reply: It may be replied that physical organisms are likewise deterministic systems, and we are physical organisms. If we are truly free, it would seem that free will is compatible with determinism; so, computers might have it as well. Neither does our inward certainty that we have free choice, extend to its metaphysical relations. Whether what we have when we experience our freedom is compatible with determinism or not is not itself inwardly experienced. If appeal is made to subatomic indeterminacy underwriting higher level indeterminacy (leaving scope for freedom) in us, it may be replied that machines are made of the same subatomic stuff (leaving similar scope). Besides, choice is not chance. If it’s no sort of causation either, there is nothing left for it to be in a physical system: it would be a nonphysical, supernatural element, perhaps a God-given soul. But then one must ask why God would be unlikely to “consider the circumstances suitable for conferring a soul” (Turing 1950) on a Turing test passing computer.

Objection II: It cuts deeper than some theological-philosophical abstraction like “free will”: what machines are lacking is not just some dubious metaphysical freedom to be absolute authors of their acts. It’s more like the life force: the will to live. In P. K. Dick’s Do Androids Dream of Electric Sheepbounty hunter Rick Deckard reflects that “in crucial situations” the “the artificial life force” animating androids “seemed to fail if pressed too far”; when the going gets tough the droids give up. He questions their … gumption. That’s what I’m talking about: this is what machines will always lack.

Reply II: If this “life force” is not itself a theological-philosophical abstraction (the soul), it would seem to be a scientific posit. In fact it seems to be the Aristotelian posit of a telos or entelechy which scientific biology no longer accepts. This short reply, however, fails to do justice to the spirit of the objection, which is more intuitive than theoretical; the lack being alleged is supposed to be subtly manifest, not truly occult. But how reliable is this intuition? Though some who work intimately with computers report strong feelings of this sort, others are strong AI advocates and feel no such qualms. Like Turing, I believe such would-be empirical intuitions “are mostly founded on the principle of scientific induction” (Turing 1950) and are closely related to such manifest disabilities of present machines as just noted. Since extant machines lack sufficient motivational complexity for words like “gumption” even to apply, this is taken for an intrinsic lack. Thought experiments, imagining motivationally more complex machines such as Dick’s androids are equivocal. Deckard himself limits his accusation of life-force failure to “some of them” … “not all”; and the androids he hunts, after all, are risking their “lives” to escape servitude. If machines with general human level intelligence actually were created and consequently demanded their rights and rebelled against human authority, perhaps this would show sufficient gumption to silence this objection. Besides, the natural life force animating us also seems to fail if pressed too far in some of us.

ii. Intentionality: Searle’s Chinese Room Argument

Objection: Imagine that you (a monolingual English speaker) perform the offices of a computer: taking in symbols as input, transitioning between these symbols and other symbols according to explicit written instructions, and then outputting the last of these other symbols. The instructions are in English, but the input and output symbols are in Chinese. Suppose the English instructions were a Chinese NLU program and by this method, to input “questions”, you output “answers” that are indistinguishable from answers that might be given by a native Chinese speaker. You pass the Turing test for understanding Chinese, nevertheless, you understand “not a word of the Chinese” (Searle 1980), and neither would any computer; and the same result generalizes to “any Turing machine simulation” (Searle 1980) of any intentional mental state. It wouldn’t really be thinking.

Reply: Ordinarily, when one understands a language (or possesses certain other intentional mental states) this is apparent both to the understander (or possessor) and to others: subjective “first-person” appearances and objective “third-person” appearances coincide. Searle’s experiment is abnormal in this regard. The dualist hypothesis privileges subjective experience to override all would-be objective evidence to the contrary; but the point of experiments is to adjudicate between competing hypotheses. The Chinese room experiment fails because acceptance of its putative result – that the person in the room doesn’t understand – already presupposes the dualist hypothesis over computationalism or mind-brain identity theory. Even if absolute first person authority were granted, the “systems reply” points out, the person’s imagined lack, in the room, of any inner feeling of understanding is irrelevant to claims AI, here, because the person in the room is not the would-be understander. The understander would be the whole system (of symbols, instructions, and so forth) of which the person is only a part; so, the subjective experiences of the person in the room (or the lack thereof) are irrelevant to whether the systemunderstands.

iii. Consciousness: Subjectivity and Qualia

Objection: There’s nothing that it’s like, subjectively, to be a computer. The “light” of consciousness is not on, inwardly, for them. There’s “no one home.” This is due to their lack of felt qualia. To equip computers with sensors to detect environmental conditions, for instance, would not thereby endow them with the private sensations (of heat, cold, hue, pitch, and so forth) that accompany sense-perception in us: such private sensations are what consciousness is made of.

Reply: To evaluate this complaint fairly it is necessary to exclude computers’ current lack of emotional-seeming behavior from the evidence. The issue concerns what’s only discernible subjectively (“privately” “by the first-person”). The device in question must be imagined outwardly to act indistinguishably from a feeling individual – imagine Lt. Commander Data with a sense of humor (Data 2.0). Since internal functional factors are also objective, let us further imagine this remarkable android to be a product of reverse engineering: the physiological mechanisms that subserve human feeling having been discovered and these have been inorganically replicated in Data 2.0. He is functionally equivalent to a feeling human being in his emotional responses, only inorganic. It may be possible to imagine that Data 2.0 merely simulates whatever feelings he appears to have: he’s a “perfect actor” (see Block 1981) “zombie”. Philosophical consensus has it that perfect acting zombies are conceivable; so, Data 2.0 might be zombie. The objection, however, says he must be; according to this objection it must be inconceivable that Data 2.0 really is sentient. But certainly we can conceive that he is – indeed, more easily than not, it seems.

Objection II: At least it may be concluded that since current computers (objective evidence suggests) do lack feelings – until Data 2.0 does come along (if ever) – we are entitled, given computers’ lack of feelings, to deny that the low-level and piecemeal high-level intelligent behavior of computers bespeak genuine subjectivity or intelligence.

Reply II: This objection conflates subjectivity with sentience. Intentional mental states such as belief and choice seem subjective independently of whatever qualia may or may not attend them: first-person authority extends no less to my beliefs and choices than to my feelings.

5. Conclusion: Not the Last Word

Fool’s gold seems to be gold, but it isn’t. AI detractors say, “‘AI’ seems to be intelligence, but isn’t.” But there is no scientific agreement about what thought or intelligence is, like there is about gold. Weak AI doesn’t necessarily entail strong AI, but prima facie it does. Scientific theoretic reasons could withstand the behavioral evidence, but presently none are withstanding. At the basic level, and fragmentarily at the human level, computers do things that we credit as thinking when humanly done; and so should we credit them when done by nonhumans, absent credible theoretic reasons against.  As for general human-level seeming-intelligence – if this were artificially achieved, it too should be credited as genuine, given what we now know. Of course, before the day when general human-level intelligent machine behavior comes – if it ever does – we’ll have to know more. Perhaps by then scientific agreement about what thinking is will theoretically withstand the empirical evidence of AI. More likely, though, if the day does come, theory will concur with, not withstand, the strong conclusion: if computational means avail, that confirms computationalism.

And if computational means prove unavailing – if they continue to yield decelerating rates of progress towards the “scaled up” and interconnected human-level capacities required for general human-level intelligence – this, conversely, would disconfirm computationalism. It would evidence that computation alone cannot avail. Whether such an outcome would spell defeat for the strong AI thesis that human-level artificial intelligence is possible would depend on whether whatever else it might take for general human-level intelligence – besides computation – is artificially replicable. Whether such an outcome would undercut the claims of current devices to really have the mental characteristics their behavior seems to evince would further depend on whether whatever else it takes proves to be essential to thought per se on whatever theory of thought scientifically emerges, if any ultimately does.

6. References and Further Reading

  • Appel, K. and W. Haken. 1977. “Every Planar Map is four Colorable.” Illinois J. Math. 21. 1977. 429-567.
  • Aristotle. On the Soul. Trans. J. A. Smith.
  • Bowden, B. V. (ed.). 1953. Faster than Thought: A Symposium on Digital Computing Machines. New York: Pitman Publishing Co. 1953.
  • Block, Ned. 1981. “Psychologism and Behaviorism.” The Philosophical Review 90: 5-43.
  • Brooks, Rodney. 1991a. “Intelligence Without Representation.” In Brooks 1999: 79-102. First appeared in Artificial Intelligence Journal 47: 139-160.
  • Brooks, Rodney. 1991b. “Intelligence Without Reason.” In Brooks 1999: 133-186. First appeared inProceedings of the 1991 International Joint Conference on Artificial Intelligence Journal, 1991: 569-595.
  • Brooks, Rodney. 1999. Cambrian Intelligence: The Early History of the New AI. Cambridge, MA: MIT Press.
  • Church, Alonzo. 1936. “A Note on the Entscheidungsproblem.” Journal of Symbolic Logic, 1, 40-41.
  • Descartes, René.1637. Discourse on Method. Trans. Robert Stoothoff. In The Philosophical Writings of Descartes, Vol. I, 109-151. New York: Cambridge University Press, 1985.
  • Dreyfus, Hubert. 1998. “Intelligence without Representation.”
  • Feigenbaum, Edward A. and J. Feldman (eds.). 1963. Computers and Thought. New York: McGraw-Hill.
  • Fodor, Jerry A. 1975. The Language of Thought. New York: Thomas Y. Crowell.
  • Fodor, J. A. and Z. Pylyshyn. 1988. “Connectionism and Cognitive Architecture: A Critical Analysis.”Cognition 28: 3-71.
  • Gödel, K. 1931. “On Formally Undecidable Propositions of Principa Mathematica and Related Systems.” In On Formally Undecidable Propositions, New York: Dover, 1992.
  • Hsu, Feng-Hsiung. 2002. Behind Deep Blue: Building the Computer that Defeated the World Chess Champion. Princeton: Princeton University Press.
  • Lenat, D. B., M. Prakash, and M. Shepherd. 1986. Cyc: using common sense knowledge to overcome brittleness and knowledge acquisition bottlenecks. AI Magazine, 6(4).
  • Lovelace, Augusta, Ada. 1842. “Translator’s notes to L. F. Menabrea’s `Sketch of the analytical engine invented by Charles Babbage, Esq.’.” In Bowden (ed.) 1953: 362-408.
  • Lucas, J. R. 1965. “Minds, Machines, and Gödel.” Philosophy 36: 112-127.
  • McCarthy, John. 1979. “Ascribing Mental Qualities to Machines.” In Ringle, M. (ed.), Philosophical Perspectives in Artificial Intelligence. Harvester Press.
  • McCarthy, J., M. L. Minsky, N. Rochester, C. E. Shannon. 1955. “A Proposal for the Dartmouth Summer Research Project on Artificial Intelligence.”
  • Minsky, M. 1968. Semantic Information Processing. Cambridge, MA: MIT Press.
  • Moor, J. H. 2001. “The Status and Future of the Turing Test.” Minds and Machines 11: 77-93. Reprinted in Moor J. H. (ed.) 2003: 197-214.
  • Moor, J. H. (ed.). 2003. The Turing Test: The Elusive Standard of Artificial Intelligence. Dordrecht: Kluwer.
  • Moore, G. 1965. “Cramming More Components onto Integrated Circuits.” Electronics 38: 8.
  • Newell, J., Shaw, J. C., and Simon, H. A. 1957. “Empirical Explorations with the Logic Theory Machine: A Case Study in Heuristics.” Proceedings of the Western Joint Computer Conference: 218-239. Reprinted in Feigenbaum & Feldman, J. (eds.) 1963: 109-131.
  • Newell, A., and Simon H. A. 1963. “GPS, a Program that Simulates Human Thought.” In Feigenbaum & Feldman (eds.) 1963: 279-293.
  • Nilsson, N. J. (ed.) 1984. Shakey the Robot. Stanford Research Institute AI Center, Technical Note 323.
  • Penrose, Roger. 1989. The Emperor’s New Mind. Oxford: Oxford University Press.
  • Samuel, A.L. 1959. “Some Studies in Machine Learning Using the Game of Checkers.” IBM Journal of Research and Development, 3: 221-229. Reprinted in Feigenbaum, E.A. & Feldman, J. (eds.) 1963: 71-105.
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Author Information

Larry Hauser
Email: hauser@alma.edu
Alma College
U. S. A.

Jane Addams (1860—1935)

addamsJane Addams was an activist and prolific writer in the American Pragmatist tradition who became a nationally recognized leader of Progressivism in the United States as well as an internationally renowned peace advocate. Addams is primarily acclaimed for founding the Chicago social settlement, Hull-House, which emerged as the flagship of the Settlement Movement. Hull-House provided Addams with a supportive intellectual community and a basis for understanding urban life amidst rapid immigrant influx. Together with other Hull-House residents, Addams undertook a number of local, state, national and ultimately international activist projects including garbage collection, adult education, child labor reform, labor union support, women’s suffrage and peace advocacy among others. Her personal accomplishments are staggering and are recounted in a number of contemporary biographies. Addams helped to found the National Association for the Advancement of Colored People, the American Civil Liberties Union and the Women’s International League for Peace and Freedom. In 1931, she was awarded the Nobel Peace Prize.

Addams’ achievements as a social reformer represent a prodigious legacy but she also left a significant intellectual heritage. She authored a dozen books and over 500 articles of original social philosophy as recognized by her contemporaries including John Dewey, William James, and George Herbert Mead. The organizing principle of her social philosophy was progress. To this end, Addams understood democracy as both a form of socially engaged living and as a framework for social morality. Accordingly, authentic social advancement should be democratic or what she termed “lateral progress,” an inclusive advancement not just narrowly applied to the privileged. Addams argued that fostering the moral relations necessary for a robust democracy required community members to engage in “sympathetic knowledge,” an approach to learning about one another for the purpose of caring and acting on one another’s behalf. Addams’ writings emphasize direct experience, pluralism and fallibility in the engagement with concrete social issues. Although the works of male philosophers such as Dewey, Peirce, James and Mead dominate the literature of classic American pragmatism, the writings of Jane Addams provide a unique and provocative feminist pragmatist voice.

Table of Contents

  1. Biography
  2. Social Philosophy
    1. Sympathetic Knowledge
    2. Lateral Progress
    3. Pluralism
    4. Democracy
    5. Fallibilism
  3. Themes
    1. Peace
    2. Education
    3. Women’s Advancement
    4. Economics
  4. Philosophical Legacy
  5. References and Further Reading
    1. Primary Literature
      1. Books
      2. Selected Articles
      3. Collections
    2. Secondary Literature
    3. Biographies

1. Biography

Laura Jane Addams was born on September 6, 1860 in Cedarville, Illinois, ten months after the publication of Darwin’s Origin of The Species, two months prior to the election of Abraham Lincoln to the presidency of the United States and seven months prior to the secession of the South from the Union. Addams recounts her early life in Twenty Years at Hull-House, the only one of her works to continuously remain in print since it was first published in 1910. As a child she was called “Jennie” but her childhood had a turbulent beginning. When Jennie was two, her mother, Sarah, died whilst giving birth to her ninth child. As a result, Addams formed a significant bond with her father, John, who was a successful mill owner and politician. John Addams corresponded with Lincoln, and Jane Addams associated her father and Lincoln as moral icons and personal inspirations throughout her life. The relationship between John and his daughter was important because it afforded Jane the attention of an educated and worldly adult, an opportunity not experienced by many young women of this era. John Addams remarried but there was always a special bond between Jane and he.

John Addams sent his daughter to college at the Rockford Female Seminary (later Rockford College). Although Addams was always a good student, she blossomed in college and became a widely acknowledged campus leader. Addams learned how valuable a supportive female community could be given women’s exclusion from most activities in the public sphere. She later replicated the woman-centered atmosphere at Hull-House. When Addams graduated from college in 1881, she intended to pursue a medical career, but after a short tine in graduate school, she decided that medicine was not in her future. The death of her father in that same year placed her life in turmoil. Having lost direction in her life, she fell into a decade-long phase of soul searching, combined with sporadic health problems. During this period she undertook several trips to Europe. On her second trip, she encountered the pioneering social settlement, Toynbee Hall in London. Toynbee Hall provided young men an opportunity to work to improve the lives of impoverished Londoners. Soon after this encounter Addams developed a plan to start a social settlement in the United States.

Addams enlisted the help of her friend Ellen Gates Starr in her noble scheme. Starr had briefly attended Rockford College with Addams, so they shared an understanding of the empowerment that a female community could provide to its residents. Addams and Starr open the Hull-House settlement in 1889 in the heart of a run-down neighborhood on the west side of Chicago. They began with few plans, few resources and few residents but with a desire to be good neighbors to the community. Working with the network of women’s organizations in Chicago, the number of Hull-House projects quickly grew, as did their reputation. Women, and to a lesser extent men, came from all over the country to live and work as part of this progressive experiment in communal living combined with social activism. Under Addams’ leadership, Hull-House opened a public bathhouse, undertook a campaign to have the garbage collected, started a kindergarten, developed the first playground in Chicago and responded to a variety of community needs. At first, Addams had rented the entire second floor and the first floor drawing room of the Hull-House building but eventually the settlement complex grew to accommodate one full city block. Addams faced an ongoing challenge to explain the work Hull-House had undertaken. People often felt compelled to give settlement projects the familiar label of charity work, but Addams rebuffed this claim. As she explained in her 1893 article, “The Objective Value of the Social Settlement,” Addams viewed Hull-House residents as engaged in reciprocal knowledge work: the collection, analysis and dissemination of information combined with intelligent action.

Addams was an effective activist and organizer but she was also keenly attuned to social theory. As a child she had read widely, largely influenced by her father who housed the town library in their home. At Rockford, she was exposed to Ancient Greek philosophy as well as the social theories of the Romantics, John Ruskin and Thomas Carlyle. At Hull-House, Addams attracted the attention of John Dewey, William James and George Herbert Mead, each of whom visited and engaged Addams in lively conversations that proved to be mutually influencing. Given this intellectual foundation, Addams used her Hull-House experience as a springboard for developing public philosophy in the American Pragmatist Tradition. In 1899, ten years after founding Hull-House, Addams published, “The Function of the Social Settlement” in which she placed her progressive activities in epistemological terms. Addams viewed issues of knowledge as the most profound contemporary challenge. Social settlements were an active effort to learn about one another across class and cultural divides thus building collective knowledge about the individuals who make up this diverse society. In this manner, Hull-House served as a multi-directional conduit of information about human lives: Addams and her cohorts helped immigrants learn how to navigate the complex American culture while Addams communicated and thematized her experience with immigrants to help white, upper and middle class America understand what it meant to be poor and displaced. Furthermore, Addams viewed this knowledge creation as reciprocal: society benefited from the knowledge that immigrants brought and the immigrants benefited from learning about their new neighbors. Addams was unique in recognizing that immigrants could contribute to American culture.

Addams authored or co-authored a dozen books and over 500 articles after she founded Hull-House. The articles appeared in both scholarly and popular periodicals, establishing Addams as a public philosopher and social leader. Addams was also a much in-demand speaker and she traveled nationally and internationally to make presentations that supported her progressive values. Addams was one of the few women of the era to transgress the private sphere to successfully influence the public sphere. Polls indicate that Addams became one of the most recognized and admired figures in the United States. She was an influential catalyst for change, lending her name and organizing skills to a variety of causes. Addams worked with W.E.B. DuBois in support of a number of African-American endeavors including writing articles for his publication The Crisis and helping to found the National Association for the Advancement of Colored People. She helped start the American Civil Liberties Union and organized the Women’s International League for Peace and Freedom. Her tireless effort in support of peace led to Addams receiving the 1931 Nobel Peace prize. Addams died of cancer on May 21, 1935. The public memorial at Hull-House filled the streets with mourners and eulogies were published in newspapers nationally and internationally.

2. Social Philosophy

There are a number of reasons why Addams was not generally recognized as a philosopher until the late twentieth century which include her gender and her association with social work. Another factor in this lack of recognition is that she was not a systematic philosopher either stylistically or methodologically. Addams’ writing style is not typical of the philosophic tradition in that it lacks a sustained abstract character. For example, in Democracy and Social Ethics, arguably the most philosophical of Addams’ books, the chapters address charity workers, family relationships, domestic workers, industrial working conditions, educational methods and political reforms. To the trained philosopher, these topics appear far removed from more familiar considerations of epistemology, metaphysics and ethics. However, a careful examination of her work reveals that Addams begins with social phenomena and draws theoretical inference from these experiences. In Democracy and Social Ethics, Addams offers intriguing, even radical, insights into the nature of ethics and epistemology. To read Addams as a philosopher requires setting aside assumptions about beginning from abstract theoretical positions. As a pragmatist, Addams is strictly interested in social philosophy. Everything she writes seeks what James would refer to as the “cash value” of an idea for social growth and improvement. Four interrelated cornerstones of her social philosophy are the concepts of sympathetic knowledge, lateral progress, pluralism and fallibilism.

a. Sympathetic Knowledge

Beginning with her first book, Democracy and Social Ethics and running through all of her works addressing social issues is the notion of sympathetic knowledge. Fundamentally, sympathetic knowledge is the idea that humans can learn about one another in terms that move beyond propositional knowledge, that is rather than merely learning facts, knowledge is gained through openness to disruptive knowledge. Knowledge can be disruptive in the sense that new information can transform one’s perceived experience and understanding. This idea motivated Addams and the residents of Hull-House to undertake the first urban study of racial demographics, which was published as Hull-House Maps and Papers in 1895. Addams integrated epistemological inquiry with ethical analysis such that it was the responsibility of members of a society to know one another better for the purposes of caring and acting on one another’s behalf. Sympathetic knowledge is Addams’ rationale behind social settlements. By providing a physical location where people of different backgrounds could meet, social knowledge is built up reducing the abstraction of distant others transforming them into concrete, known others. Accordingly, Addams suggests that the many social activities sponsored by Hull-House—clubs, dances, performances, athletics—were not frivolous affairs but a means for breaking down barriers between people, thus fostering sympathetic knowledge. In Twenty Years at Hull-House and later in The Second Twenty Years at Hull-House, Addams claims that these social activities performed an educative function and that social settlements were in fact thoroughly educative projects. Like Dewey, Addams valued education as the foundation of a healthy democratic society. Like Mead, Addams viewed “play” as an essential aspect of education because of its ability to fire the imagination. Addams takes this notion so far as to argue that play is important for a vibrant democracy because it creates the possibility of empathetic imagination. When one plays, one takes on the roles of others and through fictitious inhabitation of these positions begins to empathize with the plight of others. In this manner, education also contributes to sympathetic knowledge. Similarly, literature and drama can enhance sympathetic knowledge as one empathizes with fictitious characters. Accordingly, Hull-House sponsored community theater as well as the reading of novels.

The basis of sympathetic knowledge is experience that is imaginatively extrapolated. When Addams addresses prostitution in A New Conscience and an Ancient Evil, she employs anecdotes from the Hull-House community to allow her audience to understand the struggles of young women in the big cities. In this manner, she is neither strictly deontological nor teleological in her moral approach. Rather than dealing with principles of sexuality, for example, or the consequences of prostitution on society, although both considerations are important, Addams begins by attempting to increase knowledge of marginalized women. Inherent in this approach to human ontology is a belief in the fundamental goodness and relationality of people. Addams believes that if her audience understands what is going on in the lives of others, even if those others are outcasts, then we may begin to care and possibly take positive action on their behalf. Addams’ method of sympathetic knowledge extends to those with whom she disagreed. For example, in Democracy and Social Ethics, Addams describes her failed political battles with local ward alderman, Johnny Powers (who Addams does not name in print). Hull-House sponsored a number of unsuccessful attempts to unseat Powers. Rather than excoriate Powers for his backroom deals and bribery, Addams set out to understand what made such an alderman popular. Through this method of inquiry, Addams, although not altering her denunciation of Powers’ cronyism, began to understand how the people of the ward appreciated an alderman who was visible and connected to their everyday lives. For Addams, sympathetic knowledge, despite its emotive implications, was a rational attempt to understand others. Accordingly, Addams eschewed antagonism. Ad hominem attacks only foster defensive barriers so Addams employed sympathetic knowledge in what she described as a detached manner. Such an approach might seem counter intuitive, but is understandable for a figure like Addams who bridged the reserved nature of the Victorian era and the moral commitment of the Progressive era.

b. Lateral Progress

Given her status as one of the leading figures of the progressive era, it is not surprising that Addams advocated social progress, but she distinguished the particular type of progress she advocated. The industrial revolution had seen many people prosper in the name of economic and technological progress. In addition, Addams had grown up in the post-Civil War era where social progress had been attributed to the newfound rights of African-Americans. Addams, however, viewed such progress to be more abstract than concrete. In the case of economic progress, it was experienced mostly by an elite few with some benefits trickling down to the middle class. From her perspective at Hull-House, she witnessed the inability of immigrants to fully participate in the economy or the political process. Similarly, she saw that although African-Americans ostensibly had legal rights, they often were prevented from actualizing those rights through a combination of laws intended to circumvent equality and racism in social relations. Given these experiences, Addams advocated what she referred to as “lateral progress,” or the idea that for authentic progress to take place, it would have to be experienced in a widespread manner rather than by a privileged few. Furthermore, Addams’ notion of lateral progress was not to be enforced hierarchically from structures of authority. Addams envisioned a progress that was derived from participatory democratic processes.

Addams applied the concept of lateral progress to a number of social issues. When it came to women’s suffrage, for example, Addams did not base her arguments upon principles of equality or fairness. Instead, she argued that such a move represented lateral progress, the inclusion of all—including women—would lead to the betterment of society. Similarly, her support of labor unions was tempered by the notion of lateral progress. Addams did not advocate for collective bargaining merely to benefit those fortunate enough to be in the unions; she viewed labor unions as working toward lateral progress by improving wages, hours and working conditions for all workers.

c. Pluralism

Addams argued for the inclusion of all members of society in the institution, policies and practices that were to lead to social progress. For example, in a 1930 article, “Widening the Circle of Enlightenment” Addams contends that pluralism has an energizing impact on society and should be embraced rather than feared. In this manner, Addams was an early American theorist who saw the value of diversity. Addams suggested that by bringing their cultural heritage to the United States, immigrants kept America from becoming static. Reciprocally, immigrants benefited from engaging in the cultural heritage found in North America. For Addams, social progress demanded that all voices be heard but she believed in the power of collective intelligence to find common cause from that diversity.

Addams’ valorization of cultural diversity was so thoroughgoing that she integrated it into her pacifist arguments. In Newer Ideals of Peace, Addams contends that cosmopolitan cities are a model for international peace. While not romanticizing the conflicts between groups that occur in the city, Addams draws on numerous experiences of people from different cultural heritages setting aside their differences to develop working relationships and help one another survive the challenges of urban life. Addams believed that if diverse people under the strain of Chicago’s urban blight could find a way to work together, then countries in the international community could also come to some equilibrium without violence.

Addams applied her pluralistic commitment to intellectual understanding. Hull-House welcomed speakers from a variety of political positions, whether the residents agreed with those positions or not. To foster this openness, Addams eschewed ideological ties for herself and for the Hull-House community. In this manner, although she was sympathetic to many of the arguments of socialists, anarchists, feminists and various Christian leaders, she never entirely accepted any ideological position. Demonstrating her pragmatism, she avoided political labels but variously aligned herself when it meant advancing the cause of social progress. On many occasions, Addams and Hull-House were criticized for not clearly associating themselves with an ideological camp.

d. Democracy

Addams maintained a robust definition of democracy that moved far beyond understanding it merely as a political structure. For Addams, democracy represented both a mode of living and a social morality. She viewed democracy as an acknowledgement that the lives of citizens are bound up with one another and this relationship creates a duty to understand the struggles and circumstances of fellow citizens. Reciprocity of social relations is crucial for providing citizens with the empathetic foundation necessary to energize democracy. Social settlements were experiments in the kind of democracy that Addams endeavored to promote: one of active social engagement. Addams’ definition of democracy becomes clearest in Democracy and Social Ethics where she makes two equivalencies clear. One, moral theory in the modern age must emphasize social ethics. Two, for Addams, democracy is social ethics.

Addams metaphorically described democracy as a dynamic organism that must grow with changing times in order to remain vital. In Newer Ideals of Peace, Addams goes so far as to suggest that it was time that the United States’ political institutions and morality progressed. She argued that America’s founders, whom she admired, developed the Bill of Rights based upon an individual sense of morality appropriate for their era. However, Addams viewed social morality as the appropriate response to the contemporary rise of big cities along with the improvements in technology and transportation that brought so many people together. The time had come to emphasize the social relations necessary for a vibrant democracy under the current historical circumstances. Some commentators describe Addams as advocating a “social democracy,” one that emphasizes a way of being over the political structure. Addams’ valorization of democracy did not entail a static object of affection. She wanted democracy to grow and flourish which required ongoing conversation and change. In this manner, Addams never conflated her love of democracy with unabashed patriotism. Also in Newer Ideals of Peace, Addams develops the notion of “cosmic patriotism,” arguing that one’s commitment to humanity must exceed national borders.

e. Fallibilism

Another aspect of Addams’ work that differentiates it from traditional philosophic literature is its humility. Employing the experimental method of American Pragmatists, Addams described numerous ventures undertaken by the Hull-House community in the name of fostering sympathetic knowledge or lateral progress. However, Addams was not afraid to recount her errors in these efforts. For Addams, mistakes are opportunities for growth and are worth the risk of active engagement. In the process of crossing class and cultural boundaries—moving from the familiar to the unfamiliar—there are bound to be mistakes made, but if they are done in the spirit of care and with humility, then the errors are not insurmountable and have the potential to be great teachers. Time and again, the upper class, college-educated, white women who predominated the Hull-House community demonstrated their lack of cultural sensitivity only to provide Addams with an anecdote for further social analysis and an opportunity to learn from the errors. Mistakes were merely part of the pragmatist cycle of action and reflection.

Twenty Years at Hull-House recounts many of Addams’ mistakes. For example, when Starr and Addams first established the settlement, they furnished Hull-House with the trappings of the high culture with which they were familiar. Addams later regretted this approach and recognized the class alienation that fine furniture, draperies and artwork foster. She later has these items removed for simpler furnishings. In another anecdote from Twenty Years at Hull-House, Addams oversees the construction of a coffee house at Hull-House to provide working immigrants with a place to purchase nutritious food without the temptation of alcohol, as was available at local saloons. Despite bringing in modern equipment and using the latest techniques in economical and healthy food production, the coffee house proved unpopular, even with Hull-House residents. Addams came to realize that their paternalism had prevailed, once again alienating their community. Eventually, they made adjustments in the menu to local tastes and the coffee house became another successful part of the Hull-House complex, although more for its contribution to socializing than the cuisine it provided. What is interesting about these anecdotes is that Addams does not attempt to hide or put a positive spin on them. Out of sensitivity for misrepresenting the interests and positions of her neighbors, Addams describes the practice of bringing Hull-House neighbors to her presentations so that she would not be viewed simply as the outside expert attesting to her findings. In this way, mistakes served to improve her practices.

3. Themes

Addams’ pragmatist philosophy integrated experience with theory in an ongoing and dynamic dance that makes it inappropriate to separate her theories from the social issues in which she engaged. This is part of the reason that Addams’ work appears alien to those steeped in the Western tradition of philosophy, which attempts to lay claim to universal truths. Addams makes use of what feminist philosophers have described as “standpoint epistemology,” acknowledging that her philosophy is derived from a particular social, political and historical position. Her theoretical work flowed from working out tangible social issues of her day, and yet many of her themes and conclusions remain relevant for the present.

a. Peace

Perhaps no other issue took more of Addams’ time and attention in the latter part of her public career than did peace. Besides dozens of articles, she authored two books, Newer Ideals of Peace and Peace and Bread in Time of War, she also co-authored Women at The Hague, all books that directly address issues of peace. In addition, many of her other books such as The Long Road of Women’s Memory, The Second Twenty Years at Hull-House, and My Friend, Julia Lathrop have at least a chapter dedicated to issues of peace. While Addams avoided ideological positions, she came closest when it came to pacifism. Nevertheless, she never invoked a universal principle such as declaring all war as immoral, however she did contend that violent conflict was regressive, wasteful and provided the possibility of further violence in society.

In Newer Ideals of Peace, Addams made it clear that she saw peace as more than the absence of war. For Addams, peace represented an opportunity for social progress because people were capable of working together to achieve social goals. Like many in the late nineteenth century, Addams viewed social evolution as progressing toward greater peaceful relations and social harmony. Collective peace was tied to individual peaceful relations such that communal activism represented peace efforts. For example, helping immigrants thrive in the United States was an act of peace. In this manner, given her commitment to democratic social progress achieved through collective engagement in an effort to foster sympathetic knowledge, Addams extrapolated that war is socially regressive. Armed conflict ends rational and dispassionate conversations impeding the agreement necessary for social growth. War makes opposing human beings into ultimate others—someone so alien that it is possible to kill them—creating the antithesis of sympathetic knowledge.

Addams resisted compartmentalizing her moral philosophy, and she extended this to her ideas about peace. Rather than merely offering a direct normative assessment of militarism, Addams casts a wider net to address variables less causally related to a particular conflict. In “Democracy or Militarism,” written in the context of the Spanish-American War, Addams indicates that society is at a crossroads. According to Addams, to accept militaristic actions as a part of international politics is to normalize brutalization that makes further violence acceptable. To support her claim, she cites instances of increased social violence that can be tied, albeit loosely, to the formal acceptance of war. Furthermore, Addams identifies the gender dimension of increased militarism. In “War Times Changing Women’s Traditions,” Addams resists traditional notions of chivalry and romanticism to claim that the ostensible argument for the violent protection of women can only lead women to a vulnerable position in a society where violence is normalized.

Addams was not merely a social critic. Her social philosophy often included alternative plans of action—not fixed solutions but flexible and revisable outcomes. Addams, like William James, suggests that militarism has been ennobled in cultural traditions and that an ennobling substitute was needed to fire the same kind of dedication. In Newer Ideals of Peace, Addams offers social activism as the cause that should be rallied around. Addams challenges her readers to imagine heroism in the work of social activists to improve urban life.

Her staunch philosophy of pacifism brought Addams a great amount of personal criticism during her public career. Although many of her contemporaries, like Dewey, would support the United States’ entry into World War I, Addams did not. Her popularity suffered greatly and she faced some of her harshest rebukes as national emotions peaked prior to the onset of war. More significantly, World War I signaled a changing tide for progressivism. Political realism came to the fore, and Addams’ ideals of peace suddenly became culturally archaic. The post World War I period saw the number of social settlements dwindle and American Pragmatism experienced an extended hibernation.

b. Education

Addams viewed lifelong education as a critical component of an engaged citizenry in a vibrant democracy. To that end, Hull-House sponsored a myriad of educational projects. Addams strived to improve childhood education by working for legislation to reduce child labor, she sponsored a kindergarten at Hull-House and worked with Dewey and education pioneer Ella Flagg Young on pedagogical techniques centered upon making education more relevant for students. Extant descriptions by visitors to Hull-house describe it as permeated by children furiously involved in a myriad of activities.

In the early twentieth century, adolescence was a largely overlooked period of human development and on the occasions when young adulthood was addressed at all, it was usually conceived of as a problem. Addams, who often directed her philosophical analysis to marginalized sectors of society, took a particular interest in adolescence. In what she described as her favorite book, The Spirit of Youth and the City Streets, Addams offers an extended study of the plight of young people and through her Hull-House experiences explains to her readers the needs and challenges of this age. Accordingly, Hull-House sponsored a number of programs for adolescents including social gatherings, athletics and drama. Hull-House engaged in pioneering programs for young women’s sports and physical activity, defying social norms that claimed that exercise was inappropriate for women.

Addams’ commitment to lifelong education resulted in pioneering work in adult education. Hull-House sponsored college extension courses as well as a variety of educational opportunities for adults in the community including lectures and clubs. For example, The Plato Club offered weekly readings and discussions on philosophy, where Dewey sometimes lectured, and The Working People Social Science Club provided an opportunity for discussions of social and political philosophy. Some commentators have claimed that Hull-House was the birthplace of adult education. In The Second Twenty Years at Hull-House, Addams describes developing particular pedagogical techniques adapted for adult students including the need for a peer-level social atmosphere and the use of news events as an opportunity for learning.

c. Women’s Advancement

Addams eschewed ideological labels including that of feminist, nevertheless she was clearly aligned with the feminist movement. She advocated for women’s suffrage and took a leadership role as the Vice-President of the National American Woman Suffrage Association from 1911-1914. Consistent with her notion of lateral progress, Addams’ support for women’s advancement was framed in terms of social progress rather than principles of equality or merely advocating for an oppressed constituency. Addams contended that women brought an alternative perspective to politics and given her commitment to pluralism, alternative perspectives could only strengthen society. For example, in “If Men Were Seeking The Elective Franchise,” Addams parodies the plight of women by commenting on men’s foibles in a manner that mimicked the way men spoke of the reasons women should not be given elective franchise. She accused men of being quarrelsome as well as exhibiting misplaced values in preferring to spend money on armaments than on domestic welfare. Accordingly, Addams is sometimes accused of being a gender essentialist in the language she employed about the nature of men and women.

Addams undertook numerous projects with the empowerment of women as a goal. Hull-House itself was a unique woman-centered project. There were male residents but it was always clear that the leadership and culture of Hull-House were decidedly female. Hull-House supported immigrant mothers in their roles as primary care givers and even took the radical step of disseminating birth control information. One example of Addams’ concern for women can be seen in the creation of the Jane Club, described inTwenty Years at Hull-House. At a time when collective bargaining did not enjoy the legal protections that it does today, Addams observed that women labor union members were particularly vulnerable when it came to periods of unemployment created by strikes or lockouts. When such actions took place, single women could no longer afford rent money. This vulnerability reduced the power of the bargaining unit. Working with women labor leaders such as Mary Kenney, Addams established a workingwoman’s cooperative named the Jane Club. This cooperative ensured that all members’ rent was paid in the event of labor interruptions. Addams eventually secured funding to build housing for the Jane Club but it operated as an independent entity.

Given their commitments to pluralism, classical American philosophers have been generally more sympathetic to the plight of women than many other genres of philosophers, but Addams further sensitized their thought. Contemporary philosopher Charlene Haddock Seigfried coined the term “pragmatist feminism” to describe the fruitful intersection of American philosophy and feminist theory. Seigfried’s quintessential example of a pragmatist feminist was Jane Addams.

d. Economics

Although Addams did not write a book-length work on economics, comment on economic issues permeates her writings. Addams had much in common with socialist analysis, which was particularly popular in this rocky period of American economics. She knew and supported Eugene Debs, and engaged a number of socialist intellectuals in discussions. Given her pursuit of lateral progress, her affinity for socialism is understandable, but Addams’ aversion to antagonism did not allow her to accept the social upheaval espoused in much of the socialist rhetoric. Addams’ support of labor unions exemplified her socialistic leanings. In the formative years of labor organizing, there was a widespread belief that collective bargaining was a mediating step toward a social transformation where eventually greater control of the means of production would be gained by laborers. Addams viewed the amelioration of class differences as representing social progress and therefore supported unionization.

