All posts by James Fieser

Edmund Husserl (1859—1938)

HusserlAlthough not the first to coin the term, it is uncontroversial to suggest that the German philosopher, Edmund Husserl (1859-1938), is the “father” of the philosophical movement known as phenomenology.  Phenomenology can be roughly described as the sustained attempt to describe experiences (and the “things themselves”) without metaphysical and theoretical speculations. Husserl suggested that only by suspending or bracketing away the “natural attitude” could philosophy becomes its own distinctive and rigorous science, and he insisted that phenomenology is a science of consciousness rather than of empirical things. Indeed, in Husserl’s hands phenomenology began as a critique of both psychologism and naturalism.  Naturalism is the thesis that everything belongs to the world of nature and can be studied by the methods appropriate to studying that world (that is, the methods of the hard sciences). Husserl argued that the study of consciousness must actually be very different from the study of nature. For him, phenomenology does not proceed from the collection of large amounts of data and to a general theory beyond the data itself, as in the scientific method of induction. Rather, it aims to look at particular examples without theoretical presuppositions (such as the phenomena of intentionality, of love, of two hands touching each other, and so forth), before then discerning what is essential and necessary to these experiences. Although all of the key, subsequent phenomenologists (Heidegger, Sartre, Merleau-Ponty, Gadamer, Levinas, Derrida) have contested aspects of Husserl’s characterization of phenomenology, they have nonetheless been heavily indebted to him. As such, he is arguably one of the most important and influential philosophers of the twentieth century. The key features of his work, and his understanding of the phenomenological method, are considered in what follows.

Table of Contents

  1. Biography
  2. How to Interpret Husserl’s Texts
  3. On the Concept of Number (Übert den Begriff der Zahl, 1887)
  4. Logical Investigations (Logische Untersuchungen, 1900-01)
  5. Ideas I (Ideen I, 1913)
  6. Ideas II (Ideen II)
  7. References and Further Reading

1. Biography

Edmund Husserl was born April 8, 1859, into a Jewish family in the town of Prossnitz in Moravia, then a part of the Austrian Empire. Although there was a Jewish technical school in the town, Edmund’s father, a clothing merchant, had the means and the inclination to send the boy away to Vienna at the age of 10 to begin his German classical education in the Realgymnasium of the capital. A year later, in 1870, Edmund transferred to the Staatsgymnasium in Olmütz, closer to home. He was remembered there as a mediocre student who nevertheless loved mathematics and science, “of blond and pale complexion, but of good appetite.” He graduated in 1876 and went to Leipzig for university studies.

At Leipzig Husserl studied mathematics, physics, and philosophy, and he was particularly intrigued with astronomy and optics. After two years he went to Berlin in 1878 for further studies in mathematics. He completed that work in Vienna, 1881-83, and received the doctorate with a dissertation on the theory of the calculus of variations. He was 24. Husserl briefly held an academic post in Berlin, then returned again to Vienna in 1884 and was able to attend Franz Brentano’s lectures in philosophy.

In 1886 he went to Halle, where he studied psychology and wrote his Habilitationsschrift on the concept of number. He also was baptized. The next year he became Privatdozent at Halle and married a woman from the Prossnitz Jewish community, Malvine Charlotte Steinschneider, who was baptized before the wedding. The couple had three children. They remained at Halle until 1901, and Husserl wrote his important early books there. The Habilitationsschrift was reworked into the first part of Philosophie der Arithmetik, published in 1891. The two volumes of Logische Untersuchungen came out in 1900 and 1901.

In 1901 Husserl joined the faculty at Göttingen, where he taught for 16 years and where he worked out the definitive formulations of his phenomenology that are presented in Ideen zu einer reinen Ph‰nomenologie und phänomenologischen Philosophie (Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy). The first volume of Ideen appeared in the first volume of Husserl’s Jahrbuch für Philosophie und phänomenologische Forschung in 1913. Then the world war disrupted the circle of Husserl’s younger colleagues, and Wolfgang Husserl, his son, died at Verdun. Husserl observed a year of mourning and kept silence professionally during that time.

However Husserl accepted appointment in 1916 to a professorship at Freiburg im Breisgau, a position from which he would retire in 1928. At Freiburg Husserl continued to work on manuscripts that would be published after his death as volumes two and three of the Ideen, as well as on many other projects. His retirement from teaching in 1928 did not slow the pace of his phenomenological research. But his last years were saddened by the escalation of National Socialism’s racist policies against Jews. He died of pleurisy in 1938, on Good Friday, reportedly as a Christian.

Most commentators, therefore, recognize three periods in Husserl’s career: the work at Halle, Göttingen, and Freiburg, respectively. Some argue that one or another of these periods ought to be taken as definitive and used as the interpretive key to unlock the others. But such an approach highlights disjunctions in Husserl’s thought while neglecting the significant continuities. Important strands of Husserl’s philosophy have their beginning long before his academic career commenced.

The community into which Husserl was born, Prossnitz, was a center of talmudic learning whose yeshiva had produced or welcomed a number of famous rabbis during the two centuries before Husserl’s birth. This scholarly activity was supported by the industries of textile and clothing manufacture, through which Prossnitz’s Jews had enhanced the prosperity of the region. Jews and Germans were minorities in the town and appear to have comprised its middle class. Their interests were naturally allied against those of the Slavic majority. (For example, the census of 1900 counted 1,680 Jews among the town’s 24,000 inhabitants, according to The Jewish Encyclopedia.) In the ethnically diverse town, several dialects were spoken, and the language of the Husserl home probably was Yiddish.

The Jewish community of Prossnitz had established a technical school in 1843, and it became a public school for all the town’s children in 1869–one year before young Edmund Husserl was sent off to Vienna’s Realgymnasium. 1868 was also a year when civic authorities called for reform of Jewish education at all levels throughout Moravia. These developments reflect a movement toward modernization and integration after centuries of enforced segregation and legal restriction of Jewish life.

Prossnitz was the second-largest Jewish community in Moravia, with 328 families. Exactly 328 families; it could have no more, because of the quota established by the Bohemian Familianten Gesetz in 1787. The Jewish population was controlled through marriage licenses. Civil law set specific economic, age, and educational requirements; but in addition, the license could be granted only after a death freed up one of the allotted 328 slots. In effect, only first sons could hope to marry. Others had to emigrate if they wanted to have families of their own. This population-control policy was enforced until 1849, ten years before Edmund Husserl’s birth. The requirement that Jews obtain special marriage licenses remained in effect until late in 1859, some months after Edmund’s birth.

But Edmund Husserl’s childhood was spent during an era of liberalization for Prossnitz’s Jews. He received an elite secular education and probably made his father quite proud. At that period, gymnasia provided separate religious instruction for Christian boys and Jewish boys. Edmund’s Jewish education would have continued in that context and in the language of secular culture, High German. He could hear and read the Bible in that modern language as well, for in the nineteenth century a wave of new translations into the language of German culture was spawned by Moses Mendelssohn’s groundbreaking work. (Mendelssohn’s 1783 translation into High German was printed in Hebrew characters, phonetically, to make it easy to read.) Some of these editions were lavishly illustrated for display in bourgeois homes like Edmund’s, and most took into account the findings of recent historical and philological science. But during Edmund’s childhood, translating the Hebrew Bible was still a controversial issue. Some educational leaders in the Jewish community warned that it would undermine Hebrew learning among the young. Hebrew learning was evidently not prized by a father who would send his son to the capital to study Greek and Latin at the age when boys traditionally were sent down the street to learn Hebrew and Torah. To complicate the picture, in 1870 when Edmund was eleven, a new rabbi came to serve the Prossnitz community.

One may surmise, then, that Edmund Husserl came by his knowledge of the Bible through his classical secular education, not his religious tradition. It was of a piece with the German cultural heritage for him. It was a source of literary allusions, and in later life he could compare himself to Moses and to Sisyphus with equal ease.

Literary allusions, along with fragments of correspondence, are all that remain to us for the reconstruction of what Husserl may have felt about himself and his work. There is no autobiography per se. But there are retrospective texts. One of the most illuminating is the brief introduction that Husserl prepared for the 1931 publication in English of the first book of Ideen, originally brought out in 1913.

Now in his seventies, Husserl complains that most readers have misunderstood his life’s work. When he undertakes to reformulate what phenomenology is and what he has accomplished, however, he writes from a vantage point that he did not have some two decades earlier. Husserl becomes, in effect, a critic and interpreter of his own work, which he describes with a sustained metaphor. He portrays himself as an explorer who has opened the way into new territory so that others may conquer, map, and farm it. Of himself, Husserl writes:

“(H)e who for decades did not speculate about a new Atlantis but instead actually journeyed in the trackless wilderness of a new continent and undertook the virgin cultivation of some of its areas will not allow himself to be deterred in any way by the rejection of geographers who judge his reports according to their habitual ways of experiencing and thinking and thereby excuse themselves from the pain of undertaking travels in the new land” (422)

Here is another example of this characterization:

I can see spread out before me the endlessly open plains of true philosophy, the ‘promised land’, though its thorough cultivation will come after me” (429)

By means of this spatial, geographical metaphor of crossing over into the “new land,” Husserl conveys something of the adventure and pioneer courage that should accompany phenomenological work. This science is related to “a new field of experience, exclusively its own, the field of ‘transcendental subjectivity’,” and it offers “a method of access to the transcendental-phenomenological sphere” (408). Husserl is the “first explorer” (419) of this marvelous place.

2. How to Interpret Husserl’s Texts

Husserl had already employed the spatial metaphor in the 1913 text, although without explicit reference to himself as explorer. In chapter I-1 of Ideen I he had distinguished states of affairs (Sachverhaltnis) from essences (Wesen) by assigning them to two “spheres”: the factual or material, and the formal or eidetic, respectively. These spheres are connected only by the mind’s ability to pass between them as easily as moving around within either of them; they do not connect on their own, as it were. That is, no causality obtains between them. “Movement between” and “movement within” are of course further elaborations upon the spatial metaphor, and serve to designate the ability of consciousness to flow along, concentrate itself, linger, combine, focus, or disperse as it will. Such acts of consciousness belong to these spheres. They are worldly. They are “psychological.”

Husserl’s task is to get from those spheres into another “field” that is quite unlike them. It will be the sphere of absolute consciousness, consciousness when it isn’t going anywhere. As the title of chapter II-3 puts it, this will be “The Region of Pure Consciousness.” You can’t “go there” with consciousness; instead you have to let the worldly go away and then inhabit what’s left. This is the import of the infamous fantasy that opens paragraph 33: “(W)as kann als Sein noch setzbar sein, wenn das Weltall, das All der Realit‰t eingeklammert bleibt?” (In Kersten’s paraphrase: “What can remain, if the whole world, including ourselves with all our cogitare, is excluded?” [63])

Now, it’s quite curious that Husserl should choose the spatial metaphor to introduce and induce his phenomenological reduction. This metaphor invites confusion for anyone familiar with Descartes– who after all named spatial extension as the substantial attribute of material being. None of Husserl’s “spheres” is literally extended, in the Cartesian sense; yet all are coextensive (coincident) with material being–inasmuch as there’s literally nowhere else besides the material universe where they could be. Why then should Husserl choose such an incongruous and counterproductive metaphor? A different metaphor (such as “fabric” or “organism,” for example) could have conveyed the notions of coherence, separation, and access that Husserl intended. What is distinctive about the spatial metaphor, however, is that it connotes exploration and conquest. If transcendental consciousness is a promised land, then you need a Moses to lead you toward it. You need Husserl. When Husserl remarks, in the 1931 Introduction, that he can look down across that land that he has discovered, but that others will enter, this is a literary allusion to the figure of Moses, who led his people to Canaan, “the promised land,” but did not lead them into it (Deuteronomy 34).

If these allusions from 1931 can be taken as a thumbnail self- portrait, still one must remember that it was sketched during Husserl’s retirement. But Husserl’s thought grew and changed throughout his long career. In his maturity, the philosopher joined his readers in producing commentary upon his youthful work. The three phases of Husserl’s career–Halle, Göttingen, and Freiburg–invite facile divisions, and decisive turning points have been suggested within each of those periods. (The survival of nearly 45,000 pages of stenographic notes from Husserl’s teaching and his private researches has fueled disputes about when he might have had the first glimmer of a thought that led to a lecture comment that led to a paragraph that found its way into a book published long after the man’s papers and ashes were shelved in Louvain!)

Husserl himself insisted that the threads of continuity throughout the evolution of his thought were more significant than any false starts that later had to be repudiated. It seems well to grant him this point. Yet on two issues one must take seriously the critical discussion arising from disjunctions in Husserl’s thought: (a) the question whether to characterize Husserl as realist or idealist, and (b) the question of which stage of Husserl’s evolution–if any–should be taken as the definitive version through which all other versions are to be read. Husserl himself, writing as his own critic later in life, took a position on each of those issues. On (a), he insisted that he was and always had meant to be a transcendental idealist. On (b), he claimed competence to correct the insights of 1887, 1900, and 1913 with the insights of the 1920’s and 1930’s. Thus the mature Husserl would wish to erase the impression that his early work resolved the realism-idealism conundrum in favor of realism, and that it did so in fidelity to an insight already expressed in his earliest work on number.

Various punctuations of Husserl’s career by time, place, and predominant question have been suggested by commentators (for example, Kockelmans 1967: 17-23; Ricoeur 1967: 3-12; Biemel 1970; and Bell 1990). Husserl’s phenomenology developed gradually, but there were several relatively sudden turns and several stalls. Two examples suffice to illustrate. While at Halle shortly after the publication of Philosophie der Arithmetik, Husserl distanced himself from his recent efforts to establish mathematical and logical principles upon the psychological operations of the mind—a project that he later termed “psychologism.” Many commentators have characterized this as an abrupt turn made in response to Frege’s effective criticism of Philosophie der Arithmetik. However Mohanty (1982: 13), who examines the Frege-Husserl correspondence along with other documentary evidence, concludes to the contrary, that:

the seeds of development of Husserl’s philosophy from the Philosophie der Arithmetik to the Prolegomena [i.e., the first volume of the Logische Untersuchungen, 1900] were immanent to his own thinking, so that the hypothesis of a traumatic effect of Frege’s 1894 review of his book and a consequent reversal of his mode of thinking is not only uncalled for but also unsubstantiated by the available evidence.

Mohanty, then, provides ample warrant for a reading of Husserl that pursues threads of continuity between his early mathematical work and the breakthrough to phenomenology while at Halle.

In a second example of a supposed disjuncture in Husserl’s development, there has been discussion of whether he changed his stance from realism to idealism between Göttingen and Freiburg. On the one hand, Eugen Fink (1933) and many others see a consistent evolution of transcendental idealism from the work published in Ideen I onward. They tend either to dismiss the earlier works as if they were merely youthful failures, or forcibly to harmonize the realist passages with Husserl’s later positions. Husserl himself endorsed such a reading. On the other hand, those who studied with Husserl at Göttingen insist that his work at that time had validity and integrity in its own right. His former student Edith Stein (1932: 44-45) remarks that Husserl’s disciples were surprised at the idealistic passages in Ideen, and she calls Fink a latecomer to Husserl’s phenomenology. One of Stein’s contemporaries among Husserl students, Roman Ingarden (1962: 159), says that:

the idealistic tendencies apparent in volume I of the Ideen had been opposed by his disciples when the work was being studied during the seminars at Göttingen and . . . his disciples pointed out many passages in the Ideen which seemed to contain direct arguments against his idealism.

Subsequently Ingarden presented arguments, based on both the text of Logische Untersuchungen and his conversations with Husserl, in support of the view that Husserl originally espoused a realist standpoint but later abandoned it (Ingarden 1975: 4-8). Further discussion of the issue is to be found in Kockelmans (1967: 418-449) and in Van de Pitte (1981: 36-42)–who suggests that the discrepancy will vanish if one reads Husserl’s idealism as an epistemological or methodological approach to a metaphysically real world.

For his own part, Husserl (1931: 418-9) claimed that his transcendental idealism had advanced altogether beyond ordinary idealism, beyond realism, and beyond the very distinction between them. He denied that he ever had held a realist position:

. . . I still consider, as I did before, every form of the usual philosophical realism nonsensical in principle, no less so than that idealism which it sets itself up against in its arguments and which it “refutes.” [Phenomenological reduction] is a piece of pure self- reflection, exhibiting the most original evident facts; moreover, if it brings into view in them the outlines of idealism . .. it is still anything but a party to the usual debates bewteen idealism and realism. . . .

Husserl argued that transcendental-phenomenological idealism did not deny the actual existence of the real world, but sought instead to clarify the sense of this world (which everyone accepts) as actually existing.

Thus Husserl joins the company of those who read his work “backwards,” from the standpoint of Freiburg, interpreting the earliest work in light of the transcendental idealism of the latest. This reading grants no validity to the earlier work in its own right. It sets Husserl against Kant, and phenomenology’s thoroughgoing idealism against Kantian critical idealism. Fink, in his detailed response to neo- Kantians’ readings of Husserl’s phenomenology (1932), scolds them for even addressing arguments made in Husserl’s 1900-1 and 1913 publications–for Fink contends that those positions now must be assimilated to Husserl’s later formulations. The extreme hermeneutical implications of this stance come clear in Fink’s delineation of the threefold paradox entailed in reading Husserl’s phenomenology: (1) It is inevitably misunderstood if the reader has not first cultivated the transcendental attitude; yet that attitude arises from the reading. (2) The words necessarily miss their meaning, and fail to refer effectively to the pre-worldly realm of transcendental subjectivity, since all available words are worldly. (3) Phenomenology goes to a realm beyond logic, individuation, and determination, which ordinarily structure understanding. In this extreme form, then, the Freiburg reading of Husserl’s work is a locked door for the newcomer who is trying to get acquainted with Husserl’s phenomenology.

Fortunately, there are other hermeneutical options. A second group of commentators read Husserl “forward” from his intellectual beginnings at Vienna and Halle. The early work in mathematics and logic continues to attract the interest of Analytic philosophers. They are among those who argue that Husserl’s concern with numbers and logical reasoning, stimulated by the Kantian challenge, fructified in the prescription of eidetic and, eventually, phenomenological reductions.

Besides reading Husserl from Halle “forward” or from Freiburg “backward,” there is yet a third option. One may base one’s reading upon the Göttingen period and upon questions involving the genesis of the Ideen, as the keystone in the arch of Husserl’s development. This is the stance suggested by Ingarden, who considered Husserl’s later transcendentalism a big mistake, and by Stein, whose own subsequent works unfold the implications of the realism and personalism embraced by Husserl at that period. On this view the world, lost by Kant, is won back for science.

The problems of oneness and unity occupied Husserl throughout all the phases of his philosophical development: his earliest work on number and logic, his pre-war realist descriptive phenomenology, and his idealist transcendental phenomenology. His philosophy in some respects parallels the emergence of modern psychology, with whose tenets it should not be confused. The following are his major works.

3. On the Concept of Number (Übert den Begriff der Zahl, 1887)

Husserl’s Habilitationsschrift is subtitled “psychological analyses,” and it addresses the question how we recognize manyness within a group. Husserl remarks that the common definition of number–that number is a multiplicity of units–leaves two key questions unanswered: “What is ‘multiplicity’? And what is ‘unity’?” It is the former question, multiplicity, that occupies his attention throughout the essay. However the latter question, unity, haunts the discussion and refuses to be ignored.

Husserl locates the origin of multiplicity in the activity of combining, which he takes to be a psychological process. After much consideration he identifies this activity as synthesis, or the gathering of items into a set. He notices then that synthetic unities are of two kinds. Either the relationship through which the multiple items belong to the one set is a content of the mental representation of those items (right in there alongside them as another item that can be attended to and counted), or it is not there. In the former case, the unity is physical. Otherwise it is psychical, stemming from the unifying mental act that sets the contents into the relationship.

Having made that distinction between natural or physical unity, and arbitrary or imposed unity, Husserl then goes on to contrast these varieties of synthetic oneness with something else entirely: unsynthesized unity. His example is a rose, whose so-called parts are continuous and come apart only for the examining mind.

“In order to note the uniting relations in such a whole, analysis is necessary. If, for example, we are dealing with the representational whole which we call ‘a rose,’ we get at its various parts successively, by means of analysis: the leaves, the stem…. Each part is thrown into relief by a distinct act of noticing, and is steadily held together with those parts already segregated” (114).

Ironically, Husserl has struck gold while mining coal, and doesn’t quite recognize what he’s got hold of. His description of nonsynthesized unity comes almost as a byproduct of his attempt to differentiate physical or real collective combination from psychic combination. He writes:

“… these combining relations present themselves as, so to speak, a certain ‘more,’ in contrast to the mere totality, which appears merely to seize upon its parts, but not really to unite them [because they’re already united, independently of the mind!]…. In the totality there is a lack of any intuitive unification, as that sort of unification so clearly manifests itself in the metaphysical or continuous whole” (114).

Husserl has succeeded in distinguishing between natural and artificially synthesized wholes, on the one hand, and, on the other hand, those totalities that are known as having been accomplished neither by natural aggregation nor by mental combination. The unity of such wholes is known to be real, even though it admits of subsequent mental analysis or physical dissection.

Again ironically, in his concluding discussion of “number” Husserl neglects to notice the number one even as he employs it to illustrate how combination works. Substituting the term “and” for the term “collective combination,” Husserl remarks:

“(T)otality or multiplicity in abstracto is nothing other than ‘something or other’, and ‘something or other’, and ‘something or other’, etc.; or, more briefly, one thing, and one thing, and one thing, etc. Thus we see that the concept of the multiplicity contains, besides the concept of collective combination, only the concept something. Now this most general of all concepts is, as to its origin and content, easily analyzed” (116).

Husserl terms the concept something the most general concept. It stands for any object–real or unreal, physical or psychical–upon which we reflect. Thus he says that multiplicity as a concept arises out of the indetermination of the et-cetera that allows the series of “one and one and one and …” to go however far you like.

Yet an objection must be registered concerning what Husserl has found but not noticed. Multiplicity is but relatively undetermined; ultimately, multiplicity is in fact determined, or reined in, by one itself. This happens at three points. (a) One is the starting point of the counting series. Every number except the first number is a multiplicity; therefore the set of natural numbers is greater (by one!) than the set of multiplicities. (b) One determines the unit of counting. Only one something at a time gets counted. The and‘s must be put in between one‘s. (c) Although the series can stop anywhere, nevertheless it has to stop at one single place, not at several places. Every number is one distinct number.

Husserl, however, tries to produce the concept number by suppressing what he has taken to be the absolute indetermination of the something-series. This is how he gets determinate multiplicity, which he equates with number. In other words, the and‘s are the main ingredient for making numbers Husserl-style. This is incorrect, of course, but it is incorrect in an interesting way. For example, to make the number five, you would need four and‘s. To come up with those four and‘s, you would have to count them out; but before you could count to four, you would need three and‘s with which to make that four. But… there’s a regression back to one. The number five is four and’s, and five one’s.

The maddening difficulty of focusing upon combination eventually will have a happy outcome, which Husserl did not see in 1887. The truly interesting problem is one, the prime ingredient in numbers and the determiner whose own determination was to become Husserl’s guiding quest.

4. Logical Investigations (Logische Untersuchungen, 1900-01)

With the turn of the century, Husserl’s attention turned from and to one; that is, away from the mental activity of combining, and toward that which is reliably there to be combined. He wanted to show that mental activity is not the source of the latter. Chapter 8 of LU I exposes and refutes the three premises or “prejudices” of psychologism. In short, “psychologism” for Husserl is the error of collapsing the normative or regulative discipline of logic down onto the merely descriptive discipline of psychology. It would make mental operations (such as combination) the source of their own regulation. The “should” of logic, that utter necessity inhering in logical inference, would become no more than the “is” or facticity of our customary thinking processes, empirically described.

Husserl’s formulation and refutation of the three psychologistic premises is wickedly clever, but cannot be treated in detail here. (See # 43-49 of LU I.) One example must suffice. Psychologism, Husserl charges, would place logical inferences on the same plane with mental operations (# 44), and this would make even mathematics into a branch of psychology (# 45). Indeed, math and logic do have structures that are isomorphic to those of mental operations, such as combination and distinction. But given that similarity, how then would one distinguish the regulation of any of these processes from the description of it? Under psychologism, there’s no way. But Husserl makes the distinction in a way that also shows how regulation (that is, the laws of logic) comes from elsewhere than the plane of mental activity.

And he does this by virtue of one. In # 46 Husserl agrees with his opponents that arithmetical operations occur in patterns that refer back to mental acts for their origin and also for their meaning. However, there’s a difference between them as well. Mental acts transpire in time: they begin and end, and they can be repeated and individually counted. Numbers, in contrast, are timeless. While they can be represented in mental acts, this representation is not a fresh production of the number but rather an instantiation of its form. There is only one five. Any time we count five things, it isn’t a production of a new five but merely a deja vu for the same old five, eternal five. We can’t count numbers themselves, for there’s only one of each. (A similar argument is made in #22 of Ideas I.)

The same goes for logic, Husserl says. Concepts comprising the laws of pure logic can have no empirical range. Their range or sphere is ideal singulars, not mental generalizations from multiple instantiations. The operators of logic are other than those mental acts that happen to share the same names: “and,” “not,” “is,” “or,” “implies,” “may,” “must,” “should.” Psychologically, there can be many factual acts of combining, negating, etc. Logically, there is only one “and,” one “not,” etc. Husserl concedes here, as he did for arithmetic, that the logical operators take their origin and meaning from the mental acts. This accounts for the equivocal character of logical terms, which refer both to ideal singulars, and to mental states and acts. But if you fail to notice this equivocation, you become ensnared in psychologism, losing the possibility of pure logic and unified science.

The danger of equivocation extends over judgments as well. On the one hand, we can count multiple apperceptive events of affirmation, occurring psychologically, which proceed in time, begin and end, and recur as often as we like, in happenings that can be distinguished one from another. On the other hand, the judgment thus reached remains the same throughout each act accessing it. It seems to persist and to be called back for encore appearances; it seems even to have pre-existed its first appearance to me (# 47). In this latter sense, the judgment is not the same as the mental act that reaches it. Moreover, the truth of the judgment is neither equivalent to nor dependent upon the psychological experience of clear evidence that accompanies the mental act embracing it. Husserl easily shows this by recalling that in both logic and arithmetic, there are truths that have never been entertained in any human consciousness, and indeed could never be humanly conceived (# 50). (Cases of truth without the possibility of psychological evidence would include the computation of very large numbers, and decisions about membership in sets that are uncountably large. The arithmetical and logical operations connected with such determinations could never be “done” by a human mind or a computer. Their truth cannot be “factual.”)

The number one, then, has become Husserl’s touchstone for discriminating between psychological processes and logical laws. It is his reality detector. What is psychological (or empirical) comes on in discrete individual instances–ones–and you can examine their edges. What is logical (or ideal) comes on as a seamless oceanic unity without temporal edges, reliably persisting even when not attended to. Husserl’s sensitivity to the modes of unity, first expressed in the Habilitationsschrift and developed in LU, provides the launching pad for transcendental phenomenology.

5. Ideas I (Ideen I, 1913)

What launches transcendental phenomenology is the recognition that those modes of unity correlate with each other and with a third mode of unity, in ways that are tantalizingly asymmetrical. These three onenesses are: the factual unity of things and states of affairs, the eidetic unity of essences, and the living unity of consciousness as it flows along in a stream of experiences. Each has, and exhibits, its own distinctive kind of identity and persistence. Factual and essential unities give objects to the straightforward regard of consciousness, entering it as items of experience, each in its distinctive way; but consciousness can also deflect its regard back onto these enterings and discover its own unity, which is unlike either of theirs.

The possibility of this complex correlation is provided by the “principle of principles”: that intuitions come on to us with distinctive boundary-conditions that we can accept as sources insuring the correctness of our knowledge of them. Or in Husserl’s formulation:

“… that every originary presentive intuition is a legitimizing source of cognition, that everything originarily (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” (44).

The different kinds of unities have different kinds of edges, and these give away what kind of a unity each of them is going to be. But it’s easy to miss the differences. That happens in the natural attitude, Husserl says, when all the objects of consciousness are taken as if they were factual items. Husserl complains that even his Logische Untersuchungen have been misunderstood as advocating just this error of “Platonic realism,” by those who read into his use of the term “object” the implication that, through a perverse hypostatization, every thought turns into a thing (# 22). On the contrary, he says, the eidetic reduction, operative already in LU, empowers him to differentiate between how essences appear, and how cases appear.

Now with Ideen I, this distinction is sketched in beautiful detail. You can tell when the object occupying your consciousness is a physical thing, because things don’t give themselves to you all at once. What you get instead is a perspective inviting you to move around to the other side to perceive some more of the thing. All the while the thing keeps its unity to itself, as the reference point of all the angles it gives to you, and out of which you must reproduce or copy or simulate the unified thing as you conceive it. But in conceiving, you don’t have to put an “and” between two separate perceptions, the north face of a building and the south face, in order to yield the perception of the building as if it were a sum. These different views are given to you as continuous, as views of one thing.

Husserl terms this “shading off” or adumbration. (The notion of off-shading is reminiscent of a multiple-exposure photograph that captures successive phases of a movement in a single frame. Such photos were being seen for the first time at the turn of the century. Husserl also mentions new media such as the stereoscope and the cinema.) In contrast, essences give themselves to you all at once. Their boundaries are not sides, but rather laws entailing the characteristic necessities and possibilities of kinds of things (more about which below). The unity of any particular essence coheres within that determinate outermost boundary which free imaginative variations of possible cases must not exceed if they are to remain cases of this particular kind. Essential unity is centripetal, so to speak.

Then are those other unities–the ones presenting themselves as extended or factual–to be termed centrifugal, inasmuch as each spins off appearances in all directions from an inaccessible center? No, for their off-shading appears contextualized, as a foreground; and even as we focus upon the foreground it pulls its background into readiness for perception as soon as attention may shift to it. Every one is surrounded by a halo of and‘s, and beyond that are other somethings, seemingly without end. Whatever is extended is inexorably connected to whatever else is extended. (This last formulation, by the way, is an instance of an eidetic law. But the shift of attention that brings this essential rule into view is an eidetic reduction, and it wrenches us away from our naive attention to instances of things naturally appearing, under consideration here.) Every perception “motivates” another, stretching on toward expanding horizons.

The shift to the transcendental attitude–that is, the phenomenological or transcendental reduction–brings to Husserl’s notice a third kind of unity, which discloses the off-shading of things in a startling new way. We notice now that what is adumbrated is spatial, but the adumbration itself is not spatial. It arises in consciousness. “Abschattung ist Erlebnis” (95), while what is adumbrated, das Abgeschattete, has to be something spatial. The off-shading of things is at the same time the streaming of conscious life. Peculiarly, the giving off of partial perceptibilities (by the thing) coincides with the taking up of partial perceptions (by streaming consciousness). Which one is doing the shading? Agency cannot be imputed absolutely to either side.

But on the “side” of consciousness, as it were, we now recognize that we are dealing with more than a progression of life-bites strung together in series with and‘s. The stream of conscious life is not a sum or aggregate; nor is it a generalization. That is, it exhibits a unity unlike either the sachverhaltig unity of a factual case or the eidetisch unity of an essence. Husserl must account for that unity, which he calls an ego, Ich.

Moreover, and of paramount significance, with the benefit of the transcendental reduction it can now be told that these three kinds of unities themselves are not connected merely in series, with and‘s combining them, as if they were three discrete somethings. Their relationship is vastly more subtle. In order to understand it, through reduction we try to isolate unity from what accounts for unity. (We are not looking for something “prior to” unity — such as some “cause” of unity –, because we can’t have priority without having the number one, and oneness is just what is in question.)

Isolating oneness from the live experience-stream means removing the individual subject (you or me or Napoleon or whomever) from consideration. What is left, says Husserl, is transcendental subjectivity, “the pure act-process with its own essence” (“das reine Akterlebnis mit seinem eigenen Wesen“). (Paradoxically, we can see, right here in this formulation, that the reduction has not at all done away with essence, with states of affairs, or even with identity. We still have Eigenheit and Wesen, set in relation within a sentence. But these are now supposedly purified.) Husserl likens this de-individualized ego to a ray (# 92) or glance (# 101). Characteristically (or essentially) it has two poles or directions: the noematic and the noetic (from Greek terms noema and noesis, indicating what is thought and the act of thinking, respectively).

Husserl’s discussion of “noetic-noematic structures” fails in its attempt to show how the ego reaches and secures both the unity of the known object, and the unity of the knowing subject. But it fails in a spectacular starburst of insight. Husserl notices that the mental stream has its own distinctive kind of adumbrations or continuities, which are more complex than those discussed above, the relatively simple off-shaded appearings of spatial objects in perception. Beyond that simple sort of off-shading, consciousness can also turn back on itself and reflect upon its own intending acts, or on any component thereof. The stream meanders among spatial objects, but can also at whim objectify aspects of its own acts of intending, and consider them. This yields a thick layering of possible objects (# 97). For example, here are some noemata that might enter the live experience stream: pencils … writing … German verbs … the frustration of strong verbs … Ulrike … memories in general … the unreliability of memory … components of perceptions … the advisability of analyzing perceptions into their components … the smell of popcorn wafting into the study … the effort to resist distractions … and so forth.

Some of these arise directly from things, while others arise as objectifications of what was inherent a moment ago in the very act of knowing, the noesis. How can we tell the difference? Husserl answers that you can tell when the ego-beam has penetrated through to the bottom of the stack of noemata, so to speak, and has gotten ahold of a thing itself, because at that point, all the aspects of the thing are known immanently–really–in the act of perceiving as being contained in the sense of the thing (# 98). For example, you know popcorn itself when you are perceiving the taste of butter and salt. (You do not know popcorn when you read this sentence; instead, you are reflecting on what it is to know popcorn, and popcorn’s qualities are not given immanently within your object. But then while tasting popcorn, saltiness was given immanently but not objectified.)

Husserl rightly points out that we are able to slide up and down the pole of the ego-beam at will, moving now toward the thing, now away from it to consider the act of knowing and its modalities. For example, noematically I can consider a certain cat who probably exists, but then I can turn back noetically to assess the degree of certitude that characterizes my consideration of that selfsame cat as existing (# 105). Now if we were to slide down to the point where all modalities are behind us on the noetic side of the pole, and if there we were to face the object, we would get the pure sense of the object in which its unity is given.

In # 102 Husserl claims that this can happen, and that we can indeed slide far enough toward the object that the unity of the noema will be known as not having been imposed by the act of knowing. At that point, all of its qualities supposedly will be given immanently, really, contained in the perception rather than in the secondary conscious act that may grasp it a split-second later. Its sense will have been captured as something known with certainty to comprise its qualities, without the interference of a synthetic conscious act. (If this worked, it would effectively ensure the objectivity of knowledge, and would win the day for realism against idealism.) Husserl writes:

“The noematic objects … are unities transcendent to, but evidentially intended to in, the mental process. But if that is the case, then characteristics, which arise in [those unities] for consciousness and which are seized upon as their properties in focusing the regard on them, cannot possibly be regarded as really inherent moments of the mental process” (248-249).

Rather, they inhere in the object’s sense, and subsequently are lifted out for analysis in the mental process.

The ambitiousness of this claim is matched by that of another, which has to do with the opposite end of the ego-pole. In # 108 Husserl says that we can also shinny far enough up the ego-pole that we can capture the affirming noesis in its purity. All the modalities will have been loaded over onto the side of the noema, and the no_sis will be a believing affirmation, pure and simple: an unqualified yes. Thus Husserl insists that there is a crucial difference between (a) being validly negated and (b) not-being. For example, he would distinguish (a) denying correctly that my spayed cat has a kitten, from (b) affirming that the kitten of my spayed cat is a non-entity. With (a), the negativity inheres in the noesis, which has not yet been purified of all modality; but with (b), the noesis would be pure affirmation (# 104).

How correct is Husserl’s argument? We must grant that whatever makes this particular kitten impossible inheres elsewhere than in my knowing about it, for my denying something can’t make it go away. Furthermore, there’s nothing to prevent my forcing myself to think positively the thought of the kitten that my cat never had. Such a noetic posture is at least conceivable. However, its mere possibility is not enough to accomplish Husserl’s purpose. Husserl needs to show that this pure affirming belief really is done, somewhere somehow, in the toughest case, the case of an intrinsically impossible entity such as the kitten of a spayed cat. (That is, has anyone succeeded in recapturing that magic moment of purely affirming noesis with regard to an intrinsically impossible object? And if so, how would one go about certifying the accomplishment?)

Unfortunately, neither end of the ego-ray connects as Husserl had hoped. At the noetic pole, the purely affirming ego eludes the grasp of consciousness; so does the pure sense of the thing itself, at the noematic pole. These terms may remain as ideal asymptotes toward which the ego-ray continually points while continually falling short. The successful recovery of the connection between knowing and reality awaits another strategy, to be mounted by Husserl in the posthumously published second volume of Ideen.

6. Ideas II (Ideen II)

The second volume of Husserl’s Ideen (publication withheld until 1952) is the work of many hands. Husserl was dissatisfied with it and did not publish it. The first draft was written very rapidly in 1912, immediately after the manuscript of the first volume was completed. Husserl added material in 1915, and turned it over for editing to his assistant Edith Stein, who had come with him to Freiburg from Gottingen. Stein transcribed the work from Husserl’s shorthand in 1916. He gave her further material, and in 1918 she produced a collation arranged and titled as at present: the constitution of material nature, of animal nature, and of the cultural world. But Husserl’s phenomenology was evolving, and the manuscript did not suit him. Another assistant, Ludwig Landgrebe, worked on it 1923-25, and Husserl himself edited it in again 1928. It finally came out posthumously.

If the pursuit of unity had guided Husserl like a north star from his earliest writing on through the discovery and first articulation of phenomenology, then in Ideen II that star becomes obscured by “light pollution” from numerous more recent and competing insights. Without access to the manuscripts, it is impossible to know with precision how that came about. In portions of the text as we have it, the concern with unity remains a significant factor.

However, other portions seem to go against the grain of key insights from the first volume and the earlier works. For example, in LU and Ideen I, the material sphere had comprised states of affairs; that is, facts or cases such as could be expressed in logical propositions. There were indeed “things” in there, such as roses, yet the emphasis was upon the factual scenarios into which these things figured. By contrast, in Ideen II “material nature” is populated with substantial items, and the fact they are embedded in circumstances has to be additionally stipulated, almost as an afterthought (# 15c). By the same token, in the earlier work the eidetic sphere had comprised the forms of logical propositions and the rules of inference. While there were indeed “essences” entailed there, nevertheless the emphasis fell upon the lawful patterns of thinking about being. By contrast, in Ideen II “animal nature” is populated by psychic items whose unity is analogous to that of physical things yet whose active engagement with the latter can hardly be explained.

This shift matters, because judgments and perceptions reach unity in quite different ways. To certify that one selfsame proposition (e.g., that the cat is on the mat) returns to our consciousness on several occasions is quite a different task than to certify that one selfsame substantial entity (e.g., this mat-loving cat) returns to our sight every afternoon. Husserl’s early discoveries about unity had to do with judgment, and they were based upon the lived difference between synthetic judgments and analytic judgments. His ambitions then were not primarily metaphysical or epistemological. Moreover, it is relatively easy to “feel” the difference among three sorts of judgment: (a) a synthetic judgment that arbitrarily groups several items together, (b) a synthetic judgment that groups things in recognition of some characteristic that all share independently of the judgment, and (c) a judgment that the unity imputed to a thing is not owing to judgment at all. The distinction among these judgment-forms was already established in the Habilitationsschrift. However the task undertaken in Ideen II is forcibly to transpose that distinction onto perception, and so to come up with a general test for certifying when knowledge is genuinely in touch with reality.

This project is set in motion in # 9, where new terminology is introduced for the threefold distinction first made in “Begriff der Zahl.” (However, now that the transcendental reduction is presupposed, the arrow of causality should be removed. There can be only correlation or its absence.) BZ’s “psychic relation” now becomes “categorial synthesis,” in which perception serendipitously collects disparate items into one group, for no special reason intrinsic to the items. BZ’s “content relation” (or “physical relation”) becomes “aesthetic synthesis” (or “sensuous synthesis”), in which perception recognizes some intrinsic reason for grouping these items and finds itself constrained to do so by something other than mere whim. And BZ’s uncomposed unity (e.g., “that rose there”) becomes the “pure sense-object.”

In BZ, “synthesis” meant a combining judgment: a judgment that erected a set of things with many members. A set with one member–that is, a unified thing–obviously needed no synthesizing judgment to set it up. In Ideen II, however, “synthesis” means a perception that, while receiving multiple impressions (the off-shadings or Abschattungen), composes an object out of them. But this object is a unity, not a group; in fact, it is what Husserl would earlier have called an uncomposed unity. In other words aesthetic synthesis–operating now over partial views, not discrete items–finds that it has a reason for referring those multiple impressions to one object, even though the unity of the thing never gives itself directly to consciousness. What is that reason? This question is enticing, because Husserl is tantalizingly close here to describing a way in which the real unity of things is available for knowledge.

Husserl works on this question in # 15b, where “the spatial body is a synthetic unity of a manifold of strata of ‘sensuous appearances’ of different senses” (42-43). The spatially extended thing is a unity drawing together all the experiences we have had of it, and summoning us toward further experiences of it through sight and touch and our other senses. It achieves its unity as a spatial location, which seems not to depend upon whether or not it is actually perceived.

However, Husserl cautions, this unity alone is insufficient to validate itself. He writes:

“(W)e have first taken the body as independent of all causal conditioning, i.e., merely as a unity which presents itself visually or tactually, through multiplicities of sensations, as endowed with an inner content of characteristic features…. But in what we have said, it is also implied that under the presupposition referred to (namely, that we take the thing outside of the nexuses in which it is a thing) we do not find, as we carry out experiences, any possibility for deciding, in a way that exhibits, whether the experienced material thing is actual or whether we are subject to mere illusion and are experiencing a mere phantom” (43).

Thus, reality is not guaranteed for an isolated item, even when it seems to be giving us a reason to take it as the unified core attracting its manifold appearings to one hub of reference. The central location of the thing is dependent upon its real circumstances, as Husserl goes on to say in # 15c. The reality of “one” depends on “others”; i.e., on thing-connection. The thing is what it is in relation to its surroundings. This becomes apparent when things move and change, for their changes must correlate coherently with reciprocal changes in the things next to them.

Such co-variance is what certifies reality–or materiality, which Husserl seems to equate with it. In # 15c, reality means substantial causality. Within the webwork of material things, everything affects everything else. The real is the causal. Co-variance across the material realm, then, is what certifies the oneness and reality of that realm (# 15e).

Animated bodies also connect in the webwork of material things (# 13). Each of them is a center of appearings, a one, just as every other thing is. However, unlike soulless bodies, each animal is also a zero. It lives at a point of origination. The animal body bears the zero-point of orientation for the pure ego (61), as its absolute “here” (135, 166). Arithmetically, this is a stunning contrast. Every “something” whatsoever is either a one or a one-and-one-and-etc. But the animated body, in addition to being just one of those somethings, is also the one who is zero: the one from whom the counting starts, the one who chooses whether and where it is appropriate to insert the and‘s.

But any series that is initiated by/at/in the living body is counted off nonarbitrarily. Such series go in order; they are “motivated.” This is owing to the movement of the body itself within the material web. The body’s own kinesthetic sense will coordinate with the corresponding changes in sensory perceptions as it navigates among things. Thus, the zero shifts position in relation to the other unified centers to which perceptions accrue; but as it does so, the series of their appearings change in a regular way (63).

What about counting zero’s? Are they multiple; are there many human bodies? Husserl declines to pursue this avenue of approach into the problem of other minds and human community. Intersubjectivity will treated instead as an implication of the reality of the material world, not a precondition for it. The multiplicity of bodies is taken up only on page 83, where it is admitted that the foregoing analysis has been framed on the assumption that there would be only one, “solipsistic,” point-zero in reality. Belatedly, other bodies now are brought into the picture–but not because they are necessary for its unity, or because they have been apprehended among the realities presenting to consciousness. The others are brought in because they are required for the full unification of the thing in reality, whether that thing is one of the physical bodies or my very own live body. To be is to be describable (87). Reality for the thing entails a possibility of appearing to anyone at all. Being counted from one zero-point is not enough for the real thing. To count, it needs the possibility of being counted from multiple directions.

The thing is a rule of appearances. That means that the thing is a reality as a unity of a manifold of appearances connected according to rules. Moreover, this unity is an intersubjective one…. The physicalistic thing is intersubjectively common in that it has validity for all individuals who stand in possible communion with us (91-92).

To be real, the thing must count as a place or location, a center, independently of any particular point of origin. Yet what grants reality to the thing is not some consensus reached by observers. Indeed, the thing may look entirely different to different observers; however, its reality constrains all to agree that, at least, “it is there.” Oddly, then, the real thing is another kind of zero, for its barest reality consists in its being an empty place-holder (91-93).

Finally, Husserl makes unity a synonym for the philosophical term “substance” as traditionally meant. For example, he says that both the soul and the body are unities, so that an analogy obtains between psychic unity and material unity (129, 131). Oneness becomes the ontological form that determines substantial reality (133). The pure ego is one with respect to an individual stream of consciousness, that is, before the transcendental reduction has de-individuated the latter (117); however the pure ego is insubstantial and not one whenever the reduction is in effect (128).

And so Husserl’s quest for unity splinters and spends itself out by diverting into many contradictory projects pursued by the many unharmonized voices of Ideen II. Although the manuscript remained unpublished, it was made available for consultation by a number of Husserl’s younger colleagues. Among the last publication of Husserl’s lifetime was the Cartesian Meditations of 1931, in which he addressed the apparent solipsism of his transcendental phenomenology. That work itself was undergoing a comprehensive reworking in partnership with Husserl’s assistant Eugen Fink during the years before Husserl’s death in 1938.

7. References and Further Reading

Husserl’s publications and his extensive Nachlass are being brought out in a multi-volume critical edition entitled Husserliana – Edmund Husserl, Gesammelte Werke, from Nijhoff in The Hague. The major works published during Husserl’s lifetime are the following:

  • Über den Begriff der Zahl. Psychologische Analysen, 1887.
  • Philosophie der Arithmetik. Psychologische und logische Untersuchungen, 1891.
  • Logische Untersuchungen. Erste Teil: Prolegomena zur reinen Logik, 1900; reprinted 1913.
  • Logische Untersuchungen. Zweite Teil: Untersuchungen zur Phänomenologie und Theorie der Erkenntnis, 1901; second edition 1913 (for part one); second edition 1921 (for part two).
  • “Philosophie als strenge Wissenschaft,” Logos 1 (1911) 289-341.
  • Ideen zu einer reinen Ph‰nomenologie und phänomenologischen Philosophie. Erstes Buch: Allgemeine Einführung in die reine Phänomenologie, 1913.
  • “Vorlesungen zur Phänomenologie des inneren Zeitbewusstseins,” Jahrbuch für Philosophie und phänomenologische Forschung 9 (1928), 367-498.
  • “Formale und transzendentale Logik. Versuch einer Kritik der logischen Vernunft,” Jahrbuch für Philosophie und phänomenologische Forschung 10 (1929) 1-298.
  • Mèditations cartèsiennes, 1931.
  • “Die Krisis der europäischen Wissenschaften und die transzentale Phänomenologie: Eine Einleitung in die phänomenologische Philosophie,” Philosophia 1 (1936) 77-176.

Works translated into English by Husserl (In chronological order.  Publication dates of the German originals are in brackets.)

  • “Philosophy as Rigorous Science,” trans. in Q. Lauer (ed.), Phenomenology and the Crisis of Philosophy, New York: Harper [1910], 1965.
  • Formal and Transcendental Logic, trans. D. Cairns. The Hague: Nijhoff [1929], 1969.
  • The Crisis of European Sciences and Transcendental Philosophy, trans. D. Carr. Evanston: Northwestern University Press
    [1936/54], 1970.
  • Logical Investigations, trans. J. N. Findlay, London: Routledge [1900/01; 2nd, revised edition 1913], 1973.
  • Experience and Judgement, trans. J. S. Churchill and K. Ameriks, London: Routledge [1939], 1973.
  • Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy – Third Book: Phenomenology and the Foundations of the Sciences, trans. T. E. Klein and W. E. Pohl, Dordrecht: Kluwer, 1980.
  • Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy — First Book: General Introduction to a Pure Phenomenology, trans. F. Kersten. The Hague: Nijhoff (= Ideas) [1913], 1982.
  • Cartesian Meditations, trans. D. Cairns, Dordrecht: Kluwer [1931], 1988.
  • Ideas Pertaining to a Pure Phenomenology and to a Phenomenological Philosophy – Second Book: Studies in the Phenomenology of Constitution, trans. R. Rojcewicz and A. Schuwer, Dordrecht: Kluwer, 1989.
  • On the Phenomenology of the Consciousness of Internal Time (1893-1917), trans. J. B. Brough, Dordrecht: Kluwer [1928], 1990.
  • Early Writings in the Philosophy of Logic and Mathematics, trans. D. Willard, Dordrecht: Kluwer, 1994.
  • The Essential Husserl, ed. D. Welton, Bloomington: Indiana University Press, 1999.

Further Reading:

  • Bell, David (1990) Husserl, London: Routledge.
  • Bernet, Rudolf and Kern, Iso and Marbach, Eduard (1993) An Introduction to Husserlian Phenomenology, Evanston: Northwestern University Press.
  • Carr, David (1987) Interpreting Husserl, Dordrecht: Nijhoff.
  • Derrida, Jacques (1978) Edmund Husserl’s ‘Origin of Geometry’, trans. J.P. Leavy, New York: Harvester Press, 1978.
  • Dreyfus, Hubert (ed.) (1982) Husserl, Intentionality, and Cognitive Science, Cambridge/Mass.: MIT Press.
  • Drummond, John (1990) Husserlian Intentionality and Non-Foundational Realism, Dordrecht: Kluwer.
  • Levinas, E., (1973) The Theory of Intuition in Husserl’s Phenomenology, Evanston: Northwestern University Press.
  • Mohanty, J. N. and McKenna, William (eds.) (1989) Husserl’s Phenomenology: A Textbook, Lanham: University Press of America.
  • Smith, Barry and Smith, David Woodruff (eds.) (1995) The Cambridge Companion to Husserl, Cambridge: Cambridge University Press.
  • Sokolowski, Robert (ed.) (1988) Edmund Husserl and the Phenomenological Tradition, Washington: Catholic University of America Press.
  • Zahavi, Dan (2003) Husserl’s Phenomenology, Stanford: Stanford University Press.

 

Author Information

Marianne Sawicki
Email: law.sawicki@gmail.com
Huntingdon, Pennsylvania
U. S. A.

Law and Economics

The law and economics movement applies economic theory and method to the practice of law. It asserts that the tools of economic reasoning offer the best possibility for justified and consistent legal practice. It is arguably one of the dominant theories of jurisprudence. The law and economics movement offers a general theory of law as well as conceptual tools for the clarification and improvement of its practices. The general theory is that law is best viewed as a social tool that promotes economic efficiency, that economic  analysis and efficiency as an ideal can guide legal practice.  It also considers how legislation should be used to improve market conditions  in return. Law and economics offers a framework with which to model legal outcomes, and common objectives with which to unify disparate areas of legal activity. The bringing together of legal theory and economic reasoning has also created new research agendas in the fields of behavioral economics: how rationality affects people’s behavior within legal scenarios; public choice theory and how collective behavior should have an effect on legislation; and game theory: understanding strategic action in a legal context.

Table of Contents

  1. Law as an Autonomous Practice
  2. Law as a Tool to Encourage Economic Efficiency
    1. Basic Concepts in Economic Reasoning
    2. How Law Can Encourage Economic Efficiency
    3. Can All Law be Explained as Economic in Nature?
  3. Economics and Normative Jurisprudence
  4. Later Developments
    1. Behavioral Economics and Law
    2. Game Theory
    3. Public Choice Theory
  5. References and Further Reading

1. Law as an Autonomous Practice

Most traditional theories of jurisprudence look to uncover the essential or definitive aspects of the institution of law. Two of the most influential are Legal Positivism and Dworkin’s Law as Integrity. While these two differ as to their definition of law and legal reasoning, they agree upon some basic central assumptions, determining the conclusions that two philosophical investigations with largely the same aims, can reach. Because of this it is important to acknowledge some of the assumptions that are held in common by these jurisprudential stances.

First, both theories agree upon the conceptual nature of jurisprudence. Both agree that it is important for a philosophical theory of law to define the core aspects of proper legal practice in order to fulfill the function of philosophical jurisprudence. In fact, much philosophical discussion of law assumes that such a characterization is the essential aim of jurisprudence. Second in order to arrive at a properly analyzed concept of law, both legal positivism and law as integrity are best constructed from specific techniques of analytic and linguistic philosophy. These techniques include the investigation and clarification of the way people commonly speak about law and careful parsing of social practice that separate the legal from the non-legal. The third common assumption is that the best way to understand legal practice is to understand the necessary and sufficient qualities that make some rule or statement into a law. Once such a set of necessary and sufficient conditions is identified (or approximated) it is thought that the essential aspects of particularly legal practices have been understood.

Instead of following this path, theorists within the law and economics movement have attacked the study of law from another angle. Rather than trying to identify unique conceptual aspects of law, what is advocated is an investigation of legal practices through the means of economic analysis. The conclusion offered is that legal practice is best understood through its function as a social tool promoting economic efficiency, in common with other social practices.

2. Law as a Tool to Encourage Economic Efficiency

So, instead of looking for the unique and defining features of law, the practitioner of law and economics looks at law as a social tool and tries to evaluate it functionally. What is emphasized is not its uniqueness as an institution, but its place within the general and common economic structure of society. The descriptive claim most often associated with law and economics is that legal practices are best characterized as tools for encouraging economically efficient social relations. To understand this claim it is important to examine some of the basic concepts used in models of economic reasoning.

a. Basic Concepts in Economic Reasoning

Essential to an understanding of the law and economics movement is a set of fundamental concepts. The most central assumption in economics is that human beings are rational maximizers of their individual satisfactions, and, in turn, respond to incentives. A rational maximizer of personal satisfaction adjusts means to ends in the most efficient way possible. It is important to realize that economics, as understood here, is not restricted to analysis of monetary issues; there are nonmonetary as well as monetary satisfactions. Every potential satisfaction is implicated in the calculus of economic satisfactions and therefore can be investigated according to economic or means-end rationality and the trade-off of costs and benefits. Normally what is aimed at through economic reasoning is the improvement of efficiency.

A more efficient allocation is one that increases the net value of resources. Efficiency in the allocation of resources is distinguished from equity, which is concerned with justice in the distribution of wealth. Because some people value specific goods higher or lower than others, economic efficiency can often be raised through voluntary transfers of goods. The most common example of a transfer promoting efficiency is that of a freely entered into contractual relationship. Because one party to the transaction values money more than the item owned, and the other values the item owned more than the asking price, the exchange produces a net gain in economic goods. Each person ends up better off than before. Some economists have gone so far as to argue that such a contractual exchange is morally optimal because it works within both Kantian and utilitarian theories of morality. They argue that it works with Kantian theories because a contract is thought to represent a good example of interaction between free and rational agents. It works with utilitarianism because the idea of wealth maximization intuitively translates into more utility.

Economists have a variety of terms to describe possible outcomes of economic exchanges. For instance Pareto optimality is defined as a point where resources are allocated such that no one is willing to trade further. Pareto optimality is the eventual endpoint of a series of Pareto superior moves. A Pareto superior change makes at least one person better of without making anyone worse off. Because no one is worse off after the trade there are no losers in Pareto improvements, although there may be many different Pareto optimal endpoints. Furthermore, economists have developed the concept of Kaldor-Hicks efficiency to compensate for obstacles to freely contracted exchanges. Kaldor-Hicks efficiency, or potential Pareto superiority, results when the overall economic gains outweigh the losses. In other words, the gains in economic efficiency are large enough that the winners could, if they had to, compensate the losers in the new allocation of goods and still remain better off.

b. How Law Can Encourage Economic Efficiency

The law and economics movement claims that law is best understood as a tool to promote economic efficiency. But how can the institution of law help encourage efficient transactions? One way is to help avoid situations that lead to market failure. One example of market failure is the existence of monopolies: a situation where one party is able to extract more profit from a good than a healthy market would allow. Law can be used as a tool to ensure that monopoly situations are hard to bring about and maintain. Another way legal systems can be used to ensure economically efficient transactions is through the enforcement of valid contracts. By ensuring compliance with contractual terms courts can give parties to a contract confidence that the other party will fulfill the agreed-to obligations. This becomes especially important in situations where the parties must complete their obligations at different times.

But some types of market failure are less obvious, and the legal means toward remedying them subtler. One problem in market transactions is that of externalities. An externality is a cost not reflected in the market price of a good. For instance, a factory may not have to internalize the costs it imposes upon the environment into the selling price of its goods. In this case the market price of the good will not reflect its real cost – and therefore some of the costs are imposed upon parties in an involuntary manner. Pigou argues in regard to this that legal means should be used to impose a marginal tax upon the offending party, to internalize any externalities. The economist Coase argued that this conclusion, while warranted in specific cases, was too global. Coase argued that in a market where transactions are costless and people do not act strategically, rights assignments are irrelevant because from any starting point the results will be economically efficient. In other words, the Coase Theorem states that if there are no transaction costs the assignment of entitlements will be irrelevant to the goal of allocative efficiency. In such a situation there will be no need for law to internalize costs because people will bargain to the most efficient possible allocation of goods. But outside of conceptually ideal markets there are always transaction costs such as information costs, opportunity costs and administrative costs. If transaction costs are somewhat high, then it does matter how property rights are assigned. Therefore the enforcement and allocation of legal entitlements will be an important factor in ensuring economically efficient exchanges. So law can be used to encourage economic efficiency. But is all law best described in economic terms?

c. Can All Law be Explained as Economic in Nature?

It may be no real surprise that law often is used to encourage efficient exchanges. But it seems a stretch to claim that law as an institution is best completely described in economic terms. It seems counterintuitive to view all law as based upon market principles. What the economic analysis of law manages, though , is to see such disparate areas as contract, tort and criminal law as all based upon economic aims, therefore giving law a more coherent basis than other theories can offer. Richard Posner argues that tort cases – those involving private harm – can be seen as contractual by looking for the hypothetical terms that the parties to an accident would have agreed to in advance in order to bring about the accident voluntarily. Also that criminals are deterred by the threat of punishment only if the likelihood of punishment multiplied by the quantity of punishment exceeds the gain offered by the  criminal act. Scholars have been quite effective in extending the tools of economic analysis into areas that seem to be anything but economic in nature. Even rules of evidence and legal ethics have proved amenable to economic analysis. However, it may be argued that an economic explanation of law fails on two counts. Firstly as a descriptive analysis it doesn’t do justice to everyday legal conceptions. Secondly  as an analytical analysis of the necessary conditions for the practice of law  it may not be able to account for the internal point of view which Hart thought so central to a proper understanding of law. More analytical approaches to economic explanation of law have considered this a fatal flaw in the project (see Coleman 2001). This may be mistakenly importing traditional philosophical aims into a drastically different project, but the truth is that it is often hard to tell what types of theoretical claims are being made within law and economics. If the claims are of exhaustive descriptive accuracy or of the necessary and sufficient conceptual foundations of law then it is more than likely a failure. But whether or not law and economics is an accurate or even conceptually necessary description of law as a social institution, and whether or not it suffices as a complete analysis of law, it could be argued that law should in any case adopt economic efficiency as the central aim guiding judicial decision-making.

3. Economics and Normative Jurisprudence

Though analytically incomplete, economic analysis models the actual results of legal institutions better than any other theory. This does not entail, however, that law ought to be consciously used for such an aim. Might not law be better used to consider issues related to  justice, duty and the like? Advocates of law and economics have argued against such a conclusion. The arguments usually are of two types. First, it is claimed that meanings of words such as justice or duty are so vague and in dispute that the use of such concepts for a basis of judicial decisions offers no guidance whatsoever. It is argued that while such concepts are unhelpfully complex, the tools of economic analysis and the concept of economic efficiency are sufficiently clear to provide the judge a solid and predictable basis of decision. Law is better able to decide according to efficiency rather than justice or duty due to limitations of institutional competence. This might be so if issues of justice are so complex as to involve information that courts are structurally unable to process. Second, it has been argued that because the paradigm case of justice is the freely entered in to contract, law is best seen as a tool to optimize contractual arrangements. If this is so, then where law can help is in situations where transaction costs are so high as to prohibit efficient contractual relationships. Here Posner argues that law can encourage economic efficiency by assigning property rights to those parties who would have secured them through market exchange if transaction costs were lower. In other words law should bring about allocations that mimic the results of a properly functioning market. In addition, advocates of economic analysis of law make a claim that other jurisprudential traditions seem to be unable to: that the analytic tools offered by law and economics has encouraged the further creation of other productive areas for analyzing law (see Posner 1998).

4. Later Developments

Another argument for the fertility of the economic analysis of law is that it has spawned a number of further tools that seem helpful in understanding legal institutions. Three of the most important of these are the results of behavioral economics, game theory and public choice theory.

a. Behavioral Economics and Law

Practitioners of behavioral law and economics examine human limits to means-end rationality. One of the outcomes of behavioral economics is the concept of bounded rationality. Bounded rationality means that information is not processed according to a model of perfect means-end rationality but, to the contrary, is distorted due to limits of our cognitive abilities. For instance the endowment effect is thought to be a behavioral limit that distorts the proper valuation of property, an important aspect of bargaining to efficient outcomes. According to the effect, the ownership of objects creates an irrational cognitive overvaluation of them. Another claim is that our cognitive abilities are distorted by the availability heuristic. According to this the availability of strong imagery may induce us to over or underestimate the actual probability of events associated with the image. For instance, graphic representations of highly improbable harms might be more influential on behavior and demand unjustified use of resources than statistical analysis showing another equally undesirable harm to be more common and easier to avoid. Jurisprudential practices could be significantly influenced by such results. For instance, judges might be as irrationally influenced by the availability heuristic as other human beings. Therefore victim impact statements might be important correctives to proceedings if a well-presented defendant’s presence in the court skews judge or jury’s decisions. An awareness of such a cognitive failure could help adjust legal reasoning and its conclusions accordingly. Finally, an awareness and exploitation of universal cognitive limits might help legislators to design more effective laws (see Sunstein 2000).

b. Game Theory

Game theory adds to economic modeling the phenomenon of strategic action. Strategic actions are those adopted because of the competitive nature of many social transactions. They are adopted due to how one individual expects another to act in response. For example, a person who wishes to buy an item cheap would act disinterested so as not to signal his or her actual desires to the seller. Addition of analytic tools dealing with strategic action greatly strengthens the economic analysis of law. For instance, the Coase theorem, to function properly, necessarily excludes strategic action; cooperation is just assumed. But it seems apparent that legal actions often are deeply implicated in and animated by strategic motives. Common sense tells us that full open cooperation is not always the best path to bringing about one’s desired results. In fact much of the bargaining invested in designing an effective contract seems to be done in the shadow of potential strategic action on the part of the contracting parties. Designing legal rules with an eye to the possibility of strategic action helps ensure that the rules will not create perverse outcomes. For instance, if a defendant’s privilege against self-incrimination could also encourage an inference of guilt from the silence the privilege would be all but useless. Therefore, courts have not only barred comment on the refusal to testify but also have required that juries, on defendant’s request, make no inference from such a choice (see Baird et al 1994). Further, the understanding that legislators might have adopted specific wording for a law based upon strategic motives may help direct the proper aims of judicial interpretation. This type of claim, though, is often better analyzed by the tools offered in public choice theory.

c. Public Choice Theory

Public choice theory is centered upon how the nature of the legislative process and collective decision making influence the nature of law. It is the application of economic models of decision-making and their results to the issues that traditionally occupy political science, for example Arrow’s Theorem. One claim made within public choice theory is that a proper understanding of collective decision processes will help judges understand their position within the system. If all collective decisions are unavoidably influenced by those who get to frame the questions debated and the order of voting – the agenda-setters – public legislation will need to be interpreted differently than if it were a more neutral recording of collective wishes. Such a theoretical result makes problematic a court’s reference to the intent of the legislature.

5. References and Further Readings

  • Ackerman, Bruce, The Economic Foundations of Property Law (Boston: Little, Brown & Co., 1975)
  • Baird, Douglas, Robert Gertner and Randal Picker, Game Theory and the Law (Cambridge: Harvard University Press, 1994)
  • Becker, Gary S., “Nobel Lecture: The Economic Way of Looking at Behavior,” 101 Journal of Political Economy 385 (1993)
  • Calabresi, Guido, The Costs of Accidents (1970)
  • Calabresi, Guido, and Douglas Melamed, “Property Rules, Liability Rules and Inalienability: One View of the Cathedral,” 85 Harvard Law Review 1089 (1972)
  • Calabresi, Guido, “Some Thoughts on Risk Distribution and the Law of Torts,” 70 Yale Law Journal 499 (1961)
  • Coase, Ronald, “The Problem of Social Cost,” 3 Journal of Law and Economics 1 (1960)
  • Coleman, Jules, “Efficiency, Auction and Exchange: Philosophic Aspects of the Economic Approach to Law,” 68 California Law Review 221 (1980)
  • Coleman, Jules, Market, Morals and the Law (Cambridge: Cambridge University Press, 1988)
  • Coleman, Jules, The Practice of Principle: In Defense of a Pragmatist Approach to Legal Theory (Oxford: Oxford University Press, 2001)
  • Cotter, Thomas F., “Legal Pragmatism and the Law and Economics Movement,” 84 Georgetown Law Journal 2071 (1996)
  • Farber, Daniel, and Philip Frickey, Law and Public Choice (Chicago: University of Chicago Press, 1991)
  • Harrison, Jeffrey L., Law and Economics (St. Paul: West Group, 1995)
  • Horwitz, Morton, “Law and Economics: Science or Politics?,” 8 Hofstra Law Review 905 (1981)
  • Katz, Avery Weiner, Foundations of the Economic Approach to Law (Oxford: Oxford University Press, 1998)
  • Landes, William and Richard Posner, The Economic Structure of Tort Law (Cambridge: Harvard University Press, 1987)
  • Leff, Arthur, “Economic Analysis of Law: Some Realism About Nominalism,” 60 Virginia Law Review 451 (1974)
  • Miceli, Thomas J., Economics of the Law: Torts, Contracts, Property, Litigation (1997)
  • Murphy, Jeffrie G. and Jules L. Coleman, Philosophy of Law (Boulder: Westview Press, 1990)
  • Polinsky, A. Mitchell, An Introduction to Law and Economics (Boston: Little, Brown & Company, 1989)
  • Posner, Richard A., Economic Analysis of Law (New York: Aspen, 5th ed., 1998)
  • Posner, Richard A., The Economics of Justice (Cambridge: Harvard University Press, 1983)
  • Posner, Richard A., Frontiers of Legal Theory (Cambridge: Harvard University Press, 2001)
  • Posner, Richard A., “Gary Becker’s Contributions to Law and Economics,” 22 Journal of Legal Studies 211 (1993)
  • “Symposium on Post-Chicago Law and Economics,” 65 Chicago-Kent Law Review 1 (1989)
  • Sunstein, Cass R., Behavioral Law and Economics (Cambridge: Cambridge University Press, 2000)

Author Information

Brian Edgar Butler
University of North Carolina at Asheville
U. S. A.

Philosophy of Love

This article examines the nature of love and some of the ethical and political ramifications. For the philosopher, the question “what is love?” generates a host of issues: love is an abstract noun which means for some it is a word unattached to anything real or sensible, that is all; for others, it is a means by which our being—our self and its world—are irrevocably affected once we are ‘touched by love’; some have sought to analyze it, others have preferred to leave it in the realm of the ineffable.

Yet it is undeniable that love plays an enormous and unavoidable role in our several cultures; we find it discussed in song, film, and novels—humorously or seriously; it is a constant theme of maturing life and a vibrant theme for youth. Philosophically, the nature of love has, since the time of the Ancient Greeks, been a mainstay in philosophy, producing theories that range from the materialistic conception of love as purely a physical phenomenon—an animalistic or genetic urge that dictates our behavior—to theories of love as an intensely spiritual affair that in its highest permits us to touch divinity. Historically, in the Western tradition, Plato’s Symposium presents the initiating text, for it provides us with an enormously influential and attractive notion that love is characterized by a series of elevations, in which animalistic desire or base lust is superseded by a more intellectual conception of love which also is surpassed by what may be construed by a theological vision of love that transcends sensual attraction and mutuality. Since then there have been detractors and supporters of Platonic love as well as a host of alternative theories—including that of Plato’s student, Aristotle and his more secular theory of true love reflecting what he described as ‘two bodies and one soul.’

The philosophical treatment of love transcends a variety of sub-disciplines including epistemology, metaphysics, religion, human nature, politics and ethics. Often statements or arguments concerning love, its nature and role in human life for example connect to one or all the central theories of philosophy, and is often compared with, or examined in the context of, the philosophies of sex and gender as well as body and intentionality. The task of a philosophy of love is to present the appropriate issues in a cogent manner, drawing on relevant theories of human nature, desire, ethics, and so on.

Table of Contents

  1. The Nature of Love: Eros, Philia, and Agape
    1. Eros
    2. Philia
    3. Agape
  2. The Nature of Love: Further Conceptual Considerations
  3. The Nature of Love: Romantic Love
  4. The Nature of Love: Physical, Emotional, Spiritual
  5. Love: Ethics and Politics
  6. References and Further Reading

1. The Nature of Love: Eros, Philia, and Agape

The philosophical discussion regarding love logically begins with questions concerning its nature. This implies that love has a “nature,” a proposition that some may oppose arguing that love is conceptually irrational, in the sense that it cannot be described in rational or meaningful propositions. For such critics, who are presenting a metaphysical and epistemological argument, love may be an ejection of emotions that defy rational examination; on the other hand, some languages, such as Papuan, do not even admit the concept, which negates the possibility of a philosophical examination. In English, the word “love,” which is derived from Germanic forms of the Sanskrit lubh (desire), is broadly defined and hence imprecise, which generates first order problems of definition and meaning, which are resolved to some extent by the reference to the Greek terms, eros, philia, and agape.

a. Eros

The term eros (Greek erasthai) is used to refer to that part of love constituting a passionate, intense desire for something; it is often referred to as a sexual desire, hence the modern notion of “erotic” (Greek erotikos). In Plato‘s writings however, eros is held to be a common desire that seeks transcendental beauty-the particular beauty of an individual reminds us of true beauty that exists in the world of Forms or Ideas (Phaedrus 249E: “he who loves the beautiful is called a lover because he partakes of it.” Trans. Jowett). The Platonic-Socratic position maintains that the love we generate for beauty on this earth can never be truly satisfied until we die; but in the meantime we should aspire beyond the particular stimulating image in front of us to the contemplation of beauty in itself.

The implication of the Platonic theory of eros is that ideal beauty, which is reflected in the particular images of beauty we find, becomes interchangeable across people and things, ideas, and art: to love is to love the Platonic form of beauty-not a particular individual, but the element they posses of true (Ideal) beauty. Reciprocity is not necessary to Plato’s view of love, for the desire is for the object (of Beauty), than for, say, the company of another and shared values and pursuits.

Many in the Platonic vein of philosophy hold that love is an intrinsically higher value than appetitive or physical desire. Physical desire, they note, is held in common with the animal kingdom. Hence, it is of a lower order of reaction and stimulus than a rationally induced love—that is, a love produced by rational discourse and exploration of ideas, which in turn defines the pursuit of Ideal beauty. Accordingly, the physical love of an object, an idea, or a person in itself is not a proper form of love, love being a reflection of that part of the object, idea, or person, that partakes in Ideal beauty.

b. Philia

In contrast to the desiring and passionate yearning of eros, philia entails a fondness and appreciation of the other. For the Greeks, the term philia incorporated not just friendship, but also loyalties to family and polis-one’s political community, job, or discipline. Philia for another may be motivated, as Aristotle explains in the Nicomachean Ethics, Book VIII, for the agent’s sake or for the other’s own sake. The motivational distinctions are derived from love for another because the friendship is wholly useful as in the case of business contacts, or because their character and values are pleasing (with the implication that if those attractive habits change, so too does the friendship), or for the other in who they are in themselves, regardless of one’s interests in the matter. The English concept of friendship roughly captures Aristotle’s notion of philia, as he writes: “things that cause friendship are: doing kindnesses; doing them unasked; and not proclaiming the fact when they are done” (Rhetoric, II. 4, trans. Rhys Roberts).

Aristotle elaborates on the kinds of things we seek in proper friendship, suggesting that the proper basis for philia is objective: those who share our dispositions, who bear no grudges, who seek what we do, who are temperate, and just, who admire us appropriately as we admire them, and so on. Philia could not emanate from those who are quarrelsome, gossips, aggressive in manner and personality, who are unjust, and so on. The best characters, it follows, may produce the best kind of friendship and hence love: indeed, how to be a good character worthy of philia is the theme of the Nicomachaen Ethics. The most rational man is he who would be the happiest, and he, therefore, who is capable of the best form of friendship, which between two “who are good, and alike in virtue” is rare (NE, VIII.4 trans. Ross). We can surmise that love between such equals-Aristotle’s rational and happy men-would be perfect, with circles of diminishing quality for those who are morally removed from the best. He characterizes such love as “a sort of excess of feeling”. (NE, VIII.6)

Friendships of a lesser quality may also be based on the pleasure or utility that is derived from another’s company. A business friendship is based on utility–on mutual reciprocity of similar business interests; once the business is at an end, then the friendship dissolves. This is similar to those friendships based on the pleasure that is derived from the other’s company, which is not a pleasure enjoyed for whom the other person is in himself, but in the flow of pleasure from his actions or humour.

The first condition for the highest form of Aristotelian love is that a man loves himself. Without an egoistic basis, he cannot extend sympathy and affection to others (NE, IX.8). Such self-love is not hedonistic, or glorified, depending on the pursuit of immediate pleasures or the adulation of the crowd, it is instead a reflection of his pursuit of the noble and virtuous, which culminate in the pursuit of the reflective life. Friendship with others is required “since his purpose is to contemplate worthy actions… to live pleasantly… sharing in discussion and thought” as is appropriate for the virtuous man and his friend (NE, IX.9). The morally virtuous man deserves in turn the love of those below him; he is not obliged to give an equal love in return, which implies that the Aristotelian concept of love is elitist or perfectionist: “In all friendships implying inequality the love also should be proportional, i.e. the better should be more loved than he loves.” (NE, VIII, 7,). Reciprocity, although not necessarily equal, is a condition of Aristotelian love and friendship, although parental love can involve a one-sided fondness.

c. Agape

Agape refers to the paternal love of God for man and of man for God but is extended to include a brotherly love for all humanity. (The Hebrew ahev has a slightly wider semantic range than agape). Agape arguably draws on elements from both eros and philia in that it seeks a perfect kind of love that is at once a fondness, a transcending of the particular, and a passion without the necessity of reciprocity. The concept is expanded on in the Judaic-Christian tradition of loving God: “You shall love the Lord your God with all your heart, and with all your soul, and with all your might” (Deuteronomy 6:5) and loving “thy neighbour as thyself” (Leviticus 19:18). The love of God requires absolute devotion that is reminiscent of Plato’s love of Beauty (and Christian translators of Plato such as St. Augustine employed the connections), which involves an erotic passion, awe, and desire that transcends earthly cares and obstacles. Aquinas, on the other hand, picked up on the Aristotelian theories of friendship and love to proclaim God as the most rational being and hence the most deserving of one’s love, respect, and considerations.

The universalist command to “love thy neighbor as thyself” refers the subject to those surrounding him, whom he should love unilaterally if necessary. The command employs the logic of mutual reciprocity, and hints at an Aristotelian basis that the subject should love himself in some appropriate manner: for awkward results would ensue if he loved himself in a particularly inappropriate, perverted manner! Philosophers can debate the nature of “self-love” implied in this—from the Aristotelian notion that self-love is necessary for any kind of interpersonal love, to the condemnation of egoism and the impoverished examples that pride and self-glorification from which to base one’s love of another. St. Augustine relinquishes the debate—he claims that no command is needed for a man to love himself (De bono viduitatis, xxi). Analogous to the logic of “it is better to give than to receive”, the universalism of agape requires an initial invocation from someone: in a reversal of the Aristotelian position, the onus for the Christian is on the morally superior to extend love to others. Nonetheless, the command also entails an egalitarian love-hence the Christian code to “love thy enemies” (Matthew 5:44-45). Such love transcends any perfectionist or aristocratic notions that some are (or should be) more loveable than others. Agape finds echoes in the ethics of Kant and Kierkegaard, who assert the moral importance of giving impartial respect or love to another person qua human being in the abstract.

However, loving one’s neighbor impartially (James 2:9) invokes serious ethical concerns, especially if the neighbor ostensibly does not warrant love. Debate thus begins on what elements of a neighbor’s conduct should be included in agape, and which should be excluded. Early Christians asked whether the principle applied only to disciples of Christ or to all. The impartialists won the debate asserting that the neighbor’s humanity provides the primary condition of being loved; nonetheless his actions may require a second order of criticisms, for the logic of brotherly love implies that it is a moral improvement on brotherly hate. For metaphysical dualists, loving the soul rather than the neighbor’s body or deeds provides a useful escape clause-or in turn the justification for penalizing the other’s body for sin and moral transgressions, while releasing the proper object of love-the soul-from its secular torments. For Christian pacifists, “turning the other cheek” to aggression and violence implies a hope that the aggressor will eventually learn to comprehend the higher values of peace, forgiveness, and a love for humanity.

The universalism of agape runs counter to the partialism of Aristotle and poses a variety of ethical implications. Aquinas admits a partialism in love towards those to whom we are related while maintaining that we should be charitable to all, whereas others such as Kierkegaard insist on impartiality. Recently, Hugh LaFallotte (1991) has noted that to love those one is partial towards is not necessarily a negation of the impartiality principle, for impartialism could admit loving those closer to one as an impartial principle, and, employing Aristotle’s conception of self-love, iterates that loving others requires an intimacy that can only be gained from being partially intimate. Others would claim that the concept of universal love, of loving all equally, is not only impracticable, but logically empty-Aristotle, for example, argues: “One cannot be a friend to many people in the sense of having friendship of the perfect type with them, just as one cannot be in love with many people at once (for love is a sort of excess of feeling, and it is the nature of such only to be felt towards one person)” (NE, VIII.6).

2. The Nature of Love: Further Conceptual Considerations

Presuming love has a nature, it should be, to some extent at least, describable within the concepts of language. But what is meant by an appropriate language of description may be as philosophically beguiling as love itself. Such considerations invoke the philosophy of language, of the relevance and appropriateness of meanings, but they also provide the analysis of “love” with its first principles. Does it exist and if so, is it knowable, comprehensible, and describable? Love may be knowable and comprehensible to others, as understood in the phrases, “I am in love”, “I love you”, but what “love” means in these sentences may not be analyzed further: that is, the concept “love” is irreducible-an axiomatic, or self-evident, state of affairs that warrants no further intellectual intrusion, an apodictic category perhaps, that a Kantian may recognize.

The epistemology of love asks how we may know love, how we may understand it, whether it is possible or plausible to make statements about others or ourselves being in love (which touches on the philosophical issue of private knowledge versus public behavior). Again, the epistemology of love is intimately connected to the philosophy of language and theories of the emotions. If love is purely an emotional condition, it is plausible to argue that it remains a private phenomenon incapable of being accessed by others, except through an expression of language, and language may be a poor indicator of an emotional state both for the listener and the subject. Emotivists would hold that a statement such as “I am in love” is irreducible to other statements because it is a nonpropositional utterance, hence its veracity is beyond examination. Phenomenologists may similarly present love as a non-cognitive phenomenon. Scheler, for example, toys with Plato’s Ideal love, which is cognitive, claiming: “love itself… brings about the continuous emergence of ever-higher value in the object–just as if it were streaming out from the object of its own accord, without any exertion (even of wishing) on the part of the lover” (1954, p. 57). The lover is passive before the beloved.

The claim that “love” cannot be examined is different from that claiming “love” should not be subject to examination-that it should be put or left beyond the mind’s reach, out of a dutiful respect for its mysteriousness, its awesome, divine, or romantic nature. But if it is agreed that there is such a thing as “love” conceptually speaking, when people present statements concerning love, or admonitions such as “she should show more love,” then a philosophical examination seems appropriate: is it synonymous with certain patterns of behavior, of inflections in the voice or manner, or by the apparent pursuit and protection of a particular value (“Look at how he dotes upon his flowers-he must love them”)?

If love does possesses “a nature” which is identifiable by some means-a personal expression, a discernible pattern of behavior, or other activity, it can still be asked whether that nature can be properly understood by humanity. Love may have a nature, yet we may not possess the proper intellectual capacity to understand it-accordingly, we may gain glimpses perhaps of its essence-as Socrates argues in The Symposium, but its true nature being forever beyond humanity’s intellectual grasp. Accordingly, love may be partially described, or hinted at, in a dialectic or analytical exposition of the concept but never understood in itself. Love may therefore become an epiphenomenal entity, generated by human action in loving, but never grasped by the mind or language. Love may be so described as a Platonic Form, belonging to the higher realm of transcendental concepts that mortals can barely conceive of in their purity, catching only glimpses of the Forms’ conceptual shadows that logic and reason unveil or disclose.

Another view, again derived from Platonic philosophy, may permit love to be understood by certain people and not others. This invokes a hierarchical epistemology, that only the initiated, the experienced, the philosophical, or the poetical or musical, may gain insights into its nature. On one level this admits that only the experienced can know its nature, which is putatively true of any experience, but it also may imply a social division of understanding-that only philosopher kings may know true love. On the first implication, those who do not feel or experience love are incapable (unless initiated through rite, dialectical philosophy, artistic processes, and so on) of comprehending its nature, whereas the second implication suggests (though this is not a logically necessary inference) that the non-initiated, or those incapable of understanding, feel only physical desire and not “love.” Accordingly, “love” belongs either to the higher faculties of all, understanding of which requires being educated in some manner or form, or it belongs to the higher echelons of society-to a priestly, philosophical, or artistic, poetic class. The uninitiated, the incapable, or the young and inexperienced-those who are not romantic troubadours-are doomed only to feel physical desire. This separating of love from physical desire has further implications concerning the nature of romantic love.

3. The Nature of Love: Romantic Love

Romantic love is deemed to be of a higher metaphysical and ethical status than sexual or physical attractiveness alone. The idea of romantic love initially stems from the Platonic tradition that love is a desire for beauty-a value that transcends the particularities of the physical body. For Plato, the love of beauty culminates in the love of philosophy, the subject that pursues the highest capacity of thinking. The romantic love of knights and damsels emerged in the early medieval ages (11th Century France, fine amour) a philosophical echo of both Platonic and Aristotelian love and literally a derivative of the Roman poet, Ovid and his Ars Amatoria. Romantic love theoretically was not to be consummated, for such love was transcendentally motivated by a deep respect for the lady; however, it was to be actively pursued in chivalric deeds rather than contemplated-which is in contrast to Ovid’s persistent sensual pursuit of conquests!

Modern romantic love returns to Aristotle’s version of the special love two people find in each other’s virtues-one soul and two bodies, as he poetically puts it. It is deemed to be of a higher status, ethically, aesthetically, and even metaphysically than the love that behaviorists or physicalists describe.

4. The Nature of Love: Physical, Emotional, Spiritual

Some may hold that love is physical, i.e., that love is nothing but a physical response to another whom the agent feels physically attracted to. Accordingly, the action of loving encompasses a broad range of behavior including caring, listening, attending to, preferring to others, and so on. (This would be proposed by behaviorists). Others (physicalists, geneticists) reduce all examinations of love to the physical motivation of the sexual impulse-the simple sexual instinct that is shared with all complex living entities, which may, in humans, be directed consciously, sub-consciously or pre-rationally toward a potential mate or object of sexual gratification.

Physical determinists, those who believe the world to entirely physical and that every event has a prior (physical cause), consider love to be an extension of the chemical-biological constituents of the human creature and be explicable according to such processes. In this vein, geneticists may invoke the theory that the genes (an individual’s DNA) form the determining criteria in any sexual or putative romantic choice, especially in choosing a mate. However, a problem for those who claim that love is reducible to the physical attractiveness of a potential mate, or to the blood ties of family and kin which forge bonds of filial love, is that it does not capture the affections between those who cannot or wish not to reproduce-that is, physicalism or determinism ignores the possibility of romantic, ideational love—it may explain eros, but not philia or agape.

Behaviorism, which stems from the theory of the mind and asserts a rejection of Cartesian dualism between mind and body, entails that love is a series of actions and preferences which is thereby observable to oneself and others. The behaviorist theory that love is observable (according to the recognizable behavioral constraints corresponding to acts of love) suggests also that it is theoretically quantifiable: that A acts in a certain way (actions X,Y,Z) around B, more so than he does around C, suggests that he “loves” B more than C. The problem with the behaviorist vision of love is that it is susceptible to the criticism that a person’s actions need not express their inner state or emotions—A may be a very good actor. Radical behaviorists, such as B. F. Skinner, claim that observable and unobservable behavior such as mental states can be examined from the behaviorist framework, in terms of the laws of conditioning. On this view, that one falls in love may go unrecognised by the casual observer, but the act of being in love can be examined by what events or conditions led to the agent’s believing she was in love: this may include the theory that being in love is an overtly strong reaction to a set of highly positive conditions in the behavior or presence of another.

Expressionist love is similar to behaviorism in that love is considered an expression of a state of affairs towards a beloved, which may be communicated through language (words, poetry, music) or behavior (bringing flowers, giving up a kidney, diving into the proverbial burning building), but which is a reflection of an internal, emotional state, rather than an exhibition of physical responses to stimuli. Others in this vein may claim love to be a spiritual response, the recognition of a soul that completes one’s own soul, or complements or augments it. The spiritualist vision of love incorporates mystical as well as traditional romantic notions of love, but rejects the behaviorist or physicalist explanations.

Those who consider love to be an aesthetic response would hold that love is knowable through the emotional and conscious feeling it provokes yet which cannot perhaps be captured in rational or descriptive language: it is instead to be captured, as far as that is possible, by metaphor or by music.

5. Love: Ethics and Politics

The ethical aspects in love involve the moral appropriateness of loving, and the forms it should or should not take. The subject area raises such questions as: is it ethically acceptable to love an object, or to love oneself? Is love to oneself or to another a duty? Should the ethically minded person aim to love all people equally? Is partial love morally acceptable or permissible (that is, not right, but excusable)? Should love only involve those with whom the agent can have a meaningful relationship? Should love aim to transcend sexual desire or physical appearances? Some of the subject area naturally spills into the ethics of sex, which deals with the appropriateness of sexual activity, reproduction, hetero and homosexual activity, and so on.

In the area of political philosophy, love can be studied from a variety of perspectives. For example, some may see love as an instantiation of social dominance by one group (males) over another (females), in which the socially constructed language and etiquette of love is designed to empower men and disempower women. On this theory, love is a product of patriarchy, and acts analogously to Karl Marx’s view of religion (the opiate of the people) that love is the opiate of women. The implication is that were they to shrug off the language and notions of “love,” “being in love,” “loving someone,” and so on, they would be empowered. The theory is often attractive to feminists and Marxists, who view social relations (and the entire panoply of culture, language, politics, institutions) as reflecting deeper social structures that divide people into classes, sexes, and races.

This article has touched on some of the main elements of the philosophy of love. It reaches into many philosophical fields, notably theories of human nature, the self, and of the mind. The language of love, as it is found in other languages as well as in English, is similarly broad and deserves more attention.

6. References and Further Reading

  • Aristotle Nicomachean Ethics.
  • Aristotle Rhetoric. Rhys Roberts (trans.).
  • Augustine De bono viduitatis.
  • LaFallotte, Hugh (1991). “Personal Relations.” Peter Singer (ed.) A Companion to Ethics. Blackwell, pp. 327-32.
  • Plato Phaedrus.
  • Plato Symposium.
  • Scheler, Max (1954). The Nature of Sympathy. Peter Heath (trans.). New Haven: Yale University Press.

Author Information

Alexander Moseley
Email: alexandermoseley@icloud.com
United Kingdom

Jacques Derrida (1930—2004)

Jacques Derrida was one of the most well known twentieth century philosophers. He was also one of the most prolific. Distancing himself from the various philosophical movements and traditions that preceded him on the French intellectual scene (phenomenology, existentialism, and structuralism), he developed a strategy called “deconstruction” in the mid 1960s. Although not purely negative, deconstruction is primarily concerned with something tantamount to a critique of the Western philosophical tradition. Deconstruction is generally presented via an analysis of specific texts. It seeks to expose, and then to subvert, the various binary oppositions that undergird our dominant ways of thinking—presence/absence, speech/writing, and so forth.

Deconstruction has at least two aspects: literary and philosophical. The literary aspect concerns the textual interpretation, where invention is essential to finding hidden alternative meanings in the text. The philosophical aspect concerns the main target of deconstruction: the “metaphysics of presence,” or simply metaphysics. Starting from an Heideggerian point of view, Derrida argues that metaphysics affects the whole of philosophy from Plato onwards. Metaphysics creates dualistic oppositions and installs a hierarchy that unfortunately privileges one term of each dichotomy (presence before absence, speech before writing, and so on).

The deconstructive strategy is to unmask these too-sedimented ways of thinking, and it operates on them especially through two steps—reversing dichotomies and attempting to corrupt the dichotomies themselves. The strategy also aims to show that there are undecidables, that is, something that cannot conform to either side of a dichotomy or opposition. Undecidability returns in later period of Derrida’s reflection, when it is applied to reveal paradoxes involved in notions such as gift giving or hospitality, whose conditions of possibility are at the same time their conditions of impossibility. Because of this, it is undecidable whether authentic giving or hospitality are either possible or impossible.

In this period, the founder of deconstruction turns his attention to ethical themes. In particular, the theme of responsibility to the other (for example, God or a beloved person) leads Derrida to leave the idea that responsibility is associated with a behavior publicly and rationally justifiable by general principles. Reflecting upon tales of Jewish tradition, he highlights the absolute singularity of responsibility to the other.

Deconstruction has had an enormous influence in psychology, literary theory, cultural studies, linguistics, feminism, sociology and anthropology. Poised in the interstices between philosophy and non-philosophy (or philosophy and literature), it is not difficult to see why this is the case. What follows in this article, however, is an attempt to bring out the philosophical significance of Derrida’s thought.

Table of Contents

  1. Life and Works
  2. Deconstructive Strategy
    1. Metaphysics of Presence/Logocentrism
  3. Key terms from the early work
    1. Speech/Writing
    2. Arche-writing
    3. Différance
    4. Trace
    5. Supplement
  4. Time and Phenomenology
  5. Undecidability
    1. Decision
  6. The Other
    1. Responsibility to the Other
    2. Wholly Other/Messianic
  7. Possible and Impossible Aporias
    1. The Gift
    2. Hospitality
    3. Forgiveness
    4. Mourning
  8. References and Further Reading
    1. Derrida’s Texts (and Their Abbreviations)
    2. Selected Commentaries

1. Life and Works

In 1930, Derrida was born into a Jewish family in Algiers. He was also born into an environment of some discrimination. In fact, he either withdrew from, or was forced out of at least two schools during his childhood simply on account of being Jewish. He was expelled from one school because there was a 7% limit on the Jewish population, and he later withdrew from another school on account of the anti-semitism. While Derrida would resist any reductive understanding of his work based upon his biographical life, it could be argued that these kind of experiences played a large role in his insistence upon the importance of the marginal, and the other, in his later thought.

Derrida was twice refused a position in the prestigious Ecole Normale Superieure (where Sartre, Simone de Beauvoir and the majority of French intellectuals and academics began their careers), but he was eventually accepted to the institution at the age of 19. He hence moved from Algiers to France, and soon after he also began to play a major role in the leftist journal Tel Quel. Derrida’s initial work in philosophy was largely phenomenological, and his early training as a philosopher was done largely through the lens of Husserl. Other important inspirations on his early thought include Nietzsche, Heidegger, Saussure, Levinas and Freud. Derrida acknowledges his indebtedness to all of these thinkers in the development of his approach to texts, which has come to be known as ‘deconstruction’.

It was in 1967 that Derrida really arrived as a philosopher of world importance. He published three momentous texts (Of Grammatology, Writing and Difference, and Speech and Phenomena). All of these works have been influential for different reasons, but it is Of Grammatology that remains his most famous work (it is analysed in some detail in this article). In Of Grammatology, Derrida reveals and then undermines the speech-writing opposition that he argues has been such an influential factor in Western thought. His preoccupation with language in this text is typical of much of his early work, and since the publication of these and other major texts (including Dissemination, Glas, The Postcard, Spectres of Marx, The Gift of Death, and Politics of Friendship), deconstruction has gradually moved from occupying a major role in continental Europe, to also becoming a significant player in the Anglo-American philosophical context. This is particularly so in the areas of literary criticism, and cultural studies, where deconstruction’s method of textual analysis has inspired theorists like Paul de Man. He has also had lecturing positions at various universities, the world over. Derrida died in 2004.

Deconstruction has frequently been the subject of some controversy. When Derrida was awarded an honorary doctorate at Cambridge in 1992, there were howls of protest from many ‘analytic’ philosophers. Since then, Derrida has also had many dialogues with philosophers like John Searle (see Limited Inc.), in which deconstruction has been roundly criticised, although perhaps unfairly at times. However, what is clear from the antipathy of such thinkers is that deconstruction challenges traditional philosophy in several important ways, and the remainder of this article will highlight why this is so.

2. Deconstructive Strategy

Derrida, like many other contemporary European theorists, is preoccupied with undermining the oppositional tendencies that have befallen much of the Western philosophical tradition. In fact, dualisms are the staple diet of deconstruction, for without these hierarchies and orders of subordination it would be left with nowhere to intervene. Deconstruction is parasitic in that rather than espousing yet another grand narrative, or theory about the nature of the world in which we partake, it restricts itself to distorting already existing narratives, and to revealing the dualistic hierarchies they conceal. While Derrida’s claims to being someone who speaks solely in the margins of philosophy can be contested, it is important to take these claims into account. Deconstruction is, somewhat infamously, the philosophy that says nothing. To the extent that it can be suggested that Derrida’s concerns are often philosophical, they are clearly not phenomenological (he assures us that his work is to be read specifically against Husserl, Sartre and Merleau-Ponty) and nor are they ontological.

Deconstruction, and particularly early deconstruction, functions by engaging in sustained analyses of particular texts. It is committed to the rigorous analysis of the literal meaning of a text, and yet also to finding within that meaning, perhaps in the neglected corners of the text (including the footnotes), internal problems that actually point towards alternative meanings. Deconstruction must hence establish a methodology that pays close attention to these apparently contradictory imperatives (sameness and difference) and a reading of any Derridean text can only reaffirm this dual aspect. Derrida speaks of the first aspect of this deconstructive strategy as being akin to a fidelity and a “desire to be faithful to the themes and audacities of a thinking” (WD 84). At the same time, however, deconstruction also famously borrows from Martin Heidegger’s conception of a ‘destructive retrieve’ and seeks to open texts up to alternative and usually repressed meanings that reside at least partly outside of the metaphysical tradition (although always also partly betrothed to it). This more violent and transgressive aspect of deconstruction is illustrated by Derrida’s consistent exhortation to “invent in your own language if you can or want to hear mine; invent if you can or want to give my language to be understood” (MO 57). In suggesting that a faithful interpretation of him is one that goes beyond him, Derrida installs invention as a vitally important aspect of any deconstructive reading. He is prone to making enigmatic suggestions like “go there where you cannot go, to the impossible, it is indeed the only way of coming or going” (ON 75), and ultimately, the merit of a deconstructive reading consists in this creative contact with another text that cannot be characterised as either mere fidelity or as an absolute transgression, but rather which oscillates between these dual demands. The intriguing thing about deconstruction, however, is that despite the fact that Derrida’s own interpretations of specific texts are quite radical, it is often difficult to pinpoint where the explanatory exegesis of a text ends and where the more violent aspect of deconstruction begins. Derrida is always reluctant to impose ‘my text’, ‘your text’ designations too conspicuously in his texts. This is partly because it is even problematic to speak of a ‘work’ of deconstruction, since deconstruction only highlights what was already revealed in the text itself. All of the elements of a deconstructive intervention reside in the “neglected cornerstones” of an already existing system (MDM 72), and this equation is not altered in any significant way whether that ‘system’ be conceived of as metaphysics generally, which must contain its non-metaphysical track, or the writings of a specific thinker, which must also always testify to that which they are attempting to exclude (MDM 73).

These are, of course, themes reflected upon at length by Derrida, and they have an immediate consequence on the meta-theoretical level. To the minimal extent that we can refer to Derrida’s own arguments, it must be recognised that they are always intertwined with the arguments of whomever, or whatever, he seeks to deconstruct. For example, Derrida argues that his critique of the Husserlian ‘now’ moment is actually based upon resources within Husserl’s own text which elide the self-presence that he was attempting to secure (SP 64-66). If Derrida’s point is simply that Husserl’s phenomenology holds within itself conclusions that Husserl failed to recognise, Derrida seems to be able to disavow any transcendental or ontological position. This is why he argues that his work occupies a place in the margins of philosophy, rather than simply being philosophy per se.

Deconstruction contends that in any text, there are inevitably points of equivocation and ‘undecidability’ that betray any stable meaning that an author might seek to impose upon his or her text. The process of writing always reveals that which has been suppressed, covers over that which has been disclosed, and more generally breaches the very oppositions that are thought to sustain it. This is why Derrida’s ‘philosophy’ is so textually based and it is also why his key terms are always changing, because depending upon who or what he is seeking to deconstruct, that point of equivocation will always be located in a different place.

This also ensures that any attempt to describe what deconstruction is, must be careful. Nothing would be more antithetical to deconstruction’s stated intent than this attempt at defining it through the decidedly metaphysical question “what is deconstruction?” There is a paradoxicality involved in trying to restrict deconstruction to one particular and overarching purpose (OG 19) when it is predicated upon the desire to expose us to that which is wholly other (tout autre) and to open us up to alternative possibilities. At times, this exegesis will run the risk of ignoring the many meanings of Derridean deconstruction, and the widely acknowledged difference between Derrida’s early and late work is merely the most obvious example of the difficulties involved in suggesting “deconstruction says this”, or “deconstruction prohibits that”.