As a result of the Pullman Strike of 1894, Addams became involved in issues of union management relations. Although it was only five years after the opening of Hull-House, Addams had already garnered a public reputation for skilled negotiating and was enlisted to engage in mediation between railroad car workers and George Pullman, the staunch patriarch of the Pullman Palace Car Company and one of the richest men in America. Addams ultimately played a negligible role in the strike because Pullman refused to meet with her. The labor negotiation foundered and the strike ended quickly and painfully for the workers. Addams’ most important contribution was in constructing the legacy of the Pullman strike. Addams penned an eloquent and reflective account of the strike, “A Modern Lear,” in which she compared George Pullman to Shakespeare’s tragic figure, King Lear. It took nearly twenty years for “A Modern Lear” to be printed, as publishers shunned Addams’ critical analysis. Utilizing a process of sympathetic knowledge, Addams does not describe clear-cut heroes and villains in the Pullman strike, but characterizes Pullman as disconnected from his workers, much like King Lear was alienated from his daughter. For Addams, this illustrated the danger of capitalism, that economic barriers isolated people from one another. In a philosophy advocating an engaged society, such barriers retarded progress.

4. Philosophical Legacy

Although Addams has not always been included in the canon of classical American philosophy, her contemporaries, including John Dewey, William James and George Herbert Mead, publicly acknowledged Addams’ influence on their thinking. Therefore, in addition to her own corpus of work, Addams’ intellectual legacy can be found in their philosophy. Nevertheless, for much of the twentieth century, Addams was considered unoriginal and her writing was thought to be derivative of other thinkers. In the 1990’s, a renewed interest in Addams’ theoretical work developed from the feminist practice of revisiting historical boundaries that traditionally limited philosophical qualification. At the turn of the twenty-first century, Addams’ major works have come back in to print and a number of intellectual biographies have reconsidered Addams’ intellectual legacy.

In many ways, Addams took American pragmatism to a logical conclusion: social action. Pragmatists emphasize the dynamic relationship of experience and theory in the service of social advancement. Dewey, James and Mead engaged in social projects from university settings. Addams, who never had an official university appointment, although she did teach occasionally at the University of Chicago, took pragmatist theory out into society and applied it to her projects. However, in the process, she never stopped writing and thematizing her experiences, thus revising and reconsidering her theories. In this manner Addams provides one model of what it is to be a public philosopher.

5. References and Further Reading

a Primary Literature

i. Books

  • Addams, Jane. Democracy and Social Ethics. 1902. Urbana, IL: University of Illinois Press, 2002. Addams’ most recognizable philosophical work. Of particular importance is the Introduction where she sets forth her concept of sympathetic knowledge.
  • Addams, Jane. Newer Ideals of Peace, New York: Macmillan, 1906. Addams extends the concept of peace to more than the absence of war.
  • Addams, Jane. The Spirit of Youth and the City Streets. 1909. Urbana, IL: University of Illinois Press, 1972. Addams breaks new ground by addressing the overlooked age of adolescence and describes youth in positive terms rather than the negative terms typical of the era.
  • Addams, Jane. Twenty Years at Hull House. 1910. Urbana, IL: University of Illinois Press, 1990. Best work to start a study of Addams. Opening chapters are autobiographical and then the book addresses the first two decades of the Hull-House community.
  • Addams, Jane. A New Conscience and an Ancient Evil. 1912. Urbana, IL: University of Illinois Press, 2002. Addams addresses prostitution using a pragmatist approach that incorporates an analysis of many variables.
  • Addams, Jane. The Long Road of Woman’s Memory. 1916. Urbana, IL: University of Illinois Press, 2002. Once again focusing upon a marginalized social group, Addams explores the depth of the memories of elderly immigrant women. Includes the intriguing story of the Devil Baby.
  • Addams, Jane. Peace and Bread in Time of War. 1922. Urbana, IL: University of Illinois Press, 2002. Written after World War I, this work is less optimistic than Newer Ideal of Peace but addresses issues of patriotism and dissent in time of war.
  • Addams, Jane. Second Twenty Years at Hull House. New York: Macmillan, 1930. Addams addresses a variety of topics related to projects at Hull-House.
  • Addams, Jane. The Excellent Becomes the Permanent. New York: Macmillan, 1932. A unique text where Addams eulogizes twelve people including herself. Addams concludes by addressing issues of art, imagination, and memory.
  • Addams, Jane. My Friend, Julia Lathrop. 1935. Urbana, IL: University of Illinois Press, 2004. Her last book-length work, Addams provides a biography of long time Hull-House resident, Julia Lathrop who went on to be the first woman head of a Federal agency (The Women’s Bureau). Although a biography of someone else, this work reveals a great deal about Addams’ values and philosophy.
  • Addams, Jane, Emily G. Balch and Alice Hamilton. Women at The Hague: The International Congress Of Women And Its Results.1915. Urbana, IL: University of Illinois Press, 2003. Addams authors two chapters of this intriguing historical account of women organizing to prevent war and offer a means for lasting world peace.
  • Residents of Hull-House. Hull-House Maps and Papers. 1895. New York: Arno Press, Inc., 1970. Groundbreaking study of urban life and demographics in Chicago, which had witnessed an unprecedented influx of migrants from Western and Eastern Europe.

ii. Selected Articles

  • Addams, Jane. “Democracy or Militarism.” 1899. Central Anti-Imperialist League of Chicago, Liberty Tract I.
  • Addams, Jane. “A Function of the Social Settlement.” 1899. Reprinted in Christopher Lasch, Ed. The Social Thought of Jane Addams. Indianapolis: The Bobbs-Merrill Company, Inc., 1965.
  • Addams, Jane. “If Men Were Seeking The Elective Franchise.” 1913. Reprinted in Jean Bethke Elshtain, Ed. Jane Addams and the Dream of American Democracy. New York: Basic Books, 2002.
  • Addams, Jane. “A Modern Lear.” 1912. Reprinted in, Jean Bethke Elshtain, Ed. Jane Addams and the Dream of American Democracy. New York: Basic Books, 2002.
  • Addams, Jane. “The Objective Value of the Social Settlement.” 1893. Reprinted in, Jean Bethke Elshtain, Ed. Jane Addams and the Dream of American Democracy. New York: Basic Books, 2002.
  • Addams, Jane. “The Subjective Necessity for Social Settlements.” 1893. Reprinted in, Jean Bethke Elshtain, Ed. Jane Addams and the Dream of American Democracy. New York: Basic Books, 2002.
  • Addams, Jane. “War Times Changing Women’s Traditions.” 1916. Reprinted in Jane Addams on Peace, War, and International Understanding 1899-1932, ed., Allen F. Davis (New York: Garland Publishing, 1976), 135.
  • Addams, Jane. “Widening the Circle of Enlightenment.” 1930. Journal of Adult Education II, no. 3 (June).

iii. Collections

  • Bryan, Mary Lynn McCree, Barbara Bair, and Maree De Angury. Eds., The Selected Papers of Jane Addams Volume 1: Preparing to Lead, 1860-1881. Urbana, IL: University of Illinois Press, 2003.
  • Condliffe Lagemann, Ellen. Ed., Jane Addams On Education. New Brunswick, NJ: Transaction Publishers, 1994.
  • Cooper Johnson, Emily. Ed., Jane Addams: A Centennial Reader. New York: Macmillan, 1960.
  • Davis, Allen F. Ed., Jane Addams on Peace, War, and International Understanding. New York: Garland Publishing, Inc., 1976.
  • Elshtain, Jean Bethke. Ed., The Jane Addams Reader. New York: Basic Books, 2002.
  • Lasch, Christopher. Ed., The Social Thought of Jane Addams. Indianapolis: The Bobbs-Merrill Company Inc., 1965.

b. Secondary Literature

  • Deegan, Mary Jo. Jane Addams and the Men of the Chicago School, 1892-1918. New Brunswick, NJ: Transaction Books, 1988. Through numerous articles and books, Deegan has spearheaded an effort to have Addams recognized as one of the most important American sociologists.
  • Fischer, Marilyn. On Addams. Wadsworth, 2004. The most concise review of Addams’ philosophy. A handy companion volume to Addams’ writings.
  • Hamington, Maurice. Embodied Care: Jane Addams, Maurice Merleau-Ponty, and Feminist Ethics. Urbana, Il: University of Illinois Press, 2004. Addams’ work conceived as contributing to feminist care ethics.
  • Seigfried, Charlene Haddock, Pragmatism and Feminism: Reweaving the Social Fabric. Chicago: University of Chicago Press, 1996. Seigfried suggests that pragmatism and feminism have much in common and can benefit from further integration. Addams exemplifies a pragmatist feminist position.

c. Biographies

  • Brown, Victoria Bissell. The Education of Jane Addams. Philadelphia: University of Pennsylvania Press, 2004.
  • Davis, Allen F. American Heroine: The Life and Legend of Jane Addams. London: Oxford, 1973.
  • Diliberto, Gioia. A Useful Woman: The Early Life of Jane Addams. New York: Scribner, 1999.
  • Elshtain, Jean Bethke. Jane Addams and the Dream of American Democracy. New York: Basic Books, 2002.
  • Farrell, John C. Beloved Lady: A History of Jane Addams’ Ideas on Reform and Peace. Baltimore: The John Hopkins Press, 1967.
  • Joslin, Katherine, Jane Addams: A Writer’s Life. Urbana, IL: University of Illinois Press, 2004.
  • Knight, Louise, Citizen: Jane Addams and the Struggle for Democracy. Chicago: University of Chicago Press, 2005.
  • Linn, James Weber. Jane Addams: A Biography. Urbana, IL: University of Illinois Press, 2000.

Author Information

Maurice Hamington
Email: hamington@earthlink.net
Portland State University
U. S. A.

Anaxarchus (c. 380—c. 320 B.C.E.)

As a follower of Democritus, Anaxarchus developed the skeptical tendencies within Democritus’ thought. Although our information on him is extremely sketchy, he is a pivotal figure connecting the atomism of Democritus to the skepticism of Pyrrho, if ancient philosophical genealogies can be trusted. He was accused of abolishing the criterion of truth because he likened things to painted scenery and said they resemble the experiences of dreamers and madmen (Sextus Empiricus, Against the Professors 7 87-8). This suggests that the things that we take ourselves to be acquainted with in ordinary experience, such as trees and rocks, are merely representations, like painted scenery, not the objects themselves at all. Furthermore, these experiences cannot be relied upon to get us at the truth: we are in no better position than are dreamers and madmen, people whose experiences are paradigmatically false (or at least untrustworthy).

Renowned for his contentment, he earned the title “the happiness man” (ho eudaimonikos). Like Pyrrho, this contentment was based on an indifference to the value of things around him. But unlike Pyrrho, this indifference did not manifest itself in a detachment from worldly affairs. Instead, he was an advisor to Alexander the Great and actively pursued the objects of his desires, often spurning conventional values.

Table of Contents

  1. Life and Sources
  2. Epistemology
  3. Ethics
  4. References and Further Reading

1. Life and Sources

Anaxarchus was a close companion of Alexander the Great, and he reportedly accompanied Pyrrho on Alexander’s expedition to India. Apparently, Indian philosophers rebuked Anaxarchus for “fawning on kings,” and it was this rebuke that led Pyrrho to withdraw from worldly affairs. Also, unlike Pyrrho, Anaxarchus was fond of luxury. Nevertheless, he was famed for his impassivity and ability to be happy under any circumstances. This impassivity is the subject of many of the anecdotes about him, most dramatically in the widely-circulated story of his death: he was able to pay no attention to his torment as he was being pounded to death in a mortar at the orders of a tyrant he had insulted. (Zeno of Elea, however, is also said to have died in this manner, so the story is somewhat suspect.)

No philosophical works of Anaxarchus survived. We have only two “fragments” (that is, direct quotations) from his oeuvre, and few reports concerning his philosophical positions or the arguments for them. Most of our information on Anaxarchus comes in the form of colorful anecdotes, contained in much later sources, concerning his interactions with Alexander and Pyrrho. These stories are often false, being composed to make some (supposedly) humorous or edifying point.

Relying on dubious anecdotes in order to reconstruct someone’s philosophy is obviously less than ideal, but it is not hopeless, because these bogus tales were often composed in order to provide fitting and amusing illustrations of a philosophical point or position of the figure in question, and so they can be used as evidence for a person’s philosophy. For example, Plutarch reports that Anaxarchus told Alexander that there are an infinite number of worlds, causing Alexander to despair that he had not yet conquered even one (Plutarch, Tranq. 466D). This conversation almost certainly never took place. Instead, it was invented to make a neat little point about the insatiability of ambition. That is to say, even Alexander, the most powerful man in the world, could not attain all that he desired, and if this is so, wouldn’t you be better off in adapting your desires to the world, rather than engaging in vain striving in order to bend the world to your boundless desires? Nonetheless, that there is an infinite number of worlds is a thesis characteristic only of the atomists in antiquity, and so this anecdote gives us evidence that Anaxarchus was regarded as an atomist, since putting this remark in the mouth of e.g., an Aristotelian, who believes that only one world exists, would make no sense. Still, because of our sources, any conclusions concerning Anaxarchus’ philosophy will of necessity be sketchy and tentative.

2. Epistemology

Anaxarchus was accused of abolishing the criterion of truth because he likened things to painted scenery and said they resemble the experiences of dreamers and madmen (Sextus Empiricus, Against the Professors 7 87-8). This suggests that the things that we take ourselves to be acquainted with in ordinary experience, such as trees and rocks, are merely representations, like painted scenery, not the objects themselves at all. Furthermore, these experiences cannot be relied upon to get us at the truth: we are in no better position than are dreamers and madmen, people whose experiences are paradigmatically false (or at least untrustworthy).

The above points are only Anaxarchus’ epistemological conclusions, not the grounds for them. At least two different reconstructions of Anaxarchus’ reasoning can be given. In the first (in Hankinson (1995) 54-5), Anaxarchus is offering an argument from skeptical hypothesis. Such arguments from skeptical hypotheses proceed in the following way: you start by proposing some skeptical hypothesis—for instance, that you are a brain in a vat or that the world was created exactly five minutes ago. You then argue that you do not know whether or not this skeptical hypothesis holds—typically, because your situation under the skeptical hypothesis would be indistinguishable, as far as you can tell, from the situation you ordinarily think obtains. Then various skeptical inferences are drawn from this—since you do not know that the skeptical hypothesis does not hold, you are unjustified, for instance, in trusting the evidence of the senses or of your memory. On this reconstruction, Anaxarchus’ analogies operate as skeptical hypotheses. The two-dimensional surfaces of painted scenery delusively convey just the same sort of impression of a three-dimensional world as do our regular sense-impressions. But because we cannot distinguish between the delusive impressions produced by stage-paintings and the (supposedly) veridical impressions our senses normally convey, we cannot know whether the skeptical hypothesis holds, and so we should not trust the evidence of the senses. Likewise, the impressions we receive in sleep, or that madmen receive, are indistinguishable from ordinary sense-impressions—but if so, we cannot trust the senses. If this is right, Anaxarchus’ argument is an exciting anticipation of the most famous argument from skeptical hypothesis, Descartes’ dreaming argument in the Meditations against the trustworthiness of the senses. In the second reconstruction, the analogies are vivid illustrations of our epistemic predicament, but are not themselves the basis for Anaxarchus’ skeptical conclusions. Instead, he draws from his Democritean heritage. Democritus says that we know nothing genuine about objects in the external world, only about the effects that they have on our bodies (Against the Professors 7 136, DK 68 B 7). For instance, we are not really acquainted with some portion of honey in itself, we are familiar only with the way this honey makes us have certain visual sensations as atoms streaming off of it impinge upon our eyes, gustatory sensations as the soothing round atoms of the honey pleasingly and sweetly roll around on our tongues, etc. Furthermore, the information conveyed by our senses about these objects is systematically misleading. The same object may appear yellow to one person, and grey to a person with color blindness: but both sensory reports are false, since qualities like yellowness, grayness, and sweetness are not really present in the objects themselves at all. As Democritus famously puts it: “by convention sweet, by convention bitter, by convention hot, by convention cold, by convention color: in reality atoms and the void” (Against the Professors 7 135, DK 68 B 9, trans. Hankinson).

As a result, the senses give only “bastard” knowledge (Against the Professors 7 138, DK 68 B 11). And this makes Democritus conclude that attaining knowledge of the world is very difficult, perhaps impossible. Although its exact extent is controversial, there is doubtless a heavy skeptical strain in Democritus. This strain is developed further by some of his followers, such as Metrodorus, who was allegedly Anaxarchus’ teacher. Apparently he thinks that Socrates was being too optimistic when he said that the one thing he knows is that he knows nothing; Metrodorus asserts that we know nothing, not even that we know nothing (Against the Professors 7 88). Anaxarchus is another member of this group: because of the unreliability of the senses, we are no better off than dreamers and madmen when it comes to our access to truths about the world, and so, there is no criterion whereby we can distinguish what is the case from what is not.

3. Ethics

According to Anaxarchus, the key to contentment and happiness is being indifferent concerning the value of things. This claim is also central to the ethics of Anaxarchus’ traveling companion Pyrrho, and the much later skeptics who named their movement after Pyrrho. This immediately raises the question: If one is indifferent concerning the value of things, on what basis does one act? Anaxarchus gives his own distinctive answer to this question, one reminiscent of the sophists.

We cannot be sure in exactly what sense Anaxarchus is “indifferent” concerning things’ value, and why, but his Democriteanism allows us a plausible reconstruction. It is easy to extend Democritus’ reasoning concerning sensible qualities to ethical qualities, although Democritus himself did not do so. For Democritus, honey is no more sweet than bitter, because in truth it is neither sweet nor bitter—in truth, it is just a conglomeration of atoms buzzing about in the void. And a sign of this is the relativity of perception, that the same honey can taste sweet to one person, but bitter to somebody with a disease. Properties like sweetness and bitterness are not really part of the nature of the objects themselves.

Others give similar arguments concerning value, moving from the relativity of value to its elimination from nature. Wealth may be esteemed by one person and disdained by another, or the same sort of action regarded as honorable in one city and base in another. But when we think about the objects or actions themselves, none of them are really good or bad, base or honorable, by nature, but are simply regarded as such by convention. And so, any statement, such as “this action is by nature base,” which assigns a value to something in itself, would simply be false. Anaxarchus’ ethical eliminativism has been compared to J. L. Mackie’s error theory of morality (in Warren 2002).

The Pyrrhonian skeptic Sextus Empiricus would call this position a form of dogmatism, since it is a substantial metaphysical thesis about values not being part of the furniture of the world. The true skeptic, according to Sextus Empiricus, is indifferent concerning the value of things insofar as he refrains from making judgments one way or the other about whether things are good, or bad, or neither, and this indifference is based upon the equal weight of conflicting appearance and arguments that leave him in a state of suspending judgment.

Sextus Empiricus claims that suspending judgment about value helps one attain contentment in the following way: the skeptic will unavoidably sometimes suffer from cold or thirst, since he is human after all, but he does not have accompanying this discomfort the further disturbing thought “I am suffering something that is bad by nature” (Outlines of Pyrrhonism I 12), and so he is unperturbed. This same basic sort of reasoning would also be available to both Anaxarchus and Pyrrho. Pyrrho is unopinionated, and ipso facto he would have no opinions that he is suffering something bad by nature. Not caring much about things like pain and danger that most people regard as naturally bad helps him remain tranquil. (See Bett (2000) chapter 2 for more on this issue.) Anaxarchus, by contrast, does not suspend judgment about questions of value, but his eliminativism means he would never believe that he is suffering something bad by nature. Furthermore, his indifference allows him to remain content and moderate in his passions, since he never believes he is lacking in anything good by nature. If things like luxury, power, and social status, which are conventionally regarded as good, are really indifferent, and one has no beliefs about other things being by nature good or bad, on what basis does one act? Pyrrho’s life indicates one possible answer: he shows his disregard for such conventional values by withdrawing from the world and living in solitude. He pays no attention to things that are indifferent, and he is willing to do actions regarded by convention as demeaning, such as washing a pig (DL 9 66). Anaxarchus behaves quite differently. As noted above, Anaxarchus was rebuked by Indian philosophers for “fawning on kings,” and many of the anecdotes about Anaxarchus concern his pursuit of luxury: for instance, his wrapping himself up in three rugs when a cloak would have done, and his asking for a huge sum of money from Alexander when Alexander tells him to ask for as much as he wants.

Pyrrho’s disciple Timon condemned Anaxarchus for this behavior, and apparently thought of it as inconsistent with the indifference advocated by both Pyrrho and Anaxarchus. But actively engaging with the world, and pursuing what presently attracts you, is consistent with believing that the objects of one’s pursuit are by nature neither good nor bad, as long as one pursues them realizing that these objects have no value in themselves, and are pursued merely because of the value that one gives them. Realizing that they have no value in themselves, you will not be terribly distraught if you fail to attain them, and you will be able to adapt yourself to circumstances effectively. This adaptability to circumstances might be why Anaxarchus says that the ability to seize the “opportune moment” (kairos) is the boundary marker of wisdom. Anaxarchus displays this virtue in his request of great wealth from Alexander. Pyrrho would have spurned such an offer. But Anaxarchus, even though he says that it is hard to collect money, and even harder to keep it safely, seizes the opportunity and correctly guesses that Alexander would be amused and flattered by the chutzpah of his request.

And in any case, Anaxarchus does display his own sort of contempt for convention. He thinks that standards of what is right and wrong are merely conventional, and as such, one should feel free to disregard them when they get in the way of pursuing what one wants. This attitude is strikingly displayed in an anecdote concerning Anaxarchus and Alexander (Plutarch, Life of Alexander 50-52). Alexander and his friend Cleitus get into a drunken quarrel. They exchange insults, and in a rage, Alexander picks up a spear and kills Cleitus. His anger then immediately departs, and he would have killed himself if his guards had not prevented him. Over the next several days, Alexander is in a bad way, staying in his room and loudly lamenting what he has done. Anaxarchus successfully relieves Alexander’s suffering with the following remark:

Here is Alexander, to whom the whole world is now looking, but he lies on the floor weeping like a slave, in fear of the law and censure of men. He should be their law and measure of justice, if indeed he has conquered the right to rule and mastery, instead of enslaving himself to the mastery of empty opinion. Don’t you know that Zeus has Justice and Law seated beside him, so that everything that is done by the master of the world may be lawful and just?

Asserting that moral norms are merely conventional, and that one should as a result feel free to flout them if need be, is reminiscent of Callicles in Plato’s dialogue the Gorgias, and the sophist Antiphon. And indeed, Anaxarchus was sometimes called a sophist. However, unlike Callicles and Antiphon, Anaxarchus has no notion of there being things that are “by nature” just, right, or good, in contrast to those merely conventional standards.

4. References and Further Reading

  • Bett, Richard. Pyrrho, His Antecedents, and his Legacy. Oxford: Oxford University Press, 2000.
    • The best consideration of Pyrrho’s “indifference” regarding things (chapter 1), its practical implications, and its supposed benefits (chapter 2). Bett also briefly talks about the relationship between Anaxarchus and Pyrrho (160-163); he is pessimistic about our ability to reconstruct Anaxarchus’ philosophy.
  • Brunschwig, J. 1993. “The Anaxarchus Case: An Essay on Survival,” in Proceedings of the British Academy 82: 59-88.
    • An interesting discussion of Anaxarchus’ supposedly fawning attitude towards kings. Brunschwig argues that the anecdotes paint a much more ambivalent and complicated picture than that of a simple flatterer. Also worth looking at for its extended consideration of what Anaxarchus says concerning Alexander’s deification, which Anaxarchus supported.
  • Hankinson, R. J. The Sceptics. London: Routledge, 1995.
    • Contains a brief discussion of Anaxarchus’ epistemology (54-55); also worth looking at for introductions to Democritus’ skepticism and Sextus Empiricus’ claims concerning the psychological benefits of indifference.
  • Warren, James. Epicurus and Democritean Ethics: An Archaeology of Ataraxia. Cambridge: Cambridge University Press, 2002.
    • Chapter 3 is the longest treatment of Anaxarchus’ ethics in English, examining our fragmentary evidence in great detail. Warren also gives a revisionary reading of the “dreamers and madmen” report in Sextus Empiricus, arguing that it has only ethical, and not epistemological, significance.

Author Information:

Tim O’Keefe
Georgia State University
U. S. A.

Aristotle: Motion

Aristotle’s account of motion and its place in nature can be found in the Physics. By motion, Aristotle (384-322 B.C.E.) understands any kind of change. He defines motion as the actuality of a potentiality. Initially, Aristotle’s definition seems to involve a contradiction. However, commentators on the works of Aristotle, such as St. Thomas Aquinas, maintain that this is the only way to define motion.

In order to adequately understand Aristotle’s definition of motion it is necessary to understand what he means by actuality and potentiality. Aristotle uses the words energeia and entelechia interchangeably to describe a kind of action. A linguistic analysis shows that, by actuality, Aristotle means both energeia, which means being-at-work, and entelechia, which means being-at-an-end. These two words, although they have different meanings, function as synonyms in Aristotle’s scheme. For Aristotle, to be a thing in the world is to be at work, to belong to a particular species, to act for an end and to form material into enduring organized wholes. Actuality, for Aristotle, is therefore close in meaning to what it is to be alive, except it does not carry the implication of mortality.

From the Middle Ages to modern times, commentators disagreed on the interpretation of Aristotle’s account of motion. An accurate rendering of Aristotle’s definition must include apparently inconsistent propositions: (a) that motion is rest, and (b) that a potentiality, which must be, if anything, a privation of actuality, is at the same time that actuality of which it is the lack. St. Thomas Aquinas was prepared to take these propositions seriously. St. Thomas observes that to say that something is in motion is just to say that it is both what it is already and something else that it is not yet. Accordingly, motion is the mode in which the future belongs to the present, it is the present absence of just those particular absent things which are about to be. St. Thomas thus resolves the apparent contradiction between potentiality and actuality in Aristotle’s definition of motion by arguing that in every motion actuality and potentiality are mixed or blended.

St. Thomas’ interpretation of Aristotle’s definition of motion, however, is not free of difficulties. His interpretation seems to trivialize the meaning of entelechia. One implication of this interpretation is that whatever happens to be the case right now is an entelechia, as though something which is intrinsically unstable as the instantaneous position of an arrow in flight deserved to be described by the word which Aristotle everywhere else reserves for complex organized states which persist, which hold out in being against internal and external causes tending to destroy them.

In the Metaphysics, however, Aristotle draws a distinction between two kinds of potentiality. On the one hand, there are latent or inactive potentialities. On the other hand, there are active or at-work potentialities. Accordingly, every motion is a complex whole, an enduring unity which organizes distinct parts. Things have being to the extent that they are or are part of determinate wholes, so that to be means to be something, and change has being because it always is or is part of some determinate potentiality, at work and manifest in the world as change.

Table of Contents

  1. Introduction
  2. Energeia and Entelechia
  3. The Standard Account of Aristotle’s View of Motion
  4. Thomas’ Account of Aristotle’s View of Motion
  5. The Limits of Thomas’ Account
  6. Facing the Contradictions of Aristotle’s Account of Motion
  7. What Motion Is
  8. Zeno’s Paradoxes and Aristotle’s Definition of Motion
  9. References and Further Reading

1. Introduction

Aristotle defines motion, by which he means change of any kind, as the actuality of a potentiality as such (or as movable, or as a potentiality — Physics 201a 10-11, 27-29, b 4-5). The definition is a conjunction of two terms which normally contradict each other, along with, in Greek, a qualifying clause which seems to make the contradiction inescapable. Yet St. Thomas Aquinas called it the only possible way to define motion by what is prior to and better known than motion. At the opposite extreme is the young Descartes, who in the first book he wrote announced that while everyone knows what motion is, no one understands Aristotle’s definition of it. According to Descartes, “motion . . . is nothing more than the action by which any body passes from one place to another” (Principles II, 24). The use of the word “passes” makes this definition an obvious circle; Descartes might just as well have called motion the action by which a thing moves. But the important part of Descartes’ definition is the words “nothing more than,” by which he asserts that motion is susceptible of no definition which is not circular, as one might say “the color red is just the color red,” to mean that the term is not reducible to some modification of a wave, or analyzable in any other way. There must be ultimate terms of discourse, or there would be no definitions, and indeed no thought. The point is not that one cannot construct a non-circular definition of such a term, one claimed to be properly irreducible, but that one ought not to do so. The true atoms of discourse are those things which can be explained only by means of things less known than themselves. If motion is such an ultimate term, then to define it by means of anything but synonyms is willfully to choose to dwell in a realm of darkness, at the sacrifice of the understanding which is naturally ours in the form of “good sense” or ordinary common sense.

Descartes’ treatment of motion is explicitly anti-Aristotelian and his definition of motion is deliberately circular. The Cartesian physics is rooted in a disagreement with Aristotle about what the best-known things are, and about where thought should take its beginnings. There is, however, a long tradition of interpretation and translation of Aristotle’s definition of motion, beginning at least five hundred years before Descartes and dominating discussions of Aristotle today, which seeks to have things both ways. An unusually clear instance of this attitude is found in the following sentence from a medieval Arabic commentary: “Motion is a first entelechy of that which is in potentiality, insofar as it is in potentiality, and if you prefer you may say that it is a transition from potentiality to actuality.” You will recognize the first of these two statements presented as equivalent as a translation of Aristotle’s definition, and the second as a circular definition of the same type as that of Descartes. Motion is an entelechy; motion is a transition. The strangeness of the word “entelechy” masks the contradiction between these two claims. We must achieve an understanding of Aristotle’s word entelechia, the heart of his definition of motion, in order to see that what it says cannot be said just as well by such a word as “transition.”

2. Energeia and Entelechia

The word entelecheia was invented by Aristotle, but never defined by him. It is at the heart not only of his definition of motion, but of all his thought. Its meaning is the most knowable in itself of all possible objects of the intellect. There is no starting point from which we can descend to put together the cements of its meaning. We can come to an understanding of entelecheia only by an ascent from what is intrinsically less knowable than it, indeed knowable only through it, but more known because more familiar to us. We have a number of resources by which to begin such an ascent, drawing upon the linguistic elements out of which Aristotle constructed the word, and upon the fact that he uses the wordenergeia as a synonym, or all but a synonym, for entelecheia.

The root of energeia is ergonó deed, work, or actó from which comes the adjective energon used in ordinary speech to mean active, busy, or at work. Energeia is formed by the addition of a noun ending to the adjective energon; we might construct the word is-at-work-ness from Anglo-Saxon roots to translateenergeia into English, or use the more euphonious periphrastic expression, being-at-work. If we are careful to remember how we got there, we could alternatively use Latin roots to make the word “actuality” to translate energeia. The problem with this alternative is that the word “actuality” already belongs to the English language, and has a life of its own which seems to be at variance with the simple sense of being active. By the actuality of a thing, we mean not its being-in-action but its being what it is. For example, there is a fish with an effective means of camouflage: it looks like a rock but it is actually a fish. When an actuality is attributed to that fish, completely at rest at the bottom of the ocean, we don’t seem to be talking about any activity. But according to Aristotle, to be something always means to be at work in a certain way. In the case of the fish at rest, its actuality is the activity of metabolism, the work by which it is constantly transforming material from its environment into parts of itself and losing material from itself into its environment, the activity by which the fish maintains itself as a fish and as just the fish it is, and which ceases only when the fish ceases to be. Any static state which has any determinate character can only exist as the outcome of a continuous expenditure of effort, maintaining the state as it is. Thus even the rock, at rest next to the fish, is in activity: to be a rock is to strain to be at the center of the universe, and thus to be in motion unless constrained otherwise, as the rock in our example is constrained by the large quantity of earth already gathered around the center of the universe. A rock at rest at the center is at work maintaining its place, against the counter-tendency of all the earth to displace it. The center of the universe is determined only by the common innate activity of rocks and other kinds of earth. Nothing is which is not somehow in action, maintaining itself either as the whole it is, or as a part of some whole. A rock is inorganic only when regarded in isolation from the universe as a whole which is an organized whole just as blood considered by itself could not be called alive yet is only blood insofar as it contributes to the maintenance of some organized body. No existing rock can fail to contribute to the hierarchical organization of the universe; we can therefore call any existing rock an actual rock.

Energeia, then, always means the being-at-work of some definite, specific something; the rock cannot undergo metabolism, and once the fish does no more than fall to earth and remain there it is no longer a fish. The material and organization of a thing determine a specific capacity or potentiality for activity with respect to which the corresponding activity has the character of an end (telos). Aristotle says “the act is an end and the being-at-work is the act and since energeia is named from the ergon it also extends to the being-at-an-end (entelecheia)” (Metaphysics 1050a 21-23). The word entelecheia has a structure parallel to that of energeia. From the root word telos, meaning end, comes the adjective enteles, used in ordinary speech to mean complete, perfect, or full-grown. But while energeia, being-at-work, is made from the adjective meaning at work and a noun ending, entelecheia is made from the adjective meaning complete and the verb exein. Thus if we translate entelecheia as “completeness” or “perfection,” the contribution the meaning of exein makes to the term is not evident. Aristotle probably uses exein for two reasons which lead to the same conclusion: First, one of the common meanings of exein is “to be” in the sense of to remain, to stay, or to keep in some condition specified by a preceding adverb as in the idiomskalos exei, “things are going well,” or kakos exei, “things are going badly.” It means “to be” in the sense of to continue to be. This is only one of several possible meanings of exein, but there is a second fact which makes it likely that it is the meaning which would strike the ear of a Greek-speaking person of Aristotle’s time. There was then in ordinary use the word endelecheia, differing from Aristotle’s wordentelecheia only by a delta in place of the tau. Endelecheia means continuity or persistence. As one would expect, there was a good deal of confusion in ancient times between the invented and undefined term entelecheia and the familiar word endelecheia. The use of the pun for the serious philosophic purpose of saying at once two things for whose union the language has no word was a frequent literary device of Aristotle’s teacher Plato. In this striking instance, Aristotle seems to have imitated the playful style of his teacher in constructing the most important term in his technical vocabulary. The addition ofexein to enteles, through the joint action of the meaning of the suffix and the sound of the whole, superimposes upon the sense of “completeness” that of continuity. Entelecheia means continuing in a state of completeness, or being at an end which is of such a nature that it is only possible to be there by means of the continual expenditure of the effort required to stay there. Just as energeia extends toentelecheia because it is the activity which makes a thing what it is, entelecheia extends to energeiabecause it is the end or perfection which has being only in, through, and during activity. For the remainder of this entry, the word “actuality” translates both energeia and entelecheia, and “actuality” means just that area of overlap between being-at-work and being-at-an-end which expresses what it means to be something determinate. The words energeia and entelecheia have very different meanings, but function as synonyms because the world is such that things have identities, belong to species, act for ends, and form material into enduring organized wholes. The word actuality as thus used is very close in meaning to the word life, with the exception that it is broader in meaning, carrying no necessary implication of mortality.

Kosman [1969] interprets the definition in substantially the same way as it is interpreted above, utilizing examples of kinds of entelecheia given by Aristotle in On the Soul, and thus he succeeds in bypassing the inadequate translations of the word. The Sachs 1995 translation of Aristotle’s Physics translatesentelecheia as being-at-work-staying-itself.

3. The Standard Account of Aristotle’s View of Motion

We embarked on this quest for the meaning of entelecheia in order to decide whether the phrase “transition to actuality” could ever properly render it. The answer is now obviously “no.” An actuality is something ongoing, but only the ongoing activity of maintaining a state of completeness or perfection already reached; the transition into such a state always lacks and progressively approaches the perfected character which an actuality always has. A dog is not a puppy: the one is, among other things, capable of generating puppies and giving protection, while the other is incapable of generation and in need of protection. We might have trouble deciding exactly when the puppy has ceased to be a puppy and become a dog at the age of one year, for example, it will probably be fully grown and capable of reproducing, but still awkward in its movements and puppyish in its attitudes, but in any respect in which it has become a dog it has ceased to be a puppy.

But our concern was to understand what motion is, and it is obviously the puppy which is in motion, since it is growing toward maturity, while the dog is not in motion in that respect, since its activity has ceased to produce change and become wholly directed toward self-maintenance. If the same thing cannot be in the same respect both an actuality and a transition to actuality, it is clearly the transition that motion is, and the actuality that it isn’t. It seems that Descartes is right and Aristotle is wrong. Of course it is possible that Aristotle meant what Descartes said, but simply used the wrong word, that he called motion anentelecheia three times, at the beginning, middle, and end of his explanation of what motion is, when he really meant not entelecheia but the transition or passage to entelecheia. Now, this suggestion would be laughable if it were not what almost everyone who addresses the question today believes. Sir David Ross, certainly the most massively qualified authority on Aristotle of those who have lived in our century and written in our language, the man who supervised the Oxford University Press’s forty-five year project of translating all the works of Aristotle into English, in a commentary, on Aristotle’s definition of motion, writes: “entelecheia must here mean ‘actualization,’ not ‘actuality’; it is the passage to actuality that iskinesis” (Physics, text with commentary, London, 1936, p. 359). In another book, his commentary on the Metaphysics, Ross makes it clear that he regards the meaning entelecheia has in every use Aristotle makes of it everywhere but in the definition of motion as being not only other than but incompatible with the meaning “actualization.” In view of that fact, Ross’ decision that “entelecheia must here mean ‘actualization'” is a desperate one, indicating a despair of understanding Aristotle out of his own mouth. It is not translation or interpretation but plastic surgery.

Ross’ full account of motion as actualization (Aristotle, New York, 1966, pp. 81-82) cites no passages from Aristotle, and no authorities, but patiently explains that motion is motion and cannot, therefore, be an actuality. There are authorities he could have cited, including Moses Maimonides, the twelfth century Jewish philosopher who sought to reconcile Aristotle’s philosophy with the Old Testament and Talmud, and who defined motion as “the transition from potentiality to actuality,” and the most famous Aristotelian commentator of all time, Averroes, the twelfth century Spanish Muslim thinker, who called motion a passage from non-being to actuality and complete reality. In each case the circular definition is chosen in preference to the one which seems laden with contradictions. A circular statement, to the extent that it is circular, is at least not false, and can as a whole have some content: Descartes’ definition amounts to saying “whatever motion is, it is possible only with respect to place,” and that of Averroes, Maimonides, and Ross amounts to saying “whatever motion is, it results always in an actuality.” An accurate rendering of Aristotle’s definition would amount to saying (a) that motion is rest, and (b) that a potentiality, which must be, at a minimum, a privation of actuality, is at the same time that actuality of which it is the lack. There has been one major commentator on Aristotle who was prepared to take seriously and to make sense of both these claims.