That said, certain defining features of deconstruction can be noticed. For example, Derrida’s entire enterprise is predicated upon the conviction that dualisms are irrevocably present in the various philosophers and artisans that he considers. While some philosophers argue that he is a little reductive when he talks about the Western philosophical tradition, it is his understanding of this tradition that informs and provides the tools for a deconstructive response. Because of this, it is worth briefly considering the target of Derridean deconstruction – the metaphysics of presence, or somewhat synonymously, logocentrism.

a. Metaphysics of Presence/Logocentrism

There are many different terms that Derrida employs to describe what he considers to be the fundamental way(s) of thinking of the Western philosophical tradition. These include: logocentrism, phallogocentrism, and perhaps most famously, the metaphysics of presence, but also often simply ‘metaphysics’. These terms all have slightly different meanings. Logocentrism emphasises the privileged role that logos, or speech, has been accorded in the Western tradition (see Section 3). Phallogocentrism points towards the patriarchal significance of this privileging. Derrida’s enduring references to the metaphysics of presence borrows heavily from the work of Heidegger. Heidegger insists that Western philosophy has consistently privileged that which is, or that which appears, and has forgotten to pay any attention to the condition for that appearance. In other words, presence itself is privileged, rather than that which allows presence to be possible at all – and also impossible, for Derrida (see Section 4, for more on the metaphysics of presence). All of these terms of denigration, however, are united under the broad rubric of the term ‘metaphysics’. What, then, does Derrida mean by metaphysics?

In the ‘Afterword’ to Limited Inc., Derrida suggests that metaphysics can be defined as:

“The enterprise of returning ‘strategically’, ‘ideally’, to an origin or to a priority thought to be simple, intact, normal, pure, standard, self-identical, in order then to think in terms of derivation, complication, deterioration, accident, etc. All metaphysicians, from Plato to Rousseau, Descartes to Husserl, have proceeded in this way, conceiving good to be before evil, the positive before the negative, the pure before the impure, the simple before the complex, the essential before the accidental, the imitated before the imitation, etc. And this is not just one metaphysical gesture among others, it is the metaphysical exigency, that which has been the most constant, most profound and most potent” (LI 236).

According to Derrida then, metaphysics involves installing hierarchies and orders of subordination in the various dualisms that it encounters (M 195). Moreover, metaphysical thought prioritises presence and purity at the expense of the contingent and the complicated, which are considered to be merely aberrations that are not important for philosophical analysis. Basically then, metaphysical thought always privileges one side of an opposition, and ignores or marginalises the alternative term of that opposition.

In another attempt to explain deconstruction’s treatment of, and interest in oppositions, Derrida has suggested that: “An opposition of metaphysical concepts (speech/writing, presence/absence, etc.) is never the face-to-face of two terms, but a hierarchy and an order of subordination. Deconstruction cannot limit itself or proceed immediately to neutralisation: it must, by means of a double gesture, a double science, a double writing, practise an overturning of the classical opposition, and a general displacement of the system. It is on that condition alone that deconstruction will provide the means of intervening in the field of oppositions it criticises” (M 195). In order to better understand this dual ‘methodology’ – that is also the deconstruction of the notion of a methodology because it no longer believes in the possibility of an observer being absolutely exterior to the object/text being examined – it is helpful to consider an example of this deconstruction at work (See Speech/Writing below).

3. Key terms from the early work

Derrida’s terms change in every text that he writes. This is part of his deconstructive strategy. He focuses on particular themes or words in a text, which on account of their ambiguity undermine the more explicit intention of that text. It is not possible for all of these to be addressed (Derrida has published in the vicinity of 60 texts in English), so this article focused on some of the most pivotal terms and neologisms from his early thought. It addresses aspects of his later, more theme-based thought, in Sections 6 & 7.

a. Speech/Writing

The most prominent opposition with which Derrida’s earlier work is concerned is that between speech and writing. According to Derrida, thinkers as different as Plato, Rousseau, Saussure, and Levi-Strauss, have all denigrated the written word and valorised speech, by contrast, as some type of pure conduit of meaning. Their argument is that while spoken words are the symbols of mental experience, written words are the symbols of that already existing symbol. As representations of speech, they are doubly derivative and doubly far from a unity with one’s own thought. Without going into detail regarding the ways in which these thinkers have set about justifying this type of hierarchical opposition, it is important to remember that the first strategy of deconstruction is to reverse existing oppositions. In Of Grammatology (perhaps his most famous work), Derrida hence attempts to illustrate that the structure of writing and grammatology are more important and even ‘older’ than the supposedly pure structure of presence-to-self that is characterised as typical of speech.

For example, in an entire chapter of his Course in General Linguistics, Ferdinand de Saussure tries to restrict the science of linguistics to the phonetic and audible word only (24). In the course of his inquiry, Saussure goes as far as to argue that “language and writing are two distinct systems of signs: the second exists for the sole purpose of representing the first”. Language, Saussure insists, has an oral tradition that is independent of writing, and it is this independence that makes a pure science of speech possible. Derrida vehemently disagrees with this hierarchy and instead argues that all that can be claimed of writing – eg. that it is derivative and merely refers to other signs – is equally true of speech. But as well as criticising such a position for certain unjustifiable presuppositions, including the idea that we are self-identical with ourselves in ‘hearing’ ourselves think, Derrida also makes explicit the manner in which such a hierarchy is rendered untenable from within Saussure’s own text. Most famously, Saussure is the proponent of the thesis that is commonly referred to as “the arbitrariness of the sign”, and this asserts, to simplify matters considerably, that the signifier bears no necessary relationship to that which is signified. Saussure derives numerous consequences from this position, but as Derrida points out, this notion of arbitrariness and of “unmotivated institutions” of signs, would seem to deny the possibility of any natural attachment (OG 44). After all, if the sign is arbitrary and eschews any foundational reference to reality, it would seem that a certain type of sign (ie. the spoken) could not be more natural than another (ie. the written). However, it is precisely this idea of a natural attachment that Saussure relies upon to argue for our “natural bond” with sound (25), and his suggestion that sounds are more intimately related to our thoughts than the written word hence runs counter to his fundamental principle regarding the arbitrariness of the sign.

b. Arche-writing

In Of Grammatology and elsewhere, Derrida argues that signification, broadly conceived, always refers to other signs, and that one can never reach a sign that refers only to itself. He suggests that “writing is not a sign of a sign, except if one says it of all signs, which would be more profoundly true” (OG 43), and this process of infinite referral, of never arriving at meaning itself, is the notion of ‘writing’ that he wants to emphasise. This is not writing narrowly conceived, as in a literal inscription upon a page, but what he terms ‘arche-writing’. Arche-writing refers to a more generalised notion of writing that insists that the breach that the written introduces between what is intended to be conveyed and what is actually conveyed, is typical of an originary breach that afflicts everything one might wish to keep sacrosanct, including the notion of self-presence.

This originary breach that arche-writing refers to can be separated out to reveal two claims regarding spatial differing and temporal deferring. To explicate the first of these claims, Derrida’s emphasis upon how writing differs from itself is simply to suggest that writing, and by extension all repetition, is split (differed) by the absence that makes it necessary. One example of this might be that we write something down because we may soon forget it, or to communicate something to someone who is not with us. According to Derrida, all writing, in order to be what it is, must be able to function in the absence of every empirically determined addressee (M 375). Derrida also considers deferral to be typical of the written and this is to reinforce that the meaning of a certain text is never present, never entirely captured by a critic’s attempt to pin it down. The meaning of a text is constantly subject to the whims of the future, but when that so-called future is itself ‘present’ (if we try and circumscribe the future by reference to a specific date or event) its meaning is equally not realised, but subject to yet another future that can also never be present. The key to a text is never even present to the author themselves, for the written always defers its meaning. As a consequence we cannot simply ask Derrida to explain exactly what he meant by propounding that enigmatic sentiment that has been translated as “there is nothing outside of the text” (OG 158). Any explanatory words that Derrida may offer would themselves require further explanation. [That said, it needs to be emphasised that Derrida’s point is not so much that everything is simply semiotic or linguistic – as this is something that he explicitly denies – but that the processes of differing and deferring found within linguistic representation are symptomatic of a more general situation that afflicts everything, including the body and the perceptual]. So, Derrida’s more generalised notion of writing, arche-writing, refers to the way in which the written is possible only on account of this ‘originary’ deferral of meaning that ensures that meaning can never be definitively present. In conjunction with the differing aspect that we have already seen him associate with, and then extend beyond the traditional confines of writing, he will come to describe these two overlapping processes via that most famous of neologisms: différance.

c. Différance

Différance is an attempt to conjoin the differing and deferring aspects involved in arche-writing in a term that itself plays upon the distinction between the audible and the written. After all, what differentiates différance and différence is inaudible, and this means that distinguishing between them actually requires the written. This problematises efforts like Saussure’s, which as well as attempting to keep speech and writing apart, also suggest that writing is an almost unnecessary addition to speech. In response to such a claim, Derrida can simply point out that there is often, and perhaps even always, this type of ambiguity in the spoken word – différence as compared to différance – that demands reference to the written. If the spoken word requires the written to function properly, then the spoken is itself always at a distance from any supposed clarity of consciousness. It is this originary breach that Derrida associates with the terms arche-writing and différance.

Of course, différance cannot be exhaustively defined, and this is largely because of Derrida’s insistence that it is “neither a word, nor a concept”, as well as the fact that the meaning of the term changes depending upon the particular context in which it is being employed. For the moment, however, it suffices to suggest that according to Derrida, différance is typical of what is involved in arche-writing and this generalised notion of writing that breaks down the entire logic of the sign (OG 7). The widespread conviction that the sign literally represents something, which even if not actually present, could be potentially present, is rendered impossible by arche-writing, which insists that signs always refer to yet more signs ad infinitum, and that there is no ultimate referent or foundation. This reversal of the subordinated term of an opposition accomplishes the first of deconstruction’s dual strategic intents. Rather than being criticised for being derivative or secondary, for Derrida, writing, or at least the processes that characterise writing (ie. différance and arche-writing), are ubiquitous. Just as a piece of writing has no self-present subject to explain what every particular word means (and this ensures that what is written must partly elude any individual’s attempt to control it), this is equally typical of the spoken. Utilising the same structure of repetition, nothing guarantees that another person will endow the words I use with the particular meaning that I attribute to them. Even the conception of an internal monologue and the idea that we can intimately ‘hear’ our own thoughts in a non-contingent way is misguided, as it ignores the way that arche-writing privileges difference and a non-coincidence with oneself (SP 60-70).

d. Trace

In this respect, it needs to be pointed out that all of deconstruction’s reversals (arche-writing included) are partly captured by the edifice that they seek to overthrow. For Derrida, “one always inhabits, and all the more when one does not suspect it” (OG 24), and it is important to recognise that the mere reversal of an existing metaphysical opposition might not also challenge the governing framework and presuppositions that are attempting to be reversed (WD 280). Deconstruction hence cannot rest content with merely prioritising writing over speech, but must also accomplish the second major aspect of deconstruction’s dual strategies, that being to corrupt and contaminate the opposition itself.

Derrida must highlight that the categories that sustain and safeguard any dualism are always already disrupted and displaced. To effect this second aspect of deconstruction’s strategic intents, Derrida usually coins a new term, or reworks an old one, to permanently disrupt the structure into which he has intervened – examples of this include his discussion of the pharmakon in Plato (drug or tincture, salutary or maleficent), and the supplement in Rousseau, which will be considered towards the end of this section. To phrase the problem in slightly different terms, Derrida’s argument is that in examining a binary opposition, deconstruction manages to expose a trace. This is not a trace of the oppositions that have since been deconstructed – on the contrary, the trace is a rupture within metaphysics, a pattern of incongruities where the metaphysical rubs up against the non-metaphysical, that it is deconstruction’s job to juxtapose as best as it can. The trace does not appear as such (OG 65), but the logic of its path in a text can be mimed by a deconstructive intervention and hence brought to the fore.

e. Supplement

The logic of the supplement is also an important aspect of Of Grammatology. A supplement is something that, allegedly secondarily, comes to serve as an aid to something ‘original’ or ‘natural’. Writing is itself an example of this structure, for as Derrida points out, “if supplementarity is a necessarily indefinite process, writing is the supplement par excellence since it proposes itself as the supplement of the supplement, sign of a sign, taking the place of a speech already significant” (OG 281). Another example of the supplement might be masturbation, as Derrida suggests (OG 153), or even the use of birth control precautions. What is notable about both of these examples is an ambiguity that ensures that what is supplementary can always be interpreted in two ways. For example, our society’s use of birth control precautions might be interpreted as suggesting that our natural way is lacking and that the contraceptive pill, or condom, etc., hence replaces a fault in nature. On the other hand, it might also be argued that such precautions merely add on to, and enrich our natural way. It is always ambiguous, or more accurately ‘undecidable’, whether the supplement adds itself and “is a plenitude enriching another plenitude, the fullest measure of presence”, or whether “the supplement supplements… adds only to replace… represents and makes an image… its place is assigned in the structure by the mark of an emptiness” (OG 144). Ultimately, Derrida suggests that the supplement is both of these things, accretion and substitution (OG 200), which means that the supplement is “not a signified more than a signifier, a representer than a presence, a writing than a speech” (OG 315). It comes before all such modalities.

This is not just some rhetorical suggestion that has no concrete significance in deconstruction. Indeed, while Rousseau consistently laments the frequency of his masturbation in his book, The Confessions, Derrida argues that “it has never been possible to desire the presence ‘in person’, before this play of substitution and the symbolic experience of auto-affection” (OG 154). By this, Derrida means that this supplementary masturbation that ‘plays’ between presence and absence (eg. the image of the absent Therese that is evoked by Rousseau) is that which allows us to conceive of being present and fulfilled in sexual relations with another at all. In a sense, masturbation is ‘originary’, and according to Derrida, this situation applies to all sexual relations. All erotic relations have their own supplementary aspect in which we are never present to some ephemeral ‘meaning’ of sexual relations, but always involved in some form of representation. Even if this does not literally take the form of imagining another in the place of, or supplementing the ‘presence’ that is currently with us, and even if we are not always acting out a certain role, or faking certain pleasures, for Derrida, such representations and images are the very conditions of desire and of enjoyment (OG 156).

4. Time and Phenomenology

Derrida has had a long and complicated association with phenomenology for his entire career, including ambiguous relationships with Husserl and Heidegger, and something closer to a sustained allegiance with Lévinas. Despite this complexity, two main aspects of Derrida’s thinking regarding phenomenology remain clear. Firstly, he thinks that the phenomenological emphasis upon the immediacy of experience is the new transcendental illusion, and secondly, he argues that despite its best intents, phenomenology cannot be anything other than a metaphysics (SP 75, 104). In this context, Derrida defines metaphysics as the science of presence, as for him (as for Heidegger), all metaphysics privileges presence, or that which is. While they are presented schematically here, these inter-related claims constitute Derrida’s major arguments against phenomenology.

According to Derrida, phenomenology is a metaphysics of presence because it unwittingly relies upon the notion of an indivisible self-presence, or in the case of Husserl, the possibility of an exact internal adequation with oneself (SP 66-8). In various texts, Derrida contests this valorisation of an undivided subjectivity, as well as the primacy that such a position accords to the ‘now’, or to some other kind of temporal immediacy. For instance, in Speech and Phenomena, Derrida argues that if a ‘now’ moment is conceived of as exhausting itself in that experience, it could not actually be experienced, for there would be nothing to juxtapose itself against in order to illuminate that very ‘now’. Instead, Derrida wants to reveal that every so-called ‘present’, or ‘now’ point, is always already compromised by a trace, or a residue of a previous experience, that precludes us ever being in a self-contained ‘now’ moment (SP 68). Phenomenology is hence envisaged as nostalgically seeking the impossible: that is, coinciding with oneself in an immediate and pre-reflective spontaneity. Following this refutation of Husserlian temporality, Derrida remarks that “in the last analysis, what is at stake is… the privilege of the actual present, the now” (SP 62-3). Instead of emphasising the presence of a subject to themselves (ie. the so-called living-present), Derrida strategically utilises a conception of time that emphasises deferral. John Caputo expresses Derrida’s point succinctly when he claims that Derrida’s criticisms of Husserlian temporality in Speech and Phenomena involve an attempt to convey that: “What is really going on in things, what is really happening, is always “to come”. Every time you try to stabilise the meaning of a thing, try to fix it in its missionary position, the thing itself, if there is anything at all to it, slips away” (cf. SP 104, Caputo DN 31). To put Derrida’s point simplistically, it might be suggested that the meaning of a particular object, or a particular word, is never stable, but always in the process of change (eg. the dissemination of meaning for which deconstruction has become notorious). Moreover, the significance of that past change can only be appreciated from the future and, of course, that ‘future’ is itself implicated in a similar process of transformation were it ever to be capable of becoming ‘present’. The future that Derrida is referring to is hence not just a future that will become present, but the future that makes all ‘presence’ possible and also impossible. For Derrida, there can be no presence-to-self, or self-contained identity, because the ‘nature’ of our temporal existence is for this type of experience to elude us. Our predominant mode of being is what he will eventually term the messianic (see Section 6), in that experience is about the wait, or more aptly, experience is only when it is deferred. Derrida’s work offers many important temporal contributions of this quasi-transcendental variety.

5. Undecidability

In its first and most famous instantiation, undecidability is one of Derrida’s most important attempts to trouble dualisms, or more accurately, to reveal how they are always already troubled. An undecidable, and there are many of them in deconstruction (eg. ghost, pharmakon, hymen, etc.), is something that cannot conform to either polarity of a dichotomy (eg. present/absent, cure/poison, and inside/outside in the above examples). For example, the figure of a ghost seems to neither present or absent, or alternatively it is both present and absent at the same time (SM).

However, Derrida has a recurring tendency to resuscitate terms in different contexts, and the term undecidability also returns in later deconstruction. Indeed, to complicate matters, undecidability returns in two discernible forms. In his recent work, Derrida often insists that the condition of the possibility of mourning, giving, forgiving, and hospitality, to cite some of his most famous examples, is at once also the condition of their impossibility (see section 7). In his explorations of these “possible-impossible” aporias, it becomes undecidable whether genuine giving, for example, is either a possible or an impossible ideal.

a. Decision

Derrida’s later philosophy is also united by his analysis of a similar type of undecidability that is involved in the concept of the decision itself. In this respect, Derrida regularly suggests that a decision cannot be wise, or posed even more provocatively, that the instant of the decision must actually be mad (DPJ 26, GD 65). Drawing on Kierkegaard, Derrida tells us that a decision requires an undecidable leap beyond all prior preparations for that decision (GD 77), and according to him, this applies to all decisions and not just those regarding the conversion to religious faith that preoccupies Kierkegaard. To pose the problem in inverse fashion, it might be suggested that for Derrida, all decisions are a faith and a tenuous faith at that, since were faith and the decision not tenuous, they would cease to be a faith or a decision at all (cf. GD 80). This description of the decision as a moment of madness that must move beyond rationality and calculative reasoning may seem paradoxical, but it might nevertheless be agreed that a decision requires a ‘leap of faith’ beyond the sum total of the facts. Many of us are undoubtedly stifled by the difficulty of decision-making, and this psychological fact aids and, for his detractors, also abets Derrida’s discussion of the decision as it appears in texts like The Gift of Death, Deconstruction and the Possibility of Justice, Adieu to Emmanuel Lévinas, and Politics of Friendship.

In Adieu to Emmanuel Lévinas, Derrida argues that a decision must always come back to the other, even if it is the other ‘inside’ the subject, and he disputes that an initiative which remained purely and simply “mine” would still be a decision (AEL 23-4). A theory of the subject is incapable of accounting for the slightest decision (PF 68-9), because, as he rhetorically asks, “would we not be justified in seeing here the unfolding of an egological immanence, the autonomic and automatic deployment of predicates or possibilities proper to a subject, without the tearing rupture that should occur in every decision we call free?” (AEL 24). In other words, if a decision is envisaged as simply following from certain character attributes, then it would not genuinely be a decision. Derrida is hence once more insisting upon the necessity of a leap beyond calculative reasoning, and beyond the resources of some self-contained subject reflecting upon the matter at hand. A decision must invoke that which is outside of the subject’s control. If a decision is an example of a concept that is simultaneously impossible within its own internal logic and yet nevertheless necessary, then not only is our reticence to decide rendered philosophically cogent, but it is perhaps even privileged. Indeed, Derrida’s work has been described as a “philosophy of hesitation”, and his most famous neologism, différance, explicitly emphasises deferring, with all of the procrastination that this term implies. Moreover, in his early essay “Violence and Metaphysics”, Derrida also suggests that a successful deconstructive reading is conditional upon the suspension of choice: on hesitating between the ethical opening and the logocentric totality (WD 84). Even though Derrida has suggested that he is reluctant to use the term ‘ethics’ because of logocentric associations, one is led to conclude that ‘ethical’ behaviour (for want of a better word) is a product of deferring, and of being forever open to possibilities rather than taking a definitive position. The problem of undecidability is also evident in more recent texts including The Gift of Death. In this text, Derrida seems to support the sacrificing of a certain notion of ethics and universality for a conception of radical singularity not unlike that evinced by the “hyper-ethical” sacrifice that Abraham makes of his son upon Mt Moriah, according to both the Judaic and Christian religions alike (GD 71). To represent Derrida’s position more precisely, true responsibility consists in oscillating between the demands of that which is wholly other (in Abraham’s case, God, but also any particular other) and the more general demands of a community (see Section 6). Responsibility is enduring this trial of the undecidable decision, where attending to the call of a particular other will inevitably demand an estrangement from the “other others” and their communal needs. Whatever decision one may take, according to Derrida, it can never be wholly justified (GD 70). Of course, Derrida’s emphasis upon the undecidability inherent in all decision-making does not want to convey inactivity or a quietism of despair, and he has insisted that the madness of the decision also demands urgency and precipitation (DPJ 25-8). Nevertheless, what is undergone is described as the “trial of undecidability” (LI 210) and what is involved in enduring this trial would seem to be a relatively anguished being. In an interview with Richard Beardsworth, Derrida characterises the problem of undecidability as follows: “However careful one is in the theoretical preparation of a decision, the instant of the decision, if there is to be a decision, must be heterogeneous to the accumulation of knowledge. Otherwise, there is no responsibility. In this sense not only must the person taking the decision not know everything… the decision, if there is to be one, must advance towards a future which is not known, which cannot be anticipated” (NM 37). This suggestion that the decision cannot anticipate the future is undoubtedly somewhat counter-intuitive, but Derrida’s rejection of anticipation is not only a rejection of the traditional idea of deciding on the basis of weighing-up and internally representing certain options. By suggesting that anticipation is not possible, he means to make the more general point that no matter how we may anticipate any decision must always rupture those anticipatory frameworks. A decision must be fundamentally different from any prior preparations for it. As Derrida suggests in Politics of Friendship, the decision must “surprise the very subjectivity of the subject” (PF 68), and it is in making this leap away from calculative reasoning that Derrida argues that responsibility consists (PF 69).

6. The Other

a. Responsibility to the Other

Perhaps the most obvious aspect of Derrida’s later philosophy is his advocation of the tout autre, the wholly other, and The Gift of Death will be our main focus in explaining what this exaltation of the wholly other might mean. Any attempt to sum up this short but difficult text would have to involve the recognition of a certain incommensurability between the particular and the universal, and the dual demands placed upon anybody intending to behave responsibly. For Derrida, the paradox of responsible behaviour means that there is always a question of being responsible before a singular other (eg. a loved one, God, etc.), and yet we are also always referred to our responsibility towards others generally and to what we share with them. Derrida insists that this type of aporia, or problem, is too often ignored by the “knights of responsibility” who presume that accountability and responsibility in all aspects of life – whether that be guilt before the human law, or even before the divine will of God – is quite easily established (GD 85). These are the same people who insist that concrete ethical guidelines should be provided by any philosopher worth his or her ‘salt’ (GD 67) and who ignore the difficulties involved in a notion like responsibility, which demands something importantly different from merely behaving dutifully (GD 63).

Derrida’s exploration of Abraham’s strange and paradoxical responsibility before the demands of God, which consists in sacrificing his only son Isaac, but also in betraying the ethical order through his silence about this act (GD 57-60), is designed to problematise this type of ethical concern that exclusively locates responsibility in the realm of generality. In places, Derrida even verges on suggesting that this more common notion of responsibility, which insists that one should behave according to a general principle that is capable of being rationally validated and justified in the public realm (GD 60), should be replaced with something closer to an Abrahamian individuality where the demands of a singular other (eg. God) are importantly distinct from the ethical demands of our society (GD 61, 66). Derrida equivocates regarding just how far he wants to endorse such a conception of responsibility, and also on the entire issue of whether Abraham’s willingness to murder is an act of faith, or simply an unforgivable transgression. As he says, “Abraham is at the same time, the most moral and the most immoral, the most responsible and the most irresponsible” (GD 72). This equivocation is, of course, a defining trait of deconstruction, which has been variously pilloried and praised for this refusal to propound anything that the tradition could deem to be a thesis. Nevertheless, it is relatively clear that in The Gift of Death, Derrida intends to free us from the common assumption that responsibility is to be associated with behaviour that accords with general principles capable of justification in the public realm (ie. liberalism). In opposition to such an account, he emphasises the “radical singularity” of the demands placed upon Abraham by God (GD 60, 68, 79) and those that might be placed on us by our own loved ones. Ethics, with its dependence upon generality, must be continually sacrificed as an inevitable aspect of the human condition and its aporetic demand to decide (GD 70). As Derrida points out, in writing about one particular cause rather than another, in pursuing one profession over another, in spending time with one’s family rather than at work, one inevitably ignores the “other others” (GD 69), and this is a condition of any and every existence. He argues that: “I cannot respond to the call, the request, the obligation, or even the love of another, without sacrificing the other other, the other others” (GD 68). For Derrida, it seems that the Buddhist desire to have attachment to nobody and equal compassion for everybody is an unattainable ideal. He does, in fact, suggest that a universal community that excludes no one is a contradiction in terms. According to him, this is because: “I am responsible to anyone (that is to say, to any other) only by failing in my responsibility to all the others, to the ethical or political generality. And I can never justify this sacrifice; I must always hold my peace about it… What binds me to this one or that one, remains finally unjustifiable” (GD 70). Derrida hence implies that responsibility to any particular individual is only possible by being irresponsible to the “other others”, that is, to the other people and possibilities that haunt any and every existence.

b. Wholly Other/Messianic

This brings us to a term that Derrida has resuscitated from its association with Walter Benjamin and the Judaic tradition more generally. That term is the messianic and it relies upon a distinction with messianism.

According to Derrida, the term messianism refers predominantly to the religions of the Messiahs – ie. the Muslim, Judaic and Christian religions. These religions proffer a Messiah of known characteristics, and often one who is expected to arrive at a particular time or place. The Messiah is inscribed in their respective religious texts and in an oral tradition that dictates that only if the other conforms to such and such a description is that person actually the Messiah. The most obvious of numerous necessary characteristics for the Messiah, it seems, is that they must invariably be male. Sexuality might seem to be a strange prerequisite to tether to that which is beyond this world, wholly other, but it is only one of many. Now, Derrida is not simplistically disparaging religion and the messianisms they propound. In an important respect, the messianic depends upon the various messianisms and Derrida admits that he cannot say which is the more originary. The messianism of Abraham in his singular responsibility before God, for Derrida, reveals the messianic structure of existence more generally, in that we all share a similar relationship to alterity even if we have not named and circumscribed that experience according to the template provided by a particular religion. However, Derrida’s call to the wholly other, his invocation for the wholly other “to come”, is not a call for a fixed or identifiable other of known characteristics, as is arguably the case in the average religious experience. His wholly other is indeterminable and can never actually arrive. Derrida more than once recounts a story of Maurice Blanchot’s where the Messiah was actually at the gates to a city, disguised in rags. After some time, the Messiah was finally recognised by a beggar, but the beggar could think of nothing more relevant to ask than: “when will you come?”(DN 24). Even when the Messiah is ‘there’, he or she must still be yet to come, and this brings us back to the distinction between the messianic and the various historical messianisms. The messianic structure of existence is open to the coming of an entirely ungraspable and unknown other, but the concrete, historical messianisms are open to the coming of a specific other of known characteristics. The messianic refers predominantly to a structure of our existence that involves waiting – waiting even in activity – and a ceaseless openness towards a future that can never be circumscribed by the horizons of significance that we inevitably bring to bear upon that possible future. In other words, Derrida is not referring to a future that will one day become present (or a particular conception of the saviour who will arrive), but to an openness towards an unknown futurity that is necessarily involved in what we take to be ‘presence’ and hence also renders it ‘impossible’. A deconstruction that entertained any type of grand prophetic narrative, like a Marxist story about the movement of history toward a pre-determined future which, once attained, would make notions like history and progress obsolete, would be yet another vestige of logocentrism and susceptible to deconstruction (SM). Precisely in order to avoid the problems that such messianisms engender – eg. killing in the name of progress, mutilating on account of knowing the will of God better than others, etc. – Derrida suggests that: “I am careful to say ‘let it come’ because if the other is precisely what is not invented, the initiative or deconstructive inventiveness can consist only in opening, in uncloseting, in destabilising foreclusionary structures, so as to allow for the passage toward the other” (RDR 60).

7. Possible and Impossible Aporias

Derrida has recently become more and more preoccupied with what has come to be termed “possible-impossible aporias” – aporia was originally a Greek term meaning puzzle, but it has come to mean something more like an impasse or paradox. In particular, Derrida has described the paradoxes that afflict notions like giving, hospitality, forgiving and mourning. He argues that the condition of their possibility is also, and at once, the condition of their impossibility. In this section, I will attempt to reveal the shared logic upon which these aporias rely.

a. The Gift

The aporia that surrounds the gift revolves around the paradoxical thought that a genuine gift cannot actually be understood to be a gift. In his text, Given Time, Derrida suggests that the notion of the gift contains an implicit demand that the genuine gift must reside outside of the oppositional demands of giving and taking, and beyond any mere self-interest or calculative reasoning (GT 30). According to him, however, a gift is also something that cannot appear as such (GD 29), as it is destroyed by anything that proposes equivalence or recompense, as well as by anything that even proposes to know of, or acknowledge it. This may sound counter-intuitive, but even a simple ‘thank-you’ for instance, which both acknowledges the presence of a gift and also proposes some form of equivalence with that gift, can be seen to annul the gift (cf. MDM 149). By politely responding with a ‘thank-you’, there is often, and perhaps even always, a presumption that because of this acknowledgement one is no longer indebted to the other who has given, and that nothing more can be expected of an individual who has so responded. Significantly, the gift is hence drawn into the cycle of giving and taking, where a good deed must be accompanied by a suitably just response. As the gift is associated with a command to respond, it becomes an imposition for the receiver, and it even becomes an opportunity to take for the ‘giver’, who might give just to receive the acknowledgement from the other that they have in fact given. There are undoubtedly many other examples of how the ‘gift’ can be deployed, and not necessarily deliberately, to gain advantage. Of course, it might be objected that even if it is psychologically difficult to give without also receiving (and in a manner that is tantamount to taking) this does not in-itself constitute a refutation of the logic of genuine giving. According to Derrida, however, his discussion does not amount merely to an empirical or psychological claim about the difficulty of transcending an immature and egocentric conception of giving. On the contrary, he wants to problematise the very possibility of a giving that can be unequivocally disassociated from receiving and taking.

The important point is that, for Derrida, a genuine gift requires an anonymity of the giver, such that there is no accrued benefit in giving. The giver cannot even recognise that they are giving, for that would be to reabsorb their gift to the other person as some kind of testimony to the worth of the self – ie. the kind of self-congratulatory logic that rhetorically poses the question “how wonderful I am to give this person that which they have always desired, and without even letting them know that I am responsible?”. This is an extreme example, but Derrida claims that such a predicament afflicts all giving in more or less obvious ways. For him, the logic of a genuine gift actually requires that self and other be radically disparate, and have no obligations or claims upon each other of any kind. He argues that a genuine gift must involve neither an apprehension of a good deed done, nor the recognition by the other party that they have received, and this seems to render the actuality of any gift an impossibility. Significantly, however, according to Derrida, the existential force of this demand for an absolute altruism can never be assuaged, and yet equally clearly it can also never be fulfilled, and this ensures that the condition of the possibility of the gift is inextricably associated with its impossibility. For Derrida, there is no solution to this type of problem, and no hint of a dialectic that might unify the apparent incommensurability in which possibility implies impossibility and vice versa. At the same time, however, he does not intend simply to vacillate in hyperbolic and self-referential paradoxes. There is a sense in which deconstruction actually seeks genuine giving, hospitality, forgiving and mourning, even where it acknowledges that these concepts are forever elusive and can never actually be fulfilled.

b. Hospitality

It is also worth considering the aporia that Derrida associates with hospitality. According to Derrida, genuine hospitality before any number of unknown others is not, strictly speaking, a possible scenario (OH 135, GD 70, AEL 50, OCF 16). If we contemplate giving up everything that we seek to possess and call our own, then most of us can empathise with just how difficult enacting any absolute hospitality would be. Despite this, however, Derrida insists that the whole idea of hospitality depends upon such an altruistic concept and is inconceivable without it (OCF 22). In fact, he argues that it is this internal tension that keeps the concept alive.

As Derrida makes explicit, there is a more existential example of this tension, in that the notion of hospitality requires one to be the ‘master’ of the house, country or nation (and hence controlling). His point is relatively simple here; to be hospitable, it is first necessary that one must have the power to host. Hospitality hence makes claims to property ownership and it also partakes in the desire to establish a form of self-identity. Secondly, there is the further point that in order to be hospitable, the host must also have some kind of control over the people who are being hosted. This is because if the guests take over a house through force, then the host is no longer being hospitable towards them precisely because they are no longer in control of the situation. This means, for Derrida, that any attempt to behave hospitably is also always partly betrothed to the keeping of guests under control, to the closing of boundaries, to nationalism, and even to the exclusion of particular groups or ethnicities (OH 151-5). This is Derrida’s ‘possible’ conception of hospitality, in which our most well-intentioned conceptions of hospitality render the “other others” as strangers and refugees (cf. OH 135, GD 68). Whether one invokes the current international preoccupation with border control, or simply the ubiquitous suburban fence and alarm system, it seems that hospitality always posits some kind of limit upon where the other can trespass, and hence has a tendency to be rather inhospitable. On the other hand, as well as demanding some kind of mastery of house, country or nation, there is a sense in which the notion of hospitality demands a welcoming of whomever, or whatever, may be in need of that hospitality. It follows from this that unconditional hospitality, or we might say ‘impossible’ hospitality, hence involves a relinquishing of judgement and control in regard to who will receive that hospitality. In other words, hospitality also requires non-mastery, and the abandoning of all claims to property, or ownership. If that is the case, however, the ongoing possibility of hospitality thereby becomes circumvented, as there is no longer the possibility of hosting anyone, as again, there is no ownership or control.

c. Forgiveness

Derrida discerns another aporia in regard to whether or not to forgive somebody who has caused us significant suffering or pain. This particular paradox revolves around the premise that if one forgives something that is actually forgivable, then one simply engages in calculative reasoning and hence does not really forgive. Most commonly in interviews, but also in his recent text On Cosmopolitanism and Forgiveness, Derrida argues that according to its own internal logic, genuine forgiving must involve the impossible: that is, the forgiving of an ‘unforgivable’ transgression – eg. a ‘mortal sin’ (OCF 32, cf. OH 39). There is hence a sense in which forgiving must be ‘mad’ and ‘unconscious’ (OCF 39, 49), and it must also remain outside of, or heterogenous to, political and juridical rationality. This unconditional ‘forgiveness’ explicitly precludes the necessity of an apology or repentance by the guilty party, although Derrida acknowledges that this pure notion of forgiveness must always exist in tension with a more conditional forgiveness where apologies are actually demanded. However, he argues that this conditional forgiveness amounts more to amnesty and reconciliation than to genuine forgiveness (OCF 51). The pattern of this discussion is undoubtedly beginning to become familiar. Derrida’s discussions of forgiving are orientated around revealing a fundamental paradox that ensures that forgiving can never be finished or concluded – it must always be open, like a permanent rupture, or a wound that refuses to heal.

This forgiveness paradox depends, in one of its dual aspects, upon a radical disjunction between self and other. Derrida explicitly states that “genuine forgiveness must engage two singularities: the guilty and the victim. As soon as a third party intervenes, one can again speak of amnesty, reconciliation, reparation, etc., but certainly not of forgiveness in the strict sense” (OCF 42). Given that he also acknowledges that it is difficult to conceive of any such face-to-face encounter without a third party – as language itself must serve such a mediating function (OCF 48) – forgiveness is caught in an aporia that ensures that its empirical actuality looks to be decidedly unlikely. To recapitulate, the reason that Derrida’s notion of forgiveness is caught in such an inextricable paradox is because absolute forgiveness requires a radically singular confrontation between self and other, while conditional forgiveness requires the breaching of categories such as self and other, either by a mediating party, or simply by the recognition of the ways in which we are always already intertwined with the other. Indeed, Derrida explicitly argues that when we know anything of the other, or even understand their motivation in however minimal a way, this absolute forgiveness can no longer take place (OCF 49). Derrida can offer no resolution in regard to the impasse that obtains between these two notions (between possible and impossible forgiving, between an amnesty where apologies are asked for and a more absolute forgiveness). He will only insist that an oscillation between both sides of the aporia is necessary for responsibility (OCF 51).

d. Mourning

In Memoires: for Paul de Man, which was written almost immediately following de Man’s death in 1983, Derrida reflects upon the political significance of his colleague’s apparent Nazi affiliation in his youth, and he also discusses the pain of losing his friend. Derrida’s argument about mourning adheres to a similarly paradoxical logic to that which has been associated with him throughout this article. He suggests that the so-called ‘successful’ mourning of the deceased other actually fails – or at least is an unfaithful fidelity – because the other person becomes a part of us, and in this interiorisation their genuine alterity is no longer respected. On the other hand, failure to mourn the other’s death paradoxically appears to succeed, because the presence of the other person in their exteriority is prolonged (MDM 6). As Derrida suggests, there is a sense in which “an aborted interiorisation is at the same time a respect for the other as other” (MDM 35). Hence the possibility of an impossible bereavement, where the only possible way to mourn, is to be unable to do so. However, even though this is how he initially presents the problem, Derrida also problematises this “success fails, failure succeeds” formulation (MDM 35).

In his essay “Fors: The Anglish Words of Nicolas Abraham and Maria Torok”, Derrida again considers two models of the type of encroachment between self and other that is regularly associated with mourning. Borrowing from post-Freudian theories of mourning, he posits (although later undermines) a difference between introjection, which is love for the other in me, and incorporation, which involves retaining the other as a pocket, or a foreign body within one’s own body. For Freud, as well as for the psychologists Abraham and Torok whose work Derrida considers, successful mourning is primarily about the introjection of the other. The preservation of a discrete and separate other person inside the self (psychologically speaking), as is the case in incorporation, is considered to be where mourning ceases to be a ‘normal’ response and instead becomes pathological. Typically, Derrida reverses this hierarchy by highlighting that there is a sense in which the supposedly pathological condition of incorporation is actually more respectful of the other person’s alterity. After all, incorporation means that one has not totally assimilated the other, as there is still a difference and a heterogeneity (EO 57). On the other hand, Abraham and Torok’s so-called ‘normal’ mourning can be accused of interiorising the other person to such a degree that they have become assimilated and even metaphorically cannibalised. Derrida considers this introjection to be an infidelity to the other. However, Derrida’s account is not so simple as to unreservedly valorise the incorporation of the other person, even if he emphasises this paradigm in an effort to refute the canonical interpretation of successful mourning. He also acknowledges that the more the self “keeps the foreign element inside itself, the more it excludes it” (Fors xvii). If we refuse to engage with the dead other, we also exclude their foreignness from ourselves and hence prevent any transformative interaction with them. When fetishised in their externality in such a manner, the dead other really is lifeless and it is significant that Derrida describes the death of de Man in terms of the loss of exchange and of the transformational opportunities that he presented (MDM xvi, cf WM). Derrida’s point hence seems to be that in mourning, the ‘otherness of the other’ person resists both the process of incorporation as well as the process of introjection. The other can neither be preserved as a foreign entity, nor introjected fully within. Towards the end of Memoires: for Paul de Man, Derrida suggests that responsibility towards the other is about respecting and even emphasising this resistance (MDM 160, 238).

8. References and Further Reading

a. Derrida’s Texts (and Their Abbreviations)

  • Acts of Literature, ed. Attridge, New York: Routledge, 1992 (AL).
  • Adieu to Emmanuel Lévinas, trans. Brault & Naas, Stanford, California: Stanford University Press, 1999 (AEL).
  • Circumfessions: Fifty Nine Periphrases, in Bennington, G., Jacques Derrida, Chicago: University of Chicago Press, 1993 (Circ).
  • On Cosmopolitanism and Forgiveness, London: Routledge, 2001 (OCF).
  • Deconstruction and the Possibility of Justice, (inc. “Force of the Law”), eds. Cornell, Carlson, & Benjamin, New York: Routledge, 1992 (DPJ).
  • Dissemination, trans. Johnson, Chicago: University of Chicago Press, 1981 (D).
  • “‘Eating Well’ or the Calculation of the Subject: An Interview with Jacques Derrida” in Who Comes After the Subject? eds. Cadava, Connor, & Nancy, New York: Routledge, 1991, p 96-119.
  • The Ear of the Other: Otobiography, Transference, Translation, trans. Kamuf, ed. McDonald, New York: Schocken Books, 1985 (EO).
  • Edmund Husserl’s ‘Origin of Geometry’: An Introduction, trans. Leavey, Pittsburgh: Duquesne University Press, 1978 (1962) (HOG).
  • “Fors: The Anglish Words of Nicolas Abraham and Maria Torok”, trans. Johnson, in The Wolfman’s Magic Word: A Cryptonomy, Abraham, N., & Torok, M., trans. Rand, Minneapolis: University of Minnesota Press, 1986 (Fors).
  • The Gift of Death, trans. Wills, Chicago: University of Chicago Press, 1995 (1991) (GD).
  • Given Time: i. Counterfeit Money, trans. Kamuf, Chicago: University of Chicago Press, 1992 (GT).
  • “Hostipitality” in Angelaki: Journal of the Theoretical Humanities, Vol. 5, Number 3, Dec 2000.
  • Le Toucher: Jean-Luc Nancy, Paris: Galilée, 2000 (T).
  • Le Toucher: Touch/to touch him”, in Paragraph, trans. Kamuf, 16:2, 1993, p 122-57.
  • Limited Inc. (inc. “Afterword”), ed. Graff, trans. Weber, Evanston: Northwestern University Press, 1998 edition (LI).
  • Margins of Philosophy, trans. Bass, Chicago: University of Chicago Press, 1982 (M).
  • Memoires: for Paul de Man, trans. Lindsay, Culler, Cadava, & Kamuf, New York: Columbia University Press, 1989 (MDM).
  • Memoirs of the Blind: The Self-Portrait and Other Ruins, trans. Brault & Naas, Chicago: University of Chicago Press, 1993 (1991) (MB).
  • Monolingualism of the Other or the Prosthesis of Origin, trans. Mensh, Stanford: Stanford University Press, 1996 (MO).
  • “Nietzsche and the Machine: Interview with Jacques Derrida” (interviewer Beardsworth) in Journal of Nietzsche Studies, Issue 7, Spring 1994 (NM). Of Grammatology, trans. Spivak, Baltimore: John Hopkins University Press, 1976 (OG).
  • Derrida, J., & Dufourmantelle, A., Of Hospitality, trans. Bowlby, Stanford: Stanford University Press, 2000 (OH).
  • On the Name (inc. “Passions”), ed. Dutoit, Stanford: Stanford University Press, 1995 (ON).
  • “Ousia and Gramme: A Note to a Footnote in Being and Time” trans. Casey in Phenomenology in Perspective, ed. Smith, The Hague: Nijhoff, 1970.
  • Parages, Paris: Galilée, 1986. Points… Interviews, 1974-1995, ed. Weber, trans. Kamuf et al, Stanford: Stanford University Press, 1995 (P).
  • Politics of Friendship, trans. Collins, New York: Verso, 1997 (PF).
  • Positions, trans. Bass, London: Athlone Press, 1981 (1972) (PO).
  • “Psyche: Inventions of the Other” in Reading De Man Reading, eds. Waters & Godzich, Minneapolis: University of Minnesota Press, 1989 (RDR).
  • Spectres of Marx: The State of the Debt, the Work of Mourning and the New International, trans. Kamuf, New York: Routledge, 1994 (SM).
  • ‘Speech and Phenomena’ and Other Essays on Husserl’s Theory of Signs, trans. Allison, Evanston: Northwestern University Press, 1973 (1967) (SP).
  • The Work of Mourning, eds. Brault & Naas, Chicago: University of Chicago Press, 2001 (WM).
  • Writing and Difference, trans. Bass, Chicago: University of Chicago Press, 1978 (1967) (WD).

b. Selected Commentaries

  • Bennington, G., Interrupting Derrida, Warwick Studies in European Philosophy, London: Routledge, 2000.
  • Bennington, G., Jacques Derrida, Chicago: University of Chicago Press, 1993.
  • Caputo, J., Deconstruction in a Nutshell, New York: Fordham University Press, 1997.
  • Caputo, J., The Prayers and Tears of Jacques Derrida, Bloomington: Indiana University Press, 1997.
  • Critchley, S., The Ethics of Deconstruction: Derrida and Lévinas, Oxford, UK: Blackwell, 1992.
  • Culler, J., On Deconstruction: Theory and Criticism after Structuralism, London: Routledge and Kegan Paul, 1983.
  • Gasché, R., Inventions of Difference: On Jacques Derrida, Massachusetts: Harvard University Press, 1994. Gasché, R., The Tain of the Mirror: Derrida and the Philosophy of Reflection, Massachusetts: Harvard University Press, 1986.
  • Hart, K., The Trespass of the Sign: Deconstruction, Theology and Philosophy, Cambridge: Cambridge University Press, 1989.
  • Harvey, I., Derrida and the Economy of Différance, Studies in Phenomenology and Existential Philosophy, Bloomington: Indiana University Press, 1986.
  • Howells, C., Derrida: Deconstruction from Phenomenology to Ethics, Cambridge: Polity Press, 1999.
  • Krell, D., The Purest of Bastards: Works of Art, Affirmation and Mourning in the Thought of Jacques Derrida, Pennsylvania: Pennsylvania University Press, 2000.
  • Norris, C., Derrida, Massachusetts: Harvard University Press, 1987.
  • Patrick, M., Derrida, Responsibility and Politics, Avebury Series in Philosophy, Aldershot: Ashgate Publishing, 1997.
  • Silverman, H., ed. Derrida and Deconstruction, New York: Routledge, 1989.
  • Wood, D., The Deconstruction of Time, Contemporary Studies in Philosophy and the Human Sciences, Atlantic Highlands, New Jersey: Humanities Press, 1989.
  • Wood, D., ed. Derrida: A Critical Reader, Oxford: Blackwell, 1992.
  • Wood, D., & Bernasconi, R., eds. Derrida and Différance, Evanston: Northwestern University Press, 1988.

Author Information

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

Ikhwan al-Safa’

Ikhwān al-safā’ (the Brethren of Purity) are the authors of the Rasā’il al-Ikhwān al-safā’ (Treatises of the Brethren of Purity), an Islamic encyclopedia consisting of fifty-two treatises and an additional comprehensive treatise (Risālat al-jāmi‘a) on various philosophical sciences interpreted by Ismā‘īlī Shī‘ī scholars. It covers the mathematical, natural, psychological/rational, and theological sciences and was written in the tenth or eleventh century C.E. The Ikhwān al-safā’ were an anonymous group of authors who resided in Basra (current day Iraq), influenced by Neoplatonic and Aristotelian thought and linked to the early Ismā‘īlī da‘wa (literally: to call; missionary preaching), which belongs to Shī‘ī Islam. The group’s attempt at maintaining anonymity does not come as a surprise given that the distinguishing aspect of Ismā‘īlism (branch from Shī‘ism) is a deep esotericism concerned with the inner dimensions of Islam.

This Ismā‘īlī esotericism fused with ancient Greek philosophy and produced the Ikhwan’s unique analysis of mathematics, epistemology, and metaphysical cosmology. The Ikhwān drew from Pythagorean thought to explain the Ismā‘īlī belief in a hierarchal world, Hellenistic metaphysical concepts of actuality and potentiality to describe how the human soul acquires knowledge, and they were inspired by Democritus’ worldview.

The present article provides an outline to assist readers in attaining a bird’s eye-view of this vast encyclopedia composed by brilliant Muslim scholars, who mastered all branches of knowledge in its manifold external and internal aspects.

Table of Contents

  1. Historical Background
  2. Short Description of the Work
  3. Philosophical Sciences
  4. Twofold in the Creation
  5. References and Further Reading

1. Historical Background

One of the main obstacles preventing a proper understanding of the Isma’ili movement is the paucity of historical material exemplified by the fact that only Sunni sources relating Isma‘ili history survived. The early part of Isma‘ili history has two important phases. It is in this complex pre-Fatimid period that Jabir ibn Hayyan (d. C.E. 815) wrote many treatises on alchemy and on the mystical science of treatises. The Encyclopedia of the Ikhwan al-safa’ was composed by authors who had a vast knowledge of Hellenic literature and the various contemporary sciences.

Isma’ilism developed a complex and rich theosophy which owed a great deal to Neoplatonism. In the 9TH century, Greek-to-Arabic translations proliferated, first by the intermediary of Syriac then directly. The version of Plotinus’ Enneads possessed by Muslims was modified with changes and paraphrases; it was wrongly attributed to Aristotle and called Theologia of Aristotle, since Plotinus (Flutinus) remained mostly unknown to the Muslims by name. This latter work played a significant role in the development of Isma‘ilism

The Ikhwan al-Safa’ remained an anonymous group of scholars, but when Abu Hayyan al-Tawhidi was asked about them, he identified some of them: Abu Sulayman al-Busti (known as al-Muqaddasi), ‘Ali b. Harun al-Zanjani, Muhammad al-Nahrajuri (or al-Mihrajani), al-‘Awfi, and Zayd ibn Rifa‘i. The complete name of the group is Ikhwan al-Safa’ wa Khullan al-Wafa’ wa Ahl al-Hamd wa Abna’ al-Majd. The majority of scholars agree that the Ikhwan and their rasa’il belongs to the Isma‘ili movement. (cf. Nasr, 1978, p. 29; Marquet, 1971, p. 1071; Poonawala, p. 93)

2. Short Description of the Work

The Encyclopedia is divided into fifty-two epistles (rasa’il) of varying lengths, which make up four books. Each book develops different topics:

Book 1: the mathematical sciences (14 rasa’il) include theory of number, geometry, astronomy, geography, music, theoretical and practical arts, ethics and logic.

Book 2: the natural sciences (17 rasa’il) comprehend matter, form, motion, time, space, sky and universe, generation and corruption, meteorology, minerals, plants, animals, human body, perception, embryology, man as microcosm, development of souls in the body, limit of knowledge, death, pleasure, and language.

Book 3: the psychological and rational sciences (10 rasa’il) comprehend intellectual principles (Pythagoras and Ikhwan), universe as macrocosm, intelligence and intelligible, periods and era, passion, resurrection, species of movement, cause and effect, definitions and descriptions.

Book 4: the theological sciences (11 rasa’il) include doctrines and religions, way to God, doctrine of Ikhwan, essence of faith, divine law and prophethood, appeal to God, hierarchy, spiritual beings, politics, magic and talisman.

3. Philosophical Sciences

The incorporation of philosophical and theological doctrines in their writings were done teleogically. They were also influenced by neo-Pythagorean arithmetical theories, the authors based their theosophy on this Pythagorean principle: “the beings are according to the nature of the number.” (Steigerwald, p. 82) They were inspired by the assertion attributed to Pythagoras: “In the knowledge of the properties of numbers and in the way they are classified and ranked in grades resides the knowledge of the beings of God.” (Steigerwald, p. 82) The Ikhwan al-safa’ realized that each number depends on the one which precedes it. We can decompose the number unit by unit till we reach the first. But to the One “we can not withdraw anything […] because it is the origin and the source of number.”(Steigerwald, p. 82) According to them, beings are like numbers: they come from God and return finally to Him. This is a good example of how they adapted Pythagorean theories to their fundamental belief in a hierarchical world.

The metaphysics of the Ikhwan al-Safa’ are built upon Hellenic philosophy. They share common terminology with the Aristotelian scheme, but the concepts (matter and form, substance –in Greek ousia — and accidents, potentially and actuality, and the four causes) vary slightly. For them, learning is the reminiscence of knowledge already contained in the soul; the soul is ‘potentially knowledgeable’ and becomes ‘actually knowledgeable’.

The Ikhwan hold that substance is self-existent and capable of receiving attributes. But form is divided into two kinds: substances and accidents. They conceive four causes: material, formal, efficient, and final. The material cause of plants is the four elements (fire, air, water, and earth) and their final cause is to provide food for animals. (rasa’il Ikhwan al-Safa’, vol. 2 p. 79; cf. rasa’il Ikhwan al-Safa’, vol. 2 p. 115, vol. 3, p. 358) Here the Ikhwan ascribe for material cause the raw material (i.e. bronze or silver); for the formal cause, they give the example of an apple pip which is expected to produce an apple; the efficient cause indicates the origin, for example a father is the efficient cause of a child, and the final cause shows the purpose of something.

4. Twofold in the Creation

The process of creation is divided twofold: first, God creates ex nihilo the Intellect; immediately after the Intellect’s emanation (fayd), it proceeds gradually, giving shape to the present universe. The order and character of emanation are described below. (rasa’il Ikhwan al-Safa’, vol. 1 p. 54; cf. rasa’il Ikhwan al-Safa’, vol. 3 pp. 184, 196-7; 235)

(1) Al-Bari’ (Creator, or God) is the First and only Eternal Being, no anthropomorphic attribute is to be ascribed to Him. Only the will to originate pertains to Him. The Ikhwan present an Unknowable God (Deus Absconditus) at the top of the hierarchy while the Qur’anic God (Deus Revelatus), another facet of God, guides people on the right path.

(2) Al-‘Aql (Intellect or Gr. Noûs) is the first being to originate from God. It is one in number as God Himself is One. God created all the forms of subsequent beings in the Intellect, from which emanated the Universal soul and the first matter. It is clear, in the opinion of the Ikhwan, that the Intellect, a counterpart of God, is the best representative of God.

(3) Al-Nafs al-Kulliyya (The Universal Soul) is the Soul of the whole universe, a simple essence which emanates from the Intellect. It receives its energy from the Intellect. It manifests itself in the sun through which is animated the whole sublunary (material) world. What we call creation, in our physical world, pertains to the Universal Soul.

(4) Al-Hayula al-Ula (Prime Matter, arabicized from Gr. hyle), is a spiritual substance that is unable to emanate by itself. It is caused by the Intellect to proceed from the Universal Soul which helps it to emanate and accept different forms.

(5) Al-Tabi’at (Nature) is the energy diffused throughout all organic and inorganic bodies. It is the cause of motion, life, and change. The influence of intellect ceases at this stage of Nature. All subsequent emanations tend to be more and more material and defective.

(6) Al-Jism al-Mutlaq (The Absolute Body) comes about when First matter acquires physical properties, and it is the physical substance of which our world is made.

(7) The World of the Spheres (of the fixed stars, Saturn, Jupiter, Mars, the Sun, Venus, Mercury, and the Moon) appears in the seventh stage of emanation. All the heavenly bodies are made up of a fifth element (ether), and are not subject to generation and corruption.

(8) The Four Elements (fire, air, water, and earth) come immediately under the sphere of the moon where they are subjected to generation and corruption. The Ikhwan adopted the view of Thales (d. c. B.C.E. 545) and the Ionians that the four “elements” change into one another, water becomes air and fire; fire becomes air, water, earth, etc.

(9) The Three Kingdoms are the last stage of emanation. The three kingdoms (mineral, plant, and animal) are made of proportional intermixture of the four elements.

The Ikhwan al-Safa’ took over the theory of Democritus of Abdera (d. c. B.C.E. 370) which considered man as a reduced model of the universe (microcosm), and the universe as an enlarged copy of man (macrocosm). They regard the human being as a miniature world. (Netton, pp. 14-15) The individual souls (al-nafs al-juz’iyya), representing the infinite powers of the Universal Soul, began to form. During a very long time, these souls filled the world of spheres and constituted the angels, who animated heavenly bodies. In the early stage, the angels contemplated the Intellect and performed the worship due to God. After a lapse of time, some of these individual souls began to forget much about their origin and office. Their inattention caused the fall of the souls into the physical earth. This explains the metaphysical origin of life on earth.

5. References and Further Reading

  • De Callataÿ, Godefroid. “The Classification of the Sciences according to the rasa’il Ikhwan al-Safa’.”
  • Corbin, Henry. History of Islamic Philosophy. Translated from French by Liadian Sherrad and Philipp Sherrad. London: Kegan Paul International, 1993: 133-136.
  • Fakhry, Majid. A history of Islamic Philosophy. Second Edition. New York: Columbia University Press, 1983.
  • Farrukh, Omar A. “Ikhwan al-Safa’.” In A History of Muslim Philosophy. Edited and Introduced by M.M. Sharif. Wiesabaden: Otta Harrassowitz, (1963): 289-310.
  • Hamdani, Abbas. “Abu Hayyan al-Tawhidi and the Brethren of Purity.” International Journal of Middle East Studies, Vol. 9 (1978): 345-353.
  • Ikhwan al-Safa’. Rasa’il Ikhwan al-Safa’ (Epistles of the Brethren of Purity). Beirut: Dar Sadir, 4 vols., 1957 (The complete text of the fifty-two epistles in the original edited by Arabic Butrus Bustani).
  • Ikhwan al-Safa’. Al-Risala al-Jami’a. Edited by J. Saliba. Damascus, vol. 1, 1387/1949, vol. 2 n:d.
  • Maquet, Yves. “Ikhwan al-Safa’.” Encyclopaedia of Islam. Vol. 3 (1971): 1071-1076.
  • Marquet, Yves. La philosophie des Ihwan al-Safa’. Algers: Société Nationale d’Édition et de Diffusion, 1975.
  • Marquet, Yves. “Les Épîtres des Ikhwan as-Safa’, œuvre ismaïlienne.” Studia Islamica. Vol. 61 (1985): 57-79.
  • Marquet, Yves. “Ihwan as-Safa’, Ismaïliens et Qarmates.” Arabica. Vol. 24 (1977): 233-257.
  • Marquet, Yves. “Les Ihwan as-Safa’ et l’ismaïlisme.” In Convegne sugli Ikhwan as-Safa’. Rome, 1971.
  • Marquet, Yves. La Philosophie des alchimistes et l’alchimie des philosophes: Jabir ibn Hayyan et les Ihwan al-Safa’. Paris: Maisonneuve et Larose, 1988.
  • Poonawala, Ismail K. “Ikhwan al-safa’.” Vol. 7. The Encyclopedia of Religion. (1987): 92-95.
  • Nasr, Seyyed Hossein. Islamic Cosmological Doctrines. London: Thames Hudson, 1978: 23-96.
  • Nasr, Seyyed Hossein and Mehdi Aminrazavi (ed.). An Anthology of Philosophy in Persia. Oxford: Oxford University Press, 2001: 201-279.
  • Netton, I.R. Muslim Neoplatonists: An Introduction to the Thought of the Brethren of Purity (Ikhwan al-Safa’). London: Allen & Unwin; 1982.
  • Steigerwald, Diana. “The Multiple Facets of Isma’ilism.” Sacred Web: A Journal of Tradition and Modernity. Vol. 9 (2002): 77-87.
  • Tamir, ‘Arif. La réalité des Ihwan as-Safa’ wa Hullan al Wafa’. Beirut, 1957.

Author Information

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

Ibn Rushd (Averroes) (1126—1198)

ibn RushdAbu al-Walid Muhammad ibn Ahmad ibn Rushd, better known in the Latin West as Averroes, lived during a unique period in Western intellectual history, in which interest in philosophy and theology was waning in the Muslim world and just beginning to flourish in Latin Christendom. Just fifteen years before his birth, the great critic of Islamic philosophy, al-Ghazzali (1058-1111), had died after striking a blow against Muslim Neoplatonic philosophy, particularly against the work of the philosopher Ibn Sina (Avicenna). From such bleak circumstances emerged the Spanish-Muslim philosophers, of which the jurist and physician Ibn Rushd came to be regarded as the final and most influential Muslim philosopher, especially to those who inherited the tradition of Muslim philosophy in the West.

His influential commentaries and unique interpretations on Aristotle revived Western scholarly interest in ancient Greek philosophy, whose works for the most part had been neglected since the sixth century. He critically examined the alleged tension between philosophy and religion in the Decisive Treatise, and he challenged the anti-philosophical sentiments within the Sunni tradition sparked by al-Ghazzali. This critique ignited a similar re-examination within the Christian tradition, influencing a line of scholars who would come to be identified as the “Averroists.”

Ibn Rushd contended that the claim of many Muslim theologians that philosophers were outside the fold of Islam had no base in scripture. His novel exegesis of seminal Quranic verses made the case for three valid “paths” of arriving at religious truths, and that philosophy was one if not the best of them, therefore its study should not be prohibited. He also challenged Asharite, Mutazilite, Sufi, and “literalist” conceptions of God’s attributes and actions, noting the philosophical issues that arise out of their notions of occasionalism, divine speech, and explanations of the origin of the world. Ibn Rushd strived to demonstrate that without engaging religion critically and philosophically, deeper meanings of the tradition can be lost, ultimately leading to deviant and incorrect understandings of the divine.

This article provides an overview of Ibn Rushd’s contributions to philosophy, emphasizing his commentaries, his original works in Islamic philosophy, and his lasting influence on medieval thought and the Western philosophical tradition.

Table of Contents

  1. Biography
  2. Note on Commentaries
  3. Philosophy and Religion
  4. Existence and Attributes of God
  5. Origin of the World
  6. Metaphysics
  7. Psychology
  8. Conclusion
  9. References and Further Reading a. Primary Sources
    b. Secondary Sources

1. Biography

Ibn Rushd was born in Cordova, Spain, to a family with a long and well-respected tradition of legal and public service. His grandfather, the influential Abdul-Walid Muhammad (d. 1126), was the chief judge of Cordova, under the Almoravid dynasty, establishing himself as a specialist in legal methodology and in the teachings of the various legal schools. Ibn Rushd’s father, Abdul-Qasim Ahmad, although not as venerated as his grandfather, held the same position until the Almoravids were ousted by the Almohad dynasty in 1146.

Ibn Rushd’s education followed a traditional path, beginning with studies in hadith, linguistics, jurisprudence and scholastic theology. The earliest biographers and Muslim chroniclers speak little about his education in science and philosophy, where most interest from Western scholarship in him lies, but note his propensity towards the law and his life as a jurist. It is generally believed that Ibn Rushd was influenced by the philosophy of Ibn Bajjah (Avempace), and perhaps was once tutored by him. His medical education was directed under Abu Jafar ibn Harun of Trujillo. His aptitude for medicine was noted by his contemporaries and can be seen in his major enduring work Kitab al-Kulyat fi al-Tibb (Generalities) This book, together with Kitab al-Taisir fi al-Mudawat wa al-Tadbir (Particularities) written by Abu Marwan Ibn Zuhr, became the main medical textbooks for physicians in the Jewish, Christian and Muslim worlds for centuries to come.

Ibn Rushd traveled to Marrakesh and came under the patronage of the caliph ‘Abd al-Mu’min, likely involved in educational reform for the dynasty. The Almohads, like the Almoravids they had supplanted, were a Northwest African Kharijite-influenced Berber reform movement. Founded in the theology of Ibn Tumart (1078-1139), who emphasized divine unity and the idea of divine promise and threat, he believed that a positive system of law could co-exist with a rational and practical theology. This led to the concept that law needed to be primarily based on revelation instead of the traditions of the jurists. Ibn Talmart’s theology affirmed that the existence and essence of God could be established through reason alone, and used that to posit an ethical legal theory that depended on a divine transcendence.

Ibn Rushd’s relationship with the Almohad was not merely opportunistic, (considering the support his father and grandfather had given to the Almoravids) for it influenced his work significantly; notably his ability to unite philosophy and religion. Sometime between 1159 and 1169, during one of his periods of residence in Marrakesh, Ibn Rushd befriended Ibn Tufayl (Abubacer), a philosopher who was the official physician and counselor to Caliph Abu Yaqub Yusuf, son of ‘Abd al-Mu’min. It was Ibn Tufayl who introduced Ibn Rushd to the ruler. The prince was impressed by the young philosopher and employed him first as chief judge and later as chief physician. Ibn Rushd’s legacy as the commentator of Aristotle was also due to Abu Yaqub Yusuf. Although well-versed in ancient philosophy, the prince complained about the challenge posed by the Greek philosopher’s texts and commissioned Ibn Rushd to write a series of commentaries on them.

Through most of Ibn Rushd’s service, the Almohads grew more liberal, leading eventually to their formal rejection of Ibn Talmart’s theology and adoption of Malikite law in 1229. Despite this tendency, public pressure against perceived liberalizing tendencies in the government led to the formal rejection of Ibn Rushd and his writings in 1195. He was exiled to Lucena, a largely Jewish village outside of Cordoba, his writings were banned and his books burned. This period of disgrace did not last long, however, and Ibn Rushd returned to Cordoba two years later, but died the following year. Doubts about Ibn Rushd’s orthodoxy persisted, but as Islamic interest in his philosophy waned, his writings found new audiences in the Christian and Jewish worlds.

2. Note on Commentaries

While this article focuses on Ibn Rushd’s own philosophical writings, a word about the significant number of commentaries he wrote is important. Ibn Rushd wrote on many subjects, including law and medicine. In law he outshone all his predecessors, writing on legal methodology, legal pronouncements, sacrifices and land taxes. He discussed topics as diverse as cleanliness, marriage, jihad and the government’s role with non-Muslims. As for medicine, in addition to his medical encyclopedia mentioned above, Ibn Rushd wrote a commentary on Avicenna’s medical work and a number of summaries on the works of Galen. Besides his own philosophical and theological work, Ibn Rushd wrote extensive commentaries on the texts of a wide range of thinkers. These commentaries provide interesting insights into how Ibn Rushd arrived at certain positions and how much he was authentically Aristotelian. Commissioned to explain Aristotle Ibn Rushd spent three decades producing multiple commentaries on all of Aristotle’s works, save his Politics, covering every subject from aesthetics and ethics to logic and zoology. He also wrote about Plato’s Republic, Alexander’s De Intellectu, the Metaphysics of Nicolaus of Damascus, the Isagoge of Porphyry, and the Almajest of Ptolemy. Ibn Rushd would often write more than one commentary on Aristotle’s texts; for many he wrote a short or paraphrase version, a middle version and a long version. Each expanded his examination of the originals and their interpretations by other commentators, such as Alexander of Aphrodisias, Themistius and Ibn Bajjah, The various versions were meant for readers with different levels of understanding.

Ibn Rushd’s desire was to shed the prevalent Neoplatonic interpretations of Aristotle, and get back to what the Greek thinker originally had intended to communicate. Of course, Ibn Rushd did not shy away from inserting his own thoughts into his commentaries, and his short paraphrase commentaries were often flexible interpretations. At times, in an effort to explain complex ideas in Aristotle, Ibn Rushd would rationalize the philosopher in directions that would not seem authentic to contemporary interpreters of Aristotle. Nevertheless, Ibn Rushd’s commentaries came to renew Western intellectual interest in Aristotle, whose works had been largely ignored or lost since the sixth century.

3. Philosophy and Religion

Until the eighth century, and the rise of the Mutazilite theology, Greek philosophy was viewed with suspicion. Despite the political support given to philosophy because of the Mutazilites and the early philosophers, a strong anti-philosophical movement rose through theological schools like the Hanbalites and the Asharites. These groups, particular the latter, gained public and political influence throughout the tenth and eleventh century Islamic world. These appealed to more conservative elements within society, to those who disliked what appeared to be non-Muslim influences. Ibn Rushd, who served a political dynasty that had come into power under a banner of orthodox reform while privately encouraging the study of philosophy, was likely sensitive to the increasing tensions that eventually led to his banishment. Though written before his exile his Decisive Treatise provides an apologetic for those theologians who charged philosophers with unbelief.

Ibn Rushd begins with the contention that Law commands the study of philosophy. Many Quranic verses, such as “Reflect, you have a vision” (59.2) and “they give thought to the creation of heaven and earth” (3:191), command human intellectual reflection upon God and his creation. This is best done by demonstration, drawing inferences from accepted premises, which is what both lawyers and philosophers do. Since, therefore, such obligation exists in religion, then a person who has the capacity of “natural intelligence” and “religious integrity” must begin to study philosophy. If someone else has examined these subjects in the past, the believer should build upon their work, even if they did not share the same religion. For, just as in any subject of study, the creation of knowledge is built successively from one scholar to the next. This does not mean that the ancients’ teachings should be accepted uncritically, but if what is found within their teachings is true, then it should not be rejected because of religion. (Ibn Rushd illustrated this point by citing that when a sacrifice is performed with the prescribed instrument, it does not matter if the owner of the instrument shares the same religion as the one performing the sacrifice.)

The philosopher, when following the proper order of education, should not be harmed by his studies, hence it is wrong to forbid the study of philosophy. Any harm that may occur is accidental, like that of the side effects of medicine, or from choking on water when thirsty. If serious harm comes from philosophical study, Ibn Rushd suggests that this is because the student was dominated by their passions, had a bad teacher or suffered some natural deficiency. Ibn Rushd illustrates this by quoting a saying of the Prophet Muhammad, when asked by a man about his brother’s diarrhea. The Prophet suggested that the brother should drink honey. When the man returned to say that his brother’s diarrhea had worsened, the Prophet replied, “Allah has said the truth, but your brother’s abdomen has told a lie” (Bukhari 7.71.588).

Not all people are able to find truth through philosophy, which is why the Law speaks of three ways for humans to discover truth and interpret scripture: the demonstrative, the dialectical and the rhetorical. These, for Ibn Rushd, divide humanity into philosophers, theologians and the common masses. The simple truth is that Islam is the best of all religions, in that, consistent with the goal of Aristotelian ethics, it produces the most happiness, which is comprised of the knowledge of God. As such, one way is appointed to every person, consistent with their natural disposition, so that they can acquire this truth.

For Ibn Rushd, demonstrative truth cannot conflict with scripture (i.e. Qur’an), since Islam is ultimate truth and the nature of philosophy is the search for truth. If scripture does conflict with demonstrative truth, such conflict must be only apparent. If philosophy and scripture disagree on the existence of any particular being, scripture should be interpreted allegorically. Ibn Rushd contends that allegorical interpretation of scripture is common among the lawyers, theologians and the philosophers, and has been long accepted by all Muslims; Muslims only disagree on the extent and propriety of its use. God has given various meanings and interpretations, both apparent and hidden, to numerous scriptures so as to inspire study and to suit diverse intelligences. The early Muslim community, according to Ibn Rushd, affirmed that scripture had both an apparent meaning and an inner meaning. If the Muslim community has come to a consensus regarding the meaning of any particular passage, whether allegorical or apparent, no one can contradict that interpretation. If there is no consensus about a particular passage, then its meaning is free for interpretation. The problem is that, with the international diversity and long history of Islam, it is all but impossible to establish a consensus on most verses. For no one can be sure to have gathered all the opinions of all scholars from all times. With this in mind, according to Ibn Rushd, scholars like al-Ghazzali should not charge philosophers with unbelief over their doctrines of the eternity of the universe, the denial of God’s knowledge of particulars, or denial of bodily resurrection. Since the early Muslims accepted the existence of apparent and allegorical meanings of texts, and since there is no consensus on these doctrines, such a charge can only be tentative. Philosophers have been divinely endowed with unique methods of learning, acquiring their beliefs through demonstrative arguments and securing them with allegorical interpretation.

Therefore, the theologians and philosophers are not so greatly different, that either should label the other as irreligious. And, like the philosophers, the theologians interpret certain texts allegorically, and such interpretations should not be infallible. For instance, he contends that even the apparent meaning of scripture fails to support the theologian’s doctrine of creation ex nihilo. He highlights texts like 11:7, 41:11 and 65:48, which imply that objects such as a throne, water and smoke pre-existed the formation of the world and that something will exist after the End of Days.

A teacher, then, must communicate the interpretation of scripture proper for his respective audiences. To the masses, Ibn Rushd cautions, a teacher must teach the apparent meaning of all texts. Higher categories of interpretations should only be taught to those who are qualified through education. To teach the masses a dialectical or demonstrative interpretation, as Ibn Rushd contends Ghazzali did in his Incoherence, is to hurt the faith of the believers. The same applies to teaching a theologian philosophical interpretations.

4. Existence and Attributes of God

Ibn Rushd, shortly after writing his Decisive Treatise, wrote a treatise on the doctrine of God known as Al-Kashf ‘an Manahij al-Adilla fi ‘Aqaid al-Milla (the Exposition of the Methods of Proof Concerning the Beliefs of the Community). His goal was to examine the religious doctrines that are held by the public and determine if any of the many doctrines expounded by the different sects were the intention of the “lawgiver.” In particular he identifies four key sects as the targets of his polemic, the Asharites, Mutazilites, the Sufis and the “literalists,” claiming that they all have distorted the scriptures and developed innovative doctrines not compatible with Islam. Ibn Rushd’s polemic, then, becomes a clear expression of his doctrine on God. He begins with examining the arguments for the existence of God given by the different sects, dismissing each one as erroneous and harmful to the public. Ibn Rushd contends that there are only two arguments worthy of adherence, both of which are found in the “Precious Book;” for example, surahs 25:61, 78:6-16 and 80:24-33. The first is the argument of “providence,” in which one can observe that everything in the universe serves the purpose of humanity. Ibn Rushd speaks of the sun, the moon, the earth and the weather as examples of how the universe is conditioned for humans. If the universe is, then, so finely-tuned, then it bespeaks of a fine tuner – God. The second is the argument of “invention,” stemming from the observation that everything in the world appears to have been invented. Plants and animals have a construction that appears to have been designed; as such a designer must have been involved, and that is God.

From establishing the existence of God, Ibn Rushd turns to explaining the nature and attributes of God. Beginning with the doctrine of divine unity, Ibn Rushd challenges the Asharite argument that there cannot, by definition, be two gods for any disagreement between them would entail that one or both cannot be God. This, of course, means that, in the case of two gods, at least one’s will would be thwarted in some fashion at some time by the other; and such an event would mean that they are not omnipotent, which is a essential trait of deity. Ibn Rushd’s critique turns the apologetic on its head, contending that if there were two gods, there is an equal possibility of both gods working together, which would mean that both of their wills were fulfilled. Furthermore, Ibn Rushd adds, even disagreement would not thwart divine will, for alternatives could occur giving each god its desire. Such arguments lead to absurdity and are not fit for the masses. The simple fact is that reason affirms divine unity, which, by definition, is a confession of God’s existence and the denial of any other deity.

Ibn Rushd maintains, as did most of his theologian contemporaries that there are seven divine attributes, analogous to the human attributes. These attributes are: knowledge, life, power, will, hearing, vision and speech. For the philosopher, the attribute of knowledge occupied much space in his writing on the attributes of God. He contends, especially in his Epistle Dedicatory and his Decisive Treatise that divine knowledge is analogous to human knowledge only in name, human knowledge is the product of effect and divine knowledge is a product of cause. God, being the cause of the universe, has knowledge based on being its cause; while humans have knowledge based on the effects of such causes.

The implication of this distinction is important, since Ibn Rushd believes that philosophers who deny God’s knowledge of particulars are in error. God knows particulars because he is the cause of such things. But this raises an important question: does God’s knowledge change with knowledge of particulars? That is, when events or existents move from non-existence to existence, does God’s knowledge change with this motion? Change in divine knowledge would imply divine change, and for medieval thinkers it was absurd to think that God was not immutable.

Ghazzali answered this dilemma by saying that God’s knowledge does not change, only his relationship with the object. Just like a person sitting with a glass of water on their left side does not fundamentally change when that same glass is moved to their right side. Ibn Rushd felt that Ghazzali’s answer did not solve the dilemma, stating that a change in relationship is still change. For Ibn Rushd, then, the solution came in his contention that divine knowledge is rooted in God being the eternal Prime Mover—meaning that God eternally knows every action that will be caused by him. God, therefore, does not know that event when it occurs, as humans would, because he has always known it.

As for the other traits, Ibn Rushd next turns to the attribute of life, simply stating that life necessarily flows from the attribute of knowledge, as evidenced in the world around us. Divine will and power are defined as essential characteristics of God, characteristics that define God as God. This is because the existence of any created being implies the existence of an agent that willed its existence and had the power to do so. (The implication of this, Ibn Rushd notes, is that the Asharite concept that God had eternally willed the existence of the world, but created it at some particular point in time, is illogical.)

In regards to divine speech, Ibn Rushd is aware of the great theological debate in Islam about whether the Qur’an, the embodiment of God’s speech, is temporally created or eternal. Ibn Rushd contends that the attribute of divine speech is affirmed because it necessarily flows from the attributes of knowledge and power, and speech is nothing more than these. Divine speech, Ibn Rushd notes, is expressed through intermediaries, whether the work of the angels or the revelations given to the prophets. As such, “the Qur’an…is eternal but the words denoting it are created by God Almighty, not by men.” The Qur’an, therefore, differs from words found elsewhere, in that the words of the Qur’an are directly created by God, while human words are our own work given by God’s permission.

Ibn Rushd concludes by discussing divine hearing and vision, and notes that scripture relates these attributes to God in the sense that he perceives things in existing things that are not apprehended by the intellect. An artisan would know everything in an artifact he had created, and two means of this knowledge would be sight and sound. God, being God, would apprehend all things in creation through all modes of apprehension, and as such would have vision and hearing.

5. Origin of the World

Turning from the attributes of God to the actions of God, where he delineates his view of creation, Ibn Rushd in his Tahafut al-Tahafut clearly deals with the charge against the philosopher’s doctrine on the eternity of the physical universe in his polemic against al-Ghazzali. Ghazzali perceived that the philosophers had misunderstood the relationship between God and the world, especially since the Qur’an is clear on divine creation. Ghazzali, sustaining the Asharite emphasis on divine power, questioned why God, being the ultimate agent, could not simply create the world ex nihilo and then destroy it in some future point in time? Why did there need to be some obstacle to explain a delay in God’s creative action? In response to this, Ghazzali offered a number of lengthy proofs to challenge the philosopher’s assertions.

Ibn Rushd, who often labeled Ghazzali’s arguments dialectical, sophistical or feeble, merely replied that the eternal works differently than the temporal. As humans, we can willfully decide to perform some action and then wait a period of time before completing it. For God, on the other hand, there can be no gap between decision and action; for what differentiates one time from another in God’s mind? Also, what physical limits can restrict God from acting? Ibn Rushd, in the first discussion, writes about how Ghazzali confused the definition of eternal and human will, making them univocal. For humans, the will is the faculty to choose between two options, and it is desire that compels the will to choose. For God, however, this definition of will is meaningless. God cannot have desire because that would entail change within the eternal when the object of desire was fulfilled. Furthermore, the creation of the world is not simply the choice between two equal alternatives, but a choice of existence or non-existence. Finally, if all the conditions for action were fulfilled, there would not be any reason for God not to act. God, therefore, being omniscient and omnipotent would have known from the eternal past what he had planned to create, and without limit to his power, there would no condition to stop the creation from occurring.

Ghazzali’s argument follows the typical Asharite kalam cosmological argument, in that he argues the scientific evidence for the temporal origin of the world, and reasons from that to the existence of a creator. Ghazzali’s first proof contends that the idea of the infinite number of planetary revolutions as an assumption of the eternity of the world is erroneous since one can determine their revolution rates and how much they differ when compared one to another. Ibn Rushd weakly maintains that the concept of numbered planetary revolutions and their division does not apply to eternal beings. To say that the eternal can be divided is absurd since there can be no degrees to the infinite. Oliver Leaman explains how Ibn Rushd accepted accidental but not essential infinite series of existents. There can be an infinite chain of human sexual generation, but those beings that are essentially infinite have neither beginning nor end and thus cannot be divided.

In his Decisive Treatise Ibn Rushd summarily reduces the argument between the Asharite theologians and the ancient philosophers to one of semantics. Both groups agree that there are three classes of being, two extremes and one intermediate being. They agree about the name of the extremes, but disagree about the intermediate class. One extreme is those beings that are brought into existence by something (matter), from something other than itself (efficient cause) and originate in time. The second, and opposite, class is that which is composed of nothing, caused by nothing and whose existence is eternal; this class of being is demonstratively known as God. The third class, is that which is comprised of anything or is not preceded by time, but is brought into existence by an agent; this is what is known as the world. Theologians affirm that time did not exist before the existence of the world, since time is related to the motion of physical bodies. They also affirm that the world exists infinitely into the future. As such, since the philosophers accept these two contentions, the two groups only disagree on the existence of the world in the eternal past.

Since the third class relates to both the first and second classes, the dispute between the philosophers and the theologians is merely how close the third class is to one of the other two classes. If closer to the first class, it would resemble originated beings; if closer to the second class, it would resemble more the eternal being. For Ibn Rushd, the world can neither be labeled pre-eternal nor originated, since the former would imply that the world is uncaused and the latter would imply that the world is perishable.

Ibn Rushd finds pre-existing material forms in Quranic texts such as 11:9, where he maintains that one finds a throne and water pre-existing the current forms of the universe; he contends that the theologians’ interpretation of such passages are arbitrary. This is because nowhere in the Qur’an is the idea of God existing as pure being before the creation of the world to be found.

The debate for Ibn Rushd and Ghazzali centers, ultimately, upon the idea of causation. Ghazzali, the dedicated Asharite, wants to support the position that God is the ultimate cause of all actions; that no being in the universe is the autonomous cause of anything. For instance, a spark put on a piece of wood does not cause fire; rather God causes the fire and has allowed the occasion of spark and wood to be the method by which he creates fire. God, if he so desired, could simply will fire not to occur when a spark and wood meet. For Ghazzali, this is the explanation of the occurrence of miracles: divine creative actions that suspend laws habitually accepted by humans. Ghazzali, in his Tahafut, speaks of the decapitated man continuing to live because God willed it so.

Ibn Rushd, the consummate Aristotelian, maintains in his Tahafut Aristotle’s contention that a full explanation of any event or existence needs to involve a discussion of the material, formal, efficient and final cause. Ibn Rushd, then, insists that Ghazzali’s view would be counter-productive to scientific knowledge and contrary to common-sense. The universe, according to the human mind, works along certain causal principles and the beings existing within the universe contain particular natures that define their existence; if these natures, principles and characteristics were not definitive, then this would lead to nihilism (i.e. the atheistic materialists found in the Greek and Arab worlds). As for the idea of cause and effect being a product of habitual observation, Ibn Rushd asks if such observations are a product of God’s habit or our own observations. It cannot, he asserts, be the former, since the Qur’an speaks of God’s actions as unalterable. If the latter, the idea of habit applies only to animate beings, for the habitual actions of inanimate objects are tantamount to physical laws of motion.

6. Metaphysics

Metaphysics, for Ibn Rushd, does not simply deal with God or theology; rather it concerns itself with different classes of being and the analogical idea of being. It is, thus, a science that distinguishes inferior classes of being from real being. Ibn Rushd, the adamant Aristotelian, puts his own slant on Aristotle’s metaphysics. Ibn Rushd’s classification of being begins with accidental substances, which are physical beings, then moves to being of the soul / mind and finally discusses whether the substance existing outside the soul, such as the sphere of the fixed stars, is material or immaterial. This hierarchy, notes Charles Genequand, differs from Aristotle’s hierarchy of material beings, beings of the soul / mind and unchangeable entities. The first and third categories of both thinkers are somewhat similar in that they encompass a straight demarcation between material and immaterial being. Ibn Rushd’s second class of being, however, includes both universals and mathematical beings; and as such cannot be the bridge between physics and metaphysics as it is in Aristotle. Rather, he contended that all autonomous beings, whether material or not, constitute a single category. This was likely a response to the more materialistic interpretations of Aristotle, such as that of Alexander of Aphrodisias, for Ibn Rushd did not see physics and the metaphysical at opposite sides of the spectrum.

Substance, not beings of the mind, was the common link between physics and metaphysics for Ibn Rushd. Substance, therefore, has an ontological, though not necessarily temporal, priority over other parts of being. Since, then, metaphysics covers both sensible and eternal substances, its subject matter overlaps with that of physics. In the cosmos, then, there are two classes of eternal things, the essentially eternal and the numerically eternal. This division represents the separation between the celestial realm and the physical universe, where the living beings in the latter are bound to an eternal cycle of generation and corruption, while the former are immortal animals. Ibn Rushd does not contend that celestial bodies cause the world, rather the motion of these bodies are the “principle” of what occurs on earth.

This point is more fully developed in Ibn Rushd’s discussion regarding spontaneous generation: the idea that certain beings are created by external agents without being subject to the cycle of generation and corruption. This was a common subject of debate throughout later Greek and medieval philosophy. If beings like insects spontaneously generated from rotting food are externally generated, therein lies proof for a created universe and Asharite occasionalism, neither of which Ibn Rushd maintains. His solution is the Aristotelian doctrine of emanation, which states that no being is created but merely is the principle that unites matter and form. Since Ibn Rushd asserts that physical generation is the product of both seed, which contains forms in potentiality, and solar heat, the sun being a heavenly being; spontaneous generation, in which the seed is absent, is merely the effect of solar heat upon the basic elements (i.e. earth and water).

In the cosmological sphere, according to physics, one finds things that are both moving and moved at once and things that are only moved. Therefore, there must be something that imparts motion but is never moved; this is the Prime Mover (i.e. God). Physics, thus, provides the proof for the existence of a Prime Mover, and metaphysics is concerned with the action of this mover. The Prime Mover is the ultimate agent for Ibn Rushd and it must be eternal and pure actuality. It did not merely push the universe into existence and remain idle thereafter, for the universe would slip into chaos. Ibn Rushd acknowledges that the idea of actuality being essentially prior to potentiality counters common sense, but to accept the opposite would entail the possibility of spontaneous movement or negation of movement within the universe.

How, then, is the Prime Mover the principle of motion and causation in the cosmos without being moved itself? Ibn Rushd contends that the Prime Mover moves the cosmos, particularly the celestial bodies, by being the object of desire. Celestial beings have souls, which possess the higher power of intellect and desire, and these beings desire the perfection of God, thereby they move accordingly. Desire in the celestial beings, according to Ibn Rushd, is not the real faculty it is in humans. Since these beings have no sense perception, desire is united with intellect causing a desire for what rationally is perfection – the Prime Mover.

Ibn Rushd rejects the Arab Neoplatonic doctrine of emanation because it simply implies a temporal succession of one being producing another, which is impossible for eternal beings. By this rejection, however, Ibn Rushd recognizes a problem within his system. If God is intellectually present within the celestial bodies, there is no need for them to move in an effort to acquire this perfection. Ibn Rushd responds with an analogy of a cabinet-maker, who has the idea of a cabinet existing in his mind, but his body needs to move in order to imprint this idea upon matter. Celestial beings move in likewise matter, in order to obtain perfection, which produces the physical universe. Furthermore, this effort to obtain perfection in the celestial bodies, which is in imitation of God, effects the order of the universe.

With the Prime Mover, the celestial bodies and the physical world, Ibn Rushd has a three level cosmological view. He illustrates his cosmological order by using the analogy of the state, where everyone obeys and imitates the king. All smaller social units in the kingdom, like the family, are subordinate to the head, which is ultimately under the authority of the king. There is a hierarchy among the spheres of celestial beings, based on their “nobility” (sharaf) and not, as Avicenna held, on their order in emanation. Of course, the order of nobility parallels emanation’s order, for the hierarchical order is that which we see in the universe, the fixed stars, the planets, the moon and the earth. Like a king, the Prime Mover imparts motion only to the First Body (the sphere of the fixed stars), which becomes the intermediary for the other bodies. This leads to the other spheres (i.e. planets) to desire both the Prime Mover and the First Body, which, according to Ibn Rushd, explains how the celestial bodies move from east to west at one time and from west to east at another time. It is the desire of one that moves the planets in one way, and the desire of the other that moves them in the opposite direction.

Ultimately, as H. Davidson notes, Ibn Rushd has a cosmos in which the earth is its physical center. Surrounding the earth, at different levels, are the celestial spheres, which contain celestial bodies (e.g. the sun, moon, stars and planets), which all revolve around the earth. The motion of these spheres is attributed to immortal intelligences, governed by a primary immutable and impersonal cause. Each sphere exists in its own right, though somehow the intelligence is caused by the Prime Mover, and it is through their contemplation of the Prime Mover they receive perfection equivalent to the position they hold in the cosmological hierarchy. As such, God no longer is restricted to being a cause of one thing. The active intellect is the last sphere in the hierarchy, but is not the product of another, and like the other intelligences its cognition is fixed on God. This idea has significant influence on Ibn Rushd’s doctrine of the human soul and intellect.

7. Psychology

Like Aristotle, Ibn Rushd views the study of the psyche as a part of physics, since it is related specifically to the generable and corruptible union of form and matter found in the physical world and passed from generation to generation through the seed and natural heat. Ibn Rushd’s views on psychology are most fully discussed in his Talkbis Kitab al-Nafs (Aristotle on the Soul). Here Ibn Rushd, as M. Fakhry comments, divided the soul into five faculties: the nutritive, the sensitive, the imaginative, the appetitive and the rational. The primary psychological faculty of all plants and animals is the nutritive or vegetative faculty, passed on through sexual generation, as noted above. The remaining four higher faculties are dependent on the nutritive faculty and are really perfections of this faculty, the product of a nature urging to move higher and higher.

The nutritive faculty uses natural heat to convert nutrients from potentiality to actuality, which are essential for basic survival, growth and reproduction of the living organism. , This faculty is an active power which is moved by the heavenly body (Active Intellect). Meanwhile, the sensitive faculty is a passive power divided into two aspects, the proximate and the ultimate, in which the former is moved within the embryo by the heavenly body and the latter is moved by sensible objects. The sensitive faculty in finite, in that it is passive, mutable, related to sensible forms and dependent upon the animal’s physical senses (e.g. touch or vision). A part of these senses, notes Fakhry, is the sensus communis, a sort of sixth sense that perceives common sensibles (i.e. objects that require more than one sense to observe), discriminates among these sensibles, and comprehends that it perceives. Benmakhlouf notes that the imaginative faculty is dependent on the sensitive faculty, in that its forms result from the sensible forms, which Fakhry contends are stored in sensus communis. It differs from the sensitive faculty, however, by the fact that it “apprehends objects which are no longer present…its apprehensions are often false or fictitious,” and it can unite individual images of objects perceived separately. Imagination is not opinion or reasoning, since it can conceive of unfalsified things and its objects are particular not universal, and may be finite because it is mutable (moving from potentiality to actuality by the forms stored in the sensus communis). The imaginative faculty stimulates the appetitive faculty, which is understood as desire, since it imagines desirable objects. Fakhry adds that the imaginative and appetitive faculties are essentially related, in that it is the former that moves the latter to desire or reject any pleasurable or repulsive object.

The rational faculty, seen as the capstone of Ibn Rushd’s psychology by Fakhry, is unlike the imaginative faculty, in that it apprehends motion in a universal way and separate from matter. It has two divisions, the practical and theoretical, given to humans alone for their ultimate moral and intellectual perfection. The rational faculty is the power that allows humanity to create, understand and be ethical. The practical is derived from the sensual and imaginative faculties, in that it is rooted in sensibles and related to moral virtues like friendship and love. The theoretical apprehends universal intelligibles and does not need an external agent for intellectualization, contrary to the doctrine of the Active Intellect in Neoplatonism.

In its effort to achieve perfection, the rational faculty moves from potentiality to actuality. In doing so it goes through a number of stages, know as the process of intellectation. Ibn Rushd had discerned, as seen in his Long Commentary on De Anima, five distinct meanings of the Aristotelian intellect. They were, first and foremost, the material (potential) and the active (agent) intellects.

There is evidence of some evolution in Ibn Rushd’s thought on the intellect, notably in his Middle Commentary on De Anima where he combines the positions of Alexander and Themistius for his doctrine on the material intellect and in his Long Commentary and the Tahafut where Ibn Rushd rejected Alexander and endorsed Themistius’ position that “material intellect is a single incorporeal eternal substance that becomes attached to the imaginative faculties of individual humans.” Thus, the human soul is a separate substance ontologically identical with the active intellect; and when this active intellect is embodied in an individual human it is the material intellect. The material intellect is analogous to prime matter, in that it is pure potentiality able to receive universal forms. As such, the human mind is a composite of the material intellect and the passive intellect, which is the third element of the intellect. The passive intellect is identified with the imagination, which, as noted above, is the sense-connected finite and passive faculty that receives particular sensual forms. When the material intellect is actualized by information received, it is described as the speculative (habitual) intellect. As the speculative intellect moves towards perfection, having the active intellect as an object of thought, it becomes the acquired intellect. In that, it is aided by the active intellect, perceived in the way Aristotle had taught, to acquire intelligible thoughts. The idea of the soul’s perfection occurring through having the active intellect as a greater object of thought is introduced elsewhere, and its application to religious doctrine is seen. In the Tahafut, Ibn Rushd speaks of the soul as a faculty that comes to resemble the focus of its intention, and when its attention focuses more upon eternal and universal knowledge, it become more like the eternal and universal. As such, when the soul perfects itself, it becomes like our intellect. This, of course, has impact on Ibn Rushd’s doctrine of the afterlife. Leaman contends that Ibn Rushd understands the process of knowing as a progression of detachment from the material and individual to become a sort of generalized species, in which the soul may survive death. This contradicts traditional religious views of the afterlife, which Ibn Rushd determines to be valuable in a political sense, in that it compels citizens to ethical behavior.

Elsewhere, Ibn Rushd maintains that it is the Muslim doctrine of the afterlife that best motivates people to an ethical life. The Christian and Jewish doctrines, he notes, are too focused upon the spiritual elements of the afterlife, while the Muslim description of the physical pleasures are more enticing. Of course, Ibn Rushd does not ultimately reject the idea of a physical afterlife, but for him it is unlikely.

A number of other problems remain in Ibn Rushd’s doctrine of the soul and intellect. For instance, if the material intellect is one and eternal for all humans, how is it divided and individualized? His immediate reply was that division can only occur within material forms, thus it is the human body that divides and individualizes the material intellect. Nevertheless, aside from this and other problems raised, on some of which Aquinas takes him to task, Ibn Rushd succeeded in providing an explanation of the human soul and intellect that did not involve an immediate transcendent agent. This opposed the explanations found among the Neoplatonists, allowing a further argument for rejecting Neoplatonic emanation theories. Even so, notes Davidson, Ibn Rushd’s theory of the material intellect was something foreign to Aristotle.

8. Conclusion

The events surrounding Ibn Rushd towards the end of his life, including his banishment, signaled a broader cultural shift in the Islamic world. Interest in philosophy was primarily among the elite: scholars, royal patrons and civil servants. Nevertheless, its presence among the ruling elite spoke of the diversity of what it meant to be “Muslim.” As interest in philosophy waned in the Muslim world after Ibn Rushd, his writings found new existence and intellectual vigor in the work of Christian and Jewish philosophers. The twelfth and thirteenth centuries saw an intellectual revival in the Latin West, with the first great universities being established in Italy, France and England. Within the walls of the University of Paris, a group of philosophers came to identify themselves with the Aristotelian philosophy presented by Ibn Rushd, particularly certain elements of its relation to religion. Later known as the “Averroists,” these Christian philosophers sparked a controversy within the Roman Catholic Church about the involvement of philosophy with theology. Averroists, their accusers charged, had promoted the doctrines of one intellect for all humans, denial of the immortality of the soul, claimed that happiness can be found in this life and promoted the innovative doctrine of “double truth”. Double truth, the idea that there are two kinds of truth, religious and philosophical, was not held by Ibn Rushd himself but was an innovation of the Averroists.

Among Jewish thinkers, however, Ibn Rushd had a more positive impact. His thoughts on Aristotle and the relationship between philosophy and religion, particularly revelation, inspired a renewed interest in the interpretation of scripture and the Jewish religion. Key Jewish philosophers, such as Maimonides, Moses Narboni and Abraham ibn Ezra, became associated with Ibn Rushd in the West, even though they took Ibn Rushd’s doctrines into novel directions. As such, Leaman notes, the category of a Jewish “Averroist” cannot be given to these philosophers, for their relationship with Ibn Rushd’s thought was one of critique and integration into their own philosophical systems. Nevertheless, without the work of the Spanish-Muslim philosopher, much of what occurred in medieval philosophy would have not existed. He became an example of how religions are dynamic and evolving traditions, often shaped by epistemological influences from other traditions.

9. References and Further Reading

a. Primary Sources

  • Ibn Rushd, with Commentary by Moses Narboni, The Epistle on the Possibility of Conjunction with the Active Intellect. K. Bland (trans.). (New York: Jewish Theological Seminary of America, 1982).
  • Ibn Rushd, Decisive Treatise & Epistle Dedicatory. C. Butterworth (trans.). (Provo: Brigham Young University Press, 2001).
  • Ibn Rushd, Faith and Reason in Islam [al-Kashf]. I. Najjar (trans.). (Oxford: Oneworld, 2001).
  • Ibn Rushd, Long Commentary on Aristotle’s De Anima. A. Hyman (trans.), Philosophy in the Middle Ages (Cambridge: Hackett, 1973).
  • Ibn Rushd, Middle Commentary on Aristotle’s Categories and De Interpretatione. C. Butterworth (trans.). (South Bend: St. Augustine’s Press, 1998).
  • Ibn Rushd, Tahafut al-Tahafut. S. Van Den Bergh (trans.). (Oxford: Oxford University Press, 1954).
  • Ibn Rushd, Treatise Concerning the Substance of the Celestial Sphere. A. Hyman (trans.), Philosophy in the Middle Ages (Cambridge: Hackett, 1973).

b. Secondary Sources

  • J. Al-Alawi, “The Philosophy of Ibn Rushd: the Evolution of the Problem of the Intellect in the works of Ibn Rushd.” Jayyusi, Salma Khadra (ed.), The Legacy of Muslim Spain, (Leiden: E.J. Brill, 1994).
  • R. Arnaldez, Ibn Rushd: A Rationalist in Islam (Notre Dame, IN: University of Notre Dame Press, 1998)
  • A. Benmakhlour, Ibn Rushd (Paris: Les Belles Lettres, 2000)
  • D. Black, “Ibn Rushd, the Incoherence of the Incoherence.” The Classics of Western Philosophy: a Reader’s Guide. Eds. Jorge Gracia, Gregory Reichberg and Bernard Schumacher (Oxford: Blackwell, 2003).
  • D. Black “Consciousness and Self-Knowledge in Aquinas’s Critique of Ibn Rushd’s Psychology.” Journal of the History of Philosophy 31.3 (July 1993): 23-59.
  • D. Black, “Memory, Time and Individuals in Ibn Rushd’s Psychology.” Medieval Theology and Philosophy 5 (1996): 161-187
  • H. Davidson, Alfarabi, Avicenna, and Ibn Rushd, on Intellect: Their Cosmologies, Theories of the Active Intellect and Theories of Human Intellect (New York: Oxford University Press, 1992).
  • C. Genequand, “Metaphysics.” History of Islamic Philosophy. S. Nasr and O. Leaman (eds.). (New York: Routledge, 2001).
  • M. Hayoun et A. de Libera, Ibn Rushd et l’Averroisme (Paris: Presses Universitaries de France, 1991).
  • A. Hughes, The Texture of the Divine: Imagination in Medieval Islamic and Jewish Thought (Bloomington: Indiana University Press, 2003)
  • M. Fakhry, A History of Islamic Philosophy (New York: Columbia University Press, 1983)
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Author Information

H. Chad Hillier
Email: chad.hillier@utoronto.ca
University of Toronto
Canada

Martin Heidegger (1889—1976)

Martin HeideggerMartin Heidegger is widely acknowledged to be one of the most original and important philosophers of the 20th century, while remaining one of the most controversial.  His thinking has contributed to such diverse fields as phenomenology (Merleau-Ponty), existentialism (Sartre, Ortega y Gasset), hermeneutics (Gadamer, Ricoeur), political theory (Arendt, Marcuse, Habermas), psychology (Boss, Binswanger, Rollo May), and theology (Bultmann, Rahner, Tillich). His critique of traditional metaphysics and his opposition to positivism and technological world domination have been embraced by leading theorists of postmodernity (Derrida, Foucault, and Lyotard). On the other hand, his involvement in the Nazi movement has invoked a stormy debate.  Although he never claimed that his philosophy was concerned with politics, political considerations have come to overshadow his philosophical work.

Heidegger’s main interest was ontology or the study of being. In his fundamental treatise, Being and Time, he attempted to access being (Sein) by means of phenomenological analysis of human existence (Dasein) in respect to its temporal and historical character. After the change of his thinking (“the turn”), Heidegger placed an emphasis on language as the vehicle through which the question of being can be unfolded. He turned to the exegesis of historical texts, especially of the Presocratics, but also of Kant, Hegel, Nietzsche and Hölderlin, and to poetry, architecture, technology, and other subjects. Instead of looking for a full clarification of the meaning of being, he tried to pursue a kind of thinking which was no longer “metaphysical.” He criticized the tradition of Western philosophy, which he regarded as nihilistic, for, as he claimed, the question of being as such was obliterated in it. He also stressed the nihilism of modern technological culture. By going to the Presocratic beginning of Western thought, he wanted to repeat the early Greek experience of being, so that the West could turn away from the dead end of nihilism and begin anew. His writings are notoriously difficult. Being and Time remains his most influential work.

Table of Contents

  1. Life and Works
  2. Philosophy as Phenomenological Ontology
  3. Dasein and Temporality
  4. The Quest for the Meaning of Being
  5. Overcoming Metaphysics
  6. From the First Beginning to the New Beginning
  7. From Philosophy to Political Theory
  8. Heidegger’s Collected Works
    1. Published Writings, 1910-1976
    2. Lectures from Marburg and Freiburg, 1919-1944
    3. Private Monographs and Lectures, 1919-1967
    4. Notes and Fragments

1. Life and Works

Heidegger was born on September 26, 1889 in Messkirch in south-west Germany to a Catholic family. His father worked as sexton in the local church. In his early youth, Heidegger was being prepared for the priesthood. In 1903 he went to the high school in Konstanz, where the church supported him with a scholarship, and then, in 1906, he moved to Freiburg. His interest in philosophy first arose during his high school studies in Freiburg when, at the age of seventeen, he read Franz Brentano’s book entitled On the Manifold Meaning of Being according to Aristotle. By his own account, it was this work that inspired his life-long quest for the meaning of being. In 1909, after completing the high school, he became a Jesuit novice, but was discharged within a month for reasons of health. He then entered Freiburg University, where he studied theology. However, because of health problems and perhaps because of a lack of a strong spiritual vocation, Heidegger left the seminary in 1911 and broke off his training for the priesthood. He took up studies in philosophy, mathematics, and natural sciences. It was also at that time that he first became influenced by Edmund Husserl. He studied Husserl’s Logical Investigations. In 1913 he completed a doctorate in philosophy with a dissertation on The Doctrine of Judgement in Psychologism under the direction of the neo-Kantian philosopher Heinrich Rickert.

The outbreak of the First World War interrupted Heidegger’s academic career only briefly. He was conscripted into the army, but was discharged after two months because of health reasons. Hoping to take over the chair of Catholic philosophy at Freiburg, Heidegger now began to work on a habilitation thesis, the required qualification for teaching at the university. His thesis, Duns Scotus’s Doctrine of Categories and Meaning, was completed in 1915, and in the same year he was appointed a Privatdozent, or lecturer. He taught mostly courses in Aristotelian and scholastic philosophy, and regarded himself as standing in the service of the Catholic world-view. Nevertheless, his turn from theology to philosophy was soon to be followed by another turn.

In 1916, Heidegger became a junior colleague of Edmund Husserl when the latter joined the Freiburg faculty. The following year, he married Thea Elfride Petri, a Protestant student who had attended his courses since the fall of 1915. His career was again interrupted by military service in 1918. He served for the last ten months of the war, the last three of those in a meteorological unit on the western front. Within a few weeks of his return to Freiburg, he announced his break with the “system of Catholicism” (January 9, 1919), got appointed as Husserl’s assistant (January 21, 1919), and began lecturing in a new, insightful way (February 7, 1919). His lectures on phenomenology and his creative interpretations of Aristotle would now earn him a wide acclaim. And yet, Heidegger did not simply become Husserl’s faithful follower. In particular, he was not captivated by the later developments of Husserl’s thought—by his neo-Kantian turn towards transcendental subjectivity and even less by his Cartesianism—but continued to value his earlier work, Logical Investigations. Laboring over the question of things themselves, Heidegger soon began a radical reinterpretation of Husserl’s phenomenology.

In 1923, with the support of Paul Natorp, Heidegger was appointed associate professor at Marburg University. Between 1923 and 1928, he enjoyed there the most fruitful years of his entire teaching career. His students testified to the originality of his insight and the intensity of his philosophical questioning. Heidegger extended the scope of his lectures, and taught courses on the history of philosophy, time, logic, phenomenology, Plato, Aristotle, Aquinas, Kant, and Leibniz. However, he had published nothing since 1916, a factor that threatened his future academic career. Finally, in February 1927, partly because of administrative pressure, his fundamental but also unfinished treatise, Being and Time, appeared. Within a few years, this book was recognized as a truly epoch-making work of 20th century philosophy. It earned Heidegger, in the fall of 1927, full professorship at Marburg, and one year later, after Husserl’s retirement from teaching, the chair of philosophy at Freiburg University. Although Being and Time is dedicated to Husserl, upon its publication Heidegger’s departure from Husserl’s phenomenology and the differences between two philosophers became apparent. In 1929, his next published works—“What is Metaphysics?,” “On the Essence of Ground,” and Kant and the Problem of Metaphysics—further revealed how far Heidegger had moved from neo-Kantianism and phenomenology of consciousness to his own phenomenological ontology.

Heidegger’s life entered a problematic and controversial stage with Hitler’s rise to power. In September 1930, Adolf Hitler’s National Socialist German Workers’ Party (NSDAP) became the second largest party in Germany, and on January 30, 1933 Hitler was appointed chancellor of Germany. Up to then virtually apolitical, Heidegger now became politically involved. On April 21, 1933, he was elected rector of the University of Freiburg by the faculty. He was apparently urged by his colleagues to become a candidate for this politically sensitive post, as he later claimed in an interview with Der Spiegel, to avoid the danger of a party functionary being appointed. But he also seemed to believe that he could steer the Nazi movement in the right direction. On May 3, 1933, he joined the NSDAP, or Nazi, party. On May 27, 1933, he delivered his inaugural rectoral address on The Self-Assertion of the German University.” The ambiguous text of this speech has often been interpreted as an expression of his support for Hitler’s regime. During his tenure as rector he produced a number of speeches in the Nazi cause, such as, for example, “Declaration of Support for Adolf Hitler and the National Socialist State” delivered in November 1933. There is little doubt that during that time, Heidegger placed the great prestige of his scholarly reputation at the service of National Socialism, and thus, willingly or not, contributed to its legitimization among his fellow Germans. And yet, just one year later, on April 23, 1934, Heidegger resigned from his office and took no further part in politics. His rectoral address was found incompatible with the party line, and its text was eventually banned by the Nazis. Because he was no longer involved in the party’s activities, Heidegger’s membership in the NSDAP became a mere formality. Certain restrictions were put on his freedom to publish and attend conferences. In his lecture courses of the late 1930s and early 1940s, and especially in the course entitled Hölderlin’s Hymnen “Germanien” und “Der Rein” (Hölderlin’s Hymns “Germania” and “The Rhine”) originally presented at the University of Freiburg during the winter semester of 1934/35, he expressed covert criticism of Nazi ideology. He came under attack of Ernst Krieck, semi-official Nazi philosopher. For some time he was under the surveillance of the Gestapo. His final humiliation came in 1944, when he was declared the most “expendable” member of the faculty and sent to the Rhine to dig trenches. Following Germany’s defeat in the Second World War, Heidegger was accused of Nazi sympathies. He was forbidden to teach and in 1946 was dismissed from his chair of philosophy. The ban was lifted in 1949.

The 1930s are not only marked by Heidegger’s controversial involvement in politics, but also by a change in his thinking which is known as “the turn” (die Kehre). In his lectures and writings that followed “the turn,” he became less systematic and often more obscure than in his fundamental work, Being and Time. He turned to the exegesis of philosophical and literary texts, especially of the Presocratics, but also of Kant, Hegel, Nietzsche and Hölderlin, and makes this his way of philosophizing. A recurring theme of that time was “the essence of truth.” During the decade between 1931 and 1940, Heidegger offered five courses under this title. His preoccupation with the question of language and his fascination with poetry were expressed in lectures on Hörderlin which he gave between 1934 and 1936. Towards the end of 1930s and the beginning of 1940s, he taught five courses on Nietzsche, in which he submitted to criticism the tradition of western metaphysics, described by him as nihilistic, and made allusions to the absurdity of war and the bestiality of his contemporaries. Finally, his reflection upon the western philosophical tradition and an endeavor to open a space for philosophizing outside it, brought him to an examination of Presocratic thought. In the course of lectures entitled An Introduction to Metaphysics, which was originally offered as a course of lectures in 1935, and can be seen as a bridge between earlier and later Heidegger, the Presocratics were no longer a subject of mere passing remarks as in Heidegger’s earlier works. The course was not about early Greek thought, yet the Presocratics became there the pivotal center of discussion. It is clear that with the evolution of Heidegger’s thinking in the 1930s, they gained in importance in his work. During the 1940s, in addition to giving courses on Aristotle, Kant and Hegel, Heidegger lectured extensively on Anaximander, Parmenides, and Heraclitus.

During the last three decades of his life, from the mid 1940s to the mid 1970s, Heidegger wrote and published much, but in comparison to earlier decades, there was no significant change in his philosophy. In his insightful essays and lectures, such as “What are Poets for?” (1946), “Letter on Humanism” (1947), “The Question Concerning Technology” (1953), “The Way to Language” (1959), “Time and Being” (1962), and “The End of Philosophy and the Task of Thinking” (1964), he addressed different issues concerning modernity, labored on his original philosophy of history—the history of being—and attempted to clarify his way of thinking after “the turn”. Most of his time was divided between his home in Freiburg, his second study in Messkirch, and his mountain hut in the Black Forest. But he escaped provincialism by being frequently visited by his friends (including, among the others, the political philosopher Hannah Arendt, the physicist Werner Heisenberg, the theologian Rudolf Bultmann, the psychologist Ludwig Binswanger) and by traveling more widely than ever before. He lectured on “What is Philosophy?” at Cerisy-la-Salle in 1955, and on “Hegel and the Greeks” at Aix-en-Provence in 1957, and also visited Greece in 1962 and 1967. In 1966, Heidegger attempted to justify his political involvement during the Nazi regime in an interview with Der Spiegel entitled “Only God Can Save Us”. One of his last teaching stints was a seminar on Parmenides that he gave in Zähringen in 1973. Heiddegger died on May 26, 1976, and was buried in the churchyard in Messkirch. He remained intellectually active up until the very end, working on a number of projects, including the massive Gesamtausgabe, the complete edition of his works.

2. Philosophy as Phenomenological Ontology

In order to understand Heidegger’s philosophy before “the turn”, let us first briefly consider his indebtedness to Edmund Husserl. As it has been mentioned, Heidegger was interested in Husserl from his early student years at the University of Freiburg when he read Logical Investigations. Later, when Husserl accepted a chair at Freiburg, Heidegger became his assistant. His debt to Husserl cannot be overlooked. Not only is Being and Time dedicated to Husserl, but also Heidegger acknowledges in it that without Husserl’s phenomenology his own investigation would not have been possible. How then is Heidegger’s philosophy related to the Husserlian program of phenomenology?

By “phenomenology” Husserl himself had always meant the science of consciousness and its objects; this core of sense pervades the development of this concept as eidetic, transcendental or constructive throughout his works. Following the Cartesian tradition, he saw the ground and the absolute starting point of philosophy in the subject. The procedure of bracketing is essential to Husserl’s “phenomenological reduction”—the methodological procedure by which we are led from “the natural attitude,” in which we are involved in the actual world and its affairs, to “the phenomenological attitude,” in which the analysis and detached description of the content of consciousness is possible. The phenomenological reduction helps us to free ourselves from prejudices and secure the purity of our detachment as observers, so that we can encounter “things as they are in themselves” independently of any presuppositions. The goal of phenomenology for Husserl is then a descriptive, detached analysis of consciousness, in which objects, as its correlates, are constituted.

What right does Husserl have to insist that the original mode of encounter with beings, in which they appear to us as they are as things in themselves, is the encounter of consciousness purified by phenomenological reduction and its objects? “Whence and how is it determined what must be experienced as the ‘things themselves’ in accordance with the principle of phenomenology?” These are pressing questions which Heidegger might well have asked. Perhaps because of his reverence for Husserl, he does not subject him to direct criticism in his fundamental work. Nevertheless, Being and Time is itself a powerful critique of the Husserlian phenomenology. Heidegger there gives attention to many different modes in which we exist and encounter things. He analyses the structures constitutive of things not only as they are encountered in the detached, theoretical attitude of consciousness, but also in daily life as “utensils” (Zuhandene) or in special moods, especially in anxiety (Angst). What is more, he exhibits there the structures that are constitutive of the particular kind of being which is the human being and which he calls “Dasein.” For Heidegger, it is not pure consciousness in which beings are originally constituted. The starting point of philosophy for him is not consciousness, but Dasein in its being.

The central problem for Husserl is the problem of constitution: How is the world as phenomenon constituted in our consciousness? Heidegger takes the Husserlian problem one step further. Instead of asking how something must be given in consciousness in order to be constituted, he asks: “What is the mode of being of that being in which the world constitutes itself?” In a letter to Husserl dated October 27, 1927, he states that the question of Dasein’s being cannot be evaded, as far as the problem of constitution is concerned. Dasein is that being in which any being is constituted. Further, the question of Dasein’s being directs him to the problem of being in general. The “universal problem of being,” he says in the same letter, “refers to that which constitutes and to that which is constituted.” While far from being dependent upon Husserl, Heidegger finds in his thought an inspiration leading him to the theme which has continued to draw his attention since his early years: the question of the meaning of being.

Phenomenology thus receives in Heidegger a new meaning. He conceives it more broadly, and more etymologically, than Husserl, as “letting what shows itself to be seen from itself, just as it shows from itself.” Husserl applies the term “phenomenology” to a whole philosophy. Heidegger takes it rather to designate a method. Since in Being and Time philosophy is described as “ontology” and has being as its theme, it cannot adopt its method from any of the actual sciences. For Heidegger the method of ontology is phenomenology. “Phenomenology,” he says, “is the way of access to what is to become the theme of ontology.” Being is to be grasped by means of the phenomenological method. However, being is always the being of a being, and accordingly, it becomes accessible only indirectly through some existing entity. Therefore, “phenomenological reduction” is necessary. One must direct oneself toward an entity, but in such a way that its being is thereby brought out. It is Dasein which Heidegger chooses as the particular entity to access being. Hence, as the basic component of his phenomenology, Heidegger adopts the Husserlian phenomenological reduction, but gives it a completely different meaning.

To sum up, Heidegger does not base his philosophy on consciousness as Husserl did. For him the phenomenological or theoretical attitude of consciousness, which Husserl makes the core of his doctrine, is only one possible mode of that which is more fundamental, namely, Dasein’s being. Although he agrees with Husserl that the transcendental constitution of the world cannot be unveiled by naturalistic or physical explanations, in his view it is not a descriptive analysis of consciousness that leads to this end, but the analysis of Dasein. Phenomenology for him is not a descriptive, detached analysis of consciousness. It is a method of access to being. For the Heidegger of Being and Time, philosophy is phenomenological ontology which takes its departure from the analysis of Dasein.

3. Dasein and Temporality

In everyday German language the word “Dasein” means life or existence. The noun is used by other German philosophers to denote the existence of any entity. However, Heidegger breaks the word down to its components “Da” and “Sein,” and gives to it a special meaning which is related to his answer to the question of who the human being is. He relates this question to the question of being. Dasein, that being which we ourselves are, is distinguished from all other beings by the fact that it makes issue of its own being. It stands out to being. As Da-sein, it is the site, “Da”, for the disclosure of being, “Sein.”

Heidegger’s fundamental analysis of Dasein from Being and Time points to temporality as the primordial meaning of Dasein’s being. Dasein is essentially temporal. Its temporal character is derived from the tripartite ontological structure: existence, thrownness, and fallenness by which Dasein’s being is described. Existence means that Dasein is potentiality-for-being (Seinkönnen); it projects its being upon various possibilities. Existence represents thus the phenomenon of the future. Then, as thrownness, Dasein always finds itself already in a certain spiritual and material, historically conditioned environment; in short, in the world, in which the space of possibilities is always somehow limited. This represents the phenomenon of the past as having-been. Finally, as fallenness, Dasein exists in the midst of beings which are both Dasein and not Dasein. The encounter with those beings, “being-alongside” or “being-with” them, is made possible for Dasein by the presence of those beings within-the-world. This represents the primordial phenomenon of the present. Accordingly, Dasein is not temporal for the mere reason that it exists “in time,” but because its very being is rooted in temporality: the original unity of the future, the past and the present. Temporality cannot be identified with ordinary clock time – with simply being at one point in time, at one “Now” after another—which for Heidegger is a derivative phenomenon. Neither does Dasein’s temporality have the merely quantitative, homogeneous character of the concept of time found in natural science. It is the phenomenon of original time, of the time which “temporalizes” itself in the course of Dasein’s existence. It is a movement through a world as a space of possibilities. The “going back” to the possibilities that have been (the past) in the moment of thrownness, and their projection in the resolute movement “coming towards” (the future) in the moment of existence, which both take place in “being with” others (the present) in the moment of fallenness, provide for the original unity of the future, the past, and the present which constitutes authentic temporality.

As authentically temporal, Dasein as potentiality-for-being comes towards itself in its possibilities of being by going back to what has been; it always comes towards itself from out of a possibility of itself. Hence, it comports itself towards the future by always coming back to its past; the past which is not merely past but still around as having-been. But in this “going back” to what it has been which is constitutive together with “coming towards” and “being with” for the unity of Dasein’s temporality, Dasein hands down to itself its own historical “heritage,” namely, the possibilities of being that have come down to it. As authentically temporal, Dasein is thus authentically historical. The repetition of the possibilities of existence, of that which has been, is for Heidegger constitutive for the phenomenon of original history which is rooted in temporality.

4. The Quest for the Meaning of Being

Throughout his long academic career, Heidegger was preoccupied with the question of the meaning of being. His first formulation of this question goes as far back as his high school studies, during which he read Franz Brentano’s book On the Manifold Meaning of Being in Aristotle. In 1907, the seventeen-year-old Heidegger asked: “If what-is is predicated in manifold meanings, then what is its leading fundamental meaning? What does being mean?” The question of being, unanswered at that time, becomes the leading question of Being and Time twenty years later. Surveying the long history of the meaning attributed to “being,” Heidegger notes that in the philosophical tradition it has generally been presupposed that being is at once the most universal concept, the concept indefinable in terms of other concepts, and the self-evident concept. In short, it is a concept that is mostly taken for granted. However, Heidegger claims that even though we seem to understand being, its meaning is still veiled in darkness. Therefore, we need to restate the question of the meaning of being.

In accordance with the method of philosophy which he employs in his fundamental treatise, before attempting to provide an answer to the question of being in general, Heidegger sets out to answer the question of the being of the particular kind of entity that is the human being, which he calls Dasein. The vivid phenomenological descriptions of Dasein’s being-in-the-world, especially Dasein’s everydayness and resoluteness toward death, have attracted many readers with interests related to existential philosophy, theology, and literature. The basic concepts such as temporality, understanding, historicity, repetition, and authentic or inauthentic existence were carried over into and further explored in his later works.  Still, from the point of view of the quest for the meaning of being, Being and Time was a failure and remained unfinished. As Heidegger himself admitted in his later essay, “Letter on Humanism” (1946), the third division of its first part, entitled “Time and Being,” was held back “because thinking failed in adequate saying of the turning and did not succeed with the help of the language of metaphysics.” The second part also remained unwritten.

“The turn” (Kehre) that occurs in the 1930’s is the change in Heidegger’s thinking mentioned above.  The consequence of “the turn” is not the abandoning of the leading question of Being and Time.  Heidegger stresses the continuity of his thought over the course of the change. Nevertheless, as “everything is reversed,” even the question concerning the meaning of Being is reformulated in Heidegger’s later work. It becomes a question of the openness, that is, of the truth, of being. Furthermore, since the openness of being refers to a situation within history, the most important concept in the later Heidegger becomes the history of being.

For a reader unacquainted with Heidegger’s thought, both the “question of the meaning of being” and the expression “history of being” sound strange. In the first place, such a reader may argue that when something is said to be, there is nothing expressed which the word “Being” could properly denote. Therefore, the word “being” is a meaningless term and the Heideggerian quest for the meaning of being is in general a misunderstanding. Secondly, the reader may also think that the being of Heidegger is no more likely to have a history than the being of Aristotle, so the “history of being” is a misunderstanding as well. Nevertheless, Heidegger’s task is precisely to show that there is a meaningful concept of being. “We understand the ‘is’ we use in speaking,” he claims, “although we do not comprehend it conceptually.” Therefore, Heidegger asks: Can being then be thought? We can think of beings: a table, my desk, the pencil with which I am writing, the school building, a heavy storm in the mountains . . . but being? If the being whose meaning Heidegger seeks seems so elusive, almost like no-thing, it is because it is not an entity. It is not something; it is not a being. “Being is essentially different from a being, from beings.” The “ontological difference,” the distinction between being (das Sein) and beings (das Seiende), is fundamental for Heidegger. The forgetfulness of being that, according to him, occurs in the course of Western philosophy amounts to the oblivion of this distinction.

The conception of the history of being is of central importance in Heidegger’s thought. Already in Being and Time its idea is foreshadowed as “the destruction of the history of ontology.” In Heidegger’s later writings the story is considerably recast and called the “history of being” (Seinsgeschichte). The beginning of this story, as told by Heidegger especially in the Nietzsche lectures, is the end, the completion of philosophy by its dissolution into particular sciences and nihilism—questionlessness of being, a dead end into which the West has run. Heidegger argues that the question of being would still provide a stimulus to the research of Plato and Aristotle, but it was precisely with them that the original experience of being of the early Greeks was covered over. The fateful event was followed by the gradual slipping away of the distinction between being and beings. Described variously by different philosophers, being was reduced to a being: to idea in Plato, substantia and actualitas in Medieval philosophy, objectivity in modern philosophy, and will to power in Nietzsche and contemporary thought. The task which the later Heidegger sets before himself is then to make a way back into the primordial beginning, so that the “dead end” can be replaced by a new beginning. And since the primordial beginning of western thought lies in ancient Greece, in order to solve the problems of contemporary philosophy and reverse the course of modern history, Heidegger ultimately turns for help to the Presocratics, the first western thinkers.

5. Overcoming Metaphysics

For the later Heidegger, “western philosophy,” in which there occurs forgetfulness of being, is synonymous with “the tradition of metaphysics.” Metaphysics inquires about the being of beings, but in such a way that the question of being as such is disregarded, and being itself is obliterated. The Heideggerian “history of being” can thus be seen as the history of metaphysics, which is the history of being’s oblivion. However, looked at from another angle, metaphysics is also the way of thinking that looks beyond beings toward their ground or basis. Each metaphysics aims at the fundamentum absolutum, the ground of such a metaphysics which presents itself indubitably. In Descartes, for example, the fundamentum absolutum is attained through the “Cogito” argument. Cartesian metaphysics is characterized by subjectivity because it has its ground in the self-certain subject. Furthermore, metaphysics is not merely the philosophy which asks the question of the being of beings. At the end of philosophy—i.e., in our present age where there occurs the dissolution of philosophy into particular sciences—the sciences still speak of the being of what-is as a whole. In the wider sense of this term, metaphysics is thus, for Heidegger, any discipline which, whether explicitly or not, provides an answer to the question of the being of beings and of their ground. In medieval times such a discipline was scholastic philosophy, which defined beings as entia creatum (created things) and provided them with their ground in ens perfectissimum (the perfect being), God. Today the discipline is modern technology, through which the contemporary human being establishes himself in the world by working on it in the various modes of making and shaping. Technology forms and controls the human position in today’s world. It masters and dominates beings in various ways.

“In distinction from mastering beings, the thinking of thinkers is the thinking of being.” Heidegger believes that early Greek thinking is not yet metaphysics. Presocratic thinkers ask the question concerning the being of beings, but in such a way that being itself is laid open. They experience the being of beings as the presencing (Anwesen) of what is present (Anwesende). Being as presencing means enduring in unconcealment, disclosing. Throughout his later works Heidegger uses several words in order rightly to convey this Greek experience. What-is, what is present, the unconcealed, is “what appears from out of itself, in appearing shows itself , and in this self-showing manifests.” It is the “emerging arising, the unfolding that lingers.” He describes this experience with the Greek words phusis (emerging dominance) and alêtheia (unconcealment). He attempts to show that the early Greeks did not “objectify” beings (they did not try to reduce them to an object for the thinking subject), but they let them be as they were, as self-showing rising into unconcealment. They experienced the phenomenality of what is present, its radiant self-showing. The departure of Western philosophical tradition from concern with what is present in presencing, from this unique experience that astonished the Greeks, has had profound theoretical and practical consequences.

According to Heidegger, the experience of what is present in presencing signifies the true, unmediated experience of “the things themselves” (die Sache selbst). We may recall that the call to “the things themselves” was included in the Husserlian program of phenomenology. By means of phenomenological description Husserl attempted to arrive at pure phenomena and to describe beings just as they were given independently of any presuppositions. For Heidegger, this attempt has, however, a serious drawback. Like the tradition of modern philosophy preceding him, Husserl stood at the ground of subjectivity. The transcendental subjectivity or consciousness was for him “the sole absolute being.” It was the presupposition that had not been accounted for in his program which aimed to be presuppositionless. Consequently, in Heidegger’s view, the Husserlian attempt to arrive at pure, unmediated phenomena fails. Husserl’s phenomenology departs from the original phenomenality of beings and represents them in terms of the thinking subject as their presupposed ground. By contrast, Heidegger argues, for the Presocratics, beings are grounded in being as presencing. Being, however, is not a ground. To the early Greeks, being, unlimited in its dis-closure, appears as an abyss, the source of thought and wonder. Being calls everything into question, casts the human being out of any habitual ground, and opens before him the mystery of existence.

The departure of western philosophical tradition from what is present in presencing results in metaphysics. Heidegger believes that today’s metaphysics, in the form of technology and the calculative thinking related to it, has become so pervasive that there is no realm of life that is not subject to its dominance. It imposes its technological-scientific-industrial character on human beings, making it the sole criterion of the human sojourn on earth. As it ultimately degenerates into ideologies and worldviews, metaphysics provides an answer to the question of the being of beings for contemporary men and women, but skillfully removes from their lives the problem of their own existence. Moreover, because its sway over contemporary human beings is so powerful, metaphysics cannot be simply cast aside or rejected. Any direct attempt to do so will only strengthen its hold. Metaphysics cannot be rejected, canceled or denied, but it can be overcome by demonstrating its nihilism. In Heidegger’s use of the term, “nihilism” has a very specific meaning. It refers to the forgetfulness of being. What remains unquestioned and forgotten in metaphysics is Being; hence, it is nihilistic.

According to Heidegger, Western humankind in all its relations with beings is sustained by metaphysics. Every age, every human epoch, no matter however different they may be—

Greece after the Presocratics, Rome, the Middle Ages, modernity—has asserted a metaphysics and, therefore, is placed in a specific relationship to what-is as a whole. Metaphysics inquires about the being of beings, but it reduces being to a being; it does not think of being as being. Insofar as being itself is obliterated in it, metaphysics is nihilism. The metaphysics of Plato is no less nihilistic than that of Nietzsche. Consequently, Heidegger tries to demonstrate the nihilism of metaphysics in his account of the history of being, which he considers as the history of being’s oblivion. His attempt to overcome metaphysics is not based on a common-sense positing of a different set of values or the setting out of an alternative worldview, but rather is related to his concept of history, the central theme of which is the repetition of the possibilities for existence. This repetition consists in thinking being back to the primordial beginning of the West—to the early Greek experience of being as presencing—and repeating this beginning, so that the Western world can begin anew.

6. From the First Beginning to the New Beginning

Many scholars perceive something unique in the Greek beginning of philosophy. It is commonly acknowledged that Thales and his successors asked generalized questions concerning what is as a whole, and proposed general, rational answers which were no longer based on a theological ground. However, Heidegger does not associate the unique beginning with the alleged discovery of rationality and science. In fact, he claims that both rationality and science are later developments, so that they cannot apply to Presocratic thought. In his view, the Presocratics ask: “What are beings as such as a whole?” and they answer: aletheia—unconcealment. They experience beings in their phenomenality: as what is present in presencing. But the later thought which begins with Plato and Aristotle is unable to keep up with the beginning. With Plato and Aristotle metaphysics begins and the history of being’s oblivion originates.

The aim which the later Heidegger sets before himself is precisely to return to the original experience of beings in being that stands at the beginning of Western thought. This unmediated experience of beings in their phenomenality can be variously described: what is present in presencing, the unconcealment of what is present, the original disclosure of beings. To repeat the primordial beginning more originally in its originality means to bring us back to the Presocratic experiences, to dis-close them, and to let them be as they originally are. But the repetition is not for the sake of the Presocratics themselves. Heidegger’s work is not a mere antiquarian, scholarly study of early Greek thinking, nor is it an affirmation of the long lost Greek way of life. It occurs within the perspective of nihilism and being’s forgetfulness, both unknown to the Greeks, and has as a goal the future possibilities for existence. It happens as the listening that opens itself out to the words of the Presocratics from our contemporary age, from the age of the world picture and representation, the world which is marked by the domination of technology and the oblivion of being. In the first beginning, the task of the Greeks was to ask the question “What are beings?,” and hence to bring beings as such as a whole to the first recognition and the most simple interpretation. In the end, the task is to make questionable what at the end of a long tradition of philosophy-metaphysics has been forgotten. The new beginning begins thus with the question of being.

From Being and Time (1927) where the question of the meaning of being is first developed, but still expressed in the language of metaphysics, to “Time and Being” (1962) where an attempt to think being without regard to metaphysics is made, Heidegger goes full circle. Heidegger begins by asking about the multiple meanings of being and ends up conceding its multiplicity and acknowledging that there are multiple determinations or meanings of being in which being discloses itself in history. Nevertheless, in neither of these meanings does being give itself fully. “As it discloses itself in beings, being withdraws.” There is an essential withdrawal of being. Therefore, the truth of being is none of its particular historical determinations—idea, substantia, actualitas, objectivity or the will to power. The truth of being can be defined as the openness, the free region which always out of sight provides the space of play for the different determinations of being and human epochs established in them. It is that which is before actual things and grants them a possibility of manifestation as what is present, ens creatum, and objects.

The truth of being, its openness, is for Heidegger not something which we can merely consider or think of. It is not our own production. It is where we always come to stand. We find ourselves thrown in a historically conditioned environment, in an epoch in which the decision concerning the prevailing interpretation of the being of being is already made for us. Yet, by asking the question of being, we can at least attempt to free ourselves from our historical conditioning. Heidegger’s program expressed in “The End of Philosophy and the Task of Thinking” (1964) consists solely in the character of thinking which does not attempt to dominate, but engages in disclosing and opening up what shows itself, emerges, and is manifest. When Heidegger urges us to stand in being, he does not merely ask us to acknowledge our own place in being’s history, but to be future-oriented and see the future in a unity with the past as having-been and the present. It means turning oneself into being in its disclosing withdrawal.

7. From Philosophy to Political Theory

Heidegger never claimed that his philosophy was concerned with politics. Nevertheless, there are certainly some political implications of his thought. He perceives the metaphysical culture of the West as a continuity. It begins with Plato and ends with modernity, and the dominance of science and technology. He thus implies in the post-modernist fashion that Nazism and the atom bomb, Auschwitz and Hiroshima, have been something like the “fulfillment” of the tradition of Western metaphysics and tries to distance himself from that tradition. He turns to the Presocratics in order to retrieve a pre-metaphysical mode of thought that would serve as a starting point for a new beginning. However, his grand vision of the essential history of the West and of western nihilism can be questioned. Modernity, whose development involves not only a technological but also a social revolution, which sets individuals loose from religious and ethnic communities, from parishes and family bonds, and which affirms materialistic values, can be regarded as a radical departure from earlier classical and Christian traditions. Contrary to Heidegger’s argument, rather than being a mere continuity, the “essential” history of the West can then be seen as a history of radical transformations. Christianity challenges the classical world, while assimilating some aspects of it, and is in turn challenged by modernity. Modernity overturns the ideas and values of the traditional (Christian and classical) culture of the West, and, once it becomes global, leads to the erosion of nonwestern traditional cultures.

Under the cover of immense speculative depth and rich ontological vocabulary full of intricate wordplay (both which make his writings extremely hard to follow) Heidegger expresses a simple political vision. He is a revolutionary thinker who denies the traditional philosophical division between theory and practice, and this is especially clear when he boldly declares in his Introduction to Metaphysics that “we have undertaken the great and lengthy task of demolishing a world that has grown old and of building it truly anew”. He wants to overturn the traditional culture of the West and build it anew on the basis of earlier traditions in the name of being. Like other thinkers of modernity, he adopts a Eurocentric perspective and sees the revival of German society as a condition for the revival of Europe (or the West), and that of Europe as a condition for the revival of for the whole world; like them, while rejecting God as an end, he attempts to set up fabricated ends for human beings. Ultimately, in the famous interview with Der Spiegel, he expresses his disillusionment with his project and says: “Philosophy will not be able to bring about a direct change of the present state of the world . . . The greatness of what is to be thought is too great.” Like being, which he describes as “disclosing self-concealing,” after making a disclosure he withdraws; after stirring up a revolution, he leaves all its problems to others. He says: “only a God can still save us,” but the God for whom, in the absence of philosophical thought, he now looks is clearly not that of the Christians or of any contemporary religion.

In the Spiegel interview Heidegger tells us that in order to begin anew, we need to go to the “age-old” (i.e., pre-classical and pre-metaphysical) traditions of thought. He invokes the concept of the ancient polis. Yet, since he does not want to concern himself with the question of ethics (beyond saying in the “Letter of Humanism” that the word “ethics appeared for the first time in the school of Plato” and thus implying that ethics does not think the truth of being and is nihilistic), he does not consider the fact that even in pre-Platonic and pre-Socratic times a Greek polis was an ethical community, in which moral questions were raised and discussed. The Iliad and Odyssey of Homer, the poems of Hesiod, and the tragedies of Sophocles, as well as the other ancient Greek texts, including the monumental political work of Thucydides, the History of the Peloponnesian War, express concerns with ethical behavior at both the individual and community levels. Furthermore, the strength of Western civilization, insofar as its roots can be traced to ancient Greece, is that from its beginning it was based on rationality, understood as free debate, and the affirmation of fundamental moral values. Whenever it turned to irrationality and moral relativism, as in Nazism and Communism, that civilization was in decline. Therefore, Heidegger is likely to be mistaken in his diagnosis of the ills of the contemporary society, and his solution to those ills seems to be wrong. Asking the question of being (and, drawing our attention to this question is certainly his significant contribution) is an important addition to, but never a replacement for asking moral questions in the spirit of rationality and freedom.

Heidegger claims that the human being as Da-sein can be understood as the “there” (Da) which being (Sein) requires in order to disclose itself. The human being is the unique being whose being has the character of openness toward Being. But men and women can also turn away from being, forget their true selves, and thus deprive themselves of their humanity. This is, in Heidegger’s view, the situation of contemporary humans, who have replaced authentic questioning concerning their existence with ready-made answers served up by ideologies, the mass media, and overwhelming technology. Consequently, Heidegger attempts to bring today’s men and women back to the question of being. At the beginning of the tradition of Western philosophy, the human being was defined as animal rationale, the animal endowed with reason. Since then, reason has become an absolute value which through education brings about a gradual transformation of all spheres of human life. It is not more reason in the modern sense of calculative thinking, Heidegger believes, that we need today, but more openness toward and more reflection on that which is nearest to us—being.

8. Heidegger’s Collected Works

Heidegger’s earlier publications and transcripts of his lectures are being brought out in Gesamtausgabe, the complete edition of his works. The Gesamtausgabe, which is not yet complete and projected to fill about one hundred volumes, is published by Vittorio Klostermann, Frankfurt am Main. The series consists of four divisions: (I) Published Writings 1910-1976; (II) Lectures from Marburg and Freiburg, 1919-1944; (III) Private Monographs and Lectures, 1919-1967; (IV) Notes and Fragments. Below there is a list of the collected works of Martin Heidegger. English translations and publishers are cited with each work translated into English.

a. Published Writings, 1910-1976

  • Frühe Schriften (1912-16).
  • Sein und Zeit (1927). Translated as Being and Time by John Macquarrie and Edward Robinson (Oxford: Basil Blackwell, 1978).
  • Kant und das Problem der Metaphysik (1929). Translated as Kant and the Problem of Metaphysics, by Richard Taft (Bloomington: Indiana University Press, 1997).
  • Erläuterungen zu Hölderlins Dichtung (1936-68). Translated as Elucidations of Hölderlin’s Poetry, by Keith Hoeller (Amherst, New York: Humanity Books, 2000).
  • Holzwege (1935-46).
    • Der Ursprung der Kunstwerkes.” Translated as “The Origin of the Work of Art,” by Albert Hofstadter, in Poetry, Language, Thought (New York: Harper & Row, 1971), and in Basic Writings (New York: Harper & Row, 1977, 1993).
    • Die Zeit des Weltbildes.” Translated as “The Age of the World Picture” by William Lovitt in The Question Concerning Technology and Other Essays (NewYork: Harper & Row, 1977).
    • Hegels Begriff der Erfahrung.”
    • Nietzsches Wort ‘Gott ist tot’.” Translated as “The Word of Nietzsche: ‘God Is Dead’” by William Lovitt in The Question Concerning Technology and Other Essays.
    • Wozu Dichter?.” Translated as “What Are Poets For?” by Albert Hofstadter, in Poetry, Language, Thought.
    • Der Spruch der Anaximander.” Translated as “The Anaximander Fragment” by David F. Krell and Frank A. Capuzzi in Early Greek Thinking (New York: Harper & Row, 1975).
  • Vol. I, Nietzsche I (1936-39). Translated as Nietzsche I: The Will to Power as Art by David F. Krell (New York: Harper & Row, 1979)
  • Vol. II, Nietzsche II (1939-46). Translated as “The Eternal Recurrence of the Same” by David F. Krell in Nietzsche II: The Eternal Recurrence of the Same (New York, Harper & Row, 1984).
  • Vorträge und Aufsätze (1936-53).
    • Die Frage nach der Technik.” Translated as “The Question Concerning Technology” by William Lovitt in The Question Concerning Technology and Other Essays.
    • Wissenschaft und Besinnung.” Translated as “Science and Reflection” by William Lovitt in The Question Concerning Technology and Other Essays.
    • Überwindung der Metaphysik.” Translated as “Overcoming Metaphysics” by Joan Stambaugh in The End of Philosophy (New York: Harper & Row, 1973).
    • Wer ist Nietzsches Zarathustra.” Translated as “Who is Nietzsche’s Zarathustra?” by David F. Krell in Nietzsche II: The Eternal Recurrence of the Same.
    • Bauen Wohnen Denken.” Translated as “Building Dwelling Thinking.”
    • Das Ding.” Translated as “The Thing” by Albert Hofstadter, in Poetry, Language, Thought.
    • …dichterisch wohnet der Mensch...” Translated as “…Poetically Man Dwells…” by Albert Hofstadter, in Poetry, Language, Thought.
    • Logos.” Translated as “Logos (Heraclitus, Fragment B 50)” by David F. Krell and Frank A. Capuzzi in Early Greek Thinking.
    • Moira.” Translated as “Moira (Parmenides VIII, 34-41)” by David F. Krell and Frank A. Capuzzi in Early Greek Thinking.
    • Aletheia.” Translated as “Aletheia (Heraclius, Fragment B 16)” by David F. Krell and Frank A. Capuzzi in Early Greek Thinking.
  • Was heisst Denken? (1951-52). Translated as What Is Called Thinking? by Fred D. Wieck and J. Glenn Gray (New York: Harper & Row, 1968).
  • Wegmarken (1919-58). Translated as Pathmarks. Edited by William McNeill (Cambridge: Cambridge University Press, 1998).
    • Contains: “Comments on Karl Jaspers’ Psychology of Worldviews” (1919/21), “Phenomenology and Theology” (1927), “From the Last Marburg Lecture Course” (1928), “What is Metaphysics?” (1929), “On the Essence of Ground” (1929), “On the Essence of Truth” (1930), “Plato’s Doctrine of Truth” (1931-1932, 1940), “On the Essence and Concept in Aristotle’s Physics B 1” (1939), “Postscript to ‘What is Metaphysics?’” (1943); “Letter on Humanism” (1946), “Introduction to ‘What is Metaphysics?’” (1949), “On the Question of Being” (1955), “Hegel and the Greeks” (1958), “Kant’s Thesis About Being” (1961).
  • Der Satz vom Grund (1955-56). Translated as The Principle of Reason by Reginald Lilly (Bloomington: Indiana University Press, 1991).
  • Identität und Differenz (1955-57). Translated as Identity and Difference by Joan Stambaugh (New York: Harper & Row, 1969).
  • Unterwegs zur Sprache (1950-59). Translated as On the Way to Language by Peter D. Hertz (New York: Harper & Row, 1971).
  • Aus der Erfahrung des Denkens (1910-76).
  • Zur Sache des Denkens (1962-64). Translated as On Time and Being by Joan Stambaugh (New York: Harper & Row, 1972). Contains: “Time and Being,” “The End of Philosophy and the Task of Thinking,” and “My Way to Phenomenology.”
  • Seminare (1951-73).
  • Reden und andere Zeugnisse eines Lebensweges (1910-1976).

b. Lectures from Marburg and Freiburg, 1919-1944

  • Der Beginn der neuzeitlichen Philosophie (winter semester, 1923-1924).
  • Aristoteles: Rhetorik (summer semester, 1924).
  • Platon: Sophistes (winter semester, 1924-1925). Translated as Plato’s Sophist by Richard Rojcewicz and Andre Schuwer (Bloomington, Indiana University Press, 1997).
  • Prolegomena zur Geschite des Zeitbegriffs (summer semester, 1925). Translated as History of the Concept of Time by Theodore Kisiel (Bloomington: Indiana University Press, 1985).
  • Logik: Die frage nach der Wahrheit (winter semester 1925-1926).
  • Grundbegriffe der antiken Philosophie (summer semester 1926).
  • Geschichte der Philosophie von Thomas v. Aquin bis Kant (winter semester 1926-1927).
  • Die Grundprobleme der Phänomenologie (summer semester 1927). Translated as The Basic Problems of Phenomonology by Albert Hofstadter (Bloomington: Indiana University Press, 1982).
  • Phänomenologie Interpretation von Kants Kritik der reinen Vernunft (winter semester 1927-1928). Translated as Phenomenological Interpretations of Kant’s Critique of Pure Reason by Parvis Emad and Kenneth Maly (Bloomington: Indiana University Press, 1997).
  • Metaphysische Anfangsgründe der Logik im Ausgang von Leibniz (summer semester, 1928). Translated as The Metaphysical Foundations of Logic by Michael Heim (Bloomington: Indiana University Press, 1984).
  • Einleitung in die Philosophie (winter semester 1928-1929).
  • Der Deutsche Idealismus (Fichte, Hegel, Schelling) und die philosophische Problemlage der Gegenwart (summer semester, 1929).
  • Die Grundbegriffe der Metaphysik: Welt-Endlichkeit-Einsamkeit (winter semester, 1929-1930). Translated as The Fundamental Concepts of Metaphysics by William McNeill and Nicholas Walker (Bloomington: Indiana University Press, 1995).
  • Vom Wesen der menschlichen Freiheit. Einleitung in die Philosophie (summer semester, 1930).
  • Hegels Phänomenologie des Geistes (winter semester, 1930-1931). Translated as Hegel’s Phenomenology of Spirit by Parvis Emad and Kenneth Maly (Bloomington: Indiana University Press, 1988).
  • Aristoteles: Metaphysik IX (summer semester, 1931). Translated as Aristotle’s Metaphysics Theta 1-3 On the Essence and Actuality of Force by Walter Brogan and Peter Warnek (Bloomington: Indiana University Press, 1995).
  • Vom Wesen der Wahrheit. Zu Platons Höhlengleichnis und Theätet (winter semester, 1931-1932).
  • Der Anfang der abendländischen Philosophie (Anaximander und Parmenides) (summer semester, 1932).
  • Sein und Wahrheit (winter semester, 1933-1934).
  • Logik als die Frage nach dem Wesen der Sprache (summer semester, 1934).
  • Hölderlins Hymnen “Germanien” und “Der Rhein” (winter semester, 1934-1935).
  • Einführung in die Metaphysik (summer semester, 1935). Translated as An Introduction to Metaphysics by Gregory Fried and Richard Polt (New Haven, Conn.: Yale University Press, 2000).
  • Die Frage nach dem Ding. Zu Kants Lehre von den transzendentalen Grundsätzen. (winter semester, 1935-1936). Translated as What Is a Thing by W. B. Barton, Jr. and Vera Deutsch, (Chicago: Henry Regnery Company, 1967).
  • Schelling: Vom Wesen der menschlichen Freiheit (1809) (summer semester, 1936). Translated as Schelling’s Treatise on the Essence of Human Freedom by Joan Stambaugh, (Athens: Ohio University Press, 1984).
  • Nietzsche: Der Wille zur Macht als Kunst (winter semester, 1936-1937). Translated as Nietzsche I: The Will to Power as Art by David F. Krell (New York, Harper & Row, 1979).
  • Nietzsches Metaphysische Grundstellung im abendländischen Denken: Die ewige Wiederkehr des Gleichen (summer semester, 1937). Translated as “The Eternal Recurrence of the Same” in Nietzsche II: The Eternal Recurrence of the Same by David F. Krell (New York: Harper & Row, 1984).
  • Grundfragen der Philosophie. Ausgewählte “Probleme” der “Logik” (winter semester, 1937-1938). Translated as Basic Questions of Philosophy by Albert Hofstadter (Bloomington: Indiana University Press, 1982).
  • Nietzsches II. Unzeitgemässe Betrachtung (winter semester, 1938-1939).
  • Nietzsches Lehre vom Willen zur Macht als Erkenntnis (summer semester, 1939). Translated as “The Will to Power as Knowledge” in Nietzsche III: The Will to Power as Knowledge and Metaphysics by Joan Stambaugh (New York, Harper & Row, 1987).
  • Nietzsche: Der europäische Nihilismus (second trimester, 1940).
  • Die Metaphysik des deutschen Idealismus. Zur erneuten auslegung von Schelling: Philosophische untersuchungen ueber das Wesen der menschlichen Freiheit und die damit zusammenhaengenden Gegenstaende (1809) (first trimester, 1941).
  • Nietzsches Metaphysik (1941-2). Einleitung in die Philosopie – Denken und Dichten (1944-5).
  • Grundbegriffe (summer semester, 1941). Translated as Basic Concepts by Gary Aylesworth (Bloomington: Indiana University Press, 1993).
  • Hölderlins Hymne “Andenken” (winter semester, 1941-1942).
  • Hölderlins Hymne “Der Ister” (summer semester, 1942). Translated as Hölderlin’s Hymn “The Ister” by William McNeill and Julia Davis (Bloomington: Indiana University Press, 1996).
  • Parmenides (winter semester, 1942-1943). Translated as Parmenides by Andre Schuwer and Richard Rojcewicz (Bloomington, Indiana University Press, 1992).
  • Heraklit. 1. Der Anfang des abendländischen Denkens (Heraklit). (summer semester, 1943); 2. Logik. Heraklits Lehre vom Logos (summer semester, 1944).
  • Zur Bestimmung der Philosophie (1919).
  • Grundprobleme der Phänomenologie (winter semester, 1919-1920).
  • Phaenomenologie der Anschauung und des Ausdrucks. Theorie der philosophischen Begriffsbildung (summer semester, 1920).
  • Phänomenologie des religiösen Lebens (summer semester, 1921).
  • Phänomenologische Interpretationen zu Aristoteles: Einführung in die phänomeno-logische Forschung (winter semester, 1921-1922).
  • Phänomenologische Interpretationen ausgewählter Abhandlungen des Aristoteles zur Ontologie und Logik. (summer semester, 1922).
  • Ontologie: Hermeneutik der Faktizität (summer semester, 1923). Translated as Ontology: The Hermeneutics of Facticity by John va Buren (Bloomington: Indiana University Press, 1999).

c. Private Monographs and Lectures, 1919-1967

  • Der Begriff der Zeit (1924). Translated as The Concept of Time by William McNeill, (Oxford: Blackwell, 1992).
  • Beiträge zur Philosophie (Vom Ereignis) (1936-1938). Translated as Contributions to Philosophy: (From Enowning) by Parvis Emad and Kenneth Maly (Bloomington: Indiana University Press, 1999).
  • Besinnung.
  • Metaphysik und Nihilismus. Die Überwindung derMetaphysik. Das Wesen des Nihilismus.
  • Hegel. Die Negativität. Eine Auseinandersetzung mit Hegel aus dem Ansatz in der Negativität (1938-1939, 1941). 2 Erläuterung der “Einleitung” zu Hegels “Phänomenologie des Geistes” (1942).
  • Die Geschichte des Seyns (1938-1940).
  • Das Ereignis (1941)
  • Wahrheitsfrage als Vorfrage. Die Aletheia: Die Erinnerung in den ersten Anfang; Entmachtung der Ousis (1937).
  • Zu Hölderlin – Griechenlandreisen.
  • Feldweg-Gespräche. (1944-1945)
  • Bremer und Freiburger Vortraege.
  • Vorträge Vom Wesen der Wahrheit Freiburg lecture (1930). Der Ursprung der Kunstwerkes (1935).
  • Gedachtes.
  • Anmerkungen zu “Vom Wesen des Grundes” (1936). Eine Auseinandersetzung mit “Sein und Zeit” (1936). Laufende Anmerkungen zu Sein und Zeit (1936).
  • Marburger Übungen. Auslegungen der Aristotelischen “physik”.
  • Leibniz-Übungen.

d. Notes and Fragments

  • Vom Wesen der Sprache
  • Übungen SS 1937. Neitzsches metaphysische Grundstellung. Sein und Schein (1937)
  • Einübung in das Denken. Die metaphysischen Grundstellungen des abendländischen Denkens. Die Bedrohung der Wissenschaft.
  • Überlegungen II-VI.
  • Überlegungen VII-XI.
  • Überlegungen XII-XV.

Author Information

W. J. Korab-Karpowicz
Email: Sopot_Plato@hotmail.com
Anglo-American University of Prague
Czech Republic

Collective Moral Responsibility

Focusing on groups through the lens of collective moral responsibility has broadened the scope of moral philosophy.  As a social practice, as well as an important theoretical issue, moral responsibility has most often been understood in the context of relationships among friends, neighbors, co-workers, and family members.  In this context, ascriptions of responsibility and judgments of blame are usually triggered by harm caused to one person by another.

Wars, gang violence, toxic waste spills, world hunger, overcrowding and brutality in U.S. prisons, corporate fraud, the manufacture of unsafe and defective products, failure of legislative bodies to respond to pressing public policy concerns, or financial waste by a governmental agency, are some examples of the serious and widespread harms associated with collective actions and a variety of groups.  They are matters of very real and growing concern to people living in every country on the planet.

Collective moral responsibility refers to arrangements appropriate for addressing widespread harm and wrongdoing associated with the actions of groups.  The key components of the basic notion of moral responsibility are deeply rooted in the fabric of every society and are constitutive of social life. Without some conception of moral responsibility no amount of imaginative insight will render a society recognizable as a human society.  While there is broad, often tacit, agreement regarding the basic model of moral responsibility as it applies to individuals; there is considerable debate about how this notion might be applied to groups and their members.

Collective moral responsibility raises disagreement between conceptions of collective responsibility which maintain that only individual human agents can be held morally responsible, and conceptions which maintain that groups, such as corporations, can be held morally responsible as groups, independently of their members.  These opposing positions rest on a deeper conflict between methodological individualists, for whom all social phenomena, such as group activities, can (at least in principle) be explained by reference only to facts about individual humans, and methodological holists who defend the ontological position that there are social groups capable of actions that cannot be reduced to the actions and interests of their individual members.

Meir Dan-Cohen (1986) explains that both of these philosophical preconceptions obscure our understanding of the moral, social, and legal distinctiveness of groups and promote simplistic and misleading pictures of complex organizations in particular.  He argues for a normative conception which adequately represents organizations and which may help us understand how to best address the practical problems faced by societies increasingly dominated by large and powerful organizations that often cause widespread harm.

Table of Contents

  1. Feinberg’s Taxonomy of Collective Moral Responsibility Arrangements
    1. Group Liability Without Fault
    2. Group Liability with Contributory and Noncontributory Fault
    3. Group Liability with the Contributory Fault of Every Member
    4. Group Liability with Collective, Nondistributive Fault
  2. Moral Responsibility of Formal Organizations
  3. Conclusion
  4. References and Further Reading

 

1. Feinberg’s Taxonomy of Collective Responsibility Arrangements

Joel Feinberg’s (1970) taxonomy of collective responsibility arrangements is a valuable contribution to the exploration of issues regarding the culpability of groups and their members.  In his essay, “Collective Responsibility.” he presents four logically distinct responsibility arrangements as follows: (a) “Whole groups can be held liable even though not all of their members are at fault…” (b) “A group can be held collectively responsible through the fault, contributory or noncontributory, of each member” (c) “Group liability” through the contributory faults of each and every member” and (d) “Through the collective but nondistributive fault of the group itself” it bears liability independently of its members” (p. 233).  This last of Feinberg’s responsibility arrangements presents a version of responsibility which has generated substantially greater debate than the other three.

a. Group Liability without Fault

In this first arrangement, a whole group is liable (held morally responsible) for the morally faulty actions of one or several members of the group.  This type of responsibility, Feinberg notes, typically involves groups possessing a significant degree of solidarity, and it normally reinforces that solidarity.   Such arrangements run counter to Western liberal ideals of individual responsibility and autonomy.  But, punishment of all for the wrongdoing of a few is no less defensible on moral or logical grounds than alternative interpretations and applications of moral responsibility.  Feinberg notes that the voluntary acceptance of collective liability is grounded in a group’s “large community of interest”.  The well-being of all is seen as necessary for the well-being of each.  In addition, bonds of reciprocal sentiment foster a community in which both goods and harms are collective and must necessarily be shared.  These features help preserve solidarity and promote a mutual sense of collective destiny.  For some tribes in parts of sub-Saharan Africa and for clans in central Asia, including Afghanistan and Pakistan, where conditions are frequently so harsh and barren that life depends on groups sticking together, it is accepted practice for a family, a clan, or a tribe to be held liable and to be punished for the wrongdoing of one of its members.

Feinberg explains that arrangements in which the whole group is punished for the faults or wrongdoing of a few are examples of vicarious liability, and a person punished on account of another’s wrongdoing is said to have been punished vicariously.  Outside of those human communities in which group liability is instrumental in maintaining authentic solidarity, vicarious liability conflicts with Western and other ideals of individual moral responsibility.  These individualistic conceptions ascribe liability to each individual who is personally responsible for his or her voluntary actions that are morally at fault.  Moral agency, act and causation, and moral fault are reconnected.  There are some examples of vicarious liability in Anglo-American law, such as parents being held liable for the actions of their minor children.

Group liability is currently used in the U.S. military, particularly in the Navy.  It is not uncommon for all enlisted sailors on a ship in port to be denied shore leave or to be given an early curfew as a result of the wrongdoing of several of their shipmates.  Not surprisingly, the effect on morale is negative, and such vicarious punishment is most often ineffective in achieving its goals.  An even more troubling proposal for the use of vicarious punishment is D.J. Levinson’s (2003) argument for sanctioning all members of a group as a means “to motivate them to identify the guilty individuals in their midst”.  The practice by Israel of destroying the homes of the families of Palestinian suicide bombers is a tactic of war, not vicarious punishment, but is based on the same principle.

After examining Feinberg’s first collective responsibility arrangement, it is clear that group liability is an arrangement that is unsuitable for most human communities.  It is not compatible with the lack of social cohesion which is characteristic of developed industrial societies or the ideology of individual moral responsibility.  It is important to note that our support for individual liability over group liability is a matter of preference, not a matter of moral superiority.  It is worth considering that Christian teaching interprets Jesus’ crucifixion as his vicarious punishment for the sins of all humankind.  Clearly there is something inspiring about this instance of vicarious punishment to Christians and others when they reflect upon Jesus’ death.

b. Group Liability with Contributory and Noncontributory Fault

Feinberg’s second collective responsibility arrangement uses a category rather than an actual or hypothetical social group to examine the moral implications of luck for a group of individuals sharing a common moral fault.  It is stipulated that all members of a group drink alcohol to impairment and afterwards, drive their vehicles anyway.  Some will be lucky and reach home without an accident, and some will be unlucky and cause harm to others.  Feinberg asserts:

Most of us are ‘guilty’ of this practice, although only the motorist actually involved in the accident is guilty of the resultant injury.  He is guilty of or for more than we are, and more harm is his fault, but it does not necessarily follow that he is more guilty or more at fault than the rest of us (Feinberg 1970, p. 242).

He explains how causing harm is associated with character flaws that are often widely shared.  In fact, he finds some flaws to be so prevalent and capable of leading to harmful actions, under circumstances impossible for many to anticipate, that everyone should be aware of the serious and dangerous character flaws found “in the least suspected places”.

Only that person who caused harm is morally responsible and blameworthy.  It is a mistake to conflate the judgment of an act and a judgment that is agent-based.  The ascription of moral responsibility requires that an act causing harm occurred.  As Judith Jarvis Thompson (1996) claims, one only has control of their intentions, not how the world operates.  The morally responsible driver’s reckless disregard for the safety of others created circumstances which made it unjustifiably probable that harm would result.  Bad luck didn’t reach out and bring about the accident for which the driver now bears responsibility.  Others may be equally or even more blameworthy if they were more impaired or drove with less care, but only one person is morally responsible for the accident.  Judgments of blame, according to Elizabeth Beardsley (1979), are primarily agent evaluational, but reaching such judgments does not mean, she cautions, that the blamee’s worth as a person or his character as a whole is on the line.

Aristotle believed one was responsible for one’s actions as well as for the content of their character.  Greek society and political institutions supported the development of character containing the proper virtues.  Politics and ethics were mutually supportive, and unlike contemporary American society, which many parents consider a negative influence in their efforts to raise healthy and morally good children, ancient Athens’ harmony and cultural solidarity stands in sharp contrast.  Aristotle also understood that in pursuing the good life, aspects of achieving happiness would remain subject to some degree of luck.  A happy, morally virtuous life can end with a death that is drawn-out and painful.  Such end of life bad luck will to some degree diminish the happiness of that person’s life taken as a whole.

Feinberg presents a view of our characters which is more than a bit pessimistic and in which some of our most serious flaws are suggested to be beyond our understanding or our ability to control.  He suggests that there is a point, in what he admits is an exaggerated conception of fault and responsibility, in ascribing a “common fault” to everyone.  Feinberg holds that doing so may serve to underscore how common grave and potentially harmful character flaws are.  His gloomy egalitarian view of our blighted moral prospects is the flip side of Rawls’ (1971) egalitarian claim that our characters, capacities, and talents are social assets, because they are largely the result of an arbitrary outcome of the genetic lottery.  Both views on character, particularly Feinberg’s, may well discourage a robust sense of individual moral responsibility.

David Lewis (1989), in “The Punishment that Leaves Something to Chance.” would add luck into the criminal law with a proposal for a penal lottery.  It is designed to address the substantial disparity between the lenient sentences given to people for serious, wholehearted murder attempts that fail and the sentence one receives for a successful murder.  Morally, Lewis considers agents in both cases to be equally culpable and claims the attempter may well be more dangerous to society because he will be released fairly soon.  His penal lottery has several variations, but all provide for a person guilty of attempted murder to pull straws that will either sentence him to death, a short incarceration, or he will receive no punishment at all.  Lewis thinks his proposal would have defensive, expressive, and deterrent values.  Pure luck rendered a serious murder attempt unsuccessful.  Perhaps having the perpetrator test his luck at sentencing strikes him as “balancing the scales.” but he needs to provide an argument for the justness of his penal lottery.  As he admits, such an argument is not part of his current proposal.

What each of us may consider lucky or unlucky depends on what goals we are pursuing,   the vagaries of the world, our interactions with others, and many other factors.  That which one considers unlucky today may strike her as lucky weeks later.  Fortunate and unfortunate occurrences unfold, but to a large degree luck is a concept embraced by those who often see the way their lives unfold in superstitious terms. Bernard Williams (1982) argues that luck does matter in the moral assessment of people’s actions and characters.  He takes the position that our moral assessment of a person will be affected by good consequences which could not have been foreseen.

c. Group Liability with the Contributory Fault of Every Member

This is an especially rich category of groups, including mobs and other loosely organized groups as well as ad hoc collectives, clubs, teams, and orchestras.  With the exception of formal organizations, such as business corporations or nation-states and public bureaucracies, a tremendous variety of groups fall under this heading.

Peter French’s (1984) distinction between aggregate collectivities and conglomerates is useful in understanding some important differences between groups.  An aggregate collective is a loose collection of people.  Members come and go.  Mobs or a crowd which happens to form at an automobile accident are examples of the least structured aggregates and are sometimes also referred to as random collectives.  Some aggregates meet at a particular place at about the same time with some regularity, but form no strong bonds of solidarity.  A second sort of aggregate is defined by a characteristic common to each member, such as being Korean War vets.  If moral responsibility were ascribed to either kind of aggregate for some alleged harm or wrongdoing, it would be ascribed to group members and shared among them as individuals.

A conglomerate is often referred to as an organization.  Conglomerates have internal structures, such as procedures for making decisions and for accepting new members.  French notes that this level of organization has a degree of solidarity that makes it possible for group identity to be more than simply the sum of its members at any particular time.  Organizational structure makes it possible to preserve group identity as membership changes.  Conglomerates have what Meir Dan-Cohen refers to as “temporal independence” (1986, p.32) and can operate in a time span which extends into both past and future beyond the spans of individual members.  Conglomerate collectives include large complex formal organizations, such as giant corporations, universities, and governmental bureaucracies, as well as smaller local organizations of various sorts.  Morally, the actions of conglomerates and ascriptions of moral responsibility are not reducible or distributed to individual members.  They are borne by the group as a whole.  Larry May (1992) has identified what he calls a “putative group”.  It falls between aggregates and conglomerates, because a putative group is an aggregate which possesses the potential leadership and solidarity necessary to set up the kind of structure and decision procedures that would qualify it as a conglomerate.

 

Virginia Held (1970) has examined the circumstances under which a random collective can be morally responsible for failing to act.  In one of her examples three pedestrians come upon a man who has been injured and is trapped in a collapsed building.  His most pressing problem is a bleeding leg injury.  Held identifies the trapped man’s most immediate need to be a leg tourniquet.  She suggests that if an organized group, a conglomerate, had come along, they would have been prepared as a group to do what was required to help the injured man.  The random collective, on the other hand, fails to decide what action to take first or even how to organize their efforts to be in a position as a group to plan appropriate action.  As a result no action is taken.  Held concludes that the random collective is morally responsible for failing to organize themselves to develop a method for deciding to act.  This is a puzzling judgment.  First, because this is an aggregate, moral responsibility will be distributed, without remainder, to the three people individually.  Why blame the group?  Second, what was called for here was action and leadership not deliberation.  What was needed was at least one person with good sense who was willing to initiate action.  Often, as Andreou and Thalos (2007) recognize, morality calls for good impulses to assess the situation and take the appropriate actions immediately.  As a member of any sort of group, one is obliged to resist any influences detrimental to his individual moral duties and his practical wisdom.  Held’s example raises questions of individual moral responsibility only.  Working well with strangers may be a social skill, but it is not a moral trait.  The disposition to take charge and help in an emergency is a moral virtue.

In what manner should moral responsibility be ascribed when an aggregate or a small, very simply organized group causes harm?  Most philosophers would probably support the distribution of moral responsibility on the basis of the degree of contribution each member made to the untoward outcome.  The instigators and leaders of a looting mob would bear greater responsibility than reluctant participants who spent most of the riot outside the scope of the action.  Feinberg supports this approach where responsibility is collective and distributive, but acknowledges the frequent difficulty in making degree ascriptions of responsibility with precision.  Degree judgments of blame present even greater challenges because they are based on each member’s intentions and state of mind.  May also supports proportional ascription of responsibility and also recognizes how profoundly a person’s attitudes and behavior can be influenced in a group setting.  This factor must always be included in moral responsibility judgments and may mitigate or aggregate an agent’s responsibility and blameworthiness.  Examples of mitigation could arise in cases in which younger or emotionally unstable individuals are manipulated by older members or group leaders to participate in wrongdoing.  There is never a finite amount of responsibility to be distributed, so the size of the group is relevant only if it happens to affect the degree of an individual’s contribution to the harm.

Michael Zimmerman (1985) also believes there is no finite amount of responsibility in cases of group wrongdoing, but disagrees that moral responsibility should be ascribed on the basis of a member’s contribution to the harm or injury caused.  He uses examples of acts by aggregates, but defends ascriptions of full moral responsibility for all participants in group wrongdoing, except in cases, such as a teenager or an adult of diminished mental capacity coerced to take part.  His approach would hold even more validity if every participant were equally blameworthy, but that would be unlikely and attempting to determine comparative blameworthiness would be more difficult than unraveling the causal chain of events, which his approach avoids, by ascribing full responsibility to every participant.  There is a normative advantage to Zimmerman’s full responsibility approach.  In some conceptions, a larger group will affect the degree of the contribution to harm of each member.   In one of Zimmerman’s examples, a number of people push a boulder off a cliff onto a vehicle below.  According a conception in which group size is morally relevant, if a greater number take part, the causal contribution of each participant will be decreased, and this will result in the reduction of the degree of individual moral responsibility for the untoward outcome.  Zimmerman’s full responsibility approach avoids this counter-intuitive conclusion that adding additional members to a group can diminish the moral responsibility of each.

Harm or wrongdoing by conglomerates must be analyzed differently, because these groups are organizational entities that possess decision procedures and leadership features.  Where to draw the line between conglomerates, which French and others believe can be held morally responsible, independently of individual member responsibility, and those which are more like aggregates will depend on the factors of size, the degree of organizational complexity, and the level of the members’ joint commitment to shared goals and values.  Some conglomerates, such as clubs, teams, and local charities and service groups possess intentions which are expressions of aggregated individual goals and values.  For Margaret Gilbert (2000), a group intention is present when members “are jointly committed to intending as a body to do A. In the case of borderline conglomerates, a group’s structure will play a significant role in shaping its actions, and this is an important factor in making judgments concerning degrees of individual responsibility and blameworthiness for harm caused by the group.  Leaders in the group should normally bear more responsibility than followers.

May’s notion of “shared responsibility” is drawn from his interpretation of the social existentialism of Heidegger, Jaspers, and the later Sartre.  He asserts that both the conscious and pre-reflective attitudes of individuals are profoundly affected by their membership in groups and communities.  According to May:

…[w]e need an expanded notion of responsibility which includes responsibility for some harms our communities have committed, with or without our participation.  I develop the notion of shared agency to capture the idea that people are empowered by, and also aid in the empowerment of their fellow community members.  In this sense, all of the members share in what each member does, and each member of a community shares in what each member does, and each member should feel responsible for what the other members do (May 1992, pp. 10-11).

Shared responsibility is a form of individual responsibility, but is grounded in an expanded conception of both individual agency and the scope of moral culpability for both the harm caused by collective inaction, as well as by attitudes fostered in groups.  May uses an example to show how a person whose attitudes are part of perpetuating a climate of racism bears a significant degree of moral responsibility for any overt harm, such as racist violence, even if he or she is not involved in the wrongdoing itself.  Since putative groups possess leadership, solidarity, and intersubjective communication, their members share responsibility if they fail to organize to prevent harm.  Ultimately, our moral sensitivities can be developed, and we can become more self-aware of the influence such sensitivities have on our thoughts and actions.  This heightened sensitivity will greatly help people view themselves as members of the most inclusive of communities, humankind.  This was Jaspers’ vision, and if achieved, the enhanced recognition of interconnectedness would be a necessary component in responding to global social problems, such as war, hunger, or political repression.

d. Group Liability with Collective, Nondistributive Fault

This final arrangement subsumes various conceptions of collective responsibility that defend the form of collective moral responsibility which is independent of any or all a group’s membership.  Feinberg uses the example of a philosophy department that fails to honor its commitment to supervise a student’s dissertation after two faculty members who agreed to do so are no longer part of the department.  The department reneged on its commitment, because no remaining members were willing to read the student’s thesis.  This is a case where the department as a department is morally responsible for the failure to keep its promise to a student, and its structure is faulty for having no mechanism in place to deal with situations such as this.  As a conglomerate, the department’s identity should be capable of surviving changes in its membership and if its decision making procedure is intact, it should also be capable of making arrangements to keep its commitments to the student regardless of departmental membership changes.

Questions involving the moral responsibility of groups qua groups have focused on large public bureaucracies, but business corporations have received most of the attention.  The complex organizational nature of the nation-state and the circumstances under which one or more of its bureaucratic components can be held morally responsible are issues that have begun to receive greater attention as the field of political ethics matures.  No other kinds of formal organization come close to having the power corporations and states can exercise.  They are distinctively different from each other, and there is great diversity among these two kinds of organization, but they all share the potential to influence the lives of tremendous numbers of people in profound and far-reaching ways.

 

2. Moral Responsibility of Formal Organizations

Although the pictures of organizations as either persons or as aggregations of people are based on competing philosophical assumptions, organizations “share the normative status of persons.” and this supports the conclusion that they “should be treated likewise” (Dan-Cohen 1986, p.15).  The implications of both the personification and aggregation views are unsuitable as a basis for a new normative conception of organizations in morality and in the law.  Both pictures also reflect an unhelpful belief that some sort of cognitive conception of organizations is required before normative issues can be examined.

The work of William Connolly (1974) and Steven Lukes (1974, 2005) in the field of political theory has made some influential contributions to understanding organizations from a moral perspective.  Without being at all preoccupied with the metaphysical disputes dominant in philosophy, they have investigated the relationship between power and responsibility.  Lukes claims that the identification of an exercise of power by either an individual or an organization is at the same time an ascription of responsibility.  For Lukes:

The point, in other words, of locating power is to fix responsibility for consequences held to flow from the action, or inaction, of certain specifiable agents. …C Wright Mills perceived the relations I have argued for between these concepts in his distinction between fate and power (Lukes 1974, p. 56).

William Connolly (1974) explains that conceptual disputes over notions, such as political power, are in part disputes over what is worth trying to control in society.  Engaging in disagreements of this sort is to engage in politics itself.  He adds:

Moreover, since our ideas about power and responsibility are so intimately related, disagreements about the appropriate criteria for holding collectives responsible for consequences will be reflected in disputes about the meaning of ‘power’ (Connolly 1974, p.128).

Increasingly, people express reactive attitudes toward both corporations and the state and its agencies.  By expressing these attitudes, organizations fall under the same expectations as individual agents for being capable of acting responsibly and for being subject to ascriptions of moral responsibility if their actions fall below accepted norms and moral standards.  David Cooper (1968) concludes that these reactive attitudes directed at collectives cannot be analyzed in terms of individual blame, and that this use of language supports the morally responsible status of collectives.

Organizations must satisfy three criteria in order to be morally responsible agents: (1) They must be intentional agents able to act. (2) They must be able to conform to rules and appreciate the effects of their actions on other individuals and groups, and (3) They must be capable of responding to moral censure with corrective measures.  Opponents of collective moral responsibility have argued that organizations cannot meet some or all of these criteria.

John Searle refers to organizations and other “social objects” as “ontologically subjective” and advises:

In the case of social objects, however, the grammar of the noun phrases conceals from us the fact that, in such cases, process is prior to product. Social objects are always…constituted by social acts; and, in a sense, the object is just the continuous possibility of the activity (Searle 1995, p. 36).

But, for most philosophers actively engaged with the issues surrounding collective moral responsibility, the debate over the status of formal organizations and specifically corporations, has remained at center stage, and the question of whether some organizations can be morally responsible is seen to hinge on questions of the metaphysical identity of organizations.

The majority of positions on these issues are grounded in some version of methodological or normative individualism, and most of these present some version of a contractualist analysis of the aggregationist conception of groups.

Ross Grantham’s (1998) claim that a corporation is little more than “a collective noun for the web of contracts that link the various participants” is an example of this sort of analysis.  Manuel Velasquez (1983) takes the position that in spite of its organizational complexity, a corporation is ultimately a group of humans who are engaged among themselves in a variety of specific occupational and professional relationships which each believes to be in his or her self-interest.  Corporate actions are the result of procedures and policies intentionally designed by members of the corporation to achieve specific goals.  If harm is caused or wrongdoing occurs, moral responsibility is borne by individuals to the extent that each one participated in policy formulation, implementation, or oversight.  Velasquez does support the vicarious liability of the corporation itself in cases where there is an absence of punishable individual members or to compensate victims of corporate harm.

Another version of the individualistic conception of corporate identity is Michael Keeley’s (1981) agency theory which has its roots in classical Lockean liberalism and F.A. Hayek’s economic theories.  For Keeley, a corporation is a contractual nexus representing mutually self-interested human contractors.  A central aspect of this nexus is the hiring of managers and directors to maximize their financial investments.  These ‘agents’ hired by the shareholders are also motivated by financial gain themselves.  For Keeley, the only intentions are individual human ones.  The goals that guide corporate actions and give direction to the activities of its members are an inseparable admixture of overlapping individual goals.

Wittgenstein offers a very useful observation in Remarks on Colour that is an analogy for the shortcomings of methodological individualism:

53. Description of a jig-saw puzzle by means of the description of its pieces.  I assume that these pieces never exhibit a three-dimensional form, but always appear as small flat bits, single- or many-coloured.  Only when they are put together does something become a ‘shadow’, a ‘high-light’, a concave or convex monochromatic surface’, etc. (edited by G. E. M. Anscombe 1977, p. 23e).

Methodological individualists may claim that corporate actions can be reduced to a set of facts about individuals which can then be arranged to provide an adequate description, at least in theory, of corporate activity, but problems are evident which have a striking family resemblance to the problems in giving a description of Wittgenstein’s puzzle through a description of its pieces.

The main appeal of methodological individualism is ideological.  Paul Thompson (in Curtler 1986, pp. 127-128) identifies methodological individualism as an ideological position which supports a view of society determined by individual choice and implying that attempts to interfere with the actions of individuals in the marketplace are a corruption of the natural order of the economy.

Many individualist critics of collective moral responsibility attempt to show that only individuals can act and groups cannot make choices or possess desires and beliefs which it is claimed make group intentionality impossible.  For example, Edmund Wall’s statement about corporate organizations is representative of this position:

Even if corporations and social groups are actual entities in the world (which has not been established), a corporation lacks cognitive ability to follow reasons.  It cannot act, let alone be considered an agent whose actions can elicit praise or blame.  In the absence of beliefs and desires, reasons and actions cannot be attributed to an entity (Wall 2000,  p.189).

Wall assumes that arguments that organizations can act must contain the metaphysical claim that actual group entities, separate from their members, exist.  Further, organizations, such as corporations, are decision making, goal-pursuing structures that act for reasons which are not reducible to individual intentions.  The activities of group members in their roles in the internal decision structure make collective cognitive abilities possible.  Finally, the planning/reasons in pursuit-of-goals account of intentionality, now held by French and others, makes it unnecessary to attribute beliefs and desires to a corporation or other formal organization.

Larry May (1983, 1986, 1987, 1992) believes that corporate actions are best conceived of on the model of vicarious agency.  He holds that the corporation is a place-holder for the actions of many individuals.  The members of a corporation “stand in various relationships to each other and act through or for the corporation” (May in Curtler 1986, p.141).  May identifies two types of relationship within a corporation: (1) high ranking managers work together in the corporation’s existing decision making procedures to reach joint decisions and (2) employees and supervisors act in the name of the corporation to carry out the joint decisions of the managers.  For May, corporate actions are complex arrangements or manifestations of the joint and vicarious actions of individuals.  He holds that the relationships and networks in a corporation, both formal and informal in nature, are best understood as the activities of the firm’s members engaged in a manner which cannot be explained in terms of the activities of individuals outside of these relationships and networks.  It is these complex human interactions that ground collective intentions and collective responsibility.  May compares corporate action to the vicarious actions of a representative on behalf of his or her constituency’s interests which are themselves the outcome of complex interactions and various relationships among the constituency’s members.

John Ladd (1970, 1984, 1991) holds strong objections to Peter French’s earlier “moral person” position regarding corporations and argued it greatly reduced the moral status of human persons while at the same time “thinning” the concept of the moral community.  He also implies that the theory of corporate moral agency is associated with a number of constitutional rights, such as the 14th Amendment in 1886 and more recently, aspects of the 1st Amendment being extended to corporations.  Both of these legal developments took place during periods in which the individualistic contract model of corporations was dominant.

Ladd’s position on corporations and formal organizations generally, is based in the philosophy of language, which French employs to build a competing position supporting corporate moral responsibility.  In Ladd’s analysis, moral language can be incorporated into a group’s operating procedures.  Ladd does believe that bureaucracies, i.e. formal organizations, are capable of using the language of goals and strategies.  In his view, corporations are able to rationally calculate to achieve a repertoire of specifically defined goals and therefore, can employ language to guide action in a somewhat limited sense.  Organizations can even incorporate moral considerations, which serve as limitations on collective actions.  For Ladd, this is not the authentic use of moral language, but rather only the reflection of conventional norms of behavior.  For Ladd, to be fully moral involves constructing one’s own values and goals as a part of developing one’s sense of self and one’s personal identity.  Ladd uses the analogies of a computer or a complex machine to help clarify his position on organizations and morality.

The actions of organizations are less rule-governed than Ladd seems to recognize.  He has in mind a Weberian ideal type which will operate much like a language game.  Actual organizations are far more diverse than Weber’s formalistic, hierarchical model would imply.  The well springs of organizational action are far more complex and involve informal factors that are beyond the scope of Weber’s model.  Dan-Cohen notes that the focus of attention has shifted “when thinking of a membership organization, from the group of individual members to the permanent self-perpetuating bureaucratic apparatus that constitutes the organization” (1986, p22).  Organizations cannot operate at the highest level of moral development, but many individual humans will not or cannot operate at that level either.  Being able to obey conventional norms and being capable of understanding the effects of one’s actions on others, capacities Ladd does attribute to organizations, are sufficient to qualify an agent to be morally responsible, even if such capacities may fall short of a Kantian account of moral autonomy.

Dan-Cohen (1986) employs a thought experiment in which all members of a corporation, including all managers, are replaced by computers that are responsible, in addition to more mundane functions, for all planning and decision making.  He believes such a development is conceivable and feasible, and that the replacement of people by computers would have little effect on the operations of the firm.  The point of Dan-Cohen’s “personless corporation” is to be a heuristic device to help in understanding the implications of his organizational metaphor of an intelligent machine.  He thinks this characterization is well suited to show the distinctiveness of important organizational qualities.

For most purposes, Dan-Cohen finds it advantageous overall to view organizations from a holistic perspective.  He finds that a holistic view is preferable to the individualistic view, but he makes it clear that:

The intelligibility of such holistic terminology as we daily use need not accordingly depend on a metaphorical personification of the organization nor on some far-reaching metaphysical commitments (Dan-Cohen 1986, p. 39).

Organizational theory is the least explored body of valuable research for philosophers involved with the issue of collective moral responsibility.  The following passage is a valuable summary drawn from this important body of empirical research:

The permanence of organizations renders them temporarily independent: they operate on a different time scale, in terms of both their memory and their planning, from that of any particular individual.  Because of their complexity and formality, organizations are both opaque and impermeable: their acts and decisions are not the straightforward product or expression of any particular individual will, nor is the effect one’s action has on an organization readily reducible to the effect that action may have on any particular individual.  Being structures, organizations are manipulable: their performance is amenable to change through structural modifications. And finally, due to the nature of their decision making function, organizations can be plausibly seen as intentional systems endowed with organizational intelligence (Dan-Cohen 1986, pp. 38-39).

Dan-Cohen also proposes a morally relevant distinction between “protective” and “utilitarian” organizations (1986, p.117).  The recognition of distinctive differences between organizations leads him to distinguish organizations, such as unions, which protect individual autonomy rights from those, such as corporations, which do not have such protection as one of their organizational goals.  This basic but critical distinction has implications for our expectations about the treatment various organizations should receive in moral, legal, and political contexts.

Peter French (1979, 1984, 1985, 1992, 1995) is perhaps the most influential scholar defending collective moral responsibility.  His position has evolved over the last 30 years.  He first approached corporations from a metaphysical angle that defended the position that they were full-fledged moral persons due all the same rights, duties, and privileges as human members of the moral community.  French challenged methodological individualism directly with bold arguments to show that corporate entities are intentional agents.  In making this argument, he refined his case and bolstered it through creative use of work by Donald Davidson on action and agency and by Daniel Dennett on intentionality.

He now refers to corporations as moral actors, not moral persons, but continues to hold a functionalist account of the capacities of moral actors, including the ability to act intentionally and be morally responsible.  He also changed his account of acting intentionally from the more traditional desire/belief model to a planning model of intention.  A key element of his position is that corporations and other formal organizations possess internal decision structures which make corporate decisions and actions possible.  By coordinating, subordinating, and synthesizing the actions and intentions of various individual members of the organization, the structure transforms them into a corporate action taken for truly corporate reasons.  The decision structure also makes it possible for corporations to adjust and respond constructively after being morally blamed.

French’s corporate decision structure is composed of two elements: (1) an organizational flow chart that delineates stations and levels within the corporation; and (2) rules that reveal how to recognize decisions that are corporate ones and not simply personal decisions of the humans who occupy the positions on the organizational flow chart.  These rules are typically embedded, whether explicitly or implicitly, in corporate policy.  The decision structure also provides continuity in the identity of corporations as membership changes.

French, together with Brent Fisse has made many scholarly contributions to our understanding of corporate legal liability and have proposed notable corporate punishment strategies.  French is particularly well known for developing and advocating the Hester Prynne sanction, which is a form of court-ordered mandatory adverse publicity designed to elicit shame rather than guilt.  His earlier writings tended to emphasize similarities between corporate and human agents, but more recently he has focused on the unique features of corporations and recognizes the tremendous power they wield.  In more recent scholarship, he has also defended a theory of corporate integrity.

As is Ladd’s position, French’s approach is rooted in the philosophy of language.  For instance, the internal decision structure performs a prescriptive and not just a descriptive function.  It tells members of the corporation how they ought to act.  This structure’s linguistic function is the feature most critical to French’s argument that organizational moral actors can bear ascriptions of responsibility, because he claims it licenses a redescription of events which allow the actions of many human employees at one level to be described at another level as a corporate act done for corporate reasons.  An action performed according to the organizational flow chart which is consistent with policy and procedure rules in the second element of the decision structure affirms the action to be official corporate policy.  For French, corporate moral actors have ontological status, and corporate acts and intentions are normative and rule-governed.  His conception of an organizational internal decision structure is not primarily an empirical concept, but rather a logical one.

Virginia Held (1986) recognizes the validity of collective moral responsibility, but thinks different criteria for corporate and personal responsibility are appropriate and should be developed.  She disagrees with Larry May (1983) that individuals have “vicarious agency” for the actions of corporations and other collectives.  She finds merit in French’s explanation of the way internal decision structures facilitate corporate actions, and agrees that a corporation’s intentions cannot be reduced to the intentions of any or all of the corporation’s members.  A corporation is capable of carrying through on its plans or on its goal-directed decisions.  Held disagrees with May that a corporation’s intentions are grounded in the intentions of individual members and maintains that corporations have intentions and interests of their own.

Held observes that the law is ahead of many philosophers in its recognition of the legal standing of corporations and other groups.  These groups and corporations have gained many constitutional rights, including speech and privacy.  They are also subject to both the civil and criminal law.  Held disagrees with Susan Wolf, who opposes criminal liability because of corporations lack mens rea, and she does see advantages in bringing criminal charges against corporations.  She rejected French’s earlier position on corporate metaphysical personhood.  Held is doubtful that French’s Hester Prynne sanction can be effective and rejects the idea that corporations can feel shame.  Held suggests that corporations have no right to continued existence and that something like a corporate death penalty may be called for in some cases.  She strongly rejects Ladd’s machine analogy as applied to corporations, particularly given his recognition that they can comply with principles of morality.  She thinks it is morally significant that corporations are able to adapt easily and can change goals relatively quickly.  If an analogy is in order, a person is best, although Held observes that ‘person’ and ‘personhood’ are abstractions.  She proposes that corporations be able to earn a kind of citizenship and believes that a re-examination of corporate behavior be initiated to assess the overall status of moral values in business.  Compared to people, the most significant difference is that corporations lack an emotional life.  She thinks French’s previous support of corporate moral personhood went too far in personifying corporations, but thinks Kenneth Goodpaster properly emphasizes their distinctiveness as moral agents (Goodpaster in Curtler 1986, pp. 101-112).

David Risser’s (1978, 1989, 1992, 1996) approach to collective moral responsibility does not address the ontological status of groups.  He shares Searle’s view that organizations are “ontologically subjective” and supports Caplow’s (1966) use of unifying phrases to understand making reference to organizations.   Risser’s internal decision structure (IDS) is an empirical generalization used to better describe and explain how the actions of individuals are transformed into irreducibly organizational actions taken for organizational reasons.  His IDS contains two components: (1) a procedural hierarchy outlining the manner in which the various units in the organization become involved in decision making and how decisions are ratified in the name of the whole organization, and (2) a system of differentiated roles that provide a division of labor, power, and communication for the organization.  The actions of group members and the actions of a group are inseparable, but the relationship between the two kinds of action is not causal.  David Copp (1979) refers to the actions of individuals as “constituting” an organizational action.  An organizational action is not reducible to the actions which constituted it and is based on reasons compatible with organizational goals.  These reasons and the goals that inform them are also not reducible to the reasons or motivations organizational members have for their constituting actions.

Risser’s use of Goodpaster’s (1983) four stages of decision making – perception, reasoning, coordination, and implementation – identifies the points at which moral reasons and considerations can be included in the decision process an IDS makes possible.  Decisions and actions that an organization produces can be checked for their consistency with established group policies by referring to formal policy statements, to the informal features of organizational culture, and to past decisions.  An organization’s collective memory can also help provide evidence of policy continuity.  The planning activities characteristic of organizations both depend upon and support the development of organizational memory.

Public and private bureaucracies are human inventions justified by their success in meeting human needs better than alternative modes of human organization.  Ultimately, they are instrumentalities or organizational tools.  Risser’s instrumental view of organizations is supported by the observation, implied by Locke and stated more explicitly by Jefferson, that people are far more likely to submit to abuse and domination for too long than they are to rise up prematurely.  Risser argues that organizations do not have moral rights, and the legal rights they do have serve ideally to protect human interests.  This arrangement is a consequence of the moral priority of human interests and the value humans place on individual dignity and autonomy.

Collective moral responsibility is part of a social practice which can effectively lead to   reform, particularly when groups make structural modifications targeted at organizational flaws associated with wrongdoing.  Both collective and individual judgments are possible.  Risser proposes that degrees of individual responsibility are based on the degree of influence one is able to exercise in a particular collective decision process and the level of knowledge one had or should have gained about the nature and probable effects of that particular decision or action.  Usually members with positions higher in the IDS will be more influential and knowledgeable, but informal factors can affect that general rule.  Degree judgments of blame (Risser 1978, 1996) are also possible at both a group and an individual level.  Organizations only deserve to be liable for punishment if they are culpable of wrongdoing, but consequentialist considerations should guide the decisions if and how to punish.

3. Conclusion

The conceptual relationship between power and moral responsibility is firmly established.   Responsibility and disputes concerning its proper meanings and uses are part of politics itself.  Not surprisingly, a society’s more powerful individuals and organizations will resist being held responsible and will support narrow and restrictive definitions or both power and moral responsibility.  Sufficiently strong popular support and political leadership committed to holding organizations morally responsible will be necessary to support collective responsibility arrangements in practice.

Widespread harms for which organizations are responsible are frequent occurrences.  People want more than vague excuses or insincere apologies.  Collective responsibility is not as widely accepted a notion as individual moral responsibility, but its emphasis on the structure of organizations suggests a promising approach to organizational punishment after a judgment of responsibility is made.  The primary goal in punishing an organization should be to make it less likely that it will cause harm in the future.  Both moral and legal approaches are being developed and refined which give attention to structural reforms that identify and repair organizational flaws associated with wrongdoing.

Discussions in political theory and the social sciences have given increasing attention to the design of new organizations that are safer and more responsive to the interests of their members and the communities in which they are active.  Ian Shapiro claims “that the most interesting questions about power are best thought of as questions of institutional design geared to preventing domination without interfering with the legitimate exercise of power” (2006, p.146).  Because Shapiro considers hierarchical social relations to have a tendency to atrophy into systems of domination, his “…suggestions in this regard have been to democratize power relations through the redesign of social institutions so as to minimize domination” (2006 p. 154).

The most powerful organizations have been, for the most part, immune from moral responsibility and legal liability.  This immunity has made it possible over time for social structures which are supportive of their organizational interests to become well entrenched.  Advocates of actively promoting political responsibility, which is a fitting companion to moral responsibility, are committed to social justice even under circumstances in which there are no discrete individual or organizational agents to hold morally responsible for situations, such as the exclusion of people from the political mainstream or from key economic opportunities.  Clarissa Rile Hayward explains political responsibility as follows:

Even if no identifiable agent or agents can be held morally responsible for creating a given relation of domination, those actors whose actions helped produce that relationship are obligated to attempt to understand and to change it (2006, pp.156).

Hayward’s work is inspired by Lukes’ analysis of power and responsibility, but her conception of political responsibility was developed as a critique of his work.  She argues that Lukes’ sharp distinction between power and structural determinism excludes constraints on freedom and circumstances of domination that should be remedied, but for which no persons or organizations are morally responsible.   Lukes holds that unless the untoward consequences or conditions in question are caused by the exercise of power, they are the result of structural constraints or collective action problems.  His analysis concludes that when power is absent, ascriptions of responsibility cannot be made.  Hayward’s conception of political responsibility addresses untoward circumstances she believes are excluded by Lukes’ position with an appeal to the forward-looking political responsibilities of the actors whose actions helped create conditions of domination.  This approach may encourage progressive change more effectively than backward-looking moral responsibility.  It has been argued that the concepts of blame, moral fault, and censure can often inhibit reformative change (Waller 2007, pp. 456-464).

In an increasingly bureaucratized world, there are diminished possibilities for the spontaneous, informal, and intimate human interactions essential to civil society, that social space which is considered a buffer between big government and big corporations.

This contraction of social space results in less opportunities for freedom and human diversity and creativity; what Hannah Arendt speaks of as “human plurality”.  The implications of relentless bureaucratization for the well-being of human communities are pressing concerns for both moral philosophy and political theory.

4. References and Recommended Reading

  • Andreou, Chrisoula and Mariam Thalos, “Sense and Sensibility.”  American Philosophical Quarterly, vol. 44, no. 1, (2007) pp. 71-80.
  • Arendt, Hannah, “Collective Responsibility.” in  Amor Mundi, ed. J.W. Brenner (Dordrecht: Martinus Nijhoff Publishers, (1987) p. 50.
  • Beardsley, Elizabeth Lane, “Blaming.” Philosophia, vol. 8, no. 4 (1979) pp. 573-583.
  • Caplow, Theodore, Principles of Organization (New York: Harcourt, Brace and World, (1966) pp.6-8.
  • Colvin, Eric, “Corporate Personality and Criminal Liability.” Criminal Law Forum, vol. 6 (1995) p17.
  • Connolly, William, The Terms of Political Discourse, (Lexington, Mass.: D.C. Heath and Company, 1974).
  • Cooper, David, “Responsibility and the System.” Individual and Collective Responsibility, ed. by Peter French (Cambridge, MA: Schenkman Publishing Co.,1972) pp. 81-99.
  • Copp, David, “Collective  Actions and Secondary Actions.”  American Philosophical Quarterly, vol. 16, no. 3 (1979) pp. 177-186.
  • Curtler, Hugh, “Shame, Responsibility, and the Corporation (New York: Haven Publications, 1986).
  • Dan-Cohen, Meir, Rights, Persons, and Organizations (Berkeley: University of California Press, 1986).
  • Donaldson, Thomas, Corporations and Morality (Englewood Cliffs, N.J.: Prentice Hall 1982).
  • Feinberg, Joel, “Collective Responsibility.”  in  Doing and Deserving: Essays In The Theory of Responsibility (Princeton: Princeton University Press, 1970) pp. 222- 251.
  • Brent and Peter A. French, eds., Corrigible Corporations and Unruly Law (San Antonio: Trinity University Press, 1985).
  • French, Peter A., ed., Individual and Collective Responsibility, (Cambridge, Mass: Schenkman, 1972).
  • French, Peter A., “The Corporation as a Moral Person.”  American Philosophical Quarterly,  vol. 16, (July 1979) pp. 207-217.
  • French, Peter A., Collective and Corporate Responsibility, (New York: Columbia University Press, 1984).
  • French, Peter A., “The Hester Prynne Sanction.” Business and Professional Ethics Journal, vol. 4, no. 2, (1985), pp. 19-32.
  • French, Peter A., (coauthor) Corporations in the Moral Community (Fort Worth: Harcourt Brace College Publishers, 1992).
  • French, Peter A., Corporate Ethics (Fort Worth: Harcourt Brace College Publishers, 1995).
  • Gilbert, Margaret,  Sociality and Responsibility, (Lanham, MD.: Roman and Littlefield, 2000).
  • Goodpaster, Kenneth, “Morality and Organizations.” in Ethical Issues in Business (2nd ed.), eds., Thomas Donaldson and Patricia Werhane (Englewood Cliffs, N.J.: Prentice Hall, 1983).
  • Goodpaster, Kenneth, “The Concept of Corporate Responsibility.” The Journal  of Business Ethics, vol. 2, no. 2, (1983), pp. 7-14
  • Grantham, Ross, “The Doctrinal Basis of the Rights of Company Shareholders” Cambridge Law Journal, 57 (1998) p. 579.
  • Hayward, Clarissa Rile, “On Power and Responsibility.” Political Studies Review, vol. 4 (2006) pp. 156-163.
  • Held, Virginia, “Can a Random Collective Be Morally Responsible?.” Journal of Philosophy,  vol. 67 (1970), pp. 471-481.
  • Jaspers, Karl, The Question of German Guilt, translated by E.B. Ashton (New York: Capricorn, 1961).
  • Jackall, Robert, Moral Mazes (New York: Oxford University Press, 1988).
  • Keeley, Michael, “Organizations as Non-persons.” Journal of Value Inquiry, vol. 15 (1981), pp. 149-155.
  • Ladd, John, “Morality and the Ideal of Rationality in Formal Organizations.” Monist, vol. 54, no. 1 (1970), pp.488-516.
  • Ladd, John, “Corporate Mythology and individual Responsibility.” International Journal of Applied Philosophy, vol. 2, no. 1 (Spring 1984).
  • Ladd, John, “Corporativism.” in The Spectrum of Responsibility, ed. Peter A French (New York: St. Martin’s Press, 1991).
  • Lewis, David, “The Punishment that Leaves Something to Chance.”  Philosophy and    Public Affairs,vol. 18, (1989) pp. 53-67.
  • Lewis, H.D., “Collective Responsibility.” Philosophy, vol. 24 (1948) pp. 3-18.
  • Levinson, D.J., “Collective Sanctions.” Stanford Law Review, vol. 56 (2003) pp.345- 428.
  • Lukes, Steven, Power: A Radical View (2nd revised edition) (New York: Palgrave  Macmillan, 2005)
  • May, Larry and Stacey Hoffman, eds., Collective Responsibility: Five Decades of Debate in Theoretical and Applied Ethics (Savage, MD: Rowman and Littlefield, 1991).
  • May, Larry, “Vicarious Liability and Corporate Responsibility.” Philosophical Studies, vol. 43 (1983) pp. 69-82.
  • May, Larry, “Negligence and Corporate Criminality” in Hugh Curtler, op. cit. pp. 137- 158.
  • May, Larry, The Morality of Groups (Notre Dame: University of Notre Dame Press, 1987).
  • May, Larry, Sharing Responsibility (Chicago: University of Chicago Press, 1992).
  • Rawls John, A Theory of Justice (Cambridge, MA: Harvard University Press, 1971).
  • Risser, David T., “Power and Collective Responsibility.” Kinesis, vol. 9, no. 1 (1978) pp. 23-33.
  • Risser, David T., “Punishing Corporations: A Proposal.” Business and Professional Ethics Journal, vol. 8, no. 3 (1989) pp. 83-92.
  • Risser, David T., (coauthor) Corporations in the Moral Community (Fort Worth: Harcourt Brace College Publishers, 1992)
  • Risser, David T., “The Social Dimension of Moral Responsibility: Taking Organizations Seriously.” Journal of Social Philosophy, vol. 27, no. 1 (1996) pp. 189-207.
  • Searle, John R., The Construction of Social Reality (New York: The Free Press, 1995)
  • Shapiro, Ian, “The Second Face of Lukes’ Third Face.” Political Studies Review, vol. 4 (2006) pp. 146-155.
  • Thompson, Judith Jarvis, “The Decline of Cause,” The Georgetown Law Journal, vol. 76 (1987) pp. 137-150.
  • Thompson, Paul B., “Why Do We Need A Theory of Corporate Responsibility?” in Curtler, op. cit. pp. 113-135.
  • Valasquez, Manuel, “Why Corporations Are Not Morally Responsible for Anything They Do,” Business and Professional Ethics Journal, vol. 2, no. 3 (1983).
  • Wall, Edmund, “The Problem of Group Agency,” The Philosophical Forum, vol. 31, no. 2 (2000) pp. 187-196.
  • Waller, Bruce, “Sincere Apology Without Moral Responsibility,” Social Theory and Practice, vol. 33, no. 3 (2007) pp. 441-465.
  • Werhane, Patricia, “Formal Organizations, Economic Freedom, and Moral Agency,” Journal of Value Inquiry, vol. 14 (1980) pp.43-50.
  • Williams, Bernard, “Moral Luck” in Moral Luck, ed., Bernard Williams (Cambridge, Cambridge University Press, 1982) pp. 20-39.
  • Wittgenstein, Ludwig, Remarks on Colour, ed. by G.E.M. Anscombe (Berkeley, CA: University of California Press, 1977).
  • Wolf, Susan, “The Legal and Moral Responsibility of Organizations”  Typescript  p.21.
  • Wolgast, Elizabeth, Ethics of an Artificial Person: Lost Responsibility in Professions and Organizations (Stanford, CA: Stanford University Press, 1992).
  • Zimmerman, Michael J., “Sharing Responsibility,”  American Philosophical Quarterly, vol. 22 (1985) pp. 115-122.