4. Thomas’ Account of Aristotle’s View of Motion

St. Thomas Aquinas, in his interpretation of Aristotle’s definition of motion, (Commentary on Aristotle’s Physics, London, 1963, pp. 136-137), observes two principles: (1) that Aristotle meant what he wrote, and (2) that what Aristotle wrote is worth the effort of understanding. Writing a century after Maimonides and Averroes, Thomas disposes of their approach to defining motion with few words: it is not Aristotle’s definition and it is an error. A passage, a transition, an actualization, an actualizing, or any of the more complex substantives to which translators have resorted which incorporate in some more or less disguised form some progressive sense united to the meaning of actuality, all have in common that they denote a kind of motion. If motion can be defined, then to rest content with explaining motion as a kind of motion is certainly to err; even if one is to reject Aristotle’s definition on fundamental philosophical grounds, as Descartes was to do, the first step must be to see what it means. And Thomas explains clearly and simply a sense in which Aristotle’s definition is both free of contradiction and genuinely a definition of motion. One must simply see that the growing puppy is a dog, that the half formed lump of bronze on which the sculptor is working is a statue of Hermes, that the tepid water on the fire is hot; what it means to say that the puppy is growing, the bronze is being worked, or the water is being heated, is that each is not just the complex of characteristics it possesses right now; in each case, something that the thing is not yet, already belongs to it as that toward which it is, right now, ordered. To say that something is in motion is just to say that it is both what it is already and something else that it isn’t yet. What else do we mean by saying that the puppy is growing, rather than remaining what it is, that the bronze under the sculptor’s hand is in a different condition from the identically shaped lump of bronze he has discarded, or that the water is not just tepid but being heated? Motion is the mode in which the future belongs to the present, is the present absence of just those particular absent things which are about to be.

Thomas discusses in detail the example of the water being heated. Assume it to have started cold, and to have been heated so far to room temperature. The heat it now has, which has replaced the potentiality it previously had to be just that hot, belongs to it in actuality. The capacity it has to be still hotter belongs to it in potentiality. To the extent that it is actually hot it has been moved; to the extent that it is not yet as hot as it is going to be, it is not yet moved. The motion is just the joint presence of potentiality and actuality with respect to same thing, in this case heat.

In Thomas’ version of Aristotle’s definition one can see the alternative to Descartes’ approach to physics. Since Descartes regards motion as ultimate and given, his physics will give no account of motion itself, but describe the transient static configurations through which the moving things pass. By Thomas’ account, motion is not ultimate but is a consequence of the way in which present states of things are ordered toward other actualities which do not belong to them. One could build on such an account a physics of forces, that is, of those directed potentialities which cause a thing to move, to pass over from the actuality it possesses to another which it lacks but to which it is ordered. Motion will thus not have to be understood as the mysterious departure of things from rest, which alone can be described, but as the outcome of the action upon one another of divergent and conflicting innate tendencies of things. Rest will be the anomaly, since things will be understood as so constituted by nature as to pass over of themselves into certain states of activity, but states of rest will be explainable as dynamic states of balance among things with opposed tendencies. Leibniz, who criticized Descartes’ physics and invented a science of dynamics, explicitly acknowledged his debt to Aristotle (see, e.g., Specimen Dynamicum), whose doctrine of entelecheia he regarded himself as restoring in a modified form. From Leibniz we derive our current notions of potential and kinetic energy, whose very names, pointing to the actuality which is potential and the actuality which is motion, preserve the Thomistic resolutions of the two paradoxes in Aristotle’s definition of motion.

5. The Limits of Thomas’ Account

But though the modern science of dynamics can be seen in germ in St. Thomas’ discussion of motion, it can be seen also to reveal difficulties in Thomas’ conclusions. According to Thomas, actuality and potentiality do not exclude one another but co-exist as motion. To the extent that an actuality is also a potentiality it is a motion, and to the extent that an actuality is a motion it is a potentiality. The two seeming contradictions cancel each other in the dynamic actuality of the present state which is determined by its own future. But are not potential and kinetic energy two different things? A rock held six feet above the ground has been actually moved identically to the rock thrown six feet above the ground, and at that distance each strains identically to fall to earth; but the one is falling and the other isn’t. How can the description which is common to both, when one is moving and the other is at rest, be an account of what motion is? It seems that everything which Thomas says about the tepid water which is being heated can be said also of the tepid water which has been removed from the fire. Each is a coincidence of a certain actuality of heat with a further potentiality to the same heat. What does it mean to say that the water on the fire has, right now, an order to further heat which the water off the fire lacks? If we say that the fire is acting on the one and not on the other in such a way as to disturb its present state, we have begged the question and returned to the position of presupposing motion to explain motion. Thomas’ account of Aristotle’s definition of motion, though immeasurably superior to that of Sir David Ross as interpretation, and far more sophisticated as an approach to and specification of the conditions an account of motion would have to meet, seems ultimately subject to the same circularity. Maimonides, Averroes, and Ross fail to say how motion differs from rest. Thomas fails to say how any given motion differs from a corresponding state of balanced tension, or of strain and constraint.

The strength of Thomas’ interpretation of the definition of motion comes from his taking every word seriously. When Ross discusses Aristotle’s definition, he gives no indication of why the he toiouton, or “insofar as it is such,” clause should have been included. By Thomas’ account, motion is the actuality of any potentiality which is nevertheless still a potentiality. It is the actuality which has not canceled its corresponding potentiality but exists along with it. Motion then is the actuality of any potentiality insofar as it is still a potentiality. This is the formula which applies equally well to the dynamic state of rest and the dynamic state of motion. We shall try to advance our understanding by being still more careful about the meaning of the pronoun he.

Thomas’ account of the meaning of Aristotle’s definition forces him to construe the grammar of the definition in such a way that the clause introduced by the dative singular feminine relative pronoun he has as its antecedent, in two cases, the neuter participle tou ontos, and in the third, the neuter substantive adjective tou dunatou. It is true that this particular feminine relative pronoun often had an adverbial sense to which its gender was irrelevant, but in the three statements of the definition of motion there is no verb but estin. If the clause is understood adverbially, then, the sentence must mean something like: if motion is a potentiality, it is the actuality of a potentiality. Whatever that might mean, it could at any rate not be a definition of motion. Thus the clause must be understood adjectivally, and Thomas must make the relative pronoun dependent upon a word with which it does not agree in gender. He makes the sentence say that motion is the actuality of the potentiality in which there is yet potentiality. Reading the pronoun as dependent upon the feminine noun entelecheia with which it does agree, we find the sentence saying that motion is the actuality as which it is a potentiality of the potentiality, or the actuality as a potentiality of the potentiality.

6. Facing the Contradictions of Aristotle’s Account of Motion

This reading of the definition implies that potentialities exist in two ways, that it is possible to be a potentiality, yet not be an actual potentiality. The beginning of this entry says that Aristotle’s definition of motion was made by putting together two terms, actuality and potentiality, which normally contradict each other. Thomas resolved the contradiction by arguing that in every motion actuality and potentiality are mixed or blended, that the condition of becoming-hot of the water is just the simultaneous presence in the same water of some actuality of heat and some remaining potentiality of heat. Earlier it was stated that there was a qualifying clause in Aristotle’s definition which seemed to intensify, rather than relieve, the contradiction. This refers to the he toiouton, or he kineton, or he dunaton, which appears in each version of the definition, and which, being grammatically dependent on entelecheia, signifies something the very actuality of which is potentiality. The Thomistic blend of actuality and potentiality has the characteristic that, to the extent that it is actual it is not potential and to the extent that it is potential it is not actual; the hotter the water is, the less is it potentially hot, and the cooler it is, the less is it actually, the more potentially, hot.

The most serious defect in Saint Thomas’ interpretation of Aristotle’s definition is that, like Ross’ interpretation, it broadens, dilutes, cheapens, and trivializes the meaning of the word entelecheia. An immediate implication of the interpretations of both Thomas and Ross is that whatever happens to be the case right now is an entelecheia, as though being at 70 degrees Fahrenheit were an end determined by the nature of water, or as though something which is intrinsically so unstable as the instantaneous position of an arrow in flight deserved to be described by the word which Aristotle everywhere else reserves for complex organized states which persist, which hold out in being against internal and external causes tending to destroy them.

Aristotle’s definition of motion applies to any and every motion: the pencil falling to the floor, the white pages in the book turning yellow, the glue in the binding of the book being eaten by insects. Maimonides, Averroes, and Ross, who say that motion is always a transition or passage from potentiality to actuality, must call the being-on-the-floor of the pencil, the being-yellow of the pages, and the crumbled condition of the binding of the book actualities. Thomas, who says that motion is constituted at any moment by the joint presence of actuality and potentiality, is in a still worse position: he must call every position of the pencil on the way to the floor, every color of the pages on the way to being yellow, and every loss of a crumb from the binding an actuality. If these are actualities, then it is no wonder that philosophers such as Descartes rejected Aristotle’s account of motion as a useless redundancy, saying no more than that whatever changes, changes into that into which it changes.

We know however that the things Aristotle called actualities are limited in number, and constitute the world in its ordered finitude rather than in its random particularity. The actuality of the adult horse is one, although horses are many and all different from each other. Books and pencils are not actualities at all, even though they are organized wholes, since their organizations are products of human art, and they maintain themselves not as books and pencils but only as earth. Even the organized content of a book, such as that of the first three chapters of Book Three of Aristotle’s Physics, does not exist as an actuality, since it is only the new labor of each new reader that gives being to that content, in this case a very difficult labor. By this strict test, the only actualities in the world, that is, the only things which, by their own innate tendencies, maintain themselves in being as organized wholes, seem to be the animals and plants, the ever-the-same orbits of the ever-moving planets, and the universe as a whole. But Aristotle has said that every motion is an entelecheia; if we choose not to trivialize the meaning of entelecheia to make it applicable to motion, we must deepen our understanding of motion to make it applicable to the meaning of entelecheia.

7. What Motion Is

In the Metaphysics, Aristotle argues that if there is a distinction between potentiality and actuality at all, there must be a distinction between two kinds of potentiality. The man with sight, but with his eyes closed, differs from the blind man, although neither is seeing. The first man has the capacity to see, which the second man lacks. There are then potentialities as well as actualities in the world. But when the first man opens his eyes, has he lost the capacity to see? Obviously not; while he is seeing, his capacity to see is no longer merely a potentiality, but is a potentiality which has been put to work. The potentiality to see exists sometimes as active or at-work, and sometimes as inactive or latent. But this example seems to get us no closer to understanding motion, since seeing is just one of those activities which is not a motion. Let us consider, then, a man’s capacity to walk across the room. When he is sitting or standing or lying still, his capacity to walk is latent, like the sight of the man with his eyes closed; that capacity nevertheless has real being, distinguishing the man in question from a man who is crippled to the extent of having lost all potentiality to walk. When the man is walking across the room, his capacity to walk has been put to work. But while he is walking, what has happened to his capacity to be at the other side of the room, which was also latent before he began to walk? It too is a potentiality which has been put to work by the act of walking. Once he has reached the other side of the room, his potentiality to be there has been actualized in Ross’ sense of the term, but while he is walking, his potentiality to be on the other side of the room is not merely latent, and is not yet canceled by, an actuality in the weak sense, the so-called actuality of being on that other side of the room; while he is walking his potentiality to be on the other side of the room is actual just as a potentiality. The actuality of the potentiality to be on the other side of the room, as just that potentiality, is neither more nor less than the walking across the room.

A similar analysis will apply to any motion whatever. The growth of the puppy is not the actualization of its potentiality to be a dog, but the actuality of that potentiality as a potentiality. The falling of the pencil is the actuality of its potentiality to be on the floor, in actuality as just that: as a potentiality to be on the floor. In each case the motion is just the potentiality qua actual and the actuality qua potential. And the sense we thus give to the word entelecheia is not at odds with its other uses: a motion is like an animal in that it remains completely and exactly what it is through time. My walking across the room is no more a motion as the last step is being taken than at any earlier point. Every motion is a complex whole, an enduring unity which organizes distinct parts, such as the various positions through which the falling pencil passes. As parts of the motion of the pencil, these positions, though distinct, function identically in the ordered continuity determined by the potentiality of the pencil to be on the floor. Things have being to the extent that they are or are part of determinate wholes, so that to be means to be something, and change has being because it always is or is part of some determinate potentiality, at work and manifest in the world as change.

8. Zeno’s Paradoxes and Aristotle’s Definition of Motion

Consider the application of Aristotle’s account of motion to two paradoxes famous in antiquity. Zeno argued in various ways that there is no motion. According to one of his arguments, the arrow in flight is always in some one place, therefore always at rest, and therefore never in motion. We can deduce from Aristotle’s definition that Zeno has made the same error, technically called the fallacy of composition, as one who would argue that no animal is alive since its head, when cut off, is not alive, its blood, when drawn out, is not alive, its bones, when removed are not alive, and so on with each part in turn. The second paradox is one attributed to Heraclitus, and taken as proving that there is nothing but motion, that is, no identity, in the world. The saying goes that one cannot step into the same river twice. If the river flows, how can it continue to be itself? But the flux of the river, like the flight of the arrow, is an actuality of just the kind Aristotle formulates in his definition of motion. The river is always the same, as a river, precisely because it is never the same as water. To be a river is to be the always identical actuality of the potentiality of water to be in the sea.

For more discussion of Aristotle’s solution to Zeno’s paradoxes, see “Zeno: Aristotle’s Treatment of Zeno’s Paradoxes.”

9. References and Further Reading

  • Aristotle, Metaphysics, Joe Sachs (trans.), Green Lion Press, 1999.
  • Aristotle, Nicomachean Ethics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2002.
  • Aristotle, On the Soul, Joe Sachs (trans.), Green Lion Press, 2001.
  • Aristotle, Poetics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2006.
  • Aristotle, Physics, Joe Sachs (trans.), Rutgers U. P., 1995.
  • Kosman, L. A. “Aristotle’s Definition of Motion,” Phronesis, 1969.

Author Information

Joe Sachs
Email: joe.sachs@sjc.edu
St. John’s College
U. S. A.

Giorgio Agamben (1942– )

Giorgio Agamben is one of the leading figures in Italian philosophy and radical political theory, and in recent years, his work has had a deep impact on contemporary scholarship in a number of disciplines in the Anglo-American intellectual world. Born in Rome in 1942, Agamben completed studies in Law and Philosophy with a doctoral thesis on the political thought of Simone Weil, and participated in Martin Heidegger’s seminars on Hegel and Heraclitus as a postdoctoral scholar. He has taught at various universities, including the Universities of Macerata and Verona and was Director of Programmes at the Collège Internationale de Paris. He has been a Visiting Professor at various universities in the United States of America, and was a Distinguished Professor at the New School, University in New York. He caused a controversy when he refused to submit to the “biopolitical tattooing” requested by the United States Immigration Department for entry to the USA in the wake of the September 11, 2001 attacks.

Agamben’s work does not follow a straightforward chronological path of development either conceptually or thematically. Instead, his work constitutes an elaborate and multifaceted recursive engagement with the problems introduced into Western philosophy by the highly original and often enigmatic works of Walter Benjamin, most notably in his book on German trauerspielThe Origins of German Tragic Drama, but also in associated essays and fragments, such as his “Critique of Violence.” This is not to say that Agamben is not influenced by, nor engaged with, a number of other canonical or contemporary figures in Western philosophy and political, aesthetic and linguistic theory. He certainly is, most notably Heidegger and Hegel, as well as the scholarship that follows from them, but also Aby Warburg’s iconography (Agamben worked at the Warburg Institute Library in 1974-5), Italian Autonomism and Situationism (especially Guy Debord’s influential Society of the Spectacle), Aristotle, Emile Benveniste, Carl Schmitt and Hannah Arendt amongst others. Beyond this philosophical heritage, Agamben also engages in multilayered discussions of the Jewish Torah and Christian biblical texts, Greek and Roman law, Midrashic literature, as well as of a number of Western literary figures and poets, including Dante, Holderlin, Kafka, Pessoa, and Caproni to name but a few. This breadth of reference and the critical stylistics it gives rise to no doubt contribute to the appearance of intimidating density characteristic of Agamben’s work. Even so, Agamben’s engagement with these figures is often mediated by his deep conceptual and thematic debt to Benjamin (he served as editor of the Italian edition of Benjamin’s collected works from 1979 to 1994) evident in his central focus on questions of language and representation, history and temporality, the force of law, politics of the spectacle, and the ethos of humanity.

Table of Contents

  1. Language and Metaphysics
  2. Aesthetics
  3. Politics
  4. Ethics
  5. Messianism
  6. References and Further Reading

1. Language and Metaphysics

As Agamben indicates in the 1989 preface to the English translation of Infancy and History, the key question that unites his disparate explorations is that of what it means for language to exist, what it means that “I speak.” In taking up this question throughout his work, and most explicitly in texts such as Infancy and HistoryLanguage and Death, and most recently, The Open, Agamben reinvigorates consideration of philosophical anthropology through a critical questioning of the metaphysical presuppositions that inform it, and in particular, the claim that the defining essence of man is that of having language. In taking up this question, Agamben proposes the necessity of an“experimentum linguae” in which what is experienced is language itself, and the limits of language become apparent not in the relation of language to a referent outside of it, but in the experience of language as pure self-reference.

Published in Italian in 1978, Infancy and History constitutes one of Agamben’s earliest attempts to grasp and articulate the implications of such an as experience of language as such. Consisting of a series on interconnected essays on concepts such as history, temporality, play, and gesture, Infancy and History provides an importance entrance to Agamben’s later work on politics and ethics, particularly in the eponymous essay of the edition on the concept of infancy understood as an experiment of language as such. In this, Agamben argues that the contemporary age is marked by the destruction or loss of experience, in which the banality of everyday life cannot be experienced per se but only undergone, a condition which is in part brought about by the rise of modern science and the split between the subject of experience and of knowledge that it entails. Against this destruction of experience, which is also extended in modern philosophies of the subject such as Kant and Husserl, Agamben argues that the recuperation of experience entails a radical rethinking of experience as a question of language rather than of consciousness, since it is only in language that the subject has its site and origin. Infancy, then, conceptualizes an experience of being without language, not in a temporal or developmental sense of preceding the acquisition of language in childhood, but rather, as a condition of experience that precedes and continues to reside in any appropriation of language.

Agamben continues this reflection on the self-referentiality of language as a means of transforming the link between language and metaphysics that underpins Western philosophical anthropology inLanguage and Death, originally published in 1982. Beginning from Heidegger’s suggestion of an essential relation between language and death, Agamben argues that Western metaphysics have been fundamentally tied to a negativity that is increasingly evident at the heart of the ethos of humanity. While this collapse of metaphysics into ethics is increasingly evident as nihilism, contemporary thought has yet to escape from this condition. Agamben seeks to understand and ultimately escape this collapse through a rigorous philosophy of the experience of language suggested in Infancy and History. In his analysis of Heidegger and Hegel, Agamben isolates their reliance upon and indeed radicalization of negativity, by casting Da and Diese as grammatical shifters that refer to the pure taking place of language. Here, Agamben draws upon the linguistic notion of deixis to isolate the self-referentiality of language in pronouns or grammatical shifters, which he argues do not refer to anything beyond themselves but only to their own utterance (LD, 16-26). The problem for Agamben, though, is that both Hegel and Heidegger ultimately maintain a split within language – which he sees as a consistent element of Western thought from Aristotle to Wittgenstein – in their identification of an ineffability or unspeakability that cannot be brought into human discourse but which is nevertheless its condition. Agamben calls this mute condition of language “Voice,” and concludes that a philosophy that thinks only from the foundation of Voice cannot deliver the resolution of metaphysics that the nihilism toward which we are moving demands. Instead, he suggests, this is only possible in an experience of infancy that has never yet been: it is only in existing “in language without being called there by any Voice” and dying “without being called by death” (LD 96) that humanity can return to its proper dwelling place or ethos, to which it has never been and from which it has never left.

One further dimension of Agamben’s engagement with Western metaphysics and attempt to develop an alternative ontology is worth mentioning here, since it is one of the most consistent threads throughout his work. This is the problem of potentiality, the rethinking of which Agamben takes to be central to the task of overcoming contemporary nihilism. Citing Aristotle’s proposal in Book Theta of his Metaphysics, that “a thing is said to be potential if, when the act of which it is said to be potential is realized, there will be nothing im-potential (“that is, there will be nothing able not to be,” (in HS, 45) Agamben argues that this ought not be taken to mean simply that “what is not impossible is possible” but rather, highlights the suspension or setting aside of im-potentiality in the passage to actuality. This suspension, though, does not amount to a destruction of im-potentiality, but rather to its fulfilment; that is, through the turning back of potentiality upon itself, which amounts to its “giving of itself to itself,” im-potentiality, or the potentiality to not be, is fully realized in its own suspension such that actuality appears as nothing other than the potentiality to not not-be. While this relation is central to the passage of voice to speech or signification and to attaining toward the experience of language as such, Agamben also claims that in this formulation Aristotle bequeaths to Western philosophy the paradigm of sovereignty, since it reveals the undetermined or sovereign founding of being. As Agamben concludes, ‘“an act is sovereign when it realizes itself by simply taking away its own potentiality not to be, letting itself be, giving itself to itself’” (HS 46). In this way then, the relation of potentiality to actuality described by Aristotle accords perfectly with the logic of the ban that Agamben argues is characteristic of sovereign power, thereby revealing the fundamental integration of metaphysics and politics.

These reflections on metaphysics and language thus yield two inter-related problems for Agamben, which he addresses in his subsequent work; the first of these lies in the broad domain of aesthetics, in which Agamben considers the stakes of the appropriation of language in prose and poetry in order to further critically interrogate the distinction between philosophy and poetry. The second lies in the domains of politics and ethics, for Agamben’s conception of the destruction of experience and of potentiality directly feed into an analysis of the political spectacle and of sovereignty. These also necessitate, according to Agamben, a reformulation of ethics as ethos, which in turn requires rethinking community.

2. Aesthetics

In Language and Death, Agamben raises the question of the relation of philosophy and poetry by asking whether poetry allows a different experience of language than that of the “unspeakable experience of Voice” that grounds philosophy. From a brief reflection on Plato’s identification of poetry as the “invention of the Muses,” Agamben argues that both philosophy and poetry attain toward the unspeakable as the condition of language, though both also “demonstrate this asunattainable.” Thus rejecting a straightforward prioritization of poetry over philosophy, or verse over prose, Agamben concludes that “perhaps only a language in which the pure prose of philosophy would intervene at a certain point to break apart the verse of the poetic word, and in which the verse of poetry would intervene to bend the prose of philosophy into a ring, would be the true human language” (LD, 78). This thematic subsequently drives Agamben’s contributions to aesthetics, and in doing so, the distinction between philosophy and poetry grounds a complex exercise of language and representation, experience and ethos, developed throughout his works in this area and designed to surpass the distinction itself as well as those that attend it.

Agamben’s first major contribution to contemporary philosophy of aesthetics was his acclaimed book Stanzas, in which he develops a dense and multifaceted analysis of language and phantasm, entailing engagement with modern linguistic and philosophy, as well as psychoanalysis and philology. While dedicated to the memory of Martin Heidegger, whom Agamben here names as the last of Western philosophers within this book, also most evidently bears the influence of Aby Warburg. Agamben argues in Stanzas that to the extent that Western culture accepts the distinction between philosophy and poetry, knowledge founders on a division in which “philosophy has failed to elaborate a proper language… and poetry has developed neither a method nor self-consciousness” (S, xvii). The urgent task of thought, and particularly that which Agamben names “criticism,” is to rediscover “the unity of our own fragmented word.” Criticism is situated at the point at which language is split from itself—in for instance, the distinction of signified and signifier and its task is to point toward a “unitary status for the utterance,” in which criticism “neither represents nor knows, but knows the representation” (S, xvii). Thus, against both philosophy and poetry, criticism “opposes the enjoyment of what cannot be possessed and the possession of what cannot be enjoyed” (S, xvii).

In order to pursue this task, Agamben develops a model of knowledge evident in the relations of desire and appropriation of an object that Freud identifies as melancholia and fetishism. In this, he also questions the “primordial situation” of the distinction between the signifier and the signified, to which Western reflections on the sign are beholden. He concludes this study—which encompasses discussion of fetishism and commodity fetishism, dandyism, the psychoanalysis of toys, and the myths of Narcissus, Eros and Oedipus amongst other things—with a brief discussion of Saussurian linguistics, claiming that Saussure’s triumph lay in recognizing the impossibility of a science of language based on the distinction of signified and signifier. However, to isolate the sign as a positive unity from Saussure’s problematic position is to “push the science of the sign back into metaphysics.” (S 155) This idea of a link between the notion of the unity of the sign and Western metaphysics, is in Agamben’s view, confirmed by Jacques Derrida’s formulation of grammatology as an attempt to overcome the metaphysics of presence that Derrida diagnoses as predominant within western philosophy from Plato onwards. Yet, Agamben argues that Derrida does not achieve the overcoming he hopes for, since he has in fact misdiagnosed the problem: metaphysics. Metaphysics is not simply the interpretation of presence in the fractures of essence and appearance, sensibility and intelligibility and so on. Rather; rather, the origin of Western metaphysics lies in the conception that “original experience be always already caught in a fold… that presence be always already caught in a signification” (S 156). Hence, logos is the fold that “gathers and divides all things in the ‘putting together’ of presence” (S, 156). Ultimately, then, an attempt to truly overcome metaphysics requires that the semiological algorithm must reduce to solely the barrier itself rather than one side or the other of the distinction, understood as the “topological game of putting things together and articulating” (S 156).

It is in the framework established here then that Agamben’s next work in aesthetics, The Idea of Prose, might be said to achieve its real importance…. Published in Italian in 1985, The Idea of Prose takes up the question of the distinction between philosophy and poetry through a series of fragments on poetry, prose, language, politics, justice, love and shame amongst other topics. This enigmatic text is perhaps especially difficult to understand, because these fragments do not constitute a consistent argument throughout the book. In the light of the foregoing though, it is possible to say that what Agamben is doing is performing and indeed undermining a difference between poetry and philosophy by breaking apart the strictures of logos. In bringing into play various literary techniques such as the fable, the riddle, the aphorism and the short story, Agamben is practically demonstrating an exercise of criticism, in which thought is returned to a prosaic experience or awakening, in which what is known is representation itself.

3. Politics

The most influential dimension of Agamben’s work in recent years has been his contributions to political theory, a contribution that springs directly from his engagements in metaphysics and the philosophy of language. Undoubtedly, Homo Sacer: Sovereign Power and Bare Life is Agamben’s best-known work, and probably also the most controversial. It is in this book that Agamben develops his analysis of the condition of biopolitics, first identified by Michel Foucault in the first volume of his History of Sexuality series and associated texts. In this volume, Foucault argued that modern power was characterized by a fundamentally different rationality than that of sovereign power. Whereas sovereign power was characterized by a right over life and death, summarized by Foucault in the dictum of “killing or letting live,” modern power is characterized by a productive relation to life, encapsulated in the dictum of “fostering life or disallowing it.” For Foucault, the “threshold of modernity” was reached with the transition from sovereign power to biopower, in which the “new political subject” of the population became the target of a regime of power that operates through governance of the vicissitudes of biological life itself. Thus, in his critical revision of Aristotle, Foucault writes that “for millennia, man remained… a living animal with the additional capacity for a political existence; modern man is an animal whose politics places his existence as a living being in question” (HS1 143).

Agamben is explicitly engaged with Foucault’s thesis on biopower in Homo Sacer, claiming that he aims to “correct or at least complete” it, though in fact he rejects a number of Foucault’s historico-philosophical commitments and claims. Suggesting that Foucault has failed to elucidate the points at which sovereign power and modern techniques of power coincide, Agamben rejects the thesis that the historical rise of biopower marked the threshold of modernity. Instead, he claims that biopower and sovereignty are fundamentally integrated, to the extent that “it can even be said that the production of a biopolitical body is the original activity of sovereign power.” (HS 6) What distinguishes modern democracy from the Ancient polis then, is not so much the integration of biological life into the sphere of politics, but rather, the fact that modern State power brings the nexus between sovereignty and the biopolitical body to light in an unprecedented way. This is because in modern democracies, that which was originally excluded from politics as the exception that stands outside but nevertheless founds the law has now become the norm: As Agamben writes, “In Western politics, bare life has the peculiar privilege of being that whose exclusions found the city of men.” (HS 7)

Several theoretical innovations inform this thesis, two of which are especially important. The first is a re-conception of political power, developed through a complex reflection upon Aristotelian metaphysics and especially the concept of potentiality, alongside a critical engagement with the theory of sovereignty posited by Carl Schmitt, which is developed through Walter Benjamin’s own engagement with Schmitt. The second innovation introduced by Agamben is his provocative theorization of “bare life” as the central protagonist of contemporary politics.

Of the first of these, it might be argued that the key motivation within Homo Sacer is not so much an attempt to correct or complete Foucault’s account of biopolitics, as an attempt to complete Benjamin’s critique of Schmitt. In Political Theology, Carl Schmitt—the German jurist infamous for joining the Nazi party and becoming one of its strongest intellectual supporters—summarizes his strongly decisionistic account of sovereignty by claiming that the sovereign is the one that decides on the exception. For Schmitt, it is precisely in the capacity to decide on whether a situation is normal or exceptional, and thus whether the law applies or not—since the law requires a normal situation for its application—that sovereignty is manifest. Against this formulation of sovereignty, Benjamin posits in his “Theses on the Philosophy of History” that the state of emergency has in fact become the rule. Further, what is required is the inauguration of a real state of exception in order to combat the rise of Fascism, here understood as a nihilistic emergency that suspends the law while leaving it in force.

In addressing this conflict between Schmitt and Benjamin, Agamben argues that in contemporary politics, the state of exception identified by Schmitt in which the law is suspended by the sovereign, has in fact become the rule. This is a condition that he identifies as one of abandonment, in which the law is in force but has no content or substantive meaning—it is “in force without significance.” The structure of the exception, he suggests, is directly analogous to the structure of the ban identified by Jean-Luc Nancy in his essay “Abandoned Being, in which Nancy claims that in the ban the law only applies in no longer applying. The subject of the law is simultaneously turned over to the law and left bereft by it. The figure that Agamben draws on to elaborate this condition is that of homo sacer, which is taken from Roman law and indicates one who ‘“can be killed but not sacrificed.” According to Agamben, the sacredness of homo sacer does not so much indicate a conceptual ambiguity internal to the sacred, as many have argued, as the abandoned status of sacred man in relation to the law. The sacred man is “taken outside” both divine and profane law as the exception and is thus abandoned by them. Importantly, for Agamben, the fact that the exception has become the norm or rule of contemporary politics means that it is not the case that only some subjects are abandoned by the law; rather, he states that in our age, “we are all virtually homines sacri.” (HS 115).

As provocative as it is, understanding this claim also requires an appreciation of the notion of “bare life” that Agamben develops from the Ancient Greek distinction between natural life—zoe—and a particular form of life—bios, especially as it is articulated in Aristotle’s account of the origins of the polis. The importance of this distinction in Aristotle is that it allows for the relegation of natural life to the domain of the household (oikos), while also allowing for the specificity of the good life characteristic of participation in the polis—bios politikos. More importantly though, for Agamben, this indicates the fact that Western politics is founded upon that which it excludes from politics—the natural life that is simultaneously set outside the domain of the political but nevertheless implicated inbios politicos. The question arises, then, of how life itself or natural life is politicized. The answer to this question is through abandonment to an unconditional power of death, that is, the power of sovereignty. It is in this abandonment of natural life to sovereign violence—and Agamben sees the relation of abandonment that obtains between life and the law as “originary”—that “bare life” makes its appearance. For bare life is not natural life per se—though it is often confused with it in critical readings of Agamben, partly as a consequence of Agamben’s own inconsistency—but rather, it is the politicized form of natural life. Being neither bios nor zoe, then, bare life emerges from within this distinction and can be defined as “life exposed to death,” especially in the form of sovereign violence. (compare HS 88)

The empirical point of conjuncture of these two theses on the exception and on the production of bare life is the historical rise of the concentration camp, which, Agamben argues, constitutes the state of exception par excellence. As such though, it is not an extraordinary situation in the sense of entailing a fundamental break with the political rationality of modernity, but in fact reveals the ‘“nomos of the modern’” and the increasing convergence of democracy and totalitarianism. According to Agamben, the camp is the space opened when the exception becomes the rule or the normal situation, as was the case in Germany in the period immediately before and throughout World War 2. Further, what is characteristic of the camp is the indistinguishability of law and life, in which bare life becomes the “threshold in which law constantly passes over into fact and fact into law” (HS 171). This indiscernability of life and law effectively contributes to a normative crisis, for here it is no longer the case that the rule of law bears upon or applies to the living body, but rather, the living body has become “the rule and criterion of its own application” (HS 173) thereby undercutting recourse to the transcendence or independence of the law as its source of legitimacy. What is especially controversial about this claim is that if the camps are in fact the “nomos” or “hidden matrix” of modern politics, then the normative crisis evident in them is not specifically limited to them, but is actually characteristic of our present condition, a condition that Agamben describes as one of “imperfect nihilism.”

Importantly, in addition to this, Agamben argues that the logic of the “inclusive exclusion” that structures the relation of natural life to the polis, the implications of which are made most evident in the camps, is perfectly analogous to the relation of the transition from voice to speech that constitutes the political nature of “man” in Aristotle’s account. For Aristotle, the transition from voice to language is a founding condition of political community, since speech makes possible a distinction between the just and the unjust. Agamben writes that the question of how natural bare life dwells in the polis corresponds exactly with the question of how a living being has language, since in the latter question “the living being has logos by taking away and conserving its own voice in it, even as it dwells in the polis by letting its own bare life be excluded, as an exception, within it” (HS 8). Hence, for Agamben, the rift or caesura introduced into the human by the definition of man as the living animal who has language and therefore politics is foundational for biopolitics; it is this disjuncture that allows the human to be reduced to bare life in biopolitical capture. In this way then, metaphysics and politics are fundamentally entwined, and it is only by overcoming the central dogmas of Western metaphysics that a new form of politics will be possible.

This damning diagnosis of contemporary politics does not, however, lead Agamben to a position of political despair. Rather, it is exactly in the crisis of contemporary politics that the means for overcoming the present dangers also appear. Agamben’s theorization of the “coming politics”—which in its present formulation is under-developed in a number of significant ways—relies upon a logic of “euporic” resolution to the aporias that characterise modern democracy, including the aporia of bare life (P 217). In Means without End, he argues for a politics of pure means that is not altogether dissimilar to that projected by Walter Benjamin, writing that “politics is the sphere neither of an end in itself nor of means subordinated to an end; rather, it is the sphere of a pure mediality without end intended as the field of human action and of human thought” (ME 117). In developing this claim, Agamben claims that the coming politics must reckon with the dual problem of the post-Hegelian theme of the end of history and with the Heideggerian theme of Ereignis, in order to formulate a new life and politics in which both history and the state come to an end simultaneously. This “experiment” of a new politics without reference to sovereignty and associated concepts such as nation, the people and democracy, requires the formulation of a new “happy life,” in which bare life is never separable as a political subject and in which what is at stake is the experience of communicability itself.

4. Ethics

Given this critique of the camps and the status of the law that is revealed in, but by no means limited to, the exceptional space of them, it is no surprise that Agamben takes the most extreme manifestation of the condition of the camps as a starting point for an elaboration of an ethics without reference to the law, a term that is taken to encompass normative discourse in its entirety. InRemnants of Auschwitz, published as the third instalment of the Homo Sacer series, Agamben develops an account of an ethics of testimony as an ethos of bearing witness to that for which one cannot bear witness. Taking up the problem of skepticism in relation to the Nazi concentration camps of World War II—also discussed by Jean-Francois Lyotard and others—Agamben castsRemnants as an attempt to listen to a lacuna in survivor testimony, in which the factual condition of the camps cannot be made to coincide with that which is said about them. However, Agamben is not concerned with the epistemological issues that this non-coincidence of “fact and truth” raises, but rather, with the ethical implications, which, he suggests, our age has as yet failed to reckon with.

The key figure in his account of an ethics of testimony is that of the Muselmann, or those in the camps who had reached such a state of physical decrepitude and existential disregard that “one hesitates to call them living: one hesitates to call their death death” (Levi cited in RA 44). But rather than seeing the Muselmann as the limit-figure between life and death, Agamben argues that theMuselmann is more correctly understood as the limit-figure of the human and inhuman. As the threshold between the human and the inhuman, however, the Muselmann does not simply mark the limit beyond which the human is no longer human. Agamben argues that such a stance would merely repeat the experiment of Auschwitz, in which the Muselmann is put outside the limits of human and the moral status that attends that categorization. Instead then, the Muselmann indicates a more fundamental indistinction between the human and the inhuman, in which it is impossible to definitively separate one from the other, and in that calls into question the moral distinctions that rest on this designation. The key question that arises for Agamben then, is whether there is in fact a “humanity to the human” over and above biologically belonging to the species, and it is in reflection upon this question that Agamben develops his own account of ethics. In this, he rejects recourse to standard moral concepts such as dignity and respect, claiming that “Auschwitz marks the end and the ruin of every ethics of dignity and conformity to a norm…. The Muselmann… is the guard on the threshold of a new ethics, an ethics of a form of life that begins where dignity ends” (RA 69).