Author Information

David T. Risser
dtr15@psu.edu
Penn State University Harrisburg
U. S. A.

Omniscience and Divine Foreknowledge

Omniscience is an attribute having to do with knowledge; it is the attribute of “having knowledge of everything.” Many philosophers consider omniscience to be an attribute possessed only by a divine being, such as the God of Western monotheism. However, the Eastern followers of Jainism allow omniscience to be an attribute of some human beings. But what exactly is it to be omniscient? The term’s root Latin words are “omni” (all) and “scientia” (knowledge), and these suggest a rough layman’s definition of omniscience as “knowledge of everything.” Yet even though this definition may be somewhat useful, there are a number of questions which the definition alone does not address. First, there is the general question of what exactly our human knowledge is and whether or not an understanding of human knowledge can be applied to God. For example, does God have beliefs? And what kind of evidence does God need for these beliefs to count as knowledge? There is also the question of what exactly this “everything” in the definition is supposed to mean. Does God know everything which is actual but not all that is possible? Does God know the future, and if so, how exactly? This last question is a perennial difficulty and will require a thorough investigation.

Table of Contents

  1. Introduction
  2. The Components of God’s Knowledge
    1. A Preliminary Account of Knowledge
    2. Beliefs, Sentences, Propositions and God’s Knowledge
      1. Beliefs, Propositions, or Both?
      2. Beliefs: Occurrent or Dispositional?
      3. Does God have Beliefs?
        1. Non-propositional knowledge
        2. Propositional Knowledge without Beliefs
    3. Truth and God’s Knowledge
      1. Truth as Correspondence
      2. Truth as a Clear and Distinct Perception
    4. Cognitive Faculties and God’s Knowledge
      1. Inferential Faculties
      2. Non-inferential Faculties
        1. Perception
        2. Introspection
        3. Kinesthetic awareness
        4. Memory
        5. Testimony
        6. A priori intuition
  3. Analyses of the Scope & Power of God’s Knowledge
    1. Non-comparative Analyses of Omniscience
      1. Having knowledge of all propositions
      2. Having knowledge of all true propositions
      3. Having knowledge of all true propositions and having no false beliefs
    2. Comparative Analyses of Omniscience
      1. Having knowledge which is not actually surpassed
      2. Having knowledge which could not possibly be surpassed
      3. Having knowledge which could not possibly be matched by another
      4. Having the most actual, or unsurpassable, or unmatchable cognitive power
  4. Divine Foreknowledge
    1. Argument for the Incompatibility of Omniscience and (creaturely) Freedom (IOF)
    2. Perceptual Knowledge of the Future
    3. Deductive Knowledge of the Future
      1. Deterministic Knowledge (DK)
      2. Molinism (Middle Knowledge)
    4. Intuitional Knowledge of the Future
    5. Limited Knowledge of the Future: Open Theism
      1. No Knowledge of the Future
      2. Limited Deductive and Inductive Knowledge of the Future
  5. References and Further Reading

1. Introduction

There are a number of scriptures that remark on the vastness of God’s knowledge. For instance the Qur’an (alt. Koran) states “[W]hat the heavens and earth contain [is God’s], and all that lies between them and underneath the soil. You have no need to speak aloud; for He has knowledge of all that is secret, and all that is hidden. . . . God has knowledge of all things.” (Suras 20:5ff; 24:35). Psalm 139 expresses similar thoughts:

Even before there is a word on my tongue,
Behold, O LORD, You know it all. . . .
Such knowledge is too wonderful for me;
It is too high, I cannot attain to it.
Where can I go from Your Spirit?
Or where can I flee from Your presence?
If I ascend to heaven, You are there;
If I make my bed in Sheol, behold, You are there. (NASB, vs. 4, 6-8)

These and many other passages from the sacred scriptures of Judaism, Christianity, and Islam all hint at the awesome breadth and depth of God’s knowledge. God is said not only to know the daily activities of his creatures but to know even their thoughts. God as creator knows about the heavens, the earth, and the whole physical cosmos. This much at least is supported by scriptures. But the scriptures are for the most part not philosophical texts and do little to offer a rigorous analysis of omniscience, a task that largely has been left to the philosophers within the traditions. This entry will navigate through the landscape of arguments presented by those theistic philosophers who have tried to make further progress in comprehending this attribute of God.

The first few sections analyze the concept of knowledge itself with particular application to God. After getting clearer on the different components of God’s knowledge, a number of different analyses of the quality and scope of God’s knowledge are considered in an attempt to sort out some plausible definitions of omniscience. The final sections take up one of the most difficult aspects of understanding God’s knowledge, his knowledge of the future. Several models are presented with an eye toward seeing whether or not the models can be reconciled with human freedom, divine providence, and a robust account of God’s omniscience.

2. The Components of God’s Knowledge

a. A Preliminary Account of Knowledge

It will be helpful to begin an exploration into God’s knowledge with a very brief account of human knowledge. Typically, knowledge has been thought of as a certain kind of belief. For starters, it must be a true belief. It would be a mistake to claim to know that “2+2=5” because 2 and 2 equal 4, not 5. Similarly one could not know that humans lived on the moon during the Clinton administration, because none did.

But is a true belief the same thing as knowledge? No. Here is an example to motivate why this cannot be. Suppose that a friend of yours has a broken compass that is no longer polarized so that the needle can spin freely. Your friend likes this compass a lot and even though he realizes that it does not work, sometimes he uses it to give people directions. One day, a stranger comes to your friend and asks for directions, specifically where north is (it’s a very cloudy day and there is no moss around). Your friend graciously pulls out his compass and proceeds to spin the needle. It lands on north. And, as it turns out, the compass is right. Question: Does your friend know where north is? It seems not. Why? Because your friend has really bad evidence for believing this since it is far more likely that his compass is pointing in the wrong direction. Your friend has a true belief, but he does not have knowledge. Something else is needed, namely, good evidence. Although it is debatable that all beliefs which count as knowledge must be based on good evidence, all knowledge is usually thought as a true belief that is either based on sufficient evidence (or a proper ground) or is formed in the right sort of way.

This is a rough account of what human knowledge is often thought to be. But there are additional complications when trying to apply this account to God. In what follows, a more thorough discussion of each of the elements of knowledge (belief, truth, and the way beliefs are grounded) will be undertaken in order to get clearer on what God’s knowledge may be like.

b. Beliefs, Sentences, Propositions and God’s Knowledge

Some argue that, strictly speaking, at bottom it is not beliefs which are true; instead it is sentences or propositions. When we believe that “Snow is white” we believe that this sentence (or proposition) is true. Thus God’s knowledge is ultimately of sentences, propositions, or whatever the real truth-bearers turn out to be. (See also What Sorts of Things are True (or False).)

First, consider the possibility that the truth-bearers are sentences. Sentences are essential components of a language. Here it is useful to distinguish between sentence-types and sentence-tokens. A sentence-token is a concrete entity such as some ink on a paper, pixels on a screen, a sound uttered by someone’s voice, or some other physical object. The sentences being read on your computer screen are all sentence-tokens. Sentence-tokens are instances of sentence-types. A sentence-type is an abstract entity that is multi-exemplifiable, that is, it can have instances in more than one place at a time. The sentence-token on your screen “Tully is the author of this article” and the ink blot in English on my desk (which reads: “Tully is the author of this article”) are both instances of the same sentence-type.

One objection to the theory that sentence-tokens are truth-bearers is that if there had never been anyone uttering a sentence, there would be no truth. Yet this is very implausible for surely it was true that there were plants before there were humans and other language users. This is a strike against sentence-tokens as the ultimate bearers of truth.

The truth-bearers of God’s knowledge do not seem to be sentence-types either because of an objection that might be called “the problem of indexicals”. For suppose God at some time expresses this proposition audibly in English, “I am God,” and Jim Morrison also says “I am God.” Spoken by God, this is evidently true but for Morrison this is false. It would seem, then, that the sentence-type expressed by both of these propositions would then bear two contradictory truth-values, that of being true and false—an absurd consequence. Therefore sentence-tokens and sentence-types should both be rejected as ultimate constituents of God’s knowledge.

In order to solve these problems, many have turned to propositions as the objects of God’s beliefs. Propositions are non-linguistic, abstract objects. Both of the following sentences can be thought to express the same proposition: “The father is a father by paternity”; “Pater paternitate est pater.” The advantage of holding that propositions are truth-bearers is that the abstract character of propositions does not commit one to thinking that God must be essentially related to time nor speaks in an ineffable divine language. (He might, but the propositional account does not entail this.) Additionally if the truth-bearers are propositions, it can be thought that when God and Jim Morrison both say “I am God” they are expressing two different propositions and not just the same sentence-type.

i. Beliefs, Propositions, or Both?

Ordinarily, in contrast to beliefs, propositions are to be thought of as non-mental entities. If propositions are truth-bearers, then it was true that “There are dinosaurs” when there were dinosaurs and no humans or other smart creatures around to believe this. So propositions have an advantage over beliefs as truth-bearers, because if propositions do the truth-bearing then there can be true statements when there are no believers.

But since God has always existed and been aware of everything, it may be that God’s beliefs are good enough to do the trick and there is no need for propositions, just so long as God believes all the facts. So for the theist who believes that everything is dependent on God in some sense—and thus at least partially on God’s mind—it may be appropriate to adopt the view that the propositions which humans believe are just God’s beliefs. After all, the only significant difference between propositions and beliefs is that propositions are ordinarily thought of as non-psychological, mind-independent entities. Positing beliefs rather than “free-floating” propositions as the truth-bearers of God’s knowledge is a more natural way of deferring to God as the source of all knowledge. Perhaps a theist can say with Berkeley, “Esse est percipi”—to be is to be perceived, or more precisely, “Esse verum est Deo credi”—to be true is (just) to be believed by God. God is the source of his beliefs and God’s beliefs are the source of what is true; false beliefs arise from creatures mistakenly believing to be true what God believes is false.

Whether or not propositions are just God’s beliefs will not be fully settled in this entry. Since much of the literature on omniscience understands the concept as knowledge of true propositions, the remaining sections of the article will not suppose that the ultimate truth-bearers of God’s knowledge are beliefs or propositions and the two terms will be used interchangeably to refer to whatever the truth-bearers happen to be.

ii. Beliefs: Occurrent or Dispositional?

Another distinction is useful in getting clearer on the nature of God’s beliefs. This is the distinction between occurrent and dispositional beliefs. To have an occurrent belief that something is true is to be actively thinking that something is true. For instance, supposing that person P believes in God, P is only currently believing in God if P is actively thinking that this proposition is true, “God exists.”

But sometimes we are inclined to say things like this too, “Yes, I’ve believed that all my life. I’ve always believed God exists, even if I haven’t always been actively thinking this.” If this way of describing beliefs is right, what we are talking about cannot be an occurrent belief since we have not spent all of our life thinking about this or any other proposition. Rather, we have what is called a dispositional belief. If a person has a dispositional belief this means she would be disposed or inclined to have an occurrent belief in a proposition if she were to think about the proposition.

But how best to describe God’s beliefs? The downside of the dispositional account of God’s beliefs is that dispositional beliefs entail that God is not always aware of all that is true. A dispositional account of beliefs is suitable for making sense of limited human cognitive activity but would be deficient for a perfect thinker. If it is possible to make sense of a being who can be aware of all propositions simultaneously it is preferable to think of all of God’s beliefs as occurrent. Dispositional beliefs are adequate for finite humans, but the goal is always to be aware of everything that one believes. [For arguments in favor of dispositional beliefs see Hunt (1995)].

iii. Does God have Beliefs?

Not all describe God’s knowledge in the typical way of God having a very large set of justified, true beliefs. William Alston has argued that God’s knowledge should be characterized in a different way because, no matter how one understands God’s knowledge, it can be shown that God has no beliefs (287-307).

According to Alston, there are two plausible ways to characterize God’s knowledge without beliefs. The predominant view in contemporary philosophy of religion is that his knowledge is propositional in content. Alston thinks God’s knowledge may be thought of as propositional without God having beliefs. Call this the propositional view of God’s knowledge. An alternative view is that God does not grasp the truth of propositions; rather he is immediately and directly aware of the world without any propositional intermediaries that are about the world. This is the non-propositional view of God’s knowledge.

1) Non-propositional knowledge

Beginning with the latter position, Alston takes Aquinas to be one of its chief representatives. According to Aquinas, God is not dependent for his existence on anything, including his attributes. God is thought of as absolutely simple, not having any real parts distinct from God’s essence. God’s simplicity encompasses every attribute of God including his knowledge. To put it crudely, there is no difference between God, his knowledge, and the objects of God’s knowledge. So the object of God’s knowledge turns out to be God’s own essence. God’s essence contains within it the likeness of everything and God knows everything by knowing his own essence.

Alston admits that this way of knowing is very mysterious and we will never be able to adequately understand how it is that God knows everything. But he thinks we can liken God’s knowledge to our initial perceptual vision of a scene, where we have yet to extract from the scene separate facts. We have an awareness of things but the awareness is without a propositional structuring. In this initial perception, there is a unity present in which we have yet to separate subject from object, knower from things known. For humans, we do not have understanding until we begin to separate our knowledge from the things known and separate the scene into a distinct set of facts. Yet we lose and long for the underlying unity of the initial awareness. God, it may be thought, retains the unity and can have understanding without piecemeal, discursive thought present in human reasoning.

That is a rough description of what non-propositional knowledge is like, perhaps not fully illuminating, but not incoherent. If one accepts divine simplicity, one has a pretty strong argument against knowledge as propositional beliefs:

1. God is simple, including God’s knowledge.
2. Propositional thought structure is complex.
3. If God’s thought structure is propositional, this means that either God’s beliefs just are propositions or the content of his beliefs are of mind-independent propositions.
4. Either way, God’s knowledge cannot be composed of beliefs.

If one balks at the idea of divine simplicity, there is a second argument for why God’s knowledge is non-propositional. We humans are limited. We cannot understand any concrete thing without abstracting from it and formulating propositions about its abstract features. For example, we cannot fully understand Jimmy Carter but only various aspects of him, that he is a Democrat, that he is human, and so forth. But God is not limited. His knowledge is complete. God can understand everything about Jimmy Carter all at once without separating aspects of him from Jimmy Carter. He does this by knowing Jimmy Carter himself. So there is no reason for God to employ propositions if his knowledge is unlimited in the way just described. Since God does not have to employ propositions, he has no need of beliefs.

2) Propositional Knowledge without Beliefs

If a propositional account of God’s knowledge is to be preferred, Alston thinks that this too can be described without the employment of beliefs. He calls this view the “intuitive” conception of knowledge. Instead of having a belief that p is true—where p is a proposition that is true if it corresponds with some fact F—he thinks that God could be directly aware of the fact, F, with no belief about p at all. (Even though God is directly aware of facts, and not propositions, he still thinks that this can rightly be called a propositional way of knowing because the facts which would correspond to true propositions have the same isomorphic structure. For more on facts and correspondence, see Truth as Correspondence). Knowing something would then be a completely different kind of psychological state than believing something. One can have a belief without the belief being true. However if knowledge is a state of awareness of a fact, there is an intrinsic relationship between awareness of facts and truth that beliefs do not have. All of God’s knowledge would be infallible in a very strong sense.

Alston thinks that if we compare this kind of knowledge with human knowledge (true belief grounded in the right way) we can see that the former is better because “[t]here is no potentially distorting medium in the way, no possibly unreliable witnesses, no fallible signs or indications” (190). We humans have a lot of beliefs that we are not always immediately aware of and could be wrong about many of them. We would gladly trade this kind of knowledge for always being directly aware of the facts. Intuitive knowledge just seems like a superior kind of knowledge. Since God is perfect he should be thought of as having this superior kind of knowledge, a knowledge without beliefs. [For objections to this view see Hasker (1988)].

c. Truth and God’s Knowledge

A discussion of all of the different theories of truth is well beyond the scope of this entry. Instead only two theories will be discussed which present the most likely candidates for the kind of truth involved in God’s knowledge. Since the belief and justification components of knowledge provide more complications for a theory about God’s knowledge, this section will be relatively brief. For additional complications, see Truth.

i. Truth as Correspondence

The most widely held account of truth is that truth is a relationship, namely one of correspondence (See Correspondence Theory). A belief is true if the proposition held to be true corresponds with some fact. “2+2=4” is true if it is a fact that 2+2=4. “John McCain is now President of the United States” is true if right now it is a fact that he is the president and it is false if this fact does not now obtain. What is a fact? This is an area of current debate. Some think of facts as concrete entities like events which contain substances and their properties as constituents. But it is doubtful that a theist can maintain this understanding of facts since it is often thought that God could know propositions about God’s thoughts or about uncreated creatures. Yet there seems to be no concrete entity or entities which these kinds of propositions could correspond with to give them their truth value. Thus for many theists, facts have been understood like propositions as abstract entities—states of affairs that are either actually, possibly, or necessarily existing.

ii. Truth as a Clear and Distinct Perception

Above it was mentioned that William Alston proposes that God does not have beliefs. Instead, God has knowledge by either being directly aware of facts or by being directly aware of his own essence. If Alston is right, then the truth element involved in God’s knowledge is not truth as correspondence since there are no beliefs or propositions as constituents of God’s knowledge to correspond with facts.

Alston at one point appeals to Descartes’ formulation of knowledge as a clear and distinct perception to clarify his view that God can have knowledge by a kind of perception without beliefs. Although Alston does not do so explicitly himself, Descartes’ thoughts can also be used to illuminate what truth would be in the absence of beliefs. According to this understanding, perceptions or “awarenesses” are true if and only if they are clear and distinct. Moreover, we might just hink of truth as this quality of being clear and distinct. For humans, not all of our perceptions are clear and distinct, so some of our perceptions will not be true. But God’s perceptual faculties do not suffer from human limitations—all of his perceptions (of either his own essence or of mind independent facts) would be perfectly clear and distinct. Thus built into God’s perceptual faculties is that they yield qualitatively perfect perceptions and thus everything which is perceived must be true.

d. Cognitive Faculties and God’s Knowledge

The traditional account of knowledge is true belief plus something else. What this something else is has often been called justification (or sometimes “warrant”). From the time of the Ancient philosophers to the present, there has been an endless debate on the nature of this third component of knowledge. Some have even thought that justification, being an essentially normative (and perhaps moral) notion, should not be attributed to God who is the author or ground of normativity and does not need to justify his beliefs.

This debate about what justification is and whether God needs it will not be resolved here. Even if God does not have to have justified beliefs and does not need reasons for all of his items of knowledge, God still needs cognitive faculties to provide him experience or a proper ground for at least some things. Thus we can understand this third component of knowledge less controversially in terms of the kinds of cognitive faculties needed to yield a wide scope of knowledge. A cognitive faculty is simply a particular ability to know something. Perception is an example of a faculty of human cognition that allows us to know about the physical world. Memory is the faculty that allows us to know about the past. Below, each of the classical faculties which have been thought to provide humans with evidence for their beliefs will be discussed in relation to God’s knowledge.

i. Inferential Faculties

Most often when we ask for evidence for someone’s belief, it is propositional evidence that we are asking for. We are asking for propositional reasons to believe something. Many times, we will use our beliefs that certain propositions are true as evidence for some of our other beliefs. Using beliefs as evidence for other beliefs is using inferential evidence. Here is an example. In order for Jane to justifiably believe that Brutus killed Caesar, Jane may need to know that the history book that she is reading was written by a credible historian. To know that cigarettes cause cancer, Jane would perhaps need to know that studies have shown this to be true. When we are reasoning inferentially, we are employing arguments. Thus inferential evidence can come as a deductive, inductive, or abductive argument.

1) Deductive Reasoning

A deductive argument which provides knowledge is one in which the premises guarantee the truth of the conclusion such that if the premises were true it would be impossible for the conclusion to be false.

Example:
1.If John Sidoti is Sicilian, then John Sidoti is Italian.
2.John Sidoti is Sicilian.
3.Thus, John Sidoti is Italian.

Deductive reasoning is an excellent way to come to a conclusion because the premises necessitate the truth of the conclusion. Since deductive arguments provide an infallible guide to knowledge of the conclusions, if God reasons inferentially there is little reason to think that he does not reason deductively.

2) Inductive Reasoning

An inductive argument which yields knowledge is one in which the premises do not guarantee the truth of the conclusion but make it very likely that a conclusion is true.

Example:
1.98% of the students at the Ohio State University have high school diplomas.
2.Titus is a student at the Ohio State University.
3.Thus, Titus has a high school diploma.

The conclusion of this argument does not necessarily follow from the premises. Inductive reasoning is thus a fallible way of reasoning, and as such, most have not attributed this kind of reasoning to God. Since the truth of the premises does not guarantee that the conclusion is true, God could be wrong if he reasoned inductively—an unfortunate feature of a perfect being. But as will be seen below, there are some who think that God is omniscient yet could be mistaken about some things. For example, if the future is to some degree indeterminate, God could possibly be mistaken about its outcome. Still, God could make reasonable predictions about the future if he reasons inductively. Thus an inductive account of some of God’s knowledge may be attractive as a way of granting the most and qualitatively best knowledge possible given necessary limiting conditions which are thought to inhere in the world.

3) Abductive Reasoning

An abductive argument is an argument to the best explanation. Inferential knowledge of a proposition via an abductive argument would be such that the conclusion yields a true and epistemically plausible explanation for the facts provided in the premises.

Example:
1. There are things which came into existence.
2. Whatever comes into existence is caused to exist by something or other.
3. There cannot be an infinite series of past causes.
4. Therefore, there was a first uncaused cause.
5. Thus God exists (because the best explanation for this first cause is God).

Like inductive reasoning, abductive reasoning is thought to be fallible, again, a serious drawback in attributing it to a perfect being. One important difference between inferential and abductive reasoning that counts even more against the possibility of God reasoning abductively is that while inductive reasoning is forward looking, abductive reasoning is present or backward looking and may be unnecessary for God to have. There might be good reasons to think that God can only have fallible knowledge of the future, but there are few reasons why God could not have infallible knowledge of the present and past so long as (a) there has never been a time in which God has not existed and (b) God has perfect “vision” of all that is present to him or that he remembers. Presumably God would never need to make a best guess about why something is the way it is, since he has “seen” all that has been before and all that is now. So it is unlikely that God reasons abductively if he has the sorts of cognitive faculties like perception and memory which will be discussed below.
One final thing should be said about God’s reasoning in general. When humans reason by inference, they do so discursively with a temporal lag between seeing the premises as true and using the premises as bases for the conclusion. In other words, we reason piecemeal and working through our reasoning by way of an argument takes time. Most who think that God can reason inferentially do not think his reasoning is discursive like this. God can see the argument all at once and see immediately that certain premises lead to a conclusion. The premises are evidentially prior to the conclusion but he does not think of them temporally prior to believing the conclusion.

ii. Non-inferential Faculties

Not all evidence comes from inferential cognitive faculties. More often than not, we take direct experience as evidence for the truth of propositions and think that we have faculties which can provide us this more immediate kind of evidence. The perception of a watch on your neighbor’s hand is taken as evidence that “Your neighbor is wearing a watch” is true. The feeling of a sharp pain in my leg is evidence that “I am hurting” is true. The feeling of one’s legs being crossed under the desk is evidence for the belief that “My legs are crossed.” At a minimum, perceptual, introspective, and kinesthetic experience seem to count as evidence for some beliefs. In addition, memory, testimony, and a priori intuitions have been thought to yield immediate evidence as well.

1) Perception

Many theists speak of God as “seeing” the world, “hearing” their prayers, and “feeling” sad for sin. Less often is God spoken of as smelling or tasting something. But in general, it is thought that God can perceive the world.  (See The Epistemology of Perception.)  Since most theists think of God as non-bodily, God’s perception will only be analogously like human perception. God’s sight, for example, will not involve the reception of light into the eye and his sight will never yield misleading or “fuzzy” data. Accordingly having perfect perception would seem to involve removing all of the limits of human perception. For instance, God’s seeing would not be limited to seeing the surface of material objects but could penetrate through the solid objects to what is beyond. He would lack unclear, peripheral vision and instead would be able to focus on everything clearly all at once.

God’s relationship with time will also affect the scope of God’s perceptions. If God is atemporal, God’s perceptual faculty should be thought of as God’s ability to perceive all of time all at once. If God is temporal, his perception would best be thought of like human perception, as awareness of only what is present.

2) Introspection

The introspective faculty provides direct insight of one’s own internal thoughts, feelings, and emotions (See Introspection). That I am now in pain can be known just by experiencing pain. That I am now thinking is also known by introspection. Since God is traditionally thought to be personal—enjoying psychological faculties involving beliefs, feelings, thoughts, and so forth—there is little reason to think that some of God’s knowledge is not gained by something like human introspection.

3) Kinesthetic awareness

Kinesthetic awareness is an experience of one’s bodily movements and the location (and perhaps feeling) of one’s bodily parts. Whether or not kinesthetic awareness is a type of introspection or something different entirely is a matter of debate. But either way, it would seem that God would lack this type of evidence and its corresponding faculty since God is usually not thought to have a body. If God did have a body (say, as Jesus), then God could have kinesthetic awareness.

4) Memory

The faculty of memory provides immediate knowledge of the past. The question of whether or not God remembers things is essentially tied to questions about God’s relationship to time. If God is atemporal, then he would have no memory, since memory consists of being aware of a past experience. But if God is atemporal, then he would have no past experiences to recall. Thus God only has memory if God is a temporal being.

5) Testimony

Some think that humans have a testimony faculty which enables them to have knowledge of some propositions just by hearing certain kinds of testimony that something is true. It is not clear why God could not have testimony as evidence but there seems to be no reason to think that he does. This is because God would already have overwhelming evidence from his other faculties for whatever a creature testified to be true. Since there are no circumstances in which testimony would be needed by God in order for him to have knowledge, there is little reason to suppose that God ever has knowledge which is based on testimony.

6) A priori intuition

Finally, God is thought to have knowledge of all necessarily true propositions such as “2+2=4,” “God exists,” and “if x is a bachelor, then x is an unmarried male.” God does not reason by inference that these propositions are true nor does he experience that they are true. God just intuits they are true by an a priori intuition (See A Priori and A Posteriori).

There is wide debate about what a priori intuition is for humans so it is even more difficult to explain what it is for God. Some have thought that having a priori knowledge just amounts to understanding the meaning of the terms in a statement; if one were to understand the terms, then one would know that it is true. Others have suggested that it is a kind of grasping of abstract objects and their relations between them (for instance, grasping the numbers 2 and 4 and the relations of adding and equaling in the proposition 2+2=4). Whatever a priori intuition turns out to be for God, most think that God enjoys this cognitive faculty.

3. Analyses of the Scope & Power of God’s Knowledge

How great is God’s knowledge? How much does he know? In order to answer these questions it is not enough just to offer an analysis of the components of God’s knowledge; one must also specify the scope of his knowledge. There are a number of ways this might be done.

The first three attempts at an analysis of the scope of God’s knowledge listed below have been called non-comparative notions because they specify the range or amount of God’s knowledge without comparing God’s knowledge to the knowledge of any other being. The final four are comparative accounts of God’s knowledge. Proponents of these views recognize God’s knowledge as perhaps more limited than the non-comparative notions allow but still think that omniscience can be explained in terms of a comparison with other beings, even if God’s knowledge is significantly restricted. The last of the four also stands out as not only being a non-comparative account, but as the only analysis which does not state that it is necessary for an omniscient being to have knowledge. Rather it is sufficient to be omniscient if one has a significant degree of power to have knowledge.

a. Non-comparative Analyses of Omniscience

i. Having knowledge of all propositions

In spite of an initial feeling of piety that might accompany embracing this definition, it should be rejected. Why? Recall what knowledge is. It requires at a minimum holding what is true. But some propositions are false such as 2+2=5. Since it is false it cannot be known by anyone, especially God who most think could not even believe something that is false let alone know it.

ii. Having knowledge of all true propositions

According to this clause, God knows a lot—in fact he knows all that could possibly be known. This is a very strong version of omniscience and in all likelihood has been the one most widely held among theists. On this interpretation, God knows all the present truths and all truths of the past and future. God also knows the propositions that must be true or are merely possibly true. For instance, God knows that “necessarily, all humans are not triangles” and “possibly, the Steelers sign a linebacker named Tristan this year.” Furthermore, many who hold to this definition think that God knows all of the subjunctive propositions which are sometimes of events that are not actual but could have been as in the statement “if the U.S. had not entered World War II, Germany would have won.”

iii. Having knowledge of all true propositions and having no false beliefs

Many have proposed (iii) [i.e., Having knowledge of all true propositions and having no false beliefs] instead of (ii) [i.e., Having knowledge of all true propositions] in order to make clear that an omniscient being not only believes all true propositions but is not mistaken about any beliefs either. But as Edward Wierenga has pointed out, adding this clause in (iii) is at least redundant and possibly incoherent (39) for it seems to presuppose it is possible that for someone to know all true propositions and yet have a false belief. Suppose that God could. If God knew all true propositions, he would know that he believed some false proposition. But it may not be coherent to both know p and know that you believe not-p.

Yet even if this is coherent, says Wierenga, the additional clause about God not having false beliefs can be shown to be redundant. Presumably God has deductive cognitive faculties. Now if God both knows p and believes not-p, then God believes a contradiction, and anything whatsoever can be validly deduced from a contradiction. So if God did know p and believed not-p, God would deduce all propositions from this and believe everything. But this seems impossible. Thus there is no reason to add the additional clause “having no false beliefs” because knowing all true propositions seems to be incompatible with having false beliefs.

b. Comparative Analyses of Omniscience

i. Having knowledge which is not actually surpassed

Although holding this definition is consistent with believing that God knows all true propositions, it leaves open the possibility that God does not know everything. Those that prefer this analysis of omniscience think that there are some propositions that likely God does not know.

Recall the discussion above about indexicals (See Beliefs, Sentences, Propositions and God’s Knowledge). Some have argued that it is impossible for God to know the proposition expressed by Jones when Jones says “I am thinking.” The idea is that such propositions involving an indexical term like “I” are not identical with propositions involving proper names such as “Jones” in the sentence, “Jones is thinking.” God could know “Jones is thinking” but propositions with an indexical like “I” can only be grasped by whoever is expressing the proposition, in this case, Jones.

In response, some have argued that “I” refers to a haecciety, a mysterious entity that individuates Jones from other humans, but an entity nonetheless that God can know (Wierenga, 50-6). Jones and every other human have in common “humanity” but differ by having individual haeccities. In knowing “I am thinking” when thought by Jones, God knows the act of Jones’ thinking & Jones’ haecciety and thereby knows that this proposition is true. But there are questions about whether or not God could know haeccities of persons or objects other than God (Rosenkrantz, 220-4).

Another set of propositions that God may not know are propositions about causally undetermined, future events. Examples are random events at the quantum level or free creaturely actions. Whether or not God has knowledge of the future will be discussed below.

It should be reiterated that proponents of this limited view of omniscience still want to maintain that omniscience can be characterized quite sufficiently as a comparative notion. They are not denying that God is omniscient. They simply think that omniscience need not be thought of as necessarily having knowledge of every true proposition. True, it may seem strange that God learns things. Nevertheless, they insist, no one who exists knows as much as God. God still knows a lot more than anyone else.

ii. Having knowledge which could not possibly be surpassed

This definition is also compatible with the second non-comparative definition above (having knowledge of all true propositions) and proponents of this definition typically think that God does not know all true propositions. But this analysis is stronger than the previous comparative analysis (i) because it states that God knows everything that any being could possibly know. The problem with the previous analysis of omniscience is that it leaves open the possibility that there is a possible being whose knowledge could exceed God’s knowledge. But at least since the time of Anselm, God is thought of not only as the greatest actual being, but the greatest possible being. As such it should be the case that God has knowledge which no one could possibly surpass.

iii. Having knowledge which could not possibly be matched by another

Note that both (i) and (ii) state that no one can know as much as God but they allow for the possibility that there can be more than one omniscient being. But most theists are uncomfortable with this possibility and (iii) rules this out. In support of (iii) a theist could appeal to the doctrine of divine simplicity, the doctrine that God is perfectly simple (as mentioned above).

Since the Medieval era, a number of theologians have proposed that God is absolutely simple and that in reality, (on a very popular interpretation) all of God’s attributes are really identical with each other and God. This is a difficult doctrine to understand for it forces one to say that God’s omniscience is really identical to God’s omnipotence, God’s omnipotence is identical to God’s justice, and so forth. But if the doctrine is embraced, it seems to be incompatible with analyses (i) and (ii). For if God is the greatest possible being, and God is the greatest in virtue of having the great-making attributes of omniscience, omnibenevolence, and so forth, (which turn out to all be identical with each other and with God), then it is impossible that any other being have omniscience, for to be omniscient is to be identical with God. [For more arguments for a comparative analysis of omniscience see Hoffman and Rosenkrantz (2002)].

iv. Having the most actual, or unsurpassable, or unmatchable cognitive power

The final analysis of God’s omniscience is really a group of three related views which could be parsed in terms of God having the most actual power or possible power. But for brevity sake the three views have been lumped together leaving it to the reader to understand “most actual”, “unsurpassable”, and “unmatchable” along the lines discussed in the previous three analyses. What separates this kind of analysis from the former ones is that the idea of omniscience is understood strictly as a function of God’s omnipotence and not in terms of the scope or content of God’s knowledge. The concept of omniscience, it is thought, is only a concept about what God is able to do and not about what he knows. So this view is neutral on the scope of God’s actual knowledge—there may be some things that God does not or cannot know.

One virtue of this view for Christian theists is that it may provide resources for making sense of how Jesus was God even though he seemed to grow in knowledge and wisdom during his life on earth. If to be omniscient, it is sufficient to have a superior kind of cognitive power without thereby exercising that power, Jesus could be said to be divine even though he did not fully exercise his power to know many things. In becoming a man, Jesus relinquished the full exercise of his omnipotence and with it his vast knowledge, nevertheless retaining his power. This position of course leaves one with the curiosity that one can be a human and be omniscient, but perhaps this can be defended. Furthermore, there is a question about whether omniscience is an attribute of only God considered as a complete substance or an attribute of each person. [For more on this understanding of the scope of omniscience see Kvanvig (1986), (1989), and Taliafferro (1993)].

4. Divine Foreknowledge

Quite possibly the most contested area of God’s knowledge has been his knowledge of the future. On the one hand there is the problem of how God’s foreknowledge is possible without canceling the possibility of his creatures’ ability to act freely. If God knows that some event E will happen in the future, there is a sense in which E must happen. But if God knows the future exhaustively, then it seems as if the entire future is fixed and humans are not genuinely free (See Foreknowledge and Freewill). On the other hand, if creatures are free and act indeterminately then it may be that God cannot know what exactly his creatures will do and this lack of knowledge may limit his providential care for them. The theist is thus forced to try to retain a strong sense of (a) God’s knowledge of the future and (b) God’s providence, while at the same time not excluding the possibility of (c) free creaturely action.

There have been many ways of trying to hold on to all three and sometimes the attempts end up diminishing the extent of one at the expense of another. Some begin with a strong sense of God’s sovereignty and then try to explain God’s foreknowledge and creaturely freedom in ways which may end up limiting one or the other. Others begin with a strong sense of creaturely freedom and then explain God’s sovereignty or foreknowledge.

In order to sort out the different views, it will be helpful to offer an argument against the compatibility of God’s foreknowledge and human freedom. The argument will serve as a heuristic device for showing how competing views of God’s foreknowledge have developed at least in part as a way of solving this dilemma. After the argument is presented, four types of foreknowledge which are modeled after human cognitive faculties will be explained as responses to the argument. [For a good introduction to different views about God’s foreknowledge see Beilby and Eddy (2001)].

a. Argument for the Incompatibility of Omniscience and (creaturely) Freedom (IOF)

The following argument is about a fictional person, Ryan, who we are to imagine freely refrains from watching TV on his day off from work. A worry is that if God knows what he will do ahead of time, then Ryan is not really free to refrain from watching TV. Even though this is a fictional account, one can see that if this argument is right it would additionally apply to real people and could be generalized to show that either no one is ever free, or God is not omniscient since he does not have foreknowledge. [For other incompatibility arguments see Fischer (1989)].

  1. God essentially exists in time and is essentially omniscient.
  2. Now suppose someone, call him Ryan, gets a call from his boss on Thursday that he should not come to work, and Ryan stays home from work on Friday but freely refrains from watching TV on Friday even though he could have watched TV.
  3. Principle of Freedom: An act, A, is freely performed by a person S, only if S’s performing the action is not wholly determined by anyone or anything other than S and S could’ve done other than A.
  4. Suppose also that God knows on Thursday that Ryan does not watch TV on Friday.
  5. If Ryan were to have freely watched TV on Friday, then God would have had a false belief on Thursday.
  6. But if God would have had a false belief on Thursday, then God would not have been omniscient on Thursday.
  7. Thus if Ryan were to watch TV on Friday, then God would not have been omniscient on Thursday; in other words, God wouldn’t have existed, since being omniscient is an essential part of what it is to be God.
  8. Thus either Ryan is never free to do things like watch TV (or any other free action for that matter) or Ryan could have brought it about that God did not exist.

b. Perceptual Knowledge of the Future

One way to challenge the conclusion of the IOF argument is to reject the clause in the first premise that God is essentially in time. A number of philosophers have postulated that God is not in time but “sees” all of time from his eternal perspective. Boethius is a good representative of this contingent of philosophers and is one of the earliest philosophers to devote much thought to the question of how God knows the future. God is able to know the future because of the way that God exists, eternally. Boethius describes God’s eternal existence as follows:

“Eternity is a possession of life, a possession simultaneously entire and perfect, which has no end. . . That which grasps and possesses the entire fullness of a life that has no end at one and the same time (nothing that is to come being absent to it, nothing of what has passed having flowed away from it) is rightly held to be eternal.” (Consolation CV 6.4, 144).

God is not like humans who exist wholly at each finite moment in time and endure through time. A human possesses her life only in a small finite window which we call “now”—the past life is no longer possessed but gone, the future is not yet realized. Since our human life is lived in a finite “now”, it is never full and complete but is fragmented. God, however, is perfect and God’s life is not fragmented like the life of a temporally enduring human. He lives in the eternal “now.” His “now” stretches over our past, present, and future. Our finite present is representative of God’s eternal present, but our finite present is only a faint and imperfect model.

Thus by being eternal, the future is not off in the distance for God but is subsumed under his eternal presence. Since God wholly exists at all times in his eternal “now” he can know what happens at every time. Boethius says that God’s foreknowledge “looks at such things as are present to it just as they will eventually come to pass in time as future things.” (Consolation CV 6.21, 147). Boethius’ explanation for how God knows the future is a kind of perceptual model. Foreknowledge is a simple awareness of the future, not involving any complex deductive or inductive reasoning. If having knowledge of something before it happens is like looking far off in the distance, having knowledge in the “eternal now” is like perceiving something immediately before one’s eyes. God “sees” with the divine mind all of existence immediately in one eternal moment. [See Marenbon (2003)].

Objections

Obviously this perceptual model of God’s foreknowledge represented here by Boethius is not meant to be taken literally in the sense that God has eyes and really has a vision in the same sense that humans do. Still, there are other worries besides how to make sense of the way an immaterial being perceives. For one, there are problems about what kinds of propositions God could be justified in believing from his vantage point. It seems that from the perspective of the eternal “now”, God’s knowledge of temporal statements is limited to tenseless, time-indexed propositions—propositions that specify the time a certain event occurred such as “In 1994 Pink Floyd goes on tour” but do not change their truth value over time such as the proposition “Pink Floyd will tour next year.” This latter proposition is true in 1993, but false in 1995.

But God could not know this latter kind of tensed proposition. This is because these kinds of statements describe events relative to the time they are spoken, written, or in general, expressed by creatures. But for God, all time is “now” and it makes no sense to say that something will happen or did happen in relation to God’s temporal “now,” since his temporal “now” subsumes all times. All tensed propositions will be reduced to tenseless propositions. For example, when Jane thinks “Pink Floyd will go on tour next year” what God knows is that “In 1993, Jane thinks that Pink Floyd will go on tour in 1994” and “In 1994, Pink Floyd goes on tour.”

Defenders of Boethius argue that tense is a creaturely fiction; tensed statements only express psychological attitudes but nothing about time itself. As such, there is nothing that God fails to know since time is not really composed of a real past, present, and future. But this debate is yet to be settled.

There is another related problem having to do with the relationship between God’s eternal “now” and every other “now.” The problem can be seen by considering the transitivity of the relation “happening now.” Here is a definition of a transitive relation: x is a transitive relation, if and only if for any A, B, and C, if A stands in x to B, and B stands in x to C, then A stands in x to C. “Being to the left of” is a good example of a transitive relation. If A is to the left of B, and B is to the left of C, then A is to the left of C.

“Happening now” also seems to be transitive. If I am now typing while my wife is writing, and my wife is writing while my daughters are now playing, then I am now typing while my daughters are now playing. Here is the problem for Boethius’ position. For God, I am now typing while he is now seeing me type, and God is now seeing me type while he is seeing Rome burn. But this means that I am now typing while Rome is burning! This seems absurd. The Boethian defender is thus faced with the difficulty of explaining how God’s eternal “now” does not lead to this absurdity. An adequate explanation will need to provide an account of the kind of “now” which is special for God that both meets at least some of our intuitions of what “now” means while avoiding complications which arise from the transitivity of our “now” with God’s “now.”

Another substantial problem with the perceptual model has to do with making sense of God’s providence. If the perceptual view is right, it would seem that God is taking a very large risk in creating. This is because his creative activity must be in some sense prior to his knowledge of his creation—for he cannot be said to know the happenings in the world if it does not exist! In other words, God creates the whole world all at once—past, present, and future—then sees the world from his atemporal vantage point. But if God’s creative activity is logically prior to God’s knowledge of the world, it would seem that God’s creative activity is done in the blind. Thus God runs a risk of creating a world in which tremendous evil occurs.

In response to this objection, an argument might be developed against the notion of “risk” utilized in the objection. If it can be shown that risks imply temporal priority and not just logical priority in actions, then the Boethian understanding of God’s knowledge of the future can be preserved because, since God is outside of time, his creative activity is not temporally prior to his foreknowledge. If this cannot be shown, then the theists who want to maintain God’s future knowledge and God’s providence might move to either of the next two models which have a more straightforward way of preserving God’s providence.

A final problem for this view is with reconciling Boethius’ understanding of foreknowledge with the divine attribute of immutability—God’s changelessness. If God creates the world logically prior to his knowing about the world, then it appears that God learns about what he creates. But to learn of what he creates is for God to change. Hence if Boethius is right, it either means that God is not immutable or that Boethius’ view is internally incoherent.

At least two things could be said in response to this charge. First, typically since at least the time of Aristotle, a change has been thought of as the acquisition or loss of a property from one time to another. If I gain the property of “being 5 feet 11 inches tall” then I have lost some other property, say, “being 5 feet 10 inches tall” and thus have changed. But since God is atemporal, there is no time in which he gains or loses a property. His creation is logically prior to his knowledge, but not temporally prior. Of course, this response hinges crucially on the notion of logical priority—if some sense can be made of it and it can be separated from temporal priority then this objection seems to have been met. A second response is to concede that God has changed, but retort that this kind of change does not affect the doctrine of divine immutability. God does not change with regard to his moral character, but can change in other ways. This response would weaken the doctrine of immutability as it has traditionally been held. [For further objections see Marenbon (2003) and Hoffman and Rosenkrantz 2002].

c. Deductive Knowledge of the Future

i. Deterministic Knowledge (DK)

The DK model for the most part embraces the reasoning of the IOF argument but rejects the Principle of Freedom. Being free is compatible with being determined. Some DK advocates also reject the idea that God is temporal. Both the temporal and atemporal versions are discussed below.

The DK view has been attributed to a number of philosophers and theologians, most notably to the Christian Father, Saint Augustine, and the Protestant Reformer John Calvin. The basic idea is relatively simple. According to DK, God is completely in control of the unfolding of time including everything that happens in the future. This is because he predestines the future. Here, “predestines” means that God determines the outcome of the future. Since the future is determined by God, once God initiates his plan for the future, necessarily, his plan unfolds and there is no possibility of any divergence from the plan. Thus, once God knows his plan and initiates it, God can deduce any event which follows from it because he knows either self-evidently or a priori, (1) the plan prior to its unfolding, (2) that he wants it to unfold, and knows (3) that God gets exactly what he wants.

The DK view is consistent with both an atemporal understanding of God as well as a temporal one. On the atemporal view, God is outside of time and determines the world via one eternal act. Since God is outside of time there is no prior time when God formulates and initiates a plan. Nevertheless it is still right to say that there is a causal or logical priority in this instance and that God’s initiating a plan for the world is logically and causally prior to the unfolding of that plan. So God deduces, logically prior to his one eternal act, everything that will occur given his plan and his intent to create the future.

The temporal view is basically the same. God knows his plan, that he wants it, and that he will get it if he wants it. The only difference is that God has always known this in his infinite temporal existence. God is everlasting and his knowledge of the future is not only logically prior to the future but is temporally prior to the future as well. God deduces what will happen both logically and temporally prior to the future occurrences. For present purposes, the only significant difference between the temporal and atemporal DK model is that the atemporal position can, with the perceptual model, reject the first premise of the IOF argument about God’s essential relationship to time. [For Augustine’s view see Augustine (1979) and Wetzel (2001); for a defense of the DK model see Paul Helm’s chapter in Beilby and Eddy (2001)].

Objections

The DK model has a clear way of preserving God’s providence. Since God causes the future by bringing about his perfect plan, there are no surprises like there seem to be if God knows the future via perception. The model also has a clear way of explaining how God knows, namely by deduction—an infallible guide to a conclusion. So the most substantive objections to this model of knowledge are not epistemological, rather they are metaphysical. One fairly obvious worry is that this view relies on a very tenuous view of freedom, namely that freedom is compatible with determinism. But for many this sounds crazy. What could be any less free than being wholly determined?

Another problem is that it seems that God is the author of not only the good and redemptive acts in the world, but also pain, suffering, and in general, all the evil. Since God’s plan includes evil, human actions as a component, and God’s will is sufficient for bringing about his plan, it would seem that God is the ultimate cause of evil. Although this problem of evil is something that all theists must deal with, it is particularly difficult for the determinist. A defender of DK will either want to argue that this is the best world God could create, or that even if we cannot show that it is, there may be reasons of which we are unaware for why God permits so much evil. [For further objections see remarks against Paul Helm’s view in Beilby and Eddy (2001) and also see Craig (1999)].

ii. Molinism (Middle Knowledge)

Middle knowledge or as it is often called, Molinism, after the 16th century Jesuit theologian Luis de Molina, is also a deductive model (See Middle Knowledge). Like the previous two models, Molinism is not committed to the idea that God is essentially in time. However, Molinists want to maintain a strong view of human freedom and reject the idea that human freedom is compatible with determinism. Their response to the IOF argument is to show that it is invalid because God can know the future, whether in time or not, and humans can still be significantly free. (More will be said below to flesh out precisely how they would respond.)

Like most theories of God’s omniscience, Molinism says that God knows a number of things a priori or self-evidently, for example, necessary mathematical and logical truths, as well as truths about God’s nature, the nature of uncreated creatures, and so on. This is God’s natural knowledge. God also has free knowledge. This is knowledge of contingent truths, such as the truth that “God creates this world,” that “Adam eats the fruit,” and that “the Steelers win the Super Bowl in 2006.” God’s free knowledge is known by God subsequent to acts of God’s free will.

But the Molinist account of how some of this free knowledge is arrived at is different than the account given by some DK advocates who allow that the future is contingent. On the (non-fatalistic) DK model, all of God’s free knowledge of contingent truths is arrived at because of the contingency of God’s causal activity. It is contingently true (and not necessarily true) that Adam eats the fruit only because it is possible that God determine Adam not to eat the fruit. The Molinist rejects this deterministic way of thinking about God’s knowledge and instead posits that God arrives at free knowledge of creaturely actions by deducing it from (a) God’s free knowledge of his own actions and from (b) his middle knowledge of what creatures would do in certain situations that God could place them in. Thus a proper description of God’s knowledge of the future crucially hinges on an account of God’s middle knowledge.

Like natural knowledge, God’s middle knowledge is known prior to God’s free knowledge. But middle knowledge is like free knowledge in that the truths of middle knowledge are contingent and not necessary. Here is an example: “If Eve were in the garden in the circumstances in which a serpent tempts her to eat fruit, then Eve would freely choose to eat the fruit after being placed in these circumstances.” (More generally, items of middle knowledge are subjunctive conditionals of the form “if x were in circumstance C, x would do A.”)

Using this example we can see how God uses it in order to deduce knowledge of the future:

1. Natural Knowledge: It is possible that Eve and a snake are created in a garden and possible that Eve will freely choose to eat the fruit.
2. Middle knowledge: If Eve were in the garden in the circumstances in which a serpent tempts her to eat fruit, then Eve would freely choose to eat the fruit after being placed in these circumstances.
3. Free knowledge: God creates Eve in the garden in the circumstances in which a serpent tempts her to eat the fruit.
4. Free knowledge (of the future): Thus Eve will freely choose to eat the fruit.

The argument is stated in the logical order of God’s knowledge. First, God surveys all the necessary truths which reveals all the possible circumstances that he can create, in this case that it is possible that God create the garden with Eve and the snake in it. God then surveys his middle knowledge to see what Eve would freely do if placed in these circumstances. He then elicits an act of will to create this world or some set of circumstances in the world and thus knows the actual circumstances of the world. Since he knows the circumstances of the actual world and what will happen given those circumstances, he is able to deduce the future.

Middle knowledge (allegedly) gives God perfect providential control of the future. To see how, we must make a distinction between different kinds of conditional statements known by Middle Knowledge. All conditionals about what creatures would freely do are subjunctive conditionals and can be called “subjunctives of freedom.” Within subjunctives of freedom it is worth distinguishing between what might be called factuals and counterfactuals of freedom. A factual of freedom is a true conditional statement about a creature in which the antecedent (the first half of the conditional) and the consequent (the second half of the conditional) are both true. Factuals of freedom are what God uses to deduce knowledge of the future. A counterfactual of freedom is a conditional statement in which the antecedent is (contingently) false and describes a set of circumstances that is contrary to fact, for example, “If Eve were alive today, she would be the First Lady.” According to Molinism, God knows both factuals and counterfactuals of freedom. His knowledge is comprehensive. He knows what people will do when placed in actual circumstances and he knows what they would choose to do if they were placed in other circumstances that God and his creatures never bring about. Knowing both kinds of subjunctives of freedom enables God to see what his creatures would do in any kind of circumstances and allows God to survey all the possible worlds that he might create and choose one that he thinks is good enough to create.

Molinism has a number of attractive features if correct. First, it offers a clear way to describe God’s knowledge of the future as deductive. Second, it retains a robust theory of human freedom. But perhaps just as important, it does not sacrifice God’s providence at the expense of freedom. God is still free to create whatever sorts of worlds he deems feasible by surveying what any particular creature from any species would do if placed in certain situations by God. Thus when God creates, he is not at all surprised by anything about his creation or any actions which his creatures will do because he knows all the circumstances that he will create them in and by his middle knowledge knows exactly what they will do in those circumstances.

To return now to the IOF argument against the compatibility of God’s omniscience with human freedom, we can now give an account of the complex response the Molinist has at his disposal. (For a more in-depth response see Foreknowledge and Freewill).

Although Molinism tends to lend itself to the view that God is atemporal, there is nothing about the position which entails that it must take a position on God’s relationship with time as the perceptual model must. Thus the following response to the IOF argument is presented on behalf of Molinists who believe God is in time (since the atemporal Molinist could simply reject the first premise that God is essentially in time).

The strategy for the temporal-Molinist is to accept the premises of the argument, but object that once the argument is fully understood it will be found to be invalid. There is nothing in the argument that leads to the conclusion that either people are not free or that God cannot have knowledge of free actions. To see how this reply works, it will be useful to first present the problem from a DK model perspective only now cast in Molinist terms. According to the DK advocate, God knows the future exclusively just by knowing his free knowledge of God’s decision to determine the kind of world he wants. His knowledge of what he will do is logically prior to his creating and his knowledge entails what will unfold in the world. So God’s free knowledge does in some sense determine everything and limits human freedom.

But for the Molinist, God knows prior to any decision to create what his creatures would freely do in all circumstances by way of Middle Knowledge. His free knowledge of the future is posterior to his knowledge of what creatures would freely do. So God’s Middle Knowledge, which is only of what creatures would freely do, does not determine what they in fact do. Nor does God’s free knowledge determine what they would freely do since his free knowledge is posterior to God’s Middle Knowledge.

Returning now the IOF argument, prior to Ryan’s actions, God knows what Ryan would freely do if Ryan were placed in certain circumstances. But this knowledge in no way causes Ryan to do what he does, for it just says what Ryan would freely do, not what he must do. Ryan is the cause of his actions, and it is the fact that he does freely choose to refrain from watching TV that makes God’s belief true from all eternity that Ryan would freely refrain from watching TV if given the day off from work. [For a defense of Molinism see Craig (1999) and Flint (1989)].

Objections

There are two problematic questions for Middle Knowledge. One is, on what basis are these conditionals of freedom known? This is an epistemic question about how God is justified in his knowledge of subjunctives of freedom. Second, what are the truth-makers of these conditionals? This is a metaphysical question about the explanation for what makes these conditionals true.

Consider first the epistemic problems having to do with God’s evidence for knowing the future. According to Molinism God knows the future by deducing it in part from factuals of freedom which are contingently true. But factuals of freedom are not themselves deduced from anything, they are known directly by one of God’s Non-inferential Faculties. But by which one? As contingent truths they cannot be known a priori, since a priori knowledge is only of necessary truths. Moreover they are obviously not known by perception, memory, kinesthetic awareness, or testimony. This leaves introspection as the last option. Yet it is a complete mystery what God could know about himself that would yield evidence of what his creatures would freely do if placed in certain circumstances. So it looks as if the Molinist must posit some unknown faculty by which God knows factuals of freedom (as wells as counterfactuals of freedom). But then this account of God’s foreknowledge which started out as a deductive model—modeled after human knowledge—is at bottom wholly inscrutable. Why not, then, just say that God somehow knows the future instead of complicating things with a deductive account?

This kind of objection can be put in a slightly different way. How is it that God knows which of the true subjunctives of freedom are factuals rather than counterfactuals of freedom? Recall that a factual of freedom has a true antecedent and a counterfactual of freedom a false antecedent. But the truth or falsity of the antecedent cannot be known prior to God’s creative activity. For instance, God only knows that it is true that “Eve is in the garden in the circumstances in which a serpent tempts her to eat fruit” after he creates her in these circumstances and knows that it is false that “A Martian is in the garden in the circumstances in which a serpent tempts her to eat fruit” after he decides not to create Martians. But then God cannot know which subjunctive of freedom (that has either the information about Eve or the Martian in the antecedent) should be used in an argument to deduce what will happen in the future prior to his creating.

It might be tempting for the temporal-Molinist to think that someone’s past actions or present character will provide sufficient evidence. But again, this will not help God prior to his decision to create his creatures. His creative act must first be known in order to know what kinds of characters his creatures end up having.

Turning now to the metaphysical side of the problem, there is the difficulty of explaining what it is that makes subjunctives of freedom true. It cannot be a fact about the creatures themselves, for God is supposed to have Middle Knowledge before there are any creatures. Perhaps, then, it is a fact about uninstantiated creaturely essences. God might know a lot about Eve and Martians even before he creates them because he knows the essence of these creatures just like he would know the essence of plants and other kinds of animals before he creates them. But it is strange to think that Eve’s essence could provide knowledge of what she will freely do in certain circumstances. If she is free and not determined to act by the circumstances in which she is created, there is some possible world in which she is placed in the same set of circumstances and freely does not eat the apple. But then there is nothing about her essence which necessitates what she will in fact do when placed in those circumstances—for Eve is essentially Eve in the circumstances in which she freely eats of the fruit and freely refrains from eating. But if not creaturely essences as the ground of the truth of subjunctives of freedom, what then?

It needs to be pointed out that none of the objections to middle knowledge show that God could not have deductive knowledge of the future. At best what the objections show is that Middle Knowledge bottoms out in a mystery. In order to offer a satisfying explanation of how God knows the future, a Molinist must provide an answer to these questions. [For objections to Molinism see Hasker (1989), (2000), and Beilby and Eddy (2001).]

d. Intuitional Knowledge of the Future

Of the three theories presented so far, the only one which has been a model of direct knowledge of the future has been the Boethian perceptual theory. The other two models describe God as having indirect knowledge of the future via deduction. The intuitive model is another account of how God might have knowledge of the future directly. But instead of God having this knowledge via perception God has the knowledge either innately or as a kind of immediate a priori grasp of the truth about the future.

The intuitive model is compatible with God being temporal or atemporal. If the atemporal model is preferred, the intuitionist can respond to the IOF argument in the same way that Boethius does by rejecting the first premise of the argument which says that God is in time. If the temporal model is preferred, the intuitionist can argue like the Molinist that the argument is invalid. The intuitive model of God’s foreknowledge offers no unique objection to the IOF argument.

Here is an account of God’s intuitive knowledge. Intuitive knowledge is knowledge which is in some sense internal to the knower. One can have intuitive knowledge of something without external evidence to justify it. Many have thought that mathematical knowledge is like this. Yes, a human might need external objects to become aware of certain propositions, but they do not need external evidence to be justified in believing the propositions. For instance, it may be true that children need to have symbols of numbers written on a chalk board, or have two blocks presented to them with two other blocks presented to them in order to at first become aware that 2+2 really does equal 4. But the chalk and the blocks are not evidence that 2+2=4; they are more like physical tools (like their own brain) that gets their mind to be aware of the proposition 2+2=4. But once they become aware of the proposition, they just see that it is true. They may even think, “Of course, I’ve always known that!” Some truths we just seem to know in this intuitive way.

If it is true that humans know some things intuitively, it would seem that God does too. Moreover it would seem that unlike humans, God would not even need physical objects like chalk and toy blocks to become aware that 2+2=4. God, it is assumed, could have innate knowledge of mathematical and logical truths without physical objects either helping him to become aware of propositions, making the propositions true, or justifying God’s belief in the propositions. But, the intuitionist argues, if God can know a number of propositions intuitively, why not think that God knows the future intuitively too?

One advantage of the intuitionist position is its flexibility. For instance, since the intuitionist position is silent with regard to God’s relationship to time the intuitionist is able to adopt whatever theory seems best on its own merits and can respond to IOF type arguments with many of the previously mentioned replies. Similarly, the intuitionist position itself makes no claims about the compatibility of God’s actions with human freedom leaving the intuitionist unconstrained in adopting a libertarian or compatibilist view of freedom. Finally, if the future is known exhaustively by intuition, then it would seem that God’s providential control would not be restricted. [For a brief defense of intuitive knowledge of the future see Craig (1999)].

Objections

As just mentioned, the advantage of the intuitionist position is its ability to be flexible and meet a wide range of objections. But this is taken by some as insight into its weakness. The reason why the intuitive account might seem invulnerable to objection is because it can hardly be considered a theory about how God knows at all. The perceptual view and the deductive models at least offer a model of understanding with which we are all quite familiar. This is why it seems that most defenders of God’s knowledge of the future begin with the previously mentioned models and only give them up after much resistance. The intuitionist model seems like a last ditch effort to retain an explanation of God’s foreknowledge if the other models fail. How does God know the future, if the other models fail? He just does, the intuitionist answers, in the same way that we know 2+2=4. But without anything further to add, it can hardly be thought to be an explanation for how God knows the future.

Another reason to think that the intuitionist model is an ad hoc explanation is because most of our intuitions which we count as knowledge are necessary truths, like 2+2=4. Thus intuitive knowledge is often characterized as a priori knowledge (See A priori intuition above). Often it is argued that such truths are either known by knowing the meaning of the terms or are known by grasping the abstract objects involved (in the example, numbers and their relations). But, unless one adopts a fatalist version of the DK model, truths about the future are thought to be wholly contingent. But a priori knowledge is not of contingent truths and thus cannot be how God directly intuits the future.

A second way of characterizing intuitive knowledge is as a kind of introspection. As was discussed above, William Alston recently has appealed to Aquinas’ view, which says that that God knows the future by knowing creaturely essences which are ultimately contained in God’s essence (See Does God have Beliefs? above). This is a very mysterious doctrine (For further elaboration of Aquinas’ view, see Stump).

A final reply is to treat God’s intuitions like intuitions of people who are clairvoyant or psychic. A few studies suggest that some humans have abilities to know extraordinary things by being presented with images of the future or some event taking place well beyond their vision. Such knowledge is of contingent truths. Still, the skeptic may balk at using such questionable instances of knowledge as an illustration analogous to God’s infallible grasp of the future.

e. Limited Knowledge of the Future: Open Theism

Like Molinists, Open Theists are strongly committed to the idea that humans have libertarian freedom. However Open Theists are skeptical that God has the kind of comprehensive knowledge that all of the previous views claim. If faced with the IOF argument given above, the Open Theist will give up the idea that God exhaustively knows the future or will argue that even if God knows the future, his certainty of the future is not strong enough to cause problems for human freedom. Open Theists think that God is in time and that there are at least some tensed and non-tensed statements that God does not know with absolute certainty.

At a minimum, Open Theism is the doctrine that the future has not yet been fully decided, it is “open” to what is not yet completely known by God or anyone else. There are a number of different ways that this “openness” can be explained and defended, some more radical than others. We will first turn to the more radical position and then the more moderate.

i. No Knowledge of the Future

An Open Theist could think that God has no knowledge at all of the future for several reasons. One is because there is no future to know anything about. On either a Presentist view of time (only the present exists) or an Expanding Universe view of time (the growing past is real as well as the present), the future is denied existence. Only what is present exists, or perhaps the past along with the present. But if the future does not exist, then there is nothing to make the following sorts of propositions true “In 2021, a Republican is President;” or “A Republican will be President in 2021.” There is no future to ground the truth of the propositions, so the propositions lack a truth-value.

In response it is fair to note that this position is somewhat radical because it forces one to deny a widely held principle called The Principle of Bivalence: For any proposition, it must be either true or false. The Open Theist of the sort being described can accept that there are propositions about the future but must deny that any are true because there is nothing to make them true. But this does not mean they are false either since there is no contradictory future state of affairs to render the propositions false. The propositions’ truth-values have yet to be decided, but in the present, they lack a truth-value. To fully meet this argument from the Open Theist, one must either defend the view that the future does exist in some sense or that there can be abstract future facts which make propositions about the future true, even if the future does not exist.

A second way to argue that God cannot know the future is to deny that there really are propositions or beliefs about the future. If there were no propositions/beliefs about the future then there could not be knowledge of the future. In order to make sense of what seem like perfectly good claims about the future that we ordinarily make, it can be argued that claims seemingly about the future are really only about the past or present. For example, a statement such as “Amy will go to the store this Tuesday” really just expresses the proposition “Right now, Amy’s dispositions are such that, if it were Tuesday, it would be likely that Amy would go to the store.” So on this view, all statements about God’s purported future knowledge are really just statements which express propositions about the present or the past.

This position is fairly radical and has a limited number of proponents (See Fischer, 23-24). The basic reason against it is that most think that they really are saying something about the future and not just the present. It is very hard to believe that most humans are this confused about what they are saying. Surely even if they are wrong that what they are expressing is true, they are saying something about what will happen and not just about they way things currently are.

Finally, a third line of argument that God cannot know the future at all accepts that there are true propositions about the future but denies that God is or could be justified in believing these propositions to the extent that this justification yields knowledge. For instance, a person could have a true belief that it will rain tomorrow but not know this because the inductive evidence for this belief is just too unreliable. Accordingly, there may not be enough current evidence for God to know with certainty what the future holds.

The trouble with this position is that it seems unlikely that God could not know at least some propositions about the future. It is likely that God could know with certainty some propositions about what he will do, for instance that “God will create plants on the third day,” and also some propositions which are entailed by the present state of affairs taken together with the laws of nature. If God knew all the laws of nature that he established involving gravity and saw at time t1 that a rock is falling, that the wind is blowing at such and such a speed, and so forth, God could know with certainty where the rock will be at some subsequent time t2.

ii. Limited Deductive and Inductive Knowledge of the Future

Some Open Theists think that God has some knowledge of the future but not exhaustive knowledge. God knows with absolute certainty some things that he will do—such as judge the righteous and the wicked—even if he may not know exactly who all those righteous and wicked people will turn out to be. God also knows some future events that are determined by past events taken together with binding laws of nature. He knows exactly where the sun will be in 2025 because he knows where the sun is in 2020 and knows what the laws of nature will determine the sun and every other planetary object to do. In general, God can know everything about the future which can be validly deduced from the present or past.

But as has been noted previously, there is a class of propositions which God cannot know with absolute certainty, perhaps some indeterminate events which take place on the quantum level and future free actions by God’s creatures. Those that think that God cannot know these future events at all, appeal to arguments raised above by the more radical Open Theists—only applying the arguments just to this class of propositions.

An even less radical kind of Open Theist will grant God exhaustive knowledge of the future—or something close to it—but will insist that God’s knowledge of free creaturely actions is never infallible. How then does God know what creatures will do in the future? He knows by induction rather than deduction (See Inferential Faculties above). God can know the characters of people by perceiving the way they are presently disposed to act. He also has memories of what particular creatures have done in past situations. Given all this knowledge, God can know with a high degree of epistemic probability what will happen in the future.

But God may end up having some false beliefs. Someone’s past actions and present character are good indicators of what creatures will do, but if they are genuinely free they could always act differently or do something uncharacteristic. Thus, if God reasons inductively, it is quite probable that he gets some things wrong. But even if he does not, his knowledge is still fallible because his evidence never guarantees its conclusion.

Above it was mentioned that this view “will grant God exhaustive knowledge of the future—or something close to it.” But it is highly probable that God could not have exhaustive inductive knowledge of the future because of the problem of dwindling probabilities. To see the problem, consider God’s knowledge that the Eiffel tower will be built. It is hard to see how God could have inductive knowledge of the Eiffel tower two hundred years prior to its being built. For instance, God would need to know which couples would be married in the future and which will have grandchildren that will be engineers, how Paris’s economy will shape up, whether Paris will be bombed to smithereens in two hundred years and so forth.

Each item in the previous list will need to be assigned some epistemic probability reflecting the likelihood of its truth. Suppose God sees that it is highly probable that Paris’ economy will have sufficient resources for the Eiffel tower, say, he is 90% sure of this. Allow also that God thinks it is highly probable that there will in fact be a good number of engineers in France in two hundred years; again, he is 90% sure. But notice that God will be less sure that both of these things take place. The probability that both will take place can be figured by multiplying the percentages of each which yields an 81% probability. But there are hundreds, perhaps thousands, of factors which need to be considered to determine if the Eiffel Tower will be built. And there are millions of free decisions which will be made. Once all of these probabilities are taken into consideration, the probability that the Eiffel Tower will be built must be extremely small. What this example shows is that if God does have inductive knowledge, it is probably only of a very limited number of things which are not very far into the future. [For a more extended defense of Open Theism see Hasker (2002), (2000), (1989), Hasker et al. (1994), and Hoffman and Rosenkrantz (2002)].

Objections

Some objections have already been mentioned against the arguments that God has no knowledge of the future. The objections to the more limited view will also be objections against the more radical position. Here, then, are a few more problems leveled against Open Theism as a whole.

First is the basic complaint that Open Theism has a new and unorthodox view of God’s knowledge. Of all the views presented, it is the one which thinks of God’s knowledge as most limited. This not only puts constraints on the scope of God’s foreknowledge but this will normally entail a revision of the traditional conception of omniscience as Having knowledge of all true propositions. (Thus Open Theists find Comparative Analyses of God’s Omniscience more conducive to their position).

Open Theists will argue that there are numerous scriptures which support their view—passages which suggest that God regrets creating people, that he changes his mind if people will repent, and that God interacts with his people, responding to them as he learns what they will do. Opponents protest that these readings are anthropomorphic. But the ambiguity of the passages suggests that the disagreement can only be settled by philosophical considerations.

Another problem is that since God learns, God changes. As was already mentioned above this entails that Open Theists must deny God’s immutability. Again, the Open Theist may reply that God’s immutability allows for some changes in God, just not changes involving his impeccable character and love for his creatures.

A third objection is that Open Theism diminishes God’s sovereignty and providence. The Open Theist thinks that it is an advantage of his view that God can relate to and respond to creatures. But the problem with this is if God does not know the future exhaustively, he cannot be of as much help to his creatures since he will be surprised about some things that happen. He can only react to terrible circumstances, but cannot prevent all of them.

Finally, a reoccurring objection is that, if anything, arguments presented by Open Theists just show that competing views have problems and that there is no fully satisfying way of explaining in human terms how God can know the future. But this does not show that God does not know the future. The Open Theist is thus mistaken in concluding that God does not know the future from her failure to understand how it can be known. [For further objections to Open Theism see Flint (1989) and Beilby and Eddy (2001).]

5. References and Further Reading

  • Alston, W. P. (1987). “Does God Have Beliefs,” Religious Studies, 22, 287-306; reprinted in Divine Nature and Human Language: Essays in Philosophical Theology, Cornell University Press, 1989.
  • Augustine (1976). On Grace and Free Will, in Basic Writings of Saint Augustine, vol. I, ed. W. J. Oates, Baker Book House.
  • Boethius (2001). Consolation of Philosophy, trans. Joel C. Relihan, Hackett Publishing.
  • Beilby, J. K. and P. R. Eddy, eds. (2001). Divine Foreknowledge: Four Views, InterVarsity Press.
  • Craig, W. L. (1999). The Only Wise God: The Compatibility of Divine Foreknowledge and Human Freedom, Wipf and Stock Publishers.
  • Craig, W. L. (1988). The Problem of Divine Foreknowledge and Future Contingents from Aristotle to Suarez, E. J. Brill.
  • Fischer, J. M. (1989). God, Foreknowledge, and Freedom, Stanford University Press.
  • Flint, T. (1989). Divine Providence: The Molinist Account, Cornell University Press.
  • Hasker, W. (2002). “The Antinomies of Divine Providence,” Philosophia Christi, 4: 361-376.
  • Hasker, W. (2000). “Anti-Molinism is Undefeated!” Faith and Philosophy, 17: 126-131.
  • Hasker, W. (1989). God, Time, and Knowledge, Cornell University Press.
  • Hasker, W. (1988). “Yes, God Has Beliefs!” Religious Studies, 24: 385-394.
  • Hasker, W., C. H. Pinnock, R. Rice, J. Sanders (1994). The Openness of God: A Biblical Challenge to the Traditional Understanding of God, InterVarsity Press.
  • Hoffman, J. and G. S. Rosenkrantz (2002). The Divine Attributes, Blackwell Publishing.
  • Hunt, D. (1995). “Dispositional Omniscience,” Philosophical Studies, 80: 243-278. The Koran (1999). Trans. N. J. Dawood, Penguin.
  • Kvanvig, J. (1986). The Possibility of An All Knowing God, St. Martin’s.
  • Kvanvig, J. (1989). “Unknowable Truths and the Doctrine of Omniscience,” Journal of the American Academy of Religion, 57: 485-507.
  • Marenbon, J. (2003). Boethius, Oxford University Press.
  • McCann, H. J. (2001). “Divine Providence,” Stanford Encyclopedia of Philosophy, http://plato.stanford.edu/entries/providence-divine/
  • de Molina, L. (1988). On Divine Foreknowledge: Part IV of the Concordia, tr. A. J. Freddoso, Cornell University Press.
  • Rosenkrantz, G. S. (1993). Haecceity: An Ontological Essay, Kluwer.
  • Stump, E. (2003). “Chapter 5: God’s Knowledge,” in Aquinas, Routledge.
  • Taliaferro, C. (1993). “Unknowable Truths and Omniscience: A Reply to Kvanvig,” Journal of the American Academy of Religion, 61: 553-566.
  • Wetzel, T. (2001). “Predestination, Pelagianism, and Foreknowledge,” in The Cambridge Companion to Augustine, N. Kretzmann and E. Stump eds., Cambridge University Press: 49-58.
  • Wierenga, E. (1989). The Nature of God: An Inquiry into Divine Attributes, Cornell University Press.

Author Information

Tully Borland
Email: tborland@purdue.edu
Purdue University
U. S. A.

Thomas Aquinas: Moral Philosophy

aquinasThe moral philosophy of St. Thomas Aquinas (1225-1274) involves a merger of at least two apparently disparate traditions: Aristotelian eudaimonism and Christian theology. On the one hand, Aquinas follows Aristotle in thinking that an act is good or bad depending on whether it contributes to or deters us from our proper human end—the telos or final goal at which all human actions aim. That telos is eudaimonia, or happiness, where “happiness” is understood in terms of completion, perfection, or well-being. Achieving happiness, however, requires a range of intellectual and moral virtues that enable us to understand the nature of happiness and motivate us to seek it in a reliable and consistent way.

On the other hand, Aquinas believes that we can never achieve complete or final happiness in this life. For him, final happiness consists in beatitude, or supernatural union with God. Such an end lies far beyond what we through our natural human capacities can attain. For this reason, we not only need the virtues, we also need God to transform our nature—to perfect or “deify” it—so that we might be suited to participate in divine beatitude. Moreover, Aquinas believes that we inherited a propensity to sin from our first parent, Adam. While our nature is not wholly corrupted by sin, it is nevertheless diminished by sin’s stain, as evidenced by the fact that our wills are at enmity with God’s. Thus we need God’s help in order to restore the good of our nature and bring us into conformity with his will. To this end, God imbues us with his grace which comes in the form of divinely instantiated virtues and gifts.

This article first considers Aquinas’s metaethical views. Those views provide a good context for understanding his unique synthesis of Christian teaching and Aristotelian philosophy. Also, his meta-ethical views provide an ideal background for understanding other features of his moral philosophy such as the nature of human action, virtue, natural law, and the ultimate end of human beings. While contemporary moral philosophers tend to address these subjects as discrete topics of study, Aquinas’s treatment of them yields a bracing, comprehensive view of the moral life. This article presents these subjects in a way that illuminates their interconnected roles.

Table of Contents

  1. Metaethics
  2. The Nature of Human Action
  3. The Cardinal Virtues
    1. Prudence
    2. Temperance
    3. Courage
    4. Justice
  4. Natural Law
  5. Charity and Beatitude
  6. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Metaethics

Aquinas’s metaethical views are indebted to the writings of several Christian thinkers, particularly Augustine’s Confessions, Boethius’s De hebdomadibus, and perhaps Anselm’s Monologium. Due to the constraints of space, the present section will only consider Augustine’s influence on Aquinas’s views.

According to Augustine, “things that exist are good” (Confessions VII.12). This claim is meant to express a basic metaphysical idea, namely, that if something exists, then it necessarily has some degree of goodness. Augustine’s argument for this claim is as follows. We can divide existing things into two categories: incorruptible things and corruptible things, with the latter being inferior to the former. If something is incorruptible, then by definition it cannot be made worse; that is, it cannot lose whatever goodness it may have. On the other hand, if something is corruptible, then it can be made worse. Notice that a thing’s being corruptible presupposes having goodness. Otherwise, it would not have any goodness it could lose. While this argument may be sufficient to show that corruptible things necessarily have goodness, Augustine uses it to identify a problem with the view that something can exist even if it has no goodness at all. For if something has no goodness, then it cannot lose goodness and must therefore be incorruptible. And since incorruptibility is better than corruptibility, it looks as if something lacking goodness is better than its corruptible counterpart, which has goodness. Clearly, this is incoherent. Augustine writes: “What can be more monstrous than to maintain that by losing all [its] goodness [something can] become better” (Ibid.)? Yet this is precisely the implication of claiming that something with no goodness whatsoever can exist. According to Augustine, the only remedy for this problem is to deny the existence of things that have no goodness. If something exists, then it must necessarily have goodness.

Echoing the general thrust of Augustine’s argument, Aquinas claims that “Goodness and being are really the same.” (Summa Theologiae [hereafter ST] Ia 5.1). The term “being” here is roughly equivalent to what is actual or existing. Thus what Aquinas means to convey is that something is good insofar as it actual. By contrast, evil has no actuality in its own right. It would be a mistake, then, to speak of evil as an actual “thing,” if by “thing” we mean an existing being or quality. For evil is a deprivation of what is actual, like blindness or sickness. For this reason, Aquinas says that something is evil “inasmuch as it is deprived of some particular good that pertains to its due or proper perfection” (QDM 1.1 ad 1; ST Ia 48.2 passim). Again, Augustine’s influence is clear. For him, something is evil insofar as its existence is diminished or corrupted in some way. If something had no goodness whatsoever, it would lack all goods, even the good of existence itself. Augustine says, “if something where deprived of all goodness, it would be altogether nothing; therefore as long as something is, it is good” (Confessions,VII.12).

Aquinas’s meta-ethics is also indebted to an Aristotelian view of living things. Following Aristotle, Aquinas says that living things are composites of matter and substantial form. By “substantial form” he means a principle that organizes matter into a discrete substance equipped with certain powers or “potentialities.” On this view, a thing’s substantial form constitutes the nature a thing has; it is the metaphysical aspect in virtue of which a substance is the kind of thing it is and has the species-defining powers it has (ST Ia 76.1; Cf. Ia 5.5; IaIIae 85.4). Aquinas goes on to argue that all substances seek their own perfection (ST Ia 6.1). That is, they all seek as their final end a fully realized state of existence or actuality. Yet a substance cannot achieve that final end without exercising the powers it has in virtue of its substantial form. As Scott MacDonald explains: “The end, completion, or perfection of a natural substance is its having fully actualized its specifying capacity [or power], its actually performing the activity for which its form or nature provides the capacity” (MacDonald, 1991a: 5). In other words, a substance achieves its perfection through the proper exercise of its species-defining powers. And because Aquinas thinks that existence and goodness have the same referent, it appears that the proper exercise of those powers also contributes to that substance’s goodness. For “since the state or activity that constitutes a substance’s full actuality is that substance’s end and an end is good, that state or activity constitutes the substance’s good.” (Ibid.).

Aquinas considers a fairly straightforward objection to this view: “Goodness can be more or less. But being cannot be more or less. Therefore goodness differs from being” (ST Ia 5.1 obj. 3). In other words, goodness is a relative property. Some people are morally better than other people. Some horses are more developed and better trained than other horses. Some organs are healthier and function better than other organs. In each case, the goodness things have will not be identical in terms of quantity. On the other hand, being (understood in terms of being actual or existing) is not varied in this way. Something either exists or it doesn’t. This crucial difference seems to prove that being and goodness cannot be the same. In addressing this worry, Aquinas concedes that there is a kind of existence, or being, that is all-or-nothing. He calls this “substantial being,” or being simply. Something has substantial being as long as it is actual or exists (ST Ia 5.1 ad 1). We might also claim that every thing that has substantial being also has substantial goodness. That is, something is good insofar it exists or has being.

On the other hand, members of the same species can enjoy different grades of maturity or completeness. As Norman Kretzmann and Eleonore Stump explain, something may be “a more or less fully developed actualized specimen” (Kretzmann and Stump, 1988: 292). For example, a healthy adult dog is more developed—that is, more actualized—than a puppy, whose fledgling state prevents it from participating in those activities characteristic of more mature dogs (e.g., reproduction, nurturing their young, etc.). The actuality referred to here is what Aquinas calls relative being. He says: “by its substantial being, everything is said to have being simply; but by any further actuality it is said to have being relatively” (STIa 5.1 ad 1). The idea of “relative being” refers to the quality that accrues when a living thing exercises its species-defining capacities and, in turn, becomes a more perfect. Again, by “more perfect” Aquinas simply means “more actual.” For “anything whatever is perfect to the extent that it is in actuality, since potentiality without actuality is imperfect” (ST IaIIae 3.2). And just as a thing’s relative being is a matter of degree, so there is a kind of goodness—“relative goodness”—that corresponds to the degree of actuality a thing has. For “goodness [in the current sense] is spoken of as more or less according to a thing’s superadded actuality”—the kind of actuality that goes beyond a thing’s mere substantial being (STIa 5.1 ad 3; ST IaIIae 18.1; SCG III 3, 4).

The forgoing analysis provides the conceptual background for understanding the nature of human goodness. As we have seen, something is good to the extent that its species-defining powers are properly actualized. For Aquinas, the species-defining characteristic of human beings is reason. And since something achieves goodness by exercising its species-defining powers, it follows that reason’s proper exercise will result in human goodness. Kretzmann and Stump put the point this way: “human goodness, like any goodness appropriate to one’s species, is acquired by performing instances of the operations specific to its species, which in the case of humanity is the rational employment of rational powers” (Kretzmann and Stump, 1988: 287). In short, human goodness ultimately consists in the proper exercise of a person’s rational capacities. This analysis of human goodness serves to guide our evaluation of human actions. Whether an action is good (or bad) depends on whether it is commensurate with (or contrary to) our nature as rational beings. In this way, the real difference between good and bad actions is a difference in relation to reason (ST IaIIae 18.5).

2. The Nature of Human Action

According to Aquinas’s metaethics, human goodness depends on performing acts that are in accord with our human nature. But what sort of acts are those? In other words, what feature or features serve to distinguish human acts from acts of a different kind? Here we must go beyond the simple claim that an action is human just insofar as it is rational. For while this claim is no doubt true, the nature of rationality itself needs explanation. This section seeks to explore more fully just what rationality or reason consists in according to Aquinas. Only then can we understand the nature of human action and the end at which such action aims.

Aquinas provides the most comprehensive treatment of this subject in the second part of the Summa theologiae. There, he explains that reason is comprised of two powers: one cognitive, the other appetitive. The cognitive power is the intellect, which enables us to know and understand. The intellect also enables us to apprehend the goodness a thing has. The appetitive power of reason is called the will. Aquinas describes the will as a native desire for the understood good. That is, it is an appetite that is responsive to the intellect’s estimations of what is good or choiceworthy (ST Ia 82.1; QDV 3.22.12). On this view, all acts of will are dependent on antecedent acts of intellect; the intellect must supply the will with the object to which the latter inclines. In turn, that object moves the will as a final cause “because the good understood is the object of the will, and moves it as an end” (ST Ia 82.4).

From the abbreviated account of intellect and will provided thus far, it may appear that the intellect necessitates the will’s acts by its own evaluative portrayals of goodness. Yet Aquinas insists that no single account of the good can necessitate the will’s movement. Most goods do not have a necessary connection to happiness. That is, we do not need them in order to be happy; thus the will does not incline to them of necessity (ST Ia 82.2). But what of those goods that do have a necessary connection to happiness? What about the goodness of God or those virtues that lead us to God “in whom alone true happiness consists” (Ibid.)? According to Aquinas, the will does not incline necessarily to these goods, either. For in this life we cannot see God in all his goodness, and thus the connection between God, virtue, final happiness will always appear opaque. Aquinas writes: “until through the certitude of the Divine Vision the necessity of such connection be shown, the will does not adhere to God of necessity, nor to those things which are of God” (Ibid.).

In this life, then, our intellectual limitations prevent us from apprehending what is good simpliciter. Instead, we are presented with competing goods between which we must choose (ST Ia 82.2 ad 1). Some goods provide immediate gratification but no long-term fulfillment. Other goods may precipitate hardship but eventually make us better people. Indeed, sometimes we must exercise considerable effort in ignoring superficial or petty pleasures while attending to more difficult yet enduring goods. To employ Aquinas’s parlance, the will must exercise efficient causality on the intellect by instructing it to consider some goods rather than others (ST Ia 82.4). This happens whenever we, through our own determination, direct our attention away from certain desirable objects and toward those we think are more choiceworthy. Of course, our character will often govern the goods we desire and ultimately choose. Even so, Aquinas does not think that our character wholly determines our choices, as evidenced by the fact that we sometimes make decisions that are contrary to our established habits. This is actually fortunate for us, for it suggests that even people disposed toward evil can manage to make good choices and perhaps begin to correct their more hardened and inordinate inclinations.

Now we are prepared to answer the question posed at the beginning of this section: what actions are those we can designate as human? The answer is this: human actions are those over which one has voluntary control (ST IaIIae 1.1). Unlike non-rational animals, human beings choose their actions according to a reasoned account of what they think is good. Seen this way, human actions are not products of deterministic causal forces. They are products of our own free judgment (liberum arbitrium), the exercise of which is a function of both intellect and will (ST Ia 83.3). When discussing what it is that makes an action “human,” then, Aquinas has in mind those capacities whereby one judges and chooses what is good. For it is through one’s ability to deliberate and judge in this way that one exercises mastery over one’s actions (ST IaIIae 1.1).

So far, we’ve established that human actions are actions that are governed by a reasoned consideration of what is good. Aquinas also thinks that the good in question functions as an end—the object for the sake of which the agent acts. “For the object of the will is the end and the good” (Ibid.). There are two worries that emerge here, both of which can be resolved rather quickly. First, it seems we do not always act for the sake of an end. Many actions we perform are not products of our own deliberation and voluntary judgment (like nervous twitches, coughs, or unconscious tapping of the foot). Yet Aquinas points out that acts of this sort are not properly human acts “since they do not proceed from the deliberation of the reason” (Ibid., ad 3). In order for an act to count as a human act, it must be a product of the agent’s reasoned consideration about what is good. Second, it appears that Aquinas is mistaken when he says that the ends for the sake of which we act are good. Clearly, many things we pursue in life are not good. Aquinas does not deny this. He agrees that cognitive errors and excessive passion can distort our moral views and, in turn, incline us to choose the wrong things. Aquinas’s point, however, is that our actions are done for the sake of what we believe (rightly or wrongly) to be good. Whether the ends we pursue are in fact good is a separate question—one to which we will return below.

Aquinas does not simply wish to defend the claim that human acts are for the sake of some good. Following Augustine, he insists that our actions are for the sake of a final good—a last end which we desire for its own sake and for the sake of which everything else is chosen (ST Ia 1.6 sed contra ). If there was no such end, we would have a hard time explaining why anyone chooses to do anything at all. The reason for this is as follows. Aquinas argues that for every action or series of actions there must be something that is first in “order of intention” (ST Ia 1.4). In other words, there must be some end or good that is intrinsically desirable and serves the will’s final cause. According to this view, such a good is a catalyst for desire and is therefore necessary in order for us to act for the sake of what we desire. MacDonald writes, “one can explain [a given action] only by appealing to some end or good that is itself capable of moving the will—that is, by appealing to an end that is viewed desirable in itself” (MacDonald, 1991b: 44). Were you to remove the intrinsically desirable end, then you would remove the very principle that motivates us to act in the first place (ST IaIIae 1.4). This account also helps explain why we cannot postulate an “indefinite series of ends” when explaining human actions (Ibid.). For the existence of an indefinite series of ends would mean that there is no intrinsically desirable good for the sake of which we act. In the absence of any such good, we would not desire anything and thus never have the necessary motivation to act (Ibid.). So there must be a last end or final good that we desire for its own sake.

This last claim still does not capture what Aquinas ultimately wishes to show, namely, that there is a singleend for the sake of which all of us act (ST IaIIae 1.5). To put the matter as starkly as possible, Aquinas wants to argue that every human act of every human being is for the sake of a single end that is the same for everyone (ST IaIIae 1.5-7). The previous argument did not require us to think that the final end for which we act is the same for everyone. Nor did it show that the end at which every human being aims consists in a specific, solitary good (as opposed to a constellation of goods). What, exactly, is this last end at which we aim? As we saw in the preceding section, all of us seek after our own perfection (ST Ia 1.6). We do so by performing actions we think will—directly or indirectly—contribute to or facilitate a life that is more complete or fulfilling than it would be otherwise. In other words, the last end—the end or good that we desire for its own sake—is happiness, whereby “happiness” Aquinas means the sort of perfection or fulfillment just described.

Admittedly, this claim is fairly abstract and uncontroversial. After all, Aquinas does not say whathappiness consists in–the thing in which it is realized. He simply wishes to show that there is something everyone desires and pursues, namely, ultimate fulfillment. He says, “everyone desires the fulfillment of their perfection, and it is precisely this fulfillment in which the last end consists” (ST IaIIae 1.7; emphasis mine). So construed, the idea of the last end is, as MacDonald explains, a “formal concept…of the complete and perfect good, that which completely satisfies desire” (MacDonald, 1991b: 61). But while everyone acts for the sake of such an end abstractly conceived, Aquinas recognizes that there is considerable disagreement over what it is in which happiness consists (ST IaIIae 1.7). So there is a difference between the idea of the last end (an idea for the sake of which everyone acts) and the specific object in which the last end is thought to consist (Ibid.). Some people think that the last end consists in the acquisition of external goods, like riches, power, or fame (ST IaIIae 2.1-4). Others think it consists in goods of the body, like comeliness or physical pleasure (ST IaIIae 2.5 and 6). And still others think that happiness consists in acquiring goods of the soul such as knowledge, virtue, and friendship (ST IaIIae 2.7). But as laudable as some of these good are (particularly those of the latter category), they are all beset with unique deficiencies that preclude them from providing the kind of complete fulfillment characteristic of final happiness.

What is it, then, in which our last end really consists or is realized? For Aquinas, the last end of happiness can only consist in that which is perfectly good, which is God. Because God is perfect goodness, he is the only one capable of fulfilling our heart’s deepest longing and facilitating the perfection at which we aim. Thus he says that human beings “attain their last end by knowing and loving God” (ST IaIIae 1.8). Aquinas refers to this last end—the state in which perfect happiness consists—as the beatific vision. The beatific vision is a supernatural union with God, the enjoyment of which surpasses the satisfaction afforded by those goods people sometimes associate with the last end. But if perfect happiness consists in the beatific vision, then why do people fail to seek it? Actually, all people do seek it—at least in some sense. As we have already noted, all of us desire our own perfection, which is synonymous with final happiness. Unfortunately, many of our actions are informed by mistaken views of what happiness really consists in. These views may be the result of some intellectual or cognitive error (say if one’s views are the result of ignorance or ill-informed deliberation). But more than likely, our mistaken views will be the result of certain appetitive excesses that corrupt our understanding of what is really good. For this reason, good actions require excellences—or virtues—of both mind and appetite. The next section seeks to explain more fully what those virtues are and why we need them.

3. The Cardinal Virtues

Aquinas offers several definitions of virtue. According to one very general account, a virtue is a habit that “disposes an agent to perform its proper operation or movement” (DVC 1; ST IaIIae 49.1). Because we know that reason is the proper operation of human beings, it follows that a virtue is a habit that disposes us to reason well. This account is too broad for our present purposes. While all virtues contribute in some way to our rational perfection, not every virtue disposes us to live morally good lives. Some virtues are strictly intellectual perfections, such as the ability to grasp universals or the causes underlying the world’s origin and operation. For the purposes of this essay, our concern will be with those virtues that are related to moral decision and action. That is, we will consider those virtues which Aquinas (following Augustine) describes as “good [qualities] of mind whereby we live righteously” (ST IaIIae 55.4).

A cursory glance at the second part of the Summa Theologiae would reveal a host of virtues that are indicative of human goodness. But there are essentially four virtues from which Aquinas’s more extensive list flows. These virtues are prudence, justice, temperance, and courage (ST IaIIae 61.2). Aquinas refers to these virtues as the “cardinal” virtues. They are the principle habits on which the rest of the virtues hinge (cardo) (Rickaby, 2003). To put the matter another way, each cardinal virtue refers to a general type of rectitude that has various specifications. For example, the virtue of prudence (which we will consider in more detail shortly) denotes a “certain rectitude of discretion in any actions or matters whatever” (ST IaIIae 61.4; 61.3). Any virtue the point of which is to promote discretion with respect to action will be considered a part of prudence. Similarly, temperance concerns the moderation of passion, and thus will include any virtue that seeks to restrain those desires of a more or less insatiable sort (Ibid.).

Moreover, Aquinas thinks the cardinal virtues provide general templates for the most salient forms of moral activity: commanding action (prudence); giving to those what is due (justice); curbing the passions (temperance); and strengthening the passions against fear (courage) (IaIIae 61.3). A more detailed sketch of these virtues follows (although I will address them in an order that is different from the one Aquinas provides).

a. Prudence

In order to act well, we need to make good judgments about how we should behave. This is precisely the sort of habit associated with prudence, which Aquinas defines as “wisdom concerning human affairs” (STIIaIIae 47.2 ad 1) or “right reason with respect to action” (ST IIaIIae 47.4). In order to make good moral judgments, a twofold knowledge is required: one must know (1) the general moral principles that guide actions and (2) the particular circumstances in which a decision is required. For “actions are about singular matters: and so it is necessary for the prudent man to know both the universal principles of reason, and the singulars about which actions are concerned” (ST IIaIIae 47.3; Cf. STIaIIae 18.3). This passage may appear to suggest that prudence involves a fairly simple and straightforward process of applying moral rules to specific situations. But this is somewhat misleading since the activity of prudence involves a fairly developed ability to evaluate situations themselves. As Thomas Hibbs explains: “prudence involves not simply the subordination of particulars to appropriate universals, but the appraisal of concrete, contingent circumstances” (Hibbs, 2001: 92). From this perspective, good decisions will always be responsive to what our situation requires. Thus we cannot simply consult a list of moral prescriptions in determining what we should do. We must also “grasp what is pertinent and to assess what ought to be done in complex circumstances” (Ibid., 98).

According to Aquinas, then, the virtue of prudence is a kind of intellectual aptitude that enables us to make judgments that are consonant with (and indeed ordered to) our proper end (ST IaIIae 57.5). Note here that prudence does not establish the end at which we aim. Our end is the human good, which is predetermined by our rational nature (ST IIaIIae 47.6). Nor does prudence desire that end; for whether we desire our proper end depends on whether we have the rights sorts of appetitive inclinations (as we shall see below). According to Aquinas, prudence illuminates for us the course of action deemed most appropriate for achieving our antecedently established telos. It does this through three acts: (1) counsel, whereby we inquire about the available means of achieving the end; (2) judgment, whereby we determine the proper means for achieving the end; and finally (3) command, whereby we apply that judgment (ST IIaIIae 47.8). While we need a range of appetitive excellences in order to make good choices, we also need certain intellectual excellences as well. That is, we must be able to deliberate and choose well with respect to what is ultimately good for us.

As a cardinal virtue, prudence functions as a principal virtue on which a variety of other excellences hinge. Those excellences include: memory, intelligence, docility, shrewdness, reason, foresight, circumspection, and caution (ST IIaIIae 49.1-8).  Without these excellences, we may commit a number of cognitive errors that may prevent us from acting in a morally appropriate way. For example, we may reject the guidance of good counsel; make decisions precipitously; or act thoughtlessly by failing “to judge rightly through contempt or neglect of those things on which a right judgment depends” (ST IIaIIae 53.4). We may also act for the sake of goods that are contrary to our nature. This invariably happens when the passions cloud our judgment and make deficient objects of satisfaction look more choiceworthy than they really are. In order to make reliable judgments about what is really good, our passions need some measure of restraint so that they do not corrupt good judgment. In short, prudence depends on virtues of the appetite, and it is to these virtues we now turn.

b. Temperance

Temperance has a twofold meaning. In a general sense, the term denotes a kind of moderation common to every moral virtue (ST IIaIIae 141.2). In its more restricted sense, temperance concerns the moderation of physical pleasures, especially those associated with eating, drinking, and sex (ST IIaIIae 141.4). We display a common propensity to sacrifice our well-being for the sake of these transient goods. Thus we need some virtue that serves to restrain what Aquinas calls “concupiscible passion” –the appetite whereby we desire what is pleasing and avoid what is harmful (ST Ia 82.2). Temperance is that virtue, as it denotes a restrained desire for physical gratification (ST IIaIIae 141.2, 3).

Aquinas does not think that temperance eradicates our desire for bodily pleasure. Nor does he think that temperance is a matter of desiring physical pleasure less. Such a description suggests that physical gratification is an innately deficient type of enjoyment. Yet Aquinas denies this. Physical pleasure, he says, is the result of the body’s natural operations (ST IIaIIae 141.4). According to Aquinas, the purpose of temperance is to refine the way we enjoy bodily pleasures. Specifically, it creates in the agent a proper sense of moderation with respect to what is pleasurable. For a person can more easily subordinate herself to reason when her passions are not excessive or deficient. On this view, bodily enjoyment can in fact be an integral part of a rational life. For the moderated enjoyment of bodily pleasure safeguards the good of reason and actually facilitates a more enduring kind of satisfaction. Thus Aquinas insists that “sensible and bodily goods … are not in opposition to reason, but are subject to it as instruments which reason employs in order to attain its proper end” (ST IIaIIae 141.3).