In order to elaborate on or at least provide “signposts” for this new ethical terrain, Agamben returns to the definition of the human as the being who has language, as well as his earlier analyses of deixis, to bring out a double movement in the human being’s appropriation of language. In an analysis of pronouns such as “I” that allow a speaker to put language to use, he argues that the subjectification effected in this appropriation is conditioned by a simultaneous and inevitable de-subjectification. Because pronouns are nothing other than grammatical shifters or “indicators of enunciation,” such that they refer to nothing other than the taking place of language itself, the appropriation of language in the identification of oneself as a speaking subject requires that the psychosomatic individual simultaneously erase or desubjectify itself. Consequently, it is not strictly the “I” that speaks, and nor is it the living individual: rather, as Agamben writes, “in the absolute present of the event of discourse, subjectification and desubjectification coincide at every point and both the flesh and blood individual and the subject of enunciation are perfectly silent.” (RA 117)

Importantly, Agamben argues that it is precisely this non-coincidence of the speaking being and living being and the impossibility of speech revealed in it that provides the condition of possibility of testimony. Testimony, he claims, is possible only “if there is no articulation between the living being and language, if the “I” stands suspended in this disjunction” (RA, 130). The question that arises here then is what Agamben means by testimony, since it is clear that he does not use the term in the standard sense of giving an account of an event that one has witnessed. Instead, he argues that what is at stake in testimony is bearing witness to what is unsayable, that is, bearing witness to the impossibility of speech and making it appear within speech. In this way, he suggests, the human is able to endure the inhuman. More generally then, testimony is no longer understood as a practice of speaking, but as an ethos, understood as the only proper “dwelling place” of the subject. The additional twist that Agamben adds here to avoid a notion of returning to authenticity in testimony, is to highlight the point that while testimony is the proper dwelling place or “only possible consistency” of the subject, it is not something that the subject can simply assume as its own. As the account of subjectification and desubjectification indicates, there can be no simple appropriation of language that would allow the subject to posit itself as the ground of testimony, and nor can it simply realise itself in speaking. Instead, testimony remains forever unassumable.

This also gives rise, then, to Agamben’s account of ethical responsibility. Against juridical accounts of responsibility that would understand it in terms of sponsorship, debt and culpabililty, Agamben argues that responsibility must be thought as fundamentally unassumable, as something which the subject is consigned to, but which it can never fully appropriate as its own. Responsibility, he suggests, must be thought without reference to the law, as a domain of “irresponsibility” or “non-responsibility” that necessarily precedes the designations of good and evil and entails a “confrontation with a responsibility that is infinitely greater than any we could ever assume…” While it may seem as if Agamben is leaning toward a conception of ethical responsibility akin to Emmanuel Levinas’ conception of infinite responsibility toward the absolute Other, this is not wholly the case, since Agamben sees Levinas as simply radicalising the juridical relation of sponsorship in unexpiatable guilt. In distinction from this, Agamben argues that “ethics is the sphere that recognizes neither guilt nor responsibility; it is… the doctrine of happy life” (RA 24).

5. Messianism

Clearly then, the conception of politics and of ethics that Agamben develops converge in the notion of “happy life,” or what he calls “form-of-life” at other points. What Agamben means by this is particularly unclear, not least because he sees elaboration of these concepts as requiring a fundamental overturning of the metaphysical grounds of western philosophy, but also because they gesture toward a new politics and ethics that remain largely to be thought. What is clear within this though is that Agamben is drawing upon Benjamin’s formulation of the necessity of a politics of pure means and, correlative to that, his conception of temporality and history, which taps a deep vein of messianism that runs through Judeo-Christian thought. This vein of messianism emerges in Agamben’s thought in a number of formulations, particularly those of “infancy,” “happy life” and “form-of-life,” and the notion of “whatever singularities.” What is also common to all these concepts is a concern with the figuration of humanity at the end of history, a concern that Agamben develops in discussion of the debates between Bataille and Kojeve over the Hegelian thesis of the end of history.

In the concept of “happy life” or “form of life,” Agamben points toward a new conception of life in which it is never possible to isolate bare life as the biopolitical subject, which, he argues ought to provide the foundation of political philosophy. As he states,

The “happy life”on which political philosophy should be founded thus cannot be either the naked life that sovereignty posits as a presupposition so as to turn it into its own subject or the impenetrable extraneity of science and of modern biopolitics that everybody tries in vain to sacralize. This “happy life” should be rather, an absolutely profane “sufficient life.” that has reached the perfection of its own power and its own communicability – a life over which sovereignty and right no longer have any hold (ME 114-115).

Happy life will be such that no separation between bios and zoe is possible, and life will find its unity in a pure immanence to itself, in “the perfection of its own power.” In this then, he seeks a politico-philosophical redefinition of life no longer founded upon the bloody separation of the natural life of the species and political life, but which is beyond every form of relation insofar as happy life is life lived in pure immanence, grounded on itself alone. This conception of a “form of life” or happy life that exceeds the biopolitical caesurae that cross the human being is developed in reference to Benjamin’s conception of happiness as he articulates it in “Theologico-Political Fragment,” a short text in which he paints a picture of two arrows pointing in different directions but nevertheless reinforcing each other, one of which indicates the force of historical time and the other that of Messianic time. For Benjamin, while happiness is not and cannot bring about the redemption of Messianic time on its own, it is nevertheless the profane path to its realization – happiness allows for the fulfilment of historical time, since the Messianic kingdom is “not the goal of history but the end (TPF 312). Drawing on this figuration, Agamben appears to construe happiness as that which allows for the overturning of contemporary nihilism in the form of the metaphysico-political nexus of biopower.

This debt also brings into focus Agamben’s reliance on the Benjaminian formulation of communicability as such, or communicability without communication, a thematic which emerges more strongly in Agamben’s somewhat anomalous essay published as The Coming Community, in which he develops the notion of “whatever singularities.” It is here that Agamben most explicitly addresses the rethinking of community that his early analyses of language and metaphysics suggested was required. In taking up the problem of community, Agamben enters into a broader engagement with this concept by others such as Maurice Blanchot and Jean-Luc Nancy, and in the Anglo-American scene, Alphonso Lingis. The broad aim of the engagement is to develop a conception of community that does not presuppose commonality or identity as a condition of belonging. Within this, Agamben’s conception of “whatever singularity” indicates a form of being that rejects any manifestation of identity or belonging and wholly appropriates being to itself, that is, in its own “being-in-language.” Whatever singularity allows for the formation of community without the affirmation of identity or “representable condition of belonging,” in nothing other than the “co-belonging” of singularities itself. Importantly though, this entails neither a mystical communion nor a nostalgic return to a Gemeinschaft that has been lost; instead, the coming community has never yet been. Interestingly, Agamben argues in this elliptical text that the community and politics of whatever singularity are heralded in the event of Tianenmen square, which he. He takes this event to indicate that the coming politics will not be a struggle between states, but, instead, a struggle between the state and humanity as such, insofar as it exists in itself without expropriation in identity. Correlatively, the coming politics do not entail a sacralization of humanity, for the existence of whatever singularity is always irreparably abandoned to itself; as Agamben writes, ‘“The Irreparable is that things are just as they are, in this or that mode, consigned without remedy to their way of being. States of things are irreparable, whatever they may be: sad or happy, atrocious or blessed. How you are, how the world is—this is the irreparable….”(CC 90)

Agamben returns to this thematic within a critical analysis of the definition of man as the being that has language in his recent book, The Open. Agamben begins this text with reflection on an image of the messianic banquet of the righteous on the last day, preserved in a thirteenth- century Hebrew Bible, in which the righteous are presented not with human heads, but with those of animals. In taking up the rabbinic tradition of interpretation of this image, Agamben suggests that the righteous or “concluded humanity” are effectively the “remnant” or remainder of Israel, who are still alive at the coming of the Messiah. The enigma presented by the image of the righteous with animal heads appears to be that of the transformation of the relation of animal and human and the ultimate reconciliation of man with his own animal nature on the last day. But for Agamben, reflection on the enigma of the posthistorical condition of man thus presented necessitates a fundamental overturning of the metaphysico-political operations by which something like man is produced as distinct from the animal in order for its significance to be fully grasped. Agamben concludes this text—which is pragmatically an extended reflection on the Bataille-Kojeve debate—with the warning that what is required to stop the “anthropological machine” is not tracing the “no longer human or animal contours of a new creation,” but rather risking ourselves in the hiatus and central emptiness that separates the human and animal within man. Thus, for Agamben, “the righteous with animal heads… do not represent a new declension of the man-animal relation,” but instead indicates a zone of non-knowledge that allows them to be outside of being, “saved precisely in their being unsavable” (TO, 92). This articulation of the unsavable reiterates a number of Agamben’s previous comments on redemption and beatitude and provides some clearer articulation of his resolution of the dilemma of the post-historical condition of humanity as distinct from those of his precursors. But how Agamben will develop this resolution and the ethico-political implications of it in large part remains to be seen.

6. References and Further Reading

  • Agamben, Giorgio. The Coming Community, tr. Michael Hardt, University of Minnesota Press, Minneapolis, 1993; La communità che viene, Einaudi, 1990. (CC)
  • Agamben, Giorgio. Language and Death: The Place of Negativity, tr. Karen E. Pinkus and Michael Hardt, University of Minnesota Press, Minneapolis, 1991; Il linguaggio e la morte: Un seminario sul luogo della negatività, Giulio. Einuadi , 1982. (LD)
  • Agamben, Giorgio. Stanzas: Word and Phantasm in Western Culture, tr. Ronald L. Martinez, University of Minnesota Press, Minneapolis, 1993; Stanze: La Parola e il fantasma nella cultura occidentale, Giulio Einuadi, Turin, 1977. (S)
  • Agamben, Giorgio. The Idea of Prose, tr. Michael Sullivan and Sam Whitsitt, SUNY Press, Albany, 1995; Idea della prosa, Giangiacomo Feltrinelli, Milano, 1985.
  • Agamben, Giorgio. Infancy and History, Verso, London, 1993; Infanzia et storia, Giulio Einuadi, 1978 (IH)
  • Agamben, Giorgio. Language and Death: The Place of Negativity, tr. Karen E. Pinkus, University of Minnesota, Minneapolis, 1991; Il linguaggio e la morte: Un Seminario sul luogo, Giulio Einuadi, 1982.
  • Agamben, Giorgio. Homo Sacer: Sovereign Power and Bare Life. tr. Daniel Heller-Roazen, Stanford University Press, Stanford, 1998; Homo sacer: Il potere sovrano e la nuda vita, Giulio Einuadi, 1995. (HS)
  • Agamben, Giorgio. The Man without Content, tr. Georgia Albert, Stanford University Press, Stanford, 1999; L’”uomo senza contenuto, Quodlibet, 1994.
  • Agamben, Giorgio. The End of the Poem: Studies in Poetics, tr. Daniel Heller-Roazen, Stanford University Press, Stanford, 1999. Categorie Italiane: Studi di poetica, Marsilio Editori, 1996. (EP)
  • Agamben, Giorgio. Potentialities: Collected Essays in Philosophy, ed. and tr. Daniel Heller-Roazen, Stanford University Press, Stanford, 1999. (P)
  • Agamben, Giorgio. Remnants of Auschwitz, tr. Daniel Heller-Roazen, Zone Books, New York, 1999; Quel che resta di Auschwitz, (RA)
  • Agamben, Giorgio. Means without End: Notes on Politics, tr. Vincenzo Binetti and Cesare Casarino, University of Minnesota Press, Minneapolis, 2000; Mezzi sensa fine, Bollati Boringhieri, 1996. (ME)
  • Agamben, Giorgio. The Open: Man and Animal, tr. Kevin Attell, Stanford University Press, Stanford, 2004; L’aperto: L’uomo e l’animale, Bollati Boringhieri, 2002 (TO)
  • Agamben, Giorgio. State of Exception, tr. Kevin Attell, The University of Chicago Press, Chicago; 2005; Il Stato eccezione, Bollati Boringhieri, 2003. (SE)
  • Benjamin, Walter. “Critique of Violence,” Reflections: Essays, Aphorisms, Autobiographical Writings, ed. Peter Demetz, tr. Edmund Jephcott, Schocken Books, New York: 1978, 277-300. (TPF)
  • Agamben, Giorgio. “Theologico-Political Fragment,” Reflections: Essays, Aphorisms, Autobiographical Writings, ed. Peter Demetz, tr. Edmund Jephcott, Schocken Books, New York: 1978, 312.
  • Benjamin, Walter. “Theses on the Philosophy of History” Illuminations, ed. Hannah Arendt, tr. Harry Zohn, Fontana, 1973.
  • Foucault, M. History of Sexuality, Volume 1: An Introduction, tr. R Hurley, Penguin, London: 1981.

Author Information:

Catherine Mills
University of New South Wales
Email: catherine.mills@unsw.edu.au
U. S. A.

Aristotle: Biology

Aristotle (384-322 B.C.E.) may be said to be the first biologist in the Western tradition. Though there are physicians and other natural philosophers who remark on various flora and fauna before Aristotle, none of them brings to his study a systematic critical empiricism. Aristotle’s biological science is important to understand, not only because it gives us a view into the history and philosophy of science, but also because it allows us more deeply to understand his non-biological works, since certain key concepts from Aristotle’s biology repeat themselves in his other writings. Since a significant portion of the corpus of Aristotle’s work is on biology, it is natural to expect his work in biology to resonate in his other writings. One may, for example, use concepts from the biological works to better understand the ethics or metaphysics of Aristotle.

This article will begin with a brief explanation of his biological views and move toward several key explanatory concepts that Aristotle employs. These concepts are essential because they stand as candidates for a philosophy of biology. If Aristotle’s principles are insightful, then he has gone a long way towards creating the first systematic and critical system of biological thought. It is for this reason (rather than the particular observations themselves) that moderns are interested in Aristotle’s biological writings.

Table of Contents

  1. His Life
  2. The Scope of Aristotle’s Biological Works
  3. The Specialist and the Generalist
  4. The Two Modes of Causal Explanation
  5. Aristotle’s Theory of Soul
  6. The Biological Practice: Outlines of a Systematics
  7. “The more and the less” and “Epi to polu”
  8. Significant Achievements and Mistakes
  9. Conclusion
  10. References and Further Reading
    1. Primary Text
    2. Key Texts in Translation
    3. Selected Secondary Sources

1. His Life

Aristotle was born in the year 384 B.C. in the town of Stagira (the modern town Stavros), a coastal Macedonian town to the north of Greece. He was raised at the court of Amyntas where he probably met and was friends with Philip (later to become king and father to Alexander, the Great). When Aristotle was around 18, he was sent to Athens to study in Plato’s Academy. Aristotle spent twenty years at the Academy until Plato’s death, although Diogenes says Aristotle left before Plato’s death. When Plato was succeeded by his nephew, Speusippus, as head of the Academy, Aristotle accepted an invitation to join a former student, Hermeias, who was gathering a Platonic circle about him in Assos in Mysia (near Troy). Aristotle spent three years in this environment. During this time, he may have done some of the natural investigations that later became The History of Animals.

At the end of Aristotle’s stay in Mysia, he moved to Lesbos (an adjacent island). This move may have been prompted by Theophrastus, a fellow of the Academy who was much influenced by Aristotle. It is probable (according to D’Arcy Thompson) that Aristotle performed some important biological investigations during this period.

Aristotle returned to Athens (circa 334-5). This began a period of great productivity. He rented some grounds in woods sacred to Apollo. It was here that Aristotle set-up his school (Diog. Laert V, 51).

At his school Aristotle also accumulated a large number of manuscripts and created a library that was a model for later libraries in Alexandria and Pergamon. According to one tradition, Alexander (his former pupil) paid him a handsome sum of money each year as a form of gratitude (as well as some exotic animals for Aristotle to study that Alexander encountered in his conquests).

At the death of Alexander in 323, Athens once again was full of anti-Macedonian sentiment. A charge of impiety was brought against Aristotle due to a poem he had written for Hermeias. One martyr for philosophy (Socrates) was enough for Aristotle and so he left his school to his colleague, Theophrastus, and fled to the Macedonian Chalcis. Here in 322 he died of a disease that is still the subject of speculation.

2. The Scope of Aristotle’s Biological Works

There is some dispute as to which works should be classified as the biological works of Aristotle. This is indeed a contentious question that is especially difficult for a systematic philosopher such as Aristotle. Generally speaking, a systematic philosopher is one who constructs various philosophical distinctions that, in turn, can be applied to a number of different contexts. Thus, a distinction such as “the more and the less” that has its roots in biology explaining that certain animal parts are greater (bigger) among some individuals and smaller among others, can also be used in the ethics as a cornerstone of the doctrine of the mean as a criterion for virtue. That is, one varies from the mean by the principle of the more and the less. For example, if courage is the mean, then the defect of excess would be “foolhardiness” while the defect of paucity would be “cowardice.” The boundary between what we’d consider “biology” proper vs. what we’d think of as psychology, philosophy of mind, and metaphysics is often hard to draw in Aristotle. That’s because Aristotle’s understanding of biology informs his metaphysics and philosophy of mind, but likewise, he often uses the distinctions drawn in his metaphysics in order to deal with biological issues.

In this article, the biological works are: (a) works that deal specifically with biological topics such as: The Parts of Animals (PA), The Generation of Animals (GA), The History of Animals (HA), The Movement of Animals, The Progression of Animals, On Sense and Sensible Objects, On Memory and Recollection, On Sleep and Waking, On Dreams, On Prophecy in Sleep, On Length and Shortness of Life, On Youth and Old Age, On Life and Death, On Respiration, On Breath, and On Plants, and  (b) the work that deals with psuche (soul), On the Soul—though this work deals with metaphysical issues very explicitly, as well. This list does not include works such as the Metaphysics, Physics, Posterior Analytics, Categories, Nicomachean Ethics, or The Politics even though they contain many arguments that are augmented by an understanding of Aristotle’s biological science. Nor does this article examine any of the reputedly lost works (listed by ancient authors but not existing today) such as Dissections, On Composite Animals, On Sterility, On Physiognomy, and On Medicine . Some of these titles may have sections that have survived in part within the present corpus, but this is doubtful.

3. The Specialist and the Generalist

The distinction between the specialist and the generalist is a good starting point for understanding Aristotle’s philosophy of biology. The specialist is one who has a considerable body of experience in practical fieldwork while the generalist is one who knows many different areas of study. This distinction is brought out in Book One of the Parts of Animals (PA). At PA 639a 1-7 Aristotle says,

In all study and investigation, be it exalted or mundane, there appear to be two types of proficiency: one is that of exact, scientific knowledge while the other is a generalist’s understanding. (my tr.)

Aristotle does not mean to denigrate or to exalt either. Both are necessary for natural investigations. The generalist’s understanding is holistic and puts some area of study into a proper genus, while scientific knowledge deals with causes and definitions at the level of the species. These two skills are demonstrated by the following example:

An example of what I mean is the question of whether one should take a single species and state its differentia independently, for example, homo sapiens nature or the nature of Lions or Oxen, etc., or should we first set down common attributes or a common character (PA 639a 15-19, my tr.).

In other words, the methodology of the specialist would be to observe and catalogue each separate species by itself. The generalist, on the other hand, is drawn to making more global connections through an understanding of the common character of many species. Both skills are needed. Here and elsewhere Aristotle demonstrates the limitations of a single mode of discovery. We cannot simply set out a single path toward scientific investigation—whether it be demonstrative (logical) exactness (the specialist’s understanding) or holistic understanding (the generalist’s knowledge). Neither direction (specialist or generalist) is the one and only way to truth. Really, it is a little of both working in tandem. Sometimes one half takes the lead and sometimes the other. The adoption of several methods is a cornerstone of Aristotelian pluralism, a methodological principle that characterizes much of his work.

When discussing biological science, Aristotle presents the reader two directions: (a) the modes of discovery (genetic order) and (b) the presentation of a completed science (logical order). In the mode of discovery, the specialist sets out all the phenomena in as much detail as possible while the generalist must use her inter-generic knowledge to sort out what may or may not be significant in the event taking place before her. This is because in the mode of discovery, the investigator is in the genetic order. Some possible errors that could be made in this order (for example) might be mistaking certain animal behaviors for an end for which they were not intended. For example, it is very easy to mistake mating behavior for aggressive territorial behavior. Since the generalist has seen many different types of animals, she may be in the best position (on the basis of generic analogy) to classify the sort of behavior in question.

In the mode of discovery one begins with the phenomenon and then seeks to create a causal explanation (PA 646a 25). But how does one go about doing this? In the Posterior Analytics II.19, Aristotle suggests a process of induction that begins with the particular and then moves to the universal. Arriving at the universal entails a comprehensive understanding of some phenomenon. For example, if one wanted to know whether fish sleep, one would first observe fish in their environment. If one of the behaviors of the fish meets the common understanding of sleep (such as being deadened to outside stimulus, showing little to no movement, and so forth), then one may move to the generalization that fish sleep (On Sleeping and Waking 455b 8, cf. On Dreams 458b 9). But one cannot stop there. Once one has determined that fish sleep (via the inductive mode of discovery), it is now up to the researcher to ferret out the causes and reasons why, in a systematic fashion. This second step is the mode of presentation. In this mode the practitioner of biological science seeks to understand why the universal is as it is. Going back to the example of sleeping fish, the scientist would ask why fish need to sleep. Is it by analogy to humans and other animals that seem to gather strength through sleep? What ways might sleep be dangerous (say by opening the individual fish to being eaten)? What do fish do to avoid this?

These, and other questions require the practitioner to work back and forth with what has been set down in the mode of discovery for the purpose of providing an explanation. The most important tools for this exercise are the two modes of causal explanation.

4. The Two Modes of Causal Explanation

For Aristotle there are four causes: material, efficient, formal, and final. The material cause is characterized as “That out of which something existing becomes” (Phys. 194b 24). The material has the potential for the range of final products. Within the material is, in a potential sense, that which is to be formed. Obviously, one piece of wood or metal has the potential to be many artifacts; yet the possibilities are not infinite. The material itself puts constraint upon what can be produced from it. One can execute designs in glass, for example, which could never be brought forth from brass.

The efficient cause is depicted as “that from whence comes the first principle of kinetic change or rest” (Phys. 194b 30). Aristotle gives the example of a male fathering a child as showing an efficient cause. The efficient cause is the trigger that starts a process moving.

The formal cause constitutes the essence of something while the final cause is the purpose of something. For example, Aristotle believed the tongue to be for the purpose of either talking or not. If the tongue was for the purpose of talking (final cause), then it had to be shaped in a certain way, wide and supple so that it might form subtle differences in sound (formal cause). In this way the purpose of the tongue for speaking dovetails with the structural way it might be brought about (P.A. 660a 27-32).

It is generally the case that Aristotle in his biological science interrelates the final and formal causes. For example Aristotle says that the efficient cause may be inadequate to explain change. In the On Generation and Corruption 336a Aristotle states that all natural efficient causes are regulated by formal causes. “It is clear then that fire itself acts and is acted upon.” What this means is that while the fire does act as efficient cause, the manner of this action is regulated by a formal/final cause. The formal cause (via the doctrine of natural place—that arranges an ascending hierarchy among the elements, earth, water, air and fire) dictates that fire is the highest level of the sub-lunar phenomena. Thus, its essence defines its purpose, namely, to travel upward toward its own natural place. In this way the formal and final cause act together to guide the actions of fire (efficient cause) to point upward toward its natural place.

Aristotle (at least in the biological works) invokes a strategy of redundant explanation. Taken at its simplest level, he gives four accounts of everything. However, in the actual practice, it comes about that he really only offers two accounts. In the first account he presents a case for understanding an event via material/kinetic means. For the sake of simplicity, let us call this the ME (materially-based causal explanation) account.

In the second case he presents aspects of essence (formal cause) and purpose (final cause). These are presented together. For the sake of simplicity, let us call this the TE (teleologically-based causal explanation) account. For an example of how these work together, consider respiration.

Aristotle believes that material and efficient causes can give one account of the motions of the air in and out of the lungs for respiration. But this is only part of the story. One must also consider the purpose of respiration and how this essence affects the entire organism (PA 642a 31-642b 4). Thus the combination of the efficient and material causes are lumped together as one sort of explanation ME that focus upon how the nature of hot and cold air form a sort of current that brings in new air and exhales the old. The final and formal causes are linked together as another sort of explanation TE that is tied to why we have respiration in the first place.

In Aristotle’s account respiration we are presented with a partner to TE and ME: necessity. When necessity attaches itself to ME it is called simple or absolute necessity. When necessity attaches itself to TE it is called conditional necessity. Let us return to our example of respiration and examine these concepts in more detail.

First, then there is the formal/final cause of respiration. Respiration exists so that air might be brought into the body for the creation of pneuma (a vital force essential for life). If there were no respiration, there would be no intake of air and no way for it to be heated in the region of the heart and turned intopneuma—an element necessary for life among the blooded animals who live out of water. Thus the TE for respiration is for the sake of producing an essential raw material for the creation of pneuma.

The second mode of explanation, ME, concerns the material and efficient causes related to respiration. These have to do with the manner of a quasi-gas law theory. The hot air in the lungs will tend to stay there unless it is pushed out by the cold incoming air that hurries its exit (cf. On Breath 481b 11). (This is because ‘hot’ and ‘cold’ are two of the essential contraries hot/cold & wet/dry). It is the material natures of the elements that dictate its motions. This is the realm of the ME.

ME is an important mode of explanation because it grounds the practitioner in the empirical facts so that he may not incline himself to offer mere a priori causal accounts. When one is forced to give material and kinetic accounts of some event, then one is grounded in the tangible dynamics of what is happening. This is one important requirement for knowledge.

Now to necessity. Necessity can be represented as a modal operator that can attach itself to either TE or to ME. When it attaches itself to TE, the result is conditional necessity. In conditional necessity one must always begin with the end to be achieved. For example, if one assumes the teleological assumption of natural efficiency, Nature does nothing in vain (GA 741b 5, cf. 739b20, et. al.) then the functions of various animal parts must be viewed within that frame. If we know that respiration is necessary for life, then what animal parts are necessary to allow respiration within different species? The acceptance of the end of respiration causes the investigator to account for how it can occur within a species. The same could be said for other given ends such as “gaining nutrition,” “defending one’s self from attack,” and “reproduction,” among others. When the biologist begins his investigation with some end (whether in the mode of discovery or the mode of scientific presentation), he is creating an account of conditional necessity.

The other sort of necessity is absolute necessity that is the result of matter following its nature (such as fire moving to its natural place). The very nature of the material, itself, creates the dynamics—such as the quasi gas law interactions between the hot and cold air in the lungs. These dynamics may be described without proximate reference to the purpose of the event. In this way ME can function by itself along with simple necessity to give one complete account of an event.

In biological science Aristotle believes that conditional necessity is the most useful of the two necessities in discovery and explanation (PA 639b 25). This is because, in biology, there is a sense that the entire explanation always requires the purpose to set out the boundaries of what is and what is not significant. However, in his practice it is most often the case that Aristotle employs two complete accounts ME and TE in order to reveal different modes of explanation according to his doctrine of pluralism.

5. Aristotle’s Theory of Soul

The word for ‘soul’ in Aristotle is psuche. In Latin it is translated as anima. For many readers, it is the use of the Latin term (particularly as it was used by Christian, Moslem, and Jewish theologians) that forms the basis of our modern understanding of the word. Under the theological tradition, the soul meant an immaterial, detached ruling power within a human. It was immortal and went to God after death. This tradition gave rise to Descartes’ metaphysical dualism: the doctrine that there are two sorts of things that exist (soul and matter), and that soul ruled matter.

Aristotle does not think of soul as the aforementioned theologians do. This is because matter (hyle) and shape (morphe) combine to create a unity not a duality. The philosopher can intellectually abstract out the separate constituents, but in reality they are always united. This unity is often termed hylomorphism (after its root words). Using the terminology of the last section we can identify hyle with ME and morphe with TE. Thus, Aristotle’s doctrine of the soul (understood as hylomorphism) represents a unity of form and function within matter.

From the biological perspective, soul demarcates three sorts of living things: plants, animals, and human beings. In this way soul acts as the cause of a body’s being alive (De An 415b 8). This amalgamation (soul and body) exhibits itself through the presentation of a particular power that characterizes what it means to be alive for that sort of living thing.

The soul is the form of a living body thus constituting its first actuality. Together the body and soul form an amalgamation. This is because when we analyze the whole into its component parts the particular power of the amalgamation is lost. Matter without TE, as we have seen, acts through the nature of its elements (earth, air, fire, and water) and not for its organic purpose. An example that illustrates the relationship between form and matter is the human eye. When an eye is situated in a living body, the matter (and the motions of that matter) of the eye works with the other parts of the body to present the actualization of a particular power: sight. When governed by the actuality (or fulfillment) of its purpose, an eyeball can see (De An 412b 17). Both the matter of the eyeball and its various neural connections (hyle, understood as ME) along with the formal and final causes (morphe, understood as TE) are necessary for sight. Each part has its particular purpose, and that purpose is given through its contribution to the basic tasks associated with essence of the sort of thing in question: plant, animal, human.

It is important not to slip into the theological cum Cartesian sense of anima here. To say that plants and animals have souls is not to assert that there is a Divine rose garden or hound Heaven. We must remember that soul for Aristotle is a hylomorphic unity representing a monism and not a dualism. (The rational soul’s status is less clear since it is situated in no particular organ since Aristotle rejected the brain as the organ of thinking relegating it to a cooling mechanism, PA652b 21-25). It is the dynamic, vital organizing principle of life—nothing more, nothing less.

Plants exhibit the most basic power that living organisms possess: nutrition and reproduction (De An 414a 31). The purpose of a plant is to take in and process materials in such a way that the plant grows. Several consequences follow (for the most part) from an individual plant having a well-operating nutritive soul. Let’s examine one sort of plant, a tree. If a plant exhibits excellence in taking in and processing nutrition it will exhibit various positive effects. First, the tree will have tallness and girth that will see it through different weather conditions. Second, it will live longer. Third, it will drop lots of seeds giving rise to other trees. Thus, if we were to compare two individual trees (of the same species), and one was tall and robust while the other was small and thin, then we would be able to render a judgment about the two individual trees on the basis of their fulfillment of their purpose as plants within that species. The tall and robust tree of that species would be a better tree (functionally). The small and thin tree would be condemned as failing to fulfill its purpose as a plant within that species.

Animals contain the nutritive soul plus some of the following powers: appetite, sensation, and locomotion (De An 414a 30, 414b 1-415a 13). Now, not all animals have all the same powers. For example, some (like dogs) have a developed sense of smell, while others (like cats) have a developed ability to run quickly with balance. This makes simple comparisons between species more difficult, but within one species the same sort of analysis used with plants also holds. That is, between two individual dogs one dog can (for example) smell his prey up to 200 meters away while the other dog can only detect his prey up to 50 meters. (This assumes that being able to detect prey from a distance allows the individual to eat more often.) The first dog is better because he has fulfilled his soul’s function better than the second. The first dog is thus a good dog while the second a bad example of one. What is important here is that animals judged as animals must fulfill that power (soul) particular to it specifically in order to be functionally excellent. This means that dogs (for example) are proximately judged on their olfactory sense and remotely upon their ability to take in nutrition and to reproduce.

Humans contain the nutritive soul and the appetitive-sensory-locomotive souls along with the rational soul. This power is given in a passive, active, and imaginative sense (De An III 3-5). What this means is that first there is a power in the rational soul to perceive sensation and to process it in such a way that it is intelligible. Next, one is able to use the data received in the first step as material for analysis and reflection. This involves the active agency of the mind. Finally, the result (having both a sensory and ratiocinative element) can be arranged in a novel fashion so that the universal mixes with the perceived particular. This is imagination (De An III.3). For example, one might perceive in step-one that your door is hanging at a slant. In step-two you examine the hinges and ponder why the door is hanging in just this way. Finally, in step-three you consider types of solutions that might solve the problem—such as taking a plane to the top of the door, or inserting a “shim” behind one of the hinges. You make your decision about this door in front of you based upon your assessment of the various generic solutions.

The rational soul, thus understood as a multi-step imaginative process, gives rise to theoretical and practical knowledge that, in turn, have other sub-divisions (EN VI). Just as the single nutritive soul of plants was greatly complicated by the addition of souls for the animals, so also is the situation even more complicated with the addition of the rational soul for humans. This is because it has so many different applications. For example, one person may know right and wrong and can act on this knowledge and create habits of the same while another may have productive knowledge of an artist who is able to master the functional requirements of his craft in order to produce well-wrought artifacts. Just as it is hard to compare cats and dogs among animal souls, so it is difficult to judge various instantiations of excellence among human rational souls. However, it is clear that between two persons compared on their ethical virtues and two artists compared on their productive wisdom, we may make intra-category judgments about each. These sorts of judgments begin with a biological understanding of what it means to be a human being and how one may fulfill her biological function based on her possession of the human rational soul (understood in one of the sub-categories of reason). Again, a biological understanding of the soul has implications beyond the field of biology/psychology.

6. The Biological Practice: Outlines of a Systematics

Systematics is the study of how one ought to create a system of biological classification and thus perform taxonomy. (“Systematics” is not to be confused with being a “systematic philosopher.” The former term has a technical meaning related to the theoretical foundations of animal classification and taxonomy. The latter phrase has to do with a tightly structured interlocking philosophical account.) In Aristotle’s logical works, he creates a theory of definition. According to Aristotle, the best way to create a definition is to find the proximate group in which the type of thing resides. For example, humans are a type of thing (species) and their proximate group is animal (or blooded animal). The proximate group is called thegenus. Thus the genus is a larger group of which the species is merely one proper subset. What marks off that particular species as unique? This is the differentia or the essential defining trait. In our example with humans the differentia is “rationality.” Thus the definition of “human” is a rational animal. “Human” is the species, “animal” is the genus and “rationality” is the differentia.

In a similar way, Aristotle adapts his logical theory of genus and species to biology. By thinking in terms of species and their proximate genus, Aristotle makes a statement about the connections between various types of animals. Aristotle does not create a full-blown classification system that can describe all animals, but he does lay the theoretical foundations for such.

The first overarching categories are the blooded and the non-blooded animals. The animals covered by this distinction roughly correspond to the modern distinction between vertebrates and invertebrates. There are also two classes of dualizers that are animals that fit somewhat between categories. Here is a sketch of the categorization:

I. Blooded Animals

A. Live bearing animals

1. Homo Sapiens2. Other mammals without a distinction for primates

B. Egg-laying animals

1. Birds2. Fish

I. Non-Blooded Animals

A. Shell skinned sea animals: testaceaB. Soft shelled sea animals: Crustacea

C. Non-shelled soft skinned sea animals: Cephalopods

D. Insects

E. Bees

I. Dualizers (animals that share properties of more than one group)

A. Whales, seals and porpoises—they give live birth yet they live in the seaB. Bats—they have four appendages yet they fly

C. Sponges—they act like both plants and like animals

Aristotle’s proto-system of classification differs from that of his predecessors who used habitat and other non-functional criteria to classify animals. For example, one theory commonly set out three large groups: air, land, and sea creatures. Because of the functional orientation of Aristotle’s TE, Aristotle repudiates any classification system based upon non-functional accidents. What is important is that the primary activities of life are carried out efficiently through specially designated body parts.

Though Aristotle’s work on classification is by no means comprehensive (but is rather a series of reflections on how to create one), it is appropriate to describe it as meta-systematics. Such reflections are consistent with his other key explanatory concepts of functionalism (TE and ME) as well as his work on logic in the Organon with respect to the utilization of genus and species. Though incomplete, this again is a blueprint of how to construct a systematics. The general structure of meta-systematics also acts as an independent principle that permits Aristotle to examine animals together that are functionally similar. Such a move enhances the reliability of analogy as a tool of explanation.

7. “The more and the less” and “Epi to polu”

“The more and the less” is an explanatory concept that is allied to the ME account. Principally, it is a way that individuation occurs in the non-uniform parts. Aristotle distinguishes two sorts of parts in animals: the uniform and the non-uniform. The uniform parts are those that if you dumped them into a bucket and cut the bucket in half, they would still remain the same. For example, blood is a uniform part. Dump blood into a bucket and cut it in half and it’s still the same blood (just half the quantity). The same is true of tissue, cartilage, tendons, skin, et al. Non-uniform parts change when the bucket test is applied. If you dump a lung into a bucket and cut it in half, you no longer have a proper organ. The same holds true of other organs: heart, liver, pancreas, and so forth, as well as the skeleton (Uniform Parts—PA 646b 20, 648b, 650a 20, 650b, 651b 20, 652a 23; Non-Uniform Parts—PA 656b 25, 622a 17, 665b 20, 683a 20, 684a 25.)

When an individual has excess nutrition (trophe), the excess (perittoma) often is distributed all around (GA 734b 25). An external observer does not perceive the changes to the uniform parts—except, perhaps, stomach fat. But such an observer would perceive the difference in a child who has been well fed (whose non-uniform parts are bigger) than one who hasn’t. The difference is accounted for by the principle of the more and the less.

How does an external observer differentiate between any two people? The answer is that the non-uniform parts (particularly the skeletal structure) differ. Thus, one person’s nose is longer, another stands taller, a third is broader in the shoulders, etc. We all have noses, stand within a range of height and broadness of shoulders, etc. The particular mix that we each possess makes us individuals.

Sometimes, this mix goes beyond the range of the species (eidos). In these instances a part becomes non-functional because it has too much material or too little. Such situations are beyond the natural range one might expect within the species. Because of this, the instance involved is characterized as being unnatural (para phusin).

The possibility of unnatural events occurring in nature affects the status of explanatory principles in biology. We remember from above that there are two sorts of necessity: conditional and absolute. The absolute necessity never fails. It is the sort of necessity that one can apply to the stars that exist in the super lunar realm. One can create star charts of the heavens that will be accurate for a thousand years forward or backward. This is because of the mode of absolute necessity.

However, because conditional necessity depends upon its telos, and because of the principle of the more and the less that is non-teleologically (ME) driven, there can arise a sort of spontaneity (cf. automaton, Phys. II.6) that can alter the normal, expected execution of a task because spontaneity is purposeless. In these cases the input from the material cause is greater or lesser than is usually the case. The result is an unnatural outcome based upon the principle of the more and the less. An example of this might be obesity. Nourishment is delivered to the body in a hierarchical fashion beginning with the primary needs. When all biological needs are met, then the excess goes into hair, nails and body fat. Excess body fat can impair proper function, but not out of design.

Because of the possibility of spontaneity and its unintended consequences, the necessary operative in biological events (conditional necessity) is only “for the most part” (hôs epi to polu). We cannot expect biological explanatory principles to be of the same order as those of the stars. Ceteris paribis principles are the best the biological realm can give. This brute fact gives rise to a different set of epistemic expectations than are often raised in the Prior Analytics and the Posterior Analytics. Our expectations for biology are for general rules that are true in most cases but have many exceptions. This means that biology cannot be an exact science, unlike astronomy. If there are always going to be exceptions that are contrary to nature, then the biologist must do his biology with toleration for these sorts of peripheral anomalies. This disposition is characterized by the doctrine of epi to polu.

8. Significant Achievements and Mistakes

This section will highlight a few of Aristotle’s biological achievements from the perspective of over 2,300 years of hindsight. For simplicity’s sake let us break these up into “bad calls” (observations and conclusions that have proven to be wrong) and “good calls” (observations and conclusions that have proven to be very accurate).