Like prudence, temperance is a cardinal virtue. There are a host of subsidiary virtues that fall under temperance because they serve to modify the most insatiable human passions. For example, chastity,sobriety and abstinence—which denote a retrenchment of sex, drink, and food, respectively—are (predictably) all parts of temperance. Yet there are other virtues associated with temperance that may strike the reader as surprising. For example, Aquinas argues that humility is a part of temperance. Humility aims to restrain the immoderate desire for what one cannot achieve. While humility is not concerned with tempering the appetites associated with touch, it nevertheless consists in a kind of restraint and thus bears a formal resemblance to temperance. He says: “whatever virtues restrain or suppress, and the actions which moderate the impetuosity of the passions, are considered parts of temperance” (ST IIaIIae 161.4). Thus Aquinas also thinks meeknessclemency, and studiousness are parts of temperance. They, too, restrain certain appetitive drives: specifically anger, the desire to punish, and the desire to pursue vain curiosities, respectively.

c. Courage

Temperance and its subsidiary virtues restrain the strong appetite, such as the sexual appetite But courage and its subsidiary virtues modify what Aquinas calls the irascible appetite. By “irascible appetite” Aquinas means the desire for that which is difficult to attain or avoid (ST IaIIae 23.1). Occasionally, the difficulty in achieving or avoiding certain objects can give rise to various degrees of fear and, in turn, discourage us from adhering to reason’s instruction. In these cases we may refuse to endure the pain or discomfort required for achieving our proper human good. Note here that fear is not innately contrary to reason. After all, there are some things that we should fear, like an untimely death or a bad reputation. Only when fear prevents us from facing what we ought to endure does it become inimical to reason (ST IIaIIae 125.1). In these cases, we need a virtue that moderates those appetites that prevent from undertaking more daunting tasks. According to Aquinas, courage is that virtue.

We need courage to restrain our fears so that we might endure harrowing circumstances. Yet courage not only mollifies our fears, it also combats the unreasonable zeal to overcome them. An excessive desire to face fearful circumstances constitutes a kind of recklessness that can easily hasten one’s demise. Thus we need courage in order to both curb excessive fear and modify unreasonable daring (ST IIaIIae 123.3). Without courage, we will be either governed by irrational fear or a recklessness that eschews good counsel, making us vulnerable to harm unnecessarily.

Like prudence and temperance, courage is a cardinal virtue. Those with courage will also have a considerable degree of endurance. For one must be able to “stand immovable in the midst of dangers,” especially those dangers that threaten bodily harm and death (ST IIaIIae 123.6). Lack of endurance will no doubt undermine one’s ability to bear life’s travails. The courageous person must also be confident (which is closely aligned with magnanimity). For he will not only have to endure pain and suffering, he must aggressively confront the obstacles that stand in the way of achieving his proper good. His success in confronting those obstacles requires that he exercise a “strength of hope” which arises from a confidence in his own strength, the strength of others, or the promises of God. Such hope enables him to confront threats and challenges without reservation (ST IIaIIae 129.6). The courageous person will also display magnificence, that is, a sense of nobility with respect to the importance of his endeavors. Quoting Tully, Aquinas underscores the value of what the courageous person seeks to attain by executing his actions with a “greatness of purpose” (ST IIaIIae 128.1). Finally, the courageous person will havepatience and perseverance. That is, he will not be broken by stress or sorrow, nor will he be wearied or discouraged due to the exigencies of his endeavors (Ibid.).

d. Justice

The virtues we have considered thus far concern our own state. The virtue of justice, however, governs our relationships with others (ST IIaIIae 57.1). Specifically, it denotes a sustained or constant willingness to extend to each person what he or she deserves (ST IIaIIae 58.1). Beyond this, Aquinas’s account of justice exhibits considerable breadth, complexity, and admits of various distinctions. Constraints of space, however, force me to mention only two sets of distinctions: (1) legal (or general) and particular justice, and (2) commutative and distributive justice.

The purpose of legal justice is to govern our actions according to the common good (ST IIaIIae 58.6). Construed this way, justice is a general virtue which concerns not individual benefits but community welfare. According to Aquinas, everyone who is a member of a community stands to that community as a part to a whole (ST IIaIIae 58.5). Whatever affects the part also affects the whole. And so whatever is good (or harmful) for oneself will also be good (or harmful) for the community of which one is a part. For this reason, we should expect the good community to enact laws that will govern its members in ways that are beneficial to everyone. This focus—the welfare of the community—is what falls under the purview of legal justice.

A clarification is in order. Aquinas acknowledges that legal justice does not appear to be altogether different from the virtues we previously considered. After all, courage, temperance, and prudence are just as likely to contribute to others’ welfare as legal justice. Yet these virtues differ logically from legal justice because they have specific objects of their own (ST IIaIIae 58.6). Whereas legal justice concerns the common good, prudence concerns commanding action, temperance concerns curbing concupiscent passion, and courage concerns strengthening irascible passion against fear. To put the matter as baldly as possible, the purpose of the other virtues is to make us good people; making us good citizens is the end at which legal justice aims (Ibid., sed contra). Of course, it would be a mistake to conclude from this account that the other virtues have nothing to do with the common good. Failure to moderate our baser appetites not only forestalls the development of personal virtue but leads to acts which are contrary to others’ well being. For example, restraining impetuous sexual appetite is the province of temperance. But as Thomas Williams insightfully points out, “sexuality [also] has implications for the common good.” For “there are precepts of justice that regulate our sex lives: fornication and adultery are violations not only of chastity but also of justice” (Williams, 2005: xvii). Thus Aquinas insists that temperance can do more than just modify our sexual drives. So long as it is shaped or informed by legal justice, temperance can direct us to preserve the common good in our actions (ST IIaIIae 58.6). We can say the same for prudence and courage. Legal justice must govern all acts of virtue to ensure that they achieve their end in a way that is commensurate with the good of others.

Now, we cannot fulfill the demands of justice only by considering what legal (or general) justice requires. We also need particular justice—the virtue which governs our interactions with individual citizens. Unlike general justice, particular justice directs us not to the good of the community but to the good of individual neighbors, colleagues, and other people with whom we interact regularly. Initially, it may appear as if particular justice is a superfluous virtue. As one objection to Aquinas’s view states, “general justice directs man sufficiently in all his relations with other men. Therefore there is no need for a particular justice” (ST IIaIIae 58.7 obj. 1). Aquinas agrees that general justice can direct us to the good of others, but only indirectly (ST IIaIIae 58.7 ad 1). It does this by providing us with very general precepts (do not steal, do not murder, etc) the point of which is to help us preserve the common good in our actions. Yet no situation requiring justice is the same, and thus our considerations of what is just must extend beyond what these general precepts dictate. We must be mindful of individual needs and judicious when applying these precepts. This is why Aquinas insists that the proximate concern of particular justice cannot be the common good but the good of individuals (Ibid.). In fulfilling its purpose, however, particular justice is a means of preserving community welfare.

Following Aristotle, Aquinas identifies two species of particular justice that deserve attention:commutative and distributive justice. Both seek to preserve equality between persons by giving to each person what is due. Yet Aquinas notes that there are “different kinds of due,” and this fact necessitates the current distinction (ST IIaIIae 61.1 ad 5; ST IIaIIae 61.2 ad 2). Commutative justice concerns the “mutual dealings” between individual citizens (ST IIaIIae 61.1). Specifically, it seeks to ensure that those who are buying and selling conduct their business fairly (In NE V.928). In this context “what is due” is a kind of equality whereby “one person should pay back to the other just so much as he has become richer out of that which belonged to the other” (ST IIaIIae 61.2). In other words, the value of a product should be equal to what one pays for that product. Similarly, a person should be paid an amount that is comparable to the value of what he sells. In short, the kind of equality commutative justice seeks to preserve is a matter of quantity (Ibid; In NE V.950).

Distributive justice concerns the way in which collective goods and responsibilities “are [fairly] apportioned among people who stand in a social community” (In NE V.927). Yet with respect to distributive justice, what a person receives is not a matter of equal quantity but “due proportion” (STIIaIIae 61.2). After all, it would be unjust if “laborers are paid equal wages for doing an unequal amount of work, or are paid unequal wages for doing an equal amount of work” (In NE V 4.935). Aquinas also thinks that a person of higher social station will require a greater proportion of goods (ST IIaIIae 61.2). In matters of distributive justice, then, “what is due” will be relative to what one deserves (or needs, since Aquinas also thinks that there is a moral obligation to provide for the poor) depending on his efforts or station in life.

This brief account of justice may seem like a stale precursor to more modern accounts of justice, particularly those that depict justice in terms of equality and economic fairness. Yet a brief survey of the virtues that hinge on justice reveals an account that is richer than the foregoing paragraphs may suggest. For Aquinas, justice is principally about our relations to others, and so he thinks that “all the virtues that are directed to another person may by reason of this common aspect be annexed to justice” (ST IIaIIae 80.1). The virtues Aquinas has in mind here are not simply those that regulate our relationships with other human beings, but with God. Thus he insists that religion is a virtue that falls under justice, since it involves offering God his due honor (Ibid; ST IIaIIae 81.1). The same can be said for piety andobservance, since they seek to render to God service and deference, respectively. Other virtues annexed to justice include truthfulness, since the just person will always present himself to others without pretext or falsehood; gratitude, which involves an appreciation for others’ kindness; and revenge, whereby we respond to or defend ourselves against others’ injurious actions (Ibid.). Finally, Aquinas includes bothliberality and friendship as parts of justice. The former is a virtue whereby we benefit others by giving or sharing with them the goods we possess (ST IIaIIae 117.1, 2, and 5). The latter involves treating those who live among us well (ST IIaIIae 114.2).

4. Natural Law

Aquinas is often described as a natural law theorist. While natural law is a significant aspect of his moral philosophy, it is a subject of considerable dispute and misunderstanding. Of course, this is not the place to adjudicate competing interpretations of Aquinas’s view. Yet recent philosophers have noted that too many expositors distort Aquinas’s view by treating it independently of his metaethics and his theory of virtue (see for example MacIntyre, 1990: 133-135; Hibbs, 2001: 94). While a detailed analysis of natural law and its varying interpretations would require a separate study, the present article hopes to sketch Aquinas’s view in a way that is sensitive to other aspects of his thought.

What is the natural law? We might attempt to answer this question by considering both the meaning of the term “law” as well as the law’s origin. On Aquinas’s view, a law is “a rule or measure of human acts, whereby a person is induced to act or is restrained from acting” (ST IaIIae 90.1). Elsewhere, he describes a law as a “dictate of practical reason emanating from a ruler” (ST IaIIae 91.1). At a very general level, then, a law is a precept that serves as a guide to and measure of human action. Thus whether an action is good will depend on whether it conforms to or abides by the relevant law. Here we should recall from an earlier section that, for Aquinas, a human action is good or bad depending on whether it conforms to reason. In other words, reason is the measure by which we evaluate human acts. Thus Aquinas thinks that the laws that govern human action are expressive of reason itself (ST IaIIae 90.1).

Now we will address the law’s origin. According to Aquinas, every law is ultimately derived from what he calls the eternal law (ST IaIIae 93.3). The “eternal law” refers to God’s providential ordering of all created things to their proper end. We participate in that divine order in virtue of the fact that God creates in us both a desire for and an ability to discern what is good (he calls this ability the “light of natural reason”). According to Aquinas, “it is this participation in the eternal law by the rational creature that is called the natural law” (ST IaIIae 91.2; Cf. 93.6). On this view, natural law is but an extension of the eternal law. For by it God ordains us to final happiness by implanting in us both a general knowledge of and inclination for goodness. Note here that the natural law is not an external source of authority. Nor is it a general deontic norm from which more specific precepts are inferred (McInerny, 1993: 211-212; Hibbs, 1988: 61-62). As Aquinas understands it, the natural law is a fundamental principle that is weaved into the fabric of our nature. As such, it illuminates and gives us a desire for those goods that facilitate the kind of flourishing proper to human beings (ST IaIIae 94.3). This point deserves further discussion.

According to Aquinas, human beings have an innate habit whereby they reason according to what he calls “first principles.” First principles are fundamental to all inquiry. They include things like the principle of non-contradiction and law of excluded middle. These principles are indemonstrable in the sense that we do not acquire them from some prior demonstration. To put the matter another way, they are not facts at which we arrive by means of argument or reasoning. They are the principles from which all reasoning proceeds. And while we do not derive them from some prior set of facts, a moment’s reflection would show that they nevertheless provide the conditions for intelligible inquiry. In short, human reasoning does not establish the truth of first principles, it depends on them.

The natural law functions in a way that is analogous to the aforementioned principles. According to Aquinas, all human actions are governed by a general principle or precept that is foundational to and necessary for all practical reasoning: good is to be done and evil is to be avoided. This principle is not something we can ignore or defy. Rather, it is an expression of how practical thought and action proceed in creatures such as ourselves. Whenever we deliberate about how we should act, we do so by virtue of a natural inclination to pursue (or avoid) those goods (or evils) that contribute to (or deter us from) our perfection as human beings. The goods for which we have a natural inclination include life, the procreation and education of offspring, knowledge, and a civil social order (ST IaIIae 94.2). Whether there are additional goods that are emblematic of the natural law will depend on whether they in fact contribute to our rational perfection.

caveat is in order. While we naturally desire goods that facilitate our perfection, excessive passion, unreasonable fear, and self-interest can distort the way we construe those goods (ST IaIIae 94.6). For example, sexual pleasure is a natural good. Yet excessive passion can corrupt our understanding of what sex’s role ought to be in our lives and lead us to pursue short-term sexual pleasure at the expense of more enduring goods. Also, self-protection is a good to which we naturally incline. Yet unreasonable fear may deter us from acting for the sake of goods that trump personal safety. Poor upbringing and the prejudices of society can further undermine a proper view of what human fulfillment consists in. Whether we can make competent judgments about what will contribute to our proper fulfillment depends on whether we have the requisite intellectual and moral virtues. Without those virtues, our intellectual and moral deficiencies will forestall our rational perfection and the attainment of our final end.

5. Charity and Beatitude

The teleological framework that circumscribes Aquinas’s moral philosophy has been evident throughout this essay. Indeed, Aquinas takes Aristotle’s eudaimonism to be amenable to his own theological purposes. Not only does Aquinas agree that human beings seek their own happiness, he agrees that the virtues are necessary for achieving it. Yet there are important differences between Aquinas’s depiction of final happiness and Aristotle’s. While Aquinas thinks that moral perfection is synonymous with achieving our final end, he construes that end in terms of beatitude, or supernatural union with God (ST IIaIIae 17.7; 23.3; 23.7). In keeping with Christian teaching, he also acknowledges that we cannot achieve beatitude solely by means of our own virtuous efforts. Aquinas’s argument for this claim is as follows: the happiness to which we incline is of two sorts—incomplete happiness and complete happiness. Incomplete happiness is a state we achieve by means of our natural human aptitudes. Through them, we can cultivatesome measure of virtue and, in turn, be happier than we would be otherwise. Perfect or complete happiness, however, lies beyond what we are able to achieve on our own. Thus Aquinas insists that “it is necessary for man to receive from God some additional [habits], whereby he may be directed to supernatural happiness” (ST IaIIae 62.1). According to Aquinas, the habits to which he refers here are “infused” or theological virtues. They are given to us graciously by God and direct us to our “final and perfect good” in the same way that the moral virtues direct us to a kind of happiness made possible by the exercise of our natural capacities (ST IaIIae 62.3).

The theological virtues that facilitate perfect happiness are those listed by St. Paul in the second letter to the Corinthians: faith, hope, and charity. Faith is the virtue whereby we assent to the truth of supernaturally revealed principles (Aquinas calls them “articles of faith”). These articles are contained (at least implicitly) in Scripture and serve as the basis of sacred doctrine. The kind of assent Aquinas has in mind here is not a matter of the intellect alone. It also involves the will. For the will is naturally drawn to God’s goodness and commands the intellect to assent to those articles wherein that goodness is described (Stump, 1991: 188; Jenkins, 1997: 190). Thus Aquinas describes the assent of faith as “an act of intellect which assents to the divine truth at the command of the will, [which is] moved by God’s grace” (STIIaIIae 2.9). Hope is the virtue whereby we trust God in obtaining final happiness. But because God is the one in whom final happiness consists (and not simply the one who assists us in achieving it), we must look to God as the good we desire to obtain (ST IIaIIae 17.6 ad 3). Finally, charity is the virtue whereby we love God for his own sake. He amplifies this idea when he (echoing Augustine) says that charity is an appetitive state whereby our appetites are uniformly ordered to God (STIIaIIae 23.3 sed contra). We should also note here that Aquinas thinks that love of neighbor is included in the love of God. For our neighbor is the natural image of God; thus we cannot love God unless we also love our neighbor (STIIaIIae 25.1 and 44.7).

The virtue of charity is especially relevant to Aquinas’s moral philosophy. As we just discussed, our efforts to be virtuous may contribute to our general betterment, but they alone cannot bring us to final happiness (although they can aid us in this regard, as we will see shortly). In fact, Aquinas thinks that the moral virtues remain incomplete and imperfect so long as they fail to direct us to God (ST IaIIae 65.2; ST IIaIIae 23.7). Charity, on the other hand, rectifies our fallen wills; that is, it perfects our deficient inclinations by orienting them toward God as the proper source of our fulfillment.

Moreover, charity affords a supernatural benefit—or gift—that the cardinal virtues could never provide. That benefit is the gift of wisdom. The gift of wisdom should not be confused with the intellectual virtue of the same name. The virtue of wisdom is an intellectual excellence whereby one grasps the fundamental causes of the world’s origin and operation (ST IIaIIae 45.1; SCG I.1.1). Knowledge of those causes may include knowledge of God, who is the highest cause of things. Yet the virtue of wisdom cannot disclose some of the more important aspects of God’s character. By contrast, the gift of wisdom enables us to see that God is the “sovereign good, which is the last end…” (ST IIaIIae 45.1 ad 1). Those who are wise (in the second sense) have a more comprehensive grasp of God’s goodness and can therefore judge and govern human actions according to divine principles (ST IIaIIae 45.3). Understood this way, the gift of wisdom consists not only in a theoretical grasp of divine things, but it also provides one with the normative guidance necessary for ordering one’s life according to Goodness itself (Ibid.).

Charity, then, inclines one to love God, whose goodness is perfect, unchanging, and eternal. Those who seek happiness in God will be more fulfilled than if they sought happiness in some lesser, transient good. That is, they will experience spiritual joy (ST IIaIIae 28.1). They will also experience supernaturalconcord in the sense that their wills will be in harmony with God’s (ST IIaIIae 29.1). What makes this account especially interesting for our purposes is that it provides us with a more explicit understanding of the sort of fulfillment in which beatitude consists.

What connection, if any, is there between the infused virtue of charity and the moral virtues we’ve previously discussed? This is an important question. Constraints of space, however, permit us to highlight only two such connections. First, charity transforms the virtues themselves. To employ Aquinas’s parlance, charity provides the form of the virtues (ST IIaIIae 23.8). It does this by determining the end at which the virtues aim. For, “in morals, the form of an act is taken chiefly from the end” (Ibid.). Under the auspices of charity, the moral virtues still have the task of moderating our appetites. The purpose for which they do so, however, is for the sake of God. For if, as Aristotle insists “virtue is the disposition of a perfect thing to that which is best,” then even the moral virtues must in some way direct us to supernatural happiness (ST IIaIIae 23.7). The second connection is a natural extension of the first, and it helps explain why—even with charity—we need the moral virtues. According to Aquinas, it is possible for those who love God to sin against charity, especially when moved by desires or fears of an inordinate nature (ST IIaIIae 24.12.ad,2). For this reason we must practice those virtues that curtail sinful inclinations and enable us to yield to charity more easily (ST IaIIae 65.3 ad 1 and 2). In conjunction with charity, the moral virtues actually aid in our journey to final happiness and thus play an important role in our redemption.

This last point nicely reflects the way Aquinas weds Christian moral theology and Aristotelian philosophy. More generally, it exemplifies the way in which Aquinas took faith and reason to be perfectly compatible. Of course, the extent to which Aquinas was faithful to Aristotle in his grand synthesis is a subject that must be left for others to address. This matter aside, it is clear that Aquinas’s endeavor has left us with one of the richer and more enduring accounts of the moral life that philosophy has to offer.

6. References and Further Reading

a. Primary Sources

  • Thomas Aquinas, St. Questiones de vertitate (QDV). 1954. Trans. Robert W. Mulligan, S.J. Henry Regnery Company.
  • Thomas Aquinas, St. Summa contra gentiles (SCG), vol. I. 1975. Trans. Anton Pegis. Notre Dame: University of Notre Dame Press.
  • Thomas Aquinas, St. Summa contra gentiles (SCG), vol. III. 1975. Trans. Vernon Bourke. Notre Dame: University of Notre Dame Press.
  • Thomas Aquinas, St. Summa theologiae (ST ). 1981. Trans. Fathers of the English Dominican Province. Westminster: Christian Classics.
  • Thomas Aquinas, St. Commentary on Aristotle’s Nichomachean Ethics (In NE). 1993. Trans. C. I. Litzinger, O. P. Notre Dame, IN: Dumb Ox Books.
  • Thomas Aquinas, St. Questiones de malo (QDM). 1995. Trans. John A. Oesterle and Jean T. Oesterle. Notre Dame: University of Notre Dame Press.
  • Thomas Aquinas, St. Disputed Questions on the Virtues. 2005. Trans. E.M. Atkins. Eds. E.M. Atkins and Thomas Williams. Cambridge: Cambridge University Press.
  • Augustine. Confessions. 1993. Trans. F.J. Sheed. Indianapolis: Hackett Publishing.

 

 

 

b. Secondary Sources

  • Ackrill, J. 1980. “Aristotle on Eudaimonia.” In Essays on Aristotle’s Ethics, ed. Amelie Oksenberg Rorty. Berkeley: University of California Press, 1980. Pp. 15-34.
  • Ashmore, Robert B. Jr. 1975. “Aquinas and Ethical Naturalism.” The New Scholasticism 49: 76-86.
  • Brock, Stephen. 1998. Action and Conduct: Thomas Aquinas and the Theory of Action. T & T Clark International.
  • Bourke, Vernon. 1974. “Is Aquinas a Natural Law Theorist?” The Monist 58, No. 1: 52-66.
  • Finnis, John. 1980. Natural Law and Natural Rights. Oxford University Press.
  • Finnis, John. 1998. Aquinas: Moral, Political, and Legal Theory. Oxford University Press.
  • Floyd, Shawn. 1999. “Aquinas on Temperance.” The Modern Schoolman LXXVII: 35-48.
  • Floyd, Shawn. 2004. “How to Cure Self-Deception: An Augustinian Remedy.” Logos: A Journal of Catholic Thought and Culture. 7: 60-86.
  • Gallagher, David. 1991. “Thomas Aquinas on Will as Rational Appetite.” Journal of the History of Philosophy 29: 559-584.
  • Hall, Pamela. 1999. Narrative and the Natural Law: An Interpretation of Thomistic Ethics. Notre Dame: University of Notre Dame Press.
  • Hibbs, Thomas. 1988. “Against a Cartesian Reading of Intellectus in Aquinas,” The Modern Schoolman LXVI: 55-69.
  • Hibbs, Thomas. 2001. Virtue’s Splendor: Wisdom, Prudence, and the Human Good. New York: Fordham University Press.
  • Jenkins, John. 1997. Knowledge and Faith in Thomas Aquinas. Cambridge: Cambridge University Press.
  • Liska, Anthony. 1996. Aquinas’ Theory of Natural Law: An Analytic Reconstruction. New York: Oxford University Press.
  • Kenny, Anthony. 1998. “Aquinas on Aristotelian Happiness,” in Aquinas’ Moral Theory: Essays in Honor of Norman Kretzmann, eds. Scott MacDonald and Eleonore Stump. Ithaca: Cornell University Press. Pp. 15-27.
  • Kretzmann, Norman and Eleonore Stump. 1988. “Being and Goodness,” in Divine and Human Action: Essays in the Metaphysics of Theism, ed. Thomas Morris. Ithaca: Cornell University Press. Pp. 281-312. (My understanding of Aquinas’s metaethics has benefited greatly from this paper).
  • Kynondyk-DeYoung, Rebecca. 2002. “Power Made Perfect in Weakness: Aquinas’s Transformation of the Virtue of Courage.” Medieval Philosophy and Theology 11: 147-180.
  • Kynondyk-DeYoung, Rebecca. 2004. “Resistance to the Demands of Love: Aquinas on Acedia,” The Thomist 68: 173-204.
  • MacDonald, Scott. 1990. “Egoistic Rationalism: Aquinas’s Basis for Christian Morality.” In Christian Theism and the Problems of Philosophy, ed. Michael Beaty. Notre Dame: University of Notre Dame Press. Pp. 327-356.
  • MacDonald, Scott. 1991a. “Introduction: The Relation Between Being and Goodness,” in Being and Goodness: The Concept of the Good in Metaphysics and Philosophical Theology, ed. Scott MacDonald. Ithaca: Cornell University Press. Pp. 1-28.
  • MacDonald, Scott. 1991b. “Ultimate Ends and Practical Reasoning: Aquinas’s Aristotelian Moral Psychology and Anscombe’s Fallacy,” The Philosophical Review C: 31-65.
  • MacDonald, Scott and Eleonore Stump, eds. 1998. Aquinas’ Moral Theory: Essays in Honor of Norman Kretzmann, eds. Scott MacDonald and Eleonore Stump. Ithaca: Cornell University Press.
  • MacIntyre, Alasdair. 1981. After Virtue. Notre Dame: University of Notre Dame Press.
  • MacIntyre, Alasdair. 1991. Three Rival Versions of Moral Inquiry: Encyclopedia, Genealogy, and Tradition. Notre Dame: University of Notre Dame Press.
  • MacIntyre, Alasdair. 1999. Dependent Rational Animals: Why Human Beings Need the Virtues. Open Court Publishing.
  • McClusky, Colleen. 2000. “Happiness and Freedom in Aquinas’s Theory of Action,” Medieval Philosophy and Theology 9: 69-90.
  • McInerny, Ralph. 1993. “Ethics.” In The Cambridge Companion to Aquinas, eds. Norman Kretzmann and Eleonore Stump. Cambridge: Cambridge University Press. Pp. 196-216.
  • McInerny, Ralph. 1997. Ethica Thomistica: The Moral Philosophy of Thomas Aquinas. Washington D.C. Catholic University of America Press.
  • Murphy, Mark. 2001. Natural Law and Practical Rationality. Cambridge University Press.
  • Murphy, Mark. 2002. “The Natural Law Tradition in Ethics”, The Stanford Encyclopedia of Philosophy (Winter 2002 Edition), Edward N. Zalta (ed.).
  • Nelson, Daniel Mark. 1994. Virtue and Natural Law in Thomas Aquinas and the Implications for Modern Ethics. Pennsylvania State University Press.
  • Pieper, Josef. 1966. The Four Cardinal Virtues. Notre Dame: University of Notre Dame Press.
  • Pasnau, Robert. 2002. Thomas Aquinas on Human Nature: A Philosophical Study of Summa theologiae Ia 75-89. Cambridge: Cambridge University Press.
  • Porter, Jean. 1989. “De Ordine Caritiatis: Charity, Friendship, and Justice in Thomas Aquinas’ Summa Theologiae.” The Thomist 53: 197-213.
  • Porter, Jean. 1990. The Recovery of Virtue: The Relevance of Aquinas for Christian Ethics. Louisville: Westminster, John Knox.
  • Rickaby, John. 2003. “Cardinal Virtues,” Catholic Encyclopedia (2003 Online Edition).
  • Stump, Eleonore. 1991. “Aquinas on Faith and Goodness,” in MacDonald 1991a. Pp. 179-207.
  • Stump, Eleonore. 1998. “Wisdom: Will, Belief, and Moral Goodness,” in MacDonald and Stump. Pp. 28-62.
  • Stump, Eleonore. 2003. Aquinas. New York: Routledge.
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Author Information

Shawn Floyd
Email: sfloyd@malone.edu
Malone College
U. S. A.

The Brain in a Vat Argument

The Brain in a Vat thought-experiment is most commonly used to illustrate global or Cartesian skepticism. You are told to imagine the possibility that at this very moment you are actually a brain hooked up to a sophisticated computer program that can perfectly simulate experiences of the outside world. Here is the skeptical argument. If you cannot now be sure that you are not a brain in a vat, then you cannot rule out the possibility that all of your beliefs about the external world are false. Or, to put it in terms of knowledge claims, we can construct the following skeptical argument. Let “P” stand for any belief or claim about the external world, say, that snow is white.

  1. If I know that P, then I know that I am not a brain in a vat
  2. I do not know that I am not a brain in a vat
  3. Thus, I do not know that P.

The Brain in a Vat Argument is usually taken to be a modern version of René Descartes’ argument (in the Meditations on First Philosophy) that centers on the possibility of an evil demon who systematically deceives us. The hypothesis was the premise behind the 1999 movie The Matrix, in which the entire human race has been placed into giant vats and fed a virtual reality at the hands of malignant artificial intelligence (our own creations, of course).

One of the ways some modern philosophers have tried to refute global skepticism is by showing that the Brain in a Vat scenario is not possible. In his Reason, Truth and History (1981), Hilary Putnam first presented the argument that we cannot be brains in a vat, which has since given rise to a large discussion with repercussions for the realism debate and for central theses in the philosophy of language and mind. As we shall see, however, it remains far from clear how exactly Putnam’s argument should be taken and what it actually proves.

Table of Contents

  1. Skepticism and Realism
  2. Putnam’s argument
  3. Reconstructions of the Argument
  4. Brains in a Vat and Self-Knowledge
  5. Significance of the Argument
  6. References and Further Reading

1. Skepticism and Realism

Putnam’s argument is designed to attack the possibility of global skepticism that is implied by metaphysical realism. Putnam defines metaphysical realism as the view which holds that “…the world consists of some fixed totality of mind-independent objects. There is exactly one true and complete description of ‘the way the world is.’ Truth involves some sort of correspondence relation between words or thought-signs and sets of things.” (1981, 49). This construal brings out the idea that for metaphysical realists, truth is not reducible to epistemic notions but concerns the nature of a mind-independent reality. This characterization finds an accurate target in those scientific materialists who believe in a “ready-made” world of scientific kinds independent of human classification and conceptualization. There are, however, many self-professed metaphysical realists who are not happy with Putnam’s definition; it saddles the realist with the classical difficulty of matching words to objects and of providing for a correspondence relation between sentences and mind-independent “facts.” The metaphysical realist is forced to construe her thesis ontologically, as an adherence to some fixed furniture of objects in the world, which ignores the possibility that ontological commitment may be specified not as a commitment to a set of entities but rather to the truth of a class of sentences or even of whole theories of the world.

One proposal is to construe metaphysical realism as the position that there are no a priori epistemically derived constraints on reality (Gaifman, 1993). By stating the thesis negatively, the realist sidesteps the thorny problems concerning correspondence or a “ready made” world, and shifts the burden of proof on the challenger to refute the thesis. One virtue of this construal is that it defines metaphysical realism at a sufficient level of generality to apply to all philosophers who currently espouse metaphysical realism. For Putnam’s metaphysical realist will also agree that truth and reality cannot be subject to “epistemically derived constraints.” This general characterization of metaphysical realism is enough to provide a target for the Brains in a Vat argument. For there is a good argument to the effect that if metaphysical realism is true, then global skepticism is also true, that is, it is possible that all of our referential beliefs about the world are false. As Thomas Nagel puts it, “realism makes skepticism intelligible,” (1986, 73) because once we open the gap between truth and epistemology, we must countenance the possibility that all of our beliefs, no matter how well justified, nevertheless fail to accurately depict the world as it really is. [See Fallibilism.] Donald Davidson also emphasizes this aspect of metaphysical realism: “metaphysical realism is skepticism in one of its traditional garbs. It asks: why couldn’t all my beliefs hang together and yet be comprehensively false about the actual world?” (1986, 309)

The Brain in a Vat scenario is just an illustration of this kind of global skepticism: it depicts a situation where all our beliefs about the world would presumably be false, even though they are well justified. Thus if one can prove that we cannot be brains in a vat, by modus tollens one can prove that metaphysical realism is false. Or, to put it in more schematic form:

  1. If metaphysical realism is true, then global skepticism is possible
  2. If global skepticism is possible, then we can be brains in a vat
  3. But we cannot be brains in a vat
  4. Thus, metaphysical realism is false (1,2,3)

This article focuses mostly on claim (3), although some philosophers question (2), believing there may be ways of presenting the skeptical thesis even while granting Putnam’s argument.

2. Putnam’s argument

The major premise that underwrites Putnam’s argument is what he calls a “causal constraint” on reference:

(CC) A term refers to an object only if there is an appropriate causal connection between that term and the object

To understand this criterion we need to unravel what is meant by “appropriate causal connection.” If an ant were to accidentally draw a picture of Winston Churchill in the sand, few would claim that the ant represented or referred to Churchill. Similarly, if I accidentally sneeze “Genghis Khan,” just because I verbalize the words does not mean that I refer to the infamous Mongolian conqueror, for I may have never heard of him before. Reference cannot simply be an accident: or, as Putnam puts it, words do not refer to objects “magically” or intrinsically. Now establishing just what would count as necessary and sufficient conditions for a term to refer to an object turns out to be tricky business, and there have been many “causal theories” of reference supplied to do just that. Many have taken the virtue of Putnam’s constraint (CC) to be its generality: it merely states a necessary condition for reference and need not entail anything more controversial. Sometimes it is claimed that endorsing (CC) commits you to semantic externalism but the issues are more complex, since many internalists (for example, John Searle) appear to agree with (CC). The relation between externalism and Putnam’s argument will be considered in more detail later (in the section “Brains in a Vat and Self-Knowledge”).

With the causal constraint established, Putnam goes on to describe the Brain in a Vat scenario. It is important to note exactly what the thought-experiment is, for failure to appreciate the ways in which Putnam has changed the standard skeptical nightmare has lead to many mistaken “refutations” of the argument. The standard picture has a mad-scientist (or race of aliens, or AI programs…) envatting brains in a laboratory then inducing a virtual reality through a sophisticated computer program. On this picture, there is an important difference between viewing the brains from a first or third person viewpoint. There is the point of view of the brains in a vat (henceforth BIVs), and the point of view of someone outside the vat. Clearly when the mad-scientist says “that is a brain in a vat” of a BIV, he would be saying something true, no matter the question of what the BIV means when it says it is a brain in a vat. Furthermore, presumably a BIV could pick up referential terms by borrowing them from the mad-scientist. Thus when a BIV says “there is a tree” referring to a simulation of a tree, it would be saying something false, since its term “tree,” picked up from the mad-scientist to refer to an actual tree, in fact refers to something else, like his sense-impressions of the tree. Putnam thus stipulates that all sentient beings are brains in a vat, hooked up to one another through a powerful computer that has no programmer: “that’s just how the universe is.” We are then asked, given at least the physical possibility of this scenario, whether we could say or think it. Putnam answers that we could not: the assertion “we are brains in a vat” would be sense self-refuting in the same way that the general statement “all general statements are false” is.

The thought-experiment stipulates that brains in a vat would have qualitatively identical thoughts to those unenvatted; or at least they have the same “notional world.” The difference is that in the vat-world, there are no external objects. When a BIV says “There is a tree in front of me,” there is in fact no tree in front of him, only a simulated tree produced by the computer’s program. However, if there are no trees, there could be no causal connection between a BIV’s tokens of trees and actual trees. By (CC), “tree” does not refer to tree. This leads to some interesting consequences.

A standard reading of a BIV’s utterance of “There is a tree” would have the statement come out false, since there are no trees for the BIV to refer to. But that would be only assuming that “tree” refers to tree in the BIV’s language. If “tree” does not refer to tree, then the semantic evaluation of the sentence becomes unclear. Sometimes Putnam suggests that a BIV’s tokens refer to images or sense-impressions. At other times he agrees with Davidson who claims that the truth-conditions would be facts about the electronic impulses of the computer that are causally responsible for producing the sense-impressions. Davidson has a good reason to choose these truth-conditions: through the principle of charity he would want to interpret the BIV’s sentences to come out true, but he would not want the truth-conditions to be phenomenalistic. Thus it turns out that when a BIV says “There is a tree in front of me,” he is saying something true—if in fact the computer is sending the right impulses to him.

Another suggestion is that the truth-conditions of the BIV’s utterances would be empty: the BIV asserts nothing at all. This seems to be rather strong, however: surely the BIV would mean something when it utters “There is a tree in front of me,” even if its statement gets evaluated differently because of the radical difference of its environment. One thing is clear, however; a BIV’s tokening of “tree” or any other such referential term would have a different reference assignment from that of a non-envatted person’s tokenings. According to (CC), my tokening of “tree” refers to trees because there is an appropriate causal link between it and actual trees (assuming of course I am not a BIV). A brain in a vat however would not be able to refer to trees since there are no trees (and even if there were trees there would not be the appropriate causal relation between its tokenings of “tree” and real trees, unless we bring back the standard fantasy and assume it picked up the terms from the mad scientist). Now one might be inclined to think that because there are at least brains and vats in the universe, a BIV would be able to refer to brains and vats. But the tokening of “brain” is never actually caused by a brain except only in the very indirect sense that its brain causes all of its tokenings. The minimal constraint (CC) then will ensure that “brain” and “vat” in the BIV language does not refer to brain and vat.

We are now in a position to give Putnam’s argument. It has the form of a conditional proof :

  1. Assume we are brains in a vat
  2. If we are brains in a vat, then “brain” does not refer to brain, and “vat” does not refer to vat (via CC)
  3. If “brain in a vat” does not refer to brains in a vat, then “we are brains in a vat” is false
  4. Thus, if we are brains in a vat, then the sentence “We are brains in a vat” is false (1,2,3)

Putnam adds that “we are brains in a vat” is necessarily false, since whenever we assume it is true we can deduce its contradictory. The argument is valid and its soundness seems to depend on the truth of (3), assuming (CC) is true. One immediate problem is determining the truth-conditions for “we are brains in a vat” on the assumption we are brains in a vat, speaking a variation of English (call it Vatese). From (CC) we know that “brains in a vat” does not refer to brain in a vat. But it doesn’t follow from this alone that “we are brains in a vat” is false. Compare:

(A) “Grass is green” is true iff grass is green
(B) “Grass is green” is true iff one has sense-impressions of grass being green
(C) “Grass is green” is true iff one is in electronic state Q

On the assumption that we are brains in a vat, (CC) would appear to rule out (A): “grass” does not refer to grass since there is no appropriate causal connection between “grass” and actual grass. Thus the truth-conditions for the statement “grass is green” would be nonstandard. If we take them to be those captured in (B), then “Grass is green” as spoken by a brain in a vat would be true. Consequently the truth-conditions for “we are brains in a vat” would be captured by (D):

(D) “We are brains in a vat” is true iff we have sense impressions of being brains in a vat

On this construal of the truth-conditions, “We are brains in a vat” as uttered by a BIV would presumably be false, since a brain in a vat would not have sense-impressions of being a brain in a vat: recall a BIV’s notional world would be equivalent to the unenvatted, and he would appear to himself to be a normally embodied person with a real body etc. However, if we follow Davidson and adopt the truth-conditions of (C), we would have the following:

(E) “We are brains in a vat” is true if and only if we are in electronic state Q

Now it is no longer clear that “We are brains in a vat” is false: for if the brain is in the appropriate electronic state, the truth-conditions could well be fulfilled. There are other reconstructions of the argument that do not depend on specifying the truth-conditions of a BIV’s utterances. What is important is the idea that the truth-conditions would be non-standard, as in:

(F) “We are brains in a vat” is true if and only if we are BIVs*

Now since being a BIV* (whatever that is) is not the same as being a BIV, we can construct the following conditional proof argument:

  1. Assume we are BIVs
  2. If we are BIVs, “we are brains in a vat” is true if and only we are BIVs*
  3. If we are BIVs, we are not BIVs*
  4. If we are BIVs, then “we are BIVs” is false (2,3)
  5. If we are BIVs, then we are not BIVs (4)

Notice that the argument leaves the antecedent of the conditional open, what Wright calls an “open subjunctive.” We do not want the premises of the argument to be counterfactual, following the train of thought “If we were brains in a vat, the causal constraint would entail that my words ‘brain in a vat’ would come to denote something different, BIV*.” For then we would be assuming that we are not brains in a vat, when that is what the argument is supposed to prove.

Nevertheless, there are still problems with the appeal to disquotation to get us from (4) to (5). Even if, by virtue of the causal constraint, the sentence “We are BIVs” is false, an intuitive objection runs that this change of language should not entail falsity of the proposition that we are brains in a vat. As we shall see, many recent reconstructions of Putnam’s argument are sensitive to this point and try to account for it in various ways. In the following section, I shall focus on two of the more popular reconstructions of the argument put forward by Brueckner (1986) and Wright (1994).

3. Reconstructions of the Argument

Brueckner (1986) argues that even if we grant the reasoning of the above argument up to (4), the most the argument proves is that if we are brains in a vat, then the sentence “We are brains in a vat” (as uttered by a BIV) is false, and that if we are not brains in a vat, then “We are brains in a vat” is false (now expressing a different false proposition). If correct then the argument would prove that whether or not we are brains in a vat, “we are brains in a vat” expresses some false proposition. Assuming the truth-conditions of a BIV would be those captured in (D) we could then devise the following constructive dilemma type argument:

  1. Either I am a BIV or I am not a BIV
  2. If I am a BIV, then “I am a BIV” is true iff I have sense impressions of being a BIV
  3. If I am a BIV, then I do not have sense-impressions of being a BIV
  4. If I am a BIV, then “I am a BIV” is false (2,3)
  5. If I am not a BIV, then “I am a BIV” is true iff I am a BIV
  6. If I am not a BIV, then “I am a BIV” is false (5)
  7. “I am a BIV” is false (1, 4, 6)

If “I am a BIV” expresses the proposition that I am a brain in a vat, and we know from the argument that “I am a BIV” is false, then it follows that I know I am not a brain in a vat, thus refuting premise (2) of the skeptical argument. However, can I know that “I am a brain in a vat” expresses the proposition that I am a brain in a vat? If I am a brain in a vat, then “I am a brain in a vat” would, via the causal constraint on reference, express some different proposition (say, that I am a brain in a vat in the image). So even if “I am a BIV” is false whether or not I am a BIV, I might not be in the position to identify which false proposition I am expressing, in which case I cannot claim to know that my sentence “I am not a brain in a vat” expresses the true proposition that I am not a brain in a vat.

Some philosophers have gone even further, claiming that if the argument ends here, it actually can be used to strengthen skepticism. The metaphysical realist can claim that there are truths not expressible in any language: perhaps the proposition that we are brains in a vat is true, even if no one can meaningfully utter it. As Nagel puts it:

If I accept the argument, I must conclude that a brain in a vat can’t think truly that it is a brain in a vat, even though others can think this about it. What follows? Only that I cannot express my skepticism by saying “Perhaps I am a brain in a vat.” Instead I must say “Perhaps I can’t even think the truth about what I am, because I lack the necessary concepts and my circumstances make it impossible for me to acquire them!” If this doesn’t qualify as skepticism, I don’t know what does. (Nagel, 1986)

Putnam makes it clear that he is not merely talking about semantics: he wants to provide a metaphysical argument that we cannot be brains in a vat, not just a semantic one that we cannot assert we are. If he is just proving something about meaning, it is open for the skeptic to say that the bonds between language and reality can diverge radically, perhaps in ways we can never discern.

There is yet another worry with the argument, centering once again on the appropriate characterization of the truth-conditions in (2). If one claimed in response to the above objection that in fact I do know that “I am a brain in a vat” expresses the proposition that I am a brain in a vat (whether or not I am a brain in a vat), one may have in mind some general disquotation principle:

(DQ): “Grass is green” is true iff grass is green

If it is an a priori truth that any meaningful sentence in my language homophonically disquotes, then we can a priori know that the following is also true:

(F): “I am a brain in a vat” is true iff I am a brain in a vat

Here is the obvious problem: if we are not to beg the question, we have to be open to the possibility that we are brains in a vat, speaking Vatese. Then we would get:

(G): If I am a BIV, then “I am a BIV” is true iff I am a brain in a vat.

However, (G) gives us truth-conditions that differ from premise (2) of Brueckner’s argument:

(2) If I am a BIV, then “I am a BIV” is true iff I have sense-impressions of being a BIV

If we assume (CC), then (G) and (2) are inconsistent, since the term “BIV” would refer to distinct entities. No contradiction ensues if we assume we are speaking in English: for then (G) would presumably be false (appealing to CC). But the problem is that we cannot beg the question by assuming we are speaking in English: if we assume that, then we know in advance of any argument that we are not speaking in Vatese and hence that we are not brains in a vat. But if we do not know which language we are speaking in, then we cannot properly assert (2).

One response to this is to formulate two different arguments, one whose meta-language is in English, the other whose meta-language is in Vatese, and show that distinct arguments can be run to prove that “I am a BIV” is false. Even if successful, however, these arguments run into the objection canvassed before: if I do not know which language I am speaking in, even if I know “I am a brain in a vat” is false, I do not know which false proposition I am expressing and hence cannot infer that I know that I am not a brain in a vat.

Similar worries plague Crispin’s Wright’s popular formulation of the argument (1994):

  1. My language disquotes
  2. In BIVese, “brains in a vat” does not refer to brains in a vat
  3. In my language, “brains in a vat” is a meaningful expression
  4. In my language, “brains in a vat” refers to brains in a vat
  5. My language is not BIVese (2,4)
  6. If I am a BIV, then my language is BIVese
  7. I am not a BIV

There are several virtues to this reconstruction: first of all, it gets us to the desired conclusion without specifying what the truth-conditions of a BIV’s utterances would be. They could be sense-impressions, facts about electronic impulses, or the BIV’s sentences may not refer at all. All that is needed for the argument is that there is a difference between the truth-conditions for a BIV’s sentences and those of my own language. The other virtue of the argument is that it clearly brings out the appeal to the disquotation principle that was implicit in the previous arguments. If indeed (DQ) is an a priori truth, as many philosophers maintain, and if we accept (CC) as a condition of reference, the argument appears to be sound. So have we proven that we are not brains in a vat?

Not so fast. The previous objection can be restated: if I do not yet know whether or not I am a brain in a vat before the argument is completed, I do not know which language I am speaking (English or Vatese). If I am speaking Vatese, then so long as it is a meaningful language, I can appeal to disquotation to establish that “brains in a vat” does refer to brains in a vat. But this contradicts premise (2). The problem seems to be that (DQ) is being used too liberally. Clearly we do not want to say that every meaningful term disquotes in the strong sense required for reference. If so, we could take it to be an a priori truth that “Santa Claus” refers to Santa Claus. But “Santa Claus” does not refer to Santa Claus, since there is no Santa Claus. We could introduce a new term “pseudo-reference” and hold that “Santa Claus” pseudo-refers to Santa Claus, and then attach further conditions on reference in order to establish what it would take for the term to truly refer. One proposal (Weiss, 2000) is the following principle:

W: If “x” psuedo-refers to x in L, and x exists, then “x” refers to x in L

Thus, given the disquotation principle we know that in my language “Santa Claus” pseudo-refers to Santa Claus. Supposing to the joyful adulation of millions that Santa Claus is discovered to actually exist, then given (W) “Santa Claus” refers to Santa Claus. Now this also seems too simplistic: as Putnam pointed out, in order for a term to refer to an object we must establish more than the mere existence of the object. There has to be the appropriate causal relation between the word and object, or we are back to claiming that in accidentally sneezing “Genghis Khan” I am referring to Genghis Khan. But whether we accept (W) or attach stronger conditions to reference, it is clear that any such move would make Wright’s formulation invalid. For then we would have:

  1. My language disquotes
  2. In BIVese, “brains in a vat” does not refer to brains in a vat (CC)
  3. In my language “brain in a vat” is a meaningful expression
  4. In my language, “brain in a vat” pseudo-refers to brains in a vat (DQ)
  5. My language is not BIVese (2,4)
  6. If I am a BIV, then my language is BIVese
  7. I am not a BIV

(5) no longer follows from (2) and (4) given the ambiguity of “refers” in (2) and (4). If on the other hand we insist on a univocal sense of reference, then either (2) will contradict the (DQ) principle, or we are not entitled to appeal to (1), insofar as it would beg the question that we are speaking English, a language for which the (DQ) principle applies.

4. Brains in a Vat and Self-Knowledge

Ted Warfield (1995) has sought to provide an argument that we are not brains in a vat based on considerations of self-knowledge. He defends two premises that seem reasonably true, and then he argues for the desired metaphysical conclusion:

  1. I think that water is wet
  2. No brain in a vat can think that water is wet
  3. Thus, I am not a brain in a vat (2.3)

Premise (1) is said to follow from the thesis of privileged access, which holds that we can at least know the contents of our own occurring thoughts without empirical investigation of our environment or behavior. Warfield’s strategy is to present each premise as non-question begging against the global skeptic, in which case at no point can we appeal to the external environment as justification. Since the thesis of privileged access is said to be known a priori whether we are brains in a vat or not, premise (1) can be known non-empirically.

Premise (2) is a little trickier to establish non-empirically. The main argument for it is by analogy with other arguments in the literature that have been used to establish content externalism. The main strategy is derived from Putnam’s Twin Earth argument (1975): imagine a world that is indistinguishable from Earth except for one detail: the odorless, drinkable liquid that flows in the rivers and oceans is composed of the chemicals XYZ and not H20. If we take Oscar on Earth and his twin on Twin-earth, Putnam argues that they would refer to two different substances and hence mean two different things: when Oscar says “pass me some water” he refers to H20 and means water, but when Twin-Oscar says “pass me some water” he refers to XYZ and thus means twin-water. As Tyler Burge and others have pointed out, if the meaning of their words are different, then the concepts that compose their beliefs should differ as well, in which case Oscar would believe that water is wet whereas Twin-Oscar would believe that twin-water is wet. While Putnam’s original slogan was “meanings just ain’t in the head,” the argument can be extended to beliefs as well: “beliefs just ain’t in the head,” but depend crucially on the layout of one’s environment.

If we accept content externalism, then the motivation for (2) is as follows. In order for someone’s belief to be about water, there must be water in that person’s environment: externalism rejects the Cartesian idea that one can simply read off one’s belief internally (if so then we would have to say that Oscar and his twin have the same beliefs since they are internally the same). So it doesn’t seem possible that a BIV could ever come to hold a belief about water (unless of course he picked up the term from the mad-scientist or someone outside the vat, but here we must assume again Putnam’s scenario that there is no mad-scientist or anyone else he could have borrowed the term from). As Warfield puts it, premise (2) is a conceptual truth, established on the basis of Twin-earth style arguments, a matter of “armchair” a priori reflection and thus able to be established non-empirically.

The problem with establishing (2) non-empirically though is that the externalist arguments succeed only on the assumption that our own use of “water” refers to a substantial kind, and this seems to be a matter of empirical investigation. Imagine a world where “water” does not refer to any liquid substance but is rather a complex hallucination that never gets discovered. On this “Dry Earth,” “water” would not refer to a substantial kind but rather a superficial kind. The analogy to the BIV case is clear: since it is not an a priori truth that “water” refers to a substantial kind in the BIV’s language, it cannot be known non-empirically that “water” is substantial or superficial; if it is a superficial kind, then a BIV could very well think that water is wet so long as it has the relevant sense-impressions.

5. Significance of the Argument

Some philosophers have claimed that even if Putnam’s argument is sound, it doesn’t do much to dislodge Cartesian or global skepticism. Crispin Wright (1994) argues that the argument does not affect certain versions of the Cartesian nightmare, such as my brain being taken out of my skull last night and hooked up to a computer. Someone of a Positivist bent might argue that if there is no empirical evidence to appeal to in order to establish whether we are brains in a vat or not, then the hypothesis is meaningless, in which case we do not need an argument to refute it. While few philosophers today would hold onto such a strong verifiability theory of meaning, many would maintain that such metaphysical possibilities do not amount to real cases of doubt and thus can be summarily dismissed. Still others see the possibility of being a brain in a vat an important challenge for cognitive science and the attempt to create a computer model of the world that can simulate human cognition. Dennett (1991) for example has argued that it is physically impossible for a brain in a vat to replicate the qualitative phenomenology of a non-envatted human being. Nevertheless, one should hesitate before making possibility claims when it comes to future technology. And as films like the Matrix, Existenz, and even the Truman Show indicate, the idea of living in a simulated world indistinguishable from the real one is likely to continue to fascinate the human mind for many years to come—whether or not it is a brain in a vat.

6. References and Further Reading

  • Boghossian, Paul. 1999. What the Externalist can Know A Priori. Philosophical Issues 9
  • Brueckner, Anthony. 1986. Brains in a Vat. Journal of Philosophy 83: 148-67
  • Brueckner, Anthony. 1992. If I am a Brain in a vat, then I am not a Brain in a Vat. Mind 101:123-128
  • Burge, T. 1982. Other Bodies. In A. Woodfield. Ed., Thought and Object: Essays on Intentionality. Oxford: Oxford University Press, 91-120.
  • Casati, R. and Dokic J. 1991. Brains in a Vat, Language and Metalanguage. Analysis 51: 91-93.
  • Collier, J. 1990. Could I Conceive Being a Brain in a Vat? Australasian Journal of Philosophy 68: 413-419.
  • Davidson, Donald. 1986. “A Coherence Theory of Truth and Knowledge,” in Truth and Interpretation: Perspectives on the Philosophy of Donald Davidson. Oxford: Blackwell.
  • Davies, D. 1995. Putnam’s Thought-Teaser. Canadian Journal of Philosophy 25(2):203-227.
  • Ebbs, G. (1992), “Skepticism, Objectivity and Brains in Vats”, Pacific Philosophical Quarterly 73
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Author Information

Lance P. Hickey
Email: lance1001@optonline.net
Southern Connecticut State University
U. S. A.

Egoism

In philosophy, egoism is the theory that one’s self is, or should be, the motivation and the goal of one’s own action. Egoism has two variants, descriptive or normative. The descriptive (or positive) variant conceives egoism as a factual description of human affairs. That is, people are motivated by their own interests and desires, and they cannot be described otherwise. The normative variant proposes that people should be so motivated, regardless of what presently motivates their behavior. Altruism is the opposite of egoism. The term “egoism” derives from “ego,” the Latin term for “I” in English. Egoism should be distinguished from egotism, which means a psychological overvaluation of one’s own importance, or of one’s own activities.

People act for many reasons; but for whom, or what, do or should they act—for themselves, for God, or for the good of the planet? Can an individual ever act only according to her own interests without regard for others’ interests. Conversely, can an individual ever truly act for others in complete disregard for her own interests? The answers will depend on an account of free will. Some philosophers argue that an individual has no choice in these matters, claiming that a person’s acts are determined by prior events which make illusory any belief in choice. Nevertheless, if an element of choice is permitted against the great causal impetus from nature, or God, it follows that a person possesses some control over her next action, and, that, therefore, one may inquire as to whether the individual does, or, should choose a self-or-other-oriented action. Morally speaking, one can ask whether the individual should pursue her own interests, or, whether she should reject self-interest and pursue others’ interest instead: to what extent are other-regarding acts morally praiseworthy compared to self-regarding acts?

Table of Contents

  1. Descriptive and Psychological Egoism
  2. Normative Egoism
    1. Rational Egoism
    2. Ethical Egoism
      1. Conditional Egoism
  3. Conclusion
  4. References and Further Reading

1. Descriptive and Psychological Egoism

The descriptive egoist’s theory is called “psychological egoism.” Psychological egoism describes human nature as being wholly self-centered and self-motivated. Examples of this explanation of human nature predate the formation of the theory, and, are found in writings such as that of British Victorian historian, Macaulay, and, in that of British Reformation political philosopher, Thomas Hobbes. To the question, “What proposition is there respecting human nature which is absolutely and universally true?”, Macaulay, replies, “We know of only one . . . that men always act from self-interest.” (Quoted in Garvin.) In Leviathan, Hobbes maintains that, “No man giveth but with intention of good to himself; because gift is voluntary; and of all voluntary acts the object to every man is his own pleasure.” In its strong form, psychological egoism asserts that people always act in their own interests, and, cannot but act in their own interests, even though they may disguise their motivation with references to helping others or doing their duty.

Opponents claim that psychological egoism renders ethics useless. However, this accusation assumes that ethical behavior is necessarily other-regarding, which opponents would first have to establish. Opponents may also exploit counterfactual evidence to criticize psychological egoism— surely, they claim, there is a host of evidence supporting altruistic or duty bound actions that cannot be said to engage the self-interest of the agent. However, what qualifies to be counted as apparent counterfactual evidence by opponents becomes an intricate and debatable issue. This is because, in response to their opponents, psychological egoists may attempt to shift the question away from outward appearances to ultimate motives of acting benevolently towards others; for example, they may claim that seemingly altruistic behavior (giving a stranger some money) necessarily does have a self-interested component. For example, if the individual were not to offer aid to a stranger, he or she may feel guilty or may look bad in front of a peer group.

On this point, psychological egoism’s validity turns on examining and analyzing moral motivation. But since motivation is inherently private and inaccessible to others (an agent could be lying to herself or to others about the original motive), the theory shifts from a theoretical description of human nature–one that can be put to observational testing–to an assumption about the inner workings of human nature: psychological egoism moves beyond the possibility of empirical verification and the possibility of empirical negation (since motives are private), and therefore it becomes what is termed a “closed theory.”

A closed theory is a theory that rejects competing theories on its own terms and is non-verifiable and non-falsifiable. If psychological egoism is reduced to an assumption concerning human nature and its hidden motives, then it follows that it is just as valid to hold a competing theory of human motivation such as psychological altruism.

Psychological altruism holds that all human action is necessarily other-centered, and other-motivated. One’s becoming a hermit (an apparently selfish act) can be reinterpreted through psychological altruism as an act of pure noble selflessness: a hermit is not selfishly hiding herself away, rather, what she is doing is not inflicting her potentially ungraceful actions or displeasing looks upon others. A parallel analysis of psychological altruism thus results in opposing conclusions to psychological egoism. However, psychological altruism is arguably just as closed as psychological egoism: with it one assumes that an agent’s inherently private and consequently unverifiable motives are altruistic. If both theories can be validly maintained, and if the choice between them becomes the flip of a coin, then their soundness must be questioned.

A weak version of psychological egoism accepts the possibility of altruistic or benevolent behavior, but maintains that, whenever a choice is made by an agent to act, the action is by definition one that the agent wants to do at that point. The action is self-serving, and is therefore sufficiently explained by the theory of psychological egoism. Let one assume that person A wants to help the poor; therefore, A is acting egoistically by actually wanting to help; again, if A ran into a burning building to save a kitten, it must be the case that A wanted or desired to save the kitten. However, defining all motivations as what an agent desires to do remains problematic: logically, the theory becomes tautologous and therefore unable to provide a useful, descriptive meaning of motivation because one is essentially making an arguably philosophically uninteresting claim that an agent is motivated to do what she is motivated to do. Besides which, if helping others is what A desires to do, then to what extent can A be continued to be called an egoist? A acts because that is what A does, and consideration of the ethical “ought” becomes immediately redundant. Consequently, opponents argue that psychological egoism is philosophically inadequate because it sidesteps the great nuances of motive. For example, one can argue that the psychological egoist’s notion of motive sidesteps the clashes that her theory has with the notion of duty, and, related social virtues such as honor, respect, and reputation, which fill the tomes of history and literature.

David Hume, in his Enquiry Concerning the Principles of Morals (Appendix II—Of Self Love), offers six rebuttals of what he calls the “selfish hypothesis,” an arguably archaic relative of psychological egoism. First, Hume argues that self-interest opposes moral sentiments that may engage one in concern for others, and, may motivate one’s actions for others. These moral sentiments include love, friendship, compassion, and gratitude. Second, psychological egoism attempts to reduce human motivation to a single cause, which is a ‘fruitless’ task—the “love of simplicity…has been the source of much false reasoning in philosophy.” Third, it is evident that animals act benevolently towards one another, and, if it is admitted that animals can act altruistically, then how can it be denied in humans? Fourth, the concepts we use to describe benevolent behavior cannot be meaningless; sometimes an agent obviously does not have a personal interest in the fortune of another, yet will wish her well. Any attempt to create an imaginary vested interest, as the psychological egoist will attempt, proves futile. Fifth, Hume asserts that we have prior motivations to self-interest; we may have, for example, a predisposition towards vanity, fame, or vengeance that transcends any benefit to the agent. Finally, Hume claims that even if the selfish hypothesis were true, there are a sufficient number of dispositions to generate a wide possibility of moral actions, allowing one person to be called vicious and another humane; and he claims that the latter is to be preferred over the former.

2. Normative Egoism

The second variant of egoism is normative in that it stipulates the agent ought to promote the self above other values. Herbert Spencer said, “Ethics has to recognize the truth, recognized in unethical thought, that egoism comes before altruism. The acts required for continued self-preservation, including the enjoyments of benefits achieved by such arts, are the first requisites to universal welfare. Unless each duly cares for himself, his care for all others is ended in death, and if each thus dies there remain no others to be cared for.” He was echoing a long history of the importance of self-regarding behavior that can be traced back to Aristotle’s theory of friendship in the Nichomachaean Ethics. In his theory, Aristotle argues that a man must befriend himself before he can befriend others. The general theory of normative egoism does not attempt to describe human nature directly, but asserts how people ought to behave. It comes in two general forms: rational egoism and ethical egoism.

a. Rational Egoism

Rational egoism claims that the promotion of one’s own interests is always in accordance with reason. The greatest and most provocative proponent of rational egoism is Ayn Rand, whose The Virtue of Selfishness outlines the logic and appeal of the theory. Rand argues that: first, properly defined, selfishness rejects the sacrificial ethics of the West’s Judaic-Christian heritage on the grounds that it is right for man to live his own life; and, Rand argues that, second, selfishness is a proper virtue to pursue. That being said, she rejects the “selfless selfishness” of irrationally acting individuals: “the actor must always be the beneficiary of his action and that man must act for his own rational self-interest.” To be ethically selfish thus entails a commitment to reason rather than to emotionally driven whims and instincts.

In the strong version of rational egoism defended by Rand, not only is it rational to pursue one’s own interests, it is irrational not to pursue them. In a weaker version, one may note that while it is rational to pursue one’s own interests, there may be occasions when not pursuing them is not necessarily irrational.

Critics of rational egoism may claim that reason may dictate that one’s interests should not govern one’s actions. The possibility of conflicting reasons in a society need not be evoked in this matter; one need only claim that reason may invoke an impartiality clause, in other words, a clause that demands that in a certain situation one’s interests should not be furthered. For example, consider a free-rider situation. In marking students’ papers, a teacher may argue that to offer inflated grades is to make her life easier, and, therefore, is in her self-interest: marking otherwise would incur negative feedback from students and having to spend time counseling on writing skills, and so on. It is even arguably foreseeable that inflating grades may never have negative consequences for anyone. The teacher could conceivably free-ride on the tougher marking of the rest of the department or university and not worry about the negative consequences of a diminished reputation to either. However, impartiality considerations demand an alternative course—it is not right to change grades to make life easier. Here self-interest conflicts with reason. Nonetheless, a Randian would reject the teacher’s free-riding being rational: since the teacher is employed to mark objectively and impartially in the first place, to do otherwise is to commit a fraud both against the employing institution and the student. (This is indeed an analogous situation explored in Rand’s The Fountainhead, in which the hero architect regrets having propped up a friend’s inabilities).

A simpler scenario may also be considered. Suppose that two men seek the hand of one woman, and they deduce that they should fight for her love. A critic may reason that the two men rationally claim that if one of them were vanquished, the other may enjoy the beloved. However, the solution ignores the woman’s right to choose between her suitors, and thus the men’s reasoning is flawed.

In a different scenario, game theory (emanating from John von Neumann’s and Oskar Morgenstern’s Theory of Games and Economic Behaviour, 1944) points to another possible logical error in rational egoism by offering an example in which the pursuit of self-interest results in both agents being made worse off.

This is famously described in the Prisoner’s Dilemma.

Prisoner B
Confess Don’t confess
_ 

Prisoner A

Confess 5,5 ½,10
Don’t Confess 10,½ 2,2

From the table, two criminals, A and B, face different sentences depending on whether they confess their guilt or not. Each prisoner does not know what his partner will choose and communication between the two prisoners is not permitted. There are no lawyers and presumably no humane interaction between the prisoners and their captors.

Rationally (i.e., from the point of view of the numbers involved), we can assume that both will want to minimize their sentences. Herein lies the rub – if both avoid confessing, they will serve 2 years each – a total of 4 years between them. If they both happen to confess, they each serve 5 years each, or 10 years between them.

However they both face a tantalizing option: if A confesses while his partner doesn’t confess, A can get away in 6 months leaving B to languish for 10 years (and the same is true for B): this would result in a collective total of 10.5 years served.

For the game, the optimal solution is assumed to be the lowest total years served, which would be both refusing to confess and each therefore serving 2 years each.
The probable outcome of the dilemma though is that both will confess in the desire to get off in 6 months, but therefore they will end up serving 10 years in total.
This is seen to be non-rational or sub-optimal for both prisoners as the total years served is not the best collective solution.

The Prisoner’s Dilemma offers a mathematical model as to why self-interested action could lead to a socially non-optimal equilibrium (in which the participants all end up in a worse scenario). To game theorists, many situations can be modeled in a similar way to the classic Prisoner’s Dilemma including issues of nuclear deterrence, environmental pollution, corporate advertising campaigns and even romantic dates.

Supporters identify a game “as any interaction between agents that is governed by a set of rules specifying the possible moves for each participant and a set of outcomes for each possible combination of moves.” They add: “One is hard put to find an example of social phenomenon that cannot be so described.” (Hargreaves-Heap and Varoufakis, p.1).

Nonetheless, it can be countered that the nature of the game artificially pre-empts other possibilities: the sentences are fixed not by the participants but by external force (the game masters), so the choices facing the agents are outside of their control. Although this may certainly be applied to the restricted choices facing the two prisoners or contestants in a game, it is not obvious that every-day life generates such limited and limiting choices. The prisoner’s dilemma is not to be repeated: so there are no further negotiations based on what the other side chose.

More importantly, games with such restricting options and results are entered into voluntarily and can be avoided (we can argue that the prisoners chose to engage in the game in that they chose to commit a crime and hence ran the possibility of being caught!). Outside of games, agents affect each other and the outcomes in many different ways and can hence vary the outcomes as they interact – in real life, communication involves altering the perception of how the world works, the values attached to different decisions, and hence what ought to be done and what potential consequences may arise.

In summary, even within the confines of the Prisoner’s Dilemma the assumptions that differing options be offered to each such that their self-interest works against the other can be challenged logically, ethically and judicially. Firstly, the collective outcomes of the game can be changed by the game master to produce a socially and individually optimal solution – the numbers can be altered. Secondly, presenting such a dilemma to the prisoners can be considered ethically and judicially questionable as the final sentence that each gets is dependent on what another party says, rather than on the guilt and deserved punished of the individual.

Interestingly, repeated games tested by psychologists and economists tend to present a range of solutions depending on the stakes and other rules, with Axelrod’s findings (The Evolution of Cooperation, 1984) indicating that egotistic action can work for mutual harmony under the principle of “tit for tat” – i.e., an understanding that giving something each creates a better outcome for both.

At a deeper level, some egoists may reject the possibility of fixed or absolute values that individuals acting selfishly and caught up in their own pursuits cannot see. Nietzsche, for instance, would counter that values are created by the individual and thereby do not stand independently of his or her self to be explained by another “authority”; similarly, St. Augustine would say “love, and do as you will”; neither of which may be helpful to the prisoners above but which may be of greater guidance for individuals in normal life.

Rand exhorts the application of reason to ethical situations, but a critic may reply that what is rational is not always the same as what is reasonable. The critic may emphasize the historicity of choice, that is, she may emphasize that one’s apparent choice is demarcated by, and dependent on, the particular language, culture of right and consequence and environmental circumstance in which an individual finds herself living: a Victorian English gentleman perceived a different moral sphere and consequently horizon of goals than an American frontiersman. This criticism may, however, turn on semantic or contextual nuances. The Randian may counter that what is rational is reasonable: for one can argue that rationality is governed as much by understanding the context (Sartre’s facticity is a highly useful term) as adhering to the laws of logic and of non-contradiction.

b. Ethical Egoism

Ethical egoism is the normative theory that the promotion of one’s own good is in accordance with morality. In the strong version, it is held that it is always moral to promote one’s own good, and it is never moral not to promote it. In the weak version, it is said that although it is always moral to promote one’s own good, it is not necessarily never moral to not. That is, there may be conditions in which the avoidance of personal interest may be a moral action.

In an imaginary construction of a world inhabited by a single being, it is possible that the pursuit of morality is the same as the pursuit of self-interest in that what is good for the agent is the same as what is in the agent’s interests. Arguably, there could never arise an occasion when the agent ought not to pursue self-interest in favor of another morality, unless he produces an alternative ethical system in which he ought to renounce his values in favor of an imaginary self, or, other entity such as the universe, or the agent’s God. Opponents of ethical egoism may claim, however, that although it is possible for this Robinson Crusoe type creature to lament previous choices as not conducive to self-interest (enjoying the pleasures of swimming all day, and not spending necessary time producing food), the mistake is not a moral mistake but a mistake of identifying self-interest. Presumably this lonely creature will begin to comprehend the distinctions between short, and long-term interests, and, that short-term pains can be countered by long-term gains.

In addition, opponents argue that even in a world inhabited by a single being, duties would still apply; (Kantian) duties are those actions that reason dictates ought to be pursued regardless of any gain, or loss to self or others. Further, the deontologist asserts the application of yet another moral sphere which ought to be pursued, namely, that of impartial duties. The problem with complicating the creature’s world with impartial duties, however, is in defining an impartial task in a purely subjective world. Impartiality, the ethical egoist may retort, could only exist where there are competing selves: otherwise, the attempt to be impartial in judging one’s actions is a redundant exercise. (However, the Cartesian rationalist could retort that need not be so, that a sentient being should act rationally, and reason will disclose what are the proper actions he should follow.)

If we move away from the imaginary construct of a single being’s world, ethical egoism comes under fire from more pertinent arguments. In complying with ethical egoism, the individual aims at her own greatest good. Ignoring a definition of the good for the present, it may justly be argued that pursuing one’s own greatest good can conflict with another’s pursuit, thus creating a situation of conflict. In a typical example, a young person may see his greatest good in murdering his rich uncle to inherit his millions. It is the rich uncle’s greatest good to continue enjoying his money, as he sees fit. According to detractors, conflict is an inherent problem of ethical egoism, and the model seemingly does not possess a conflict resolution system. With the additional premise of living in society, ethical egoism has much to respond to: obviously there are situations when two people’s greatest goods – the subjectively perceived working of their own self-interest – will conflict, and, a solution to such dilemmas is a necessary element of any theory attempting to provide an ethical system.

The ethical egoist contends that her theory, in fact, has resolutions to the conflict. The first resolution proceeds from a state of nature examination. If, in the wilderness, two people simultaneously come across the only source of drinkable water a potential dilemma arises if both make a simultaneous claim to it. With no recourse to arbitration they must either accept an equal share of the water, which would comply with rational egoism. (In other words, it is in the interest of both to share, for both may enjoy the water and each other’s company, and, if the water is inexhaustible, neither can gain from monopolizing the source.) But a critic may maintain that this solution is not necessarily in compliance with ethical egoism. Arguably, the critic continues, the two have no possible resolution, and must, therefore, fight for the water. This is often the line taken against egoism generally: that it results in insoluble conflict that implies, or necessitates a resort to force by one or both of the parties concerned. For the critic, the proffered resolution is, therefore, an acceptance of the ethical theory that “might is right;” that is, the critic maintains that the resolution accepts that the stronger will take possession and thereby gain proprietary rights.

However, ethical egoism does not have to logically result in a Darwinian struggle between the strong and the weak in which strength determines moral rectitude to resources or values. Indeed, the “realist” position may strike one as philosophically inadequate as that of psychological egoism, although popularly attractive. For example, instead of succumbing to insoluble conflict, the two people could cooperate (as rational egoism would require). Through cooperation, both agents would, thereby, mutually benefit from securing and sharing the resource. Against the critic’s pessimistic presumption that conflict is insoluble without recourse to victory, the ethical egoist can retort that reasoning people can recognize that their greatest interests are served more through cooperation than conflict. War is inherently costly, and, even the fighting beasts of the wild instinctively recognize its potential costs, and, have evolved conflict-avoiding strategies.

On the other hand, the ethical egoist can argue less benevolently, that in case one man reaches the desired resource first, he would then be able to take rightful control and possession of it – the second person cannot possess any right to it, except insofar as he may trade with its present owner. Of course, charitable considerations may motivate the owner to secure a share for the second comer, and economic considerations may prompt both to trade in those products that each can better produce or acquire: the one may guard the water supply from animals while the other hunts. Such would be a classical liberal reading of this situation, which considers the advance of property rights to be the obvious solution to apparently intractable conflicts over resources.

A second conflict-resolution stems from critics’ fears that ethical egoists could logically pursue their interests at the cost of others. Specifically, a critic may contend that personal gain logically cannot be in one’s best interest if it entails doing harm to another: doing harm to another would be to accept the principle that doing harm to another is ethical (that is, one would be equating “doing harm” with “one’s own best interests”), whereas, reflection shows that principle to be illogical on universalistic criteria. However, an ethical egoist may respond that in the case of the rich uncle and greedy nephew, for example, it is not the case that the nephew would be acting ethically by killing his uncle, and that for a critic to contend otherwise is to criticize personal gain from the separate ethical standpoint that condemns murder. In addition, the ethical egoist may respond by saying that these particular fears are based on a confusion resulting from conflating ethics (that is, self-interest) with personal gain; The ethical egoist may contend that if the nephew were to attempt to do harm for personal gain, that he would find that his uncle or others would or may be permitted to do harm in return. The argument that “I have a right to harm those who get in my way” is foiled by the argument that “others have a right to harm me should I get in the way.” That is, in the end, the nephew variously could see how harming another for personal gain would not be in his self-interest at all.

The critics’ fear is based on a misreading of ethical egoism, and is an attempt to subtly reinsert the “might is right” premise. Consequently, the ethical egoist is unfairly chastised on the basis of a straw-man argument. Ultimately, however, one comes to the conclusion reached in the discussion of the first resolution; that is, one must either accept the principle that might is right (which in most cases would be evidentially contrary to one’s best interest), or accept that cooperation with others is a more successful approach to improving one’s interests. Though interaction can either be violent or peaceful, an ethical egoist rejects violence as undermining the pursuit of self-interest.

A third conflict-resolution entails the insertion of rights as a standard. This resolution incorporates the conclusions of the first two resolutions by stating that there is an ethical framework that can logically be extrapolated from ethical egoism. However, the logical extrapolation is philosophically difficult (and, hence, intriguing) because ethical egoism is the theory that the promotion of one’s own self-interest is in accordance with morality whereas rights incorporate boundaries to behavior that reason or experience has shown to be contrary to the pursuit of self-interest. Although it is facile to argue that the greedy nephew does not have a right to claim his uncle’s money because it is not his but his uncle’s, and to claim that it is wrong to act aggressively against the person of another because that person has a legitimate right to live in peace (thus providing the substance of conflict-resolution for ethical egoism), the problem of expounding this theory for the ethical egoist lies in the intellectual arguments required to substantiate the claims for the existence of rights and then, once substantiated, connecting them to the pursuit of an individual’s greatest good.

i. Conditional Egoism

A final type of ethical egoism is conditional egoism. This is the theory that egoism is morally acceptable or right if it leads to morally acceptable ends. For example, self-interested behavior can be accepted and applauded if it leads to the betterment of society as a whole; the ultimate test rests not on acting self-interestedly but on whether society is improved as a result. A famous example of this kind of thinking is from Adam Smith’s The Wealth of Nations, in which Smith outlines the public benefits resulting from self-interested behavior (borrowing a theory from the earlier writer Bernard Mandeville and his Fable of the Bees). Smith writes: “It is not from the benevolence of the butcher, the brewer, or the baker, that we expect our dinner, but from their regard to their own interest. We address ourselves, not to their humanity but to their self-love, and never talk to them of our own necessities but of their advantages” (Wealth of Nations, I.ii.2).

As Smith himself admits, if egoistic behavior lends itself to society’s detriment, then it ought to be stopped. The theory of conditional egoism is thus dependent on a superior moral goal such as an action being in the common interest, that is, the public good. The grave problem facing conditional egoists is according to what standard ought the limits on egoism be placed? In other words, who or what is to define the nature of the public good? If it is a person who is set up as the great arbitrator of the public, then it is uncertain if there can be a guarantee that he or she is embodying or arguing for an impartial standard of the good and not for his or her own particular interest. If it is an impartial standard that sets the limit, one that can be indicated by any reasonable person, then it behooves the philosopher to explain the nature of that standard.

In most “public good” theories, the assumption is made that there exists a collective entity over and above the individuals that comprise it: race, nation, religion, and state being common examples. Collectivists then attempt to explain what in particular should be held as the interest of the group. Inevitably, however, conflict arises, and resolutions have to be produced. Some seek refuge in claiming the need for perpetual dialogue (rather than exchange), but others return to the need for force to settle apparently insoluble conflicts; nonetheless, the various shades of egoism pose a valid and appealing criticism of collectivism: that individuals act; groups don’t. Karl Popper’s works on methodological individualism are a useful source in criticizing collectivist thinking (for example, Popper’s The Poverty of Historicism).

3. Conclusion

Psychological egoism is fraught with the logical problem of collapsing into a closed theory, and hence being a mere assumption that could validly be accepted as describing human motivation and morality, or be rejected in favor of a psychological altruism (or even a psychological ecologism in which all actions necessarily benefit the agent’s environment).

Normative egoism, however, engages in a philosophically more intriguing dialogue with protractors. Normative egoists argue from various positions that an individual ought to pursue his or her own interest. These may be summarized as follows: the individual is best placed to know what defines that interest, or it is thoroughly the individual’s right to pursue that interest. The latter is divided into two sub-arguments: either because it is the reasonable/rational course of action, or because it is the best guarantee of maximizing social welfare.

Egoists also stress that the implication of critics’ condemnation of self-serving or self-motivating action is the call to renounce freedom in favor of control by others, who then are empowered to choose on their behalf. This entails an acceptance of Aristotle’s political maxim that “some are born to rule and others are born to be ruled,” also read as “individuals are generally too stupid to act either in their own best interests or in the interests of those who would wish to command them.” Rejecting both descriptions (the first as being arrogant and empirically questionable and the second as unmasking the truly immoral ambition lurking behind attacks on selfishness), egoists ironically can be read as moral and political egalitarians glorifying the dignity of each and every person to pursue life as they see fit. Mistakes in securing the proper means and appropriate ends will be made by individuals, but if they are morally responsible for their actions they not only will bear the consequences but also the opportunity for adapting and learning. When that responsibility is removed and individuals are exhorted to live for an alternative cause, their incentive and joy in improving their own welfare is concomitantly diminished, which will, for many egoists, ultimately foster an uncritical, unthinking mass of obedient bodies vulnerable to political manipulation: when the ego is trammeled, so too is freedom ensnared, and without freedom ethics is removed from individual to collective or government responsibility.

Egoists also reject the insight into personal motivation that others – whether they are psychological or sociological “experts” – declare they possess, and which they may accordingly fine-tune or encourage to “better ends.” Why an individual acts remains an intrinsically personal and private act that is the stuff of memoirs and literature, but how they should act releases our investigations into ethics of what shall define the good for the self-regarding agent.

4. References and Further Reading

  • Aristotle. Nichomachaean Ethics. Various translations available. Book IX being most pertinent.
  • Baier, Kurt. “Egoisim” in A Companion to Ethics. Ed. Peter Singer. Blackwell: Oxford. 1990.
  • Feinberg, Joel. “Psychological Egoism” in Ethics: History, Theory, and Contemporary Issues. Oxford University Press: Oxford. 1998.
  • Garvin, Lucius. A Modern Introduction to Ethics. Houghton Mifflin: Cambrirdge, MA, 1953.
  • Hargreaves-Heap, Shaun P. and Yanis Varoufakis. Game Theory: A Critical Introduction. Routledge: London, 1995.
  • Holmes, S.J. Life and Morals. MacMillan: London, 1948.
  • Hospers, John. “Ethical Egoism,” in An Introduction to Philosophical Analysis. 2nd Edition. Routledge, Kegan Paul: London, 1967.
  • Hume, David. Enquiry Concerning the Principles of Morals.
  • Peikoff, Leonard. Objectivism: The Philosophy of Ayn Rand. Meridian: London, 1993.
  • Popper, Karl. Poverty of Historicism. Routledge & Kegan Paul: London, 1976.
  • Rachels, James. Elements of Moral Philosophy. Mcgraw-Hill: London, 1995.
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Author Information

Alexander Moseley
Email: alexandermoseley@icloud.com
United Kingdom

Wang Yangming (1472—1529)

wangyangmingWang Yangming, also known as Wang Shouren (Wang Shou-jen), is one of the most influential philosophers in the Confucian tradition. He is best known for his theory of the unity of knowledge and action. A capable and principled administrator and military official, he was exiled from 1507 to 1510 for his protest against political corruption. Although he studied the thought of Zhu Xi [Chu His] (1130-1200 CE) seriously in his teenage years, it was during this period of exile that he developed his contribution to what has become known as Neo-Confucianism (Daoxue, [Tao-hsueh or “Learning of the Way”). With Neo-Confucianism in general, Wang Yangming’s thought can be best understood as an attempt to propose personal morality as the main way to social well-being. Wang’s legacy in Neo-Confucian tradition and Confucian philosophy as a whole is his claim that the fundamental root of social problems lies in the fact that one fails to gain a genuine understanding of one’s self and its relation to the world, and thus fails to live up to what one could be.

Table of Contents

  1. Intellectual Context
  2. Philosophical Anthropology
  3. Redefinition of the World
  4. The Unity of Knowledge and Action
  5. Recent Scholarship on Wang Yangming
  6. References and Further Reading

1. Intellectual Context

Neo-Confucians, above all, urged people to engage in what they thought was “true learning,” which led to the genuine realization of the self. However, the cultural landscape of early and mid-Ming dynasty China (1368-1644 CE) did not unfold as Neo-Confucians wished. To understand the shared theoretical challenge that Wang Yangming confronted, one should first note that quite a number of Neo-Confucians at that time had contempt for what they thought was a certain vulgarized form of Confucian learning. This “vulgar learning” (suxue) included such activities as memorization and recitation (jisong), literary composition (cizhang), textual studies (xungu), and broad learning (boxue). To the eyes of Neo-Confucians, all these forms of learning represent learning that is aimed at accumulating external knowledge for its own sake. As a consequence, these forms of learning disregarded what Neo-Confucians considered to be the true purpose of the learning: construction of the moral self.

Ironically, the rampant increase in charges that certain work is “vulgar” was linked to the very triumph of Neo-Confucianism in general, and to Zhu Xi’s learning in particular, through its official recognition by the Ming state. While is true that, by the early Ming, “Cheng-Zhu” learning (named after the brothers Cheng Yi [Ch’eng I] and Cheng Hao [Ch’eng Hao] as well as the aforementioned Zhu Xi) had already enjoyed official recognition for over one hundred years, it was at this time that the institutionalization of the Cheng-Zhu teaching in early Ming was relatively complete. As is well known, by the time of the Yongle reign (1403-24), Cheng-Zhu learning had become fully established as the basis for the civil service examination that was the exclusive pathway to government service in imperial China. The Emperor Cheng Zu embraced Cheng-Zhu Neo-Confucianism and ordered Hu Kuang (1370-1418) and others to compile an official version of Zhu Xi’s commentaries on the Four Books (the Confucian Lunyu or Analects, the Mengzi or Mencius, the Daxue or Great Learning, and the Zhongyong or Doctrine of the Mean) and Five Classics (the Shujing or Classic of History, the Shijing or Classic of Poetry, the Yijing or Classic of Changes, Liji or Record of Rituals, and the Xiaojing or Classic of Filial Piety). Their effort resulted in the comprehensive anthology of the Great Compendia on the Five Classics and the Four Books.

The establishment of Neo-Confucianism as the examination curriculum contributed to what some thinkers considered to be the “vulgarization” of Neo-Confucian moral teaching. As Cheng-Zhu learning served as the basis of the civil examinations, those who wanted to get involved in the political arena had to master it regardless of whether or not they agreed with the essence of its teaching. In other words, they studied it for the sake of their worldly interests rather than out of concern for moral self-fulfillment. Wang Yangming was one of the most prominent among those thinkers who found it difficult to accept both “vulgar learning” and the form of Neo-Confucian learning that was vulnerable to degeneration into “vulgar learning.” One can find Wang’s lengthy critique of “vulgar learning” in the section of “Pulling up the root and stopping up the source” in Chuan xi lu (“Instructions for Practical Living” in Wing-tsit Chan’s translation).

While Cheng-Zhu learning was different from “vulgar learning” in its fundamental orientation, Wang Yangming thought that Cheng-Zhu style of “investigation of things” (gewu) was particularly susceptible to degeneration into “vulgar learning. So, what was at stake in Wang Yangming’s reformulation of Neo-Confucianism was the issue of how to reinvent Confucian learning in a way different from the way of Cheng-Zhu Neo-Confucianism, which turned out to be susceptible to “vulgarization.”

2. Philosophical Anthropology

In Wang’s mind, given the fact that the practitioners of “vulgar learning” devote their attention only to the accumulation of external knowledge, what is potentially problematic in Cheng-Zhu style of “investigation of things” is its search for moral principle (li) in the external world (as well as in the mind, xin [hsin]). Wang believed that the internalization of li resolved many problems that “vulgar learning” created. Wang’s idea that “the mind is principle” (xin ji li) expresses his belief succinctly. The most apparent and significant implication of xin ji li is the change of the locus of li from the external world (and the mind) to solely the mind. However, the proposition of xin ji li indicates more than the locus of li.

First, li does not simply reside in the mind but is coextensive with the mind. Accordingly, li does not exist as a distinguishable, searchable entity in the mind. Rather we call li the state in which the mind is so well preserved that it responds to the situation properly. In this sense, xin ji li meant a kind of evaluation that the mind could embody, a desirable quality represented by the concept of li, rather than a formula expressing the relationship between two distinct entities. Since li was not conceived as a static principle that one could discern and hold fast to, being attuned to li involved nothing other than having no selfish desires. In other words, we should not “seek the Principle of Nature” because principle is not something we can “seek.”

Second, the identification of xin and li brought about significant changes in the understanding of the mind as well. These changes in the understanding of the mind entailed a new philosophical anthropology. The mind — the unstable entity that was formerly understood in terms of qi (ch’i, vital force) and believed to be vulnerable to evil — is now conceived as li, the perfect moral entity.

Many of Wang’s statements, such as “The nature of all humans is good” and “[T]he original substance of the mind is characterized by the highest good; is there anything in the original substance of the mind that is not good?” show that he upheld the typical Neo-Confucian premise of the goodness of human nature. However, Wang’s philosophical anthropology was different from that of Cheng-Zhu Neo-Confucianism in that it pushed the premise of the goodness of human nature to its extreme.

In Cheng-Zhu Neo-Confucianism, xin means the operation of the subjective consciousness, or the location where the operation of the subjective consciousness takes place. If xin represents the immediate self as a current flow of consciousness while li is a normative state that should be embodied, xin ji li means, above all, that the mind ceases to be one of the loci where the moral principle resides; it achieves the very status of moral principle itself. This identification of xin and xing (hsing, nature) means creating a notion of the self-sufficient moral agent by negating the distinction between the potential goodness of the self and the actual state of the self.

While this notion of a self-sufficient moral agent is encouraging, it was not without problems for a group of intellectuals. For example, Luo Qinshun thought that the identification of the subjective function of the mind with the objective reality of principle constituted “a case of an infinitesimal mistake in the beginning leading to an infinite error at the end.” How so?

In the view of people like Luo, the notion of a self-sufficient moral agent contained in the formula of xin ji li appears virtually bereft of any viable tension between the ideal and the actual: the immediate, actual self is the ideal. This absence of a normative tension poses a certain threat to the rigor of morality. This is why they criticized the notion of a self-sufficient moral agent as being a source of arbitrariness and subjectivism in moral behavior. However, normative tension is not completely out of sight for those who advocate the formula of xin ji li. For one thing, Wang’s distinction between the mind in itself (xin zhi benti) and the so-called human mind (renxin) provides one with a standard with which to distinguish between the normative state and the actual state of the self. For Wang, the “mind in itself” represents the original state of the mind, which possesses the perfect faculty of moral judgment. The “human mind” represents the state of the mind that is “obscured” by selfish human desires, and thus does not realize the perfect faculty of moral judgment. Since the immediate state of the mind often remains at the level of the human mind, one is expected to endeavor to recover the mind in itself.

As long as Wang maintains a distinction between the mind in itself and the human mind, what is really at issue is not whether to posit a normative ideal, but how to conceptualize a normative ideal. Most important to his conceptualization, Wang does not conceive the normative ideal independently of the functioning of the mind. That is, there is no ontological difference between the normative ideal and the actual, for both the mind in itself and the human mind represent certain states of our consciousness. The only difference between the mind in itself and the human mind is whether or not the mind is clouded by selfish desire.

Thus, the main consequence of this way of conceiving a normative ideal is that our current state of mind is able to return to its original state simply by getting rid of selfish desires, without a separate effort to apprehend normative principle.

Distinguishing the goodness that reflects the original state of the mind from the badness that stems from selfish desires is absolutely critical in the process of returning to the original state of the mind. Such knowledge is just another aspect of the self-sufficient nature of the self. Following the Mencian tradition, Wang called this knowledge liangzhi (innate knowing). According to Wang, liangzhi possesses several intriguing features:

  1. Everyone without exception possesses liangzhi.
  2. Liangzhi is innate, not something acquired by learning. Thus, effort is necessary not for forming liangzhi but for setting it in motion.
  3. Liangzhi is not subject to variation or change due to time and place. One’s inner source of moral guidance can be simply applied to human conduct or society irrespective of the circumstances. Also, one can understand and make perfect judgments about things without much information.
  4. We can never lose liangzhi. At worst, we simply lose sight of it. Since liangzhi is always present in the mind, one can always activate it anytime if one desires it. “Once determined to reform, he recovers at once his own mind.”
  5. The character of liangzhi is intuitive. For Wang, the power of liangzhi lies in its ability properly to respond to any situation, rather than in factual knowledge that involves concrete information. In this way, Wang emphasized the intuitive power of the mind. Wang’s invoking of the image of the mirror and balance well expresses his emphasis on the intuitive moral sensitivity that liangzhi possesses. Both the mirror and balance give us knowledge of a given object by making it possible to reflect and weigh it without previous understanding. This aspect of Wang’s learning can be characterized as anti-“over-intellectualizing.”
  6. Despite its intuitional character, liangzhi is perfect. People often tend to lose sight of liangzhi because of selfish human desire. But once one gets rid of selfish human desire, the perfect power of liangzhi is completely restored. Simply put, “it [innate knowledge] knows everything” In short, when liangzhi is rendered as innate knowledge, knowledge means the capacity for moral judgment rather than factual knowledge. Thus, if we were but in full contact with liangzhi, liangzhi would make people perfectly moral rather than erudite. For Wang, however, such moral judgment presupposes a total understanding of a given situation.
  7. For Wang, who believed in the perfect, intuitive power of liangzhi, resolution based on confidence was important: “There is the sage in everyone. Only one who has not enough self-confidence buries his own chance.”
  8. Trusting in innate moral knowing, Wang seemed to simplify the cumbersome process of learning, considering it to be a matter of eliminating selfish desires: “In learning to become a sage, the student needs only to get rid of selfish human desires and preserve the Principle of Nature, which is like refining gold and achieving perfection in quality.” People are no longer under the burden of any other business except for getting rid of selfish desire.

All of the above points together explain the populist ethos in Wang’s learning, as we see in Wang’s famous statement: “All the people filling the street are sages.” For Wang, becoming a fully moral agent is simple and easy. “Just don’t try to deceive it [liangzhi] but sincerely and truly follow in whatever you do. Then the good will be perceived and evil will be removed. What security and joy there is in this!” It cannot but be easy because we are already fully moral agents. As self-sufficient moral subjects we do not need to engage in the exploration of the external world.

3. Redefinition of the World

Wang wanted to show that moral awareness depended on the self. While the importance of the moral agent is quite understandable in the moral sphere, it begs the question of what kind of relation moral principle has to the world out there if the ontological status of moral principle hinges solely on the moral agent. In other words, how could it be that one’s moral principle is completely in the mind and, at the same time, vitally connected to the world out there? Answering this question is absolutely critical if Wang’s reassertion of personal morality is to be socially responsible. Wang’s sense of social responsibility is clear when he wants to distinguish his own convictions from those of Buddhists, whom Confucians have regarded as forsaking the external world. “In nourishing the mind, we Confucians have never departed from things and events.”

On what ground, then, could Wang maintain that his learning was focused on the mind and, at the same time, did not depart from the external world? How did Wang resolve this contradiction? As is expected in his rhetorical question, “Is there any affair in the world outside of the mind?” the answer lay in his redefinition of the world in such a way that there was no affair outside of the mind.

According to Wang, the external world is not something out there, as distinct from the mind, but “that to which the operation of the mind is directed.” This redefinition of the external world is based on the insight that everything we can know about the world is mediated by experience. This experience is made possible by our sense organs. The activity of these sense organs is associated with the mind. Thus, all things that we encounter in our lives are necessarily associated with the mind. The world so conceived is no longer an independent entity external to the mind, but an inseparable part of the mind. According to this picture, the external world exists always in reference to the self.

This position makes one wonder if the external world does not exist without the operation of one’s mind. However, what Wang Yangming cares about is not (scientific) investigation of the existence of the world itself — which is a question of modern epistemology — but the perspective from which we can properly understand our relationship to the world. When Wang asks rhetorically, “Is there any affair in the world outside of the mind?” the message he is trying to convey is that all the things and affairs in our lives exist in an activated state, so that is what we should have in mind when we think about the world.

How, then, is the world in an activated state? The practitioners of “vulgar learning” often take the world as something statically “out there.” When they produce factual knowledge, they assume a static world-picture to the extent that they can produce fixed knowledge. However, if we accept Wang’s definition of things as “that to which the operation of the mind is directed,” the real world in our lives turns out to be the experienced world. In other words, the world is not silent, inert, and vacant, but activated and awakened. Indeed, life manifests itself in movements like eating, going to bed, and speaking rather than seeing while stationary. To be exact, we are, in a sense, moving when we are stationary, for we are experiencing something incessantly. Common metaphors of life — such as passage, travel, voyage, and journey — are related to this kind of mobility in our life-experience. What are the implications of Wang’s redefinition of the external world?

First, the most significant implication of this change in the meaning of the external world is that Wang has in principle dismissed the necessity of exploring the external world independent of the self. Under this framework, to take the mind seriously is none other than to do justice to the external world. Thus, Wang said, “The mind is the master of Heaven-and-Earth and myriad things. The mind is none other than Heaven. If we mention the mind, Heaven-and-Earth and the myriad things all are also mentioned automatically.”

Second, what we notice in Wang’s redefinition of the world is a reformulation of the relation between the mind as subject and the world as object. Wang suspected that the distinction between the mind as perceiving subject and the world as perceived object could, by creating a gap between self and world, make genuine Confucian learning liable to degenerate into “vulgar learning,” which justified the pursuit of external knowledge that was irrelevant to the self. Thus, Wang saw our experienced and lived reality as constituted in and through an inseparable relation between the mind and the world. In his reconceptualization of this relationship, inner and outer were unified because the mind was the world. This seamless conception of the mind and the world overcame the gulf between the subject and the object that “vulgar learning” engenderd.

Third, this rearrangement of the mind’s relation to the world makes the mind and the world coextensive. For Wang, the mind and the external world are not fully distinguishable, for the world is no more than that to which the operation of the mind is directed. This new arrangement of the mind’s relation to the world gives us total contact with both the self and the larger world from the beginning. We can say that the distance between the world and us is shortened in the sense that our access to the world is unmediated, and there is no world that exists beyond the scope of the self.

4. The Unity of Knowledge and Action

Wang’s theory of the unity of knowledge and action (zhixing heyi) is probably the most well-known aspect of Wang’s philosophy. Some of the most puzzling aspects of Wang’s theory of the unity of knowledge and action can be best understood by way of Wang’s conception of self and world.

The issue of the relationship between knowledge and action concerns the relationship between knowledge about (moral) matters and doing what the knowledge calls for. Traditionally, Chinese thought in general, and Zhu Xi in particular, maintained that once one acquired knowledge, one should do one’s best to put such knowledge into practice. In discussing Wang’s theory of the unity of knowledge and action, however, we first need to make clear that by his theory of the unity of knowledge and action, Wang was not asserting a traditional idea. Indeed, this was precisely the position that Wang wished to repudiate.

Despite the emphasis on the need for knowledge to be put into practice, the traditional position presupposed two possibilities: first, that one can have knowledge without/prior to corresponding action; and second, that one can know what is the proper action, but still fail to act. Because of these two possibilities, the traditional position left open the possibility of separating knowledge and action, but called for the overcoming of this separation.

However, Wang denied both possibilities. These two denials constitute the essence of Wang’s theory of the unity of knowledge and action. First, according to Wang, it is only through simultaneous action that one can obtain knowledge: “If you want to know bitterness, you have to eat a bitter melon yourself.” Wang denied any other possible routes to obtain knowledge.

According to Wang, it is not possible for one to put something into practice after acquiring knowledge. This is because knowledge and action are unified already, from beginning to end. We cannot unify knowledge and action because they are already unified. Of course, Wang was aware of the claims that “there are people who know that parents should be served with filial piety and elder brothers with respect but cannot put these things into practice. This shows that knowledge and action are clearly two different things.” Wang’s answer was: “The knowledge and action you refer to are already separated by selfish desires and are no longer knowledge and action in their original state.” In other words, knowledge necessarily/automatically leads to action in its original state. We cannot have knowledge while preventing it from leading to action.

Understanding these two apparently non-commonsensical ideas is crucial for understanding of Wang’s theory of the unity of knowledge and action, for they are the points that differentiated Wang’s position from preceding positions. In order to understand them, we need to examine what Wang meant by “knowledge” and “action.” Furthermore, considering Wang’s view of self and world is indispensable to any examination of Wang’s notions of “knowledge” and “action.”