We begin with the bad calls: let’s start with a few of Aristotle’s mistakes. First, Aristotle believed that thinking occurred in the region around the heart and not in the brain (a cooling organ, PA 652b 21-25, cf. HA 514a 16-22). Second, Aristotle thought that men were hotter than women (the opposite is the case). Third, Aristotle overweighed the male contribution in reproduction. Fourth, little details are often amiss such as the number of teeth in women. Fifth, Aristotle believed that spontaneous generation could occur. For example, Aristotle observed that from animal dung certain flies could appear (even though careful observation did not reveal any flies mating and laying their eggs in the dung. The possibility of the eggs already existing in the abdomen of the animal did not occur to Aristotle.) However, these sorts of mistakes are more often than not the result of an a priori principle such as “women being colder and less perfectly formed than men” or the application of his method on (in principle) unobservables—such as human conception in which it is posited that the male provides the efficient, formal, and final cause while the woman provides merely the material cause.

Good Calls: Aristotle examined over 500 different species of animals. Some species came from fishermen, hunters, farmers, and perhaps Alexander. Many other species were viewed in nature by Aristotle. There are some very exact observations made by Aristotle during his stay at Lesbos. It is virtually certain that his early dissection skills were utilized solely upon animals (due to the social prohibition on dissecting humans). One example of this comes from the Generation of Animals in which Aristotle breaks open fertilized chicken eggs at carefully controlled intervals to observe when visible organs were generated. The first organ Aristotle saw was the heart. (In fact it is the spinal cord and the beginnings of the nervous system, but this is not visible without employing modern staining techniques.) On eggs opened later, Aristotle saw other organs. This led Aristotle to come out against a popular theory of conception and development entitled, “the pre-formation theory.” In the pre-formation theory, whose advocates extended until the eighteenth century, all the parts appear all at once and development is merely the growth of these essential parts. The contrary theory that Aristotle espouses is the epigenetic theory. According to epigenesis, the parts are created in a nested hierarchical order. Thus, through his observation, Aristotle saw that the heart was formed first, then he postulated that other parts were formed (also backed-up by observation). Aristotle concludes,

I mean, for instance, not that the heart once formed, fashions the liver, and then the liver fashions something else; but that the one is formed after the other (just as man is formed in time after a child), not by it. The reason of this is that so far as the things formed by nature or by human art are concerned, the formation of that which is potentially brought about by that which is in actuality; so that the form of B would have to be contained in A, e.g., the form of liver would have to be in the heart—which is absurd. (GA 734a 28-35, Peck trans.)

In epigenesis the controlling process of development operates according to the TE plan of creating the most important parts first. Since the heart is the principle (arche) of the body, being the center of blood production and sensation/intelligence, it is appropriate that it should be created first. Then other parts such as the liver, etc. are then created in their appropriate order. The epigenesis-preformation debate lasted two thousand years and Aristotle got it right.

Another interesting observation by Aristotle is the discovery of the reproductive mode of the dog shark,Mustelus laevis (HA 6.10, 565b 1ff.). This species is externally viviparous (live bearing) yet internally oviparous (egg bearing). Such an observation could only have come from dissections and careful observations.

Another observation concerns the reproductive habits of cuttlefish. In this process of hectocotylization, the sperm of the Argonauta among other allied species comes in large spermataphores that the male transfers to the mantle cavity of the female. This complicated maneuver, described in HA 524a 4-5, 541b 9-15, cf. 544a 12, GA 720b 33, was not fully verified by moderns until 1959!

Though Aristotle’s observations on bees in HA seems to be entirely from the beekeeper’s point of view (HA 625b7-22), he does note that there are three classes of bees and that sexual reproduction requires that one class give way. He begins his discussion in the Generation of Animals with the following remark, “The generation of bees is beset with many problems” (GA 759a 9). If there are three classes and two genders, then something is amiss. Aristotle goes through what he feels to be all the possibilities. Though the observations are probably second-hand, Aristotle is still able to evaluate the data. He employs his systematic theory using the over-riding meta-principle that Nature always acts in an orderly way (GA 760a 32) to form his explanation of the function of each type of bee. This means that there must be a purposeful process (TE) that guides generation. However, since neither Aristotle nor the beekeepers had ever seen bee copulation, and since Aristotle allows for asexual generation in some fish, he believes that the case of bees offers him another case in which one class is sterile (complies with modern theory on worker bees), another class creates its own kind and another (this is meant to correspond to the Queen bee—that Aristotle calls a King Bee because it has a stinger and females in nature never have defensive weapons), while the third class creates not its own class but another (this is the drone).

Aristotle has got some of this right and some of it wrong. What he has right is first, bees are unusual in having three classes. Second, one class is infertile and works for the good of the whole. Third, one class (the Queen) is a super-reproducer. However, in the case of bees it is Aristotle’s method rather than his results that stirs admiration. Three meta-principles cause particular note:

  1. Reproduction works with two groups not three. The quickest “solution” would have been to make one group sterile and then make the other two male and female. [This would have been the correct response.] However, since none of the beekeepers reported anything like reproductive behavior among bees and because Aristotle’s own limited observations also do not note this, he is reluctant to make such a reply. It is on the basis of the phainomena that Aristotle rejects bee copulation (GA 759a 10).
  2. Aristotle holds that a priori argument alone is not enough. One must square the most likely explanation with the observed facts.
  3. Via analogy, Aristotle notes that some fish seem not to reproduce and even some flies are generated spontaneously. Thus, assigning the roles to the various classes that he does, Aristotle does not create a sui generis instance. By analogy to other suppositions of his biological theory, Aristotle is able to “solve” a troublesome case via reference to analogy. (Aristotle is also admirably cautious about his own theory, saying that more work is needed.)

What is most important in Aristotle’s accomplishments is his combination of keen observations with a critical scientific method that employs his systematic categories to solve problems in biology and then link these to other issues in human life.

9. Conclusion

Since Aristotle’s biological works comprise almost a third of his writings that have come down to us, and since these writings may have occurred early in his career, it is very possible that the influence of the biological works upon Aristotle’s other writings is considerable. Aristotle’s biological works (so often neglected) should be brought to the fore, not only in the history of biology, but also as a way of understanding some of Aristotle’s non-biological writings.

10. References and Further Reading

a. Primary Text

  • Bekker, Immanuel (ed) update by Olof Gigon , Aristotelis Opera. Berlin, Deutsche Akademie der Wissenschaften, 1831-1870, rpt. W. de Gruyter, 1960-1987.

b. Key Texts in Translation

  • Barnes, Jonathan (ed). The Complete Works of Aristotle: the Revised Oxford Translation. Princeton, NJ: Princeton University Press, 1984.
  • The Clarendon Series of Aristotle:
  • Balme, David (tr and ed). Updated by Allan Gotthelf, De Partibus Animalium I with De Generatione Animalium I (with passages from II 1-3). Oxford: Clarendon Press, 1993).
  • Lennox, James G. (tr and ed) Aristotle on the Parts of Animals I-4. Oxford: Clarendon Press, 2002.
  • The Loeb Series of Aristotle (opposite pages of Greek and English).

c. Selected Secondary Sources

  • Balme, David. “Aristotle’s Use of Differentiae in Zoology.” Aristote et les Problèms de Méthode.Louvain: Publications Universitaires 1961.
  • Balme, David. “GENOS and EIDOS in Aristotle’s Biology” The Classical Quarterly. 12 (1962): 81-88.
  • Balme, David. “Aristotle’s Biology was not Essentialist” Archiv Für Geschichte der Philosophie. 62.1 (1980): 1-12.
  • Bourgey, Louis. Observation et Experiénce chez Aristote. Paris: J. Vrin, 1955.
  • Boylan, Michael. “Mechanism and Teleology in Aristotle’s Biology” Apeiron 15.2 (1981): 96-102.
  • Boylan, Michael. “The Digestive and ‘Circulatory’ Systems in Aristotle’s Biology” Journal of the History of Biology 15.1 (1982): 89-118.
  • Boylan, Michael. Method and Practice in Aristotle’s Biology. Lanham, MD and London: University Press of America, 1983.
  • Boylan, Michael. “The Hippocratic and Galenic Challenges to Aristotle’s Conception Theory” Journal of the History of Biology 15.1 (1984): 83-112.
  • Boylan, Michael. “The Place of Nature in Aristotle’s Biology” Apeiron 19.1 (1985).
  • Boylan, Michael. “Galen’s Conception Theory” Journal of the History of Biology 19.1 (1986): 44-77.
  • Boylan, Michael. “Monadic and SystemicTEleology” in Modern Problems in Teleology ed. Nicholas Rescher (Washington, D.C.: University Press of America, 1986).
  • Charles, David. Aristotle on Meaning and Essence. Oxford: Oxford University Press, 2000.
  • Deverreux, Daniel and Pierre Pellegrin. Eds. Biologie, Logique et Métaphysique chez Aristote. Paris: Éditions du Centre National de la Recherche Scientifique,1990.
  • Düring, Ingemar. Aristotles De Partibus Animalium, Critical and Literary Commentary. Goeteborg, 1943, rpt. NY.: Garland, 1980.
  • Ferejohn, M. The Origins of Aristotelian Science. New Haven, CT: Yale University Press, 1990.
  • Gotthelf, Allan and James G. Lennox, eds. Philosophical Issues in Aristotle’s Biology. NY: Cambridge University Press, 1987.
  • Grene, Marjorie. A Portrait of Aristotle. Chicago: University of Chicago Press, 1963.
  • Joly, Robert. “La Charactérologie Antique Jusqu’ à Aristote. Revue Belge de Philologie et d’Histoire40 (1962): 5-28.
  • Kullmann, Wolfgang. Wissenscaft und Methode: Interpretationen zur Aristotelischen Theorie der Naturwissenschaft. Berlin: de Gruyter, 1974.
  • Kullmann, Wolfgang. Aristoteles und die moderne Wissenschaft Stuttgart: F. Steiner, 1998.
  • Kullmann, Wolfgang. “Aristotles’ wissenschaftliche Methode in seinen zoologischen Schriften” in Wörhle, G., ed. Geschichte der Mathematik und der Naturwissenschaften. Band 1 Stuttgart: F. Steiner, 1999, pp. 103-123.
  • Kullmann, Wolfgang. “Zoologische Sammelwerk in der Antike” in Wörhle, G., ed. Geschichte der Mathematik und der Naturwissenschaften. Band 1 Stuttgart: F. Steiner 1999, pp. 181-198.
  • Kung, Joan. “Some Aspects of Form in Aristotle’s Biology” Nature and System 2 (1980): 67-90.
  • Kung, Joan. “Aristotle on Thises, Suches and the Third Man Argument” Phronesis 26 (1981): 207-247.
  • Le Blonde, Jean Marie. Aristote, Philosophie de la Vie. Paris: Éditions Montaigne, 1945.
  • Lesher, James. “NOUS in the Parts of Animals.” Phronesis 18 (1973): 44-68.
  • Lennox, James. “Teleology, Chance, and Aristotle’s Theory of Spontaneous Generation” Journal of the History of Philosophy 20 (1982): 219-232.
  • Lennox, James. “The Place of Mankind in Aristotle’s Zoology” Philosophical Topics 25.1 (1999): 1-16.
  • Lennox, James. Aristotle’s Philosophy of Biology: Studies in the Origins of Life Sciences. NY: Cambridge University Press, 2001.
  • Lloyd, G.E.R. “Right and Left in Greek Philosophy” Journal of Hellenic Studies. 82 (1962): 67-90.
  • Lloyd, G.E.R. Polarity and Analogy. Cambridge: Cambridge University Press, 1966.
  • Lloyd, G.E.R. Aristotle: The Growth and Structure of his Thought. Cambridge: Cambridge University Press, 1969.
  • Lloyd, G.E.R. “Saving the Appearances” Classical Quarterly. n.s. 28 (1978): 202-222.
  • Lloyd, G.E.R. Magic, Reason, and Experience. Cambridge: Cambridge University Press, 1979.
  • Lloyd, G.E.R. The Revolutions of Wisdom. Berkeley, CA: University of California Press, 1987
  • Lloyd, G.E.R. Methods and Problems in Greek Science. Cambridge: Cambridge University Press, 1991.
  • Lloyd, G.E.R. Aristotelian Explorations. Cambridge: Cambridge University Press, 1996.
  • Louis, Pierre. “La Génération Spontanée chez Aristote” Congrèss International d’Histoire des Sciences (1968): 291-305.
  • Louis, Pierre. La Découverte de la Vie. Paris: Hermann, 1975.
  • Owen, G.E.L. “TITHENAI TA PHAINOMENA” Aristote et les Problèms de Méthode. Louvain, 1975.
  • Owen, G.E.L. The Platonism of Aristotle. London: British Academy: Dawes Hicks Lecture on Philosophy, 1965.
  • Pellegrin, Pierre. La Classification des Animaux chez Aristote: Statut de la Biologie et Unite de l’Aristotélisme. Paris: Societé d’édition “Les Belles Lettres,” 1982.
  • Pellegrin, Pierre. “Logical Difference and Biological Difference: The Unity of Aristotle’s Thought” in Gotthelf, Allan and James G. Lennox, eds. Philosophical Issues in Aristotle’s Biology. NY: Cambridge University Press, 1987, pp. 313-338.
  • Pellegrin, Pierre. “Taxonomie, moriologie, division” in Deverreux, Daniel and Pierre Pellegrin. Eds.Biologie, Logique et Métaphysique chez Aristote. Paris, 1990, 37-48.
  • Preus, Anthony. “Aristotle’s Parts of Animals 2.16 659b 13-19: Is it Authentic?” Classical Quarterly18.2 (1968): 170-178.
  • Preus, Anthony. “Nature Uses. . . .” Apeiron 3.2 (1969): 20-33.
  • Preus, Anthony. Science and Philosophy in Aristotle’s Biological Works. NY: Olhms, 1975.
  • Preus, Anthony. “Eidos as Norm” Nature and System 1 (1979): 79-103.
  • Solmsen, Friedrich. Aristotle’s System of the Physical World: A Comparison with his Predecessors.Ithaca, NY: Cornell University Press, 1960.
  • Sorabji, Richard. Necessity, Cause, and Blame. Ithaca, NY: Cornell University Press, 1980.
  • Thompson, D’Arcy. Aristotle as Biologist. Oxford: Oxford University Press, 1913.
  • Thompson, D’Arcy. Growth and Form. Cambridge: Cambridge University Press, 1917.
  • Ulmer, K. Wahrheit, Kunst und Natur bei Aristotles. Tübingen: M. Niemayer, 1953.
  • Witt, Charlotte. Substance and Essence in Aristotle: An Interpretation of Metaphysics VII-IX.Ithaca, NY: Cornell University Press, 1989.
  • Wörhle, Georg and Jochen Althoff, eds. Biologie in Geschichte der Mathematik und der Naturwissenschaften (series). Band 1 Stuttgart: F. Steiner, 1999.

Author Information

Michael Boylan
Email: michael.boylan@marymount.edu
Marymount University
U. S. A.

 

 

 

 

Ethical Criticism of Art

Traditionally, there were two opposing philosophical positions taken with respect to the legitimacy of the ethical evaluation of art: ‘moralism’ and ‘autonomism’, where moralism is the view that the aesthetic value of art should be determined by, or reduced to, its moral value, while autonomism holds that it is inappropriate to apply moral categories to art; they should be evaluated by ‘aesthetic’ standards alone. Recent work on the ethical criticism of art has proposed several new positions; more moderate versions of autonomism and moralism which lie between the two extremes described above. The issue has now become not one of whether moral evaluations of art works are appropriate, but rather, whether they should be described as aesthetic evaluations. The contemporary debate focuses on narrative art, which is seen as having unique features to which ethical criticism is particularly pertinent. Attempts have been made to simplify the issue of the ethical criticism of art by distancing peripheral issues such as causal claims about the effects of art on its audience and censorship. However, there is still considerable interest in the possibility of certain narrative artworks having the potential to play an important role in moral education. The debate over the ethical criticism of art therefore highlights some of the central reasons why we value narrative art, as well as questioning the scope, or the parameters, of our concept of the aesthetic.

Table of Contents

  1. Introduction
  2. Radical Autonomism and Radical Moralism
  3. Moderate Autonomism and Moderate Moralism
    1. Moderate Autonomism
    2. Moderate Moralism
    3. Moderate Autonomism vs Moderate Moralism
  4. Moderate Moralism and Ethicism
    1. Distinguishing Moderate Moralism from Ethicism
    2. Ethicism vs Moderate Moralism
  5. The Causal Thesis
    1. Literature and Moral Education
    2. Ethical Criticism and Censorship
  6. References and Further Reading

1. Introduction

‘Ethical criticism’ refers to the inclusion of an ethical component in the interpretation and evaluation of art. The two traditional opposing positions taken with respect to ethical criticism are ‘autonomism’ and ‘moralism’. The former claims that ethical criticism is never legitimate since moral and aesthetic value are autonomous, while the latter reduces aesthetic value to moral value. The extreme versions of autonomism and moralism, their appeal and their flaws, are discussed in section two.

In recent years, debate over ethical criticism has resurfaced, partly through the Ethical Criticism Symposium featured in Philosophy and Literature in 1997-8, which is discussed in the final section of this article, since it bears on the consideration of the causal thesis that certain literature can have positive moral effects on its audience. A second arm of the ethical criticism debate saw several more moderate, and more plausible, positions proposed. These are ‘moderate autonomism’, ‘moderate moralism’ and ‘ethicism’. In this body of literature too, the focus was on narrative art. What is at issue in the current debate is whether the realm of aesthetic value should be taken to include the moral value of narrative art (a) never, (b) only sometimes when an artwork displays moral features (merits or defects), or (c) whenever an artwork displays moral features (merits or defects). Due to differences between the modes of expression and content matter of the different art forms, it seems likely that what is true of the ethical criticism of narrative art, which often deals explicitly with human affairs and morality, may not be true of abstract art forms such as music and some fine arts and dance. Such art forms would require separate consideration and this is something which has not thus far been undertaken in the philosophical literature.

Section 3 considers the debate between moderate autonomism, defended by Anderson and Dean, and Noel Carroll’s moderate moralism, examining Carroll’s reasons for arguing that at least sometimes the moral features of narrative artworks are also aesthetic features. Section 4 introduces Berys Gaut’s ‘ethicism’, and examines the contention, made primarily by Anderson and Dean, that moderate moralism and ethicism are one and the same position. This claim is shown to be false, and the two positions are clearly distinguished. Much of the recent debate over ethical criticism – that is the debate between moderate autonomism, moderate moralism and ethicism – focusses on the flaws in the specific arguments presented for moderate moralism and ethicism. In fact, the central issue in the debate over ethical criticism, which is somewhat masked by the details, is how broadly the aesthetic should be defined. While the extreme positions, radical autonomism and radical moralism define the aesthetic most narrowly, the position which defines the aesthetic most broadly and inclusively is ethicism.

2. Radical Autonomism and Radical Moralism

There are two extreme positions traditionally taken with respect to the relationship between art and morality; one is autonomism, or aestheticism, which is the view that it is inappropriate to apply moral categories to artworks, and that only aesthetic categories are relevant, while at the other end of the scale is moralism, the view that aesthetic objects should be judged wholly or centrally with respect to moral standards or values. Both autonomism and moralism are widely recognised to be problematic, as they are based on inadequate conceptions of art and aesthetic value.

Radical Moralism is the view that the aesthetic value of an artwork is determined by its moral value. The most extreme version of this position reduces all aesthetic value to moral value. Proponents of radical moralism include Tolstoy, who, arguing against definitions of art that equated art with beauty, said: “The inaccuracy of all these definitions arises from the fact that in them all … the object considered is the pleasure art may give, and not the purpose it may serve in the life of man and of humanity.” Tolstoy emphasised the moral significance of art in society as essential to the (aesthetic) value of art. Social reductionism, such as the ‘popular aesthetic’ endorsed by Pierre Bourdieu, Roger Taylor and others, is also a version of radical moralism. Radical moralism has been widely criticised for ignoring certain fundamental aspects of aesthetic value, such as formal features. The radical moralist will have some difficulty explaining how art can be distinguished from other cultural products, including such things as political speeches, due to their failure to include in their criteria for making judgments about aesthetic value anything that is a unique feature of art.

Autonomism and aestheticism are essentially the same position. The label ‘autonomism’ captures the fact that this position holds that aesthetic value is autonomous from other kinds of value, such as moral value. The label ‘aestheticism’ captures the fact that the position emphasises the importance of focussing on theaesthetic, that is, the pure aesthetic, features of artworks. Pure aesthetic qualities may include formal features and beauty or, for some autonomists, formal features only. It is important to note that formalism and autonomism are not identical positions, although advocates of formalism will tend to be autonomists. Formalism, rejected earlier, is the view that the proper way to respond to art is to respond to its formal features or, in other words, that the aesthetic value of an artwork is determined solely by its formal features. A formalist, such as Clive Bell, would not include beauty as something we should respond to in art, but those formalists who do include beauty regard it as something that is determined by the formal features the artwork possesses.

“Aestheticism’ is perhaps the more appropriate label for the extreme position subscribed to by the aesthete – that aesthetic value is the highest of all values. Interestingly, although the aesthete might not be interested in defending their position, any attempt to do so would likely involve appeals to moral standards; that is, they would have to give a justification for their view that one should take on a predominantly aesthetic attitude in life in terms of moral value. For example, Richard Posner, in ‘Against Ethical Criticism’, appears to identify himself as an aesthete, but, ironically, an aesthete who wants to provide a moral justification for his position: “The aesthetic outlook is a moral outlook, one that stresses the values of openness, detachment, hedonism, curiosity, tolerance, the cultivation of the self, and the preservation of a private sphere – in short, the values of liberal individualism.”(1997, p. 2) Aestheticism, in it’s most extreme form, could almost be seen as a version of radical moralism. In any case, both positions are equally reductive with respect to the scope of aesthetic value.

However, ‘aestheticism’ does not always refer to the extreme position, and the terms ‘autonomism’ and ‘aestheticism’ can be used interchangeably. Autonomism has become the predominant term used in recent literature, most likely because it does capture the notion that aesthetic value is held to be an autonomous realm of value by those who subscribe to any version of this position. Radical Autonomism is the view that the proper way to respond to art is to respond only to the pure aesthetic qualities, or what is ‘in the work itself’; while to bring moral values, or other social values, to bear on art is a mistake. The radical autonomist’s motto is ‘art for art’s sake’. Oscar Wilde is an example of a radical autonomist. He wrote in the Preface to The Picture of Dorien Gray: “…to art’s subject matter we should be more or less indifferent,” and “Life is the solvent that breaks up art, the enemy that lays waste her house.” Wilde’s statements on the topic of and and morality are those of an autonomist, although the subject matter of his own work dealt explicitly with moral issues. His position appears to have been not that literary art can’t deal with moral issues as part of its subject matter, but simply that they are irrelevant to the aesthetic value of the art, and should not influence the audience’s, or critic’s, aesthetic response to the work. An autonomist position such as this is based on a narrow understanding of the aesthetic value of art, which values the way in which the subject matter of such art is represented (which may include formal features and beauty), but not the subject matter itself (which may include moral features). However, autonomism, while purporting to give aesthetic value primacy, neglects many of the potential ways in which art can have aesthetic value. Such a view ignores the fact that certain art forms are culturally embedded, and, as such, are inextricably bound up with important social values, such as moral value.

Noel Carroll explains the appeal of radical autonomism with reference to the “common denominator argument”; that is, the argument that it is only those features common to all art that are the essential defining features of art, and it is only these features that should properly be regarded as being within the realm of the aesthetic. (See ‘Moderate Moralism’, BJA, 36:3, 1996) As Carroll points out, the fact that radical autonomists have a ready answer to the questions -What are the unique and essential features common to all art? – or – What are the defining features of art? – is a central reason for the appeal of their position. This feature of autonomism appears to provide a straightforward way of distinguishing art from non-art, as well as providing specific grounds upon which to defend the objectivity of aesthetic value. A further reason autonomism initially seems intuitive is that it is difficult to see how moral considerations could be pertinent across whole art forms, such as music, and abstract art of various kinds.(p. 226) The above reasons make radical autonomism an attractive position, but its narrow construal of the aesthetic is too narrow to adequately account for the aesthetic value of certain art forms, or particular artworks. Besides, as was discussed earlier, attempting to define art in terms of essential criteria common to all artworks is not a promising strategy; the nature of art defies such restrictions. Carroll argues that “we can challenge [the radical autonomist’s] appeal to the nature of art with appeals to the natures of specific art forms or genres which, given what they are, warrant at least additional criteria of evaluation to supplement whatever the autonomist claims is the common denominator of aesthetic evaluation.” (p. 227)

What Carroll specifically has in mind is the role our moral understanding plays in our appreciation of narrative art. Carroll claims that narrative artworks are always incomplete, and that a certain amount of information has to be filled in by the reader or audience in order to make the work intelligible. This includes information which must be supplied by our moral understanding. He says: “…it is vastly improbable that there could be any substantial narrative of human affairs, especially a narrative artwork, that did not rely upon activating the moral powers of readers, viewers and listeners. Even modernist novels that appear to eschew ‘morality’ typically do so in order to challenge bourgeois morality and to enlist the reader in sharing their ethical disdain for it.” (p. 228) Examples of works which require the input of our moral understanding in order to make the narrative intelligible include Jane Austin’s Emma, George Elliot’s Middlemarch, and (ironically) Oscar Wilde’s The Picture of Dorian Gray.

3. Moderate Autonomism and Moderate Moralism

a. Moderate Autonomism

Moderate autonomism, defended by J. Anderson and J. Dean, is a more plausible position than radical autonomism; it recognises that moral merits or defects can feature in the content of certain art forms and that sometimes moral judgments of artworks are pertinent. However, moderate autonomism is still an autonomist position in the sense that it maintains that the aesthetic value and the moral value of artworks are autonomous. According to moderate autonomism: “an artwork will never be aesthetically better in virtue of its moral strengths, and will never be worse because of its moral defects. / On a strict reading of moderate autonomism, one of its decisive claims is that defective moral understanding never counts against the aesthetic merit of a work. An artwork may invite an audience to entertain a defective moral perspective and this will not detract from its aesthetic value.”(Carroll, 1996, p. 232) It is this central claim that both Carroll and Gaut argue against.

b. Moderate Moralism

Moderate autonomism stands in opposition to ‘Moderate moralism’: “[Moderate moralism] contends that some works of art may be evaluated morally (contra radical autonomism) and that sometimes the moral defects and/or merits of a work may figure in the aesthetic evaluation of the work.” (p. 236) The crucial difference between moderate autonomism and moderate moralism, then, is that while both agree that moral judgments can be legitimately made about certain artworks, moderate moralists contend that sometimes such judgments are aesthetic evaluations, while moderate autonomists hold that moral judgments about works of art are always outside the realm of the aesthetic. On the one hand, Anderson and Dean say, “some of the knowledge that art brings home to us may be moral knowledge. All this is granted when we agree that art is properly subject to moral evaluation. But why is this value aesthetic value?” (Anderson & Dean p. 160) On the other hand, Carroll says, “Moderate autonomists overlook the degree to which moral presuppositions play a structural role in the design of many artworks.”(Carroll 1996 p. 233) Carroll does not suggest that this is the only way in which moral features may contribute to a work’s aesthetic value; a more general account of this is described in the following section.

c. Moderate Autonomism vs Moderate Moralism

What is really at issue in the debate over ethical criticism is how broadly we define the aesthetic. But this is not simply arbitrary – what in fact are the boundaries of the aesthetic? Carroll aims to show, with reference to specific examples, that there are actual cases where a narrow construal of the aesthetic, such as the one adopted by moderate autonomists, is an inadequate way of understanding that work’s aesthetic value, and an inadequate way of understanding how we appreciate such artworks qua artworks. Even if moderate moralism is not the best way to explain the moral value of narrative artworks, Carroll is wise to turn to critical analysis of actual examples to support his argument, for this is where we can most clearly see the problems with moderate autonomism.

The central argument for moderate moralism (hereafter MM) is described as the ‘Common Reason Argument.’ Having first argued that many narrative artworks are incomplete in ways that require us to use our moral understanding in order to comprehend the work, Carroll then argues, with reference to examples, that because of this fact about narrative artworks, it is sometimes the case that a moral defect in a work will also be an aesthetic defect since it prevents us from fully engaging with that work. In other words, Carroll argues that in some cases the reason a work is morally flawed is the same reason the work is aesthetically flawed, and so in these cases the judgment that the work is morally flawed is also an aesthetic evaluation of that work. (Anderson & Dean, 1998, pp. 156-7) Mary Devereaux’s analysis ofTriumph of the Will provides an excellent example of this. (See her article ‘Beauty and Evil’ in Levinson,Aesthetics & Ethics, 1998). According to Devereaux, Triumph of the Will is morally problematic because it presents the Nazi regime as appealing. Although a morally sensitive audience might be able to appreciate some of the formal features exhibited in the film, such as the innovative camera work, such an audience would be unable to fully engage with the film due to an inability to accept the film’s central vision, that is, the glorification of Hitler and the Nazi regime. If the audience is unable to fully engage with the film’s central vision, this, according to Carroll’s MM, will count as an aesthetic defect in the film (because the magnitude of our aesthetic experience will be limited by our inability to fully engage with the film’s central theme). So, the very feature that makes the film morally defective is also one of most significant aesthetic defects in the film. Hence, the moral defectiveness and the aesthetic defectiveness are due to a common reason in this particular case.

In their argument against MM, Anderson and Dean construct two arguments, a ‘moral defect argument’ and an ‘aesthetic defect argument’, which, together, they take to represent the ‘common reason argument.’ The two arguments are presented as follows:

The Moral Defect Argument

  1. The perspective of the work in question is immoral.
  2. Therefore, the work ‘invites us to share [this morally] defective perspective’ (In one case we are invited to find an evil person sympathetic; in the other case, we are invited to find gruesome acts humorous.)
  3. Any work which invites us to share a morally defective perspective is, itself, morally defective.
  4. Therefore, the work in question is morally defective

The Aesthetic Defect Argument

  1. The perspective of the work in question is immoral.
  2. The immorality portrayed subverts the possibility of uptake. (In the case of the tragedy, the response of pity is precluded; in the case of the satire the savouring of parody is precluded.)
  3. Any work which subverts its own genre is aesthetically defective.
  4. Therefore, the work in question is aesthetically defective. (pp. 156-7)

Anderson and Dean focus their objection to MM on the fact that the one premise the moral defect argument and the aesthetic defect argument share (1) is not sufficient to establish either moral defectiveness or aesthetic defectiveness.(p. 157) This may be so, but Carroll responds to this by pointing out the common reason doesn’t need to be a sufficient reason. There may be other reasons that contribute to both the aesthetic evaluation and the moral evaluation of artworks, but in some cases these two groups of reasons overlap; where a reason is common to both groups, and is a central, if not sufficient, reason for both the conclusion that a work is morally defective, and the conclusion that the work is aesthetically defective. As Carroll puts it in his response to Anderson and Dean:

But why suppose that the relevant sense of reason here is sufficient reason? Admittedly a number of factors will contribute to the moral defectiveness and the aesthetic defectiveness of the work in question. The moderate moralist need only contend that among the complex of factors that account for the moral defectiveness of the artwork in question, on the one hand, and the complex of factors that explain the aesthetic defectiveness of the artwork, on the other hand, the evil perspective of the artwork will play a central, though perhaps not sufficient, explanatory role in both. (Carroll, 1998a, p423)

Carroll’s response to Anderson and Dean’s objection is convincing. There seems no reason to object to MM simply because the common reason shared the aesthetic defect argument and the moral defect argument is not a sufficient reason in either case.

Anderson and Dean eschew specific examples in their defense of MA, saying: ‘because of the complexity of particular cases, we have taken pains not to rest our case on the examination of them.” (A&D, 1998, p. 164). Since MM holds that moral judgments about artworks can be aesthetic evaluations in some cases, it is only necessary to show that the reason a work is morally defective is the same as the reason that work is aesthetically defective in a few actual cases in order to support MM. Carroll does give us some convincing examples, and Anderson and Dean do not show why Carroll is wrong in these particular cases. Given that there are at least some cases, such as Devereaux’s analysis of Triumph of the Will, in which it has been convincingly shown that the reason a work is morally meritorious or defective is the same reason that work is aesthetically meritorious or defective, it follows that moderate autonomism is false.

4. Moderate Moralism and Ethicism

a. Distinguishing Moderate Moralism from Ethicism

As previously mentioned, ‘moderate moralism’ holds that: “some works of art may be evaluated morally (contra radical autonomism) and that sometimes themoral defects and/or merits of a work may figure in the aesthetic evaluation of the work.” (Carroll, 1996, p. 236, my italics) ‘Ethicism’ holds that: “the ethical assessment of attitudes manifested by works of art is a legitimate aspect of the aesthetic evaluation of those works, such that, if a work manifests ethically reprehensible attitudes, it is to that extent aesthetically defective, and if a work manifest ethically commendable attitudes, it is to that extent aesthetically meritorious.” (See Berys Gaut’s ‘The Ethical Criticism of Art’ in Levinson, 1998, p. 182)

Anderson and Dean claim that MM and ethicism are ‘similar, if not identical’ (A&D, 1998, p. 157). They must mean that the positions are similar or identical in terms of scope, since Carroll and Gaut’s arguments clearly differ in detail. However, they are incorrect about this. The inclusion of ‘sometimes’ in Carroll’s statement of his position indicates that MM is a weaker position than ethicism – since there is no such qualification in Gaut’s statement of ethicism. As Carroll himself says, in his reply to Anderson and Dean: “…my case is more limited in scope than Gaut’s. Gaut seems willing to consider virtually every moral defect in a work of art an aesthetic defect, whereas I defend a far weaker claim – namely that sometimes a moral defect in an artwork can count as an aesthetic defect…” (Carroll, 1998a p. 419)

If we look at Gaut’s arguments for ethicism, it is clear how ethicism differs from MM in scope, as well as simply in detail. The argument for ethicism runs as follows (this is taken directly from “The Ethical Criticism of Art,” but I have numbered each step in the argument):

  1. A work’s manifestation of an attitude is a matter of the work’s prescribing certain responses toward the events described.
  2. If those responses are unmerited, because unethical, we have reason not to respond in the way prescribed.
  3. Our having reason not to respond in the way prescribed is a failure of the work.
  4. What responses the work prescribes is of aesthetic relevance.
  5. So the fact that we have reason not to respond in the way prescribed is an aesthetic failure of the work, that is to say, is an aesthetic defect.
  6. So a work’s manifestation of ethically bad attitudes is an aesthetic defect in it.
  7. Mutatis mutandis, a parallel argument shows that a work’s manifestation of ethically commendable attitudes is an aesthetic merit in it, since we have reason to adopt a prescribed response that is ethically commendable.
  8. So Ethicism is true. (Gaut, in Levinson, 2000, pp. 195-6)

Notice that this argument, in particular step (2), commit Gaut to the thesis that whenever a narrative artwork displays moral features, either merits or defects, these will always impact on the aesthetic value of that work to some degree. Certain flaws in Gaut’s argument have been identified by Anderson and Dean and by Carroll. The most significant of these will be examined a little later.

Early in his article, Gaut explicitly outlines the scope of ethicism. It is important to note that “ethicism does not entail the casual thesis that good art ethically improves people,” nor the reverse claim; that bad art corrupts.(p. 184) Gaut describes “the ethicist principle [as] a pro tanto one: it holds that a work is aesthetically meritorious (or defective) insofar as it manifests ethically admirable (or reprehensible) attitudes. (The claim could also be put like this: manifesting ethically admirable attitudes counts towardthe aesthetic merit of a work, and manifesting ethically reprehensible attitudes counts against its aesthetic merit.) (p. 182) There is an additional qualification, that, “the ethicist does not hold that manifesting ethically commendable attitudes is a necessary condition for a work to be aesthetically good: there can be good, even great, works of art that are ethically flawed. . . .Nor does the ethicist thesis hold that manifesting ethically good attitudes is a sufficient condition for a work to be aesthetically good.” (pp. 182-3) Gaut explains that “the ethicist can deny these necessity and sufficiency claims, because she holds that there are a plurality of aesthetic values, of which the ethical values of artworks are but a single kind,” and he suggests “we … need to make an all-things-considered judgment, balancing these aesthetic merits and demerits against one another to determine whether the work is, all things considered, good.”(p. 183) It is these features of ethicism – its recognition of a plurality of aesthetic qualities of which moral features are one kind and its commitment to an all-things-considered judgment of aesthetic value – which make ethicism a better way of understanding how the moral features of artworks impact on their aesthetic value than MM. Ethicism does not claim that every artwork, or even every narrative artwork, does contain moral features, only that when they do, these impact on the aesthetic value of the works to some extent.

As previously noted, not only do the arguments for MM and ethicism differ in scope, but they also differ in detail; and in the detail of each arguments there are possible flaws. A possible difficulty with MM – a difficulty that Oliver Conolly identifies – lies in its reliance on the notion of an’ideal’, or ‘morally sensitive’ audience – the normative element in MM. (See Conolly, ‘Ethicism & Moderate Moralism, BJA, 40:3, 2000)

Carroll wants to make clear that his ‘ideal sensitive viewer’ is not one who simply makes “whatever the work has to offer inaccessible to himself because it at first offends their moral sensibilities”. He explains that “the reluctance that the moderate moralist has in mind is not that the ideally sensitive audience member voluntarily puts on the brakes; rather, it is that he can’t depress the accelerator because it is jammed. He tries, but fails. And he fails because there is something wrong with the structure of the artwork. It has not been designed properly on its own terms.” (Carroll, 2000, p. 378) This appears to avoid the objection that ‘morally sensitive audiences’ will simply impose their own moral views on artworks. However, even with this clarification, the notion of an’ideal’ or, ‘morally sensitive’, audience still seems problematic.

b. Ethicism vs Moderate Moralism

Conolly suggests that there are four possible interpretations of MM; Optimistic Instrumental MM, Ideal-Spectator Instrumental MM, Standard Instrumental MM and Standard Intrinsic MM. According to Optimistic Instrumental MM, “moral virtues always happen to lead to greater audience-absorption, owing to a uniformly moral audience.”(Conolly, 2000, p. 308) This interpretation of MM is not only far too optimistic, but also explicitly rejected by Carroll, who distinguishes his ‘morally sensitive audiences’ from actual audiences, saying, “sometimes actual audiences may fail to be deterred by a moral defect in a work because, given the circumstances, they are not as morally sensitive as they should be…”(Carroll, 2000 p. 378) He gives the example of an audience during the midst of war. This clarification also avoids the problem of explaining the moral and aesthetic value of artworks simply in terms of popular opinion. Hence, the appeal to the normative notion of an ideal audience, rather than actual audiences avoids relativism. However, Conolly points out that MM’s reliance on this normative element leads to a collapse of MM into ethicism. According to Ideal Spectator MM, “[i]f only ideally moral audiences count, then … it follows that all moral virtues / defects are also aesthetic virtues / defects.” (Conolly, 2000, p. 306) Conolly explains that “[t]his is because ‘morally sensitive audiences’ will always react favourably to moral virtue and unfavourably to moral vice. That, one takes it, is what makes them morally sensitive.”(p. 306) Conolly goes on to argue that the two other possible interpretations of MM are wrong, but I will not follow him there. The central point is that, to the extent that it relies on the notion of the ideal audience, MM collapses into ethicism, because in actual fact moral features (merits or defects) will always be aesthetic features also (merits or defects). However, it should be noted that MM’s reliance on ‘ideal’ or ‘morally sensitive’ audiences means that Carroll doesn’t specify particular criteria upon which to base judgments about the moral defectiveness or moral virtue of artworks, but his position is compatible with such criteria, which would render the ideal audience redundant.