First, knowledge in Wang’s theory of the unity of knowledge and action may not necessarily be the knowledge we conventionally imagine. What Wang meant by knowledge in his discussion of knowledge and action is not grasping information that was “out there” — which is prevalent in what Wang characterized as “vulgar learning.” What Wang meant was knowledge of how to act in a given situation, as we will confirm in Wang’s statements concerning the unity of knowledge and action. Where, then, does knowledge of how to act come from? This question brings us to Wang’s theory of philosophical anthropology and his notion of liangzhi. Liangzhi is supposed to provide that kind of certainty for action. The English translation of liangzhi is innate knowledge or innate knowing, which suggests that we already possess all the knowledge we need to have. We do not have to spend any time to acquire knowledge. Precisely speaking, we cannot acquire knowledge, for we, as self-sufficient moral agents, already possess it from the very beginning. Thus, it would be nonsense to say that we need to know before in order to act. In this sense, what we mean by “knowing” is not to attain from outside what is previously absent but to experience the operation of our innate knowledge/knowing in the concrete situations of our own lives. “To ‘obtain’ means to get in the mind; it is not infused from without.” From this we can understand Wang’s strange idea that it is only through simultaneous action that one can obtain knowledge. For action is the process of activating our innate knowledge. Thus, Wang said, “Can anyone learn without action?” What we conventionally think of as attaining knowledge is nothing other than experiencing knowledge that we already have.

But what, precisely, is action? Wang did not think of moral action in terms of willing and then performing an action. For him, the true perception of a situation automatically and immediately sets action into motion. In emphasizing the setting-in-motion of action followed by the perception of a situation, the action in Wang’s theory does not exactly correspond to the kinds of acts we have conventionally in mind. For Wang, action means all responses to a given situation. This includes studying, which was not conventionally regarded as belonging to the realm of action.

At the same time, Wang tended to consider action as responses to given situations rather than action in a vacuum. This point is evident in his examples of responses to such things as color, smell, and taste. When action is conceived largely as a response to a given situation, we cannot avoid acting. We never depart from the “situation” in which we find ourselves.

To understand further why Wang conceived of action as a response to a given situation, we need to remember his redefinition of the world. To describe the actual fabric of life that Wang had in mind, we have invoked the sense of movement, which posited an alternative to the more static conception of experience — one that deceived one into thinking that one stood outside the actual world. For Wang, our lives consist of living in the moment.

With this understanding of Wang’s notion of knowledge and action in mind, let us imagine the situation in which one acts with one’s knowledge. First of all, one does not spend any time to attain knowledge. All one needs is to respond to a given situation. Knowledge is not fixed knowledge, but consists of ever-changing responses to shifting situations: “Innate knowledge is to minute details and varying circumstances as compasses and measures are to areas and lengths. Details and circumstances cannot be predetermined, just as areas and lengths are infinite in number and cannot be entirely covered.” Wang is invoking “the radically context sensitive and particularist nature of moral judgement.” Accordingly, the knowledge is intuitive. As action is the natural inner workings of liangzhi in the form of reaction, there is no gap between knowledge and action.

Keeping the above understanding of knowledge and action in mind, we can understand the aforementioned two idiosyncratic points in Wang’s theory of the unity of knowledge and action. First, it is only through simultaneous action that one can obtain knowledge. This is because one already possesses knowledge. What seems to be a process of obtaining knowledge is in reality the process of activating innate knowledge. Knowledge is activated through the contact with the situation, and this is called “action.” Second, knowledge necessarily/automatically leads to action. For Wang, knowledge means knowing how to respond to a given situation and action is responding to a given situation. Furthermore, one cannot help responding to the world because one is “moving” in every moment. Action is no longer an operation subsequent to the formulation of knowledge of the world, but a fundamental mode of human life. Given that one innately has knowledge of how to act in all situations, and that one cannot help acting, knowledge necessarily leads to action. When knowledge and action appear to be separate, it is because one has not activated one’s true knowledge — a result of delusion due to selfish desire or false learning: “There have never been people who know but do not act. Those who are supposed to know but do not act simply do not yet know.”

According to Wang, the normative picture of the universe is that moral agents are living their lives actualizing their liangzhi in the form of the unity of knowledge and action. In this picture, the betterment of society depends on the expansion of the self’s ability to respond morally to the world. Thus, Wang repeatedly reasserts the validity of the Neo-Confucian promise — the salvation of the world through personal morality — which is based on the assumption that “Governance depends on human beings (wei zheng zai ren).”

In his own time, Wang’s teaching was enthusiastically received. Although Wang’s new mode of thinking was rapidly gaining currency among intellectuals, for those who did not subscribe to his ideas Wang’s formulation was nothing more than a mistaken answer to the problem. Thus, Wang came to serve as a catalyst for complex and wide-ranging debates and controversies. No matter how later generation of thinkers would evaluate the legacy of Wang’s learning, it could hardly be denied that with Wang Yangming the tradition of Chinese philosophy became richer and more complex.

5. Recent Scholarship on Wang Yangming

Leaving aside Wang Yangming’s importance in his own time, he deserves attention because of his tremendous, long-lived influence on Chinese intellectual history. Not surprisingly, therefore, important studies of Wang Yangming have been produced all the way up to the present.

In Anglophone scholarship, the work of Frederick Goodrich Henke (1916) and Wing-tsit Chan (1963) has made available translations of Wang’s major works. Wing-tsit Chan (1970) provides a bird’s-eye view on the flow of thought from the early Ming through Wang’s era by scrutinizing the evolution of “the learning of mind” in early Ming thinkers. Wang’s thought also has been explored by Tu Weiming (1976) in terms of the interaction between his life history and the formation of his major doctrines. Wm. Theodore de Bary (1970) has discussed the progression of thought in the late Ming in terms of the unfolding of “Wang Learning.” The work of Julia Ching (1976) also merits consideration. More recently, P. J. Ivanhoe (2002) has discussed Mencius’ and Wang’s philosophies from a comparative perspective.

In Japanese scholarship, the compilation of Yōmeigaku Taikei (Compendium of Yangming Learning) is most prominent among many works. In his classic study, Shushigaku to Yōmeigaku (Zhu Xi Learning and Yangming Learning) (1967), Shimada Kenzi attempts to compare the thought of Wang with that of Zhu Xi. However, his analysis does not pay attention to the specific historical contents of their philosophical movements, while Togawa Yoshio’s Jukyōshi (A History of Confucianism) (1987) pays relatively more attention to this issue.

In mainland China, Wang’s thought has been interpreted as subjective idealism and criticized by Marxist scholars despite the fact that the influence of Marxist ideology has become relatively weak since the end of Cultural Revolution (c. 1966-1976). Yang Guorong (1990) diachronically narrates the development of the structure of Wang’s philosophy. The work of Chen Lai (1991) also is worthy of attention.

6. References and Further Reading

  • Araki Kengo, et al, comp. Yōmeigaku Taikei. 12 vols. Tokyo: Meitoku shuppansha, 1971-73.
  • Chan, Wing-tsit, trans. Instructions for Practical Living and Other Neo-Confucian Writings by Wang Yang-ming. New York: Columbia University Press, 1963.
  • Chan, Wing-tsit. “The Ch’eng-Chu School of Early Ming.” In Self and Society in Ming Thought, ed. W. T. de Bary (New York: Columbia University Press, 1970): 29-51.
  • Chen Lai. Youwuzhijing: Wang Yangming zhuxue de jingshen (The Realm of Being and Non-being: The Spirit of Wang Yangming’s Philosophy). Beijing: Renmin Chubanshe, 1991.
  • Ching, Julia, ed. To Acquire Wisdom: The Way of Wang Yang-ming. New York: Columbia University Press, 1976.
  • de Bary, W. T. “Individualism and Humanitarianism in Late Ming Thought.” In Self and Society in Ming Thought, ed. W. T. de Bary (New York: Columbia University Press, 1970): 145-247.
  • Henke, Frederick Goodrich. The Philosophy of Wang Yang-Ming. Chicago: Open Court, 1916.
  • Ivanhoe, P.J. Ethics in the Confucian Tradition. 2nd ed. Indianapolis: Hackett, 2002.
  • Shimada Kenji. Shushigaku to Yōmeigaku (Zhu Xi Learning and Yangming Learning). Tokyo: Iwanami shoten, 1967.
  • Togawa Yoshio, et al. Jukyōshi (A History of Confucianism). Tokyo: Yamakawa Shuppansha, 1987.
  • Tu Weiming. Neo-Confucian Thought in Action: Wang Yang-ming’s Youth (1472-1509). Berkeley and Los Angeles: University of California Press, 1976.
  • Yang Guorong. Wangxue tonglun (A Comprehensive Study of Wang Learning). Shanghai: Shanghai sanlianshudian, 1990.

Author Information

Youngmin Kim
Email: kimyoungmin@snu.ac.kr
Seoul National University
South Korea

Plato: Theaetetus

platoThe Theaetetus is one of the middle to later dialogues of the ancient Greek philosopher Plato. Plato was Socrates’ student and Aristotle’s teacher. As in most of Plato’s dialogues, the main character is Socrates. In the Theaetetus, Socrates converses with Theaetetus, a boy, and Theodorus, his mathematics teacher. Although this dialogue features Plato’s most sustained discussion on the concept of knowledge, it fails to yield an adequate definition of knowledge, thus ending inconclusively. Despite this lack of a positive definition, the Theaetetus has been the source of endless scholarly fascination. In addition to its main emphasis on the nature of cognition, it considers a wide variety of philosophical issues: the Socratic Dialectic, Heraclitean Flux, Protagorean Relativism, rhetorical versus philosophical life, and false judgment. These issues are also discussed in other Platonic dialogues.

The Theaetetus poses a special difficulty for Plato scholars trying to interpret the dialogue: in light of Plato’s metaphysical and epistemological commitments, expounded in earlier dialogues such as the Republic, the Forms are the only suitable objects of knowledge, and yet the Theaetetus fails explicitly to acknowledge them. Might this failure mean that Plato has lost faith in the Forms, as the Parmenides suggests, or is this omission of the Forms a calculated move on Plato’s part to show that knowledge is indeed indefinable without a proper acknowledgement of the Forms? Scholars have also been puzzled by the picture of the philosopher painted by Socrates in the digression: there the philosopher emerges as a man indifferent to the affairs of the city and concerned solely with “becoming as much godlike as possible.” What does this version of the philosophic life have to do with a city-bound Socrates whose chief concern was to benefit his fellow citizens? These are only two of the questions that have preoccupied Plato scholars in their attempt to interpret this highly complex dialogue.

Table of Contents

  1. The Characters of Plato’s Theaetetus
  2. Date of Composition
  3. Outline of the Dialogue
    1. Knowledge as Arts and Sciences (146c – 151d)
    2. Knowledge as Perception (151d – 186e)
    3. Knowledge as True Judgment (187a – 201c)
    4. Knowledge as True Judgment with Logos (201c – 210d)
  4. References and Further Reading
    1. General Commentaries
    2. Knowledge as Arts and Sciences
    3. Knowledge as Perception
    4. Knowledge as True Judgment
    5. Knowledge as True Judgment with Logos

1. The Characters of Plato’s Theaetetus

In the Theaetetus, Socrates converses with two mathematicians, Theaetetus and Theodorus. Theaetetus is portrayed as a physically ugly but extraordinarily astute boy, and Theodorus is his mathematics teacher. According to the Oxford Classical Dictionary, Theaetetus lived in Athens (c. 415–369 BCE) and was a renowned geometer. He is credited with the theory of irrational lines, a contribution of fundamental importance for Euclid’s Elements X. He also worked out constructions of the regular solids like those in Elements XIII. Theodorus lived in Cyrene in the late fifth century BCE. In the dialogue, he is portrayed as a friend of Protagoras, well-aware of the Sophist’s teachings, and quite unfamiliar with the intricacies of Socratic Dialectic. As far as his scientific work is concerned, the only existing source is Plato’s Theaetetus: In the dialogue, Theodorus is portrayed as having shown the irrationality of the square roots of 3, 5, 6, 7, … ,17.  Irrational numbers are numbers equal to an ordinary fraction, a fraction that has whole numbers in its numerator and denominator. The passage has been interpreted in many different ways, and its historical accuracy has been disputed.

2. Date of Composition

The introduction of the dialogue informs the reader that Theaetetus is being carried home dying of wounds and dysentery after a battle near Corinth. There are two known battles that are possibly the one referred to in the dialogue: the first one took place at about 394 BCE, and the other occurred at around 369 BCE. Scholars commonly prefer the battle of 369 BCE as the battle referred to in the dialogue. The dialogue is a tribute to Theaetetus’ memory and was probably written shortly after his death, which most scholars date around 369 – 367 BCE. It is uncontroversial that the Theaetetus, the Sophist and the Statesman were written in that order. The primary evidence for this order is that the Sophist begins with a reference back to the Theaetetus and a reference forward to the Statesman. In addition, there is a number of thematic continuities between the Theaetetus and the Sophist (for instance, the concept of “false belief,” and the notions of “being,” “sameness,” and “difference”) and between the Sophist and the Statesman (such as the use of the method of “collection and division”).

3. Outline of the Dialogue

The dialogue examines the question, “What is knowledge (episteme)?” For heuristic purposes, it can be divided into four sections, in which a different answer to this question is examined: (i) Knowledge is the various arts and sciences; (ii) Knowledge is perception; (iii) Knowledge is true judgment; and (iv) Knowledge is true judgment with an “account” (Logos). The dialogue itself is prefaced by a conversation between Terpsion and Euclid, in the latter’s house in Megara. From this conversation we learn about Theaetetus’ wounds and impending death and about Socrates’ prophecy regarding the future of the young man. In addition, we learn about the dialogue’s recording method: Euclid had heard the entire conversation from Socrates, he then wrote down his memoirs of the conversation, while checking the details with Socrates on subsequent visits to Athens. Euclid’s role did not consist simply in writing down Socrates’ memorized version of the actual dialogue; he also chose to cast it in direct dialogue, as opposed to narrative form, leaving out such connecting sentences as “and I said” and “he agreed.” Finally, Euclid’s product is read for him and for Terpsion by a slave. This is the only Platonic dialogue which is being read by a slave.

a. Knowledge as Arts and Sciences (146c – 151d)

To Socrates’ question, “What is knowledge?,” Theaetetus responds by giving a list of examples of knowledge, namely geometry, astronomy, harmonics, and arithmetic, as well as the crafts or skills (technai) of cobbling and so on (146c–d). These he calls “knowledges,” presumably thinking of them as the various branches of knowledge. As Socrates correctly observes, Theaetetus’ answer provides a list of instances of things of which there is knowledge. Socrates states three complaints against this response: (a) what he is interested in is the one thing common to all the various examples of knowledge, not a multiplicity of different kinds of knowledge; (b) Theaetetus’ response is circular, because even if one knows that, say, cobbling is “knowledge of how to make shoes,” one cannot know what cobbling is, unless one knows what knowledge is; (c) The youth’s answer is needlessly long-winded, a short formula is all that is required. The definition of clay as “earth mixed with water,” which is also evoked by Aristotle in Topics 127a, is representative of the type of definition needed here. Theaetetus offers the following mathematical example to show that he understands Socrates’ definitional requirements: the geometrical equivalents of what are now called “surds” could be grouped in one class and given a single name (“powers”) by dint of their common characteristic of irrationality or incommensurability. When he tries to apply the same method to the question about knowledge, however, Theaetetus does not know how to proceed. In a justly celebrated image, Socrates, like an intellectual midwife, undertakes to assist him in giving birth to his ideas and in judging whether or not they are legitimate children. Socrates has the ability to determine who is mentally pregnant, by knowing how to use “medicine” and “incantations” to induce mental labor. Socrates also has the ability to tell in whose company a young man may benefit academically. This latter skill is not one that ordinary midwives seem to have, but Socrates insists that they are the most reliable matchmakers, and in order to prove his assertion he draws upon an agricultural analogy: just as the farmer not only tends and harvests the fruits of the earth, but also knows which kind of earth is best for planting various kinds of seed, so the midwife’s art should include a knowledge of both “sowing” and “harvesting.” But unlike common midwives, Socrates’ art deals with the soul and enables him to distinguish and embrace true beliefs rather than false beliefs. By combining the technê of the midwife with that of the farmer, Socrates provides in the Theaetetus the most celebrated analogy for his own philosophical practice.

b. Knowledge as Perception (151d – 186e)

Encouraged by Socrates’ maieutic intervention, Theaetetus comes up with a serious proposal for a definition: knowledge is perception. Satisfied with at least the form of this definition, Socrates immediately converts it into Protagoras’ homo-mensura doctrine, “Man is the measure of all things, of the things that are that [or how] they are, of the things that are not that [or how] they are not.” The Protagorean thesis underscores the alleged fact that perception is not only an infallible but also the sole form of cognition, thereby bringing out the implicit assumptions of Theaetetus’ general definition. Socrates effects the complete identity between knowledge and perception by bringing together two theses: (a) the interpretation of Protagoras’ doctrine as meaning “how things appear to an individual is how they are for that individual” (e.g., “if the wind appears cold to X, then it is cold for X”); and (b) the equivalence of “Y appears F to X” with “X perceives Y as F” (e.g., “the wind appears cold to Socrates” with “Socrates perceives the wind as cold”). His next move is to build the ontological foundation of a world that guarantees perceptual infallibility. For that, Socrates turns to the Heraclitean postulate of Radical Flux, which he attributes to Protagoras as his Secret Doctrine. Nearly all commentators acknowledge that Protagoras’ secret teaching is unlikely to be a historically accurate representation of either Protagoras’ ontological commitments or Heraclitus’ Flux doctrine. The notion of Universal Flux makes every visual event—for example the visual perception of whiteness—the private and unique product of interaction between an individual’s eyes and an external motion. Later this privacy is explained with the metaphor of the perceiver and the perceived object as parents birthing a twin offspring, the object’s whiteness and the subject’s corresponding perception of it. Both parents and offspring are unique and unrepeatable: there can be no other, identical interaction between either the same parents or different parents able to produce the same offspring. No two perceptions can thus ever be in conflict with each other, and no one can ever refute anyone else’s perceptual judgments, since these are the products of instantaneous perceptual relations, obtaining between ever-changing perceiving subjects and ever-changing perceived objects. Although the assimilation of Protagorean Relativism to Theaetetus’ definition requires the application of the doctrine to Perceptual Relativism—which explains Socrates’ extensive focus on the mechanics of perception—one should bear in mind that the man-as-measure thesis is broader in scope, encompassing all judgments, especially judgments concerning values, such as “the just” and “the good,” and not just narrowly sensory impressions. Socrates launches a critique against both interpretations of Protagoreanism, beginning with its broad—moral and epistemological—dimensions, and concluding with its narrow, perceptual aspects.

Socrates attacks broad Protagoreanism from within the standpoint afforded him by three main arguments. First, Socrates asks how, if people are each a measure of their own truth, some, among whom is Protagoras himself, can be wiser than others. The same argument appears in Cratylus 385e–386d as a sufficient refutation of the homo-mensura doctrine. The Sophists’ imagined answer evinces a new conceptualization of wisdom: the wisdom of a teacher like Protagoras has nothing to do with truth, instead it lies in the fact that he can better the way things appear to other people, just as the expert doctor makes the patient feel well by making his food taste sweet rather than bitter, the farmer restores health to sickly plants by making them feel better, and the educator “changes a worse state into a better state” by means of words (167a).

The second critique of Protagoras is the famous self-refutation argument. It is essentially a two-pronged argument: the first part revolves around false beliefs, while the second part, which builds on the findings of the first, threatens the validity of the man-as-measure doctrine. The former can be sketched as follows: (1) many people believe that there are false beliefs; therefore, (2) if all beliefs are true, there are [per (1)] false beliefs; (3) if not all beliefs are true, there are false beliefs; (4) therefore, either way, there are false beliefs (169d–170c). The existence of false beliefs is inconsistent with the homo-mensura doctrine, and hence, if there are false beliefs, Protagoras’ “truth” is false. But since the homo-mensura doctrine proclaims that all beliefs are true, if there are false beliefs, then the doctrine is manifestly untenable. The latter part of Socrates’ second critique is much bolder—being called by Socrates “the most subtle argument”—as it aims to undermine Protagoras’ own commitment to relativism from within the relativist framework itself (170e–171c). At the beginning of this critique Socrates asserts that, according to the doctrine under attack, if you believe something to be the case but thousands disagree with you about it, that thing is true for you but false for the thousands. Then he wonders what the case for Protagoras himself is. If not even he believed that man is the measure, and the many did not either (as indeed they do not), this “truth” that he wrote about is true for no one. If, on the other hand, he himself believed it, but the masses do not agree, the extent to which those who do not think so exceed those who do, to that same extent it is not so more than it is so. Subsequently, Socrates adds his “most subtle” point: Protagoras agrees, regarding his own view, that the opinion of those who think he is wrong is true, since he agrees that everybody believes things that are so. On the basis of this, he would have to agree that his own view is false. On the other hand, the others do not agree that they are wrong, and Protagoras is bound to agree, on the basis of his own doctrine, that their belief is true. The conclusion, Socrates states, inevitably undermines the validity of the Protagorean thesis: if Protagoras’ opponents think that their disbelief in the homo-mensura doctrine is true and Protagoras himself must grant the veracity of that belief, then the truth of the Protagorean theory is disputed by everyone, including Protagoras himself.

In the famous digression (172a–177c), which separates the second from the third argument against broad Protagoreanism, Socrates sets up a dichotomy between the judicial and the philosophical realm: those thought of as worldly experts in issues of justice are blind followers of legal practicalities, while the philosophical mind, being unrestricted by temporal or spatial limitations, is free to investigate the true essence of justice. Civic justice is concerned with the here-and-now and presupposes a mechanical absorption of rules and regulations, whereas philosophical examination leads to an understanding of justice as an absolute, non-relativistic value. This dichotomy between temporal and a-temporal justice rests on a more fundamental conceptual opposition between a civic morality and a godlike distancing from civic preoccupations. Godlikeness, Socrates contends, requires a certain degree of withdrawal from earthly affairs and an attempt to emulate divine intelligence and morality. The otherworldliness of the digression has attracted the attention of, among others, Aristotle, in Nicomachean Ethics X 7, and Plotinus, who in Enneads I 2, offers an extended commentary of the text.

In his third argument against broad Protagoreanism, Socrates exposes the flawed nature of Protagoras’ definition of expertise, as a skill that points out what is beneficial, by contrasting sensible properties—such as hot, which may indeed be immune to interpersonal correction—and values, like the good and the beneficial, whose essence is independent from individual appearances. The reason for this, Socrates argues, is that the content of value-judgments is properly assessed by reference to how things will turn out in the future. Experts are thus people who have the capacity to foresee the future effects of present causes. One may be an infallible judge of whether one is hot now, but only the expert physician is able accurately to tell today whether one will be feverish tomorrow. Thus the predictive powers of expertise cast the last blow on the moral and epistemological dimensions of Protagorean Relativism.

In order to attack narrow Protagoreanism, which fully identifies knowledge with perception, Socrates proposes to investigate the doctrine’s Heraclitean underpinnings. The question he now poses is: how radical does the Flux to which the Heracliteans are committed to must be in order for the definition of knowledge as perception to emerge as coherent and plausible? His answer is that the nature of Flux that sanctions Theaetetus’ account must be very radical, indeed too radical for the definition itself to be either expressible or defensible. As we saw earlier, the Secret Doctrine postulated two kinds of motion: the parents of the perceptual event undergo qualitative change, while its twin offspring undergoes locomotive change. To the question whether the Heracliteans will grant that everything undergoes both kinds of change, Socrates replies in the affirmative because, were that not the case, both change and stability would be observed in the Heraclitean world of Flux. If then everything is characterized by all kinds of change at all times, what can we say about anything? The answer is “nothing” because the referents of our discourse would be constantly shifting, and thus we would be deprived of the ability to formulate any words at all about anything. Consequently, Theaetetus’ identification of knowledge with perception is deeply problematic because no single act can properly be called “perception” rather than “non perception,” and the definiendum is left with no definiens.

After Socrates has shown that narrow Protagoreanism, from within the ontological framework of radical Heracliteanism, is untenable, he proceeds to reveal the inherent faultiness of Theaetetus’ definition of knowledge as perception. In his final and most decisive argument, Socrates makes the point that perhaps the most basic thought one can have about two perceptible things, say a color and a sound, is that they both “are.” This kind of thought goes beyond the capacity of any one sense: sight cannot assess the “being” of sound, nor can hearing assess that of color. Among these “common” categories, i.e., categories to which no single sensual organ can afford access, Socrates includes “same,” “different,” “one,” and “two,” but also values, such as “fair” and “foul.” All of these are ascertained by the soul through its own resources, with no recourse to the senses. Theaetetus adds that the soul “seems to be making a calculation within itself of past and present in relation to future” (186b). This remark ties in with Socrates’ earlier attribution to expertise of the ability to predict the future outcome of present occurrences. But it also transcends that assertion in the sense that now a single unified entity, the soul, is given cognitive supremacy, in some cases with the assistance of the senses whereas in other cases the soul “itself by itself.” Perception is thus shown to be an inadequate candidate for knowledge, and the discussion needs to foreground the activity of the soul when “it is busying itself over the things-which-are” (187a). The name of that activity is judging, and it is to this that the second part of the conversation now turns.

c. Knowledge as True Judgment (187a – 201c)

While true judgment, as the definiens of knowledge, is the ostensible topic of the discussants’ new round of conversation, the de facto topic turns out to be false judgment. Judgment, as the soul’s internal reasoning function, is introduced into the discussion at this juncture, which leads Theaetetus to the formulation of the identification of knowledge with true judgment. But Socrates contends that one cannot make proper sense of the notion of “true judgment,” unless one can explain what a false judgment is, a topic that also emerges in such dialogues as Euthydemus, Cratylus, Sophist, Philebus, and Timaeus. In order to examine the meaning of “false judgment,” he articulates five essentially abortive ways of looking at it: (a) false judgment as “mistaking one thing for another” (188a–c); (b) false judgment as “thinking what is not” (188c–189b); (c) false judgment as “other-judgment” (189b–191a); (d) false judgment as the inappropriate linkage of a perception to a memory – the mind as a wax tablet (191a–196c); and (e) potential and actual knowledge – the mind as an aviary (196d–200c).

The impossibility of false judgment as “mistaking one thing for another” is demonstrated by the apparent plausibility of the following perceptual claim: one cannot judge falsely that one person is another person, whether one knows one of them, or both of them, or neither one nor the other. The argument concerning false judgment as “thinking what is not” rests on an analogy between sense-perception and judgment: if one hears or feels something, there must be something which one hears or feels. Likewise, if one judges something, there must be something that one judges. Hence, one cannot judge “what is not,” for one’s judgment would in that case have no object, one would judge nothing, and so would make no judgment at all. This then cannot be a proper account of false judgment. The interlocutors’ failure prompts a third attempt at solving the problem: perhaps, Socrates suggests, false judgment occurs “when a man, in place of one of the things that are, has substituted in his thought another of the things that are and asserts that it is. In this way, he is always judging something which is, but judges one thing in place of another; and having missed the thing which was the object of his consideration, he might fairly be called one who judges falsely” (189c). False judgment then is not concerned with what-is-not, but with interchanging one of the things-which-are with some other of the things-which-are, for example beautiful with ugly, just with unjust, odd with even, and cow with horse. The absurdity of this substitution is reinforced by Socrates’ definition of judgment as the final stage of the mind’s conversing with itself. How is it possible, then, for one to conclude one’s silent, internal dialogue with the preposterous equation of two mutually exclusive attributes, and actually to say to oneself, “an odd number is even,” or “oddness is evenness”?

The next attempt at explaining false judgment invokes the mental acts of remembering and forgetting and the ways in which they are implicated in perceptual events. Imagine the mind as a wax block, Socrates asks Theaetetus, on which we stamp what we perceive or conceive. Whatever is impressed upon the wax we remember and know, so long as the image remains in the wax; whatever is obliterated or cannot be impressed, we forget and do not know (191d-e). False judgment consists in matching the perception to the wrong imprint, e.g., seeing at a distance two men, both of whom we know, we may, in fitting the perceptions to the memory imprints, transpose them; or we may match the sight of a man we know to the memory imprint of another man we know, when we only perceive one of them. Theaetetus accepts this model enthusiastically but Socrates dismisses it because it leaves open the possibility of confusing unperceived concepts, such as numbers. One may wrongly think that 7+5 = 11, and since 7+5 = 12, this amounts to thinking that 12 is 11. Thus arithmetical errors call for the positing of a more comprehensive theoretical account of false judgment.

Socrates’ next explanatory model, the aviary, is meant to address this particular kind of error. What Aristotle later called a distinction between potentiality and actuality becomes the conceptual foundation of this model. Socrates invites us to think of the mind as an aviary full of birds of all sorts. The owner possesses them, in the sense that he has the ability to enter the aviary and catch them, but does not have them, unless he literally has them in his hands. The birds are pieces of knowledge, to hand them over to someone else is to teach, to stock the aviary is to learn, to catch a particular bird is to remember a thing once learned and thus potentially known. The possibility of false judgment emerges when one enters the aviary in order to catch, say, a pigeon but instead catches, say, a ring-dove. To use an arithmetical example, one who has learned the numbers knows, in the sense that he possesses the knowledge of, both 11 and 12. If, when asked what is 7+5, one replies 11, one has hunted in one’s memory for 12 but has activated instead one’s knowledge of 11. Although the aviary’s distinction between potential and actual knowledge improves our understanding of the nature of episteme, it is soon rejected by Socrates on the grounds that it explains false judgment as “the interchange of pieces of knowledge” (199c). Even if one, following Theaetetus’ suggestion, were willing to place in the aviary not only pieces of knowledge but also pieces of ignorance—thereby making false judgment be the apprehension of a piece of ignorance—the question of false judgment would not be answered satisfactorily; for in that case, as Socrates says, the man who catches a piece of ignorance would still believe that he has caught a piece of knowledge, and therefore would behave as if he knew. To go back to the arithmetical example mentioned earlier, Theaetetus suggests that the mistaking of 11 for 12 happens because the man making the judgment mistakes a piece of ignorance for a piece of knowledge but acts as if he has activated his capacity for knowing. The problem is, as Socrates says, that we would need to posit another aviary to explain how the judgment-maker mistakes a piece of ignorance for a piece of knowledge.

Socrates attributes their failure to explain false judgment to their attempting to do so before they have settled the question of the nature of knowledge. Theaetetus repeats his definition of knowledge as true judgment but Socrates rejects it by means of the following argument: suppose, he says, the members of a jury are “justly persuaded of some matter, which only an eye-witness could know and which cannot otherwise be known; suppose they come to their decision upon hearsay, forming a true judgment. Hence, they have decided the case without knowledge, but, granted they did their job well, they were correctly persuaded” (201b-c). This argument shows that forming a true opinion about something by means of persuasion is different from knowing it by an appeal to the only method by means of which it can be known—in this case by seeing it—and thus knowledge and true judgment cannot be the same. After the failure of this attempt, Socrates and Theaetetus proceed to their last attempt to define knowledge.

d. Knowledge as True Judgment with Logos (201c – 210d)

Theaetetus remembers having heard that knowledge is true judgment accompanied by Logos (account), adding that only that which has Logos can be known. Since Theaetetus remembers no more, Socrates decides to help by offering a relevant theory that he once heard.

According to the Dream Theory (201d-206b), the world is composed of complexes and their elements. Complexes have Logos, while elements have none, but can only be named. It is not even possible to say of an element that “it is” or “it is not,” because adding Being or non-Being to it would be tantamount to making it a complex. Elements cannot be accounted for or known, but are perceptible. Complexes, on the contrary, can be known because one can have a true belief about them and give an account of them, which is “essentially a complex of names” (202b).

After Theaetetus concedes that this is the theory he has in mind, he and Socrates proceed to examine it. In order to pinpoint the first problematic feature of the theory, Socrates uses the example of letters and syllables: the Logos of the syllable “so” – the first syllable of Socrates’ name – is “s and o”; but one cannot give a similar Logos of the syllable’s elements, namely of “s” and “o,” since they are mere noises. In that case, Socrates wonders, how can a complex of unknowable elements be itself knowable? For if the complex is simply the sum of its elements, then the knowledge of it is predicated on knowledge of its elements, which is impossible; if, on the other hand, the complex is a “single form” produced out of the collocation of its elements, it will still be an indefinable simple. The only reasonable thing to say then is that the elements are much more clearly known than the complexes.

Now, turning to the fourth definition of knowledge as true judgment accompanied by Logos, Socrates wishes to examine the meaning of the term Logos, and comes up with three possible definitions. First, giving an account of something is “making one’s thought apparent vocally by means of words and verbal expressions” (206c). The problem with this definition is that Logos becomes “a thing that everyone is able to do more or less readily,” unless one is deaf or dumb, so that anyone with a true opinion would have knowledge as well. Secondly, to give an account of a thing is to enumerate all its elements (207a). Hesiod said that a wagon contains a hundred timbers. If asked what a wagon is, the average person will most probably say, “wheels, axle, body, rails, yoke.” But that would be ridiculous, Socrates says, because it would be the same as giving the syllables of a name to someone’s asking for an account of it. The ability to do that does not preclude the possibility that a person identifies now correctly and now incorrectly the elements of the same syllable in different contexts. Finally, giving an account is defined as “being able to tell some mark by which the object you are asked about differs from all other things” (208c). As an example, Socrates uses the definition of the sun as the brightest of the heavenly bodies that circle the earth. But here again, the definition of knowledge as true judgment with Logos is not immune to criticism. For if someone, who is asked to tell what distinguishes, say, Theaetetus, a man of whom he has a correct judgment, from all other things, were to say that he is a man, and has a nose, mouth, eyes, and so on, his account would not help to distinguish Theaetetus from all other men. But if he had not already in his mind the means of differentiating Theaetetus from everyone else, he could not judge correctly who Theaetetus was and could not recognize him the next time he saw him. So to add Logos in this sense to true judgment is meaningless, because Logos is already part of true judgment, and so cannot itself be a guarantee of knowledge. To say that Logos is knowledge of the difference does not solve the problem, since the definition of knowledge as “true judgment plus knowledge of the difference” begs the question of what knowledge is.

The definition of knowledge as “true judgment plus Logos” cannot be sustained on any of the three interpretations of the term Logos. Theaetetus has nothing else to say, and the dialogue ends inconclusively. Its achievement, according to Socrates, has been to rid Theaetetus of several false beliefs so that “if ever in the future [he] should attempt to conceive or should succeed in conceiving other theories, they will be better ones as the result of this enquiry” (210b–c).

Despite its failure to produce a viable definition of knowledge, the Theaetetus has exerted considerable influence on modern philosophical thought. Socrates’ blurring of the distinction between sanity and madness in his examination of knowledge as perception was picked up in the first of Descartes’ Meditations (1641); echoes of Protagorean Relativism have appeared in important works of modern philosophy, such as Quine’s Ontological Relativity and Other Essays (1969) and Kuhn’s The Structure of Scientific Revolutions (1970); In Siris: A Chain of Philosophical Reflexions and Inquiries Concerning the Virtues of Tar-Water (1744), Bishop Berkeley thought that the dialogue anticipated the central tenets of his own theory of knowledge; in Studies in Humanism (1907), the English pragmatist F.C.S. Schiller saw in the section 166a ff. the pragmatist account of truth, first expounded and then condemned; and L. Wittgenstein, in Philosophical Investigations (1953), found in the passage 201d–202b the seed of his Logical Atomism, espoused also by Russell, and found it reminiscent of certain theses of his Tractatus Logico-Philosophicus.

4. References and Further Reading

a. General Commentaries

  • Bostock, D. Plato’s Theaetetus. Oxford, 1988.
  • Burnyeat, M. F. The Theaetetus of Plato. Trans. M.J. Levett. Indianapolis and Cambridge, 1990.
  • Campbell, L. The Theaetetus of Plato. 2nd Ed. Oxford, 1883.
  • Cornford, F. M. Plato’s Theory of Knowledge. The Theaetetus and the Sophist of Plato. Trans. F. M. Cornford. London, 1935.
  • McDowell, J. Plato: Theaetetus. Trans. J. McDowell. Oxford, 1973.
  • Polansky, R. Philosophy and Knowledge: A Commentary on Plato’s Theaetetus. Lewisburg, 1992.
  • Sedley, D. N. The Midwife of Platonism: Text and Subtext in Plato’s Theaetetus. Oxford, 2004.

b. Knowledge as Arts and Sciences

  • Burnyeat, M. F. “The Philosophical Sense of Theaetetus’ Mathematics.” Isis 69 (1978). 489–513.
  • Burnyeat, M. F. “Socratic Midwifery, Platonic Inspiration.” Bulletin of the Institute of the Classical Studies 24 (1977). 7–16.
  • Santas, G. “The Socratic Fallacy.” Journal of the History of Philosophy 10 (1972). 127–41.

c. Knowledge as Perception

  • Bolton, R. “Plato’s Distinction between Being and Becoming.” Review of Metaphysics 29 (1975/6). 66–95.
  • Burnyeat, M. F. “Protagoras and Self Refutation in Plato’s Theaetetus.” Philosophical Review 85 (1976). 172–95.
  • Burnyeat, M. F. “Plato on the Grammar of Perceiving.” Classical Quarterly 26 (1976). 29–51.
  • Burnyeat, M.F. “Idealism and Greek Philosophy: What Descartes Saw and Berkeley Missed.” Philosophical Review 90 (1982). 3–40.
  • Cole, A. T. “The Apology of Protagoras.” Yale Classical Studies 19 (1966). 101–18.
  • Cooper, J. M. “Plato on Sense Perception and Knowledge: Theaetetus 184 to 186.” Phronesis 15 (1970). 123–46.
  • Lee, E.N. “Hoist with His Own Petard: Ironic and Comic Elements in Plato’s Critique of Protagoras (Tht. 161–171),” in E.N. Lee and A.P.D. Mourelatos (eds.) Exegesis and Argument: Studies in Greek Philosophy Presented to Gregory. Vlastos. Assen, 1973. 225–61.
  • Matthen, M. “Perception, Relativism, and Truth: Reflections on Plato’s Theaetetus 152 – 160.” Dialogue 24 (1985). 33–58.
  • McCabe, M.M. Plato and his Predecessors: The Dramatisation of Reason. Cambridge, 2000.
  • Modrak, D.K. “Perception and Judgment in the Theaetetus.” Phronesis 26 (1981). 35–54.
  • Rowe, C.J. et al. “Knowledge, Perception, and Memory: Theaetetus 166B.” Classical Quarterly 32 (1982). 304–6.
  • Silverman, A. “Flux and Language in the Theaetetus.” Oxford Studies in Ancient Philosophy 18 (2000). 109–52.
  • Waterlow, S. “Protagoras and Inconsistency.” Archiv für Geschichte der Philosophie 59 (1977). 19–36.

d. Knowledge as True Judgment

  • Ackrill, J. “Plato on False Belief: Theaetetus 187–200.” Monist 50 (1966). 383–402.
  • Burnyeat, M.F. and J. Barnes, “Socrates and the Jury: Paradoxes in Plato’s Distinction Between Knowledge and True Belief.” Aristotelian Society Supplementary Volume 54 (1980). 173-91 and 193–206.
  • Denyer, N. Language, Thought and Falsehood in Ancient Greek Philosophy. London, 1991.
  • Lewis, F.A. “Foul Play in Plato’s Aviary: Theaetetus 195Bff,” in E.N. Lee and A.P.D. Mourelatos (eds.) Exegesis and Argument: Studies in Greek Philosophy Presented to Gregory. Vlastos. Assen, 1973. 262–84.
  • G.B. Matthews, G.B. “A Puzzle in Plato: Theaetetus 189b–190e,” in David F. Austin (ed.) Philosophical Analysis: A Defense by Example. Dordrecht, 1988. 3–15.
  • Rudebusch, G. “Plato on Sense and Reference.” Mind 104 (1985). 526–37.
  • C.F.J. Williams, C.F.J. “Referential Opacity and False Belief in the Theaetetus.” Philosophical Quarterly 22 (1972). 289-302.

e. Knowledge as True Judgment with Logos

  • Annas, J. “Knowledge and Language: The Theaetetus and the Cratylus,” in Malcolm Schofield and Martha C. Nussbaum (eds.) Language and Logos: Studies in Ancient Greek Philosophy presented to G.E.L. Owen. Cambridge, 1982. 95–114.
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Author Information

Zina Giannopoulou
Email: zgiannop@uci.edu
University of California, Irvine
U. S. A.

Stoic Philosophy of Mind

Stoicism was one of the most important and enduring philosophies to emerge from the Greek and Roman world. The Stoics are well known for their contributions to moral philosophy, and more recently they have also been recognized for their work in logic, grammar, philosophy of language, and epistemology. This article examines the Stoics’ contributions to philosophy of mind. The Stoics constructed one of the most advanced and philosophically interesting theories of mind in the classical world. As in contemporary cognitive science, the Stoics rejected the idea that the mind is an incorporeal entity. Instead they argued that the mind (or soul) must be something corporeal and something that obeys the laws of physics. Moreover, they held that all mental states and acts were states of the corporeal soul. The soul (a concept broader than the modern concept of mind) was believed to be a hot, fiery breath [pneuma] that infused the physical body. As a highly sensitive substance, pneuma pervades the body establishing a mechanism able to detect sensory information and transmit the information to the central commanding portion of the soul in the chest. The information is then processed and experienced. The Stoics analyzed the activities of the mind not only on a physical level but also on a logical level. Cognitive experience was evaluated in terms of its propositional structure, for thought and language were closely connected in rational creatures. The Stoic doctrine of perceptual and cognitive presentation (phantasia) offered a way to coherently analyze mental content and intentional objects. As a result of their work in philosophy of mind the Stoics developed a rich epistemology and a powerful philosophy of action. Finally, the Stoics denied Plato’s and Aristotle’s view that the soul has both rational and irrational faculties. Instead, they argued that the soul is unified and that all the faculties are rational concluding that the passions are the result not of a distinct irrational faculty but of errors in judgement.

Table of Contents

  1. Introduction
    1. Philosophy of Mind and the Parts of Philosophy
  2. Philosophy of Mind and Stoic Physics
    1. The Substance of the Soul
    2. Pneuma and Tension, and the Scala naturae
    3. Death
    4. The Parts of the Soul
  3. Philosophy of Mind and Stoic Logic
    1. Presentation (phantasia), Memory, and Concept Formation
    2. Impulse, Assent, and Action
  4. Philosophy of Mind and Stoic Ethics
    1. Primary Impulse and Prolepsis
    2. Passion and Eupatheia
  5. References and Further Reading
    1. Collections of Stoic texts
    2. Recommended Readings on Stoic Psychology

1. Introduction

Greek and Roman philosophers did not recognize philosophy of mind as a distinct field of study. However, topics now considered central to philosophy of mind such as perception, imagination, thought, intelligence, emotion, memory, identity, and action were often discussed under the title Peri psychês or On the Soul. This article surveys some of the ideas held by the ancient Stoics addressing the soul and related topics which roughly correspond to themes prevalent in contemporary philosophy of mind and philosophical psychology.

a. Philosophy of Mind and the Parts of Philosophy

The ancient Greek concept of soul differs in many ways from the modern (post-Cartesian) idea of mind. Contemporary thinkers tend to sharply contrast the mind and body. When we think of mind we think primarily of cognitive faculties and perhaps our sense of identity. The Greek concept of the soul is much broader and more closely connected to basic bodily functions. The soul is first and foremost the principle of life; it is that which animates the body. Although the soul accounts for our ability to think, perceive, imagine, and reason, it is also responsible for biological processes such as respiration, digestion, procreation, growth, and motion. Perhaps the closest we come to a Cartesian concept of the soul in ancient Greek thought would be Plato, the Pythagoreans, and their successors. Stoic psychology represents the other end of the spectrum: a corporeal or physicalist model of soul.

Since there is no clear subject in Stoicism corresponding to contemporary philosophy of mind, evidence must be gleaned from various departments of the Stoic philosophical system. The Stoics divided philosophy into three general “parts”: Physics, Logic, and Ethics. Teachings regarding the soul can be found in all three parts. In physics the Stoics analyzed the substance of the soul, its relationship to God and the cosmos, and its role in the functioning of the human body. In logic the Stoics developed a theory of meaning and truth, both of which are dependent upon a theory of perception, thinking, and other psychological concepts. Here the Stoics developed a sophisticated theory of mental content and intentionality and wrestled with the ontological ramifications of such a theory. Finally, in ethics the Stoics developed a complex theory of emotion and a psychology of action that ultimately had a great impact on their moral philosophy. The development of one’s cognitive faculties was believed to be inseparable from ethics. In short, Stoic psychology was central to Stoicism as a whole.

2. Philosophy of Mind and Stoic Physics

a. The Substance of the Soul

Zeno of Citium (335-263 BCE), the founder of Stoicism, was very interested in the nature of the soul. He and his protégé Cleanthes (331-232 BCE) emphasized the active nature of the mind by identifying it as an internal fire or vital heat. It was not until Chrysippus (c. 280-207 BCE) that Stoic psychology reached its mature state. According to Chrysippus, the human soul consists of a breath-like substance called pneuma. Cognitive faculties were identified with the specific activities of the pneuma. In addition to being the substance of the particular souls of living organisms, pneuma was also held to be the organizing principle of the cosmos, that is, the world-soul. The Stoics identified this world-soul with God or Zeus. One source described God as an intelligent, artistic fire that systematically creates the cosmos as it expands; in the same passage God is called a pneuma that pervades the whole cosmos as the human soul pervades the mortal body. In contrast to contemporary physics and cosmology, the Stoics saw the world as a living organism.

Stoic psychology is inseparable from Stoic physics and cosmology. The pneuma of the human soul (pneuma psychikon) is said to be a mixture of air and fire. Some Stoics saw this soul as a literal mixture of fire and air, others associated it with a refined fire (similar to aether) or vital heat. The pneuma permeating the body was held to be a portion of the divine pneuma permeating and directing the cosmos. The human soul is a portion of God within us, both animating us and endowing us with reason and intelligence.

The Stoics argued that the soul is a bodily (corporeal) substance. Although the soul is a body, it is best to avoid calling Stoic psychology materialist. The Stoics contrasted soul and matter. For this reason scholars generally prefer to call Stoic psychology corporealist, physicalist, or vitalist. Matter is but one of two principles underlying every bodily substance. These two principles are the active [to poioun] and the passive [to paschon]. Matter is identified with the passive principle. Its complement, the active principle, is reason [logos] or God and is held to extend through matter providing it with motion, form, and structure. Both principles are bodily or corporeal principles (that is, they occupy space and are causally efficient) but neither exists in isolation. Substances can be dominated by either principle; the more active the substance, the more rational and divine it is; the more passive, the more material.

The Stoics also made a distinction between principles [archai] and elements [stoicheia]. The basic elements are earth, water, air, and fire. Earth and water are heavy, passive elements, dominated by the passive principle. Air and fire, on the other hand, are active and closely connected with sentience and intelligence. The Stoics held that the soul is nourished from the exhalations from the passive elements. Biological bodies are distinguished from non-biological bodies by the presence of a specific kind of activity associated with the presence of the active elements in the body.

b. Pneuma and Tension, and the Scala naturae

Pneuma was the central theoretical tool of both Stoic physics and Stoic psychology. In contrast to the atomists, the Stoics argued for a continuum theory which denied the existence of void in the cosmos. The cosmos was seen as a single continuum of pneuma-charged substance. Qualitative difference between individual substances, such as between a rock and a pool of water, is determined by the degree of the tensional motion of the pneuma pervading the substance. Tensional motion [tonikê kinêsis] seems to be the motion of the pneuma in a body that simultaneously moves from the center to the surface and from the surface back to the center. Passive elements (earth and water) and dense bodies have a low degree of tensional activity, while active elements (fire and air) and the soul were seen to possess a high level of tensional motion. The Stoics organized all natural substances into different classes based on a hierarchy of powers or a scala naturae. The concept of tensional motion allowed the Stoics to have a unified physical theory based on pneuma, while at the same time having one that distinguished and explained the difference between organic and inorganic substances. Consequently Stoic physics showed that there exists a physical connection and continuity between mind and matter.

The Stoic scala naturae is a hierarchy of the powers in nature based on the activity and organization of the pneuma. Pneuma at its lowest level of organization and concentration produces simple cohesion in the matter in which it dwells; it holds together individual unified bodies. This state of cohesion and coherence is called hexis [cohesive state]. Bodies hold together on account of an internal flow of pneuma that begins at the center of the object extending to the surface and flowing back upon itself producing a tension from a two-way motion. Hence, even the most stable object possesses internal motion according to the Stoics. Wood and stones are example of things which possess hexis.

When the pneuma in a body is organized with a greater degree of activity, there is phusis or organic nature. Things that have phusis grow and reproduce but do not show signs of cognitive power. The pneuma that produces phusis also provides the stability or cohesion of hexis. The Stoics held that each power on this scala naturae subsumes the power below it. Plants are obvious examples of organisms that have both hexis and phusis but not soul.

The next tier of this hierarchy of pneumatic activity is soul [ psuchê]. The characteristic marks of this level of organization are the presence of impulse and perception. Non-rational animals have hexis [cohesive state], phusis [an organic nature], and psuchê [soul].

Only human beings and gods possess the highest level of pneumatic activity, reason [logos]. Reason was defined as a collection of conceptions and preconceptions; it is especially characterized by the use of language. In fact, the difference between how animals think and how humans think seems to be that human thinking is linguistic — not that we must vocalize thoughts (for parrots can articulate human sounds), but that human thinking seems to follow a syntactical and propositional structure in the manner of language. The Stoics considered thinking in rational animals as a form of internal speech.

The Stoic hierarchy of pneuma should not be confused with Aristotle’s theory of the hierarchy of the soul to which there is some resemblance. While the Stoic scala naturae explains both organic and inorganic substances, Aristotle’s hierarchy is limited to biological organisms. Aristotle’s theory is also based on a very different idea of soul.

The physical theory underlying Stoic psychology has some rather startling implications. For example, the Stoics held that active substances could pervade passive substances. Hence the soul, which is a body, is able to pervade the physical body. The soul does not pervade the body like the water in a sponge, that is, by occupying interstitial spaces; rather, the Stoics held that the corporeal pneuma occupied the exact same space as the passive matter, that is, both substances are mutually coextended [antiparektasis]. The soul permeates the body in the same way as heat pervades the iron rod, occupying the same space but being qualitatively distinct. The Stoics called this sort of mixture crasis or total blending.

Total blending should be contrasted with particulate mixture and fusion mixture. An example of a particulate mixture is the mixture of different kinds of seeds. Each seed remains unaffected by the mixture, only the distribution is altered. This is sometimes called juxtaposition. Fusion mixture occurs when the items mixed are physically altered and a new, single substance emerges. Once eggs, milk, yeast, and flour are mixed together a new substance is produced (bread). In contrast to fusion mixture, in total mixture or crasis the blended substances (such as water and wine) were held to retain their properties and in principle could be separated.

A particular and highly controversial characteristic of total blending is that for mutual coextension to occur, it is not necessary that both bodies be of the same in quantity. Thus Chrysippus provocatively claimed that in total blending a drop of wine could pervade (coextend through) the entire ocean. This is an explicit rejection of Aristotle’s theory of mixture in De generatione et corruptione. The pneuma in active substances seems to have great elasticity and is able to exist in a very rarified form while maintaining distinct properties.

c. Death

The doctrine of pneuma and total blending allowed the Stoics to adopt Plato’s definition of death as “the separation of the soul from the body.” The Stoics, however, used this definition against Plato, arguing that since only physical things can separate from physical things, the soul must be corporeal. Since the soul pervades the body as a crasis type mixture, separation is possible. The separation seems to occur by a loosening of the tension of the soul. Sleep is said to be a kind of mild relaxing, whereas death is a total relaxing of the tension which results in the departure of the soul from the body.

Dying is not the end of a person’s existence, according to the Stoics. Once the soul has separated from the body it maintains its own cohesion for a period of time. Chrysippus and Cleanthes disagreed regarding the fate of the soul after death. Cleanthes held that the souls of all men could survive until the conflagration, a time in which the divine fire totally consumes all matter. Chrysippus, on the other hand, held that only the souls of the wise are able to endure. The souls of the unwise will exist for a limited time before they are destroyed or reabsorbed into the cosmic pneuma. The souls of irrational beasts are destroyed with their bodies. In no case is there any indication that the survival of the soul after death had any direct benefit to the individual or that the Stoics used this as a motivator toward ethical or intellectual behavior. There is no heaven or hell in Stoicism; the time to live one’s life and to perfect one’s virtues is in the present.

d. The Parts of the Soul

The pneuma of the soul has a specific structure which helps account for its capacities. The Stoics held that the soul consists of eight parts which are spatially recognized portions or streams of pneuma. The eight parts of the soul are the five senses (sight, hearing, smell, taste, touch), the reproductive faculty, the speech faculty, and the central commanding faculty [hêgemonikon]. All of the parts of the soul can be seen as extensions of pneuma originating in the hêgemonikon. Several analogies were employed to explain the structure of the soul: the soul is like an octopus, a tree, a spring of water, and even a spider’s web. The analogies of the octopus, tree, and spring emphasize the unity of the soul and the idea that the individual powers or faculties are rooted in or sprout from the hêgemonikon in the heart. The Stoics, like Aristotle and Praxagoras of Cos, believed that the cognitive center is in the chest and not the head. These analogies are also consistent with Stoic views on embryological development; for the Stoics recognized that the heart is the first functioning organ of the fetus and held that the pneuma of the soul begins in the heart of the fetus and extends through the body, refining its powers as the fetus grows. The powers of sense perception, speech, and reproduction are extensions of the pneuma of the hêgemonikon which reaches its mature state as the child approaches adulthood.

Some have compared the Stoic contrast between the commanding faculty and the distal faculties to the modern distinction between the central and peripheral nervous systems. This comparison can be justified by the fact that the Stoics held that the higher cognitive functions and all cognitive experience take place exclusively in the hêgemonikon . While Aristotle seemed to be comfortable with attributing the experience of touch to the flesh and sight to the eyes, the Stoics tell us that the senses merely report the information to the central faculty where it is experienced and processed.

The idea of sensation as the transmission [diadosis] of sensory information is illustrated in the final two analogies of the soul. The first states that activity of the soul is like a king who sends out messengers. When the messengers acquire information they report it back to the king. Likewise, the hêgemonikon extends its pneuma to the sense organs, and when these in turn acquire sensory information, the pneuma transmits the information back to the heart. The second analogy states that the soul is like a spider in a web. When the web is disturbed by an insect the movement is transmitted through vibrations to the spider sitting at the center. The human soul in a like manner extends through the body like a sensory grid establishing a sensory tension [tonos]. All perceptual information is transmitted by a tensional motion [kinesis tonikê]. In the case of the senses of hearing and sight, the external medium between the sense organs and the sense object operates as an extension of the soul-pneuma. Air also contains a degree of tension which a sound disturbs like a pebble tossed into a calm pool; the sound is transmitted through the air and sends the auditory information in a spherical pattern. Once the tensional motion of the sound reaches the ears, the sound pattern is picked up by the pneuma of the body which in turn transmits the information to the hêgemonikon . Vision works similarly; the pneuma from the eyes interacts with external light to establish a cone shaped visual field. This tensed field can detect the shapes of the objects within as though by touch. Indeed all of the senses were thought to be forms of touch. Color was held to be a sort of surface texture on the object; apparently the Stoics held that each color had its own pattern of disturbance in the visual pneuma.

These analogies capture the relationship between the commanding faculty and the senses; they do not as effectively capture or explain the remaining two distal faculties: speech and reproduction. Whereas the senses are passive insofar as they receive the tensional motion of a sense object and communicate it to the command center, in the case of speech and reproduction the motion goes in the opposite direction. Speech is an expression and articulation of the tensional motion produced by the construction of thought in the hêgemonikon. Interestingly, it is the fact that speech is produced in conjunction with breath that Chrysippus used as a central argument for the location of the hêgemonikon in the heart and not the brain. Little survives on how the Stoics viewed the relationship between the commanding faculty and the reproductive faculty. Sources do tell us that seminal information which produces the child is drawn from the entire body of both parents; this is in contrast to the Aristotelian claim that the male parent contributes the form and the female the matter.

In addition to the eight parts of the soul, the human hêgemonikon itself was characterized by four basic powers: presentation [phantasia], impulse [hormê], assent [sugkatathesis], and reason [logos]. Iamblicus tells us that the eight parts of the soul differ in bodily substrata while the four powers of the hêgemonikon must be individuated by quality in regards to the same. In other words, the four powers of the hêgemonikon are not individually isolated in space; their identity seems to be characterized exclusively by their function.

3. Philosophy of Mind and Stoic Logic

a. Presentation (phantasia), Memory, and Concept Formation

The most basic power of the hêgemonikon is the ability to form presentations [phantasiai]. Other psychological states and activities such as mental assent, cognition, impulse, and knowledge are all either extensions or responses to presentations. Zeno defined a presentation as an imprinting [tupôsis] in the commanding faculty. He suggested that the soul is imprinted by the senses much in the same way as a signet ring imprints its shape in soft wax. At birth the hêgemonikon is said to be like a blank sheet of paper which is ready to receive writing; all our cognitive experience is drawn either directly or indirectly from sense experience, that is, empirically. Zeno held that the term phantasia comes from the word for light [phôs]. Like light, the presentation is said to reveal itself and its cause. Although few agree with his etymology, the report shows that Zeno saw the phantasia as containing two elements: the phenomenal experience of its object and the representational content (i.e. it represents an object in the world). The Stoics sometimes called the phantasia an affection [pathos] in the soul; this seems to emphasize that there is a qualitative experience inseparable from the representational information. When we see a red circle, we don’t just acquire information, we also experience it as a red circle.

Chrysippus was not comfortable with the imprint analogy that Zeno and Cleanthes employed. Taken literally the analogy fails to capture the complexity of mental content. What kind of imprint would a color or sound make? How could the pneuma within the chest maintain and store such a rich collection of patterns and information? Chrysippus suggested that the imprinting metaphor must be abandoned and instead preferred to call presentations “alterations” [alloiôsis or heteroiôsis] of the hêgemonikon . He stated that just as the same air can be simultaneously altered by many sounds, maintaining each, so the hêgemonikon could retain such diverse and complex information. Although this is a far from satisfying solution, we should remember that contemporary philosophy of mind still has much work to do in explaining memory and concept retention.

The Stoics distinguished presentations drawn directly from the senses [aisthetike phantasiai] and those which are produced by the mind from previously experienced phantasiai. The doctrine of presentation also provided the foundation for a theory of memory and concept formation. Memory was seen to be stored phantasiai. Conceptions [ennoêmata] on the other hand seemed to be collections or patterns of stored phantasiai. The Stoic theory is flexible enough to account for real and fictional (intentional) objects, thereby establishing a plausible theory of imagination. The Stoics distinguished between phantasia, phantaston, phantastikon, and phantasma. The phantaston is the object producing the phantasia. A phantastikon is a phantasia which does not come from a real object, such as those produced by the imagination. Imagination was explained as the manipulation of mental content. By taking elements from stored experience and enlarging, shrinking, transposing, or negating parts of the phantasiai it is possible imagine monsters; thus one can produce mental content which has no real object. For example we can create a mermaid by transposing a body of a fish onto a young woman’s torso. Although mermaids and monsters don’t exist, we need to explain how non-existing things can be the object of thought and even produce desire or attraction. The Stoics did this by drawing a distinction between the imagined object (phantasma), i.e., the mermaid, and the mental construct (phantastikon), the thought of the mermaid. We are not attracted to the idea or mental image of the mermaid but to the intentional object of the idea, namely to the mermaid herself. Similar distinctions were pursued in the early 20th century by philosophers such as Meninong and Russell.

The Stoics made a further distinction in their doctrine of presentations: some presentations are rational, some are not. Rational presentations are limited to human beings and are said to be “thoughts” [noeseis]. Thoughts, like other phantasiai, are physical states of the soul-pneuma. The characteristic feature of a rational presentation seems to be its structure or syntax. Something is said about something, and consequently the thought now has meaning — and if it is a proposition, it has a truth value associated with it. Simple thoughts, when expressed in language, have three elements: the object (thing signified), the sound (the signifier), and the linguistic/mental content (what is said). For example, in the sentence “The cat is black” the thing signified is the black cat; the signifier is the sounds of the words uttered; and finally the thing signified is the content of what is being said, namely, the claim regarding the color of a specific animal. The latter, the intelligible content of the statement, is called a lekton which is said to subsist with the rational presentation or thought; it is the content which is either true or false, not the object or the sound. A lekton is not a corporeal entity like a thought or the soul; it seems to be a theoretical entity which loosely corresponds to the contemporary notion of a proposition, a statement, or perhaps even the meaning of an utterance. It is the lekton that makes the sounds of a sentence to be more than just sounds. The doctrine of the lekta has generated much controversy in current scholarship and is recognized to be an important link between Stoic theory of mind and Stoic logic.

b. Impulse, Assent, and Action

Although we may entertain and experience all sorts of presentations, we do not necessarily accept or respond to them all. Hence the Stoics held that some phantasiai receive assent and some do not. Assent occurs when the mind accepts a phantasia as true (or more accurately accepts the subsisting lekton as true). Assent is also a specifically human activity, that is, it assume the power of reason. Although the truth value of a proposition is binary, true or false, there are various levels of recognizing truth. According to the Stoics, opinion (doxa) is a weak or false belief. The sage avoids opinions by withholding assent when conditions do not permit a clear and certain grasp of the truth of a matter. Some presentations experienced in perceptually ideal circumstances, however, are so clear and distinct that they could only come from a real object; these were said to be kataleptikê (fit to grasp). The kataleptic presentation compels assent by its very clarity and, according to some Stoics, represents the criterion for truth. The mental act of apprehending the truth in this way was called katalepsis which means having a firm epistemic grasp.

The idea of katalepsis as a firm grasp reappears in Zeno’s famous analogy of the fist. According to Cicero, Zeno compared the phantasia to an open hand, assent, to a closing hand, the katalepsis, to a closed fist, and knowledge to a closed fist grasped by the other hand. Zeno’s analogy however may be a little misleading if the reader assumes there to be a temporal succession and a series of discreet processes. Other evidence indicates that this is not the point of the analogy. For example, katalepsis was defined as a kind of assent, not as a discrete post-assent process. A katalepsis is an assent to a kataleptic presentation. Moreover knowledge [epistemê] was defined as a katalepsis that is secure and unchangeable by reason. The point of the fist analogy then seems to be that the central powers of the commanding faculty have different and progressively greater epistemic weight. The analogy emphasizes the epistemic progression from simple presentations to the systematic coherence of knowledge (it being confirmed by and consistent with other katalepseis); the analogy is not fundamentally about the discreteness of the psychological powers.

The emphasis on assent in Stoic psychology and epistemology is an important contribution to ancient philosophy. The Stoics used assent to indicate that a phantasia had been accepted by the mind. It also allows the agent to entertain a cognition while at the same time reject it. Indeed, philosophical prudence often demands that we withhold assent in cases of doubt. The introduction of assent as a distinct process provided a plausible way to explain how an agent may entertain a specific thought without necessarily accepting it.

In addition to epistemology, assent plays an important role in the Stoic theory of action. Presentational content often provokes an inclination to act by representing something as desirable. This kind of presentation was called phantasia hormetikê or impulse-generating presentation and was held to produce an impulse to act. The impulse is therefore a sort of call to action which is manifested as a motion of pneuma directed toward the specific organs of action.

The basic function of impulse is to initiate motion. When we perceive an object or event in the physical world, a phantasia or presentation is produced in the commanding faculty which is then evaluated by the rational faculty. Depending on the content of the presentation and the individual’s conception of what is good, the object of perception may be classified as good, evil, or indifferent. The faculty of assent in conjunction with reason will accept, reject, or withhold judgement based on the value of the object. If the object is deemed good, an impulse is initiated as a kind of motion in the soul substratum. If the object is bad, repulsion [aphormê] is produced, and the agent withdraws from the object under consideration.

4. Philosophy of Mind and Stoic Ethics

a. Primary Impulse and Prolepsis

We have seen that the Stoics held that at birth the soul is free of experiential content. The Stoics, however, did not hold that this excluded the possibility that we are born with innate characteristics and psychological impulses. The most basic impulse found in new-born creatures is the impulse toward self-preservation. This is the primary human impulse and the starting point of Stoic ethics. This impulse is implanted by Nature and entails a certain consciousness of things appropriate to (or belonging to) the organism and of things alien or hostile to the creature. In contrast to the Epicureans, who held that the primary impulse was toward pleasure, the Stoics argued that the innate impulse toward self-regard and an awareness of one’s own constitution was even more elementary. This innate impulse explains how animals naturally know how to use their limbs and defensive organs and why it is that animals naturally recognize predators as enemies.

Children and animals, however, are not rational; Nature must therefore supply the primary impulse as a foundation for behavior. In the case of animals the innate impulses explain a range of complex behavior, which in many cases appears intelligent. For example, the Stoics held that a spider does not possess rationality despite the apparently intelligent use of a web to catch insects. Primary impulses in animals are therefore identified with complex instincts. In the case of human beings, primary impulse is ideally a transitional mechanism. As children mature into adults, they develop rationality so that the impulse toward self-preservation falls under the scrutiny of reason. Rationality permits the agent to develop the notion of duty and virtue, which may at times take precedence over self-preservation. As the agent progresses in virtue and reason, children, family members, neighbors, fellow citizens, and finally all humankind are likewise seen as intrinsically valuable and incorporated into the agent’s sphere of concern and interest. This process is called oikeiôsis or the doctrine of appropriation and is central to the Stoic ethics.

Also closely associated with the doctrine of the primary impulse is the Stoic doctrine of preconception [prolepsis]. A preconception is an innate disposition to form certain conceptions. The most frequently mentioned preconceptions are the concept of the good and the concept of God. Since the Stoics held that the soul is a blank sheet at birth, the preconception cannot be a specific cognition but only an innate disposition to form certain concepts.

b. Passion and Eupatheia

The final element of Stoic philosophy of mind to be presented in this article is the doctrine of the passions. Plato and Aristotle held that the soul had both rational and irrational parts and used this view to explain mental conflict. For example, the irrational “appetitive part” of the soul may desire a steady diet of rich and fatty foods. The rational part of the soul, however, will resist the demands of the irrational part since such a diet is unhealthy. The result is emotional conflict and in somecases moral conflict. Most Stoics (Posidonius being the most famous exception), in contrast, denied the existence of an irrational faculty. However, in order to explain the phenomenon of mental conflict, the Stoics developed a theory of passion which they believed could do the same work as Plato’s or Aristotle’s.

The Stoics defined passion in several ways, each emphasizing a different facet of the term. The four most common accounts or definitions of passion are:

  1. An excessive impulse.
  2. An impulse disobedient to (the dictates of) reason.
  3. A false judgement or opinion.
  4. A fluttering [ptoia] of the soul.

Each definition emphasizes a different aspect of passion. The first two definitions tell us that a passion is a kind of impulse. The first of these focuses on force. A passion is a runaway impulse or emotion. Chrysippus compared a passion to a person running downhill and unable to stop at will. The soul is carried away by the sheer force and strength of the impulse. Passions often develop a momentum that cannot easily be stopped. Some texts also emphasize that there is a temporal dimension to passion. The fresher the passion, the stronger the impulse; passions usually weaken over time.

The second and third definitions emphasize the logical side of passion. Passions are unruly and contrary to reason. They are based on mistaken thinking or false opinions. The fact that passions are irrational does not mean that they come from an irrational faculty. They can be errors produced by the rational faculty. Having a rational faculty does not imply infallibility. Rather, it implies that cognitive states are produced through an inferential process which operates with a syntax similar to language. Mathematics operates in a similar fashion. When we make mathematical errors, we do not appeal to a non-mathematic part of the soul which conflicts with the mathematical. Rather we attribute the error to a single, though limited and fallible, rational faculty. The Stoics saw passion in the same way. Passions are false judgements or mistakes in regards to the value of something and are thereby misdirected impulses. According to Stoic ethics, only virtues are truly good, whereas externals such as wealth, honor, power, and pleasure are indifferent to our happiness since each can also harm us and each ultimately lies beyond our control. These externals then are said to be morally “indifferent” (adiaphoron). When we mistakenly value something indifferent as though it were a genuine good, we form a false judgement and experience passion.

The traditional Stoic passions can be broken down into four different kinds or classes of errors in judgement. These errors concern the good and bad (value), and the present and the future (time):

Present Future
Good Pleasure Appetite
Bad Distress Fear

When one identifies something as good in the present when in fact it is not truly a good we have the passion called pleasure and its subspecies. When we do the same in the future we have appetite. Likewise when we misidentify something as bad in the present, we experience the passion called distress; when we err regarding something in the future we call it fear.

The fourth and final definition of passion as “a fluttering in the soul” is most likely a physical description of passion much as Aristotle describes anger as a boiling of blood around the heart. As corporealists, the Stoics frequently described activities as physical descriptions of the pneuma of the soul. The Stoics defined the individual passions as an irrational swelling or rising [heparsis]. When our impulses are excessive and unruly, the pneuma in one’s chest canfeel like a fluttering. In contrast, Zeno described happiness, a state which presupposed rationality and virtue, as a smooth flowing soul. The fluttering may also signify the instability of passions as judgements. Chrysippus illustrated emotional disruption caused by the fluttering of passion with the example of Euripides’ Medea, who continually flipped back and forth from one judgement to another.

These four definitions or descriptions of passion are in agreement though each emphasizes a different aspect of passion. For example, grief over lost or stolen property is considered a passion, a species of distress. Since the object of concern (the stolen property) is in truth of no moral worth (indifferent), for it is only our virtuous response to the situation that qualifies as morally good or bad, the impulse identified with the grief is excessive (1). Since we do not heed reason which would tell us that happiness lies in virtue alone, it is also an impulse disobedient to reason (2). Likewise, since the value attributed to an object does not represent its true worth, it is a false judgement (3). Finally, the distress which we experience in the grief manifests itself not as a smooth calm state but as a fluttering or disturbance in our soul (4).

If passions are excessive impulses and mistaken judgements resulting in emotional disquietude, there must also be appropriate impulses and correct judgements resulting in emotional peace. It is a mistake to assume that if the Stoics reject passion that they seek a life void of any emotion, that is, that they seek to be emotionally flat. A better reading of Stoicism is that the goal is not absence of emotion, but a well-disposed emotional life. This is a life in which impulses are rational, moderate, and held in check. It is a state in which one’s impulses are appropriate to and consistent with the nature of things, both regarding the truth of the judgement and the degree of the response. This view is supported by the Stoic doctrine of the eupatheiai. Calling positive emotions “good-passions” may have been an attempt to rectify the misrepresentation of their school as being void of emotion. Examples of the eupatheiai are joy [khara], caution [eulabeia], and reasonable wishing [boulêsis]. Joy is said to be the counterpart of pleasure, caution is contrasted with fear, and reasonable wishing is contrasted with appetite. The difference is that in the eupatheiai the force of the impulse is appropriate to the value of the object, the impulse is consistent with rational behavior, and finally the belief or judgement regarding the nature of the object is true.

One should note that there are only three categories for the eupatheiai in contrast to the four for passions. There is no eupatheia corresponding to distress. This is due to the Stoic conception of moral invincibility. Distress was defined as an incorrect judgement regarding a present evil. The Stoics, however, held that the good lies not in external events or objects but in the virtuous response of the moral agent to any situation. Since it is always possible to respond virtuously, there is no true evil in the present. The good is always possible here and now.

5. References and Further Reading

a. Collections of Stoic texts

  • Clark, Gordon H. (ed.). 1940. Selections From Hellenistic Philosophy. New York: Croft.
  • Edelstein, L. and Kidd, I. G. (eds.) 1972. Posidonius. The Fragments, 4 vols. Cambridge: University Press.
  • Hülser, Karlheinz. (ed.). 1987. Die Fragmente zur Dialektik der Stoiker. 4 vols. Stuttgart: Frommann-Holzboog.
  • Inwood, Brad and Gerson, L. P. (eds.). 1997. Hellenistic Philosophy: Introductory Readings, 2nd edition. Indianapolis: Hackett.
  • Long, A.A. and Sedley, D.N. (eds.). 1987. The Hellenistic Philosophers, 2 vols. Cambridge: Cambridge University Press.
  • Saunders, Jason L. (ed.). 1996. Greek and Roman Philosophy after Aristotle. New York: Free Press.
  • von Arnim, Ioannes (ed.). 1903-1905. Stoicorum Veterum Fragmenta. Leipzig: Teubner.

b. Recommended Readings on Stoic Psychology

  • Algra, Keimpe, et al. (eds.) 1999. The Cambridge History of Hellenistic Philosophy. Cambridge: Cambridge University Press.
  • Annas, Julia. 1992. Hellenistic Philosophy of Mind. Berkeley: University of California Press.
  • Arthur, E. P. 1983. “The Stoic analysis of the mind’s reaction to presentations”, Hermes 111: 69-78.
  • Brennan, Tad. 1996. “Reasonable Impressions in Stoicism”, Phronesis 41.3: 318-334.
  • Brennan, Tad. 1998. “The Old Stoic Theory of Emotion”, in Sihvola and Engberg-Pedersen (eds.) 1998: 21-70.
  • Brunschwig, Jacques. 1986. “The cradle argument in Epicureanism and Stoicism”, in Schofield and Striker 1986: 113-144.
  • Brunschwig, Jacques. 1994. Papers in Hellenistic Philosophy. Cambridge: Cambridge University Press. Translated by Janet Lloyd.
  • Brunschwig, J. and Nussbaum, M. C. (eds.) 1993. Passions & Perceptions: studies in Hellenistic philosophy of mind. Proceedings of the Fifth Symposium Hellenisticum. Cambridge: Cambridge University Press.
  • Caston, Victor. 1999. “Something and Nothing: The Stoics on concepts and universals” Oxford Studies in Ancient Philosophy 17: 145-213.
  • Chiesa, M. C. 1991. “Le problème du langage intérieur chez les Stoïciens”, Revue Internationale de Philosophie 3, 301-321.
  • Cooper, John. 1998. “Posidonius on Emotions”, in Sihvola and Engberg-Pedersen, 1998: 71-112.
  • Doty, Ralph. 1992. The Criterion of Truth. American University Studies. Series V Philosophy, vol. 108. New York: Peter Lang.
  • Engberg-Pedersen, Troels. 1998. “Marcus Aurelius on Emotions”, in Sihvola and Engberg-Pedersen, 1998: 305-338.
  • Everson, Stephen. 1990. Epistemology. Companions to Ancient Thought. Vol. 1. Cambridge: Cambridge University Press.
  • Everson, Stephen. 1991. Psychology. Companions to Ancient Thought. Vol. 2. Cambridge: Cambridge University Press.
  • Everson, Stephen. 1994. Language. Companions to Ancient Thought. Vol. 3. Cambridge: Cambridge University Press.
  • Frede, Michael. 1983. “Stoics and Skeptics on clear and distinct impressions”, in Essays in Ancient Philosophy. Minneapolis: University of Minnesota.: 65-93.
  • Frede, Michael. 1994. “The Stoic notion of lekton”, in Everson 1994: 109-128.
  • Gill, Christopher. 1991. “Is there a concept of person in Greek philosophy?”, in Everson 1991: 166-193.
  • Gill, Christopher. 1998. “Did Galen Understand Platonic and Stoic Thinking on Emotion”, in Sihvola and Engberg-Pedersen, 1998: 113-148.
  • Glibert-Thirry, A. 1977. “La théorie stoïcienne de la passion chez Chrysippe et son évolution chez Posidonius”, Revue philosophique de Louvain 75: 393-435.
  • Gould, J. 1970. The Philosophy of Chrysippus. Leiden: Brill.
  • Hahm, David E. 1977. The Origins of Stoic Cosmology. Columbus: Ohio State University Press.
  • Hahm, David E. 1978. “Early Hellenistic theories of vision and the perception of color”, in Machamer & Turnbull 1978: 60-95.
  • Imbert, Claude. 1978. “Théorie de la representation et doctrine logique dans le stoicisme ancien”, in Brunschwig 1978: 223-249.
  • Ingenkamp, Heinz Gerd. 1971. “Zur stoischen Lehre vom Sehen”, Rheinisches Museum für Philologie 114: 240-246.
  • Inwood, Brad. 1985. Ethics and Human Action in Early Stoicism. Oxford: Clarendon Press.
  • Inwood, Brad. 1993. “Seneca and psychological dualism”, in Brunschwig and Nussbaum 1993: 150-183.
  • Inwood, Brad. 1999. “Rules and Reasoning in Stoic Ethics”, in Topics in Stoic Philosophy, Ierodikonou, Katerina (ed.): 95-127.
  • Ioppolo, Anna-Maria. 1990. “Presentation and assent: A physical and cognitive problem in early Stoicism”, Classical Quarterly 40: 433-449.
  • Kerferd, George B. 1978. “The search for personal identity in Stoic thought”, Bulletin of the John Ryland Library 55: 177-196.
  • Kerferd, George B. 1978. “The problem of synkathesis and katalepsis in Stoic doctrine”, in Brunschwig 1978: 251-272.
  • Kidd, I.G. 1971. “Posidonius on Emotions” in Long 1971: 200-215.
  • Lesses, Glenn. 1998. “Content, Cause, and Stoic Impressions”, Phronesis 43.1: 1-25.
  • Lewis, Eric. 1995. “The Stoics on identity and individuation”, Phronesis 40: 89-108.
  • Lloyd, A.C. 1978. “Emotion and decision in Stoic psychology”, in Rist 1978: 233-246.
  • Long, A. A. (ed.). 1971. Problems in Stoicism. London: Athlone Press.
  • Long, A. A. 1971. “Language and thought in Stoicism”, in Long 1971: 75-113.
  • Long, A. A. 1974. Hellenistic Philosophy. 2nd ed. London: Duckworth.
  • Long, A. A. 1978. “The Stoic distinction between truth and the true”, in Brunschwig 1978: 297-315.
  • Long, A. A. 1982. “Soul and Body in Stoicism”, Phronesis 27: 34-57.
  • Long, A. A. 1991. “Representation and the self in Stoicism”, 102-120 in Everson 1991.
  • Nussbaum, Martha. 1993. “Poetry and the passions: two Stoic views” in Brunschwig and Nussbaum 1993: 97-149.
  • Nussbaum, Martha. 1994. The Therapy of Desire: Theory and Practice in Hellenistic Ethics. Princeton, NJ: Princeton University Press.
  • Modrak, Deborah K. 1993. “Stoics, Epicureans and mental content”, Apeiron 26: 97-108.
  • Ostenfeld, Erik. 1987. Ancient Greek Psychology and the Modern Mind-Body Debate. Aarhus, Denmark: Aarhus University Press.
  • Pembroke, S. G. 1971. “Oikeiôsis”, in Long 1971: 114-149.
  • Reale, Giovanni. 1990. A History of Ancient Philosophy, vol. 4. The Schools of the Imperial Age. Albany, NY: State University of New York Press. [Edited. & translated by John R. Catan].
  • Reesor, Margaret, E. 1989. The Nature of Man in Early Stoic Philosophy. London: Duckworth.
  • Rist, John M. 1969. Stoic Philosophy. Cambridge: Cambridge University Press.
  • Rist, John M. 1985. “On Greek biology, Greek cosmology and some sources of theological pneuma“, Prudentia. The Concept of Spirit. Supplementary Number 1985, 27-47.
  • Rist, John M. (ed.). 1978. The Stoics. Berkeley, Los Angeles, and London: University of California Press.
  • Rorty, Amélie Oksenberg. 1998. “The Two Faces of Stoicism: Rousseau and Freud”, in Sihvola and Engberg-Pedersen, 1998: 243-270.
  • Sakezles, Priscilla. 1998. “Aristotle and Chrysippus on the physiology of human action”, Apeiron 31.2, 127-166.
  • Sandbach, F. H. 1971. “phantasia kataleptike”, in Long 1971: 9-21.
  • Schofield, M., Burnyeat, M. and Barnes, J. (eds.). 1980. Doubt and Dogmatism: studies in Hellenistic epistemology. Oxford: Clarendon Press.
  • Schofield, M. and Striker, G. (eds.). 1986. The Norms of Nature. Cambridge: Cambridge University Press.
  • Sedley, David. 1993. “Chrysippus on psychophysical causality”, in Brunschwig and Nussbaum 1993: 313-331.
  • Sharples, R. W. 1996. Stoics, Epicureans, and Sceptics: An Introduction to Hellenistic Philosophy. London: Routledge.
  • Sihvola, Juha and Engberg-Pedersen, Troels (eds.) 1998. The Emotions in Hellenistic Philosophy. Dordrecht: Kluwer Academic Publishers.
  • Sorabji, Richard. 1990. “Perceptual content in the Stoics”, Phronesis 35, 301-314.
  • Sorabji, Richard. Animal Minds & Human Morals. Ithaca: Cornell University Press.
  • Sorabji, Richard. 1998. “Chrysippus – Posidonius – Seneca: A High Level Debate on Emotion”, in Sihvola and Engberg-Pedersen, 1998: 149-170.
  • Striker, Gisela. 1996. Essays on Hellenistic Epistemology and Ethics. Cambridge: Cambridge University Press.
  • Todd, Robert B. 1974. “‘Synentasis’ and the Stoic theory of perception”, Grazer Beiträge 2, 251-261.
  • Todd, Robert B. 1976. Alexander of Aphrodisias on Stoic Physics. Leiden: Brill.
  • von Staden, Heinrich. 1978. “The Stoic theory of perception and its ‘Platonic’ critics”, 96-136 in Machamer & Turnbull 1978.
  • Watson, Gerard. 1988. “Discovering the imagination: Platonists and Stoics on phantasia“, 208-233 in Dillon and Long 1988.
  • Watson, Gerard. 1994. “The concept of ‘phantasia‘ from the late Hellenistic period to early Neoplatonism”, Aufstieg und Niedergang der Römischen Welt (ANRW) II.36.7: 4765-4810.
  • Williams, Bernard. 1994. “Stoic Philosophy and the Emotions: reply to Richard Sorabji”, Aristotle and After, 21-214.

Author Information

Scott Rubarth
Email: srubarth@rollins.edu
Rollins College
U. S. A.

Aristotle: Poetics

The Poetics of Aristotle (384-322 B.C.E.) is a much-disdained book. So unpoetic a soul as Aristotle’s has no business speaking about such a topic, much less telling poets how to go about their business. He reduces the drama to its language, people say, and the language itself to its least poetic element, the story, and then he encourages insensitive readers like himself to subject stories to crudely moralistic readings, that reduce tragedies to the childish proportions of Aesop-fables. Strangely, though, the Poetics itself is rarely read with the kind of sensitivity its critics claim to possess, and the thing criticized is not the book Aristotle wrote but a caricature of it. Aristotle himself respected Homer so much that he personally corrected a copy of the Iliad for his student Alexander, who carried it all over the world. In his Rhetoric (III, xvi, 9), Aristotle criticizes orators who write exclusively from the intellect, rather than from the heart, in the way Sophocles makes Antigone speak. Aristotle is often thought of as a logician, but he regularly uses the adverb logikôs, logically, as a term of reproach contrasted with phusikôs, naturally or appropriately, to describe arguments made by others, or preliminary and inadequate arguments of his own. Those who take the trouble to look at the Poetics closely will find, I think, a book that treats its topic appropriately and naturally, and contains the reflections of a good reader and characteristically powerful thinker.

Table of Contents

  1. Poetry as Imitation
  2. The Character of Tragedy
  3. Tragic Catharsis
  4. Tragic Pity
  5. Tragic Fear and the Image of Humanity
  6. The Iliad, the Tempest, and Tragic Wonder
  7. Excerpts from Aristotle’s Poetics
  8. References and Further Reading

1. Poetry as Imitation

The first scandal in the Poetics is the initial marking out of dramatic poetry as a form of imitation. We call the poet a creator, and are offended at the suggestion that he might be merely some sort of recording device. As the painter’s eye teaches us how to look and shows us what we never saw, the dramatist presents things that never existed until he imagined them, and makes us experience worlds we could never have found the way to on our own. But Aristotle has no intention to diminish the poet, and in fact says the same thing I just said, in making the point that poetry is more philosophic than history. By imitation, Aristotle does not mean the sort of mimicry by which Aristophanes, say, finds syllables that approximate the sound of frogs. He is speaking of the imitation of action, and by action he does not mean mere happenings. Aristotle speaks extensively of praxis in the Nicomachean Ethics. It is not a word he uses loosely, and in fact his use of it in the definition of tragedy recalls the discussion in the Ethics.

Action, as Aristotle uses the word, refers only to what is deliberately chosen, and capable of finding completion in the achievement of some purpose. Animals and young children do not act in this sense, and action is not the whole of the life of any of us. The poet must have an eye for the emergence of action in human life, and a sense for the actions that are worth paying attention to. They are not present in the world in such a way that a video camera could detect them. An intelligent, feeling, shaping human soul must find them. By the same token, the action of the drama itself is not on the stage. It takes form and has its being in the imagination of the spectator. The actors speak and move and gesture, but it is the poet who speaks through them, from imagination to imagination, to present to us the thing that he has made. Because that thing he makes has the form of an action, it has to be seen and held together just as actively and attentively by us as by him. The imitation is the thing that is re-produced, in us and for us, by his art. This is a powerful kind of human communication, and the thing imitated is what defines the human realm. If no one had the power to imitate action, life might just wash over us without leaving any trace.

How do I know that Aristotle intends the imitation of action to be understood in this way? In De Anima, he distinguishes three kinds of perception (II, 6; III, 3). There is the perception of proper sensibles-colors, sounds, tastes and so on; these lie on the surfaces of things and can be mimicked directly for sense perception. But there is also perception of common sensibles, available to more than one of our senses, as shape is grasped by both sight and touch, or number by all five senses; these are distinguished by imagination, the power in us that is shared by the five senses, and in which the circular shape, for instance, is not dependent on sight or touch alone. These common sensibles can be mimicked in various ways, as when I draw a messy, meandering ridge of chalk on a blackboard, and your imagination grasps a circle. Finally, there is the perception of that of which the sensible qualities are attributes, the thing–the son of Diares, for example; it is this that we ordinarily mean by perception, and while its object always has an image in the imagination, it can only be distinguished by intellect, no°s (III,4). Skilled mimics can imitate people we know, by voice, gesture, and so on, and here already we must engage intelligence and imagination together. The dramatist imitates things more remote from the eye and ear than familiar people. Sophocles and Shakespeare, for example, imitate repentance and forgiveness, true instances of action in Aristotle’s sense of the word, and we need all the human powers to recognize what these poets put before us. So the mere phrase imitation of an action is packed with meaning, available to us as soon as we ask what an action is, and how the image of such a thing might be perceived.

Aristotle does understand tragedy as a development out of the child’s mimicry of animal noises, but that is in the same way that he understands philosophy as a development out of our enjoyment of sight-seeing (Metaphysics I, 1). In each of these developments there is a vast array of possible intermediate stages, but just as philosophy is the ultimate form of the innate desire to know, tragedy is considered by Aristotle the ultimate form of our innate delight in imitation. His beloved Homer saw and achieved the most important possibilities of the imitation of human action, but it was the tragedians who, refined and intensified the form of that imitation, and discovered its perfection.

2. The Character of Tragedy

A work is a tragedy, Aristotle tells us, only if it arouses pity and fear. Why does he single out these two passions? Some interpreters think he means them only as examples–pity and fear and other passions like that–but I am not among those loose constructionists. Aristotle does use a word that means passions of that sort (toiouta), but I think he does so only to indicate that pity and fear are not themselves things subject to identification with pin-point precision, but that each refers to a range of feeling. It is just the feelings in those two ranges, however, that belong to tragedy. Why? Why shouldn’t some tragedy arouse pity and joy, say, and another fear and cruelty? In various places, Aristotle says that it is the mark of an educated person to know what needs explanation and what doesn’t. He does not try to prove that there is such a thing as nature, or such a thing as motion, though some people deny both. Likewise, he understands the recognition of a special and powerful form of drama built around pity and fear as the beginning of an inquiry, and spends not one word justifying that restriction. We, however, can see better why he starts there by trying out a few simple alternatives.

Suppose a drama aroused pity in a powerful way, but aroused no fear at all. This is an easily recognizable dramatic form, called a tear-jerker. The name is meant to disparage this sort of drama, but why? Imagine a well written, well made play or movie that depicts the losing struggle of a likable central character. We are moved to have a good cry, and are afforded either the relief of a happy ending, or the realistic desolation of a sad one. In the one case the tension built up along the way is released within the experience of the work itself; in the other it passes off as we leave the theater, and readjust our feelings to the fact that it was, after all, only make-believe. What is wrong with that? There is always pleasure in strong emotion, and the theater is a harmless place to indulge it. We may even come out feeling good about being so compassionate. But Dostoyevski depicts a character who loves to cry in the theater, not noticing that while she wallows in her warm feelings her coach-driver is shivering outside. She has day-dreams about relieving suffering humanity, but does nothing to put that vague desire to work. If she is typical, then the tear-jerker is a dishonest form of drama, not even a harmless diversion but an encouragement to lie to oneself.

Well then, let’s consider the opposite experiment, in which a drama arouses fear in a powerful way, but arouses little or no pity. This is again a readily recognizable dramatic form, called the horror story, or in a recent fashion, the mad-slasher movie. The thrill of fear is the primary object of such amusements, and the story alternates between the build-up of apprehension and the shock of violence. Again, as with the tear-jerker, it doesn’t much matter whether it ends happily or with uneasiness, or even with one last shock, so indeterminate is its form. And while the tearjerker gives us an illusion of compassionate delicacy, the unrestrained shock-drama obviously has the effect of coarsening feeling. Genuine human pity could not co-exist with the so-called graphic effects these films use to keep scaring us. The attraction of this kind of amusement is again the thrill of strong feeling, and again the price of indulging the desire for that thrill may be high.

Let us consider a milder form of the drama built on arousing fear. There are stories in which fearsome things are threatened or done by characters who are in the end defeated by means similar to, or in some way equivalent to, what they dealt out. The fear is relieved in vengeance, and we feel a satisfaction that we might be inclined to call justice. To work on the level of feeling, though, justice must be understood as the exact inverse of the crime–doing to the offender the sort of thing he did or meant to do to others. The imagination of evil then becomes the measure of good, or at least of the restoration of order. The satisfaction we feel in the vicarious infliction of pain or death is nothing but a thin veil over the very feelings we mean to be punishing. This is a successful dramatic formula, arousing in us destructive desires that are fun to feel, along with the self-righteous illusion that we are really superior to the character who displays them. The playwright who makes us feel that way will probably be popular, but he is a menace.

We have looked at three kinds of non-tragedy that arouse passions in a destructive way, and we could add others. There are potentially as many kinds as there are passions and combinations of passions. That suggests that the theater is just an arena for the manipulation of passions in ways that are pleasant in the short run and at least reckless to pursue repeatedly. At worst, the drama could be seen as dealing in a kind of addiction, which it both produces and holds the only remedy for. But we have not yet tried to talk about the combination of passions characteristic of tragedy.

When we turn from the sort of examples I have given, to the acknowledged examples of tragedy, we find ourselves in a different world. The tragedians I have in mind are five: Aeschylus, Sophocles, and Euripides; Shakespeare, who differs from them only in time; and Homer, who differs from them somewhat more, in the form in which he composed, but shares with them the things that matter most. I could add other authors, such as Dostoyevski, who wrote stories of the tragic kind in much looser literary forms, but I want to keep the focus on a small number of clear paradigms.

When we look at a tragedy we find the chorus in Antigone telling us what a strange thing a human being is, that passes beyond all boundaries (lines 332 ff.), or King Lear asking if man is no more than this, a poor, bare, forked animal (III, iv, 97ff.), or Macbeth protesting to his wife “I dare do all that may become a man; who dares do more is none” (I, vii, 47-8), or Oedipus taunting Teiresias with the fact that divine art was of no use against the Sphinx, but only Oedipus’ own human ingenuity (Oed. Tyr. 39098), or Agamemnon, resisting walking home on tapestries, saying to his wife “I tell you to revere me as a man, not a god” (925), or Cadmus in the Bacchae saying “I am a man, nothing more” (199), while Dionysus tells Pentheus “You do not know what you are” (506), or Patroclus telling Achilles “Peleus was not your father nor Thetis your mother, but the gray sea bore you, and the towering rocks, so hard is your heart” (Iliad XVI, 335 ). I could add more examples of this kind by the dozen, and your memories will supply others. Tragedy seems always to involve testing or finding the limits of what is human. This is no mere orgy of strong feeling, but a highly focussed way of bringing our powers to bear on the image of what is human as such. I suggest that Aristotle is right in saying that the powers which first of all bring this human image to sight for us are pity and fear.

It is obvious that the authors in our examples are not just putting things in front of us to make us cry or shiver or gasp. The feelings they arouse are subordinated to another effect. Aristotle begins by saying that tragedy arouses pity and fear in such a way as to culminate in a cleansing of those passions, the famous catharsis. The word is used by Aristotle only the once, in his preliminary definition of tragedy. I think this is because its role is taken over later in the Poetics by another, more positive, word, but the idea of catharsis is important in itself, and we should consider what it might mean.

3. Tragic Catharsis

First of all, the tragic catharsis might be a purgation. Fear can obviously be an insidious thing that undermines life and poisons it with anxiety. It would be good to flush this feeling from our systems, bring it into the open, and clear the air. This may explain the appeal of horror movies, that they redirect our fears toward something external, grotesque, and finally ridiculous, in order to puncture them. On the other hand, fear might have a secret allure, so that what we need to purge is the desire for the thrill that comes with fear. The horror movie also provides a safe way to indulge and satisfy the longing to feel afraid, and go home afterward satisfied; the desire is purged, temporarily, by being fed. Our souls are so many-headed that opposite satisfactions may be felt at the same time, but I think these two really are opposite. In the first sense of purgation, the horror movie is a kind of medicine that does its work and leaves the soul healthier, while in the second sense it is a potentially addictive drug. Either explanation may account for the popularity of these movies among teenagers, since fear is so much a fact of that time of life. For those of us who are older, the tear-jerker may have more appeal, offering a way to purge the regrets of our lives in a sentimental outpouring of pity. As with fear, this purgation too may be either medicinal or drug-like.

This idea of purgation, in its various forms, is what we usually mean when we call something cathartic. People speak of watching football, or boxing, as a catharsis of violent urges, or call a shouting match with a friend a useful catharsis of buried resentment. This is a practical purpose that drama may also serve, but it has no particular connection with beauty or truth; to be good in this purgative way, a drama has no need to be good in any other way. No one would be tempted to confuse the feeling at the end of a horror movie with what Aristotle calls “the tragic pleasure,” nor to call such a movie a tragedy. But the English word catharsis does not contain everything that is in the Greek word. Let us look at other things it might mean.

Catharsis in Greek can mean purification. While purging something means getting rid of it, purifying something means getting rid of the worse or baser parts of it. It is possible that tragedy purifies the feelings themselves of fear and pity. These arise in us in crude ways, attached to all sorts of objects. Perhaps the poet educates our sensibilities, our powers to feel and be moved, by refining them and attaching them to less easily discernible objects. There is a line in The Wasteland, “I will show you fear in a handful of dust.” Alfred Hitchcock once made us all feel a little shudder when we took showers. The poetic imagination is limited only by its skill, and can turn any object into a focus for any feeling. Some people turn to poetry to find delicious and exquisite new ways to feel old feelings, and consider themselves to enter in that way into a purified state. It has been argued that this sort of thing is what tragedy and the tragic pleasure are all about, but it doesn’t match up with my experience. Sophocles does make me fear and pity human knowledge when I watch the Oedipus Tyrannus, but this is not a refinement of those feelings but a discovery that they belong to a surprising object. Sophocles is not training my feelings, but using them to show me something worthy of wonder.

The word catharsis drops out of the Poetics because the word wonder, to rhaumaston, replaces it, first in chapter 9, where Aristotle argues that pity and fear arise most of all where wonder does, and finally in chapters 24 and 25, where he singles out wonder as the aim of the poetic art itself, into which the aim of tragedy in particular merges. Ask yourself how you feel at the end of a tragedy. You have witnessed horrible things and felt painful feelings, but the mark of tragedy is that it brings you out the other side. Aristotle’s use of the word catharsis is not a technical reference to purgation or purification but a beautiful metaphor for the peculiar tragic pleasure, the feeling of being washed or cleansed.

The tragic pleasure is a paradox. As Aristotle says, in a tragedy, a happy ending doesn’t make us happy. At the end of the play the stage is often littered with bodies, and we feel cleansed by it all. Are we like Clytemnestra, who says she rejoiced when spattered by her husband’s blood, like the earth in a Spring rain (Ag. 1389-92)? Are we like Iago, who has to see a beautiful life destroyed to feel better about himself (Oth. V, i, 18-20)? We all feel a certain glee in the bringing low of the mighty, but this is in no way similar to the feeling of being washed in wonderment. The closest thing I know to the feeling at the end of a tragedy is the one that comes with the sudden, unexpected appearance of something beautiful. In a famous essay on beauty (Ennead I, tractate 6), Plotinus says two things that seem true to me: “Clearly [beauty] is something detected at a first glance, something that the soul… recognizes, gives welcome to, and, in a way, fuses with” (beginning sec. 2). What is the effect on us of this recognition? Plotinus says that in every instance it is “an astonishment, a delicious wonderment” (end sec. 4). Aristotle is insistent that a tragedy must be whole and one, because only in that way can it be beautiful, while he also ascribes the superiority of tragedy over epic poetry to its greater unity and concentration (ch. 26). Tragedy is not just a dramatic form in which some works are beautiful and others not; tragedy is itself a species of beauty. All tragedies are beautiful.

By following Aristotle’s lead, we have now found five marks of tragedy: (1) it imitates an action, (2) it arouses pity and fear, (3) it displays the human image as such, (4) it ends in wonder, and (5) it is inherently beautiful. We noticed earlier that it is action that characterizes the distinctively human realm, and it is reasonable that the depiction of an action might show us a human being in some definitive way, but what do pity and fear have to do with that showing? The answer is everything.

4. Tragic Pity

First, let us consider what tragic pity consists in. The word pity tends to have a bad name these days, and to imply an attitude of condescension that diminishes its object. This is not a matter of the meanings of words, or even of changing attitudes. It belongs to pity itself to be two-sided, since any feeling of empathy can be given a perverse twist by the recognition that it is not oneself but another with whom one is feeling a shared pain. One of the most empathetic characters in all literature is Edgar in King Lear. He describes himself truly as “a most poor man, made tame to fortune’s blows, Who, by the art of known and feeling sorrows, Am pregnant to good pity” (IV, vi, 217-19). Two of his lines spoken to his father are powerful evidence of the insight that comes from suffering oneself and taking on the suffering of others: “Thy life’s a miracle” (IV, vi, 5 5 ), he says, and “Ripeness is all” (V, ii, 11), trying to help his father see that life is still good and death is not something to be sought. Yet in the last scene of the play this same Edgar voices the stupidest words ever spoken in any tragedy, when he concludes that his father just got what he deserved when he lost his eyes, since he had once committed adultery (V, iii, 171-4). Having witnessed the play, we know that Gloucester lost his eyes because he chose to help Lear, when the kingdom had become so corrupt that his act of kindness appeared as a walking fire in a dark world (I1I, iv, 107). There is a chain of effects from Gloucester’s adultery to his mutilation, but it is not a sequence that reveals the true cause of that horror. The wholeness of action that Shakespeare shapes for us shows that Gloucester’s goodness, displayed in a courageous, deliberate choice, and not his weakness many years earlier, cost him his eyes. Edgar ends by giving in to the temptation to moralize, to chase after the “fatal flaw” which is no part of tragedy, and loses his capacity to see straight.

This suggests that holding on to proper pity leads to seeing straight, and that seems exactly right. But what is proper pity? There is a way of missing the mark that is opposite to condescension, and that is the excess of pity called sentimentality. There are people who use the word sentimental for any display of feeling, or any taking seriously of feeling, but their attitude is as blind as Edgar’s. Sentimentality is inordinate feeling, feeling that goes beyond the source that gives rise to it. The woman in Dostoyevski’s novel who loves pitying for its own sake is an example of this vice. But between Edgar’s moralizing and her gushing there is a range of appropriate pity. Pity is one of the instruments by which a poet can show us what we are. We pity the loss of Gloucester’s eyes because we know the value of eyes, but more deeply, we pity the violation of Gloucester’s decency, and in so doing we feel the truth that without such decency, and without respect for it, there is no human life. Shakespeare is in control here, and the feeling he produces does not give way in embarrassment to moral judgment, nor does it make us wallow mindlessly in pity because it feels so good; the pity he arouses in us shows us what is precious in us, in the act of its being violated in another.

5. Tragic Fear and the Image of Humanity

Since every boundary has two sides, the human image is delineated also from the outside, the side of the things that threaten it. This is shown to us through the feeling of fear. As Aristotle says twice in the Rhetoric, what we pity in others, we fear for ourselves (1382b 26, 1386a 27). In our mounting fear that Oedipus will come to know the truth about himself, we feel that something of our own is threatened. Tragic fear, exactly like tragic pity, and either preceding it or simultaneous with it, shows us what we are and are unwilling to lose. It makes no sense to say that Oedipus’ passion for truth is a flaw, since that is the very quality that makes us afraid on his behalf. Tragedy is never about flaws, and it is only the silliest of mistranslations that puts that claim in Aristotle’s mouth. Tragedy is about central and indispensable human attributes, disclosed to us by the pity that draws us toward them and the fear that makes us recoil from what threatens them.

Because the suffering of the tragic figure displays the boundaries of what is human, every tragedy carries the sense of universality. Oedipus or Antigone or Lear or Othello is somehow every one of us, only more so. But the mere mention of these names makes it obvious that they are not generalized characters, but altogether particular. And if we did not feel that they were genuine individuals, they would have no power to engage our emotions. It is by their particularity that they make their marks on us, as though we had encountered them in the flesh. It is only through the particularity of our feelings that our bonds with them emerge. What we care for and cherish makes us pity them and fear for them, and thereby the reverse also happens: our feelings of pity and fear make us recognize what we care for and cherish. When the tragic figure is destroyed it is a piece of ourselves that is lost. Yet we never feel desolation at the end of a tragedy, because what is lost is also, by the very same means, found. I am not trying to make a paradox, but to describe a marvel. It is not so strange that we learn the worth of something by losing it; what is astonishing is what the tragedians are able to achieve by making use of that common experience. They lift it up into a state of wonder.

Within our small group of exemplary poetic works, there are two that do not have the tragic form, and hence do not concentrate all their power into putting us in a state of wonder, but also depict the state of wonder among their characters and contain speeches that reflect on it. They are Homer’s Iliad and Shakespeare’s Tempest. (Incidentally, there is an excellent small book called Woe or Wonder, the Emotional Effect of Shakespearean Tragedy, by J. V. Cunningham, that demonstrates the continuity of the traditional understanding of tragedy from Aristotle to Shakespeare.) The first poem in our literary heritage, and Shakespeare’s last play, both belong to a conversation of which Aristotle’s Poetics is the most prominent part.

6. The Iliad, the Tempest, and Tragic Wonder

In both the Iliad and the Tempest there are characters with arts that in some ways resemble that of the poet. It is much noticed that Prospero’s farewell to his art coincides with Shakespeare’s own, but it may be less obvious that Homer has put into the Iliad a partial representation of himself. But the last 150 lines of Book XVIII of the Iliad describe the making of a work of art by Hephaestus. I will not consider here what is depicted on the shield of Achilles, but only the meaning in the poem of the shield itself. In Book XVIII, Achilles has realized what mattered most to him when it is too late. The Greeks are driven back to their ships, as Achilles had prayed they would be, and know that they are lost without him. “But what pleasure is this to me now,” he says to his mother, “when my beloved friend is dead, Patroclus, whom I cherished beyond all friends, as the equal of my own soul; I am bereft of him” (80-82). Those last words also mean “I have killed him.” In his desolation, Achilles has at last chosen to act. “I will accept my doom,” he says (115 ). Thetis goes to Hephaestus because, in spite of his resolve, Achilles has no armor in which to meet his fate. She tells her son’s story, concluding “he is lying on the ground, anguishing at heart” (461). Her last word, anguishing, acheuôn, is built on Achilles’ name.

Now listen to what Hephaestus says in reply: “Take courage, and do not let these things distress you in your heart. Would that I had the power to hide him far away from death and the sounds of grief when grim fate comes to him, but I can see that beautiful armor surrounds him, of such a kind that many people, one after another, who look on it, will wonder” (463-67). Is it not evident that this source of wonder that surrounds Achilles, that takes the sting from his death even in a mother’s heart, is the Iliad itself? But how does the Iliad accomplish this?

Let us shift our attention for a moment to the Tempest. The character Alonso, in the power of the magician Prospero, spends the length of the play in the illusion that his son has drowned. To have him alive again, Alonso says, “I wish Myself were mudded in that oozy bed Where my son lies” (V, i, 150-2). But he has already been there for three hours in his imagination; he says earlier “my son i’ th’ ooze is bedded; and I’ll seek him deeper than e’er plummet sounded And with him there lie mudded” (III, iii, 100-2). What is this muddy ooze? It is Alonso’s grief, and his regret for exposing his son to danger, and his self-reproach for his own past crime against Prospero and Prospero’s baby daughter, which made his son a just target for divine retribution; the ooze is Alonso’s repentance, which feels futile to him since it only comes after he has lost the thing he cares most about. But the spirit Ariel sings a song to Alonso’s son: “Full fathom five thy father lies; Of his bones are coral made; Those are pearls that were his eyes; Nothing of him that doth fade But doth suffer a sea change Into something rich and strange” (I, ii, 397-402). Alonso’s grief is aroused by an illusion, an imitation of an action, but his repentance is real, and is slowly transforming him into a different man. Who is this new man? Let us take counsel from the “honest old councilor” Gonzalo, who always has the clearest sight in the play. He tells us that on this voyage, when so much seemed lost, every traveller found himself “When no man was his own” (V, i, 206-13). The something rich and strange into which Alonso changes is himself, as he was before his life took a wrong turn. Prospero’s magic does no more than arrest people in a potent illusion; in his power they are “knit up In their distractions” (III, iii, 89-90). When released, he says, “they shall be themselves” (V, i, 32).

On virtually every page of the Tempest, the word wonder appears, or else some synonym for it. Miranda’s name is Latin for wonder, her favorite adjective brave seems to mean both good and out-of-the-ordinary, and the combination rich and strange means the same. What is wonder? J. V. Cunningham describes it in the book I mentioned as the shocked limit of all feeling, in which fear, sorrow, and joy can all merge. There is some truth in that, but it misses what is wonderful or wondrous about wonder. It suggests that in wonder our feelings are numbed and we are left limp, wrung dry of all emotion. But wonder is itself a feeling, the one to which Miranda is always giving voice, the powerful sense that what is before one is both strange and good. Wonder does not numb the other feelings; what it does is dislodge them from their habitual moorings. The experience of wonder is the disclosure of a sight or thought or image that fits no habitual context of feeling or understanding, but grabs and holds us by a power borrowed from nothing apart from itself. The two things that Plotinus says characterize beauty, that the soul recognizes it at first glance and spontaneously gives welcome to it, equally describe the experience of wonder. The beautiful always produces wonder, if it is seen as beautiful, and the sense of wonder always sees beauty.

But are there really no wonders that are ugly? The monstrosities that used to be exhibited in circus side-shows are wonders too, are they not? In the Tempest, three characters think first of all of such spectacles when they lay eyes on Caliban (II, ii, 28-31; V, i, 263-6), but they are incapable of wonder, since they think they know everything that matters already. A fourth character in the same batch, who is drunk but not insensible, gives way at the end of Act II to the sense that this is not just someone strange and deformed, nor just a useful servant, but a brave monster. But Stephano is not like the holiday fools who pay to see monstrosities like two-headed calves or exotic sights like wild men of Borneo. I recall an aquarium somewhere in Europe that had on display an astoundingly ugly catfish. People came casually up to its tank, were startled, made noises of disgust, and turned away. Even to be arrested before such a sight feels in some way perverse and has some conflict in the feeling it arouses, as when we stare at the victims of a car wreck. The sight of the ugly or disgusting, when it is felt as such, does not have the settled repose or willing surrender that are characteristic of wonder. “Wonder is sweet,” as Aristotle says.

This sweet contemplation of something outside us is exactly opposite to Alonso’s painful immersion in his own remorse, but in every other respect he is a model of the spectator of a tragedy. We are in the power of another for awhile, the sight of an illusion works real and durable changes in us, we merge into something rich and strange, and what we find by being absorbed in the image of another is ourselves. As Alonso is shown a mirror of his soul by Prospero, we are shown a mirror of ourselves in Alonso, but in that mirror we see ourselves as we are not in witnessing the Tempest, but in witnessing .a tragedy. The Tempest is a beautiful play, suffused with wonder as well as with reflections on wonder, but it holds the intensity of the tragic experience at a distance. Homer, on the other hand, has pulled off a feat even more astounding than Shakespeare’s, by imitating the experience of a spectator of tragedy within a story that itself works on us as a tragedy.

In Book XXIV of the Iliad, forms of the word tham bos, amazement, occur three times in three lines (482-4), when Priam suddenly appears in the hut of Achilles and “kisses the terrible man-slaughtering hands that killed his many sons” (478-9), but this is only the prelude to the true wonder. Achilles and Priam cry together, each for his own grief, as each has cried so often before, but this time a miracle happens. Achilles’ grief is transformed into satisfaction, and cleansed from his chest and his hands (513-14). This is all the more remarkable, since Achilles has for days been repeatedly trying to take out his raging grief on Hector’s dead body. The famous first word of the Iliad, mÍnis, wrath, has come back at the beginning of Book XXIV in the participle meneainôn (22), a constant condition that Lattimore translates well as “standing fury.” But all this hardened rage evaporates in one lamentation, just because Achilles shares it with his enemy’s father. Hermes had told Priam to appeal to Achilles in the names of his father, his mother, and his child, “in order to stir his heart” (466-7), but Priam’s focussed misery goes straight to Achilles’ heart without diluting the effect. The first words out of Priam’s mouth are “remember your father” (486). Your father deserves pity, Priam says, so “pity me with him in mind, since I am more pitiful even than he; I have dared what no other mortal on earth ever dared, to stretch out my lips to the hand of the man who murdered my children” (503-4).

Achilles had been pitying Patroclus, but mainly himself, but the feeling to which Priam has directed him now is exactly the same as tragic pity. Achilles is looking at a human being who has chosen to go to the limits of what is humanly possible to search for something that matters to him. The wonder of this sight takes Achilles out of his self-pity, but back into himself as a son and as a sharer of human misery itself. All his old longings for glory and revenge fall away, since they have no place in the sight in which he is now absorbed. For the moment, the beauty of Priam’s terrible action re-makes the world, and determines what matters and what doesn’t. The feeling in this moment out of time is fragile, and Achilles feels it threatened by tragic fear. In the strange fusion of this scene, what Achilles fears is himself; “don’t irritate me any longer now, old man,” he says when Priam tries to hurry along the return of Hector’s body, “don’t stir up my heart in its griefs any more now, lest I not spare even you yourself’ (560, 568-9). Finally, after they share a meal, they just look at each other. “Priam wondered at Achilles, at how big he was and what he was like, for he seemed equal to the gods, but Achilles wondered at Trojan Priam, looking on the worthy sight of him and hearing his story” (629-32). In the grip of wonder they do not see enemies. They see truly. They see the beauty in two men who have lost almost everything. They see a son a father should be proud of and a father a son should revere.

The action of the Iliad stretches from Achilles’ deliberate choice to remove himself from the war to his deliberate choice to return Hector’s body to Priam. The passion of the Iliad moves from anger through pity and fear to wonder. Priam’s wonder lifts him for a moment out of the misery he is enduring, and permits him to see the cause of that misery as still something good. Achilles’ wonder is similar to that of Priam, since Achilles too sees the cause of his anguish in a new light, but in his case this takes several steps. When Priam first appears in his hut, Homer compares the amazement this produces to that with which people look at a murderer who has fled from his homeland (480-84). This is a strange comparison, and it recalls the even stranger fact disclosed one book earlier that Patroclus, whom everyone speaks of as gentle and kind-hearted (esp. XVII, 670-71), who gives his life because he cannot bear to see his friends destroyed to satisfy Achilles’ anger, this same Patroclus began his life as a murderer in his own country, and came to Achilles’ father Peleus for a second chance at life. When Achilles remembers his father, he is remembering the man whose kindness brought Patroclus into his life, so that his tears, now for his father, now again for Patroclus (XXIV, 511-12), merge into a single grief. But the old man crying with him is a father too, and Achilles’ tears encompass Priam along with Achilles’ own loved ones. Finally, since Priam is crying for Hector, Achilles’ grief includes Hector himself, and so it turns his earlier anguish inside out. If Priam is like Achilles’ father, then Hector must come to seem to Achilles to be like a brother, or to be like himself.

Achilles cannot be brought to such a reflection by reasoning, nor do the feelings in which he has been embroiled take him in that direction. Only Priam succeeds in unlocking Achilles’ heart, and he does so by an action, by kissing his hand. From the beginning of Book XVIII (23, 27, 33), Achilles’ hands are referred to over and over and over, as he uses them to pour dirt on his head, to tear his hair, and to kill every Trojan he can get his hands on. Hector, who must go up against those hands, is mesmerized by them; they are like a fire, he says, and repeats it. “His hands seem like a fire” (XX, 371-2). After Priam kisses Achilles’ hand, and after they cry together, Homer tells us that the desire for lamentation went out of Achilles’ chest and out of his hands (XXIV, 514). His murderous, manslaughtering hands are stilled by a grief that finally has no enemy to take itself out on. When, in Book XVIII, Achilles had accepted his doom (115), it was part of a bargain; “I will lie still when I am dead,” he had said, “but now I must win splendid glory” (121). But at the end of the poem, Achilles has lost interest in glory. He is no longer eaten up by the desire to be lifted above Hector and Priam, but comes to rest in just looking at them for what they are. Homer does surround Achilles in armor that takes the sting from his misery and from his approaching death, by working that misery and death into the wholeness of the Iliad. But the Iliad is, as Aristotle says, the prototype of tragedy; it is not a poem that aims at conferring glory but a poem that bestows the gift of wonder.

Like Alonso in the Tempest, Achilles ultimately finds himself. Of the two, Achilles is the closer model of the spectator of a tragedy, because Alonso plunges deep into remorse before he is brought back into the shared world. Achilles is lifted directly out of himself, into the shared world, in the act of wonder, and sees his own image in the sorrowing father in front of him. This is exactly what a tragedy does to us, and exactly what we experience in looking at Achilles. In his loss, we pity him. In his fear of himself, on Priam’s behalf, we fear for him, that he might lose his new-won humanity. In his capacity to be moved by the wonder of a suffering fellow human, we wonder at him. At the end of the Iliad, as at the end of every tragedy, we are washed in the beauty of the human image, which our pity and our fear have brought to sight. The five marks of tragedy that we learned of from Aristotle’s Poetics–that it imitates an action, arouses pity and fear, displays the human image as such, ends in wonder, and is inherently beautiful–give a true and powerful account of the tragic pleasure.

7. Excerpts from Aristotle’s Poetics

Ch. 6 A tragedy is an imitation of an action that is serious and has a wholeness in its extent, in language that is pleasing (though in distinct ways in its different parts), enacted rather than narrated, culminating, by means of pity and fear, in the cleansing of these passions …So tragedy is an imitation not of people, but of action, life, and happiness or unhappiness, while happiness and unhappiness have their being in activity, and come to completion not in a quality but in some sort of action …Therefore it is deeds and the story that are the end at which tragedy aims, and in all things the end is what matters most …So the source that governs tragedy in the way that the soul governs life is the story.

Ch. 7 An extended whole is that which has a beginning, middle and end. But a beginning is something which, in itself, does not need to be after anything else, while something else naturally is the case or comes about after it; and an end is its contrary, something which in itself is of such a nature as to be after something else, either necessarily or for the most part, but to have nothing else after it-It is therefore needful that wellput-together stories not begin from just anywhere at random, nor end just anywhere at random …And beauty resides in size and order …the oneness and wholeness of the beautiful thing being present all at once in contemplation …in stories, just as in human organizations and in living things.

Ch. 8 A story is not one, as some people think, just because it is about one person …And Homer, just as he is distinguished in all other ways, seems to have seen this point beautifully, whether by art or by nature.

Ch. 9 Now tragedy is an imitation not only of a complete action, but also of objects of fear and pity, and these arise most of all when events happen contrary to expectation but in consequence of one another; for in this way they will have more wonder in them than if they happened by chance or by fortune, since even among things that happen by chance, the greatest sense of wonder is from those that seem to have happened by design.

Chs. 13-14 Since it is peculiar to tragedy to be an imitation of actions arousing pity and fear …and since the former concerns someone who is undeserving of suffering and the latter concerns someone like us …the story that works well must …depict a change from good to bad fortune, resulting not from badness one that arises from the actions themselves, the astonishment coming about through things that are likely, as in the Oedipus of Sophocles. A revelation, as the word indicates, is a change from ignorance to knowledge, that produces either friendship or hatred in people marked out for good or bad fortune. The most beautiful of revelations occurs when reversals of condition come about at the same time, as is the case in the Oedipus.–Ch. 11

Chs. 24-5 Wonder needs to be produced in tragedies, but in the epic there is more room for that which confounds reason, by means of which wonder comes about most of all, since in the epic one does not see the person who performs the action; the events surrounding the pursuit of Hector would seem ridiculous if they were on stage …But wonder is sweet …And Homer most of all has taught the rest of us how one ought to speak of what is untrue …One ought to choose likely impossibilities in preference to unconvincing possibilities …And if a poet has, represented impossible things, then he has missed the mark, but that is the right thing to do if he thereby hits the mark that is the end of the poetic art itself, that is, if in that way he makes that or some other part more wondrous.

8. 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.

Chinese Room Argument

The Chinese room argument is a thought experiment of John Searle. It is one of the best known and widely credited counters to claims of artificial intelligence (AI), that is, to claims that computers do or at least can (or someday might) think. According to Searle’s original presentation, the argument is based on two key claims: brains cause minds and syntax doesn’t suffice for semantics. Its target is what Searle dubs “strong AI.” According to strong AI, Searle says, “the computer is not merely a tool in the study of the mind, rather the appropriately programmed computer really is a mind in the sense that computers given the right programs can be literally said to understand and have other cognitive states”. Searle contrasts strong AI with “weak AI.” According to weak AI, computers just simulate thought. Their seeming understanding is not real understanding (just as-if); their seeming calculation is only as-if calculation, and so forth. Nevertheless, computer simulation is useful for studying the mind (as for studying the weather and other things).

Table of Contents

  1. The Chinese Room Thought Experiment
  2. Replies and Rejoinders
    1. The Systems Reply
    2. The Robot Reply
    3. The Brain Simulator Reply
    4. The Combination Reply
    5. The Other Minds Reply
    6. The Many Mansions Reply
  3. Searle’s “Derivation from Axioms”
  4. Continuing Dispute
    1. Initial Objections & Replies
    2. The Connectionist Reply
  5. Summary Analysis
  6. Postscript
  7. References and Further Reading

1. The Chinese Room Thought Experiment

Against “strong AI,” Searle (1980a) asks you to imagine yourself a monolingual English speaker “locked in a room, and given a large batch of Chinese writing” plus “a second batch of Chinese script” and “a set of rules” in English “for correlating the second batch with the first batch.” The rules “correlate one set of formal symbols with another set of formal symbols”; “formal” (or “syntactic”) meaning you “can identify the symbols entirely by their shapes.” A third batch of Chinese symbols and more instructions in English enable you “to correlate elements of this third batch with elements of the first two batches” and instruct you, thereby, “to give back certain sorts of Chinese symbols with certain sorts of shapes in response.” Those giving you the symbols “call the first batch ‘a script’ [a data structure with natural language processing applications], “they call the second batch ‘a story’, and they call the third batch ‘questions’; the symbols you give back “they call . . . ‘answers to the questions'”; “the set of rules in English . . . they call ‘the program'”: you yourself know none of this. Nevertheless, you “get so good at following the instructions” that “from the point of view of someone outside the room” your responses are “absolutely indistinguishable from those of Chinese speakers.” Just by looking at your answers, nobody can tell you “don’t speak a word of Chinese.” Producing answers “by manipulating uninterpreted formal symbols,” it seems “[a]s far as the Chinese is concerned,” you “simply behave like a computer”; specifically, like a computer running Schank and Abelson’s (1977) “Script Applier Mechanism” story understanding program (SAM), which Searle’s takes for his example.

But in imagining himself to be the person in the room, Searle thinks it’s “quite obvious . . . I do not understand a word of the Chinese stories. I have inputs and outputs that are indistinguishable from those of the native Chinese speaker, and I can have any formal program you like, but I still understand nothing.” “For the same reasons,” Searle concludes, “Schank’s computer understands nothing of any stories” since “the computer has nothing more than I have in the case where I understand nothing” (1980a, p. 418). Furthermore, since in the thought experiment “nothing . . . depends on the details of Schank’s programs,” the same “would apply to any [computer] simulation” of any “human mental phenomenon” (1980a, p. 417); that’s all it would be, simulation. Contrary to “strong AI,” then, no matter how intelligent-seeming a computer behaves and no matter what programming makes it behave that way, since the symbols it processes are meaningless (lack semantics) to it, it’s not really intelligent. It’s not actually thinking. Its internal states and processes, being purely syntactic, lack semantics (meaning); so, it doesn’t really have intentional (that is, meaningful) mental states.

2. Replies and Rejoinders

Having laid out the example and drawn the aforesaid conclusion, Searle considers several replies offered when he “had the occasion to present this example to a number of workers in artificial intelligence” (1980a, p. 419). Searle offers rejoinders to these various replies.

a. The Systems Reply

The Systems Reply suggests that the Chinese room example encourages us to focus on the wrong agent: the thought experiment encourages us to mistake the would-be subject-possessed-of-mental-states for the person in the room. The systems reply grants that “the individual who is locked in the room does not understand the story” but maintains that “he is merely part of a whole system, and the system does understand the story” (1980a, p. 419: my emphases).

Searle’s main rejoinder to this is to “let the individual internalize all . . . of the system” by memorizing the rules and script and doing the lookups and other operations in their head. “All the same,” Searle maintains, “he understands nothing of the Chinese, and . . . neither does the system, because there isn’t anything in the system that isn’t in him. If he doesn’t understand then there is no way the system could understand because the system is just part of him” (1980a, p. 420). Searle also insists the systems reply would have the absurd consequence that “mind is everywhere.” For instance, “there is a level of description at which my stomach does information processing” there being “nothing to prevent [describers] from treating the input and output of my digestive organs as information if they so desire.” Besides, Searle contends, it’s just ridiculous to say “that while [the] person doesn’t understand Chinese, somehow the conjunction of that person and bits of paper might” (1980a, p. 420).

b. The Robot Reply

The Robot Reply – along lines favored by contemporary causal theories of reference – suggests what prevents the person in the Chinese room from attaching meanings to (and thus presents them from understanding) the Chinese ciphers is the sensory-motoric disconnection of the ciphers from the realities they are supposed to represent: to promote the “symbol” manipulation to genuine understanding, according to this causal-theoretic line of thought, the manipulation needs to be grounded in the outside world via the agent’s causal relations to the things to which the ciphers, as symbols, apply. If we “put a computer inside a robot” so as to “operate the robot in such a way that the robot does something very much like perceiving, walking, moving about,” however, then the “robot would,” according to this line of thought, “unlike Schank’s computer, have genuine understanding and other mental states” (1980a, p. 420).

Against the Robot Reply, Searle maintains “the same experiment applies” with only slight modification. Put the room, with Searle in it, inside the robot; imagine “some of the Chinese symbols come from a television camera attached to the robot” and that “other Chinese symbols that [Searle is] giving out serve to make the motors inside the robot move the robot’s legs or arms.” Still, Searle asserts, “I don’t understand anything except the rules for symbol manipulation.” He explains, “by instantiating the program I have no [mental] states of the relevant [meaningful, or intentional] type. All I do is follow formal instructions about manipulating formal symbols.” Searle also charges that the robot reply “tacitly concedes that cognition is not solely a matter of formal symbol manipulation” after all, as “strong AI” supposes, since it “adds a set of causal relation[s] to the outside world” (1980a, p. 420).

c. The Brain Simulator Reply

The Brain Simulator Reply asks us to imagine that the program implemented by the computer (or the person in the room) “doesn’t represent information that we have about the world, such as the information in Schank’s scripts, but simulates the actual sequence of neuron firings at the synapses of a Chinese speaker when he understands stories in Chinese and gives answers to them.” Surely then “we would have to say that the machine understood the stories”; or else we would “also have to deny that native Chinese speakers understood the stories” since “[a]t the level of the synapses” there would be no difference between “the program of the computer and the program of the Chinese brain” (1980a, p. 420).

Against this, Searle insists, “even getting this close to the operation of the brain is still not sufficient to produce understanding” as may be seen from the following variation on the Chinese room scenario. Instead of shuffling symbols, we “have the man operate an elaborate set of water pipes with valves connecting them.” Given some Chinese symbols as input, the program now tells the man “which valves he has to turn off and on. Each water connection corresponds to synapse in the Chinese brain, and the whole system is rigged so that after . . . turning on all the right faucets, the Chinese answer pops out at the output end of the series of pipes.” Yet, Searle thinks, obviously, “the man certainly doesn’t understand Chinese, and neither do the water pipes.” “The problem with the brain simulator,” as Searle diagnoses it, is that it simulates “only the formal structure of the sequence of neuron firings”: the insufficiency of this formal structure for producing meaning and mental states “is shown by the water pipe example” (1980a, p. 421).

d. The Combination Reply

The Combination Reply supposes all of the above: a computer lodged in a robot running a brain simulation program, considered as a unified system. Surely, now, “we would have to ascribe intentionality to the system” (1980a, p. 421).

Searle responds, in effect, that since none of these replies, taken alone, has any tendency to overthrow his thought experimental result, neither do all of them taken together: zero times three is naught. Though it would be “rational and indeed irresistible,” he concedes, “to accept the hypothesis that the robot had intentionality, as long as we knew nothing more about it” the acceptance would be simply based on the assumption that “if the robot looks and behaves sufficiently like us then we would suppose, until proven otherwise, that it must have mental states like ours that cause and are expressed by its behavior.” However, “[i]f we knew independently how to account for its behavior without such assumptions,” as with computers, “we would not attribute intentionality to it, especially if we knew it had a formal program” (1980a, p. 421).

e. The Other Minds Reply

The Other Minds Reply reminds us that how we “know other people understand Chinese or anything else” is “by their behavior.” Consequently, “if the computer can pass the behavioral tests as well” as a person, then “if you are going to attribute cognition to other people you must in principle also attribute it to computers” (1980a, p. 421).

Searle responds that this misses the point: it’s “not. . . how I know that other people have cognitive states, but rather what it is that I am attributing when I attribute cognitive states to them. The thrust of the argument is that it couldn’t be just computational processes and their output because the computational processes and their output can exist without the cognitive state” (1980a, p. 420-421: my emphases).

f. The Many Mansions Reply

The Many Mansions Reply suggests that even if Searle is right in his suggestion that programming cannot suffice to cause computers to have intentionality and cognitive states, other means besides programming might be devised such that computers may be imbued with whatever does suffice for intentionality by these other means.

This too, Searle says, misses the point: it “trivializes the project of Strong AI by redefining it as whatever artificially produces and explains cognition” abandoning “the original claim made on behalf of artificial intelligence” that “mental processes are computational processes over formally defined elements.” If AI is not identified with that “precise, well defined thesis,” Searle says, “my objections no longer apply because there is no longer a testable hypothesis for them to apply to” (1980a, p. 422).

3. Searle’s “Derivation from Axioms”

Besides the Chinese room thought experiment, Searle’s more recent presentations of the Chinese room argument feature – with minor variations of wording and in the ordering of the premises – a formal “derivation from axioms” (1989, p. 701). The derivation, according to Searle’s 1990 formulation proceeds from the following three axioms (1990, p. 27):

(A1) Programs are formal (syntactic).
(A2) Minds have mental contents (semantics).
(A3) Syntax by itself is neither constitutive of nor sufficient for semantics.

to the conclusion:

(C1) Programs are neither constitutive of nor sufficient for minds.

Searle then adds a fourth axiom (p. 29):

(A4) Brains cause minds.

from which we are supposed to “immediately derive, trivially” the conclusion:

(C2) Any other system capable of causing minds would have to have causal powers (at least) equivalent to those of brains.

whence we are supposed to derive the further conclusions:

(C3) Any artifact that produced mental phenomena, any artificial brain, would have to be able to duplicate the specific causal powers of brains, and it could not do that just by running a formal program.
(C4) The way that human brains actually produce mental phenomena cannot be solely by virtue of running a computer program.

On the usual understanding, the Chinese room experiment subserves this derivation by “shoring up axiom 3” (Churchland & Churchland 1990, p. 34).

4. Continuing Dispute

To call the Chinese room controversial would be an understatement. Beginning with objections published along with Searle’s original (1980a) presentation, opinions have drastically divided, not only about whether the Chinese room argument is cogent; but, among those who think it is, as to why it is; and, among those who think it is not, as to why not. This discussion includes several noteworthy threads.

a. Initial Objections & Replies

Initial Objections & Replies to the Chinese room argument besides filing new briefs on behalf of many of the forenamed replies(for example, Fodor 1980 on behalf of “the Robot Reply”) take, notably, two tacks. One tack, taken by Daniel Dennett (1980), among others, decries the dualistic tendencies discernible, for instance, in Searle’s methodological maxim “always insist on the first-person point of view” (Searle 1980b, p. 451). Another tack notices that the symbols Searle-in-the-room processes are not meaningless ciphers, they’re Chinese inscriptions. So they are meaningful; and so is Searle’s processing of them in the room; whether he knows it or not.

In reply to this second sort of objection, Searle insists that what’s at issue here is intrinsic intentionality in contrast to the merely derived intentionality of inscriptions and other linguistic signs. Whatever meaning Searle-in-the-room’s computation might derive from the meaning of the Chinese symbols which he processes will not be intrinsic to the process or the processor but “observer relative,” existing only in the minds of beholders such as the native Chinese speakers outside the room. “Observer-relative ascriptions of intentionality are always dependent on the intrinsic intentionality of the observers” (Searle 1980b, pp. 451-452). The nub of the experiment, according to Searle’s attempted clarification, then, is this: “instantiating a program could not be constitutive of intentionality, because it would be possible for an agent [e.g., Searle-in-the-room] to instantiate the program and still not have the right kind of intentionality” (Searle 1980b, pp. 450-451: my emphasis); the intrinsic kind. Though Searle unapologetically identifies intrinsic intentionality with conscious intentionality, still he resists Dennett’s and others’ imputations of dualism. Given that what it is we’re attributing in attributing mental states is conscious intentionality, Searle maintains, insistence on the “first-person point of view” is warranted; because “the ontology of the mind is a first-person ontology”: “the mind consists of qualia [subjective conscious experiences] . . . right down to the ground” (1992, p. 20). This thesis of Ontological Subjectivity, as Searle calls it in more recent work, is not, he insists, some dualistic invocation of discredited “Cartesian apparatus” (Searle 1992, p. xii), as his critics charge; it simply reaffirms commonsensical intuitions that behavioristic views and their functionalistic progeny have, for too long, highhandedly, dismissed. This commonsense identification of thought with consciousness, Searle maintains, is readily reconcilable with thoroughgoing physicalism when we conceive of consciousness as both caused by and realized in underlying brain processes. Identification of thought with consciousness along these lines, Searle insists, is not dualism; it might more aptly be styled monist interactionism (1980b, p. 455-456) or (as he now prefers) “biological naturalism” (1992, p. 1).

b. The Connectionist Reply

The Connectionist Reply (as it might be called) is set forth—along with a recapitulation of the Chinese room argument and a rejoinder by Searle—by Paul and Patricia Churchland in a 1990 Scientific American piece. The Churchlands criticize the crucial third “axiom” of Searle’s “derivation” by attacking his would-be supporting thought experimental result. This putative result, they contend, gets much if not all of its plausibility from the lack of neurophysiological verisimilitude in the thought-experimental setup. Instead of imagining Searle working alone with his pad of paper and lookup table, like the Central Processing Unit of a serial architecture machine, the Churchlands invite us to imagine a more brainlike connectionist architecture. Imagine Searle-in-the-room, then, to be just one of very many agents, all working in parallel, each doing their own small bit of processing (like the many neurons of the brain). Since Searle-in-the-room, in this revised scenario, does only a very small portion of the total computational job of generating sensible Chinese replies in response to Chinese input, naturally he himself does not comprehend the whole process; so we should hardly expect him to grasp or to be conscious of the meanings of the communications he is involved, in such a minor way, in processing.

Searle counters that this Connectionist Reply—incorporating, as it does, elements of both systems and brain-simulator replies—can, like these predecessors, be decisively defeated by appropriately tweaking the thought-experimental scenario. Imagine, if you will, a Chinese gymnasium, with many monolingual English speakers working in parallel, producing output indistinguishable from that of native Chinese speakers: each follows their own (more limited) set of instructions in English. Still, Searle insists, obviously, none of these individuals understands; and neither does the whole company of them collectively. It’s intuitively utterly obvious, Searle maintains, that no one and nothing in the revised “Chinese gym” experiment understands a word of Chinese either individually or collectively. Both individually and collectively, nothing is being done in the Chinese gym except meaningless syntactic manipulations from which intentionality and consequently meaningful thought could not conceivably arise.

5. Summary Analysis

Searle’s Chinese Room experiment parodies the Turing test, a test for artificial intelligence proposed by Alan Turing (1950) and echoing René Descartes’ suggested means for distinguishing thinking souls from unthinking automata. Since “it is not conceivable,” Descartes says, that a machine “should produce different arrangements of words so as to give an appropriately meaningful answer to whatever is said in its presence, as even the dullest of men can do” (1637, Part V), whatever has such ability evidently thinks. Turing embodies this conversation criterion in a would-be experimental test of machine intelligence; in effect, a “blind” interview. Not knowing which is which, a human interviewer addresses questions, on the one hand, to a computer, and, on the other, to a human being. If, after a decent interval, the questioner is unable to tell which interviewee is the computer on the basis of their answers, then, Turing concludes, we would be well warranted in concluding that the computer, like the person, actually thinks. Restricting himself to the epistemological claim that under the envisaged circumstances attribution of thought to the computer is warranted, Turing himself hazards no metaphysical guesses as to what thought is – proposing no definition or no conjecture as to the essential nature thereof. Nevertheless, his would-be experimental apparatus can be used to characterize the main competing metaphysical hypotheses here in terms their answers to the question of what else or what instead, if anything, is required to guarantee that intelligent-seeming behavior really is intelligent or evinces thought. Roughly speaking, we have four sorts of hypotheses here on offer. Behavioristic hypotheses deny that anything besides acting intelligent is required. Dualistic hypotheses hold that, besides (or instead of) intelligent-seeming behavior, thought requires having the right subjective conscious experiences. Identity theoretic hypotheses hold it to be essential that the intelligent-seeming performances proceed from the right underlying neurophysiological states. Functionalistic hypotheses hold that the intelligent-seeming behavior must be produced by the right procedures or computations.

The Chinese experiment, then, can be seen to take aim at Behaviorism and Functionalism as a would-be counterexample to both. Searle-in-the-room behaves as if he understands Chinese; yet doesn’t understand: so, contrary to Behaviorism, acting (as-if) intelligent does not suffice for being so; something else is required. But, contrary to Functionalism this something else is not – or at least, not just – a matter of by what underlying procedures (or programming) the intelligent-seeming behavior is brought about: Searle-in-the-room, according to the thought-experiment, may be implementing whatever program you please, yet still be lacking the mental state (e.g., understanding Chinese) that his behavior would seem to evidence. Thus, Searle claims, Behaviorism and Functionalism are utterly refuted by this experiment; leaving dualistic and identity theoretic hypotheses in control of the field. Searle’s own hypothesis of Biological Naturalism may be characterized sympathetically as an attempt to wed – or unsympathetically as an attempt to waffle between – the remaining dualistic and identity-theoretic alternatives.

6. Postscript

Debate over the Chinese room thought experiment – while generating considerable heat – has proven inconclusive. To the Chinese room’s champions – as to Searle himself – the experiment and allied argument have often seemed so obviously cogent and decisively victorious that doubts professed by naysayers have seemed discreditable and disingenuous attempts to salvage “strong AI” at all costs. To the argument’s detractors, on the other hand, the Chinese room has seemed more like “religious diatribe against AI, masquerading as a serious scientific argument” (Hofstadter 1980, p. 433) than a serious objection. Though I am with the masquerade party, a full dress criticism is, perhaps, out of place here (see Hauser 1993 and Hauser 1997). I offer, instead, the following (hopefully, not too tendentious) observations about the Chinese room and its neighborhood.

(1) Though Searle himself has consistently (since 1984) fronted the formal “derivation from axioms,” general discussion continues to focus mainly on Searle’s striking thought experiment. This is unfortunate, I think. Since intuitions about the experiment seem irremediably at loggerheads, perhaps closer attention to the derivation could shed some light on vagaries of the argument (see Hauser 1997).

(2) The Chinese room experiment, as Searle himself notices, is akin to “arbitrary realization” scenarios of the sort suggested first, perhaps, by Joseph Weizenbaum (1976, Ch. 2), who “shows in detail how to construct a computer using a roll of toilet paper and a pile of small stones” (Searle 1980a, p. 423). Such scenarios are also marshaled against Functionalism (and Behaviorism en passant) by others, perhaps most famously, by Ned Block (1978). Arbitrary realizations imagine would-be AI-programs to be implemented in outlandish ways: collective implementations (e.g., by the population of China coordinating their efforts via two-way radio communications), imagine programs implemented by groups; Rube Goldberg implementations (e.g., Searle’s water pipes or Weizenbaum’s toilet paper roll and stones), imagine programs implemented bizarrely, in “the wrong stuff.” Such scenarios aim to provoke intuitions that no such thing – no such collective or no such ridiculous contraption – could possibly be possessed of mental states. This, together with the premise – generally conceded by Functionalists – that programs might well be so implemented, yields the conclusion that computation, the “right programming” does not suffice for thought; the programming must be implemented in “the right stuff.” Searle concludes similarly that what the Chinese room experiment shows is that “[w]hat matters about brain operations is not the formal shadow cast by the sequences of synapses but rather the actual properties of the synapses” (1980, p. 422), their “specific biochemistry” (1980, p. 424).

(3) Among those sympathetic to the Chinese room, it is mainly its negative claims – not Searle’s positive doctrine – that garner assent. The positive doctrine – “biological naturalism,” is either confused (waffling between identity theory and dualism) or else it just is identity theory or dualism.

(4) Since Searle argues against identity theory, on independent grounds, elsewhere (e.g., 1992, Ch. 5); and since he acknowledges the possibility that some “specific biochemistry” different than ours might suffice to produce conscious experiences and consequently intentionality (in Martians, say), and speaks unabashedly of “ontological subjectivity” (see, e.g., Searle 1992, p. 100); it seems most natural to construe Searle’s positive doctrine as basically dualistic, specifically as a species of “property dualism” such as Thomas Nagel (1974, 1986) and Frank Jackson (1982) espouse. Nevertheless, Searle frequently and vigorously protests that he is not any sort of dualist. Perhaps he protests too much.

(5) If Searle’s positive views are basically dualistic – as many believe – then the usual objections to dualism apply, other-minds troubles among them; so, the “other-minds” reply can hardly be said to “miss the point.” Indeed, since the question of whether computers (can) think just is an other-minds question, if other minds questions “miss the point” it’s hard to see how the Chinese room speaks to the issue of whether computers really (can) think at all.

(6) Confusion on the preceding point is fueled by Searle’s seemingly equivocal use of the phrase “strong AI” to mean, on the one hand, computers really do think, and on the other hand, thought is essentially just computation. Even if thought is not essentially just computation, computers (even present-day ones), nevertheless, might really think. That their behavior seems to evince thought is why there is a problem about AI in the first place; and if Searle’s argument merely discountenances theoretic or metaphysical identification of thought with computation, the behavioral evidence – and consequently Turing’s point – remains unscathed. Since computers seem, on the face of things, to think, the conclusion that the essential nonidentity of thought with computation would seem to warrant is that whatever else thought essentially is, computers have this too; not, as Searle maintains, that computers’ seeming thought-like performances are bogus. Alternately put, equivocation on “Strong AI” invalidates the would-be dilemma that Searle’s intitial contrast of “Strong AI” to “Weak AI” seems to pose:

Strong AI (they really do think) or Weak AI (it’s just simulation).
Not Strong AI (by the Chinese room argument).
Therefore, Weak AI.

To show that thought is not just computation (what the Chinese room — if it shows anything — shows) is not to show that computers’ intelligent seeming performances are not real thought (as the “strong” “weak” dichotomy suggests) .

7. References and Further Reading

  • Block, Ned. 1978. “Troubles with Functionalism.” In C. W. Savage, ed., Perception and Cognition: Issues in the Foundations of Psychology, Minnesota Studies in the Philosophy of Science, Vol. 9, 261-325. Minneapolis: University of Minnesota Press.
  • Churchland, Paul, and Patricia Smith Churchland. 1990. “Could a machine think?” Scientific American 262(1, January): 32-39.
  • Dennett, Daniel. 1980. “The milk of human intentionality.” Behavioral and Brain Sciences 3: 429-430.
  • Descartes, René. 1637. Discourse on method. Trans. John Cottingham, Robert Stoothoff and Dugald Murdoch. In The philosophical writings of Descartes, Vol. I, 109-151. New York: Cambridge University Press.
  • Fodor, Jerry. 1980. “Searle on what only brains can do.” Behavioral and Brain Sciences 3: 431-432.
  • Hauser, Larry. 1993. Searle’s Chinese Box: The Chinese Room Argument and Artificial Intelligence. East Lansing, Michigan: Michigan State University (Doctoral Dissertation). URL = http://members.aol.com/wutsamada/disserta.html.
  • Hauser, Larry. 1997. “Searle’s Chinese Box: Debunking the Chinese Room Argument.” Minds and Machines, Volume 7, Number 2, pp. 199-226. URL = http://members.aol.com/lshauser/chiboxab.html.
  • Jackson, Frank. 1982. “Epiphenomenal qualia.” Philosophical Quarterly 32:127-136.
  • Nagel, Thomas. 1974. What is it like to be a bat? Philosophical Review 83:435-450.
  • Nagel, Thomas. 1986. The View from Nowhere. Oxford: Oxford University Press.
  • Schank, Roger C., and Robert P. Abelson. 1977. Scripts, Plans, Goals, and Understanding. Hillsdale, NJ: Lawrence Erlbaum Press.
  • Searle, John. 1980a. “Minds, Brains, and Programs.” Behavioral and Brain Sciences 3, 417-424.
  • Searle, John. 1980b. “Intrinsic Intentionality.” Behavioral and Brain Sciences 3: 450-456.
  • Searle, John. 1984. Minds, Brains, and Science. Cambridge: Harvard University Press.
  • Searle, John. 1989. “Reply to Jacquette.” Philosophy and Phenomenological Research XLIX: 701-708.
  • Searle, John. 1990. “Is the Brain’s Mind a Computer Program?” Scientific American 262: 26-31.
  • Searle, John. 1992. The Rediscovery of the Mind, Cambridge, MA: MIT Press.
  • Turing, Alan. 1950. “Computing Machinery and Intelligence.” Mind LIX: 433-460.
  • Weizenbaum, Joseph. 1976. Computer Power and Human Reason. San Francisco: W. H. Freeman.

Author Information

Larry Hauser
Email: hauser@alma.edu
Alma College
U. S. A.

Art and Epistemology

SartreThe relationship between art and epistemology has been forever tenuous and fraught with much debate. It seems fairly obvious that we gain something meaningful from experiences and interactions with works of art. It does not seem so obvious whether or not the experiences we have with art can produce propositional knowledge that is constituted by true justified belief. In what follows I will give some historical background on the debate and flesh out some of the important issues surrounding the question “(What) can we learn from art?”

Table of Contents

  1. Introduction
  2. Plato and Aristotle
  3. Rationalists, Empiricists, and Romantics
  4. Knowledge Claims about the Arts
  5. Art and Moral Knowledge
  6. Additional Objections
  7. Conclusion
  8. References and Further Reading

1. Introduction

While engaging objects aesthetically is both a perceptual and emotionally laden activity, it is also fundamentally cognitive. As such, aesthetic engagement is wedded to a number of epistemological concerns. For example, we commonly claim to know things about art, and we respect what critics say about various genres of art. We say that we thought the play was good or bad, that the emotions it produced were warranted, justified, manipulative, or appropriate. People commonly claim that they learn from art, that art changes their perception of the world, and that art has an impact on the way that they see and make sense of the world. It is also widely believed that works of art, especially good works of art, can engender beliefs about the world and can, in turn, provide knowledge about the world. But what is it exactly that we can know about art? What is it precisely that art can teach us? Is there any sort of propositional content that art can provide which resembles the content that we claim to need for other kinds of knowledge claims? These are the sorts of questions that frame the debate about whether, and in what sense, art is cognitive.

2. Plato and Aristotle

The question whether or not we can learn from art goes as far back as Plato, as he warned about the dangers of indulging in both mimetic and narrative representations of the world and of human actions. The ensuing debate has endured in the contemporary philosophical literature and has spurred the further question of how we can learn from art. The arguments both for and against the notion that we can learn from art have developed as well. The debate is not any less complicated than it was historically, nor is it any closer to being resolved.

There are two extreme positions that one could take in answer to the question, “Can we learn from art?” Either we can, and do, learn from art, or we cannot in any meaningful sense attain knowledge that is non-propositional. Those who argue that we can learn from art generally argue that our engagement with art arouses certain emotions or activities that are able to facilitate or produce knowledge. They would argue that there is some aspect of the artwork which can help to produce greater understanding of the world around us. Art is thus seen as a source of insight and awareness that cannot be put into propositional language; but it can help us to see the world in a new or different way.

Those who deny that we can learn from art often argue that there can be no knowledge that is not propositionally-based knowledge. Jerome Stolnitz, for example, claims in a 1992 article that art does not and cannot contribute to knowledge primarily because it does not generate any sort of truths. Those who argue this line want to defend the notion that since art cannot provide facts or generate arguments, then we cannot learn from it. Further, those who believe we cannot learn from art argue that art cannot be understood as a source of knowledge because it is not productive of knowledge, taken in the traditional sense of justified true belief. Art does not have propositional content that can be learned in a traditional way, even though it can been seen to have effects that promote knowledge and that can either encourage or undermine the development of understanding. Art can thus be rejected as a source of knowledge because it does not provide true beliefs, and because it does not and cannot justify the beliefs that it does convey. Both extremes agree that if art can be seen as a source of knowledge, the only way that it could possibly fulfill such a function would be if that knowledge reflected something essential to art’s nature and value.

Plato points out in the Republic (595-601) that it is possible to make a representation of something without having knowledge of the thing represented. Painters represent cobblers when the painters have no knowledge of shoemaking themselves, and poets write about beauty and courage without necessarily having any clear knowledge of these virtues. Only philosophers, the lovers of wisdom, and especially those who strive to intuit the Forms and employ abstract reasoning, can really have knowledge of these virtues. Artists mislead their viewers into thinking that knowledge lies in the represented (mimetic) object. Plato’s concern in the Republic extends to the literary arts in particular, which are created with the express purpose to move us emotionally in such a way that one’s character could be corrupted (605-608). The more one indulges in emotions aroused by representation, according to Plato, the more likely one is to suffer the effects of an unbalanced soul, and ultimately the development of a bad character.

Aristotle agreed with Plato that art could indeed influence the development of one’s moral character. While Plato thought that we can learn from art and that it is detrimental to one’s character, however, Aristotle argued that indulging in the same mimetic emotions that Plato warned us of can actually benefit one’s character by producing an emotional catharsis (Poetics 1449b24-29). By purging the tragic emotions in particular, Aristotle held, one has a better chance of being more rational in everyday life. Thus, while both philosophers believed that we learn from art, one (Plato) argued that the knowledge gained was detrimental while the other (Aristotle) argued that it was beneficial.

3. Rationalists, Empiricists, and Romantics

Continuing with the line of argument Aristotle began, all the way through the Renaissance and beyond, philosophers have defended the notion that we can learn from art, and that poetry and fiction engage the emotions in a helpful, rather than detrimental, way. The Romantics dealt with this question in a manner that the earlier rationalists and empiricists did not. The rationalists rejected the idea that the imagination could be considered a source of knowledge, with Descartes going so far as to dismiss what he called “the blundering constructions of the imagination.” Returning to the ideals of Plato, the rationalists strictly employed a knowledge requirement involving justified true belief. Empiricist epistemology too is particularly unhelpful when it comes to explaining how we might gain justified knowledge from fictional or representational situations. For it seems impossible to learn actual things from fictional situations.

The Romantics provided the real beginnings of an argument against the passive accounts of knowledge for which the empiricists argued. Romantic epistemology emphasizes the role of the imagination in addition to (or over) reason. This allowed for the notion that there is not merely one right way to know, and that there is not only one right way to view, experience, understand, and construct the world.

The Romantics adopted three main tenets concerning the relationship between literature (and art more generally) and truth. The first denied that there is any one point of view from which Truth can be determined. The second began to question the Augustinian conviction that art and literature, like science, should concern only general features of nature. The third tenet, which the Romantics developed more fully, concerned the notion of transcendence, especially in association with growth. Natural science is able to describe the physical world, but only from a single point of view (Harrison 1998). Art and literature can describe the world in a myriad of ways, transcending experience of the physical world into the emotional and even the supernatural. Although art does not record truths about the world in the same way that science does, it can give insight into the different ways that we understand the world and with different degrees of accuracy. It is those degrees of accuracy that continue to be called into question.

4. Knowledge Claims about the Arts

David Novitz (1998) points out that there are three basic kinds of knowledge claims we can make about the arts, all of which are distinguished by their objects. The first concerns what we claim to know or believe about the art object itself and whatever imaginary or fictional worlds might be connected to that object. For example, I can claim to know things about the way the light reflects in Monet’s Water Lilies. I can also claim to know things about Anna Karenina’s relationships with her husband and with her lover, Vronsky. Beyond this, we may feel justified in our pity for Anna, because of the way Tolstoy’s novel presents her story. Can my knowledge of Anna be meaningful, however, or be considered knowledge at all in the traditional sense (justified true belief) if Anna Karenina is a non-referring name? Further, how can one’s interpretation of her situation be any more legitimate than anyone else’s? Can single interpretations hold value over time and across cultures? Without the propositional content used to legitimize the standard analysis of knowledge, it seems that the knowledge claims we have about the content of an artwork will never have the same kind of validity. Whether or not that same kind of validity is required also needs to be called into question.

The second kind of knowledge claim we can make about art concerns what we know or believe to be an appropriate or warranted emotional response to the artwork. We often believe that works of art are only properly understood if we have a certain kind of emotional response to them. One problem here, of course, concerns how it is that we know what kind of response is appropriate to a particular work. On occasion we talk to friends about a response they had to a particular work of art that was manifestly different from the one we had. How is it possible to judge which response is more appropriate or justified? Even suggesting that one should respond as if a novel, for example, were to be taken as an account of true events, with responses following as if the events depicted therein were actually happening or had happened, does not solve the problem. For one thing, not all emotional responses to real events are taken as equally justified. For another, most novels are not meant to be taken as true (despite the “report model” of emotive response [see Matravers 1997]). The fact that we do respond emotively to art, and to fiction in particular, would seem to indicate that there is something in the artwork that is worth responding to, even if it is not the same thing possessed by the objects we respond to outside the art world.

The third kind of knowledge claim we can have about art concerns the sort of information art can provide about the world. That is, how is it that we can gain real knowledge from fictional or non-real events or activities? It is widely accepted that art does, in fact, convey important insight into the way we order and understand the world. It is also widely acknowledged that art gives a certain degree of meaning to our lives. Art, and literature in particular, can elicit new beliefs and even new knowledge about the world. But the concern is this: fiction is not produced in a way that is reflective of the world as it actually is. It might be quite dangerous, in fact, for one to obtain knowledge about human affairs only from fiction. For example, it could be downright unhealthy for me to get my sense of what it is like to be in love from romance novels alone.

We can easily be experientially misled by art. The so-called empathic beliefs, those we gain from experiencing art, should be based on and enhanced by our broader experience of the world and should not arise independently of our other beliefs. But here the problem of justification returns. That is, if the empathic beliefs we gain from our experience of art actually coincide with our experience of the real world, then they can pass as empathic knowledge (that is, beliefs become true and justified when they are connected to other justified beliefs). The problem is that often the emotions and beliefs that we adopt empathically turn out to be temporary, since they are not grounded in concrete experience. Can the experience we have with a work of art be confirming in and of itself, or must there be another, external authority to make the experience, or at least the knowledge gained from the experience, legitimate? It seems that much of what we learn about the world does come from art, and thus the justificatory claims to knowledge must be reconsidered.

The propositional theory of knowledge holds that one must have justified true belief in the content of a proposition in order to have knowledge. This appears reasonable under normal circumstances, but seems not to work at all in the case of art. It seems odd, in fact, to hold that in order to show that one has learned from a work of fiction, one must show that the work has propositional content of a general or philosophical nature, or that it provides experience that cannot be gained in any other way. If we can learn from art, we must be able to do so in a manner that diverges from the traditional notion of justified true belief, but that still holds some sort of legitimate ground.

What kind of justification is needed to ground these potential knowledge claims that art provides? First of all, we must be at least somewhat aware of what the new knowledge consists of. Moreover, one’s engagement with the artwork should provide at least some degree of justification (e.g., I feel pity for Anna Karenina because she is in an unfortunate set of circumstances that she feels she has no control over. I am justified in my emotional response to her if I can see that she is in a truly pitiable situation). It is important to distinguish learning from art from merely being affected or influenced by it, or even from being challenged by it. Accounts of knowledge provided by art should be able to identify clearly what it is about the artwork itself, qua artwork, which prompts knowledge. A cognitivist account in particular will require first that the content of the work be specifiable (what is it we learn?); second, that the demands for justification be respected; and third, that these accounts appeal directly to aesthetic experience (Freeland 1997).

5. Art and Moral Knowledge

It would seem that there is indeed something about the content of an artwork that can be said to be knowledge-producing. But how can that be so? The artist himself or herself is not the ultimate authority here, since his/her knowledge or expertise is not necessarily directly transferred into the artwork. Furthermore, even if it were capable of being transferred clearly, it is not always the case that observers will interpret the meaning or significance of a work of art in any standard way. What the artist knows and how others experience his/her art are not directly related enough to justify epistemic legitimacy. It also seems unjustified to assume that there are intrinsic features of an artwork that are always clearly identifiable. So the knowledge we gain from art has more to do with the relationship between the art object and the consumer than anything else.

Another way we might argue for the possibility of gaining knowledge from art is by rejecting the justified true belief account of knowledge. There might be more than one way to know, in other words, and more than one way to learn. One of the most common alternative suggestions concerning the knowledge that art elicits is that it is moral knowledge that we gain. These arguments are based primarily of the presumption that art, and literature especially, can provide experiential and emotional stimulation, and that moral knowledge is not simply propositional in nature. It has been objected, however, that such stimulation is not equal to the propositional content that more traditional forms of knowledge can provide.

Eileen John (2001) identifies two arguments for the claim that moral knowledge can be gained from art. The first argument stresses the capacity of art to give us examples of, and exercise in, certain morally pertinent activities. Thus, we come across circumstances and situations in art and literature that we might not otherwise come across in our daily lives. If we simulate our own reactions to the situations the work presents us with, we have an idea of how we might respond or how we would feel (see especially Kendall Walton’s theory of Make-Believe and Simulation Theory). On this view, works of art can provide us with simulated or “off-line” emotional responses that could not be achieved otherwise.

The second argument is based on the assumption that we can acquire specific substantive moral knowledge from art. That is, works of art are taken to possess the ability to give us imaginative and epistemic access to certain kinds of experiences relevant to moral knowledge and judgment. Not only can we respond emotionally to particular moral situations presented through artworks; we cannot help but find ourselves morally outraged or saddened by the plights of certain fictional characters.

6. Additional Objections

Noël Carroll (2002) lays out three additional objections to the suggestion that art can provide knowledge. The first objection he calls the “banality argument”: the idea that “the significant truths that many claim art and literature may afford—that is, general truths about life, usually of an implied nature (as opposed to what is ‘true in the fiction’)—are in the main, trivial.” Compared to the knowledge we are able to obtain from propositional statements and arguments, the kind of things works of literature are can point out are so obvious as to be useless. Carroll continues by stating that “art and knowledge are not sources of moral knowledge, but, at best, occasions for activating antecedently possessed knowledge.” The best it seems that art and literature can do is to point out things we already know and believe.

The second objection Carroll outlines against the notion that we can learn from art is what he calls the “no-evidence argument.” This focuses on the fact that not only is anything we gain from art and literature banal, but for any knowledge to be legitimate, it needs to be warranted and must be supported by evidence. Few artworks, however, supply any evidence at all in defense of a particular view. One of the reasons interpretations seem to legitimately vary so widely is precisely due to this lack of solid evidence. Moreover, fiction is not a reliable source of evidence when it comes to literature and other arts.

Carroll calls the third objection the “no-argument argument.” As he explains, “it maintains that even if artworks contained or implied general truths, neither the artworks themselves nor the critical discourse that surrounds them engages in argument, analysis, and debate in defense of the alleged truths.” If artworks do indeed suggest any sort of knowledge, Carroll points out, it can only be suggested or implied but never argued for or defended. Furthermore, the critical discourse that surrounds artworks is not generally focused on arguing for or against any of the claims made in the artwork itself.

7. Conclusion

The fact that we do respond to works of art, and that we commonly believe we can and do learn from such works, is not enough to justify that learning actually occurs. However, it is enough to make us examine our presuppositions about what constitutes knowledge, and perhaps may lead us to reconceive knowledge in such a way that we may eventually come to understand how it can be gained non-propositionally.

8. References and Further Reading

  • Bender, John. “Art as a Source of Knowledge: Linking Analytic Aesthetics and Epistemology.” In Contemporary Philosophy of Art, ed. John Bender and Gene Blocker. Englewood Cliffs, NJ: Prentice Hall, 1993.
  • Carroll, Noël. “Art, Narrative, and Moral Understanding.” In Aesthetics and Ethics: Essays at the Intersection, ed. Jerrold Levinson. Cambridge: Cambridge University Press, 1998.
  • Carroll, Noël. “Moderate Moralism.” British Journal of Aesthetics 36 (1996): 223-38.
  • Carroll, Noël. “The Wheel of Virtue: Art, Literature, and Moral Knowledge.” Journal of Aesthetics and Art Criticism 60.1 (Winter 2002): 3-26.
  • Diffey, T.J. “What Can We Learn From Art?” Australasian Journal of Philosophy 73 (1995): 202-11.
  • Freeland, Cynthia. “Art and Moral Knowledge.” Philosophical Topics 25.1 (Spring 1997): 11-36.
  • Graham, Gordon. “Value and the Visual Arts.” Journal of Aesthetic Education 28 (1994): 1-14.
  • Graham, Gordon. “Learning From Art.” British Journal of Aesthetics 35 (1995): 26-37.
  • Harrison, Bernard. “Literature and Cognition.” In Encyclopedia of Aesthetics, ed. Michael Kelly. Oxford: Oxford University Press, 1998.
  • John, Eileen. “Reading Fiction and Conceptual Knowledge: Philosophical Thought in Literary Context.” Journal of Aesthetics and Art Criticism 56 (1998): 331-48.
  • John, Eileen. “Art and Knowledge.” The Routledge Companion to Aesthetics, eds. Berys Gaut and Dominic McIver Lopes. London: Routledge, 2001.
  • Feagin, Susan. “Paintings and Their Places.” Australasian Journal of Philosophy 73.2 (1995): 260-68.
  • Kieran, Matthew. “Art, Imagination, and the Cultivation of Morals.” Journal of Aesthetics and Art Criticism 54 (1996): 337-51.
  • Lamarque, Peter and Stein Olsen. Truth, Fiction, and Literature. Oxford: Oxford University Press, 1994.
  • Matravers, Derek. “The Report Model versus the Perceptual Model.” In Emotion and the Arts, eds. Mette Hjort and Sue Laver. Oxford: Oxford University Press, 1997, 78-92.
  • Novitz, David. “Aesthetics and Epistemology.” In Encyclopedia of Aesthetics, ed. Michael Kelly. Oxford: Oxford University Press, 1998.
  • Nussbaum, Martha. Love’s Knowledge: Essays on Philosophy and Literature. Oxford: Oxford University Press, 1990.
  • Nussbaum, Martha. Poetic Justice: The Literary Imagination and Public Life. Boston: Beacon Press, 1995.
  • Reid, Louis Arnaud. “Art and Knowledge.” British Journal of Aesthetics 25 (1985): 115-24.
  • Robinson, Jennifer. “L’Education Sentimentale.” Australasian Journal of Philosophy 73 (1995): 212-26.
  • Stolnitz, Jerome. “On the Cognitive Triviality of Art.” British Journal of Aesthetics 32 (July 1992): 191-200.
  • Walton, Kendall. Mimesis as Make Believe: On the Foundations of the Representational Arts. Cambridge: Harvard University Press, 1990.
  • Wilson, Catherine. “Literature and Knowledge.” Philosophy 58 (1983): 489-96.
  • Young, James O. Art and Knowledge. London: Routledge, 2001.

Author Information

Sarah E. Worth
Email: Sarah.Worth@furman.edu
Furman University
U. S. A.

Aesthetics

aesthetiAesthetics may be defined narrowly as the theory of beauty, or more broadly as that together with the philosophy of art. The traditional interest in beauty itself broadened, in the eighteenth century, to include the sublime, and since 1950 or so the number of pure aesthetic concepts discussed in the literature has expanded even more. Traditionally, the philosophy of art concentrated on its definition, but recently this has not been the focus, with careful analyses of aspects of art largely replacing it. Philosophical aesthetics is here considered to center on these latter-day developments. Thus, after a survey of ideas about beauty and related concepts, questions about the value of aesthetic experience and the variety of aesthetic attitudes will be addressed, before turning to matters which separate art from pure aesthetics, notably the presence of intention. That will lead to a survey of some of the main definitions of art which have been proposed, together with an account of the recent “de-definition” period. The concepts of expression, representation, and the nature of art objects will then be covered.

Table of Contents

  1. Introduction
  2. Aesthetic Concepts
  3. Aesthetic Value
  4. Aesthetic Attitudes
  5. Intentions
  6. Definitions of Art
  7. Expression
  8. Representation
  9. Art Objects
  10. References and Further Reading

1. Introduction

The full field of what might be called “aesthetics” is a very large one. There is even now a four-volume encyclopedia devoted to the full range of possible topics. The core issues in Philosophical Aesthetics, however, are nowadays fairly settled (see the book edited by Dickie, Sclafani, and Roblin, and the monograph by Sheppard, among many others).

Aesthetics in this central sense has been said to start in the early eighteenth century, with the series of articles on “The Pleasures of the Imagination” which the journalist Joseph Addison wrote in the early issues of the magazine The Spectator in 1712. Before this time, thoughts by notable figures made some forays into this ground, for instance in the formulation of general theories of proportion and harmony, detailed most specifically in architecture and music. But the full development of extended, philosophical reflection on Aesthetics did not begin to emerge until the widening of leisure activities in the eighteenth century.

By far the most thoroughgoing and influential of the early theorists was Immanuel Kant, towards the end of the eighteenth century. Therefore it is important, first of all, to have some sense of how Kant approached the subject. Criticisms of his ideas, and alternatives to them, will be presented later in this entry, but through him we can meet some of the key concepts in the subject by way of introduction.

Kant is sometimes thought of as a formalist in art theory; that is to say, someone who thinks the content of a work of art is not of aesthetic interest. But this is only part of the story. Certainly he was a formalist about the pure enjoyment of nature, but for Kant most of the arts were impure, because they involved a “concept.” Even the enjoyment of parts of nature was impure, namely when a concept was involved— as when we admire the perfection of an animal body or a human torso. But our enjoyment of, for instance, the arbitrary abstract patterns in some foliage, or a color field (as with wild poppies, or a sunset) was, according to Kant, absent of such concepts; in such cases, the cognitive powers were in free play. By design, art may sometimes obtain the appearance of this freedom: it was then “Fine Art”—but for Kant not all art had this quality.

In all, Kant’s theory of pure beauty had four aspects: its freedom from concepts, its objectivity, the disinterest of the spectator, and its obligatoriness. By “concept,” Kant meant “end,” or “purpose,” that is, what the cognitive powers of human understanding and imagination judge applies to an object, such as with “it is a pebble,” to take an instance. But when no definite concept is involved, as with the scattered pebbles on a beach, the cognitive powers are held to be in free play; and it is when this play is harmonious that there is the experience of pure beauty. There is also objectivity and universality in the judgment then, according to Kant, since the cognitive powers are common to all who can judge that the individual objects are pebbles. These powers function alike whether they come to such a definite judgment or are left suspended in free play, as when appreciating the pattern along the shoreline. This was not the basis on which the apprehension of pure beauty was obligatory, however. According to Kant, that derived from the selflessness of such an apprehension, what was called in the eighteenth century its “disinterest.” This arises because pure beauty does not gratify us sensuously; nor does it induce any desire to possess the object. It “pleases,” certainly, but in a distinctive intellectual way. Pure beauty, in other words, simply holds our mind’s attention: we have no further concern than contemplating the object itself. Perceiving the object in such cases is an end in itself; it is not a means to a further end, and is enjoyed for its own sake alone.

It is because Morality requires we rise above ourselves that such an exercise in selfless attention becomes obligatory. Judgments of pure beauty, being selfless, initiate one into the moral point of view. “Beauty is a symbol of Morality,” and “The enjoyment of nature is the mark of a good soul” are key sayings of Kant. The shared enjoyment of a sunset or a beach shows there is harmony between us all, and the world.

Among these ideas, the notion of “disinterest” has had much the widest currency. Indeed, Kant took it from eighteenth century theorists before him, such as the moral philosopher, Lord Shaftesbury, and it has attracted much attention since: recently by the French sociologist Pierre Bourdieu, for instance. Clearly, in this context “disinterested” does not mean “uninterested,” and paradoxically it is closest to what we now call our “interests,” that is, such things as hobbies, travel, and sport, as we shall see below. But in earlier centuries, one’s “interest” was what was to one’s advantage, that is, it was “self-interest,” and so it was the negation of that which closely related aesthetics to ethics.

2. Aesthetic Concepts

The eighteenth century was a surprisingly peaceful time, but this turned out to be the lull before the storm, since out of its orderly classicism there developed a wild romanticism in art and literature, and even revolution in politics. The aesthetic concept which came to be more appreciated in this period was associated with this, namely sublimity, which Edmund Burke theorized about in his “A Philosophical Enquiry into the Origin of our ideas of the Sublime and Beautiful.” The sublime was connected more with pain than pure pleasure, according to Burke, since threats to self-preservation were involved, as on the high seas, and lonely moors, with the devilish humans and dramatic passions that artists and writers were about to portray. But in these circumstances, of course, it is still “delightful horror,” as Burke appreciated, since one is insulated by the fictionality of the work in question from any real danger.

“Sublime” and “beautiful” are only two amongst the many terms which may be used to describe our aesthetic experiences. Clearly there are “ridiculous” and “ugly,” for a start, as well. But the more discriminating will have no difficulty also finding something maybe “fine,” or “lovely” rather than “awful” or “hideous,” and “exquisite” or “superb” rather than “gross” or “foul.” Frank Sibley wrote a notable series of articles, starting in 1959, defending a view of aesthetic concepts as a whole. He said that they were not rule- or condition-governed, but required a heightened form of perception, which one might call taste, sensitivity, or judgment. His full analysis, however, contained another aspect, since he was not only concerned with the sorts of concepts mentioned above, but also with a set of others which had a rather different character. For one can describe works of art, often enough, in terms which relate primarily to the emotional and mental life of human beings. One can call them “joyful,” “melancholy,” “serene,” “witty,” “vulgar,” and “humble,” for instance. These are evidently not purely aesthetic terms, because of their further uses, but they are still very relevant to many aesthetic experiences.

Sibley’s claim about these concepts was that there were no sufficient conditions for their application. For many concepts—sometimes called “closed” concepts, as a result—both necessary and sufficient conditions for their application can be given. To be a bachelor, for instance, it is necessary to be male and unmarried, though of marriageable age, and together these three conditions are sufficient. For other concepts, however, the so-called “open” ones, no such definitions can be given— although for aesthetic concepts Sibley pointed out there were still some necessary conditions, since certain facts can rule out the application of, for example, “garish,” “gaudy,” or “flamboyant.”

The question therefore arises: how do we make aesthetic judgments if not by checking sufficient conditions? Sibley’s account was that, when the concepts were not purely perceptual they were mostly metaphoric. Thus, we call artworks “dynamic,” or “sad,” as before, by comparison with the behaviors of humans with those qualities. Other theorists, such as Rudolph Arnheim and Roger Scruton, have held similar views. Scruton, in fact, discriminated eight types of aesthetic concept, and we shall look at some of the others below.

3. Aesthetic Value

We have noted Kant’s views about the objectivity and universality of judgments of pure beauty, and there are several ways that these notions have been further defended. There is a famous curve, for instance, obtained by the nineteenth century psychologist Wilhelm Wundt, which shows how human arousal is quite generally related to complexity of stimulus. We are bored by the simple, become sated, even over-anxious, by the increasingly complex, while in between there is a region of greatest pleasure. The dimension of complexity is only one objective measure of worth which has been proposed in this way. Thus it is now known, for instance, that judgments of facial beauty in humans are a matter of averageness and symmetry. Traditionally, unity was taken to be central, notably by Aristotle in connection with Drama, and when added to complexity it formed a general account of aesthetic value. Thus Francis Hutcheson, in the eighteenth century, asserted that “Uniformity in variety always makes an object beautiful.” Monroe Beardsley, more recently, has introduced a third criterion—intensity—to produce his three “General Canons” of objective worth. He also detailed some “Special Canons.”

Beardsley called the objective criteria within styles of Art “Special Canons.” These were not a matter of something being good of its kind and so involving perfection of a concept in the sense of Kant. They involved defeasible “good-making” and “bad-making” features, more in the manner Hume explained in his major essay in this area, “Of the Standard of Taste” (1757). To say a work of art had a positive quality like humor, for instance, was to praise it to some degree, but this could be offset by other qualities which made the work not good as a whole. Beardsley defended all of his canons in a much more detailed way than his eighteenth century predecessor however: through a lengthy, fine-grained, historical analysis of what critics have actually appealed to in the evaluation of artworks. Also, he explicitly made the disclaimer that his canons were the only criteria of value, by separating these “objective reasons” from what he called “affective” and “genetic” reasons. These two other sorts of reasons were to do with audience response, and the originating artist and his times, respectively, and either “The Affective Fallacy” or “The Intentional Fallacy,” he maintained, was involved if these were considered. The discrimination enabled Beardsley to focus on the artwork and its representational relations, if any, to objects in the public world.

Against Beardsley, over many years, Joseph Margolis maintained a “Robust Relativism.” Thus he wanted to say that “aptness,” “partiality,” and “non-cognitivism” characterize art appreciation, rather than “truth,” “universality,” and “knowledge.” He defended this with respect to aesthetic concepts, critical judgments of value, and literary interpretations in particular, saying, more generally, that works of art were “culturally emergent entities” not directly accessible, because of this, to any faculty resembling sense perception. The main debate over aesthetic value, indeed, concerns social and political matters, and the seemingly inevitable partiality of different points of view. The central question concerns whether there is a privileged class, namely those with aesthetic interests, or whether their set of interests has no distinguished place, since, from a sociological perspective, that taste is just one amongst all other tastes in the democratic economy. The sociologist Arnold Hauser preferred a non-relativistic point of view, and was prepared to give a ranking of tastes. High art beat popular art, Hauser said, because of two things: the significance of its content, and the more creative nature of its forms. Roger Taylor, by contrast, set out very fully the “leveller’s” point of view, declaring that “Aida” and “The Sound of Music” have equal value for their respective audiences. He defended this with a thorough philosophical analysis, rejecting the idea that there is such a thing as truth corresponding to an external reality, with the people capable of accessing that truth having some special value. Instead, according to Taylor, there are just different conceptual schemes, in which truth is measured merely by coherence internal to the scheme itself. Janet Wolff looked at this debate more disinterestedly, in particular studying the details of the opposition between Kant and Bourdieu.

4. Aesthetic Attitudes

Jerome Stolnitz, in the middle of the last century, was a Kantian, and promoted the need for a disinterested, objective attitude to art objects. It is debatable, as we saw before, whether this represents Kant’s total view of art, but the disinterested treatment of art objects which Stolnitz recommended was very commonly pursued in his period.

Edward Bullough, writing in 1912, would have called “disinterested attention” a “distanced” attitude, but he used this latter term to generate a much fuller and more detailed appreciation of the whole spectrum of attitudes which might be taken to artworks. The spectrum stretched from people who “over-distance” to people who “under-distance.” People who over-distance are, for instance, critics who merely look at the technicalities and craftwork of a production, missing any emotional involvement with what it is about. Bullough contrasted this attitude with what he called “under-distancing,” where one might get too gripped by the content. The country yokel who jumps upon the stage to save the heroine, and the jealous husband who sees himself as Othello smothering his wife, are missing the fact that the play is an illusion, a fiction, just make-believe. Bullough thought there was, instead, an ideal mid-point between his two extremes, thereby solving his “antinomy of distance” by deciding there should be the least possible distance without its disappearance.

George Dickie later argued against both “disinterest” and “distance” in a famous 1964 paper, “The Myth of the Aesthetic Attitude.” He argued that we should be able to enjoy all objects of awareness, whether “pure aesthetic” or moral. In fact, he thought the term “aesthetic” could be used in all cases, rejecting the idea that there was some authorized way of using the word just to apply to surface or formal features— the artwork as a thing in itself. As a result, Dickie concluded that the aesthetic attitude, when properly understood, reduced to just close attention to whatever holds one’s mind in an artwork, against the tradition which believed it had a certain psychological quality, or else involved attention just to certain objects.

Art is not the only object to draw interest of this pleasurable kind: hobbies and travel are further examples, and sport yet another, as was mentioned briefly above. In particular, the broadening of the aesthetic tradition in recent years has led theorists to give more attention to sport. David Best, for instance, writing on sport and its likeness to art, highlighted how close sport is to the purely aesthetic. But he wanted to limit sport to this, and insisted it had no relevance to ethics. Best saw art forms as distinguished expressly by their having the capacity to comment on life situations, and hence bring in moral considerations. No sport had this further capacity, he thought, although the enjoyment of many sports may undoubtedly be aesthetic. But many art forms—perhaps more clearly called “craft-forms” as a result— also do not comment on life situations overmuch, for example, décor, abstract painting, and non-narrative ballet. And there are many sports which are pre-eminently seen in moral, “character-building” terms, for example, mountaineering, and the various combat sports (like boxing and wrestling). Perhaps the resolution comes through noting the division Best himself provides within sport-forms, between, on the one hand, “task” or “non-purposive” sports like gymnastics, diving, and synchronized swimming, which are the ones he claims are aesthetic, and on the other hand the “achievement,” or “purposive’ sports, like those combat sports above. Task sports have less “art” in them, since they are not as creative as the purposive ones.

5. Intentions

The traditional form of art criticism was biographical and sociological, taking into account the conceptions of the artist and the history of the traditions within which the artist worked. But in the twentieth century a different, more scientific and ahistorical form of literary criticism grew up in the United States and Britain: The New Criticism. Like the Russian Formalists and French Structuralists in the same period, the New Critics regarded what could be gleaned from the work of art alone as relevant to its assessment, but their specific position received a much-discussed philosophical defense by William Wimsatt and Monroe Beardsley in 1946. Beardsley saw the position as an extension of “The Aesthetic Point of View”; Wimsatt was a practical critic personally engaged in the new line of approach. In their essay “The Intentional Fallacy,” Wimsatt and Beardsley claimed “the design or intention of the artist is neither available nor desirable as a standard for judging the success of a work of literary art.” It was not always available, since it was often difficult to obtain, but, in any case, it was not appropriately available, according to them, unless there was evidence for it internal to the finished work of art. Wimsatt and Beardsley allowed such forms of evidence for a writer’s intentions, but would allow nothing external to the given text.

This debate over intention in the literary arts has raged with full force into more recent times. A contemporary of Wimsatt and Beardsley, E.D. Hirsch, has continued to maintain his “intentionalist” point of view. Against him, Steven Knapp and Walter Benn Michaels have taken up an ahistorical position. Frank Cioffi, one of the original writers who wrote a forceful reply to Wimsatt and Beardsley, aligned himself with neither camp, believing different cases were “best read” sometimes just as, sometimes other than as, the artist knowingly intended them. One reason he rejected intention, at times, was because he believed the artist might be unconscious of the full significance of the artwork.

A similar debate arises in other art forms besides Literature, for instance Architecture, Theater, and Music, although it has caused less professional comment in these arts, occurring more at the practical level in terms of argument between “purists” and “modernizers.” Purists want to maintain a historical orientation to these art forms, while modernizers want to make things more available for contemporary use. The debate also has a more practical aspect in connection with the visual arts. For it arises in the question of what devalues fakes and forgeries, and by contrast puts a special value on originality. There have been several notable frauds perpetrated by forgers of artworks and their associates. The question is: if the surface appearance is much the same, what especial value is there in the first object? Nelson Goodman was inclined to think that one can always locate a sufficient difference by looking closely at the visual appearance. But even if one cannot, there remain the different histories of the original and the copy, and also the different intentions behind them.

The relevance of such intentions in visual art has entered very prominently into philosophical discussion. Arthur Danto, in his 1964 discussion of “The Artworld,” was concerned with the question of how the atmosphere of theory can alter how we see artworks. This situation has arisen in fact with respect to two notable paintings which look the same, as Timothy Binkley has explained, namely Leonardo’s original “Mona Lisa” and Duchamp’s joke about it, called “L.H.O.O.Q. Shaved.” The two works look ostensibly the same, but Duchamp, one needs to know, had also produced a third work, “L.H.O.O.Q.,” which was a reproduction of the “Mona Lisa,” with some graffiti on it: a goatee and moustache. He was alluding in that work to the possibility that the sitter for the “Mona Lisa” might have been a young male, given the stories about Leonardo’s homosexuality. With the graffiti removed the otherwise visually similar works are still different, since Duchamp’s title, and the history of its production, alters what we think about his piece.

6. Definitions of Art

Up to the “de-definition” period, definitions of art fell broadly into three types, relating to representation, expression, and form. The dominance of representation as a central concept in art lasted from before Plato’s time to around the end of the eighteenth century. Of course, representational art is still to be found to this day, but it is no longer pre-eminent in the way it once was. Plato first formulated the idea by saying that art is mimesis, and, for instance, Bateaux in the eighteenth century followed him, when saying: “Poetry exists only by imitation. It is the same thing with painting, dance and music; nothing is real in their works, everything is imagined, painted, copied, artificial. It is what makes their essential character as opposed to nature.”

In the same century and the following one, with the advent of Romanticism, the concept of expression became more prominent. Even around Plato’s time, his pupil Aristotle preferred an expression theory: art as catharsis of the emotions. And Burke, Hutcheson, and Hume also promoted the idea that what was crucial in art were audience responses: pleasure in Art was a matter of taste and sentiment. But the full flowering of the theory of Expression, in the twentieth century, has shown that this is only one side of the picture.

In the taxonomy of art terms Scruton provided, Response theories concentrate on affective qualities such as “moving,” “exciting,” “nauseous,” “tedious,” and so forth. But theories of art may be called “expression theories” even though they focus on the embodied, emotional, and mental qualities discussed before, like “joyful,” “melancholy,” “humble,” “vulgar,” and “intelligent.” As we shall see below, when recent studies of expression are covered in more detail, it has been writers like John Hospers and O.K. Bouwsma who have preferred such theories. But there are other types of theory which might, even more appropriately, be called “expression theories.” What an artist is personally expressing is the focus of self-expression theories of art, but more universal themes are often expressed by individuals, and art-historical theories see the artist as merely the channel for broader social concerns.

R. G. Collingwood in the 1930s took art to be a matter of self-expression: “By creating for ourselves an imaginary experience or activity, we express our emotions; and this is what we call art.” And the noteworthy feature of Marx’s theory of art, in the nineteenth century, and those of the many different Marxists who followed him into the twentieth century, was that they were expression theories in the “art-Historical” sense. The arts were taken, by people of this persuasion, to be part of the superstructure of society, whose forms were determined by the economic base, and so art came to be seen as expressing, or “reflecting” those material conditions. Social theories of art, however, need not be based on materialism. One of the major social theorists of the late nineteenth century was the novelist Leo Tolstoy, who had a more spiritual point of view. He said: “Art is a human activity consisting in this, that one man consciously, by means of certain external signs, hands on to others feelings he has lived through, and that others are infected by these feelings and also experience them.”

Coming into the twentieth century, the main focus shifted towards abstraction and the appreciation of form. The aesthetic, and the arts and crafts movements, in the latter part of the nineteenth century drew people towards the appropriate qualities. The central concepts in aesthetics are here the pure aesthetic ones mentioned before, like “graceful,” “elegant,” “exquisite,” “glorious,” and “nice.” But formalist qualities, such as organization, unity, and harmony, as well as variety and complexity, are closely related, as are technical judgments like “well-made,” “skilful,” and “professionally written.” The latter might be separated out as the focus of Craft theories of art, as in the idea of art as “Techne” in ancient Greece, but Formalist theories commonly focus on all of these qualities, and “aesthetes” generally find them all of central concern. Eduard Hanslick was a major late nineteenth century musical formalist; the Russian Formalists in the early years of the revolution, and the French Structuralists later, promoted the same interest in Literature. Clive Bell and Roger Fry, members of the influential Bloomsbury Group in the first decades of the twentieth century, were the most noted early promoters of this aspect of Visual art.

Bell’s famous “Aesthetic Hypothesis” was: “What quality is shared by all objects that provoke our aesthetic emotions? Only one answer seems possible— significant form. In each, lines and colors combined in a particular way; certain forms and relations of forms, stir our aesthetic emotions. These relations and combinations of lines and colors, these aesthetically moving forms, I call ‘Significant Form’; and ‘Significant Form’ is the one quality common to all works of visual art.” Clement Greenberg, in the years of the Abstract Expressionists, from the 1940s to the 1970s, also defended a version of this Formalism.

Abstraction was a major drive in early twentieth century art, but the later decades largely abandoned the idea of any tight definition of art. The “de-definition” of art was formulated in academic philosophy by Morris Weitz, who derived his views from some work of Wittgenstein on the notion of games. Wittgenstein claimed that there is nothing which all games have in common, and so the historical development of them has come about through an analogical process of generation, from paradigmatic examples merely by way of “family resemblances.”

There are, however, ways of providing a kind of definition of art which respects its open texture. The Institutional definition of art, formulated by George Dickie, is in this class: “a work of art is an artefact which has had conferred upon it the status of candidate for appreciation by the artworld.” This leaves the content of art open, since it is left up to museum directors, festival organizers, and so forth, to decide what is presented. Also, as we saw before, Dickie left the notion of “appreciation” open, since he allowed that all aspects of a work of art could be attended to aesthetically. But the notion of “artefact,” too, in this definition is not as restricted as it might seem, since anything brought into an art space as a candidate for appreciation becomes thereby “artefactualized,” according to Dickie— and so he allowed as art what are otherwise called (natural) “Found Objects,” and (previously manufactured) “Readymades.” Less emphasis on power brokers was found in Monroe Beardsley’s slightly earlier aesthetic definition of art: “an artwork is something produced with the intention of giving it the capacity to satisfy the aesthetic interest”— where “production” and “aesthetic” have their normal, restricted content. But this suggests that these two contemporary definitions, like the others, merely reflect the historical way that art developed in the associated period. Certainly traditional objective aesthetic standards, in the earlier twentieth century, have largely given way to free choices in all manner of things by the mandarins of the public art world more recently.

7. Expression

Response theories of art were particularly popular during the Logical Positivist period in philosophy, that is, around the 1920s and 1930s. Science was then contrasted sharply with Poetry, for instance, the former being supposedly concerned with our rational mind, the latter with our irrational emotions. Thus the noted English critic I. A. Richards tested responses to poems scientifically in an attempt to judge their value, and unsurprisingly found no uniformity. Out of this kind of study comes the common idea that “art is all subjective”: if one concentrates on whether people do or do not like a particular work of art then, naturally, there can easily seem to be no reason to it.

We are now more used to thinking that the emotions are rational, partly because we now distinguish the cause of an emotion from its target. If one looks at what emotions are caused by an artwork, not all of these need target the artwork itself, but instead what is merely associated with it. So what the subjective approach centrally overlooks are questions to do with attention, relevance, and understanding. With those as controlling features we get a basis for normalizing the expected audience’s emotions in connection with the artwork, and so move away from purely personal judgments such as “Well, it saddened me” to more universal assessments like “it was sad.”

And with the “it” more focused on the artwork we also start to see the significance of the objective emotional features it metaphorically possesses, which were what Embodiment theorists like Hospers settled on as central. Hospers, following Bouwsma, claimed that the sadness of some music, for instance, concerns not what is evoked in us, nor any feeling experienced by the composer, but simply its physiognomic similarity to humans when sad: “it will be slow not tripping; it will be low not tinkling. People who are sad move more slowly, and when they speak they speak softly and low.” This was also a point of view developed at length by the gestalt psychologist Rudolph Arnheim.

The discriminations do not stop there, however. Guy Sircello, against Hospers, pointed out first that there are two ways emotions may be embodied in artworks: because of their form (which is what Hospers chiefly had in mind), and because of their content. Thus, a picture may be sad not because of its mood or color, but because its subject matter or topic is pathetic or miserable. That point was only a prelude, however, to an even more radical criticism of Embodiment theories by Sircello. For emotion words can also be applied, he said, on account of the “artistic acts” performed by the artists in presenting their attitude to their subject. If we look upon an artwork from this perspective, we are seeing it as a “symptom” in Suzanne Langer’s terms; however, Langer believed one should see it as a “symbol” holding some meaning which can be communicated to others.

Communication theorists all combine the three elements above, namely the audience, the artwork, and the artist, but they come in a variety of stamps. Thus, while Clive Bell and Roger Fry were Formalists, they were also Communication Theorists. They supposed that an artwork transmitted “aesthetic emotion” from the artist to the audience on account of its “significant form.” Leo Tolstoi was also a communication theorist but of almost the opposite sort. What had to be transmitted, for Tolstoi, was expressly what was excluded by Bell and (to a lesser extent) Fry, namely the “emotions of life.” Tolstoi wanted art to serve a moral purpose: helping to bind communities together in their fellowship and common humanity under God. Bell and Fry saw no such social purpose in art, and related to this difference were their opposing views regarding the value of aesthetic properties and pleasure. These were anathema to Tolstoi, who, like Plato, thought they led to waste; but the “exalted” feelings coming from the appreciation of pure form were celebrated by Bell and Fry, since their “metaphysical hypothesis” claimed it put one in touch with “ultimate reality.” Bell said, “What is that which is left when we have stripped a thing of all sensations, of all its significance as a means? What but that which philosophers used to call ‘the thing in itself’ and now call ‘ultimate reality’.”

This debate between moralists and aesthetes continues to this day with, for instance, Noël Carroll supporting a “Moderate Moralism” while Anderson and Dean support “Moderate Autonomism.” Autonomism wants aesthetic value to be isolated from ethical value, whereas Moralism sees them as more intimately related.

Communication theorists generally compare art to a form of Language. Langer was less interested than the above theorists in legislating what may be communicated, and was instead concerned to discriminate different art languages, and the differences between art languages generally and verbal languages. She said, in brief, that art conveyed emotions of various kinds, while verbal language conveyed thoughts, which was a point made by Tolstoy too. But Langer spelled out the matter in far finer detail. Thus, she held that art languages were “presentational” forms of expression, while verbal languages were “discursive”— with Poetry, an art form using verbal language, combining both aspects, of course. Somewhat like Hospers and Bouwsma, Langer said that art forms presented feelings because they were “morphologically similar” to them: an artwork, she held, shared the same form as the feeling it symbolizes. This gave rise to the main differences between presentational and discursive modes of communication: verbal languages had a vocabulary, a syntax, determinate meanings, and the possibility of translation, but none of these were guaranteed for art languages, according to Langer. Art languages revealed “what it is like” to experience something— they created “virtual experiences.”

The detailed ways in which this arises with different art forms Langer explained in her 1953 book Feeling and Form. Scruton followed Langer in several ways, notably by remarking that the experience of each art form is sui generis, that is, “each of its own kind.” He also spelled out the characteristics of a symbol in even more detail. Discussions of questions specific to each art form have been pursued by many other writers; see, for instance, Dickie, Sclafani, and Roblin, and the recent book by Gordon Graham.

8. Representation

Like the concept of Expression, the concept of Representation has been very thoroughly examined since the professionalization of Philosophy in the twentieth century.

Isn’t representation just a matter of copying? If representation could be understood simply in terms of copying, that would require “the innocent eye,” that is, one which did not incorporate any interpretation. E. H. Gombrich was the first to point out that modes of representation are, by contrast, conventional, and therefore have a cultural, socio-historical base. Thus perspective, which one might view as merely mechanical, is only a recent way of representing space, and many photographs distort what we take to be reality— for instance, those from the ground of tall buildings, which seem to make them incline inwards at the top.

Goodman, too, recognized that depiction was conventional; he likened it to denotation, that is, the relation between a word and what it stands for. He also gave a more conclusive argument against copying being the basis of representation. For that would make resemblance a type of representation, whereas if a resembles b, then b resembles a— yet a dog does not represent its picture. In other words, Goodman is saying that resemblance implies a symmetric relationship, but representation does not. As a result, Goodman made the point that representation is not a craft but an art: we create pictures of things, achieving a view of those things by representing them as this or as that. As a result, while one sees the objects depicted, the artist’s thoughts about those objects may also be discerned, as with Sircello’s “artistic arts.” The plain idea that just objects are represented in a picture was behind Richard Wollheim’s account of representational art in the first edition of his book Art and Its Objects (1968). There, the paint in a picture was said to be “seen as” an object. But in the book’s second edition, Wollheim augmented this account to allow for what is also “seen in” the work, which includes such things as the thoughts of the artist.

There are philosophical questions of another kind, however, with respect to the representation of objects, because of the problematic nature of fictions. There are three broad categories of object which might be represented: individuals which exist, like Napoleon; types of thing which exist, like kangaroos; and things which do not exist, like Mr. Pickwick, and unicorns. Goodman’s account of representation easily allowed for the first two categories, since, if depictions are like names, the first two categories of painting compare, respectively, with the relations between the proper name “Napoleon” and the person Napoleon, and the common name “kangaroo” and the various kangaroos. Some philosophers would think that the third category was as easily accommodated, but Goodman, being an Empiricist (and so concerned with the extensional world), was only prepared to countenance existent objects. So for him pictures of fictions did not denote or represent anything; instead, they were just patterns of various sorts. Pictures of unicorns were just shapes, for Goodman, which meant that he saw the description “picture of a unicorn” as unarticulated into parts. What he preferred to call a “unicorn-picture” was merely a design with certain named shapes within it. One needs to allow there are “intensional” objects as well as extensional ones before one can construe “picture of a unicorn’ as parallel to “picture of a kangaroo.” By contrast with Goodman, Scruton is one philosopher more happy with this kind of construal. It is a construal generally more congenial to Idealists, and to Realists of various persuasions, than to Empiricists.

The contrast between Empiricists and other types of philosopher also bears on other central matters to do with fictions. Is a fictional story a lie about this world, or a truth about some other? Only if one believes there are other worlds, in some kind of way, will one be able to see much beyond untruths in stories. A Realist will settle for there being “fictional characters,” often enough, about which we know there are some determinate truths— wasn’t Mr. Pickwick fat? But one difficulty then is knowing things about Mr. Pickwick other than what Dickens tells us— was Mr. Pickwick fond of grapes, for instance? An Idealist will be more prepared to consider fictions as just creatures of our imaginations. This style of analysis has been particularly prominent recently, with Scruton essaying a general theory of the imagination in which statements like “Mr. Pickwick was fat” are entertained in an “unasserted” fashion. One problem with this style of analysis is explaining how we can have emotional relations with, and responses to, fictional entities. We noticed this kind of problem before, in Burke’s description “delightful horror”: how can audiences get pleasure from tragedies and horror stories when, if those same events were encountered in real life, they would surely be anything but pleasurable? On the other hand, unless we believe that fictions are real, how can we, for instance, be moved by the fate of Anna Karenina? Colin Radford, in 1975, wrote a celebrated paper on this matter which concluded that the “paradox of emotional response to fiction” was unsolvable: adult emotional responses to fictions were “brute facts,” but they were still incoherent and irrational, he said. Radford defended this conclusion in a series of further papers in what became an extensive debate. Kendall Walton, in his 1990 book Mimesis and Make-Believe, pursued at length an Idealist’s answer to Radford. At a play, for instance, Walton said the audience enters into a form of pretence with the actors, not believing, but making believe that the portrayed events and emotions are real.

9. Art Objects

What kind of thing is a work of art? Goodman, Wollheim, Wolterstorff, and Margolis have been notable contributors to the contemporary debate.

We must first distinguish the artwork from its notation or “recipe,” and from its various physical realizations. Examples would be: some music, its score, and its performances; a drama, its script, and its performances; an etching, its plate, and its prints; and a photograph, its negative, and its positives. The notations here are “digital” in the first two cases, and “analogue” in the second two, since they involve discrete elements like notes and words in the one case, and continuous elements like lines and color patches in the other. Realizations can also be divided into two broad types, as these same examples illustrate: there are those that arise in time (performance works) and those that arise in space (object works). Realizations are always physical entities. Sometimes there is only one realization, as with architect-designed houses, couturier-designed dresses, and many paintings, and Wollheim concluded that in these cases the artwork is entirely physical, consisting of that one, unique realization. However, a number a copies were commonly made of paintings in the middle ages, and it is theoretically possible to replicate even expensive clothing and houses.

Philosophical questions in this area arise mainly with respect to the ontological status of the idea which gets executed. Wollheim brought in Charles Peirce’s distinction between types and tokens, as an answer to this: the number of different tokens of letters (7), and different types of letter (5), in the string “ABACDEC,” indicates the difference. Realizations are tokens, but ideas are types, that is, categories of objects. There is a normative connection between them as Margolis and Nicholas Wolterstorff have explained, since the execution of ideas is an essentially social enterprise.

That also explains how the need for a notation arises: one which would link not only the idea with its execution, but also the various functionaries. Broadly, there are the creative persons who generate the ideas, which are transmitted by means of a recipe to manufacturers who generate the material objects and performances. “Types are created, particulars are made” it has been said, but the link is through the recipe. Schematically, two main figures are associated with the production of many artworks: the architect and the builder, the couturier and the dressmaker, the composer and the performer, the choreographer and the dancer, the script-writer and the actor, and so forth. But a much fuller list of operatives is usually involved, as is very evident with the production of films, and other similar large entertainments. Sometimes the director of a film is concerned to control all its aspects, when we get the notion of an “auteur” who can be said to be the author of the work, but normally, creativity and craft thread through the whole production process, since even those designated “originators” still work within certain traditions, and no recipe can limit entirely the end product.

The associated philosophical question concerns the nature of any creativity. There is not much mystery about the making of particulars from some recipe, but much more needs to be said about the process of originating some new idea. For creation is not just a matter of getting into an excited mental state— as in a “brainstorming” session, for instance. That is a central part of the “creative process theory,” a form of which is to be found in the work of Collingwood. It was in these terms that Collingwood distinguished the artist from the craftsperson, namely with reference to what the artist was capable of generating just in his or her mind. But the major difficulty with this kind of theory is that any novelty has to be judged externally in terms of the artist’s social place amongst other workers in the field, as Jack Glickman has shown. Certainly, if it is to be an original idea, the artist cannot know beforehand what the outcome of the creative process will be. But others might have had the same idea before, and if the outcome was known already, then the idea thought up was not original in the appropriate sense. Thus the artist will not be credited with ownership in such cases. Creation is not a process, but a public achievement: it is a matter of breaking the tape ahead of others in a certain race.