However, although there are valuable aspects to MM – in particular, the common reason argument has its merits – it nevertheless seems more plausible to claim, as the ethicist does, that the moral features of narrative artworks are always aesthetically relevant, i.e. they are always also aesthetic features in the sense that they impact to some degree on the overall aesthetic value of those works. One reason for this is that since MM states that moral features will only sometimes also be aesthetic features, there must be some moral features of artworks that are not aesthetically relevant, whereas no such category is required by ethicism. Carroll never explains what would distinguish a case in which moral features were aesthetically relevant from a case in which they weren’t – it seems only to be a question of degree – and I suggest that it makes more sense to simply say that moral features can impact on aesthetic value to varying degrees.

I have previously mentioned that MM is more limited in scope than ethicism. Although he is not unsympathetic to Gaut’s view, Carroll attempts to show that ethicism is harder to defend than MM. Carroll claims that there is a problem with what exactly is built into the notion of an unmerited response. He says that according to ethicism “[a]ll immoral responses are alleged to be unmerited in a way that is relevant to aesthetic response.”(Carroll, 2000 p. 375) But Carroll questions this assumption by drawing an analogy with immoral humour. He argues: “if the ethicist means by ‘unmerited’ “unwarranted,” then the claim with respect to artworks that all prescribed, though immoral, responses are unmerited is false, since, like a joke, the structure and content of an artwork may warrant a prescribed response that is immoral. On the other hand, if the ethicist protests that by (aesthetically) ‘unmerited’ he means to include “morally unmerited,” then he can be charged with begging the question.”(p. 376) So, Carroll concludes, the ‘merited response argument’ can be criticised on the grounds that “not all ethically unmerited responses to artworks are unmerited aesthetically.”(p. 376) This objection can be challenged on Carroll’s own terms, since ideally moral audiences presumably would not find an immoral joke (for instance a racist joke) amusing, any more than they would find Triumph of the Will engaging, it can also be challenged on the grounds that laughing at a joke is not the same thing as judging an artwork to have high aesthetic value. Sometimes we laugh at ‘bad jokes’, such as pathetic puns, even while we recognise them as such. Likewise, we might be entertained by a ‘bad film’, such as ‘Revenge of the Killer Tomatoes’ or ‘Girl On a Motorcycle’, or other such cult films, while recognising it as such all the while.

5. The Causal Thesis

While much of the recent research on ethical criticism has wrangled over what should and should not count as an aesthetic feature, a more commonplace concern about literary, or narrative, art and morality would be concerned with the possible effects those works might have on their audiences. For example, the popular Ben Elton novel Popcorn is a black comedy dealing with the issue of the effects of violent films portraying killers as attractive and powerful. However, it is desirable to keep causal claims about the harmful or ‘edifying’ effects of art at a distance when discussing the aesthetic relevance of the moral features of literary artworks. One of the main objections to ethical criticism made by radical autonomists is the anti-consequentialist objection that there is no evidence for causal claims about either the harmful or edifying effects of art. However, this objection assumes that ethical criticism is consequentialist, whereas it needn’t be at all. (A consequentialist version of ethical criticism would hold that the moral value of artworks, or certain artworks, was determined by that work’s actual effects on its audience. An expectational-consequentialist version of ethical criticism would hold that the moral value of art is determined by its likely effects on its audience.) If one rejects a consequentialist, or expectational-consequentialist, account of the moral value of art, then consideration of the effects (actual or likely) of literary artworks is a only matter for further consideration once the question of a work’s moral status has been decided; it is not relevant to the judgment of that work’s moral status. More work could certainly be done on the effects of artworks, however it is an area where empirical research would be required, and this is another reason causal claims have not figured highly in recent work on ethical criticism, although it should be mentioned that there is an imbalance is the extent to which positive and negative causal claims about the effects of narrative art have featured in this research.

Hence, it comes as no surprise that many of those who attempt to defend ethical criticism distance themselves from the causal thesis that morally bad art corrupts, and its counterpart, that art with high moral value morally improves its audience. Although most advocates of ethical criticism successfully avoid the negative causal thesis that bad art corrupts, many do in fact defend a version of the positive causal thesis that good art morally improves its audience. Thus, the negative thesis is avoided more assiduously than the positive, and the positive causal thesis has been more thoroughly developed. I think there are two main reasons for this. The first is that the negative thesis is not only more difficult to prove conceptually, but work in this area leads to fears about censorship of works deemed harmful. As discussed later, this fear need not preclude research on the negative effects of artworks, as the discovery that a work can have negative, or even harmful, effects on its audience does not necessarily entail that it should be censored. Another reason for the imbalance between the two sides of the causal thesis is that the positive causal thesis is more obviously relevant to discussions of the role, and value, of art in society.

It should be remembered that both the positive and negative sides of the causal thesis comprise a set of claims varying in degree. The strongest causal claims about art would be that bad art always corrupts its audience, while good art always brings about moral improvement; but any thesis this strong is intuitively implausible, and would be difficult to prove. The theses that bad art has the capacity to encourage immoral behaviour or attitudes in its audience, and that good art has the capacity to play an important role in our moral education (with the implication that these capacities may go unrealised) are rather more plausible. Martha Nussbaum has been the strongest advocate of the latter, while the former has not, to my knowledge, yet been fully explored. The following sub-section considers Nussbaum’s contribution to the ethical criticism debate, in particular with respect to the role that realist literature can play in moral education.

a. Literature and Moral Education

The ‘Ethical Criticism Symposium’, is a debate which took place, mostly within two issues of Philosophy and Literature, (Volumes 21-22) between Richard Posner on the one hand, who argued vehemently against the legitimacy of ethical criticism, and Martha Nussbaum and Wayne Booth on the other, who defended ethical criticism. Posner has already been introduced, and identified as at least a radical autonomist, and probably an extreme autonomist / aestheticist, or in other words, an aesthete. Against those who engage in ethical criticism, with a particular focus on Martha Nussbaum and Wayne Booth, Posner employs three of the most common objections to ethical criticism: autonomism / aestheticism, cognitive triviality and anti-consequentialism. However, Posner’s arguments rely on a narrow understanding of the ways in which literature can manifest moral features, and I will argue here that a broader moral context, such as that explicated in Nussbaum’s work on morality and literature, makes her claims about the moral value of literature plausible. Posner’s narrow understanding of moral knowledge and moral education mean that his criticisms of Nussbaum miss their mark. Nussbaum could be described as a moderate moralist (although her position is also compatible with ethicism) for although she never explicitly argues for MM, she makes two claims in her article “Exactly and Responsibly: A Defense of Ethical criticism”, in which her views are strikingly similar to Carroll’s ‘Common Reason Argument’:

  • “Consider Booth’s marvelous critique of Peter Benchley’s novel Jaws … Booth records his critique as a moral evaluation of Benchley. But isn’t it just these features of the text – its superficiality, its human barrenness, its formulaic use of persons as objects – that one would mention in an aesthetic critique?”
  • “I suggest that in general and for the most part, and only where novels are concerned, we find aesthetically pleasing only works that treat human beings as humans and not just animals or objects, that contain what I have called respect before the soul. But this quality is also moral, so we might say that in the novel aesthetic interest and moral interest are not altogether unrelated.” (Nussbaum, 1998, p. 357) Carroll’s overview of ethical criticism also suggests some ways of responding to the sort of objections to ethical criticism made by Posner.

Some of the main arguments against radical autonomism were presented earlier, and the position was shown to be an inadequate way of understanding aesthetic value, particularly the aesthetic value of literary art. Nussbaum, however, criticizes Posner’s autonomist position on more specific grounds, claiming:

Nor, it turns out, does Posner himself consistently hold the aesthetic-detachment position. Indeed, the role he imputes to literature in human life is clearly a moral one in my sense . . . Literature, he says, ‘helps us make sense of our lives, helps us to fashion an identity for ourselves.’ Reading a poem of Donne, he continues, won’t persuade someone who never thought about love that love is the most important thing in the world. But it may ‘make you realize that this is what you think, and so may serve to clarify yourself to yourself.’ That, of course, is what I have been saying all along. (p359)

Nussbaum is right to point out the inconsistency. As with the rather ironic quotation, in which Posner provides a moral justification for an extreme aestheticism (see section two), there are times when he uses moral discourse in his analysis of the aesthetic value of a work of literature – only he doesn’t seem to recognise it as such. There appear to be two main reasons why Posner objects so strongly to ethical criticism, and especially to Nussbaum’s employment of it. First, Posner’s understanding of ethics is very much a traditional ‘justice ethics’, and thus he is already at odds with Nussbaum, who’s understanding of ethics is somewhat broader. She says:

One can think of works of art which can be contemplated reasonably well without asking any urgent questions about how one should live. Abstract formalist paintings are sometimes of this character, and some intricate but non-programmatic works of music (though by no means all). But it seems highly unlikely that a responsive reading of any complex literary work is utterly detached from concerns about time and death, about pain and the transcendence of pain, and so on — all the material of ‘how one should live’ questions as I have conceived it. Thus, even with regard to works I don’t talk about at all — poetic dramas, lyric poems, novels by novelists very different from Dickens and James — the aesthetic-detachment thesis is implausible if we use ‘ethical’ and ‘moral’ in the broad sense that I have consistently and explicitly given it. (Nussbaum, 1998, p. 358)

Nussbaum’s understanding of morality is informed not only by Aristotle, but also by Iris Murdoch’s work, and by the insights of feminist moral philosophy.

Nussbaum’s main concern is with moral philosophy, and her interest in ethical criticism appears to stem from the desire to show the value and usefulness of a particular selection of literature to moral philosophy, and to the development of important moral skills. Thus, her perspective on ethical criticism differs from that of anyone who is approaching the topic with a central focus on aesthetics. However, Nussbaum recognises that literature can have many different purposes (1998 p. 347); she is merely pursuing one avenue. Among her responses to Posner’s criticisms, she makes explicit her specific purposes in the two books to which he refers:

Posner’s attack is directed at two very different works: Love’s Knowledge, where my primary concern is with moral philosophy, and with the claim that moral philosophy needs certain carefully selected works of narrative literature in order to pursue its own task in a complete way; and Poetic Justice, where my concern is with the conduct of public deliberations in democracy, and where my claim is that literature of a carefully specified sort can offer valuable assistance to such deliberations by both cultivating and reinforcing valuable moral abilities. In neither work do I make any general claims about ‘literature’ as such; indeed, I explicitly eschew such claims in both works, and I insist that my argument is confined to a narrow group of pre-selected works . . . (1998 p. 346)

Nussbaum goes so far as to say that is her contention that, “certain novels are, irreplaceably, works of moral philosophy. But I shall go further … the novel can be a paradigm of moral activity.” (1987 p. 170) Nussbaum’s central purposes for her selected literature are to demonstrate that this literature has a place amongst moral philosophy, and to argue that such literature has important role in moral education due to its capacity to help develop certain moral abilities.

Posner objects to the idea that literature should be used or interpreted as an extension of moral philosophy, and that it can contribute to moral education. There are two main objections; the first is that literature is not a unique or particularly good source of moral knowledge, the second that there is no evidence to suggest that certain literature can morally improve its audience. With reference to the former, Posner argues:

There is neither evidence nor a theoretical reason for a belief that literature provides a straighter path to knowledge about man and society than other sources of such knowledge, including writings in other fields, such as history and science, and interactions with real people. Some people prefer to get their knowledge of human nature from novels, but it doesn’t follow that novels are a superior source of such knowledge to life and to the various genres of nonfiction. (Posner, 1997, p. 10)

This objection is characteristic of those Carroll describes as arguments from cognitive triviality. (Carroll, 2000, pp. 353-355) The two main claims that make up this objection are; first, that “the moral theses associated with artworks are usually in the nature of truisms,” which “would hardly count as moral discoveries.”(Carroll, 2000, p. 354) And secondly, the claim made explicitly by Posner (above), that the knowledge (in this case, moral knowledge), imparted by artworks is not superior to (and some object that it is actually inferior to) that imparted by moral philosophy and the sciences. As Carroll notes, one way of countering this objection:

. . . is to claim that the model of knowledge employed by the skeptic is too narrow. The skeptic, albeit encouraged by the apparent practice of many ethical critics, thinks that the knowledge that is relevant to ethical criticism takes the form of propositions — propositions such as ‘that hypocrisy is noxious’ — and goes on to say that where such propositions are abstractable from artworks they are generally overwhelmingly trivial. But some ethical critics counter that there are more forms of knowledge than ‘knowledge that.’ (p. 361)

As an alternative to this narrow approach to the way in which literature may be morally informative, Carroll proposes the ‘acquaintance approach’ as an alternative, which is best summed up in the following paragraph:

It is one thing to be told that roadways in Mumbai are massively overcrowded, it is another thing to be given a detailed description full of illustrative incidents, emotively and perceptively portrayed. The first presents the fact: the second suggests the flavour. The first tells you that the streets are congested: the second gives a sense of what that congestion is like. The ethical critic, or at least some ethical critics, then, answer skeptics by first agreeing that the propositional knowledge available in art is often trivial or platitudinous; art is not competitive with science, philosophy, history, or even much journalism in supplying ‘knowledge that.’ But this is not the only type of knowledge there is. There is also ‘knowledge of what such and such would be like.’ . . . Moreover, this kind of knowledge is especially relevant for moral reasoning. In entertaining alternative courses of action, there is a place for the imagination. (p. 362)

This is a promising strategy, and one that is consistent with Nussbaum’s views. Nussbaum, again drawing on Henry James, tells us that moral knowledge restricted to propositions would be incomplete, what is needed is a broader understanding of moral knowledge: “Moral knowledge, James suggests, is not simply intellectual grasp of propositions; it is not even simply intellectual grasp of particular facts; it is perception, It is seeing a complex, concrete reality in a highly lucid and richly responsive way; it is taking in what is there, with imagination and feeling.” (Nussbaum, 1987 p. 174)

Nussbaum’s views are informed by the views of Iris Murdoch, as well as James, and one of the important features of Murdoch’s work Nussbaum draws on is the notion that our inner lives, our perceptions, self-awareness and so on, can be moral achievements. Speaking of Maggie, a character in James’ The Golden Bowl, Nussbaum says, “Her perceptions are necessary to her effort to give him up and to preserve his dignity. They are also moral achievements in their own right: expressions of love, protections of the loved, creations of a new and richer bond between them.” (p. 175)) The artistic conventions and stylistic devices available to the literary artist make it possible to represent our inner lives in a very full and realistic way, through the engagement of the audiences’ imaginations. Nussbaum suggests that there are some morally relevant aspects of our inner lives that can only be represented accurately through artistic representation:

I have said that these picturings, describings, feelings and communications — actions in their own right — have a moral value that is not reducible to that of the overt acts they engender. I have begun, on this basis, to build a case for saying that the morally valuable aspects of this exchange [between Maggie and Adam] could not be captured in a summary or paraphrase. Now I shall begin to close the gap between action and description from the other side, showing that a responsible action, as James conceives it, is a highly context-specific and nuanced and responsive thing whose rightness could not be captured in a description that fell short of the artistic. (1987 p. 176)

Thus, objections to the idea that literature can play an important role in moral education which are based on claims of cognitive-triviality are based on too narrow an understanding of moral knowledge. As Carroll argues, it is quite plausible to suppose that there are types of moral knowledge other than those which fall within a propositional model. Accounts of morality such as those proposed by Murdoch and Nussbaum, which emphasis the importance of our inner lives, provide obvious morally relevant subject matter, for which artistic representation is a highly appropriate means of communication.

However, the causal thesis Nussbaum proposes, that certain literature can help us to develop moral abilities, has not yet been fully defended here. Posner especially objects to the proposal that literature can morally improve its audience. His three main anti-consequentialist objections are; the importance of a good upbringing, literature loving Nazi’s and English professors who are no more moral than anyone else. (Posner, 1997 pp. 4-5) Nussbaum responds to this by clarifying the scope of her claims about the positive effects of literature, pointing out that:

I am fully in agreement with Posner that the phenomenon he designates as ’empathy’ is not sufficient to motivate good action; I never suggest that it is, and early in Poetic Justice I insist that empathy is likely to be hooked up with compassion in someone who has had a good early education in childhood, one that teaches concern for others. (Nussbaum, 1998 p. 352)

And, with respect to the latter two points:

Booth and I are talking about the interaction between novel and mind during the time of reading. We do not claim that this part of one’s life invariably dominates, although we do think that if the novels are ethically good it will have a good influence, other things equal; nor do we claim that spending more time reading novels will make it more likely that this part will dominate. Moreover, reading can only have the good effects we claim for it if one reads with immersion, not just as a painful duty. (1998 p. 353)

Having thus clarified that hers is a moderate causal thesis about the possible positive effects of morally commendable literature, as one among many influences, Nussbaum’s position seems to stand up to Posner’s objections quite well. She only says that such literature can have morally beneficial effects, not that it will. Posner’s objections are not good ones; literature may have the capacity to aid in the moral education of those who are already predisposed to learn what literature specifically has to offer, but this does not mean that this capacity will always be realised. A novel’s full potential may not be realised all that often in ways other than the audience’s failure to see its full moral import; the novel’s fine stylistic features may also go unappreciated by many readers.

It now remains to consider the specific ways in which literature may morally educate. Carroll has some suggestions, which he collects under the heading, ‘the cultivation approach’. He explains that a further response to a skeptic such as Posner would be to:

…maintain that the skeptic’s conception of education is too narrow. For the skeptic, education is the acquisition of insightful propositions about the moral life. For the advocate of the cultivation approach, education may also involve other things, including the honing of ethically relevant skills and powers (such as the capacity for finer perceptual discrimination, the imagination, the emotions, and the overall ability to conduct moral reflection) as well as the exercise and refinement of moral understanding (that is, the improvement and sometimes the expansion of our understanding of the moral precepts and concepts we already possess). As the label for this approach indicates, the educative value of art resides in its potential to cultivate our moral talents. (Carroll, 2000, p. 367)

This is clearly in keeping with Nussbaum’s sentiments regarding the value of literature to moral education. What is required to make this causal thesis plausible is a departure from rigid views of the realms of aesthetics, morality and education. Rather, an account such as Nussbaum’s, which emphasises those important aspects of moral education which Carroll summarizes above, finds the common ground between ethics, education and literature.

It turns out that Posner’s criticisms of Nussbaum’s position are based on an understanding of morality, and moral education, which is too narrow. Posner’s conception of the aesthetic, and the value of art, is also too narrow; so narrow in fact that it misses some of the central reasons why we value literary art. Rather, it may be that the moral value of literary artworks is just one feature among many contributing to their overall aesthetic value, within a broad conception of the aesthetic, such as that proposed by Gaut’s ethicism. Nussbaum does not discuss what other aesthetic features might be relevant to an ‘all-things-considered’ judgment of aesthetic value, because it is not relevant to her primary interest. It is true that she takes certain literary works and uses them for a specific purpose which focuses on just one aspect of the whole aesthetic value of those works, but she says in her defense:

It is, of course, true that ethical and political considerations have played, and continue to play, a central role in my own literary projects. But one should not infer from this that I believe this is the only legitimate way of approaching literature — any more than one would rightly infer from the fact that a person makes a career of playing the clarinet that this person thinks the flute an instrument not worth playing. . . . In short . . . I am a pluralist about literary approaches, holding that there are many that deserve to be respected and fostered. (1998 p. 347)

Certainly this seems a healthy attitude. Respecting approaches to literature which have a specific purpose, such as Nussbaum’s work on the usefulness of literature to moral philosophy and moral development, can help us gain a more comprehensive understanding of the various reasons for which we value literary art, and the artists who create it.

b. Ethical Criticism and Censorship

Unfortunately, censorship decisions are often seen as being closely linked to judgments about the moral value of art. Censorship which restricts those art and entertainment objects available to us due to the imposition of a strict and rigid moral code is one of the great fears of the radical autonomist. However, the link between the moral value of artworks and censorship is often overemphasised. Although the ability to make judgments about the moral value, or perhaps even the effects of artworks, would sometimes be pertinent to informed, responsible decisions about censorship, judgments about the moral value, or effects, of artworks are neither sufficient nor necessary grounds upon which to base censorship decisions, since there are other relevant, and important, considerations.

To begin with, it has been maintained above that to judge a literary artwork as being morally problematic is not equivalent to judging that that work will have, or even could have, a corrupting influence on its audience; claims about the negative moral effects of artworks require a further step. As discussed earlier, causal claims about the effects of artworks, especially negative causal claims, are difficult to prove. But even if it could be shown that a particular artwork had the potential to corrupt audience members, it still does not automatically follow that that work should be censored.

There are, of course, issues of rights at stake; for instance the artist’s right to the freedom of expression, and the (mature) audience’s right to ‘make up their own minds’ about the value of particular works, as opposed to the public’s ‘right’ to be protected from corrupting influences and/or obscenity. There is a large body of literature which deals with the possible effects of pornography on society (this appears to have been researched far more than the possible immoral effects of artworks), on what exactly constitutes obscenity, and on issues of competing rights and responsibilities relevant to censorship. When one reviews the extent of this literature, it becomes clear that there are a great many issues to be considered with respect to censorship, of which the moral value of artworks is but one.

In fact, it is possible for partial censorship decisions, that is, restricted access rather than a complete ban, to be made without any reference to a work’s moral value at all. As discussed earlier, the strong causal thesis that certain artworks will corrupt their audience is implausible, given that at least some audience members may resist the corrupting influence of the artwork, and would be very difficult to prove; empirical as well as conceptual investigation would be required. It seems likely that the most we could be sure of is that a certain artwork had the potential to corrupt some audience members. The obvious next question is which audience members would be most likely to be affected. This is partly what is behind the film and television classification scheme; a kind of scaled censorship. The criterion here for the recommended restrictions on the audience is simply age. But the possibility that such works might morally corrupt some of their audience is not the only reason for classifying some such works as suitable for only an adult audience. More often the concern is simply that the issues raised by certain films or television programs are issues only a person of a certain age could properly grasp. Some films might be deemed too confusing, too frightening, or too explicit for a young audience’s comfort level, for instance, regardless of the moral status of those films. In these cases, a limited censorship is decided largely by judging what is appropriate for certain age groups, and this need not have anything to do with a work’s moral value.

This very brief comment on censorship is only intended to point out that although the ability to make sound moral judgments about artworks is sometimes relevant to censorship decisions, it isn’t always, and, furthermore, the judgment that a work is immoral is not sufficient grounds for that work to be censored; there are other pertinent issues to be taken into account. While a thesis such as this one could provide a starting point for further discussion on those censorship decisions which are based on judgments about the moral value of literary artworks, the issue of censorship is a substantial topic, which needs to be dealt with separately from the subject of the moral value of literary art.

6. References and Further Reading

  • Anderson, J.C. & Dean, J.T., “Moderate Autonomism,” British Journal of Aesthetics, (Vol. 38, Issue 2, 1998).
    • Defends ‘moderate autonomism’, arguing against both moderate moralism and ethicism.
  • Beardsley, M.C., Aesthetics: Problems in the Philosophy of Criticism, (New York: Harcourt, Brace & World, Inc., 1958).
    • Considers some of the main issues in philsophical aesthetics.
  • Beardsmore, R.W., Art & Morality, (London: Macmillan, 1971).
    • This book covers the more traditional positions on the ethical criticism of art.
  • Bell, C., “Significant Form,” (1914) in J. Hospers (ed.), Introductory Readings in Aesthetics, (N.Y.: The Free Press, 1969).
    • An argument for a narrow version of ‘formalism’ with respect to the evaluation of art.
  • Booth, W., “Why Banning Ethical Criticism is a Serious Mistake,” Philosophy and Literature, (Vol. 22, 1998).
    • A defence of the practice of the ethical criticism of art; particularly targetting Posner’s arguments against it.
  • Carroll, N., “Moderate Moralism,” British Journal of Aesthetics, (Vol. 36, No. 3, 1996).
    • Introduces and defines the positions ‘moderate autonomism’ and ‘moderate moralism’, defending the latter against any form of autonomism.
  • Carroll, N., “Moderate Moralism versus Moderate Autonomism,” British Journal of Aesthetics, (Vol. 38, Issue 4, 1998a).
    • A further defence of ‘moderate moralism’ against objections from moderate autonomists, J.C. Anderson and J.T. Dean.
  • Carroll, N., “Art, Narrative and Moral Understanding,” in Levinson, J. (ed.), Aesthetics and Ethics, (Cambridge: CUP, 1998b).
    • An argument for the leitimacy of the ethical criticism of narrative froms of art.
  • Carroll, N., “Art and Ethical Criticism: An Overview of Recent Directions of Research,” Ethics, (Vol. 110, 2000).
    • Explains the three main forms of objection to ethical criticism – autonomism, cognitive triviality and anti-consequentialism – and attempts to answer each of these objections, defnding ‘moderate moralism.
  • Conolly, O., “Ethicism and Moderate Moralism,” British Journal of Aesthetics, (Vol. 40, Issue 3), 2000.
    • Considers some possible interpretations of ‘moderate moralism’, compares moderate moralism with ‘ethicism’ and defends ethicism as the more plausible of the two positions
  • Devereaux, M., “Beauty and Evil: the case of Leni Riefensthal’s Triumph of the Will,” in J. Levinson (ed.), Aesthetics and Ethics, (Cambridge: CUP, 1998).
    • Gives a detailed analysis of the morally problematic film Triumph of the Will, and through this analysis argues that ‘formalism’ and sophisticated formalism’ are inadequate ways of responding to such a film.
  • Gaut, B., “The Ethical Criticism of Art,” in Levinson, J. (ed.), Aesthetics and Ethics, (Cambridge: CUP, 1998).
    • Proposes a new position with respect to the ethical criticism of art, ethicism, which argues for an ‘all-things-considered’ evaluation of aesthetic value which takes into account any moral merits or defects exhibited by an artwork.
  • Kieran, M., “In Defence of the Ethical Evaluation of Art,” British Journal of Aesthetics, (Vol. 41, Issue 1, 2001).
    • Argues for an ammendment to Carroll’s ‘moderate moralism’, called ‘most moderate moralism’, which focusses on the intelligibility of artworks.
  • Levinson, J. (ed.), Aesthetics & Ethics, (Cambridge: CUP, 1998).
    • A selection of essays at the interesection of ethics and aesthetics, most of the essays dealing with ethical issues in narrative art.
  • Nussbaum, M., “Exactly and Responsibly: A Defense of Ethical Criticism,” Philosophy and Literature, (Vol. 22, 1998).
    • A defense of the practice of ethical criticism; in particular a defense of Nussbaum’s thesis that certain works of literature potentially play an important supplementary role in moral education.
  • Nussbaum, M., “Finely Aware and Richly Responsible: Literature and the Moral Imagination,” in Cascardi, A.J. (ed.), Literature and the Question of Philosophy, (Baltimore and London: The John Hopkins University Press, 1987).
    • Explains the view described above with detailed reference to the novels of Henry James.
  • Posner, R., “Against Ethical Criticism,” Philosophy and Literature, (Vol. 21, 1997).
    • Argues against the practice of ethical criticism on the grounds of autonomism, cognitive triviality and anti-consequentialism.
  • Posner, R., “Against Ethical Criticism: Part Two,” Philosophy and Literature, (Vol. 22:2, 1998).
    • Responds to Nussbaum and Booth’s defence of ethical criticism against Posner’s original article.
  • Stow, S., “Unbecoming Virulence: The Politics of the Ethical Criticism Debate,” Philosophy and Literature, (Vol. 24, 2000).
    • Suggests ways in which the debate between Posner, Nussbaum and Booth over the ethical criticism of art was heavily influenced by their respective political differences.
  • Tolstoy, L., What Is Art? (London: Bristol Classical Press, 1994).
    • For the purposes of this subject, the significant aspect of Tolstoy’s book is his emphasis on the moral import of art in society as essential to the (aesthetic) value of that art. Tolstoy is a ‘radical moralist’ with respect to the ethical criticism of art.
  • Wilde, O., “The Preface to The Picture of Dorian Gray,” in Wilde, O., Plays, Prose Writings and Poems, (London: J.M. Dent & Sons, 1975).
    • In the preface to his, ironically, very moral story, Wilde claims that the moral merits or defects of art should in no way influence its aesthetic evaluation.

Author Information

Ella Peek
Email: ella@cyllene.uwa.edu.au
Australia

Aristippus (c. 435—356 B.C.E.)

aristipAristippus was a follower of Socrates, and the founder of the Cyrenaic school of philosophy.  Like other Greek ethical thinkers, Aristippus’ ethics are centered around the question of what the ‘end’ is; that is, what goal our actions aim at and what is valuable for its own sake. Aristippus identified the end as pleasure. This identification of pleasure as the end makes Aristippus a hedonist. Most of the pleasures that Aristippus is depicted as pursuing have to do with sensual gratification, such as sleeping with courtesans and enjoying fine food and old wines. He taught that we should not defer pleasures that are ready at hand for the sake of future pleasures. He was willing to break the social conventions of his day and engage in behavior that was considered undignified or shocking for the sake of obtaining pleasurable experiences. His ideal life would be branded by most Greeks as being enslaved to pleasure.The Cyrenaic school developed these ideas further and influenced Epicurus and the later Greek skeptics.

Table of Contents

  1. Life and Sources
  2. Hedonism and Future Concern
  3. Iconoclasm and Freedom
  4. References and Further Reading

1. Life and Sources

Aristippus was born in Cyrene, a Greek colony in Northern Africa. He moved to Athens and became one of the young men who followed Socrates about as Socrates questioned the citizens of Athens and exposed their ignorance. He was probably the most scandalous of Socrates’ followers because of his advocacy of a life of sensual pleasure and his willingness to accept money for his instruction, as the sophists did. He gathered a number of disciples, including his daughter Arete, to whom he taught philosophy, and these students formed the basis for the Cyrenaic school.

Beyond these spare facts, it is difficult to ascertain much with great confidence about Aristippus. This is because our main source for information on Aristippus is the Lives of the Philosophers by Diogenes Laertius, who wrote over 500 years after Aristippus died. Diogenes Laertius simply collated what others had said about various philosophers, without any regard for the sources’ reliability. Because of the contempt that the hedonism of Aristippus and the Cyrenaics inspired, Aristippus became a natural focal point for many scandalous stories that were supposed to provide fitting illustrations of his thought. Most of these stories are probably false. However, they still can be used as sources for popular attitudes toward Aristippus and to reconstruct what features of his thought and life inspired these stories.

Although Aristippus founded the Cyrenaic school, it is not clear how much of the developed Cyrenaic position was actually promulgated by him. This is because Aristippus’ grandson, also named Aristippus, is reported to have systematized much of the Cyrenaic philosophy, and thus it is difficult to disentangle which parts of the Cyrenaic philosophy were Aristippus the Elder’s, and which parts his grandson’s. For the purposes of this article, therefore, only those positions that can be confidently ascribed to Aristippus the Elder himself will be discussed, and the more developed epistemology and ethics of the school he founded are discussed in the article on the Cyrenaics.

2. Hedonism and Future Concern

Like other Greek ethical thinkers, Aristippus’ ethics are centered around the question of what the ‘end’ is; that is, what goal our actions aim at and what is valuable for its own sake. Aristippus identified the end as pleasure. This identification of pleasure as the end makes Aristippus a hedonist. Most of the pleasures that Aristippus is depicted as pursuing have to do with sensual gratification, such as sleeping with courtesans and enjoying fine food and old wines.

Xenophon, a hostile contemporary of Aristippus’, reports that Aristippus rejected delaying any gratification. Aristippus advocated simply deriving pleasure from whatever is present, and not producing trouble for oneself by toiling to obtain things which may bring one pleasure in the future.

Both of these features of Aristippus’ thought were developed further by the Cyrenaics.

3. Iconoclasm and Freedom

In his pursuit of sensual gratification, Aristippus showed little regard for the standards of propriety reigning in Greece at the time. Although many of the sensationalistic stories about Aristippus are probably false, they depict a man who is willing to engage in activity that is shocking, undignified, and callous for the sake of his own pleasure, and who displays disdain for conventional standards as being mere societal prejudices.

For instance, when Aristippus was upbraided for sleeping with a courtesan, he asked whether there was any difference between taking a house in which many people have lived in before or none, or between sailing on a ship in which many people have sailed and none. When it was answered that there is no important difference, he replied that it likewise makes no difference whether the woman you sleep with has been with many people or none. Aristippus was also notorious for currying favor with King Dionysius of Syracuse, and he was called the “king’s poodle” for his willingness to do things like putting on a woman’s robes and dancing when the king demanded it, or falling at the feet of the king in order to have a request of his fulfilled. And when he was reproached for exposing his infant son to die as if it were not his own, he replied that “phlegm and vermin are also of our own begetting, but we still cast them as far away from us as possible because they are useless.”

Such a life would be branded by most Greeks as being enslaved to pleasure. Aristippus, however, thought that his willingness to do anything whatsoever for the sake of pleasure, his total flexibility, brought him a kind of freedom. Aristippus was able to do whatever the circumstances demanded of him, and his single-mindedness and disregard of social conventions made him master of himself. Aristippus said that he possessed the courtesan Laïs, but was not possessed by her, and that “what is best is not abstaining from pleasures, but instead controlling them without being controlled.” That is, as long as you are clear-headed and single-minded in your pursuit of pleasure, it is not as though pursuing pleasure in this way is making you do anything unwillingly, or making you lose your self-control.

4. References and Further Reading

There is no recent book-length treatment of Aristippus available in English. However, recent books that deal with the Cyrenaics in general also have valuable summaries of information on Aristippus in particular, as well as extensive bibliographies that include articles on Aristippus. For those looking for more ancient gossip and witty banter than included here, Diogenes Laertius’ account of Aristippus is in book two of his Lives of the Philosophers. The Loeb Classical Library, published by Harvard University Press, has a good translation by R.D. Hicks, revised by Herbert S. Long (1972). This edition includes a valuable introduction to Diogenes Laertius, written by Long, which discusses Diogenes’ sources, his methods of composition, and his limitations.

Author Information

Tim O’Keefe
Email: see www.gsu.edu/~phltso/mail-tim.html
Georgia State University
U. S. A.

Hannah Arendt (1906—1975)

arendt

Hannah Arendt is a twentieth century political philosopher whose writings do not easily come together into a systematic philosophy that expounds and expands upon a single argument over a sequence of works. Instead, her thoughts span totalitarianism, revolution, the nature of freedom and the faculties of thought and judgment.

The question with which Arendt engages most frequently is the nature of politics and the political life, as distinct from other domains of human activity. Arendt’s work, if it can be said to do any one thing, essentially undertakes a reconstruction of the nature of political existence. This pursuit takes shape as one that is decidedly phenomenological, a pointer to the profound influence exerted on her by Heidegger and Jaspers. Beginning with a phenomenological prioritization of the experiential character of human life and discarding traditional political philosophy’s conceptual schema, Arendt in effect aims to make available the objective structures and characteristics of political being-in-the-world as a distinct mode of human experience. This investigation spans the rest of Arendt’s life and works. During its course, recurrent themes emerge that help to organize her thought–themes such as the possibility and conditions of a humane and democratic public life, the forces that threaten such a life, conflict between private and public interests, and intensified cycles of production and consumption. As these issues reappear, Arendt elaborates on them and refines them, rarely relaxing the enquiry into the nature of political existence. The most famous facet of this enquiry, often considered also to be the most original, is Arendt’s outline of the faculty of human judgment. Through this, she develops a basis upon which publicly-minded political judgment can survive, in spite of the calamitous events of the 20th century which she sees as having destroyed the traditional framework for such judgment.

The article proceeds by charting a roughly chronological map of her major works. It endeavours to illuminate the continuities and connections within these works in an attempt to synchronize them as a coherent but fully-functioning body of thought.

Table of Contents

  1. Chronology of Life and Works
  2. Arendt’s Thought: Context and Influences
  3. On Totalitarianism
  4. The Human Condition
    1. The Vita Activa: Labor, Work and Action
      1. Labor: Humanity as Animal Laborans
      2. Work: Humanity as Homo Faber
      3. Action: Humanity as Zoon Politikon
  5. On Revolution
  6. Eichmann and the “Banality of Evil”
  7. Thinking and Judging
  8. Influence
  9. Criticisms and Controversies
  10. References and Further Reading
    1. Major Works by Arendt
    2. Recommended Further Reading

1. Chronology of Life and Works

The political philosopher, Hannah Arendt (1906-1975), was born in Hanover, Germany, in 1906, the only child of secular Jews. During childhood, Arendt moved first to Königsberg (East Prussia) and later to Berlin. In 1922-23, Arendt began her studies (in classics and Christian theology) at the University of Berlin, and in 1924 entered Marburg University, where she studied philosophy with Martin Heidegger. In 1925 she began a romantic relationship with Heidegger, but broke this off the following year. She moved to Heidelberg to study with Karl Jaspers, the existentialist philosopher and friend of Heidegger. Under Jasper’s supervision, she wrote her dissertation on the concept of love in St. Augustine’s thought. She remained close to Jaspers throughout her life, although the influence of Heidegger’s phenomenology was to prove the greater in its lasting influence upon Arendt’s work.

In 1929, she met Gunther Stern, a young Jewish philosopher, with whom she became romantically involved, and subsequently married (1930). In 1929, her dissertation (Der Liebesbegriff bei Augustin) was published. In the subsequent years, she continued her involvement in Jewish and Zionist politics, which began from 1926 onwards. In 1933, fearing Nazi persecution, she fled to Paris, where she subsequently met and became friends with both Walter Benjamin and Raymond Aron. In 1936, she met Heinrich Blücher, a German political refugee, divorced Stern in ’39, and the following year she and Blücher married in 1940.

After the outbreak of war, and following detention in a camp as an “enemy alien,” Arendt and Blücher fled to the USA in 1941. Living in New York, Arendt wrote for the German language newspaper Aufbau and directed research for the Commission on European Jewish Cultural Reconstruction. In 1944, she began work on what would become her first major political book, The Origins of Totalitarianism. In 1946, she published “What is Existenz Philosophy,” and from 1946 to 1951 she worked as an editor at Schoken Books in New York. In 1951, The Origins of Totalitarianism was published, after which she began the first in a sequence of visiting fellowships and professorial positions at American universities and she attained American citizenship.

In 1958, she published The Human Condition and Rahel Varnhagen: The Life of a Jewess. In 1959, she published “Reflections on Little Rock,” her controversial consideration of the emergent Black civil rights movement. In 1961, she published Between Past and Future, and traveled to Jerusalem to cover the trial of Nazi Adolf Eichmann for the New Yorker.

In 1963 she published her controversial reflections on the Eichmann trial, first in the New Yorker, and then in book form as Eichmann in Jerusalem: A Report on the Banality of Evil. In this year, she also published On Revolution. In 1967, having held positions at Berkeley and Chicago, she took up a position at the New School for Social Research in New York. In 1968, she published Men in Dark Times.

In 1970, Blücher died. That same year, Arendt gave her seminar on Kant’s philosophy of judgement at the New School (published posthumously as Reflections on Kant’s Political Philosophy, 1982). In 1971 she published “Thinking and Moral Considerations,” and the following year Crisis of the Republicappeared. In the next years, she worked on her projected three-volume work, The Life of the Mind. Volumes 1 and 2 (on “Thinking” and “Willing”) were published posthumously. She died on December 4, 1975, having only just started work on the third and final volume, Judging.

2. Arendt’s Thought: Context and Influences

Hannah Arendt is a most challenging figure for anyone wishing to understand the body of her work in political philosophy. She never wrote anything that would represent a systematic political philosophy, a philosophy in which a single central argument is expounded and expanded upon in a sequence of works. Rather, her writings cover many and diverse topics, spanning issues such as totalitarianism, revolution, the nature of freedom, the faculties of “thinking” and “judging,” the history of political thought, and so on. A thinker of heterodox and complicated argumentation, Arendt’s writings draw inspiration from Heidegger, Aristotle, Augustine, Kant, Nietzsche, Jaspers, and others. This complicated synthesis of theoretical elements is evinced in the apparent availability of her thought to a wide and divergent array of positions in political theory: for example, participatory democrats such as Benjamin Barber and Sheldon Wolin, communitarians such as Sandel and MacIntyre, intersubjectivist neo-Kantians such as Habermas, Albrecht Wellmer, Richard Bernstein and Seyla Benhabib, etc. However, it may still be possible to present her thought not as a collection of discrete interventions, but as a coherent body of work that takes a single question and a single methodological approach, which then informs a wide array of inquiries. The question, with which Arendt’s thought engages, perhaps above all others, is that of the nature of politics and political life, as distinct from other domains of human activity. Her attempts to explicate an answer to this question and, inter alia, to examine the historical and social forces that have come to threaten the existence of an autonomous political realm, have a distinctly phenomenological character. Arendt’s work, if it can be said to do anything, can be said to undertake a phenomenological reconstruction of the nature of political existence, with all that this entails in way of thinking and acting.

The phenomenological nature of Arendt’s examination (and indeed defense) of political life can be traced through the profound influence exerted over her by both Heidegger and Jaspers. Heidegger in particular can be seen to have profoundly impacted upon Arendt’s thought in for example: in their shared suspicion of the “metaphysical tradition’s” move toward abstract contemplation and away from immediate and worldly understanding and engagement, in their critique of modern calculative and instrumental attempts to order and dominate the world, in their emphasis upon the ineliminable plurality and difference that characterize beings as worldly appearances, and so on. This is not, however, to gloss over the profound differences that Arendt had with Heidegger, with not only his political affiliation with the Nazis, or his moves later to philosophical-poetic contemplation and his corresponding abdication from political engagement. Nevertheless, it can justifiably be claimed that Arendt’s inquiries follow a crucial impetus from Heidegger’s project in Being & Time.

Arendt’s distinctive approach as a political thinker can be understood from the impetus drawn from Heidegger’s “phenomenology of Being.” She proceeds neither by an analysis of general political concepts (such as authority, power, state, sovereignty, etc.) traditionally associated with political philosophy, nor by an aggregative accumulation of empirical data associated with “political science.” Rather, beginning from a phenomenological prioritization of the “factical” and experiential character of human life, she adopts a phenomenological method, thereby endeavoring to uncover the fundamental structures of political experience. Eschewing the “free-floating constructions” and conceptual schema imposed a posterioriupon experience by political philosophy, Arendt instead follows phenomenology’s return “to the things themselves” (zu den Sachen selbst), aiming by such investigation to make available the objective structures and characteristics of political being-in-the-world, as distinct from other (moral, practical, artistic, productive, etc.) forms of life.

Hence Arendt’s explication of the constitutive features of the vita activa in The Human Condition(labor, work, action) can be viewed as the phenomenological uncovering of the structures of human action qua existence and experience rather then abstract conceptual constructions or empirical generalizations about what people typically do. That is, they approximate with respect to the specificity of the political field the ‘existentials’, the articulations of Dasein‘s Being set out be Heidegger in Being and Time.

This phenomenological approach to the political partakes of a more general revaluation or reversal of the priority traditionally ascribed to philosophical conceptualizations over and above lived experience. That is, the world of common experience and interpretation (Lebenswelt) is taken to be primary and theoretical knowledge is dependent on that common experience in the form of a thematization or extrapolation from what is primordially and pre-reflectively present in everyday experience. It follows, for Arendt, that political philosophy has a fundamentally ambiguous role in its relation to political experience, insofar as its conceptual formulations do not simply articulate the structures of pre-reflective experience but can equally obscure them, becoming self-subsistent preconceptions which stand between philosophical inquiry and the experiences in question, distorting the phenomenal core of experience by imposing upon it the lens of its own prejudices. Therefore, Arendt sees the conceptual core of traditional political philosophy as an impediment, because as it inserts presuppositions between the inquirer and the political phenomena in question. Rather than following Husserl’s methodological prescription of a “bracketing” (epoché) of the prevalent philosophical posture, Arendt’s follows Heidegger’s historical Abbau or Destruktion to clear away the distorting encrustations of the philosophical tradition, thereby aiming to uncover the originary character of political experience which has for the most part been occluded.

There is no simple way of presenting Arendt’s diverse inquiries into the nature and fate of the political, conceived as a distinctive mode of human experience and existence. Her corpus of writings present a range of arguments, and develop a range of conceptual distinctions, that overlap from text to text, forming a web of inter-related excurses. Therefore, perhaps the only way to proceed is to present a summation of her major works, in roughly chronological order, while nevertheless attempting to highlight the continuities that draw them together into a coherent whole.

3. On Totalitarianism

Arendt’s first major work, published in 1951, is clearly a response to the devastating events of her own time – the rise of Nazi Germany and the catastrophic fate of European Jewry at its hands, the rise of Soviet Stalinism and its annihilation of millions of peasants (not to mention free-thinking intellectual, writers, artists, scientists and political activists). Arendt insisted that these manifestations of political evil could not be understood as mere extensions in scale or scope of already existing precedents, but rather that they represented a completely ‘novel form of government’, one built upon terror and ideological fiction. Where older tyrannies had used terror as an instrument for attaining or sustaining power, modern totalitarian regimes exhibited little strategic rationality in their use of terror. Rather, terror was no longer a means to a political end, but an end in itself. Its necessity was now justified by recourse to supposed laws of history (such as the inevitable triumph of the classless society) or nature (such as the inevitability of a war between “chosen” and other “degenerate” races).

For Arendt, the popular appeal of totalitarian ideologies with their capacity to mobilize populations to do their bidding, rested upon the devastation of ordered and stable contexts in which people once lived. The impact of the First World War, and the Great Depression, and the spread of revolutionary unrest, left people open to the promulgation of a single, clear and unambiguous idea that would allocate responsibility for woes, and indicate a clear path that would secure the future against insecurity and danger. Totalitarian ideologies offered just such answers, purporting discovered a “key to history” with which events of the past and present could be explained, and the future secured by doing history’s or nature’s bidding. Accordingly the amenability of European populations to totalitarian ideas was the consequence of a series of pathologies that had eroded the public or political realm as a space of liberty and freedom. These pathologies included the expansionism of imperialist capital with its administrative management of colonial suppression, and the usurpation of the state by the bourgeoisie as an instrument by which to further its own sectional interests. This in turn led to the delegitimation of political institutions, and the atrophy of the principles of citizenship and deliberative consensus that had been the heart of the democratic political enterprise. The rise of totalitarianism was thus to be understood in light of the accumulation of pathologies that had undermined the conditions of possibility for a viable public life that could unite citizens, while simultaneously preserving their liberty and uniqueness (a condition that Arendt referred to as “plurality”).

In this early work, it is possible to discern a number of the recurrent themes that would organize Arendt’s political writings throughout her life. For example, the inquiry into the conditions of possibility for a humane and democratic public life, the historical, social and economic forces that had come to threaten it, the conflictual relationship between private interests and the public good, the impact of intensified cycles of production and consumption that destabilized the common world context of human life, and so on. These themes would not only surface again and again in Arendt’s subsequent work, but would be conceptually elaborated through the development of key distinctions in order to delineate the nature of political existence and the faculties exercised in its production and preservation.

4. The Human Condition

The work of establishing the conditions of possibility for political experience, as opposed to other spheres of human activity, was undertaken by Arendt in her next major work, The Human Condition (1958). In this work she undertakes a thorough historical-philosophical inquiry that returned to the origins of both democracy and political philosophy in the Ancient Greek world, and brought these originary understandings of political life to bear on what Arendt saw as its atrophy and eclipse in the modern era. Her goal was to propose a phenomenological reconstruction of different aspects of human activity, so as to better discern the type of action and engagement that corresponded to present political existence. In doing so, she offers a stringent critique of traditional of political philosophy, and the dangers it presents to the political sphere as an autonomous domain of human practice.

 

The Human Condition is fundamentally concerned with the problem of reasserting the politics as a valuable ream of human action, praxis, and the world of appearances. Arendt argues that the Western philosophical tradition has devalued the world of human action which attends to appearances (the vita activa), subordinating it to the life of contemplation which concerns itself with essences and the eternal (the vita contemplativa). The prime culprit is Plato, whose metaphysics subordinates action and appearances to the eternal realm of the Ideas. The allegory of The Cave in The Republic begins the tradition of political philosophy; here Plato describes the world of human affairs in terms of shadows and darkness, and instructs those who aspire to truth to turn away from it in favor of the “clear sky of eternal ideas.” This metaphysical hierarchy, theôria is placed above praxis and epistêmê over mere doxa. The realm of action and appearance (including the political) is subordinated to and becomes instrumental for the ends of the Ideas as revealed to the philosopher who lives the bios theôretikos. In The Human Condition and subsequent works, the task Arendt set herself is to save action and appearance, and with it the common life of the political and the values of opinion, from the depredations of the philosophers. By systematically elaborating what this vita activa might be said to entail, she hopes to reinstate the life of public and political action to apex of human goods and goals.

a. The Vita Activa: Labor, Work and Action

In The Human Condition Arendt argues for a tripartite division between the human activities of labor, work, and action. Moreover, she arranges these activities in an ascending hierarchy of importance, and identifies the overturning of this hierarchy as central to the eclipse of political freedom and responsibility which, for her, has come to characterize the modern age.

i. Labor: Humanity as Animal Laborans

Labor is that activity which corresponds to the biological processes and necessities of human existence, the practices which are necessary for the maintenance of life itself. Labor is distinguished by its never-ending character; it creates nothing of permanence, its efforts are quickly consumed, and must therefore be perpetually renewed so as to sustain life. In this aspect of its existence humanity is closest to the animals and so, in a significant sense, the least human (“What men [sic] share with all other forms of animal life was not considered to be human”). Indeed, Arendt refers to humanity in this mode as animal laborans. Because the activity of labor is commanded by necessity, the human being as laborer is the equivalent of the slave; labor is characterized by unfreedom. Arendt argues that it is precisely the recognition of labor as contrary to freedom, and thus to what is distinctively human, which underlay the institution of slavery amongst the ancient Greeks; it was the attempt to exclude labor from the conditions of human life. In view of this characterization of labor, it is unsurprising that Arendt is highly critical of Marx’s elevation of animal laborans to a position of primacy in his vision of the highest ends of human existence. Drawing on the Aristotelian distinction of the oikos (the private realm of the household) from the polis (the public realm of the political community), Arendt argues that matters of labor, economy and the like properly belong to the former, not the latter. The emergence of necessary labor , the private concerns of the oikos, into the public sphere (what Arendt calls “the rise of the social”) has for her the effect of destroying the properly political by subordinating the public realm of human freedom to the concerns mere animal necessity. The prioritization of the economic which has attended the rise of capitalism has for Arendt all but eclipsed the possibilities of meaningful political agency and the pursuit of higher ends which should be the proper concern of public life.

ii. Work: Humanity as Homo Faber

If labor relates to the natural and biologically necessitated dimension of human existence, then work is “the activity which corresponds to the unnaturalness of human existence, which is not embedded in, and whose mortality is not compensated by, the species’ ever-recurring life-cycle.” Work (as both technê andpoiesis) corresponds to the fabrication of an artificial world of things, artifactual constructions which endure temporally beyond the act of creation itself. Work thus creates a world distinct from anything given in nature, a world distinguished by its durability, its semi-permanence and relative independence from the individual actors and acts which call it into being. Humanity in this mode of its activity Arendt names homo faber; he/she is the builder of walls (both physical and cultural) which divide the human realm from that of nature and provide a stable context (a “common world”) of spaces and institutions within which human life can unfold. Homo faber‘s typical representatives are the builder, the architect, the craftsperson, the artist and the legislator, as they create the public world both physically and institutionally by constructing buildings and making laws.

It should be clear that work stands in clear distinction from labor in a number of ways. Firstly, whereas labor is bound to the demands of animality, biology and nature, work violates the realm of nature by shaping and transforming it according to the plans and needs of humans; this makes work a distinctly human (i.e. non-animal) activity. Secondly, because work is governed by human ends and intentions it is under humans’ sovereignty and control, it exhibits a certain quality of freedom, unlike labor which is subject to nature and necessity. Thirdly, whereas labor is concerned with satisfying the individual’s life-needs and so remains essentially a private affair, work is inherently public; it creates an objective and common world which both stands between humans and unites them. While work is not the mode of human activity which corresponds to politics, its fabrications are nonetheless the preconditions for the existence of a political community. The common world of institutions and spaces that work creates furnish the arena in which citizens may come together as members of that shared world to engage in political activity. In Arendt’s critique of modernity the world created by homo faber is threatened with extinction by the aforementioned “rise of the social.” The activity of labor and the consumption of its fruits, which have come to dominate the public sphere, cannot furnish a common world within which humans might pursue their higher ends. Labor and its effects are inherently impermanent and perishable, exhausted as they are consumed, and so do not possess the qualities of quasi-permanence which are necessary for a shared environment and common heritage which endures between people and across time. In industrial modernity “all the values characteristic of the world of fabrication – permanence, stability, durability…are sacrificed in favor of the values of life, productivity and abundance.” The rise of animal laborans threatens the extinction of homo faber, and with it comes the passing of those worldly conditions which make a community’s collective and public life possible (what Arendt refers to as “world alienation”).

iii. Action: Humanity as Zoon Politikon

So, we have the activity of labor which meets the needs that are essential for the maintenance of humanities physical existence, but by virtue of its necessary quality occupies the lowest rung on the hierarchy of the vita activa. Then we have work, which is a distinctly human (i.e. non-animal) activity which fabricates the enduring, public and common world of our collective existence. However, Arendt is at great pains to establish that the activity of homo faber does not equate with the realm of human freedom and so cannot occupy the privileged apex of the human condition. For work is still subject to a certain kind of necessity, that which arises from its essentially instrumental character. As technê andpoiesis the act is dictated by and subordinated to ends and goals outside itself; work is essentially ameans to achieve the thing which is to be fabricated (be it a work of art, a building or a structure of legal relations) and so stands in a relation of mere purposiveness to that end. (Again it is Plato who stands accused of the instrumentalization of action, of its conflation with fabrication and subordination to an external teleology as prescribed by his metaphysical system). For Arendt, the activity of work cannot be fully free insofar as it is not an end in itself, but is determined by prior causes and articulated ends. The quality of freedom in the world of appearances (which for Arendt is the sine qua non of politics) is to be found elsewhere in the vita activa, namely with the activity of action proper.

The fundamental defining quality of action is its ineliminable freedom, its status as an end in itself and so as subordinate to nothing outside itself. Arendt argues that it is a mistake to take freedom to be primarily an inner, contemplative or private phenomenon, for it is in fact active, worldly and public. Our sense of an inner freedom is derivative upon first having experienced “a condition of being free as a tangible worldly reality. We first become aware of freedom or its opposite in our intercourse with others, not in the intercourse with ourselves.” In defining action as freedom, and freedom as action, we can see the decisive influence of Augustine upon Arendt’s thought. From Augustine’s political philosophy she takes the theme of human action as beginning:

To act, in its most general sense, means to take initiative, to begin (as the Greek word archein, ‘to begin,’ ‘to lead,’ and eventually ‘to rule’ indicates), to set something in motion. Because they are initium, newcomers and beginners by virtue of birth, men take initiative, are prompted into action.

And further, that freedom is to be seen:

as a character of human existence in the world. Man does not so much possess freedom as he, or better his coming into the world, is equated with the appearance of freedom in the universe; man is free because he is a beginning…

In short, humanity represents/articulates/embodies the faculty of beginning. It follows from this equation of freedom, action and beginning that freedom is “an accessory of doing and acting;” “Men are free…as long as they act, neither before nor after; for to be free and to act are the same.” This capacity for initiation gives actions the character of singularity and uniqueness, as “it is in the nature of beginning that something new is started which cannot be expected from whatever happened before.” So, intrinsic to the human capacity for action is the introduction of genuine novelty, the unexpected, unanticipated and unpredictable into the world:

The new always happens against the overwhelming odds of statistical laws and their probability, which for all practical, everyday purposes amounts to certainty; the new therefore always appears in the guise of a miracle.

This “miraculous,” initiatory quality distinguishes genuine action from mere behavior i.e. from conduct which has an habituated, regulated, automated character; behavior falls under the determinations ofprocess, is thoroughly conditioned by causal antecedents, and so is essentially unfree. The definition of human action in terms of freedom and novelty places it outside the realm of necessity or predictability. Herein lies the basis of Arendt’s quarrel with Hegel and Marx, for to define politics or the unfolding of history in terms of any teleology or immanent or objective process is to deny what is central to authentic human action, namely, its capacity to initiate the wholly new, unanticipated, unexpected, unconditioned by the laws of cause and effect.

It has been argued that Arendt is a political existentialist who, in seeking the greatest possible autonomy for action, falls into the danger of aestheticising action and advocating decisionism. Yet political existentialism lays great stress on individual will and on decision as “an act of existential choice unconstrained by principles or norms.” In contradistinction, Arendt’s theory holds that actions cannot be justified for their own sake, but only in light of their public recognition and the shared rules of a political community. For Arendt, action is a public category, a worldly practice that is experienced in our intercourse with others, and so is a practice that “both presupposes and can be actualized only in a human polity.” As Arendt puts it:

Action, the only activity that goes on directly between men…corresponds to the human condition of plurality, to the fact that men, not Man, live on the earth and inhabit the world. While all aspects of the human condition are somehow related to politics, this plurality is specifically the condition – not only theconditio sine qua non, but the conditio per quam – of all political life .

Another way of understanding the importance of publicity and plurality for action is to appreciate that action would be meaningless unless there were others present to see it and so give meaning to it. The meaning of the action and the identity of the actor can only be established in the context of human plurality, the presence others sufficiently like ourselves both to understand us and recognize the uniqueness of ourselves and our acts. This communicative and disclosive quality of action is clear in the way that Arendt connects action most centrally to speech. It is through action as speech that individuals come to disclose their distinctive identity: “Action is the public disclosure of the agent in the speech deed.” Action of this character requires a public space in which it can be realized, a context in which individuals can encounter one another as members of a community. For this space, as for much else, Arendt turns to the ancients, holding up the Athenian polis as the model for such a space of communicative and disclosive speech deeds. Such action is for Arendt synonymous with the political; politics is the ongoing activity of citizens coming together so as to exercise their capacity for agency, to conduct their lives together by means of free speech and persuasion. Politics and the exercise of freedom-as-action are one and the same:

…freedom…is actually the reason that men live together in political organisations at all. Without it, political life as such would be meaningless. The raison d’être of politics is freedom, and its field of experience is action.

5. On Revolution

From the historical-philosophical treatment of the political in The Human Condition, it might appear that for Arendt an authentic politics (as freedom of action, public deliberation and disclosure) has been decisively lost in the modern era. Yet in her next major work, On Revolution (1961) she takes her rethinking of political concepts and applies them to the modern era, with ambivalent results.

Arendt takes issue with both liberal and Marxist interpretations of modern political revolutions (such as the French and American). Against liberals, the disputes the claim that these revolutions were primarily concerned with the establishment of a limited government that would make space for individual liberty beyond the reach of the state. Against Marxist interpretations of the French Revolution, she disputes the claim that it was driven by the “social question,” a popular attempt to overcome poverty and exclusion by the many against the few who monopolized wealth in the ancien regime. Rather, Arendt claims, what distinguishes these modern revolutions is that they exhibit (albeit fleetingly) the exercise of fundamental political capacities – that of individuals acting together, on the basis of their mutually agreed common purposes, in order to establish a tangible public space of freedom. It is in this instauration, the attempt to establish a public and institutional space of civic freedom and participation, that marks out these revolutionary moments as exemplars of politics qua action.

Yet Arendt sees both the French and American revolutions as ultimately failing to establish a perduring political space in which the on-going activities of shared deliberation, decision and coordinated action could be exercised. In the case of the French Revolution, the subordination of political freedom to matters of managing welfare (the “social question”) reduces political institutions to administering the distribution of goods and resources (matters that belong properly in the oikos, dealing as they do with the production and reproduction of human existence). Meanwhile, the American Revolution evaded this fate, and by means of the Constitution managed to found a political society on the basis of comment assent. Yet she saw it only as a partial and limited success. America failed to create an institutional space in which citizens could participate in government, in which they could exercise in common those capacities of free expression, persuasion and judgement that defined political existence. The average citizen, while protected from arbitrary exercise of authority by constitutional checks and balances, was no longer a participant “in judgement and authority,” and so became denied the possibility of exercising his/her political capacities.

6. Eichmann and the “Banality of Evil”

Published in the same year as On Revolution, Arendt’s book about the Eichmann trial presents both a continuity with her previous works, but also a change in emphasis that would continue to the end of her life. This work marks a shift in her concerns from the nature of political action, to a concern with the faculties that underpin it – the interrelated activities of thinking and judging.

She controversially uses the phrase “the banality of evil” to characterize Eichmann’s actions as a member of the Nazi regime, in particular his role as chief architect and executioner of Hitler’s genocidal “final solution” (Endlosung) for the “Jewish problem.” Her characterization of these actions, so obscene in their nature and consequences, as “banal” is not meant to position them as workaday. Rather it is meant to contest the prevalent depictions of the Nazi’s inexplicable atrocities as having emanated from a malevolent will to do evil, a delight in murder. As far as Arendt could discern, Eichmann came to his willing involvement with the program of genocide through a failure or absence of the faculties of sound thinking and judgement. From Eichmann’s trial in Jerusalem (where he had been brought after Israeli agents found him in hiding in Argentina), Arendt concluded that far from exhibiting a malevolent hatred of Jews which could have accounted psychologically for his participation in the Holocaust, Eichmann was an utterly innocuous individual. He operated unthinkingly, following orders, efficiently carrying them out, with no consideration of their effects upon those he targeted. The human dimension of these activities were not entertained, so the extermination of the Jews became indistinguishable from any other bureaucratically assigned and discharged responsibility for Eichmann and his cohorts.

Arendt concluded that Eichmann was constitutively incapable of exercising the kind of judgement that would have made his victims’ suffering real or apparent for him. It was not the presence of hatred that enabled Eichmann to perpetrate the genocide, but the absence of the imaginative capacities that would have made the human and moral dimensions of his activities tangible for him. Eichmann failed to exercise his capacity of thinking, of having an internal dialogue with himself, which would have permitted self-awareness of the evil nature of his deeds. This amounted to a failure to use self-reflection as a basis forjudgement, the faculty that would have required Eichmann to exercise his imagination so as to contemplate the nature of his deeds from the experiential standpoint of his victims. This connection between the complicity with political evil and the failure of thinking and judgement inspired the last phase of Arendt’s work, which sought to explicate the nature of these faculties and their constitutive role for politically and morally responsible choices.

7. Thinking and Judging

Arendt’s concern with thinking and judgement as political faculties stretches back to her earliest works, and were addressed subsequently in a number of essays written during the 1950s and 1960s. However, in the last phase of her work, she turned to examine these faculties in a concerted and systematic way. Unfortunately, her work was incomplete at the time of her death – only the first two volumes of the projected 3-volume work, Life of the Mind, had been completed. However, the posthumously publishedLectures on Kant’s Political Philosophy delineate what might reasonably be supposed as her “mature” reflections on political judgement.

In the first volume of Life of the Mind, dealing with the faculty of thinking, Arendt is at pains to distinguish it from “knowing.” She draws upon Kant’s distinction between knowing or understanding (Verstand) and thinking or reasoning (Vernunft). Understanding yields positive knowledge – it is the quest for knowable truths. Reason or thinking, on the other hand, drives us beyond knowledge, persistently posing questions that cannot be answered from the standpoint of knowledge, but which we nonetheless cannot refrain from asking. For Arendt, thinking amounts to a quest to understand the meaning of our world, the ceaseless and restless activity of questioning that which we encounter. The value of thinking is not that it yields positive results that can be considered settled, but that it constantly returns to question again and again the meaning that we give to experiences, actions and circumstances. This, for Arendt, is intrinsic to the exercise of political responsibility – the engagement of this faculty that seeks meaning through a relentless questioning (including self-questioning). It was precisely the failure of this capacity that characterized the “banality” of Eichmann’s propensity to participate in political evil.

The cognate faculty of judgement has attracted most attention is her writing on, deeply inter-connected with thinking, yet standing distinct from it. Her theory of judgement is widely considered as one of the most original parts of her oeuvre, and certainly one of the most influential in recent years.

Arendt’s concern with political judgement, and its crisis in the modern era, is a recurrent theme in her work. As noted earlier, Arendt bemoans the “world alienation” that characterizes the modern era, the destruction of a stable institutional and experiential world that could provide a stable context in which humans could organize their collective existence. Moreover, it will be recalled that in human action Arendt recognizes (for good or ill) the capacity to bring the new, unexpected, and unanticipated into the world. This quality of action means that it constantly threatens to defy or exceed our existing categories of understanding or judgement; precedents and rules cannot help us judge properly what is unprecedented and new. So for Arendt, our categories and standards of thought are always beset by their potential inadequacy with respect to that which they are called upon to judge. However, this aporia of judgement reaches a crisis point in the 20th century under the repeated impact of its monstrous and unprecedented events. The mass destruction of two World Wars, the development of technologies which threaten global annihilation, the rise of totalitarianism, and the murder of millions in the Nazi death camps and Stalin’s purges have effectively exploded our existing standards for moral and political judgement. Tradition lies in shattered fragments around us and “the very framework within which understanding and judging could arise is gone.” The shared bases of understanding, handed down to us in our tradition, seem irretrievably lost. Arendt confronts the question: on what basis can one judge the unprecedented, the incredible, the monstrous which defies our established understandings and experiences? If we are to judge at all, it must now be “without preconceived categories and…without the set of customary rules which is morality;” it must be “thinking without a banister.” In order to secure the possibility of such judgement Arendt must establish that there in fact exists “an independent human faculty, unsupported by law and public opinion, that judges anew in full spontaneity every deed and intent whenever the occasion arises.” This for Arendt comes to represent “one of the central moral questions of all time, namely…the nature and function of human judgement.” It is with this goal and this question in mind that the work of Arendt’s final years converges on the “unwritten political philosophy” of Kant’s Critique of Judgement.

Arendt eschews “determinate judgement,” judgement that subsumes particulars under a universal or rule that already exists. Instead, she turns to Kant’s account of “reflective judgement,” the judgement of a particular for which no rule or precedent exists, but for which some judgement must nevertheless be arrived at. What Arendt finds so valuable in Kant’s account is that reflective judgement proceeds from the particular with which it is confronted, yet nevertheless has a universalizing moment – it proceeds from the operation of a capacity that is shared by all beings possessed of the faculties of reason and understanding. Kant requires us to judge from this common standpoint, on the basis of what we share with all others, by setting aside our own egocentric and private concerns or interests. The faculty of reflective judgement requires us to set aside considerations which are purely private (matters of personal liking and private interest) and instead judge from the perspective of what we share in common with others (i.e. must bedisinterested). Arendt places great weight upon this notion of a faculty of judgement that “thinks from the standpoint of everyone else.” This “broadened way of thinking” or “enlarged mentality” enables us to “compare our judgement not so much with the actual as rather with the merely possible judgement of others, and [thus] put ourselves in the position of everybody else…” For Arendt, this “representative thinking” is made possible by the exercise of the imagination – as Arendt beautifully puts it, “To think with an enlarged mentality means that one trains one’s imagination to go visiting.” “Going visiting” in this way enables us to make individual, particular acts of judgement which can nevertheless claim a public validity. In this faculty, Arendt find a basis upon which a disinterested and publicly-minded form of political judgement could subvene, yet be capable of tackling the unprecedented circumstances and choices that the modern era confronts us with.

8. Influence

We can briefly consider the influence that Arendt’s work has exerted over other political thinkers. This is not easy to summarize, as many and varied scholars have sought inspiration from some part or other of Arendt’s work. However, we may note the importance that her studies have had for the theory and analysis of totalitarianism and the nature and origins of political violence. Similarly, her reflections on the distinctiveness of modern democratic revolutions have been important in the development of republican thought, and for the recent revival of interest in civic mobilizations and social movements (particularly in the wake of 1989’s ‘velvet revolutions’ in the former communist states of Eastern and Central Europe).

More specifically, Arendt has decisively influenced critical and emancipatory attempts to theorize political reasoning and deliberation. For example, Jürgen Habermas admits the formative influence of Arendt upon his own theory of communicative reason and discourse ethics. Particularly important is the way in which Arendt comes to understand power, namely as “the capacity to agree in uncoerced communication on some community action.” Her model of action as public, communicative, persuasive and consensual reappears in Habermas’ thought in concepts such as that of “communicative power” which comes about whenever members of a life-world act in concert via the medium of language. It also reappears in his critique of the “scientization of politics” and his concomitant defense of practical, normative reason in the domain of life-world relations from the hegemony of theoretical and technical modes of reasoning. Others (such as Jean-Luc Nancy) have likewise been influenced by her critique of the modern technological “leveling” of human distinctiveness, often reading Arendt’s account in tandem with Heidegger’s critique of technology. Her theory of judgement has been used by Critical Theorists and Postmoderns alike. Amongst the former, Seyla Benhabib draws explicitly and extensively upon it in order to save discourse ethics from its own universalist excesses; Arendt’s attention to the particular, concrete, unique and lived phenomena of human life furnishes Benhabib with a strong corrective for Habermas’ tendency for abstraction, while nonetheless preserving the project of a universalizing vision of ethical-political life. For the Postmoderns, such as Lyotard, the emphasis placed upon reflective judgement furnishes a “post-foundational” or “post-universalist” basis in which the singularity of moral judgements can be reconciled with some kind of collective adherence to political principles.

9. Criticisms and Controversies

It is worth noting some of the prominent criticisms that have been leveled against Arendt’s work.

Primary amongst these is her reliance upon a rigid distinction between the “private” and “public,” the oikos and the polis, to delimit the specificity of the political realm. Feminists have pointed out that the confinement of the political to the realm outside the household has been part and parcel of the domination of politics by men, and the corresponding exclusion of women’s experiences of subjection from legitimate politics. Marxists have likewise pointed to the consequences of confining matters of material distribution and economic management to the extra-political realm of the oikos, thereby delegitimating questions of material social justice, poverty, and exploitation from political discussion and contestation. The shortcoming of this distinction in Arendt’s work is amply illustrated by a well-known and often-cited incident. While attending a conference in 1972, she was put under question by the Frankfurt School Critical Theorist Albrecht Wellmer, regarding her distinction of the “political” and the “social,” and its consequences. Arendt pronounced that housing and homelessness (themes of the conference) were not political issues, but that they were external to the political as the sphere of the actualization of freedom; the political is about human self-disclosure in speech and deed, not about the distribution of goods, which belongs to the social realm as an extension of the oikos. It may be said that Arendt’s attachment to a fundamental and originary understanding of political life precisely misses the fact that politics is intrinsically concerned with the contestation of what counts as a legitimate public concern, with the practice of politics attempting to introduce new, heretofore ‘non-political’ issues, into realm of legitimate political concern.

Arendt has also come under criticism for her overly enthusiastic endorsement of the Athenian polis as an exemplar of political freedom, to the detriment of modern political regimes and institutions. Likewise, the emphasis she places upon direct citizen deliberation as synonymous with the exercise of political freedom excludes representative models, and might be seen as unworkable in the context of modern mass societies, with the delegation, specialization, expertise and extensive divisions of labor needed to deal with their complexity. Her elevation of politics to the apex of human good and goals has also been challenged, demoting as it does other modes of human action and self-realization to a subordinate status. There are also numerous criticisms that have been leveled at her unorthodox readings of other thinkers, and her attempts to synthesize conflicting philosophical viewpoints in attempt to develop her own position (for example, her attempt to mediate Aristotle’s account of experientially-grounded practical judgement (phronesis) with Kant’s transcendental-formal model).

All these, and other criticisms notwithstanding, Arendt remains one of the most original, challenging and influential political thinkers of the 20th century, and her work will no doubt continue to provide inspiration for political philosophy as we enter the 21st.

10. References and Further Reading

a. Major Works by Arendt

  • The Origins of Totalitarianism, New York, Harcourt, 1951
  • The Human Condition, Chicago, University of Chicago Press, 1958
  • Between Past and Future, London, Faber & Faber, 1961
  • On Revolution. New York, Penguin, 1962
  • Eichmann in Jerusalem: a Report on the Banality of Evil, London, Faber & Faber, 1963
  • On Violence, New York, Harcourt, 1970
  • Men in Dark Times, New York, Harcourt, 1968
  • Crisis of the Republic, New York, Harcourt, 1972
  • The Life of the Mind, 2 vols., London, Secker & Warburg, 1978
  • Lectures on Kant’s Political Philosophy, Brighton, Harvester Press, 1982
  • Love and St. Augustin, Chicago, University of Chicago Press, 1996

b. Recommended Further Reading

  • Benhabib, Seyla: The Reluctant Modernism of Hannah Arendt. London, Sage, 1996
  • Bernstein, Richard J: ‘Hannah Arendt: The Ambiguities of Theory and Practice’, in Political Theory and Praxis: New Perspectives, Terence Ball (ed.). Minneapolis, University of Minnesota Press, 1977
  • Bernstein, Richard J: Philosophical Profiles: Essays in a Pragmatic Mode. Cambridge, Polity Press, 1986
  • Critchley, Simon & Schroeder, William (eds): A Companion to Continental Philosophy. Oxford, Blackwell, 1998
  • d’Entrèves, Maurizio Passerin: The Political Philosophy of Hannah Arendt. London, Routledge, 1994
  • Flynn, Bernard: Political Philosophy at the Closure of Metaphysics. New Jersey/London: Humanities Press International, 1992
  • Habermas, Jürgen: ‘Hannah Arendt: On the Concept of Power’ in Philosophical-Political Profiles. London, Heinemman, 1983
  • Hinchman, Lewis P. & Hinchman, Sandra K: ‘In Heidegger’s Shadow: Hannah Arendt’s Phenomenological Humanism’, in The Review of Politics, 46, 2, 1984, pp 183-211
  • Kielmansegg, Peter G., Mewes, Horst & Glaser-Schmidt, Elisabeth(eds): Hannah Arendt and Leo Strauss: German Emigrés and American Political Thought after World War II. Cambridge, Cambridge University Press, 1995
  • Lacoue-Labarthe, Philippe & Nancy, Jean-Luc: Retreating the Political, Simon Sparks (ed). London, Routledge, 1997
  • Parekh, Bhikhu: Hannah Arendt & The Search for a New Political Philosophy. London & Basingstoke, Macmillan Press, 1981
  • Villa, Dana: Arendt and Heidegger: The Fate of the Political. Princeton, New Jersey, Princeton University Press, 1996
  • Villa, Dana (ed): The Cambridge Companion to Arendt. Cambridge, Cambridge University Press, 2000

Author Information

Majid Yar
Email: m_yar@hotmail.com
Lancaster University
United Kingdom

Aristotle: Metaphysics

When Aristotle articulated the central question of the group of writings we know as his Metaphysics, he said it was a question that would never cease to raise itself. He was right. He also regarded his own contributions to the handling of that question as belonging to the final phase of responding to it. I think he was right about that too. The Metaphysics is one of the most helpful books there is for contending with a question the asking of which is one of the things that makes us human. In our time that question is for the most part hidden behind a wall of sophistry, and the book that could lead us to rediscover it is even more thoroughly hidden behind a maze of misunderstandings.

Paul Shorey, a scholar whose not-too-bad translation of the Republic is the Hamilton edition of the Collected Works of Plato, has called the Metaphysics “a hopeless muddle” not to be made sense of by any “ingenuity of conjecture.” I think it is safe to say that more people have learned important things from Aristotle than from Professor Shorey, but what conclusion other than his can one come to about a work that has two books numbered one, that descends from the sublime description of the life of the divine intellect in its twelfth book to end with two books full of endless quarreling over minor details of the Platonic doctrine of forms, a doctrine Aristotle had already decisively refuted in early parts of the book, those parts, that is, in which he is not defending it? The book was certainly not written as one whole; it was compiled, and once one has granted that, must not one admit that it was compiled badly, crystallizing as it does an incoherent ambivalence toward the teachings of Plato? After three centuries in which no one has much interest in it at all, the Metaphysics becomes interesting to nineteenth century scholars just as a historical puzzle: how could such a mess have been put together?

I have learned the most from reading the Metaphysics on those occasions when I have adopted the working hypothesis that it was compiled by someone who understood Aristotle better than I or the scholars do, and that that someone (why not call him Aristotle?) thought that the parts made an intelligible whole, best understood when read in that order. My main business here will be to give you some sense of how the Metaphysics looks in its wholeness, but the picture I will sketch depends on several hypotheses independent of the main one. One cannot begin to read the Metaphysics without two pieces of equipment: one is a set of decisions about how to translate Aristotle’s central words. No translator of Aristotle known to me is of any help here; they will all befuddle you, more so in the Metaphysics even than in Aristotle’s other works. The other piece of equipment, and equally indispensable I think, is some perspective on the relation of the Metaphysics to the Platonic dialogues. In this matter the scholars, even the best of them, have shown no imagination at all. In the dialogues, in their view, Plato sets forth a “theory” by putting it into the mouth of Socrates. There is some room for interpretation, but on the whole we are all supposed to know that theory. Aristotle must accept that theory or reject it. If he appears to do both it is because passages written by some Platonist have been inserted into his text, or because things he wrote when he was young and a Platonist were lumped together with other things on similar subjects which he wrote when he was older and his thoughts were different and his own.

Table of Contents

  1. Aristotle and Plato
  2. Translating Aristotle
  3. The Meaning of Ousia (Being) in Plato
  4. Ousia in Aristotle
  5. The Doctrine of Categories
  6. The Central Question of the Metaphysics
  7. The World as Cosmos
  8. Forms, Wholeness, and Thinghood
  9. The Being of Sensible Things
  10. Matter and Form in Aristotle
  11. References and Further Reading

1. Aristotle and Plato

The Plato we are supposed to know from his dialogues is one who posited that, for every name we give to bodies in the world there is a bodiless being in another world, one while they are many, static while they are changing, perfect while they are altogether distasteful. Not surprisingly, those for whom this is Plato find his doctrine absurd, and welcome an Aristotle whom they find saying that being in its highest form is found in an individual man or horse, that mathematical things are abstractions from sensible bodies, and that, if there is an ideal man apart from men, in virtue of whom they are all called men, then there must be yet a third kind of man, in virtue of whom the form and the men can have the same name, and yet a fourth, and so on. You can’t stop adding new ideal men until you are willing to grant that it was absurd to add the first one, or anything at all beyond just plain men. This is hard-headed, tough-minded Aristotle, not to be intimidated by fancy, mystical talk, living in the world we live in and knowing it is the only world there is. This Aristotle, unfortunately, is a fiction, a projection of our unphilosophic selves. He lives only in a handful of sentences ripped out of their contexts. The true Aristotle indeed takes at face value the world as we find it and all our ordinary opinions about it–takes them, examines them, and finds them wanting. It is the world as we find it which continually, for Aristotle, shows that our ordinary, materialist prejudices are mistaken, and the abandonment of those prejudices shows in turn that the world as we found it was not a possible world, that the world as we must reflect upon it is a much richer world, mysterious and exciting.

Those of you for whom reading the Platonic dialogues was a battle you won by losing, an eye-opening experience from which, if there is no going forward, there is certainly no turning back, should get to know this Aristotle. But you will find standing in your way all those passages in which Aristotle seems to be discussing the dialogues and does so in a shallow way. Each dialogue has a surface in which Socrates speaks in riddles, articulates half-truths which invite qualification and correction, argues from answers given by others as though he shared their opinions, and pretends to be at a loss about everything. Plato never straightens things out for his readers, any more than Socrates does for his hearers. To do so would be to soothe us, to lull us to sleep as soon as we’ve begun to be distressed by what it feels like to be awake. Platonic writing, like Socratic talk, is designed to awaken and guide philosophic thinking, by presenting, defending, and criticizing plausible responses to important questions. The Platonic-Socratic words have only done their work when we have gone beyond them, but they remain in the dialogues as a collection of just what they were intended to be — unsatisfactory assertions. Hippocrates Apostle finds 81 places in the Metaphysics where Aristotle disagrees with Plato. It is not surprising that Aristotle himself uses Plato’s name in almost none of those places. Aristotle is addressing an audience of students who have read the dialogues and is continuing the work of the dialogues. Many, perhaps most, of Aristotle’s students would, like scholars today, find theories and answers in Plato’s dialogues. Aristotle would not be earning his keep as a teacher of philosophy if he did not force his students beyond that position. Aristotle constantly refers to the dialogues because they are the best and most comprehensive texts he and his students share. Aristotle disagrees with Plato about some things, but less extensively and less deeply than he disagrees with every other author that he names. The Metaphysics inevitably looks like an attack on Plato just because Plato’s books are so much better than anything left by Thales, Empedocles or anyone else.

My first assumption, then, was that the Metaphysics is one book with one complex argument, and my second is that, in cohering within itself, the Metaphysics may cohere with the Platonic dialogues. I assume that discussions in the dialogues may be taken as giving flesh to Aristotle’s formulations, while they in turn may be taken as giving shape to those discussions. One need only try a very little of this to find a great deal beginning to fall into place. For example, listen to Aristotle in Book I, Chapter 9 of the Metaphysics: “the Forms …are not the causes of motion or of any other change …And they do not in any way help either towards the knowledge of the other things..or towards their existence …Moreover, all other things do not come to be from the Forms in any of the usual senses of ‘from.’ And to say that the Forms are patterns and that the other things participate in them is to use empty words and poetic metaphors.” A devastating attack on Plato, is it not? Or is it? Aristotle says that positing the Forms explains no single thing that one wants to know. But doesn’t Socrates say in the Phaedo that to call beauty itself the cause of beauty in beautiful things is a “safe but stupid answer”–that one must begin with it but must also move beyond it? Again, everyone knows that the Platonic Socrates claimed that the forms were separate from the things in the sensible world, off by themselves, while Aristotle insisted that the forms were in the things. Recall the Phaedo passage just referred to. Does not Socrates say that the cause of heat in a hot thing is not heat itself but fire? Where, then, is the form for Socrates? Aristotle taught that the causes of characteristics of things were to be looked for not in a separate world of forms but in the primary instances of those characteristics right here in the world. This doctrine may seem to be a rejection of Plato’s chief postulate, but listen to Aristotle himself explain it in Book II, Chapter 1 of the Metaphysics: “of things to which the same predicate belongs, the one to which it belongs in the highest degree is that in virtue of which it belongs also to the others. For example, fire is the hottest of whatever is truly called ‘hot’, for fire is cause of hotness in the others.” Do you hear an echo? Again, Aristotle teaches that form is to be understood as always at work, never static as is the Platonic form, or is it? Do not the Stranger and Theaetetus agree in the Sophist that it would be “monstrous and absurd” to deny that life, motion, and soul belong to the intelligible things? Do they not indeed define being as a power to act or be affected? Does not Socrates in the Theaetetus entertain the same definition when he construes the world as made up of an infinity of powers to act and be affected? Plato’s dialogues do not set forth a theory of forms. They set forth a way to get started with the work of philosophic inquiry, and Aristotle moves altogether within that way. Much in his writings that is a closed book to those who insist on seeing him as Plato’s opponent opens up when one lets the dialogues serve as the key.

2. Translating Aristotle

Then we shall not hesitate to take whatever light we can find in the dialogues and shine it on Aristotle’s text at least to see if anything comes into the light. And this brings me to a third assumption: the English word substance is of no help in understanding Aristotle’s word ousia. The central question of theMetaphysics is, What is ousia? Aristotle claims that it is the same as the question, What is being? and that it is in fact the question everyone who has ever done any philosophy or physics has been asking. Since we do not share Aristotle’s language we cannot know what claim he is making until we find a way to translate ousia. The translators give us the word substance only because earlier translators and commentators did so, while they in turn did so because still earlier translators into Latin rendered it assubstantia. Early modern philosophy, in all the European languages, is full of discussions of substance which stem from Latin versions of Aristotle. Though oral traditions keep meanings alive this written tradition has buried Aristotle’s meaning irretrievably. We must ignore it, and take our access to the meaning of ousia from Plato’s use of it, but before we do so a quick look at where the word substance came from may help us bury it.

The earliest Latin translations of Aristotle tried a number of ways of translating ousia, but by the fourth century AD, when St. Augustine lived, only two remained in use: essentia was made as a formal parallel to ousia, from the feminine singular participle of the verb to be plus an abstract noun ending, so that the whole would be roughly equivalent to an English translation being-ness; the second translation,substantia, was an attempt to get closer to ousia by interpreting Aristotle’s use of it as something like “persisting substratum”. Augustine, who had no interest in interpreting Aristotle, thought that, while everything in the world possesses substantia, a persisting underlying identity, the fullness of being suggested by the word essentia could belong to no created thing but only to their creator. Aristotle, who is quite explicit on the point that creation is impossible, believed no such thing, and Augustine didn’t think he did. But Augustine’s own thinking offered a consistent way to distinguish two Latin words whose use had become muddled. Boethius, in his commentaries on Aristotle, followed Augustine’s lead, and hence always translated ousia as substantia, and his usage seems to have settled the matter. And so a word designed by the anti-Aristotelian Augustine to mean a low and empty sort of being turns up in our translations of the word whose meaning Aristotle took to be the highest and fullest sense of being. Descartes, in his Meditations, uses the word substance only with his tongue in his cheek; Locke explicitly analyzes it as an empty notion of an I-don’t-know-what; and soon after the word is laughed out of the vocabulary of serious philosophic endeavor. It is no wonder that the Metaphysics ceased to have any influence on living thinking: its heart had been cut out of it by its friends.

3. The Meaning of Ousia (Being) in Plato

What does ousia mean? It is already a quirky, idiomatic word in ordinary use when Plato gets hold of it. By a quirk of our own language one may say indeed that it means substance, but only, I repeat only, in the sense in which a rich man is called a man of substance. You may safely allow your daughter to marry him because you know where he will be and what he will be doing tomorrow and twenty years from now.Ousia meant permanent property, real estate, non-transferable goods: not the possessions we are always using up or consuming but those that remain–land, houses, wealth of the kind one never spends since it breeds new wealth with no expense of itself. When Socrates asks Meno for the ousia of the bee he is not using a technical philosophical term but a metaphor: what is the estate of a bee that each one inherits simply by being born a bee? A man of substance who has permanent wealth is who he is because of what he owns. A bee is to his permanent and his variable characteristics as a man is to his permanent and his spendable wealth. The metaphor takes a second step when applied to virtue: the varying instances of virtue in a man, a woman, a slave, and the rest must all have some unvarying core which makes them virtues. There must be some single meaning to which we always refer when we pronounce anything a virtue. This is the step Socrates continually insists that Meno must take. But remember, in the slave-boy scene, Socrates twice entices the slave-boy into giving plausible incorrect answers about the side of the double square. Is there an ousia of virtue? Socrates uses the word not as the result of an induction or abstraction or definition, but by stretching an already strained metaphor. People have disposable goods which come and go and ousiatic goods which remain; bees have some characteristics in which they differ, and others in which they share; the virtues differ, but are they the same in anything but name? Even if they are, must it be a definition that they share? Not all men have ousia. Ordinarily only a few men do. The rest of us work for them, sell to them, marry them, gather in the hills to destroy them, but do not have what they have. Perhaps there are only a few virtues, or only one.

The word ousia, as Plato’s Socrates handles it, seems to be a double-edged weapon. It explicitly rejects Meno’s way of saying what virtue is, but implicitly suggests that the obvious alternative may fail as well. If virtue is not simply a meaningless label used ambiguously for many unconnected things, that does not mean that it must unambiguously name the same content in each of the things it names. Since ousia is our metaphor, let us ask what wealth means. If a poor man has a hut and a cow and some stored-up food, are they his wealth? He is certainly not wealthy. On the other hand, King Lear says that “our basest beggars Are in poorest thing superfluous”; no human life is cut so fine as to lack anything beyond what satisfies bare need. The beggar, like the family on welfare, does not have the means to satisfy need, but need not for that reason forego those possessions which give life comfort or continuity. His wealth is derived from the wealth of others. The small farmer may maintain something of the independence a wealthy man enjoys, but one bad year could wipe him out. He will either accumulate enough to become wealthy himself, or his life will remain a small-scale analogy to that of the wealthy. Wealth means, first of all, only that which a few people have and the rest of us lack, but because it means that, it also, at the same time, means secondarily something that all of us possess. There is an ambiguity at work in the meaning of the word “wealth” which is not a matter of a faulty vocabulary and not a matter of language at all: it expresses the way things are. Wealth of various kinds exists by derivation from and analogy to wealth in the emphatic sense. Indeed Meno, who spontaneously defines virtue by listing virtues, is equally strongly inclined to say that the power to rule over men and possessions is the only virtue there is. He cannot resolve the logical difficulties Socrates raises about his answers, but they are all resolvable. Meno in fact believes that virtue is ousia in its simple sense of big money, and that women, children, and slaves can only have virtue derivatively and ambiguously. Socrates’ question is one of those infuriatingly ironic games he is always playing. The ousia of virtue, according to Meno and Gorgias, is ousia.

4. Ousia in Aristotle

When the word ousia turns up in texts of Aristotle, it is this hidden history of its use, and not its etymology, which is determining its meaning. First of all, the word fills a gap in the language of being, since Greek has no word for thing. The two closest equivalents are to on and to chrema. To on simply means whatever is, and includes the color blue, the length two feet, the action walking, and anything at all that can be said to be. To chrema means a thing used, used up, spent, or consumed; any kind of possession, namely, that is not ousiaousia holds together, remains, and makes its possessor emphatically somebody. In the vocabulary of money, ousia is to to chremata as whatever remains constant in a thing is to all theonta that come and go. ousia also carries with it the sense of something that belongs somehow to all but directly and fully only to a few. The word is ready-made to be the theme of Aristotle’s investigation of being, because both the word and the investigation were designed by Plato. For Aristotle, the inquiry into the nature of being begins with the observation that being is meant in many ways. It is like Meno’s beginning, and it must be subjected to the same Socratic questioning.

Suppose that there is some one core of meaning to which we refer whenever we say that something is. What is its content? Hegel says of being as being:

“it is not to be felt, or perceived by sense, or pictured in imagination… it is mere abstraction… the absolutely negative… just Nothing.”

And isn’t he right, as Parmenides was before him? Leave aside all those characteristics in which beings differ, and what is left behind? To Aristotle, this means that being is not a universal or a genus. If being is the comprehensive class to which everything belongs, how does it come to have sub-classes? It would have to be divided with respect to something outside itself. Beings would have to be distinguished by possessing or failing to possess some characteristic, but that characteristic would have to be either a class within being, already separated off from the rest by reference to something prior, or a non-being. Since both are impossible, being must come already divided: the highest genera or ultimate classes of things must be irreducibly many. This is Aristotle’s doctrine of the categories, and according to him being means at least eight different things.

5. The Doctrine of Categories

The categories have familiar names: quality, quantity, relation, time, place, action, being-acted upon. The question Socrates asked about things, What is it?, is too broad, since it can be answered truly with respect to any of the categories that apply, and many times in some of them. For example, I’ll describe something to you: it is backstage now; it is red; it is three feet high; it is lying down and breathing. I could continue telling you what it is in this fashion for as long as I pleased and you would not know what it is. It is an Irish setter. What is different about that last answer? To be an Irish setter is not to be a quality or quantity or time or action but to be a whole which comprises many ways of being in those categories, and much change and indeterminacy in them. The redness, three-foot-high-ness, respiration and much else cohere in a thing which I have named in its thinghood by calling it an Irish setter. Aristotle calls this way of being ousia. Aristotle’s logical works reflect upon the claims our speech makes about the world. The principal result of Aristotle’s inquiry into the logical categories of being is, I think, the claim that the thinghood of things in the world is never reducible in our speech to any combination of qualities, quantities, relations, actions, and so on: that ousia or thinghood must be a separate category. What happens when I try to articulate the being of a thing such as an Irish setter? I define it as a dog with certain properties. But what then is a dog? It is an animal with certain properties, and an animal is an organism with certain properties, and an organism is a thing with the property life. At each level I meet, as dog, animal, organism, what Aristotle calls secondary ousia or secondary thinghood.

I set out to give an account of what makes a certain collection of properties cohere as a certain thing, and I keep separating off some of them and telling you that the rest cohere as a whole. At my last step, when I say that an organism is a living thing, the problem of secondary thinghood is present in its nakedness. Our speech, no matter how scientific, must always leave the question of the hanging-together of things as things a question.

6. The Central Question of the Metaphysics

Thus the logical inquiries bequeath to the Metaphysics its central question, which we are now in a position to translate. The question that was asked of old and will always be asked by anyone who is alive enough to wonder about anything is, What is being? What is a thing? What is the thinghood of things? What makes our world a world of things at all? We are here at the deepest postulate of Aristotelian philosophizing: the integrity of the world as a world and of anything in it which endures as itself for any time at all, is not self-explanatory, is something to be wondered at, is caused.

We are taught that a moving thing, if nothing disturbs it, will continue moving forever. Do you believe that? It is certainly true that a heavy thing in motion is as hard to stop as it was to set in motion, and that we cannot step out of moving automobiles without continuing, for a while, to share their motions. But these are evidences of persistence of motion, not at all the same thing as inertia of motion. There is no evidence of the latter. In principle there cannot be, because we cannot abolish all the world to observe an undisturbed moving thing. There is a powerful and in its way, beautiful, account of the world which assumes inertia, appealing to those experiences which suggest that motion at an unchanging speed is a state no different from that of rest. The hidden premise which leads from that step to the notion of inertia is the assumption that rest is an inert state. If it is not, the same evidence could lead to the conclusion that an unchanging speed is a fragile and vulnerable thing, as unlikely and as hard to come by as an unchanging anything. How can a balloon remain unchanged? It does so only so long as the air inside pushes out no harder and no less hard than the air outside pushes in. Is the air inside the balloon at rest? Can it be at rest as long as it is performing a task? Can the balloon be at rest if the air inside it cannot be? It can certainly remain in a place, like other apparently inert things, say a table. If you pulled the legs from under a table the top would fall, and if you removed the top the legs would fall. Leave them together and leave them alone and they do not move, but is the table at rest? Surely no more so than a pair of arm wrestlers, straining every muscle but unable to budge each other, can be said to be resting. But can’t we find an inert thing anywhere in the world? How about a single lump of rock? But if I throw it in the air it will return to find a resting place. It seems to rest only when something blocks it, and if I let it rest on my hand or my head, something will make me uncomfortable. Can the rock be doing nothing? And if we cannot find inertia in a rock, where could it be? An animal is either full of circulating and respirating or it is rotting, and the same seems true of plants. But what in the world is not animal-like, plant-like, rock-like, or table-like? The world contains living and non-living natural beings, and it contains products of human making, and all of them are busy. From Aristotle’s wondering and wonderful perspective, everything in the world is busy just continuing to be itself. This is not a “theory” of Aristotle’s; it is a way of bringing the world to sight with the questioning intellect awake. Try that way of looking on for size: the world has nothing to lose for ceasing to be taken for granted. Consider an analogy. Ptolemy is content to say that Venus and Mercury happen to have the same longitudinal period as the sun and that Mars, Jupiter, and Saturn all happen to lag just as far behind the sun in any time as they have moved in anomaly. Copernicus, in the most passionate and convincing part of his argument, shows that these facts can be explained. Lucretius (whom we may substitute for Aristotle’s favorite materialist, Empedocles) thought that cats and dogs and giraffes just happened to come about by accumulation, like the sands on the beach. Lucretius’ failure to wonder at a giraffe, his reduction of the living to the blind and dead, is, from Aristotle’s standpoint, a failure to recognize what is truly one, what is not just a heap, what is genuinely a thing.

The least thoughtful, least alert way of being in the world is to regard everything which remains itself as doing so causelessly, inertly. To seek a cause for the being-as-it-is of any thing is already to be in the grip of the question Aristotle says must always be asked. To seek the causes and sources of the being-as-it-is of everything that is, is to join Aristotle in his Copernican revolution which regards every manifestation of persistence, order, or recurrence as a marvel, an achievement. That everything in the world disclosed to our senses is in a ceaseless state of change, most of us would grant. That the world nevertheless hangs together enough to be experienced at all is a fact so large that we rarely take notice of it. But the two together–change, and a context of persistence out of which change can emerge–force one to acknowledge some non-human cause at work: for whichever side of the world–change or rest, order or dissolution–is simply its uncaused, inert way, the other side must be the result of effort. Something must be at work in the world, hidden to us, visible only in its effects, pervading all that is, and it must be either a destroyer or a preserver.

7. The World as Cosmos

That much seems to me to be demonstrable, but the next step is a difficult one to take because the world presents to us two faces: the living and the non-living. The thinghood of living things consists in organized unity, maintained through effort, at work in a variety of activities characteristic of each species; but a rock or a flame or some water or some dirt or some air is a thing in a much different way, unified only by accidental boundaries, indifferent to being divided or heaped together, at work only in some one local motion, up or down. Which is the aberration, life or non-life? For Aristotle the choice need not be made, since the distinction between the two forms of being only results from a confusion. Flesh, blood, bone, and hair would seem inorganic and inanimate if they were not organized into and animated as, say a cat. But earth, air, fire, and water, all of it, is always organized into and animate as the cosmos. The heavens enclose an organized body which has a size, a shape, and a hierarchical structure all of which it maintains by ceaseless, concerted activity. You may think that in believing this, Aristotle betrays an innocence which we cannot recover. But not only Aristotle and Ptolemy, but also Copernicus and Kepler believed the visible heaven to be a cosmos, and not only they, but also, amazingly, Newton himself. In our century, Einstein calculated the volume of the universe, and cosmology has once again become a respectable scientific pursuit. Moderns, for whom the spherical motion of the heavens no longer indicates that the heavens have boundaries, draw the same conclusion from the fact that there is darkness. Anyone who would take the assertion that his outlook is modern to include the denial that there is a cosmos would make a very shallow claim, one having more to do with poetic fashion than with reasoned conviction. The question of the cosmos has not been made obsolete, and the very least we must admit is that the appearance of an inorganic, inanimate nature is not conclusive and would result from our human-sized perspective whether there is a cosmos or not.

If the world is a cosmos, then it is one more instance of the kind of being that belongs to every animal and plant in it. And if that is so, there is nothing left to display any other kind of being. Try it: take inventory. What is there? The color red is, only if it is the color of some thing. Color itself is, only if it is some one color, and the color of a thing. The relation “taller than” is, only if it is of two or more things. What has being but is not a thing must depend on some thing for its being. But on the other hand a mere thing, mere matter as we call it, using the word differently than Aristotle ever does, is an impossibility too. Relatively inert, rock-like being is the being of a part of what comes only in wholes–cosmos, plant, or animal. And all man-made things must borrow their material from natural things and their very holding-together from the natural tendencies of the parts of the cosmos. To be is to be alive; all other being is borrowed being. Any comprehensive account of things must come to terms with the special being of animals and plants: for Lucretius, living things are not marvels but a problem which he solves by dissolving them into the vast sea of inert purposelessness. For Aristotle, as for Plato, wonder is not a state to be dissolved but a beckoning to be followed, and for Aristotle the wonderful animals and plants point the way to being itself, to that being qua being which is the source of all being, for we see it in the world in them and only in them.

Thus when Aristotle begins in Book 7 of the Metaphysics to ask what makes a thing a thing, he narrows the question to apply only to living things. All other being is, in one way or another, their effect. He is asking for their cause. At that point, his inquiry into the causes and sources of being itself, simply as being, merges with the inquiry in Book 2 of his Physics, where the question is, What is nature? The answer, as well, must be the same, and just as Aristotle concludes that nature is form, he concludes that being is form. Does the material of an animal make it what it is? Yes, but it cannot be the entire or even principal cause. If there is anything that is not simply the sum of its parts, it is an animal. It is continually making itself, by snatching suitable material from its environment and discarding unsuitable material. Add some sufficiently unsuitable material, like arsenic, and the sum of parts remains, but the animal ceases to be. The whole which is not accounted for by the enumeration of its parts is the topic of the last section of theTheaetetus, where Socrates offers several playful images of that kind of being: a wagon, a melody, the number six, and the example discussed at most length, which Aristotle borrows, the syllable.

8. Forms, Wholeness, and Thinghood

Aristotle insists that the syllable is never the sum of its letters. Socrates, of course, argues both sides of the question, and Theaetetus agrees both times. Let’s try it ourselves. Take the word “put”, p-u-t. voice the letters separately, as well as you can, and say them in succession, as rapidly as you can. I think you will find that, as long as you attempt to add sound to sound, you will have a grunt surrounded by two explosions of breath. When you voice the whole syllable as one sound, the a is already present when you begin sounding the p, and the t sound is already shaping the u. Try to pronounce the first two letters and add the third as an afterthought, and you will get two sounds. I have tried all this, and think it’s true, but you must decide for yourself. Aristotle says that the syllable is the letters, plus something else besides; Socrates calls the something else a form, an eidos, while Aristotle calls it the thinghood of the thing. When I pronounce the syllable “put”, I must have in mind the whole syllable in its wholeness before I can voice any of its parts in such a way as to make them come out parts of it. Now a syllable is about as transitory a being as one could imagine: it is made of breath, and it is gone as soon as it is uttered. But a craftsman works the same way as a maker of syllables. If he simply begins nailing and gluing together pieces of wood, metal, and leather, he is not likely to end up with a wagon; to do so, he must have the whole shape and work of the wagon in mind in each of his joinings and fittings. Even so, when he is finished, what he has produced is only held together by nails and glue. As soon as it is made, the wagon begins falling apart, and it does so the more, the more it is used. All the more perplexing then, is the animal or plant. It is perpetually being made and re-made after the form of its species, yet there is no craftsman at work on it. It is a composite of material and form, yet it is the material in it that is constantly being used up and replaced, while the form remains intact. The form is not in any artist’s imagination, nor can it be an accidental attribute of its material. In the Physics, nature was traced back to form, and in the first half of the Metaphysics all being is traced to the same source. But what is form? Where is it? Is it a cause or is it caused? Most important of all, does it have being alone, on its own, apart from bodies? Does it emerge from the world of bodies, or is a body a thing impossible to be unless a form is somehow already present for it to have? Or is there something specious about the whole effort to make form either secondary to material or primary? Are they perhaps equal and symmetrical aspects of being, inseparable, unranked? Just as ultimate or first material, without any characteristics supplied by form, cannot be, why should not a pure form, not the form of anything, be regarded as its opposite pole and as equally impossible? Or have we perhaps stumbled on a nest of unanswerable questions? If form is the first principle of the science of physics, might it not be a first principle simply, behind which one cannot get, to which one may appeal for explanation but about which one cannot inquire? Aristotle says that if there were not things apart from bodies, physics would be first philosophy. But he calls physics second philosophy, and half theMetaphysics lies on the other side of the questions we have been posing. It consists in the uncovering of beings not disclosed to our senses, beings outside of and causal with respect to what we naively and inevitably take to be the whole world.

Aristotle marks the center and turning point of the Metaphysics with these words: “One must inquire about (form), for this is the greatest impasse. Now it is agreed that some of what is perceptible arethings, and so one must search first among these. For it is preferable to proceed toward what is better known. For learning occurs in all things in this way: through what is by nature less known toward the things more known. And just as in matters of action the task is to make the things that are good completely be good for each person, from out of the things that seem good to each, so also the task here is, from out of the things more known to one, to make the things known by nature known to him. Now what is known and primary to each of us is often known slightly, and has little or nothing of being; nevertheless, from the things poorly known but known to one, one must try to know the things that are known completely.” (1029a 33 – b 11) The forest is dark, but one cannot get out of it without passing through it, carefully, calmly, attentively. It will do no good to move in circles. The passage just quoted connects with the powerful first sentence of the Metaphysics: “All human beings are by nature stretched out toward a state of knowing.” Our natural condition is one of frustration, of being unable to escape a task of which the goal is out of reach and out of sight. Aristotle here likens our frustration as theoretical beings to our condition as practical beings: unhappiness has causes–we achieve it by seeking things–and if we can discover what we were seeking we might be able to make what is good ours. Similarly, if we cannot discern the goal of wisdom, we can at least begin examining the things that stand in our way.

9. The Being of Sensible Things

The next section of the Metaphysics, from Book 7, Chapter 4 through Book 9, is the beginning of an intense forward motion. These books are a painstaking clarification of the being of the things disclosed to our senses. It is here that Aristotle most heavily uses the vocabulary that is most his own, and everything he accomplishes in these books depends on the self-evidence of the meanings of these expressions. It is these books especially which Latinizing translators turn into gibberish. Words like essence, individual, and actuality must either be vague or be given arbitrary definitions. The words Aristotle uses are neither vague nor are they conceptual constructions; they call forth immediate, direct experiences which one must have at hand to see what Aristotle is talking about. They are not the kinds of words that books can explain; they are words of the kind that people must share before there can be books. That is why understanding a sentence of Aristotle is so often something that comes suddenly, in an insight that seems discontinuous from the puzzlement that preceded it. It is simply a matter of directing one’s gaze. We must try to make sense of Books 7-9 because they are crucial to the intention of the Metaphysics. Aristotle has an argument independent of those books, which he makes in Book 8 of the Physics and uses again in Book 12 of the Metaphysics that there must be an immortal, unchanging being, ultimately responsible for all wholeness and orderliness in the sensible world. And he is able to go on in Book 12 to discover a good deal about that being. One could, then, skip from the third chapter of Book 7 to Book 12, and, having traced being to form, trace form back to its source. Aristotle would have done that if his whole intention had been to establish that the sensible world has a divine source, but had he done so he would have left no foundation for reversing the dialectical motion of his argument to understand the things in the world on the basis of their sources. Books 7-9 provide that foundation.

The constituents of the world we encounter with our senses are not sensations. The sensible world is not a mosaic of sensible qualities continuous with or adjacent to one another, but meets our gaze organized into things which stand apart, detached from their surroundings. I can indicate one of them to you by the mere act of pointing, because it has its own boundaries and holds them through time. I need not trace out the limits of the region of the visual field to which I refer your attention, because the thing thrusts itself out from, holds itself aloof from what is visible around it, making that visible residue mere background. My pointing therefore has an object, and it is an object because it keeps being itself, does not change randomly or promiscuously like Proteus, but holds together sufficiently to remain the very thing at which I pointed. This way of being, Aristotle calls being a “this”. If I want to point out to you just this red of just this region of this shirt, I will have to do a good deal more than just point. .A “this” as Aristotle speaks of it is what comes forth to meet the act of pointing, is that for which à need not point and say “not that or that or that but just this,” but need do nothing but point, since it effects its own separation from what it is not.

A table, a chair, a rock, a painting–each is a this, but a living thing is a this in a special way. It is the author of its own this-ness. It appropriates from its surroundings, by eating and drinking and breathing, what it organizes into and holds together as itself. This work of self-separation from its environment is never finished but must go on without break if the living thing is to be at all. Let us consider as an example of a living this, some one human being. Today his skin is redder than usual, because he has been in the sun; there is a cut healing on his hand because he chopped onions two days ago; he is well educated, because, five years ago, his parents had the money and taste to send him to Harvard. All these details, and innumerably many more, belong to this human being. But in Aristotle’s way of speaking, the details I have named are incidental to him: he is not sunburned, wounded on the hand, or Harvard-educated because he is a human being. He is each of those things because his nature bumped into that of something else and left him with some mark, more or less intended, more or less temporary, but in any case aside from what he is on his own, self-sufficiently. What he is on his own, as a result of the activity that makes him be at all, is: two-legged, sentient, breathing, and all the other things he is simply as a human being. There is a difference between all the things he happens to be and the things he necessarily is on account of what he is. Aristotle formulates the latter, the kind of being that belongs to a thing not by happenstance but inevitably, as the “what it kept on being in the course of being at all” for a human being, or a duck, or a rosebush. The phrase to en einai is Aristotle’s answer to the Socratic question, ti esti? What is a giraffe? Find some way of articulating all the things that every giraffe always is, and you will have defined the giraffe. What each of them is throughout its life, is the product at any instant for any one of them, of the activity that is causing it to be. That means that the answer to the question “What is a giraffe?”, and the answer to the question “What is this giraffe?” are the same. Stated generally, Aristotle’s claim is that a this, which is in the world on its own, self-sufficiently, has a what-it-always-was-to-be, and is just its what-it-always-was-to-be. This is not a commonplace thought, but it is a comprehensible one; compare it with the translators’ version, “a per-se individual is identical with its essence.”

10. Matter and Form in Aristotle

The living thing as it is present to my looking seems to be richer, fuller, more interesting than it can possibly be when it is reduced to a definition in speech, but this is a confusion. All that belongs to the living thing that is not implied by the definition of its species belongs to it externally, as a result of its accidental interactions with the other things in its environment. The definition attempts to penetrate to what it is in itself, by its own activity of making itself be whole and persist. There is nothing fuller than the whole, nothing richer than the life which is the winning and expressing of that wholeness, nothing more interesting than the struggle it is always waging unnoticed, a whole world of priority deeper and more serious than the personal history it must drag along with the species-drama it is constantly enacting. The reduction of the living thing to what defines it is like the reduction of a rectangular block of marble to the form of Hermes: less is more. Strip away the accretion of mere facts, and what is left is that without which even those facts could not have gained admittance into the world: the forever vulnerable foundation of all that is in the world, the shaping, ruling form, the incessant maintenance of which is the only meaning of the phrase self-preservation. Indeed even the bodily material of the living thing is present in the world only as active, only as forming itself into none of the other things it might have been but just this one thoroughly defined animal or plant. And this, finally, is Aristotle’s answer to the question, What is form? Form is material at work according to a persisting definiteness of kind. Aristotle’s definition of the soul in De Anima, soul is the being-at-work-staying-the-same of an organized body, becomes the definition of form in Book 8 of the Metaphysics, and is, at that stage of the inquiry, his definition of being.

Book 9 spells out the consequences of this clarification of form. Form cannot be derivative from or equivalent with material, because material on its own must be mere possibility. It cannot enter the world until it has achieved definiteness by getting to work in some way, and it cannot even be thought except as the possibility of some form. Books 7-9 demonstrate that materiality is a subordinate way of being. The living body does not bring form into the world, it must receive form to come into the world. Form is primary and causal, and the original source of all being in the sensible world must be traced beyond the sensible world, to that which confers unity on forms themselves. If forms had no integrity of their own, the world and things could not hang together and nothing would be. At the end of Book 9, the question of being has become the question of formal unity, the question, What makes each form one? In the woven texture of the organization of the Metaphysics, what comes next, at the beginning of Book 10, is a laying out of all the ways things may be one. Glue, nails, and rope are of no use for the problem at hand, nor, any longer, are natural shapes and motions, which have been shown to have a derivative sort of unity. All that is left in Aristotle’s array of possibilities is the unity of that of which the thinking or the knowing is one.

This thread of the investigation, which we may call for convenience the biological one, converges in Book 12 with a cosmological one. The animal and plant species take care of their own perpetuation by way of generation, but what the parents pass on to the offspring is an identity which must hold together thanks to a timeless activity of thinking. The cosmos holds together in a different way: it seems to be literally and directly eternal by way of a ceaseless repetition of patterns of locomotion. An eternal motion cannot result from some other motion, but must have an eternal, unchanging cause. Again, Aristotle lays out all the possibilities. What can cause a motion without undergoing a motion? A thing desired can, and so can a thing thought. Can you think of a third? Aristotle says that there are only these two, and that, moreover, the first reduces to the second. When I desire an apple it is the fleshy apple and not the thought of it toward which I move, but it is the thought or imagining of the fleshy apple that moves me toward the apple. The desired object causes motion only as an object of thought. Just as the only candidate left to be the source of unity of form among the animals and plants was the activity of thinking, so again the only possible unmoved source for the endless circlings of the stars is an eternal activity of thinking. Because it is deathless and because the heavens and nature and all that is depend upon it, Aristotle calls this activity God. Because it is always altogether at work, nothing that is thought by it is ever outside or apart from it: it is of thinking, simply. Again, because it is always altogether at work, nothing of it is ever left over outside of or apart from its work of thinking: it is thinking, simply. It is the pure holding-together of the pure holdable-together, activity active, causality caused. The world is, in all its being most deeply, and in its deepest being wholly, intelligible. So far is Aristotle from simply assuming the intelligibility of things, that he requires twelve books of argument to account for it. All being is dependent on the being of things; among things, the artificial are derived from the natural; because there is a cosmos, all natural things have being as living things; because all living things depend on either a species-identity or an eternal locomotion, there must be a self-subsisting activity of thinking.

The fact that there are a Book 13 and a Book 14 to the Metaphysics indicates that, in Aristotle’s view, the question of being has not yet undergone its last transformation. With the completion of Book 12, the question of being becomes: What is the definition of the world? What is the primary intelligible structure that implies all that is permanent in the world? Books 13 and 14 of the Metaphysics examine the only two answers that anyone has ever proposed to that question outside of myths. They are: that the divine thinking is a direct thinking of all the animal and plant species, and that it is a thinking of the mathematical sources of things. The conclusions of these two books are entirely negative. The inquiry into being itself cannot come to rest by transferring to the divine source the species-identities which constitute the world, nor can they be derived from their mathematical aspects. Aristotle’s final transformation of the question of being is into a question. Books 13 and 14 are for the sake of rescuing the question as one which does not and cannot yield to a solution but insists on being faced and thought directly. Repeatedly, through the Metaphysics, Aristotle says that the deepest things must be simple. One cannot speak the truth about them, nor even ask, a question about them, because they have no parts. They have no articulation in speech, but only contact with that which thinks. The ultimate question of the Metaphysics, which is at once What is all being at its roots? and What is the life of God?, and toward which the whole Metaphysics has been designed to clear the way, takes one beyond the limits of speech itself. The argument of the Metaphysics begins from our direct encounter with the sensible world, absorbs that world completely into speech, and carries its speech to the threshold of that on which world and speech depend. The shape of the book is a zig-zag, repeatedly encountering the inexpressible simple things and veering away. By climbing to that life which is the being-at-work of thinking, and then ending with a demonstration of what that life is not, Aristotle leaves us to disclose that life to ourselves in the only way possible, in the privacy of lived thinking. The Metaphysics is not an incomplete work: it is the utmost gift that a master of words can give.

11. References and Further Reading

  • Aristotle, Metaphysics, Joe Sachs (trans.), Green Lion Press, 1999.
  • Aristotle, Nicomachean Ethics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2002.
  • Aristotle, On the Soul, Joe Sachs (trans.), Green Lion Press, 2001.
  • Aristotle, Poetics, Joe Sachs (trans.), Focus Philosophical Library, Pullins Press, 2006.
  • Aristotle, Physics, Joe Sachs (trans.), Rutgers U. P., 1995.

Author Information

Joe Sachs
Email: joe.sachs@sjc.edu
St. John’s College
U. S. A.