10. References and Further Reading

  • Arnheim, R.1954, Art and Visual Perception. University of California Press, Berkeley.
    • A study of physiognomic properties from the viewpoint of gestalt psychology.
  • Beardsley, M.C. 1958, Aesthetics, Harcourt Brace, New York.
    • The classic mid-twentieth century text, with a detailed, practical study of the principles of art criticism.
  • Bell, C. 1914, Art, Chatto and Windus, London.
    • Manifesto for Formalism defending both his Aesthetic Hypothesis, and his Metaphysical Hypothesis.
  • Best, D. 1976, Philosophy and Human Movement, Allen and Unwin, London.
    • Applies aesthetic principles to Sport, and assesses its differences from Art.
  • Bourdieu, P. 1984, Distinction, trans. R.Nice, Routledge and Kegan Paul, London.
    • Studies contemporary French taste empirically, with special attention to the place of the “disinterested” class.
  • Carroll, N 1990, The Philosophy of Horror; or, Paradoxes of the Heart, Routledge, London and New York.
    • Investigation into the form and aesthetics of horror film and fiction, including discussion of the paradox of emotional response to fiction and the paradox of “horror-pleasure”.
  • Collingwood, R.G. 1958, The Principles of Art, Oxford University Press, Oxford.
    • Argues for important theses about Creativity, Art versus Craft, and Self-Expression.
  • Cooper, D. E. (ed.) 1995, A Companion to Aesthetics, Blackwell, Oxford.
    • Short notes about many aspects of, and individuals in Art and aesthetic theory.
  • Crawford, D.W. 1974, Kant’s Aesthetic Theory, University of Wisconsin Press, Madison.
    • Commentary on Kant’s third critique.
  • Curtler, H. (ed.) 1983, What is Art? Haven, New York.
    • Collects a number of papers discussing Beardsley’s aesthetics.
  • Danto, A. C. 1981, The Transfiguration of the Commonplace, Harvard University Press, Cambridge MA.
    • Contains Danto’s developed views about the influence of art theory.
  • Davies, S. 1991, Definitions of Art, Cornell University Press, Ithaca.
    • Contains a thorough study of the respective worth of Beardsley’s, and Dickie’s recent definitions of art.
  • Dickie, G. 1974, Art and the Aesthetic: An Institutional Analysis, Cornell University Press, Ithaca.
    • Dickie’s first book on his definition of Art.
  • Dickie, G. 1984, The Art Circle, Haven, New York.
    • Dickie’s later thoughts about his definition of Art.
  • Dickie, G. 1996, The Century of Taste, Oxford University Press, Oxford.
    • Contains a useful discussion of Hutcheson, Hume, and Kant, and some of their contemporaries.
  • Dickie, G., Sclafani, R.R., and Roblin, R. (eds) 1989, Aesthetics a Critical Anthology, 2nd ed. St Martin’s Press, New York.
    • Collection of papers on historic and contemporary Aesthetics, including ones on the individual arts.
  • Eagleton, T. 1990, The Ideology of the Aesthetic, Blackwell, Oxford.
    • A study of Aesthetics from the eighteenth century onwards, from the point of view of a Marxist, with particular attention to German thinkers.
  • Freeland, C. 2001, But Is it Art?, Oxford University Press, Oxford.
    • Discusses why innovation and controversy are valued in the arts, weaving together philosophy and art theory.
  • Gaut, B. and Lopes, D.M. (eds) 2001, The Routledge Companion to Aesthetics, Routledge, London and New York.
    • A series of short articles on most aspects of aesthetics, including discussions of the individual arts.
  • Gombrich, E.H. 1960, Art and Illusion, Pantheon Books, London.
    • Historical survey of techniques of pictorial representation, with philosophical commentary.
  • Goodman, N. 1968, Languages of Art, Bobbs-Merrill, Indianapolis.
    • Discusses the nature of notations, and the possibility of fakes.
  • Graham, G. 1997, Philosophy of the Arts; an Introduction to Aesthetics, Routledge, London.
    • Has separate chapters on Music, Painting and Film, Poetry and Literature, and Architecture.
  • Hanfling, O. (ed.) 1992, Philosophical Aesthetics, Blackwell, Oxford.
    • Summary papers on the core issues in Aesthetics, prepared for the Open University.
  • Hauser, A.1982, The Sociology of Art, Chicago University Press, Chicago.
    • Major historical study of Art’s place in society over the ages.
  • Hjort, M. and Laver, S. (eds) 1997, Emotion and the Arts, Oxford University Press, Oxford.
    • Papers on various aspects of art and emotion.
  • Hospers (ed) 1969, Introductory Readings in Aesthetics, Macmillan, New York.
    • Collection of major papers, including Stolnitz and Dickie on aesthetic attitudes, Hospers on Expression, and Bell, Fry, Langer and Beardsley about their various theories.
  • Hospers, J. (ed.) 1971, Artistic Expression, Appleton-Century-Crofts, New York.
    • Large collection of historical readings on Expression.
  • Kant, I. 1964, The Critique of Judgement, trans. J.C.Meredith, Oxford University Press, Oxford.
    • The original text of Kant’s third critique.
  • Iseminger, G. (ed.) 1992, Intention and Interpretation, Temple University Press, Philadelphia.
    • Contains papers by Hirsch, and Knapp and Michaels, amongst others, updating the debate over Intention.
  • Kelly, M. (ed.) 1998, Encyclopedia of Aesthetics, Oxford University Press, Oxford.
    • Four volumes not just on Philosophical Aesthetics, but also on historical, sociological, and biographical aspects of Art and Aesthetics worldwide.
  • Langer, S. 1953, Feeling and Form, Routledge and Kegan Paul, London.
    • Detailed study of the various art forms, and their different modes of expression.
  • Langer, S. 1957, Problems in Art, Routledge and Kegan Paul, London.
  • Langer, S. 1957, Philosophy in a New Key, Harvard University Press, Cambridge, MA.
    • Langer’s more theoretical writings.
  • Levinson, J. (ed.) 1998, Aesthetics and Ethics, Cambridge University Press, Cambridge.
    • Contains papers by Carroll, and Anderson and Dean, amongst others, updating the debate over aestheticism.
  • Manns, J.W. 1998, Aesthetics, M.E.Sharpe, Armonk.
    • Recent monograph covering the main topics in the subject.
  • Margolis, J. (ed.) 1987, Philosophy Looks at the Arts, 3rd ed., Temple University Press, Philadelphia.
    • Central papers in recent Aesthetics, including many of the core readings discussed in the text.
  • Mothersill, M. 1984, Beauty Restored, Clarendon, Oxford.
    • Argues for a form of Aesthetic Realism, against Sibley, and with a discussion of Hume and Kant.
  • Richards, I. A. 1970, Poetries and Sciences, Routledge and Kegan Paul, London.
    • Defends a subjectivist view of Art.
  • Scruton, R.1974, Art and Imagination, Methuen, London.
    • A sophisticated and very detailed theory of most of the major concepts in Aesthetics.
  • Sheppard, A. D. R. 1987, Aesthetics: an Introduction to the Philosophy of Art, Oxford University Press, Oxford.
    • An introductory monograph on the whole subject.
  • Taylor, R. 1981, Beyond Art, Harvester, Brighton.
    • Defends the right of different classes to their own tastes.
  • Tolstoi, L. 1960, What is Art? Bobbs-Merrill, Indianapolis.
    • Tolstoi’s theory of Art and Aesthetics.
  • Walton, K.L. 1990, Mimesis as Make Believe, Harvard University Press, Cambridge MA.
    • A thorough view of many arts, motivated by the debate over emotional responses to fictions.
  • Wolff, J. 1993, Aesthetics and the Sociology of Art, 2nd ed., University of Michigan Press, Ann Arbor.
    • On the debate between objective aesthetic value, and sociological relativism.
  • Wollheim, R. 1980, Art and its Objects, 2nd ed. Cambridge University Press, Cambridge.
    • A philosophical study of the nature of art objects.
  • Wolterstorff, N. 1980, Works and Worlds of Art, Clarendon, Oxford.
    • A very comprehensive study.

Author Information

Barry Hartley Slater
Email: slaterbh@cyllene.uwa.edu.au
University of Western Australia
Australia

Punishment

Punishment involves the deliberate infliction of suffering on a supposed or actual offender for an offense such as a moral or legal transgression. Since punishment involves inflicting a pain or deprivation similar to that which the perpetrator of a crime inflicts on his victim, it has generally been agreed that punishment requires moral as well as legal and political justification. While philosophers almost all agree that punishment is at least sometimes justifiable, they offer various accounts of how it is to be justified as well as what the infliction of punishment is designed to protect – rights, personal autonomy and private property, a political constitution, or the democratic process, for instance. Utilitarians attempt to justify punishment in terms of the balance of good over evil produced and thus focus our attention on extrinsic or consequentialist considerations. Retributivists attempt a justification that links punishment to moral wrongdoing, generally justifying the practice on the grounds that it gives to wrongdoers what they deserve; their focus is thus on the intrinsic wrongness of crime that thereby merits punishment. “Compromise” theorists attempt to combine these two types of theories in a way that retains their perceived strengths while overcoming their perceived weaknesses. After discussing the various attempts at justification, utilitarian and retributive approaches to determining the amount of punishment will be examined. Finally, the controversial issue of capital punishment will be briefly discussed.

Table of Contents

  1. Utilitarianism
    1. Utilitarian Justification
    2. Objection and Response
  2. Retributivism
    1. Retributive Justification
    2. Objection and Response
  3. Compromise Theories
    1. Hart’s Theory
    2. Objection and Response
  4. Amount of Punishment
    1. Utilitarians on Amount
    2. Retributivists on Amount
  5. Capital Punishment
  6. Conclusion
  7. References and Further Reading

1. Utilitarianism

a. Utilitarian Justification

Utilitarianism is the moral theory that holds that the rightness or wrongness of an action is determined by the balance of good over evil that is produced by that action. Philosophers have argued over exactly how the resulting good and evil may be identified and to whom the greatest good should belong. Jeremy Bentham identified good with pleasure and evil with pain and held that the greatest pleasure should belong to the greatest number of people. John Stuart Mill, perhaps the most notable utilitarian, identified good with happiness and evil with unhappiness and also held that the greatest happiness should belong to the greatest number. This is how utilitarianism is most often discussed in the literature, so we will follow Mill in our discussion.

When attempting to determine whether a punishment is justifiable, utilitarians will attempt to anticipate the likely consequences of carrying out the punishment. If punishing an offender would most likely produce the greatest balance of happiness over unhappiness compared with the other available options (not taking any action, publicly denouncing the offender, etc.), then the punishment is justified. If another available option would produce a greater balance of happiness over unhappiness, then that option should be chosen and punishment is unjustified.

Clearly, crimes tend to produce unhappiness, so in seeking to promote a state of affairs in which the balance of happiness over unhappiness is maximized, a utilitarian will be highly concerned with reducing crime. Traditionally, utilitarians have focused on three ways in which punishment can reduce crime. First, the threat of punishment can deter potential offenders. If an individual is tempted to commit a certain crime, but he knows that it is against the law and a punishment is attached to a conviction for breaking that law, then, generally speaking, that potential offender will be less likely to commit the crime. Second, punishment can incapacitate offenders. If an offender is confined for a certain period of time, then that offender will be less able to harm others during that period of time. Third, punishment can rehabilitate offenders. Rehabilitation involves making strides to improve an offender’s character so that he will be less likely to re-offend.

Although utilitarians have traditionally focused on these three ways in which punishment can reduce crime, there are other ways in which a punishment can affect the balance of happiness over unhappiness. For example, whether or not a given offender is punished will affect how the society views the governmental institution that is charged with responding to violations of the law. The degree to which they believe this institution is functioning justly will clearly affect their happiness. Utilitarians are committed to taking into account every consequence of a given punishment insofar as it affects the balance of happiness over unhappiness.

b. Objection and Response

Perhaps the most common objection to the utilitarian justification of punishment is that its proponent is committed to punishing individuals in situations in which punishment would clearly be morally wrong. H.J. McCloskey offers the following example:

Suppose a utilitarian were visiting an area in which there was racial strife, and that, during his visit, a Negro rapes a white woman, and that race riots occur as a result of the crime, white mobs, with the connivance of the police, bashing and killing Negroes, etc. Suppose too that our utilitarian is in the area of the crime when it is committed such that his testimony would bring about the conviction of a particular Negro. If he knows that a quick arrest will stop the riots and lynchings, surely, as a utilitarian, he must conclude that he has a duty to bear false witness in order to bring about the punishment of an innocent person (127).

A utilitarian is committed to endorsing the act that would be most likely to produce the greatest balance of happiness over unhappiness, and, in this situation, it appears that the act that meets this criterion is bearing false witness against an innocent person. But, so the argument goes, it cannot be morally permissible, let alone morally mandatory, to perform an act that leads directly to the punishment of an innocent person. Therefore, since the utilitarian is committed to performing this clearly wrong act, the utilitarian justification must be incorrect.

The standard utilitarian response to this argument demands that we look more closely at the example. Once we do this, it supposedly becomes clear that the utilitarian is not committed to performing this clearly wrong act. In his reply to McCloskey’s argument, T.L.S. Sprigge states that if faced with the decision presented in the example, a “sensible utilitarian” will attach a great deal of weight to the near-certain fact that framing an innocent man would produce a great deal of misery for that man and his family. This consideration would receive such weight because “the prediction of misery… rests on well confirmed generalizations” (72). Furthermore, the sensible utilitarian will not attach much weight to the possibility that framing the man would stop the riots. This is because this prediction “will be based on a hunch about the character of the riots” (72). Since well confirmed generalizations are more reliable than hunches, happiness is most likely to be maximized when individuals give the vast majority of the weight to such well confirmed generalizations when making moral decisions. Therefore, since the relevant well confirmed generalization tells us that at least a few people (the innocent man and his family) would be made miserable by the false testimony, the utilitarian would give much weight to this consideration and choose not to bear false witness against an innocent man.

This type of response can in turn be challenged in various ways, but perhaps the best way to challenge it is to point out that even if it is true that the greatest balance of good over evil would not be promoted by punishing an innocent person in this situation, that is not the reason why punishing an innocent person would be wrong. It would be wrong because it would be unjust. The innocent man did not rape the woman, so he does not deserve to be punished for that crime. Because utilitarianism focuses solely on the balance of happiness over unhappiness that is produced by various actions, it is unable to take into account important factors such as justice and desert. If justice and desert cannot be incorporated into the theory, then the punishment of innocents cannot be ruled out as unjust, so a prohibition against it will have to be dependent upon the likelihood of various consequences. This strikes many theorists as problematic.

2. Retributivism

a. Retributive Justification

Regarding retributive theories, C.L. Ten states that, “There is no complete agreement about what sorts of theories are retributive except that all such theories try to establish an essential link between punishment and moral wrongdoing” (38). He is surely right about this, so, therefore, it is difficult to give a general account of retributive justification. However, it is possible to state certain features that characterize retributive theories generally. Concepts of desert and justice occupy a central place in most retributive theories: in accordance with the demands of justice, wrongdoers are thought to deserve to suffer, so punishment is justified on the grounds that it gives to wrongdoers what they deserve. It is instructive to look at the form that a particular retributive theory can take, so we will examine the views of Immanuel Kant.

Kant invokes what he refers to as the “principle of equality” in his discussion of punishment. If this principle is obeyed, then “the pointer of the scale of justice is made to incline no more to the one side than the other” (104). If a wrongful act is committed, then the person who has committed it has upset the balance of the scale of justice. He has inflicted suffering on another, and therefore rendered himself deserving of suffering. So in order to balance the scale of justice, it is necessary to inflict the deserved suffering on him. But it is not permissible to just inflict any type of suffering. Kant states that the act that the person has performed “is to be regarded as perpetrated on himself” (104). This he refers to as the “principle of retaliation”. Perhaps the most straightforward application of this principle demands that murderers receive the penalty of death. So, for Kant, the justification of punishment is derived from the principle of retaliation, which is grounded in the principle of equality.

The concepts of desert and justice play a central role in Kant’s theory, and they are applied in a way that rules out the possibility of justifying the punishment of innocents. Since an innocent person does not deserve to be punished, a Kantian is not committed to punishing an innocent person, and since it seems to some that utilitarians are committed to punishing innocents (or participating in the punishment of innocents) in certain circumstances, Kant’s theory may seem to be superior in this respect. Recall that the failure to take desert and justice into consideration is thought by many to be a major problem with utilitarian theory. However, while Kantian theory may seem superior because it takes desert and justice into account, an influential criticism of the theory challenges the idea that punishment can be justified on the grounds of justice and desert without requiring that the balance of happiness over unhappiness be taken into account.

b. Objection and Response

Gertrude Ezorsky argues that we should test the Kantian position and other retributive positions that resemble it “by imagining a world in which punishing criminals has no further effects worth achieving” (xviii). In this world, punishment does not deter or rehabilitate. For whatever reason, incapacitation is impossible. In addition, victims receive no satisfaction from the punishment of those who have harmed them. In this world, a Kantian would be committed to the position that punishments still ought to be inflicted upon wrongdoers. Furthermore, the individuals that populated this world would be morally obligated to punish wrongdoers. If they failed to punish wrongdoers, they would be failing to abide by the dictates of justice. But surely it is quite odd to hold that these individuals would be morally obligated to punish when doing so would not produce any positive effects for anyone. According to Ezorsky, this terribly odd consequence suggests that the Kantian theory is problematic.

Kant would not agree that this consequence of his theory is odd. According to Kant, “if justice and righteousness perish, human life would no longer have any value in the world” (104). So, even the inhabitants of our imaginary world are obliged to ensure that “every one may realize the desert of his deeds” (106). If they do not live up to this obligation, then they will be failing to abide by the dictates of justice, and their lives will be of lesser value. Of course, critics of the Kantian theory are unlikely to be persuaded by this response. Indeed, it is appropriate to be highly skeptical of a conception of justice that holds that justice can be promoted without anyone’s welfare being promoted.

As stated earlier, many of the theories that are referred to as “retributive” vary significantly from one another. However, as the Kantian theory possesses many central features that other retributive theories possess, criticisms similar to Ezorsky’s have been leveled against many of them. Predictably, the responses to these criticisms vary depending on the particular theory.

3. Compromise Theories

Many theorists have attempted to take features of utilitarianism and retributivism and combine them into a theory that retains the strengths of both while overcoming their weaknesses. The impetus for attempting to develop this sort of theory is clear: the idea that punishment should promote good consequences, such as the reduction of crime, surely seems attractive. However, the idea that it would be justified to punish an innocent in any circumstance where such punishment would be likely to promote the greatest balance of happiness over unhappiness surely seems wrong. Likewise, the idea that justice and the desert of the offender should play a central role in a justification of punishment is attractive, while being committed to punishing an offender even when nobody’s welfare would be promoted as a result seems to be problematic. So, each type of theory seems to have positive and negative aspects. But how to combine these seemingly opposed theories and produce a better one? Is a compromise between them really possible? In an attempt to explore this possibility, we will examine the theory of H.L.A. Hart.

a. Hart’s Theory

According to Hart, in order to clarify our thinking on the subject of punishment,

What is needed is the realization that different principles… are relevant at different points in any morally acceptable account of punishment. What we should look for are answers to a number of different questions such as: What justifies the general practice of punishment? To whom may punishment be applied? (3)

The failure to separate these questions from one another and consider that they might be answered by appealing to different principles has prevented many previous theorists from generating an acceptable account of punishment. Hart states that the first question (“What justifies the general practice of punishment?”) is a question of “General Justifying Aim” and ought to be answered by citing utilitarian concerns. The second (“To whom may punishment be applied?”) is a question of “Distribution” and ought to be answered by citing retributive concerns. So, the general practice is to be justified by citing the social consequences of punishment, the main social consequence being the reduction of crime, but we ought not be permitted to punish whenever inflicting a punishment is likely to reduce crime. In other words, we may not apply punishment indiscriminately. We may only punish “an offender for an offense” (9). With few exceptions, the individual upon whom punishment is inflicted must have committed an offense, and the punishment must be attached to that offense.

Hart’s theory attempts to avoid what may have appeared to be an impasse blocking the construction of an acceptable theory of punishment. Utilitarian concerns play a major role in his theory: the practice of punishment must promote the reduction of crime, or else it is not justifiable. But retributive concerns also play a major role: the range of acceptable practices that can be engaged in by those concerned with reducing crime is to be constrained by a retributive principle allowing only the punishment of an offender for an offense. Hart’s theory, at the very least, represents a plausible attempt at a “compromise” between those inclined towards utilitarianism and those inclined towards retributivism.

Hart does admit that on certain occasions the principle stating that we may only punish an offender for an offense (referred to as the principle of “retribution in Distribution”) may be overridden by utilitarian concerns. When the utilitarian case for punishing an innocent person is particularly compelling, it may be good for us to do so, but “we should do so with the sense of sacrificing an important principle” (12). Many people will agree with Hart that it may be necessary to punish an innocent person in extreme cases, and it is thought to be an advantage of his theory that it captures the sense that, in these cases, an important principle is being overridden.

b. Objection and Response

This overriding process, however, cannot work in the opposite direction. In Hart’s theory, some social good must be promoted or some social evil must be reduced in order for punishment to be justified. Because of this, it is unjustifiable to punish a person who seems to deserve punishment unless some utilitarian aim is being furthered. Imagine the most despicable character you can think of, a mass-murderer perhaps. The justifiability of punishing a person guilty of such crimes is beholden to the social consequences of the punishment. That a depraved character would suffer for his wrongdoing is not enough. So, for Hart, considerations of desert cannot override utilitarian considerations in this way. Some theorists find this consequence of his theory unacceptable. Ten argues that, “it would be unfair to punish an offender for a lesser offense and yet not punish another offender for a more serious offense” (80). If we are behaving in accordance with Hart’s theory, we may, on occasion, have to avoid punishing serious offenders while continuing to punish less serious offenders for utilitarian reasons. Since doing so would be unfair, it seems that Hart’s theory may be seriously flawed.

In order to assess Ten’s criticism, it is important to ask the following question: If we were to avoid punishing the more serious offender, to whom would we be being unfair? In an effort to answer this question, we must consider whether the offender who has committed the lesser crime has grounds for complaint if the more serious offender is not punished. By stipulation, the lesser offender committed the crime and cannot thereby claim a violation of justice on those grounds. Is the justification of his punishment contingent upon the punishment of others? Arguably not: The punishment of the lesser offender is justified regardless of whoever else is punished. He may bemoan his bad luck and wish that his punishment were not likely to further any utilitarian aims so that he may avoid it, but he cannot rightly accuse society of a violation of justice for failing to punish others when he does in fact deserve the punishment that is being inflicted upon him. The attractiveness of Ten’s argument is derived from the fact that its conclusion fits with our intuitions regarding the idea that some people just deserve to suffer no matter what. Perhaps we ought to reexamine that intuition and consider that it may be rooted in an urge to revenge, not a concern for justice.

4. Amount of Punishment

The belief that, in most cases, the amount of punishment should vary directly with the seriousness of the offense is widely accepted. However, utilitarians and retributivists have different ways of arriving at this general conclusion.

a. Utilitarians on Amount

Bentham, a utilitarian, states that, “The greater the mischief of the offence, the greater is the expense, which it may be worth while to be at, in the way of punishment” (181). Crime and punishment both tend to cause unhappiness. Recall that utilitarianism is solely concerned with the balance of happiness over unhappiness produced by an action. When attempting to determine the amount of punishment that ought to be permitted for a given offense, it is necessary to weigh the unhappiness that would be caused by the offense against the unhappiness caused by various punishments. The greater the unhappiness caused by a given offense, the greater the amount of punishment that may be inflicted for that offense in order to reduce its occurrence before the unhappiness caused by the punishment outweighs the unhappiness caused by the offense (Ten, 143).

So, utilitarians would often be committed to abiding by the rule that the amount of punishment should vary directly with the seriousness of the offense. However, it seems that there are cases in which they would be committed to violating this rule. Critics argue that utilitarians would sometimes be committed to inflicting a severe punishment for a relatively minor offense. Ten asks us to imagine a society in which there are many petty thefts and thieves are very difficult to catch. Since there are many thefts, the total amount of unhappiness caused by them is great. Imagine that one thief is caught and the authorities are deciding how severely to punish him. If these authorities were utilitarians, they would be committed to giving him a very severe sentence, 10 years perhaps, if this were the only way to deter a significant number of petty thieves. But surely making an example of the one thief who was unlucky or unskilled enough to be caught is unjust. Since utilitarians are sometimes committed to inflicting such harsh punishments for relatively minor offenses, their approach must be inadequate (143-144).

b. Retributivists on Amount

Retributivists argue that more serious offenses should be punished more severely because offenders who commit more serious crimes deserve harsher punishment than those who commit less serious crimes. Given our previous discussion of retributivism, it should not come as a surprise that the concept of desert plays a central role here. According to many classic versions of retributivism, including Kant’s, the deserved punishment is determined by invoking the lex talionis. The old adage, “An eye for an eye, a tooth for a tooth,” is derived from the lex talionis, which “requires imposing a harm on a criminal identical to the one he imposed on his victim” (Shafer-Landau, 773). Those who argue that murderers ought to be put to death have often invoked this principle, but it is rarely invoked when attempting to determine the proper punishment for other crimes. Its lack of popularity can be explained by noting a couple of objections. First, it is difficult to apply to many offenses, and it seems to be outright inapplicable to some. How should we punish the counterfeiter, the hijacker, or the childless kidnapper? Applying the lex talionis to these crimes is, at the very least, problematic. Second, there are many cases in which it would require that we punish offenders by performing actions that ought not to be carried out by any government (773). Surely we should not rape rapists! For these and other reasons, except when the topic at hand is capital punishment, appeals to the lex talionis in the contemporary literature are rare.

Many contemporary retributivists hold that the principle of proportionality should be used in order to determine the amount of punishment to be meted out in particular cases. This principle states that, “the amount of punishment should be proportionate to the moral seriousness or moral gravity of offenses…” (Ten, 154). Different versions of the proportionality principle call for different ways of establishing how severe a punishment must be in order to meet the demands set by the principle. Must it merely be the case that there be a direct relationship between the amount of punishment and the seriousness of the offense, or must offenders suffer the same amount as their victim(s) in order for the demands of the principle to be met? Retributivists are not in complete agreement on how to answer this question.

While retributivists seem to have an easier time ensuring that there be a direct relationship between the amount of punishment and the seriousness of the offense, their position is subject to criticism. Because they are committed to inflicting the deserved punishment, they must do so even when a lesser punishment would produce the same social effects. Clearly, this criticism runs parallel to the objection to retributivism discussed in section 2: if the retributivist is committed to inflicting the deserved punishment regardless of the social effects, then it seems that he is committed to inflicting gratuitous pain on an offender. Of course, some resist the idea that inflicting suffering in such a case would be gratuitous, which is why this debate continues. In any case, the perceived shortcomings of both the utilitarian and retributive approaches have led theorists to attempt to develop approaches that combine elements of both. For reasons similar to those cited in support of the aforementioned “compromise” theories, it seems that these approaches are the most promising.

5. Capital Punishment

Capital punishment involves the deliberate killing of a supposed or actual offender for an offense. Throughout history and across different societies, criminals have been executed for a variety of offenses, but much of the literature is devoted to examining whether those convicted of murder ought to be executed, and this discussion will be similarly focused.

A combination of utilitarian and retributive considerations are usually invoked in an effort to justify the execution of murderers. The centerpiece of most arguments in favor of capital punishment is retributive: Murderers deserve to be put to death. This is usually argued for along Kantian lines: By deliberately causing an innocent person’s death, the murderer has rendered himself deserving of death. Utilitarian considerations generally play a large role as well. Proponents argue that the threat of capital punishment can deter potential murderers. Since many human beings’ greatest fear is death, the intuitive plausibility of this claim is clear. In addition, proponents point to the fact that capital punishment is the ultimate incapacitation. Clearly, if a murderer is dead, then he can never harm anyone again.

Opponents of capital punishment challenge proponents on each of these points. Albert Camus denies that murder and capital punishment are equivalent to one another:

But what is capital punishment if not the most premeditated of murders, to which no criminal act, no matter how calculated, can be compared? If there were to be a real equivalence, the death penalty would have to be pronounced upon a criminal who had forewarned his victim of the very moment he would put him to a horrible death, and who, from that time on, had kept him confined at his own discretion for a period of months. It is not in private life that one meets such monsters (25).

This argument and others that resemble it are often put forth in an attempt to counter the retributive argument. Also, any criminal justice system that executes convicted criminals runs the risk of executing some individuals who do not deserve to be executed: the wrongfully convicted. Some argue that a fallible criminal justice system ought not to impose a penalty that removes the possibility of mistakes being rectified. The utilitarian arguments have also come under attack. Some argue that the proponents of capital punishment have overstated its deterrent value, and it has been argued that it may even incite some people to commit murder (Bedau, 198-200). Regarding incapacitation, it has been argued that the danger involved in failing to execute murderers has been similarly overstated (196-198).

6. Conclusion

These issues introducing punishment have received a great deal of attention in the professional literature, and many philosophers continue to discuss them and offer various answers to the questions that are raised. However, the issues raised here are not the only ones. There are many, including the role of excuses and mitigating circumstances, the usage of insanity as a defense, the imprisonment of offenders, and the cultural and historical context of punishment.

7. References and Further Reading

  • Beccaria, Cesare. On Crimes and Punishments. Trans. David Young. Indianapolis: Hackett Publishing Company, 1986.
  • Bedau, Hugo Adam. “Capital Punishment.” In Matters of Life and Death: New Introductory Essays in Moral Philosophy. Ed. Tom Regan. New York: Random House, 1986. 175-212.
  • Bedau, Hugo Adam, and Paul Cassell, eds. Debating the Death Penalty: Should America Have Capital Punishment? The Experts on Both Sides Make Their Best Case. New York: Oxford University Press, 2004.
  • Bentham, Jeremy. The Principles of Morals and Legislation. New York: Hafner Publishing Company, 1948.
  • Camus, Albert. Reflections on the Guillotine. Trans. Richard Howard. Michigan City, IN: Fridtjof-Karla Publications, 1959.
  • Duff, R.A. “Penal Communications: Recent Work in the Philosophy of Punishment.” Crime and Justice 20 (1996): 1-97.
  • Duff, R.A., and David Garland, eds. A Reader on Punishment. New York: Oxford University Press, 1994.
  • Ezorsky, Gertrude. “The Ethics of Punishment.” In Philosophical Perspectives on Punishment. Ed. Gertrude Ezorsky. Albany: State University of New York Press, 1972. xi-xxvii.
  • Foucault, Michel. Discipline and Punish: The Birth of the Prison. Trans. Alan Sheridan. New York: Random House, 1977.
  • Hart, H.L.A. “Prolegomenon to the Principles of Punishment.” In Punishment and Responsibility: Essays in the Philosophy of Law. New York: Oxford University Press, 1968. 1-27.
  • Kant, Immanuel. “Justice and Punishment.” Trans. W. Hastie. In Philosophical Perspectives on Punishment. Ed. Gertrude Ezorsky. Albany: State University of New York Press, 1972. 102-106.
  • McCloskey, H.J. “A Non-Utilitarian Approach to Punishment.” In Philosophical Perspectives on Punishment. Ed. Gertrude Ezorsky. Albany: State University of New York Press, 1972. 119-134.
  • Mill, John Stuart. Utilitarianism. Indianapolis: Hackett Publishing Company, 1979. Shafer-Landau, Russ. “The Failure of Retributivism.” In Philosophy of Law. Ed. Joel Feinberg and Jules Coleman. Belmont, CA: Wadsworth/Thompson Learning, 2000. 769-779.
  • Sprigge, T.L.S. “A Utilitarian Reply to Dr. McCloskey.” In Philosophical Perspectives on Punishment. Ed. Gertrude Ezorsky. Albany: State University of New York Press, 1972. 66-79.
  • Ten, C.L. Crime, Guilt, and Punishment. Oxford: Clarendon Press, 1987.

Author Information

Kevin Murtagh
Email: KevinJMurtagh@aol.com
John Jay College of Criminal Justice
U. S. A.

Comparative Philosophy

Comparative philosophy—sometimes called “cross-cultural philosophy”—is a subfield of philosophy in which philosophers work on problems by intentionally setting into dialogue various sources from across cultural, linguistic, and philosophical streams. The ambition and challenge of comparative philosophy is to include all the philosophies of global humanity in its vision of what is constituted by philosophy.

This approach distinguishes comparative philosophy from several other approaches to philosophy. First, comparative philosophy is distinct from both area studies philosophy (in which philosophers investigate topics in particular cultural traditions, for example, Confucianism) and world philosophy (in which philosophers construct a philosophical system based on the fullness of global traditions of thought). Second, comparative philosophy differs from more traditional philosophy in which ideas are compared among thinkers within a particular tradition; comparative philosophy intentionally compares the ideas of thinkers of very different traditions, especially culturally distinct traditions.

With the unique approach of comparative philosophy also comes unique difficulties and challenges that are not as characteristic of doing philosophy within a particular tradition. Difficulties to be avoided include descriptive chauvinism (recreating another tradition in the image of one’s own), normative skepticism (merely narrating or describing the views of different philosophers and traditions, suspending all judgment about their adequacy), incommensurability (the inability to find the common ground among traditions needed as a basis for comparison), and perennialism (failure to realize that philosophical traditions evolve, that they are not perennial in the sense of being monolithic or static). Furthermore, since comparative philosophy involves an approach that is not dominant in academic philosophy, it has been somewhat neglected by the mainstream of the profession. However, comparative philosophy is fairly early in its developmental stages.

Table of Contents

  1. What is Comparative Philosophy?
  2. Historical Development of Comparative Philosophy
  3. Some Difficulties Facing the Comparative Philosopher
    1. Chauvinism
    2. Skepticism
    3. Incommensurability
    4. Perennialism
  4. Prospects for Comparative Philosophy
  5. References and Further Reading
    1. Comparative Philosophy – General
    2. Comparative Philosophy – Chinese-Western
    3. Comparative Philosophy – Indian-Western
    4. Comparative Philosophy – Japanese-Western
    5. Comparative Philosophy – Other

1. What is Comparative Philosophy?

Comparative philosophy—sometimes called cross-cultural philosophy—is a subfield of philosophy in which philosophers work on problems by intentionally setting into dialogue sources from across cultural, linguistic, and philosophical streams. Comparative philosophers most frequently engage topics in dialogue between modern Western (for example, American and Continental European) and Classical Asian (for example, Chinese, Indian, or Japanese) traditions, but work has been done using materials and approaches from Islamic and African philosophical traditions as well as from classical Western traditions (for example, Judaism, Christianity, Platonism).

It is important to distinguish comparative philosophy from both area studies philosophy and world philosophy. Unlike comparative philosophy, in area studies philosophy, the focus is on a single region. Chinese philosophy, Indian philosophy, and African philosophy are examples of area studies philosophy fields, in which the work done need not be comparative. Area studies philosophers do not necessarily compare the texts and thinkers with which they work with any ideas outside of the circumscribed area. For example, Chinese philosophers may study Confucius, various forms of Confucianism, criticisms of Confucianism in Chinese Daoism and Buddhism, and even Confucianism in the contemporary world, but they need not make any attempt to compare Confucian thought with philosophical texts and thinkers from other cultures. (For this reason, the bibliography to the present entry does not have categories that fit area studies philosophy rather than comparative philosophy.)

World philosophy, like area studies philosophy, should be distinguished from comparative philosophy. World philosophy may be thought of as an effort at constructive philosophy that takes into account the great variety of philosophical writings and traditions across human cultures and endeavors to weave them into a coherent world view. As such, it is an extension of comparative philosophy, because comparison is fundamental to the constructivist task. But comparative philosophy need not become world philosophy. The comparative philosopher may be working on isolated topics, or with two or more philosophers, just for the sake of gaining clarity on some specific issue. Likewise, those wanting to construct a world philosophy often find a place for the thought of other traditions in the system they construct, but it is fair to wonder whether they really allow the voice of the other to express itself in its strongest form.

2. Historical Development of Comparative Philosophy

Comparative philosophy as cross-cultural philosophy is a relative newcomer to the field of philosophy. It has its antecedents in the Western awareness of different traditions, especially Asian ones, in the eighteenth century. Much of the work done during this period and just afterward does not conform to the definition of comparative philosophy outlined above. As Jonathan Spence (1998) has pointed out, the earliest treatments of China by Western philosophers, such as that of Hegel, really cannot properly be called comparative philosophy because they lack any serious engagement from the Chinese side.

The story is quite different in Asia, where cultural traditions mingled and clashed with considerably more frequency than in the relatively provincial West. For instance, the spread of Buddhism into China from India and central Asia beginning in the first few centuries CE sparked a long tradition of philosophical reaction to its “foreign” ideas from Confucian and Daoist intellectuals—much of it hostile, some of it appreciative and appropriating, but all of it at least implicitly comparative. The story of Chinese Buddhism over the next two millennia is very much the story of the dialogue between and among foreign and indigenous traditions, as is the story of Confucianism and Daoism during the same period. Similar patterns of dialogue between indigenous traditions and Buddhism are found in Korea, Japan, Sri Lanka, Thailand and Vietnam; parallel patterns may be identified among other players in India. It is, perhaps, because of this long familiarity with cross-cultural dialogue and the willingness to take one’s partners seriously that many of the earliest works comparing Eastern and Western philosophies that are still important came not from Westerners but from non-Westerners responding to Western ideas. Sri Aurobindo (1872-1950) and Sarvepalli Radhakrishnan (1888-1975) were perhaps the most prominent and influential voices responding from India in the early part of the last century, presenting Indian philosophical ideas and comparing, contrasting, and even fusing Eastern and Western philosophy and religion. In Japan, Nishida Kitaro’s An Inquiry into the Good (1911) initiated a creative, critical appropriation of Western philosophy and religion from a perspective anchored in Mahayana Buddhism that continues today in the work of members of the Kyoto School, most notably Keiji Nishitani and Masao Abe.

Partially as a result of the emergence of comparative studies in nineteenth-century Anglo-European intellectual history, the University of Hawaii sponsored the first in a sequence of East-West Philosophers’ Conferences in 1939. Since that time comparative philosophy, area studies philosophy, and world philosophy have continued to grow and cross fertilize each other. Nevertheless, comparative philosophy as a field is only now becoming fully self-conscious, methodologically and substantively, about its role and function in the larger enterprises of philosophy and area studies.

Mainstream Western philosophy has been slow to accept comparative philosophy. Philosophy departments rarely create space for it in their curricula, and comparative philosophers often find it difficult to publish their work in mainline journals. In November of 1996, comparative philosopher Bryan Van Norden wrote an “Open Letter to the APA.” Van Norden complained directly that philosophers writing on comparative subjects were being segregated out of the mainstream philosophical journals. Although Van Norden does not make it entirely clear in his letter, his complaint seems to be directed toward two ways in which scholars of comparative philosophy have been disenfranchised from mainstream journals in the past.

One way in which this has happened is that these scholars must go to area studies journals, such as those dealing with China, India, Asia, the Middle East, or Islam. Another way in which this has happened was that their comparative work was subsumed under area studies philosophy journals such as the Journal of Chinese Philosophy, African Philosophy, Journal of Indian Philosophy, Journal of Jewish Thought and Philosophy, Philosophy in Japan, or Asian Philosophy. The distinctively comparative journals still remain small in number: Philosophy East and West and Dao: A Journal in Comparative Philosophy (which has a restricted area of comparison).

Nevertheless, the Society of Asian and Comparative Philosophy now convenes its own sections in the annual meetings of the American Philosophical, the American Academy of Religion, and the Association of Asian Studies. The Association of Asian Studies also has published a monograph series featuring works in any area of Asian philosophy (or in any other field of philosophy examined from a comparative perspective) since 1974. Some presses, such as the State University of New York Press and Lexington Books also have specific book series devoted to topics in comparative philosophy. Examples of work in these series include Varieties of Ethical Reflection: New Directions for Ethics in a Global Context, edited by Michael Barnhart (2003) and Self as Person in Asian Thought, edited by Roger Ames, Wilmal Dissanayake, and Thomas Kasulis (1994).

Until very recently, most introductory philosophy courses focused exclusively on the Western tradition, indeed mainly on the Anglo-European classics and thinkers. But now there is a much wider variety of work available for introducing students to philosophy that is either explicitly comparative in itself, or that at least makes possible comparative philosophical work. (Some of these works are listed in the bibliography below.)

3. Some Difficulties Facing the Comparative Philosopher

a. Chauvinism

Martha Nussbaum (1997) warns against several kinds of vices that infect comparative analysis and some of the activities she cautions against may represent the kinds of methodological procedures or dispositions toward belief to which comparative philosophers might fall victim.

Descriptive chauvinism is that fault which consists in recreating the other tradition in the image of one’s own. This is reading a text from another tradition and assuming that it asks the same questions or constructs responses or answers in a similar manner as that one with which one is most familiar. For example, philosophers who read Confucius as a virtue ethicist on the model of Aristotle must be on constant guard against this kind of chauvinism. David Hall and Roger Ames (1995) have argued against translating the name of the Chinese text Zhongyong as The Doctrine of the Mean, because they do not think that it pursues the same kinds of virtue analysis in practical reason that Aristotle does in his Nicomachean Ethics.

On the opposite end, but still an example of a kind of chauvinistic vice, is what Nussbaum calls normative chauvinism. This is the tendency found in many philosophers to believe that their tradition is best and that insofar as the others are different, they are inferior or in error. Ideally, philosophers should hold those views that are most defensible and credible. But the criteria for making this decision may be tradition-dependent. So, if a philosopher is unwilling to revisit his own criteria in light of another tradition, he may find himself committed to little else other than a form of normative chauvinism. For example, finding that Zhuangzi’s antirationalism moves through quietude and stillness to effortless action might lead some philosophers to dismiss this approach because it does not employ the sorts of evidential standards one holds. A common form of normative chauvinism is the belief that unless philosophy is done in a certain kind of way (for example, ratiocinative argument), then it cannot properly be considered philosophy. Many philosophy departments in Europe, Britain, and America have never thought about including courses in comparative philosophy, or even area studies philosophies such as those from China, India, or Japan because these traditions are not perceived as doing “real philosophy.” Some comparative philosophers believe this is analogous to a person listening to Indian music, realizing that it sounds very different from Western music, and concluding that it is not “real music.” What gets overlooked in such cases is that, while the whole concept of a “philosophical work” or “musical work” often differs according to each tradition, each tradition-dependent example is intellectually robust and meaningful nonetheless.

b. Skepticism

Normative skepticism may not actually be considered a vice by some philosophers, even if Nussbaum names it as one. It consists of narrating the views of different philosophers and traditions and suspending all judgment about their adequacy. When teaching the history of Western philosophy, some philosophers never really offer any critical view that puts aside a thinker’s claims. But many philosophers hold that some views are less defensible than others, and some are just wrong. They believe this is not only true when considering thinkers within the history of Western philosophy, but also when doing cross-cultural comparative philosophy. While it is true that not all Western philosophy has it right, it is equally true that neither does any other tradition. Some Buddhist, Indian, Confucian, Daoist, and Islamic views should be challenged, and sometimes they will be found deficient either according to agreed-on cross-cultural standards, or because of some form of internal incoherence. Being a comparative philosopher does not entail an uncritical acceptance of the other traditions simply because they are different. It is not expressed in a kind of Romanticism that might think of some philosophical tradition from another culture as always right, or preferable to Western philosophy. Nor does comparative philosophy require a suspension of all critical judgment. Indeed, it is built on the fundamental premise that the conversation across traditions will burn away some dross and refine and confirm some truths. But because philosophical viewpoints sometimes differ so dramatically, it is not always obvious how one might show itself preferable to another on any philosophical grounds. Forming grounds for deciding among views is one of the fundamental tasks of comparative philosophy.

c. Incommensurability

David Wong (1989) has offered a view of the ways in which philosophical traditions may be incommensurable. One kind of incommensurability involves the inability to translate some concepts in one tradition into meaning and reference in some other tradition. A second sort is that some philosophical models differ from others in such fundamental ways as to make it impossible for the advocates to understand each other. Wong thinks that some forms of life may be so far from a person’s experience and philosophical tradition that she is unable to see the merits in another view. The third version of incommensurability is that the traditions differ on what counts as evidence and grounds for decidability, thus making it impossible to make a judgment between them. There is no common or objective decision criterion justifying the preference for one set of claims over another, much less one tradition in its entirety over another. Wong proposes learning about the other tradition as a remedy. The idea is that each philosopher infects the other with a way of seeing. So, the task is to come to an understanding of how the other philosophical tradition is tied to a life that humans have found satisfying and meaningful.

It is often the case that philosophers who realize that critical work must be a part of the comparative project go on to conclude that traditions should be seen as rivals. Alasdair MacIntyre (1991) has explored this very impasse. He thinks that once the comparative project has passed beyond the initial stage of partial incomprehension and partial misrepresentation of the other, and an accurate representation of the other emerges, then the task of showing which rival tradition is rationally superior to the other comes into view. The triumph of one tradition over another may be a result of one standpoint acknowledging, based on its own internal standards, that it is inferior to another viewpoint. And when the resources available for the corrections of these inadequacies are not present in their own tradition, then those persons holding the failed view may transfer their assent to the tradition that has those resources or which has provided an explanation for why the previously held system failed. MacIntyre thinks that this situation can occur even if the two traditions have no common or shared philosophical beliefs or methods; that is, even if they are totally incommensurable. In those situations in which comparative philosophers find themselves in rational debate with those of another tradition, MacIntyre says that each philosopher has a responsibility to see his own standpoint from as problematic a view as possible, admitting the possibility of fallibilism. But he also takes the view that in any comparison of views philosophically, we must be comparing from some standpoint. There is no neutral ground. This is what he means when he says that comparative philosophy eventually becomes the comparison of comparisons.

MacIntyre considers the question whether the comparative philosophical project is a matter of choosing, and even of rational debate. Raising an imaginary objection to his own views, he says, that if one accuses him of presupposing that conception of rational order that is characteristic of the West and not found in Chinese thought, then he simply must say that this is the standpoint from which he stands and he could not have done otherwise. This is a view of the comparative philosophical task, while describing the way in which some comparative philosophers work, is by no means true of them all. Many comparative philosophers (such as those listed in the bibliography below) typically do not think of their work as enabling a decision between rival theories in a rational way. They conceive of their work as a process of conversation in which philosophical progress is made and all the traditions are altered in the resulting narrative.

d. Perennialism

The difficulty of commensurability is not the only one facing comparative philosophers. A mistake made by many comparative philosophers is that they overlook that philosophical traditions have a present as well as a past. While the classical texts of various traditions are formative and become the basis for much of the distinct evolution of a tradition, a philosopher cannot focus only on them. As those who study any philosophical tradition in depth know very well, all philosophical traditions are evolving. They are not “perennial” in the sense of being monolithic or static. They not only have tensions with other traditions, but they contain internal conflict as well. The point at which a comparative philosopher steps into the stream of another tradition is always important. He must understand not only the reasons for why a particular view is held in another tradition, but also that it is only one view among others that are possible within that particular tradition. For example, if one wants to do comparative morality, focusing on Chinese moral culture, what should he study? The Confucian, the Daoist, the Buddhist, the Marxist critique of all three? And with what aspects of his own tradition will he compare Chinese moral culture? The deontological, the utilitarian, the Aristotelian?

4. Prospects for Comparative Philosophy

In the end, one may object that actually there is no such thing as comparative philosophy, as a discrete sub-discipline of philosophical work, because all philosophical work is comparative. After all, one thing philosophers habitually do is to compare the work of various thinkers with those of others, or with their own. Philosophers require a thorough survey of the full range of significant views on a question before giving assent. Each view must be tested against others. This is a characteristically comparative project. For example, if one sets Hume’s discussion of personal identity alongside of Locke’s, a comparison is made. It is not self-evident that there is really a difference in comparing Confucius’ views on morality and those of Aristotle, and those of Aquinas and Aristotle on the same subject. Furthermore, if one compares Descartes’ epistemology and truth theory to Hegel’s one is not only making a comparison, but some philosophers would say that the two approaches are so different from each other as to be incommensurable (that is, lacking any common basis for comparison). This means that not only is the task of comparison fundamental to what philosophers do, but also the thought worlds examined may be incommensurable even though they come from the same cultural stream. Descartes and Hegel may be incommensurable on truth in much the same way that Buddhism’s approach to the fundamental problem of humanity and how to handle it is unlike the way Pragmatism thinks of this problem.

One may take the position that Aristotle compared with Confucius on morality is different only in degree from a comparison between Aristotle and Aquinas. However, as Alfred North Whitehead pointed out, a difference in degree may sometimes become a difference in kind. Even if the difference between what philosophers regularly do when comparing thinkers within the Western tradition and what they do when comparing a Western thinker with one from India, for example, is not a matter of kind, still the degree of these differences might be important. But no formal or general rule or criteria can be laid down for distinguishing these types of comparisons. There are ways in which comparing philosophical ideas between traditions and comparing those within the same tradition are similar. Part of the task of comparative philosophers who work cross-culturally is to reveal, in the pursuit of their own work, wherein the differences between these comparative approaches are dramatic and philosophically significant.

Properly speaking, comparative philosophy does not lead toward the creation of a synthesis of philosophical traditions (as in world philosophy). What is being created is not a new theory but a different sort of philosopher. The goal of comparative philosophy is learning a new language, a new way of talking. The comparative philosopher does not so much inhabit both of the standpoints represented by the traditions from which he draws as he comes to inhabit an emerging standpoint different from them all and which is thereby creatively a new way of seeing the human condition.

5. References and Further Reading

a. Comparative Philosophy – General

  • Allen, Douglas, ed. Culture and Self: Philosophical and Religious Perspectives, East and West. Boulder, CO: Westview Press, 1997.
  • Ames, Roger, ed. The Aesthetic Turn: Reading Eliot Deutsch on Comparative Philosophy. Chicago: Open Court, 1999.
  • Ames, Roger and Wilmal Dissanayake. Self and Deception: A Cross Cultural Perspective. Albany: State University of New York Press, 1996.
  • Ames, Roger, Joel Marks, and Robert Solomon. Emotions in Asian Thought. Albany: State University of New York Press, 1995.
  • Ames, Roger, Wilmal Dissanayake, and Thomas Kasulis. Self as Image in Asian Theory and Practice. Albany: State University of New York Press, 1998.
  • Ames, Roger, Wilmal Dissanayake, and Thomas Kasulis. Self as Person in Asian Thought. Albany: State University of New York Press, 1994.
  • Ames, Roger, Wilmal Dissanayake, and Thomas Kasulis. Self as Body in Asian Theory and Practice. Albany: State University of New York Press, 1992.
  • Ames, Roger and J. Baird Callicott, eds. Nature in Asian Traditions of Thought: Essays in Environmental Philosophy. Albany: State University of New York Press, 1989.
  • Barnhart, Michael. Varieties of Ethical Reflection: New Directions in Ethics in a Global Context. Lanham, MD: Lexington Books, 2003.
  • Bonevac, Daniel and Stephen Phillips, eds. Understanding Non-Western Philosophy: Introductory Readings. Mountain View, CA: Mayfield Publishing, 1993.
  • Blocker, H. Gene. World Philosophy: An East-West Comparative Introduction to Philosophy. Upper Saddle River, NJ: Prentice Hall, 1999.
  • Carmody, Denise and John Carmody. Ways to the Center. 3rd ed. Belmont, CA: Wadsworth Publishing, 2001.
  • Clarke, J. J. Oriental Enlightenment: The Encounter Between Asian and Western Thought. London: Routledge, 1997.
  • Davidson, Donald. “On the Very Idea of a Conceptual Scheme.” In Relativism: Cognitive and Moral, eds. Jack Meiland and Michael Krausz (Notre Dame: Notre Dame University Press, 1982): 66-81.
  • Deutsch, Eliot. Introduction to World Philosophies. Upper Saddle River, NJ: Prentice Hall, 1997.
  • Deutsch, Eliot and Ron Bontekoe, eds. A Companion to World Philosophies. Oxford: Blackwell, 1997.
  • Dilworth, David. Philosophy in World Perspective: A Comparative Hermeneutic of the Major Theories. New Haven: Yale University Press, 1989.
  • Fleischacker, Samuel. Integrity and Moral Relativism. Leiden: E. J. Brill, 1992.
  • Hackett, Stuart. Oriental Philosophy: A Westerner’s Guide to Eastern Thought. Madison: University of Wisconsin Press, 1979.
  • Hershock, Peter, Marietta Stepaniants and Roger Ames, eds. Technology and Cultural Values: On The Edge of the Third Millennium. Honolulu: University of Hawaii Press, 2003.
  • Inada, Kenneth, ed. East-West Dialogues in Aesthetics. Buffalo: State University of New York at Buffalo, 1978.
  • Larson, Gerald James and Eliot Deutsch, eds. Interpreting Across Boundaries: New Essays in Comparative Philosophy. Princeton: Princeton University Press, 1988.
  • MacIntyre, Alasdair. “Incommensurability, Truth, and the Conversation Between Confucians and Aristotelians about the Virtues.” In Culture and Modernity: East-West Philosophic Perspectives, ed. Eliot Deutsch (Honolulu: University of Hawaii Press, 1991): 104-123.
  • Masson-Oursel, Paul. Comparative Philosophy. London: Routledge, 2000.
  • Matilal, Bimal. “Pluralism, Relativism, and Interaction between Cultures.” In Culture and Modernity: East-West Philosophic Perspectives, ed. Eliot Deutsch (Honolulu: University of Hawaii Press, 1991): 141-161.
  • Mohany, Jitendra. “Phenomenological Rationality and the Overcoming of Relativism.” In Relativism: Interpretation and Confrontation, ed. Michael Krausz (Notre Dame: Notre Dame University Press, 1989): 326-339.
  • Nussbaum, Martha. Cultivating Humanity: A Classical Defense of Reform in Liberal Education. Cambridge, MA: Harvard University Press, 1997.
  • Parkes, Graham, ed. Heidegger and Asian Thought. Honolulu: University of Hawaii Press, 1987.
  • Parkes, Graham. Nietzsche and Asian Thought. Chicago: University of Chicago Press, 1991.
  • Putnam, Hilary. “Truth and Convention: On Davidson’s Refutation of Conceptual Relativism.” In Relativism: Interpretation and Confrontation, ed. Michael Krausz (Notre Dame: Notre Dame University Press, 1989): 173-182.
  • Raju, P. T. Introduction to Comparative Philosophy. Reprint ed. Delhi: Motilal Banarsidass, 1997.
  • Reynolds, Frank, ed. Religion and Practical Reason: New Essays in the Comparative Philosophy of Religions. Albany: State University of New York, 1994.
  • Rorty, Richard. “Solidarity or Objectivity?” In Relativism: Interpretation and Confrontation, ed. Michael Krausz (Notre Dame: Notre Dame University Press, 1989): 35-51.
  • Scharfstein, Ben-Ami. A Comparative History of World Philosophy: From the Upanishads to Kant. Albany: State University of New York Press, 1998.
  • Solomon, Robert and Kathleen Higgins. World Philosophy: A Text with Readings. New York: McGraw Hill, 1995.
  • Solomon, Robert and Kathleen Higgins, eds. From Africa to Zen: An Invitation to World Philosophy. Lanham, MD: Rowman & Littlefield Publishers, 1993.
  • Van Norden, Byran. “An Open Letter to the APA.” Proceedings and Addresses of the APA. Newark, DE: American Philosophical Association, 1996.
  • Wong, David. “Three Kinds of Incommensurability.” In Relativism: Interpretation and Confrontation, ed. Michael Krausz (Notre Dame: Notre Dame University Press, 1989): 140-159.

b. Comparative Philosophy – Chinese-Western

  • Ames, Roger and Joseph Grange. John Dewey, Confucius and Global Philosophy. Albany: State University of New York Press, 1996.
  • Carr, Karen and Philip J. Ivanhoe, eds. The Sense of Antirationalism: The Religious Thought of Zhuangzi and Kierkegaard. New York: Seven Bridges Press, 2000.
  • Hall, David and Roger Ames. The Democracy of the Dead: Dewey, Confucius and the Hope for Democracy in China. Chicago: Open Court, 1999.
  • Hall, David and Roger Ames. Anticipating China: Thinking Through the Narratives of Chinese and Western Culture. Albany: State University of New York Press, 1995.
  • Kjellberg, Paul and Philip J. Ivanhoe, eds. Essays in Skepticism, Relativism and Ethics in the Zhuangzi. Albany: State University of New York Press, 1996.
  • Li Chenyang, ed. The Tao Encounters the West: Explorations in Comparative Philosophy. Albany: State University of New York Press, 1999.
  • Mou Bo, ed. Comparative Approaches to Chinese Philosophy. Aldershot, UK: Ashgate Press, 2003.
  • Neville, Robert. Boston Confucianism: Portable Tradition in the Late-Modern World. Albany: State University of New York Press, 2000.
  • Spence, Jonathan. The Chan’s Great Continent: China in Western Minds. New York: W. W. Norton, 1998.
  • Yearley, Lee. Mencius and Aquinas: Theories of Virtue and Conceptions of Courage. Albany: State University of New York Press, 1990.

c. Comparative Philosophy – Indian-Western

  • Halbfass, Wilhelm. India and Europe: An Essay in Understanding. Albany: State University of New York Press, 1988.
  • Matilal, Bimal and Jaysankar Shaw, eds. Analytical Philosophy in Comparative Perspective: Exploratory Essays in Current Theories & Classical Indian Theories of Meaning. London: Kluwer Publishing, 1985.
  • McEvilley, Thomas. The Shape of Ancient Thought: Comparative Studies in Greek and Indian Philosophies. New York: Allworth Press, 2002.
  • Radahkrishan, S. The Concept of Man: A Study in Comparative Philosophy. Ed. P. T. Raju. Columbia, MO: South Asia Books, 1999.
  • Rafique, M. Indian and Muslim Philosophies. Columbia, MO: South Asia Books, 1988.
  • Tuck, Andrew. Comparative Philosophy and the Philosophy of Scholarship: On the Western Interpretation of Nagarjuna. Oxford: Oxford University Press, 1990.

d. Comparative Philosophy – Japanese-Western

  • Franck, Frederick, ed. The Buddha Eye: An Anthology of the Kyoto School. New York: Crossroads, 1991.
  • Abe, Masao and William Lafleur, eds. Zen and Western Thought. Honolulu: University of Hawaii Press, 1989.
  • Loy, David. Nonduality: A Study in Comparative Philosophy. New Haven: Yale University Press, 1988.
  • Nishida, Kitaro. An Inquiry into the Good. Trans. Masao Abe and Christopher Ives. New Haven: Yale University Press, 1990.
  • Nishida, Kitaro. Last Writings: Nothingness and the Religious Worldview. Trans. David A. Dilworth. Honolulu: University of Hawai’i Press, 1987.
  • Nishitani, Keiji. Religion and Nothingness. Trans. Jan Van Bragt. Berkeley: University of California Press, 1982.

e. Comparative Philosophy – Other

  • An, Ok Sun. Compassion and Benevolence: A Comparative Study of Early Buddhist and Classical Confucian Ethics. New York: Peter Lang Publishing, 1998.
  • Taylor, Mark. Journeys to Selfhood: Hegel and Kierkegaard. Berkeley: University of California Press, 1980.

Author Information

Ronnie Littlejohn
Email: ronnie.littlejohn@belmont.edu
Belmont University
U. S. A.

Neo-Confucian Philosophy

confucius“Neo-Confucianism” is the name commonly applied to the revival of the various strands of Confucian philosophy and political culture that began in the middle of the 9th century and reached new levels of intellectual and social creativity in the 11th century in the Northern Song Dynasty. The first phase of the revival of the Confucian tradition was completed by the great philosopher Zhu Xi (1130-1200) and became the benchmark for all future Confucian intellectual discourse and social theory. Especially after the Song, the Neo-Confucian movement included speculative philosophers, painters, poets, doctors, social ethicists, political theorists, historians, local reformers and government civil servants. By the 14th Century Zhu’s version of Confucian thought, known as daoxue or the teaching of the way or lixue or the teaching of principle, became the standard curriculum for the imperial civil service examination system. The Neo-Confucian dominance of the civil service continued until the whole system was abolished in 1905.

The greatest challenge to Zhu Xi’s initial synthesis of the various themes and praxis of daoxue was presented by the great Ming philosopher, poet, general, and civil servant, Wang Yangming (1472-1529). Wang, while continuing many of the characteristic practices of the movement, argued for a different philosophical interpretation and cultivation of the xin or mind-heart, so much so that Wang’s distinctive philosophy is known as xinxue or the teaching of the mind-heart in order to distinguish it from Zhu’s teaching of principle. In the Qing Dynasty (1644-1911) there was a further reaction against the speculative philosophy of both Zhu and Wang and the movement known as hanxue of the learning of Han [Dynasty] arose to combat what were taken to be the grave mistakes of both Zhu and Wang. This last great Chinese Neo-Confucian movement is also know as the school of evidential research because of its commitment to historical and philological research in contradistinction to the Song and Ming fascination with speculative metaphysics and personal moral self-cultivation.

It is important to remember that along with being highly philosophical, the Neo-Confucian masters where also teachers of various forms of personal moral self-cultivation. From the Neo-Confucian perspective, merely abstract knowledge was useless unless conjoined with ethical self reflection and cultivation that eventuated in proper moral behavior and social praxis. The Neo-Confucians sought to promote a unified vision of humane flourishing that would end with a person becoming a sage or worthy by means of various forms of self-cultivation.

It is also vital to remember that Neo-Confucianism became an international movement and spread to Korea, Japan, and Vietnam. Neo-Confucianism flourished in all of these East Asian countries and since the 16th Century some of most creative philosophical work was achieved in Korea and Japan.

In the 20th Century, even amidst the tremendous political and military upheavals throughout the East Asian region, there was yet another revival movement based on Neo-Confucianism now known as New Confucianism. While the New Confucian movement is clearly an heir of its Neo-Confucian past, it is also deeply engaged in dialogue with Western philosophy and is emerging as fascinating form of global philosophy at the beginning of the 21st Century.

Table of Contents

  1. Defining the Confucian Way
  2. Historical Background
    1. The Classical Period
    2. The Han Dynasty
    3. The Daoist Revival and the Arrival of Buddhism
  3. The Emergence of Neo-Confucianism
  4. Traits, Themes and Motifs
  5. Song and Ming Paradigms: daoxue or “Teaching of the Way”
    1. Zhu Xi’s Synthesis
    2. Song and Ming Rebuttals of daoxue
    3. Wang Yangming
    4. The Role of Emotion
    5. Evidential Research
  6. Korean and Japanese Contributions
    1. Yi T’oegye and Yi Yulgok
    2. Kaibara Ekken
  7. The Legacy of Neo-Confucianism
  8. References and Further Reading

1. Defining the Confucian Way

Before we explore the revival of Confucian learning throughout East Asia, we need to reflect on just what was being revived. Prior to the emergence of the “Neo-Confucian” thinkers, the Confucian tradition already had a long and distinguished tradition of commentary on the teachings of the famous teachers from the legendary past into the historical world of the Warring States and later.

The English labels “Confucianism” and “Neo-Confucianism” imply a close connection to the life and thought of Master Kong or Kongzi (Confucius), whose traditional dates are 551-479 BCE. If the term “Neo-Confucianism” is considered problematic because of its modern origin, its ancestor, “Confucianism,” is likewise imprecise and without a clear reference in traditional East Asian philosophical usage. Critical scholars have pointed out that there is no single Chinese, Korean, Japanese or Vietnamese traditional term that matches “Confucianism.” The closest term would be the hallowed Chinese designation of ru or scholar. Some have suggested that Confucianism should be renamed, they have suggested Ruism or the Ruist tradition; they point out that this would match more closely what Master Kong thought he was doing in teaching about the glories of Zhou culture. The problem is that ru originally meant a scholar of ritual tradition and not just followers of Master Kong. While it is true that, by the Song dynasty, ru did indeed come to mean a “Confucian” as opposed to Daoist or Buddhist scholars, this was not the case in the classical period. Therefore, it is true that all “Confucians” were ru, although not all ru scholars were followers of Master.

As we shall see, the use of the term “Neo-Confucian” is confusing and needs some careful revision. By Song times, there are some perfectly good Chinese terms that can be used to define the work of these later Confucian masters. There are a number of terms in use after the Song such as ru or classical scholar, daoxue or learning of the way, lixue or the teaching of principle, xingxue or teaching of the mind-heart, or hanxue or Han learning just to name a few. All of these schools fit into the Western definition of Confucianism, but the use of a single name for all of them obscures the critical differences that East Asian scholars believe are stipulated by the diverse Chinese nomenclature. While Confucians did almost always recognize each other across sectarian divides, they were passionately concerned to differentiate between good and bad versions of the Confucian Way.

Is it possible to provide a perfect and succinct definition of the Confucian Way? Modern critical scholars are extremely wary of any hegemonic set of essential criteria to define something as vast and diverse as the Confucian Way in all its diverse East Asian forms. For instance, is the Confucian tradition to be defined as an East Asian philosophical discourse or is it better understood as one of China’s indigenous religious wisdom teachings? Or is the Confucian Way something entirely different from what would be included or excluded by the criteria of the Western concepts of philosophy or religion?

Notwithstanding such proper scholarly reticence, two contemporary Confucian philosophers, Xu Fuguan and Mou Zongsan, have offered a suggestion about at least one sustaining and comprehensive motif that suffuses Confucian thought from the classical age to its modern revivals. First, Xu and Mou argue that Confucianism has always generated and sustained a profound social and ethical dimension to its philosophical and social praxis. This kind of commitment has lead many western scholars to define Confucianism as an axiological philosophical sensibility, a worldview ranging from social ethics to an inspired aesthetics. Second, accepting for a moment the axiological nature of much Confucian discourse, Xu and Mou give such philosophic reflections a particular name and call this informing motif of the Confucian Way “concern consciousness.” First, concern consciousness speaks of the perennial Confucian “concern” for proper social relations and hence the tradition’s abiding interest in ethical reflection and ethically edifying ritual praxis. Secondly, concern consciousness is always set within a social context. For instance, Confucian teachers have often taught that the folk etymology of ren or humaneness makes the point of social nature of all proper Confucian action: humaneness is at least two people treating each other as they ought to in order to sustain human flourishing. Therefore Xu and Mou argue that all Confucian thinkers will eventually return to an explication of some form of “concern consciousness” when they are giving a robust and detailed explanation of the rich teachings of the Confucian Way. An unconcerned Confucian is an oxymoron. The content and context of their concern for the world and the Dao will vary dramatically, yet the sense of concern, of having a care as the Quakers taught on the other side of Eurasia, remains a hallmark of Confucian philosophical sensibilities.

2. Historical Background

The historical development of the Confucian Way or movement has been variously analyzed in terms of distinct periods. The simplest version is that there was a great classical tradition that arose in the Xia, Shang and Zhou kingdoms that was perfected in the works and records of the legendary sage kings and ministers and was then continued and refined by their later followers such as Kongzi, Mengzi (Mencius) and Xunzi. The death of Kongzi in 481 BCE marked the end of the Spring and Autumn periods of the Eastern Zhou kingdom and the beginning of the era called the Warring States period. On the one hand, although later Chinese thinkers decried the ceaseless interstate warfare that characterized the era, on the other hand the Warring States period is remembered as the most creative philosophical epoch in Chinese history. All of the great indigenous schools of Chinese philosophy find their origin in this period from 480 to 221 BCE when the Qin state finally unified the empire under the rule of the First Emperor of the Qin. After the incredible cultural efflorescence of the Warring States intellectuals, all future philosophical achievements were deemed to be commentary on the depositions of the classical masters.

Later scholars have suggested that this binary division of Chinese philosophical history is too simple and that there are three or more clear divisions for the Confucian movement because it has demonstrated a longevity and continuity of maturation for more than two thousand five hundred years. For instance, some modern scholars suggest that, based on creativity and transformation of the tradition, there was a three-fold division of the classical period, the Neo-Confucian movements of the Song, Yuan, Ming and Qing dynasties and most recently the era defined by the impact of the modern West on the East Asian philosophical and religious Confucian worlds. The most complex periodization differentiates the achievement of Confucian thinkers over the centuries more subtly than either the binary or triadic divisions allow. A strong case can be made for defining six discrete eras in the historical development of the Confucian tradition in East Asia:

  1. The classical period beginning in the Xia, Shang and Zhou kingdoms: includes the justly famous Warring States philosophers (c. 1700-221 BCE)
  2. The rise of the great commentarial traditions on early classical texts during the Han dynasty (206 BCE—200 CE)
  3. The renewal of the Daoist tradition and the arrival of Buddhism (220-907 CE)
  4. The renaissance of the Song [“Neo-Confucianism”], the flowering in the Yuan and Ming dynasties, and the spread of Neo-Confucianism into Korea and Japan (960-1644 CE)
  5. The “Han Studies” or “Evidential Research” movements of the Qing dynasty and the continued growth of the movement in Korea and Japan (1644-1911 CE)
  6. The impact of the West, the rise of modernity, and the decline and reformation of the Confucian Way as “New Confucianism” (1912 CE to the present)

In order to give a capsule outline of the development of Confucianism down to the rise of the great Neo-Confucian thinkers in the Song, what follows is a very short set of outlines of the first three of these six periods, which preceded the rise of Neo-Confucian movements. It is important to remember that although Confucianism began as a Chinese tradition it became an international movement throughout East Asia. A full understanding of Neo-Confucianism requires that attention be paid to its advancement in Korea, Japan and Vietnam along with the continuing unfolding of the tradition in China.

a. The Classical Period

According to Master Kong, there was a long and distinguished tradition of sage wisdom that stretched back even before the Xia and Shang dynasties. Master Kong sought to collect, edit and transmit these precious texts to his students in the hope that such an education project would lead to the renewed flourishing of the culture of humaneness based on the teachings of the sage kings and their ministers. Master Kong was followed by a stellar set of Confucian masters, the most important being Mengzi and Xunzi. These great Confucian masters not only argued among themselves about the nature of the Confucian way, they confronted the attacks of the other great schools and thinkers of the Warring States period. The texts attached to the names of these great scholars have served, along with the other early canonical material, to define the contours of the Confucian Way ever since the Warring States period.

While Master Kong would have rejected the notion that he founded or created a new tradition, it is to his Analects that countless generations of Confucians return to discover wisdom and insight into the nature of Confucian culture. Further, great teachers such as Master Meng and Master Xun continue to defend and refine the teachings of Master Kong in robust debate with the other schools of the Warring States period. Although there has always been skepticism about the claim for such authorship, traditional Confucian scholars held that Master Kong himself had an editorial role in the compilation of many of the canonical texts that became ultimately the Thirteen Confucian Classics.

b. The Han Dynasty

The Han dynasty contribution to the growth of the Confucian Way is often overshadowed by the grand achievements of the classical period. Yet the Han scholars edited almost all of the texts that survived and began to add their own critical commentaries and interpretations to the canonical texts. In many cases these Han commentaries are now recognized as classics in their own right. One of the features of the Confucian tradition is the use of various forms of commentaries as a vital philosophical genre. It is a period that reveres historical traditions and hence the commentary is viewed as a proper way to transmit the traditional learning.

c. The Daoist Revival and the Arrival of Buddhism

After the fall of the Han dynasty, there was a marked revival of various facets of the earlier Daoist traditions. The movement was called xuanxue or arcane or abstruse (profound) learning. Xuanxue thinkers were highly eclectic; sometimes they praised and used the great Warring States Daoist texts such as the Daodejing or the Zhuangzi to frame their complicated philosophical and religious visions, and sometimes they reframed materials drawn from the Confucian tradition as well. It is universally recognized that the great xuanxue scholars brought a new level of philosophical sophistication to their analysis of the classical and Han texts. Moreover, this was also the epoch of the emergence of the great Daoist religious traditions that mark the Chinese and East Asian landscape from this era down to the present day. The Daoist religious founders and reformers also claimed the early texts such as the Daodejing, Zhuangzi and the Yijing [The Book of Changes] as their patrimony.

The xuanxue revival was ultimately eclipsed by the arrival of Buddhism in China. The era stretching roughly from 200 to 850 marks the height of the influence of Buddhism on Chinese culture. Along with the translation of the immense Buddhist canon into Chinese, the scholar monks of this era also created the unique Chinese Buddhist schools that went on to dominate the religious life of East Asia. The Buddhists also introduced novel social institutions such as monastic communities for both men and women. Great Chinese schools of Buddhist philosophy and practice were founded, such as the Tiantai, Huayan, Pure Land and Chan traditions. In short, the impact on Chinese society and intellectual life was immense and shaped the future of Confucian philosophy.

It is very important to remember that Confucianism continued to play a vital and even creative role in the history of Chinese philosophy while Buddhism was ascendant. Confucianism never “disappeared” from sight and in fact continued to dominate elite family life and governmental service. Confucianism remained the preferred approach to political and social thought and much personal and communal ethical reflection was concurrent with the powerful contributions of Daoist and Buddhist thinkers.

3. The Emergence of Neo-Confucianism

Both traditional and modern historians of China mark the year 755 CE as the great divide within the Tang dynasty. This was the year of the catastrophic An Lushan rebellion and although the Tang dynasty formally lasted until its final demise in 906, it never recovered its full glory. And glorious the Tang was; it is the dynasty always remembered as one of the high points of Chinese imperial history in terms of political, military, artistic, philosophical and religious creativity. For instance, it was the flourishing and cosmopolitan culture of the Tang world—with everything from metaphysics to painting, calligraphy, poetry, food and clothes—that spread throughout East Asia into the emerging societies of Korea and Japan. Moreover, while the Tang is noted as the golden age of Buddhist philosophical originality in terms of the formation of important Chinese schools such as the Tiantai, Huayan, Pure Land and Chan [Zen in Japanese pronunciation], a number of important Confucian thinkers began to challenge the intellectual and philosophical supremacy of Buddhism.

Three great Confucian scholars stand out as the earliest “Neo-Confucians”: Han Yu (768-824), Li Ao (ca. 772-836) and Liu Zongyuan (773-819). All three scholars launched a double-pronged attack on Buddhism and a concomitant appeal for the restoration and revival of the Confucian Way. Just after the deaths of this trio of Confucian scholars, a late Tang emperor began a major persecution of Buddhism. Although not a bloody event as persecutions of religions go, many major schools failed to revive fully after 845 and this date, along with the earlier rebellion of An Lushan, marks dramatic changes in the philosophical landscape of China.

Along with his friends Han Yu and Li Ao, Liu Zongyuan was regarded as one of the most famous scholars of his time. Liu is perhaps more of a bridging figure between the early and later Tang intellectual worlds, but he still expressed a number of highly consistent Neo-Confucian themes and did so with a style that links him forward to the Song masters. For instance, Liu, unlike many earlier Tang Confucians, was interested in finding what he thought to be the principles expounded in the classic texts rather than a convoluted, arcane if compendious commentarial exegesis. He searched for the true meaning of the sages in the texts and not merely to study the philological subtlety of traditional commentarial lore. Further, Liu passionately believed that the authentic Dao was to be found in antiquity, by which he meant the true ideals of the Confucian teachings of the early sages. Along with this commitment to finding the confirmed teachings of the sages in the historical records, Liu was committed to political engagement based on these sage teachings. Like all the later Neo-Confucians, Liu asserted the need to apply Confucian ethical norms and insights to political and social life.

Han Yu is considered to be the most important and innovative of the Tang Confucian reformers. He was a true renaissance man; he was an important political figure, brilliant essayist, Confucian philosopher and anti-Buddhist polemicist. What gives his work such power is that he carried out his various roles with a unified vision in mind: the defense and restoration of the Confucian Way.

In order to restore the Confucian Way, Han Yu developed a program of reform and renewal manifested in a literary movement called guwen or the ancient prose movement. But Han was doing much more than simply calling for a return to a more elegant prose style. He was urging this reform in order to clarify the presentation of the ideas of the Confucian tradition that was needlessly obscured by the arcane writing styles of the current age. He wanted to write clearly in order to express the plain truth of the Confucian Way. Moreover, Han stressed a profound self-cultivation of the Dao. In order to do so, Han accentuated the image of the sage as the proper role model for humane self-cultivation. And last, but certainly not least, Han and his colleagues proposed a Confucian canon-within-the-canon of a select set of texts that especially facilitate such a quest, namely such works as The Doctrine of the Mean, The Great Learning, the Analects and the Mengzi .

Along with his reform of the style and canon of the teaching of the Confucian Way, Han also explained his philosophical program in terms of the vocabulary and sensibility of the later Song Neo-Confucian revival. As Han put it, the sage seeks “to develop one’s nature to perfection through the penetration of principle” or qiongli jinxing. Han himself wrote in an exegesis of a passage in the Analects in the examinations of 794:

Answer: The sage embraces integrity (cheng) and enlightenment (ming) as his true nature (zhengxing); he takes as his base the perfect virtue; this is equilibrium and harmony (zhongyong). He generates (fa) these inside and gives them form outside; they do not proceed from thought, yet all is in order. This mind [-heart] set on evil has no way to develop in him, and preferable behavior cannot be applied to him; so only the Sage commits no errors (Hartman 1986: 201).

Han Yu’s friend Li Ao shared similar views and wrote a highly influential essay on human nature that sounded more of the philosophic themes that would dominate the Song Neo-Confucian revival. While Li’s vision of the self might be a bit too quiescent for the tastes of the more activist Song literati, it still captured the tone of the philosophical revival:

Therefore it is sincerity that the sage takes as his nature, absolutely still and without movement, vast and great, clear and bright, shining on Heaven and Earth. When stimulated he can then penetrate all things in the world. In act or in rest, in speech or silence, he always remains in the ultimate. It is returning to his true nature that the worthy man follows without ceasing. If he follows it without ceasing he is enabled to get back to the source (Barrett 1992: 102).

In many ways it was this attempt to “get back to the source” in the classical Confucian texts that characterizes the philosophical endeavors of the Song, Yuan, Ming and Qing masters. There is a continuous debate about what this nature is, whether it is in constant movement or is still; what “the ultimate” ultimately is or what the nature of the source of all of this is.

4. Traits, Themes and Motifs

One of the most common assumptions about the philosophical achievements of the Neo-Confucian literati is that it was stimulated into life by interaction with Daoist and Buddhist thinkers. While there is a genuine element of truth in this stimulus theory of the origins of Neo-Confucianism, it is also true that, once prompted by the best of Daoist and Buddhist thought, the Neo-Confucians constructed their philosophies out of materials indigenous to the historical development of the Confucian Way. For instance, I have chosen to call this historical background the Confucian Way (rudao) because this was the concept used by the great Song masters. They argued that they were not inventing something new but were rather reviving “this culture of ours” as the true Dao of the sage kings of antiquity as transmitted by Master Kong and Master Meng. Yet the materials, the traits, concepts, themes and motifs the Song masters used in reconstructing the Confucian Way were drawn almost exclusively from the classical repertoire. These concepts, traits, themes and terms include:

  1. Ren as the paramount virtue and marker for all the other virtues such as justice/yi, ritual action/li, wisdom or discernment/zi and faithfulness/xin; these five constant virtues provide the axiological sensibility to the whole Neo-Confucian enterprise; these are linked to filial piety/xiao as an expression of primordial familial relationships.
  2. Li as ritual action; the social glue that holds society together and in fact helps to constitute the humane person.
  3. Tian or heaven and tianming or the Mandate of Heaven; di or earth; whether we should use a capital “H” for tian is an important question for the Neo-Confucian philosophy of religion; Tian, di and ren or heaven, earth and human beings form an important cosmological triad for the Neo-Confucians.
  4. Li as principle, pattern or order to the whole of the cosmos; a key Song philosophic term as a little used early Confucian concept.
  5. Xin or the mind-heart; the living center of the human person; needs to be cultivated by proper ritual in order to realize true virtue.
  6. Xing or human tendencies, dispositions or nature; this is the principle/li given to each emerging person by tian as the mandate for what the person ought to be.
  7. Qi or vital force or material force that functions as the dynamic force or matrix out of which all object or events emerge and into which they all return when their career is completed.
  8. Qing as emotion, desire and passion; intimately related to qi/vital force as the dynamic side of the cosmos.
  9. Dao wenxue & zun dexing or serious study and reflection or honoring the moral tendencies or dispositions as designations of two different ways of cultivating the xin/mind-heart and as contrasting modes of moral epistemology.
  10. gewu or the investigation of things was a key [and highly contested] epistemological methodology for the examination of the concrete objects and events of the world.
  11. Cheng or sincerity, genuineness and the self-actualization of the moral virtues such that one achieves a morally harmonious life via various forms of xiushen or self-cultivation by means of such praxis as jing mindfulness or attentiveness; this praxis is the “how” of the moral self-cultivation of the five constant virtues.
  12. Nei/wai as the inner and outer dimensions of any process; often also used for the “king without, sage within”; often also discussed in terms of the opposition of si/selfishness and pian/partiality or one-sidedness and gong of public spirit.
  13. tiyong or substance and function and ganying or stimulus and response as typical analytic dyads used to describe the reactive movement, generations, productions and emergence of the objects and events of the cosmos.
  14. liyi fenshu or the teaching that principle is one or unified while its manifestations are many or diverse; often seen as the characteristic holistic organic sensibility and yet realistic pluralism of Neo-Confucian thought.
  15. daotong or the Transmission of the Way or Succession, or Genealogy of the Way; Zhu Xi’s masterful account of the revival of the Confucian Way by a set of Northern Song philosophical masters.
  16. siwen or “this culture of ours” as the expression of refined self-cultivation and the manifestation of principle from the family to the cosmos.
  17. He or harmony and zhong or centrality as designations of the goals or outcomes of the successful cultivation of all the virtues necessary for humane flourishing.
  18. zhishan or the highest good as the realization of harmony and centrality; the ideal would be to become a sheng or sage (theoretically possible but in practice extremely difficult) or a junzi, a worthy or noble person.
  19. Taiji or the Supreme Polarity or Supreme Ultimate as the highest formal trait of the principle of the whole cosmos and for each particular thing; often discussed in terms of benti or the origin-substance or substance and source of all objects and events.
  20. Dao or the perfect good of all that is, will or can be; the totality of the cosmos as the shengsheng buxi or generation without cessation; also usually implies a moral “more” to the myriad things of the cosmos.

5. Song and Ming Paradigms: daoxue or “Teaching of the Way”

Zhu Xi’s (1130-1200) version of and description of the revival of Confucian thought formed the paradigm for the main philosophical developments that give rise to the Western notion of Neo-Confucianism and the variety of East Asian designations of the various Song movements such as daoxue. Other thinkers would adopt, modify, challenge, transform and sometimes abandon Zhu’s philosophy and his narrative of the development of the tradition; nonetheless, it is Zhu’s version of the Confucian Way that became the paradigm for all future Neo-Confucian discourse for either positive affirmation or negative evaluation. It is Master Zhu who also provides the philosophical interpretation of the rise of Neo-Confucianism that defines the historical accounts of the tradition from the Southern Song on. In short, Zhu’s theory of the daotong or the transmission or succession (genealogy) of the Way not only provides the content for the tradition but also the historical context for its further analysis by partisans and critics in the Yuan, Ming and Qing dynasties.

Zhu Xi inherited the rich complexity of the revival of Confucian thought from a variety of Northern Song masters. In organizing this heritage into an enduring synthesis, Zhu was highly selective in his choices about who he placed in the daotong or the succession of the way or the true teachings drawn from the legendary sages; historical paladins such as the Kings Wen, Wu and the Duke of Zhou, and then Master Kong and Master Meng as the consummate philosophers of the classical age. It is always important to remember that the Song cultural achievement is much broader then Zhu’s favored short list of Northern Song masters. Anyone interested in the history of Song Confucian thought will need to pay careful attention to thinkers as diverse as the Northern Song scholars and activists such as Fan Zhongyan (989-1052), Ouyang Xiu (1007-1072), Wang Anshi (1021-1086), Sima Guang (1019-1086), Su Shi (10-37-1101) and Southern Song colleagues and critics of Zhu such as Lu Xiangshan (1139-1193) and Chen Liang (1143-1194)—just to give a short list of major Song philosophers, scholars, politicians, historians, social critics and poets.

Zhu Xi’s own list included Zhou Tunyi (1017-1073), Zhang Zai (1020-1077), Cheng Hao (1032-1085) and Cheng Yi (1033-1107) [and though not canonized by Zhu, any such list would be incomplete without recognition of Shao Yong (1011-1077)]. Each one of these thinkers, according to Zhu, contributed important material for the recovery of “this culture of ours” and to the formation of daoxue as the appropriate Confucian teaching of the Song cultural renaissance. Zhu’s unique contribution to the process was to give philosophical order to the disparate contributions of the Northern Song masters.

a. Zhu Xi’s Synthesis

What Zhu Xi did was to give a distinctive ordering to the kinds of terms listed above; he gave them a pattern that became the philosophical foundation of daoxue. For those who disagreed, such as Lu Xiangshan and the later Ming thinker Wang Yangming (1472-1529), Zhu provided the template of Song thought that must be modified, transformed or even rejected, but never ignored.

The most famous innovation Zhu provided, based on the original insights of the two Cheng brothers and Zhang Zai was to frame daoxue philosophy via the complicated cosmological interaction of principle/li and vital force/qi. To understand Zhu’s argument, we must consider how the question of the relationship of principle and vital force presented itself to Zhu Xi as a philosophical problem in need of a solution. Zhu understood his analysis of principle and vital force to be the answer to the question of interpreting the relationship of the human mind-heart, human natural tendencies and the emotions. Trying to resolve how all of this fit together, Zhu borrowed a critical teaching of Zhang Zai to the effect that the mind-heart unifies the human tendencies and the emotions. Zhu then went on to claim that analytically understood this meant that the principle qua human tendencies or dispositions gave a particular order or pattern to the emerging person and that the dyad of principle and vital force coordinated and unified the actions of the mind-heart. In other words, Zhu discerned a tripartite patterning or principle of the emergence of the person, and by extension, all the other objects or events of the world in terms of form or principle, dynamics or vital force and their unification via the mind-heart: the mature schematic is form, dynamics and unification. Moreover, once this unification of the principle and vital force was achieved and perfected, the outcome, at least for the human person, was a state of harmony or balance.

Zhu’s ingenious synthesis, to which he gave the name daoxue or teaching of the way, accomplished two different ends. First, its breadth of vision provided Confucians with a response to the great philosophical achievements of the Chinese Buddhist schools such as the Tiantai or Huayan. Second, and more important, it outlined a Confucian cosmological axiology based upon the classical Confucian texts of the pre-Han era as well as an explanation for and analysis of the coming to be of the actual objects or events of the world. Zhu achieved this feat by showing how all the various concepts of the inherited Confucian philosophical vocabulary could be construed in three different modalities based on the pattern of form, dynamics and unification.

For instance, the analysis of the human person was very important for Zhu Xi. Each person was an allotment of vital force generated by union of the parents. Along with this allotment of qi or vital force, each person inherited a set of natural tendencies or what has often been called human nature. The subtlest portion of the vital force becomes the mind-heart for each person. The mind-heart has both cognitive and affective abilities; when properly cultivated, the mind-heart, for instance, can recognize the various principles inherent in its own nature and the nature of other objects and events. And when subject to proper education and self-cultivation, the mind-heart can even learn to correctly discern the various is/ought contrasts found in the world in order to sustain human flourishing via ethical action. In short, the mind-heart, as the experiential unity of concern consciousness becomes the human agent for creative and humane reason. The most pressing human is/ought contrast is that between the nature of principle as the ethical tendencies of human nature and the dynamic flux of human emotions that are governed, without proper self-cultivation, by selfishness and one-sidedness. There is nothing evil in an Augustinian sense of the human emotions save for the fact that they are much too prone to excess without the guidance of principle.

When asked to give an analytic account of this portrait of the human person, Zhu Xi then noted that this was to be explained by recourse to the concepts of the particular principle for each object or event, vital force of each such object or event and the normative or “heavenly mandate” of each object or event, which Zhu Xi called the Supreme Ultimate or Polarity. The whole system was predicated on the daoxue conviction of the ultimate moral tendency of the Dao to regulate the creative structure of the ceaseless production of the objects and events of the world. The world was thus to be seen as endlessly creative and relentlessly realistic in the sense that this cosmic creativity of the Dao eventuated in the concrete objects and events of the world.

The experiential world of the human mind-heart and the analytic schema of the unification of principle and vital force could also be described by the use of classical Confucian selective or mediating concepts such as cheng or self-actualization of jen or ultimate humanization as the paramount human ethical norm. Cheng and jen provide the modes of self-actualization and the methods of self-cultivation of the various emotional dispositions that give moral direction to the person when the person is grasped by a proper recognition of the various is/ought contrasts that inevitably arise in the conduct of human life. Hence the concern-consciousness of the person is the basis of individual creativity and manifests the particular principle of the mandate of heaven in a specific time and place for each person. Cosmic creativity or the ceaseless production of the objects and events of the cosmos replicates itself in the life of the person, and when properly actualized or integrated, can cause the person to find the harmony and balance of a worthy or even a sage. Thus even Zhu Xi’s explanation of the role of formal analysis, the arising of the existential manifestation of human nature and human emotion via the various mediating or selective concepts appropriate to the various levels of abstract or concrete determination itself takes on a carefully crafted triadic structure that manifests the proper discernment of the various dyadic conceptual pairs so evident in classical Confucian discourse. Both the tensions of the contrasting pairs such as nature and emotion are preserved and yet re-inscribed in the various allotments of the qi of each of the objects or events of the cosmos with a vision of their harmonious and balanced creative interaction. Zhu’s world is truly one of liyi fenshu or principle is one [unitary], whereas the manifestations are many.

Zhu Xi was equally famous for this theory of the praxis of the self-cultivation of the ultimately moral axiology of his multi-level system of philosophical analysis. His preferred method was that of gewu or the investigation of things. Zhu Xi believed that all the objects and events of the world had their own distinctive principle and that it was important for the student to study and comprehend as many of these principles as possible. It was a method of intellectual cultivation of the mind-heart that included both introspection and respect for external empirical research. In many respects, gewu was an attempt toward finding an objective and inter-subjective method to overcome pian or the perennial human disinclination to be one-sided, partial or blinkered in any form of thought, action and passion. In Zhu’s daoxue a great deal of emphasis was placed on reading and discerning the true meaning the Confucian classics, but there was also room in the praxis for a form of meditation known as quiet-sitting as well as empirical research into the concrete facts of the external world. The debates about the proper way to pursue self-cultivation and the examination of things proved to be one of the most highly debated sets of interrelated philosophical concerns throughout the Neo-Confucian world.

b. Song and Ming Rebuttals of daoxue

In terms of philosophical debate about the worthiness of daoxue, there was a great deal of disagreement about a variety of issues in the Song, Yuan, Ming and Qing dynasties. The Qing scholars were the most radical in their critique and merit a separate section; however, there were immediate Song dynasty rejoinders to Zhu Xi who argued against part of the synthesis on philosophical grounds. The first major rebuttal came from Zhu’s friend and critic Chen Liang (1143-1194), one of the great utilitarian philosophers of the Confucian tradition. What worried Chen about Zhu’s daoxue was that it was too idealistic and hence not suited to the actual geopolitical demands of the Southern Song reality. While it is clear that Zhu was passionately involved in the politics of his day, Chen contended that the world was a more empirically complex place than Zhu’s system implied. “I simply don’t agree with [your] joining together principles and [complex] affairs [as neatly and artificially] as if they were barrel hoops” (Tillman 1994: 52).

The nub of the debate revolved around the proper understanding of the notion of “public” or gong, gongli, public benefit. Here Chen broke with Zhu and suggested that good laws were needed just as good Neo-Confucian philosophers trained in a metaphysical praxis such as daoxue. “The human mind-heart (xin) is mostly self-regarding, but laws and regulations (fa) can be used to make it public-minded (gong)….Law and regulations comprise the collective or commonweal principle (gongli)” (Tillman 1994:16).

Such arguments for pragmatic political theory and even an appeal to the beneficial outcomes of carefully constructed legal regimes were never well received in the Neo-Confucian period, even if they did point to some genuinely diverse views within the Song Confucian revivals.

The most influential critique of Zhu Xi’s daoxue also came from another good friend, Lu Xiangshan (1139-1193). The crux of the philosophical disagreement resides in Lu’s different interpretation of the role of the mind-heart in terms of the common Neo-Confucian task of finding the right method for evaluating the moral epistemology of interpreting the world correctly. In a dialogue with a student, Lu pinpointed his argument with Zhu:

Bomin asked: How is one to investigate things (gewu)?

The Teacher (Lu Xiangshan) said: Investigate the principle of things.

Bomin said: The ten thousand things under Heaven are extremely multitudinous; how, then, can we investigate all of them exhaustively?

The teacher replied: The ten thousand things are already complete in us. It is only necessary to apprehend their principle (Huang 1977: 31).

There are two important things to notice about Lu’s critical response to the question of the examination of things. First, in many ways Lu does not disagree with the basic cosmological outline provided by Zhu Xi. Second, the philosophic sensibility, however, becomes even more focused on the internal self-cultivation of the person. Many scholars have remarked upon the fact that we find a turn inward in so much Song and Ming philosophy, and none more so than in Lu’s intense desire to find principle within the person. Of course, this is not to be understood as a purely subjective idealism. Rather, Lu would argue that only by finding principle in the mind-heart could the person then effectively comprehend the rest of the world. The point is not a solipsistic retreat into subjective and relativistic reveries of isolated individuality but rather a heightened ability to interpret and engage the world as it really is. The critical question is to find the proper place to start the investigation of things. If we start with the things of the world, we fall prey to the problems of self-delusion and partiality that infect the uncultivated person. But if we can find the correct place and method to investigate things and comprehend their principles, then we will understand the actual, concrete unity of principle.

c. Wang Yangming

Centuries later in the mid-Ming dynasty, Wang Yangming (1472-1529) sharpened what he took to be Lu’s critique of Zhu Xi. Wang’s philosophy was inextricably intertwined with of his eventful life. Wang also had the richest life of any of the major Neo-Confucian philosophers: he was a philosopher of major import, a poet, a statesman and an accomplished general. Wang began as a young student by attempting to follow Zhu’s advice about how to gewu or investigate things. With a group of naïve young friends they went into a garden to sit in front of some bamboos in order to discern the true principle of bamboo. The band of young scholars obviously thought that this would be an easy task. One by one they fell away, unable to make any progress in their quest to understand bamboo principle. Wang was the last to give up and only did so after having exhausted himself in the futile effort. Wang recounts that he simply believed that he lacked the moral and intellectual insight to carry out the task at hand; at this time he did not question Zhu’s master narrative about how to engage the world as a Confucian philosopher.

Later during a painful political exile in the far south of China, Wang Yangming had a flash of insight into the problem of finding the true location of principle. As Tu Weiming writes, “For the first time Yangming came to the realization that “My own nature is, of course, sufficient for me to attain sagehood. And I have been mistaken in searching for the li [principle] in external things and affairs [shiwu]” (Tu 1976: 120). Wang clearly understood this enlightenment experience as a confirmation that Lu Xiangshan was correct when Lu had declared that principle was to be found complete within the mind-heart of the person. In much greater detail than Lu, Wang then set out to develop the philosophical implications of the primordial insight into the proper way to carry out Confucian moral epistemology and self-cultivation. And after having straightened out the epistemology, Wang then went on to explain how the Confucian worthy should act in the world. This strong emphasis on the cultivation of the mind-heart led to the categorization of Wang’s teaching as a xinxue or teaching of the mind-heart as opposed to Zhu’s lixue or teaching of principle, and, in fact, this is the way later scholars often labeled the teachings of Zhu and Wang.

The way Wang taught about the task of realizing what he called the innate goodness of human nature was his famous doctrine of the unity of knowledge and action. As Wang said, “Knowledge is the direction for action and action is the effort for knowledge” and “Knowledge is the beginning of action and action is the completion of knowledge” (Ching 1976: 68). The problem that Wang was addressing was the deep concern that Zhu’s method for examining things in order to cultivate the essential goodness of the mind-heart was too fragmented and that such epistemological fragmentation would eventuate in moral failure and cognitive incompetence. Real praxis and theory could not be separated, and even if Wang acknowledged that Zhu was a sincere seeker after the Dao, Wang believed that Zhu’s methods were hopelessly flawed and actually dangerous to the cultivation of the Confucian worthy.

d. The Role of Emotion

There was yet another philosophical realignment within Ming thought that is harder to identify with the specific teachings of any one master, namely the debate over the role of qing or emotion within the Neo-Confucian world of discourse [representative scholars would be Li Zhi (1527-1602) and Ho Xingyin (1517-1579)]. The nature of the emotions or human feelings was always a topic of reflection within the broad sweep of the historical development of Confucianism because of the persistent Confucian fascination with moral anthropology and ethics. Zhu Xi had a very important place for the emotions in his teachings of the way, though many later thinkers felt that Zhu was too negative about the function of the emotions. While it was perfectly clear that Zhu never taught that the emotions per se were evil or entirely negative, he did teach that the emotions needed to be properly and carefully cultivated in terms of the conformity of the emotional life to the life of principle. Zhu thematized this as the contrast between the daoxin or the Mind of Dao and the renxin or the Mind of Humanity (the mind of the psychophysical person). Moreover, it was also perfectly clear that Zhu taught that the truly ethical person needed to realize the Mind of Dao in order to actualize the human tendencies as mandated by heaven for each person. If not hostile to the emotions, Zhu was wary of them as the prime location for human self-centered and partial behavior.

By the late Ming dynasty many of the followers of Wang Yangming harshly questioned what they took to be the negative Song teachings about the emotional life. In fact, many of these thinkers made the bold claim that the emotions were just as important and valuable philosophical resources for authentic Confucian teachings as reflections on the themes of principle or vital force. In fact, they contended that it was a proper and positive interpretation of human emotions and even passions that distinguishes Confucianism from Daoism and Buddhism. Whether or not these thinkers were correct in their interpretations of Daoist and Buddhist thought need not detain us here. What is more important is that these thinkers developed a more positive interpretation of qing than had been the case in earlier Song and Ming thought. It might be argued that such a concern for the emotions was just another marker of the Neo-Confucian turn toward the subject, a flight to contemplation of an inner subjective world as opposed to the much more activist style of the Han and Tang scholarly traditions. However, this speculation about emotion, even romantic love, had the unintended effect of allowing educated Chinese women to enter into the debate. Debarred, as they noted, from active lives outside the literati family compounds, the women observed that although living circumscribed lives compared to their fathers, brothers, husbands and sons, they did know something about the emotions—and that they had something positive to add to the debate.

Dorothy Ko’s important study of the role of educated women tells the wonderful and poignant story of three young women, Chan Tong (ca. 1650-1665), Tan Ze (ca. 1655-1675) and Qian Yi (fl. 1694). All three were eventually the wives of Wu Ren, with Chan and Tan dying very early in life and leaving what would be called the Three Wives Commentary on the famous Ming drama The Peony Pavilion to be completed and published in 1694 by the third wife, Madame Qian. The three women demonstrated just as great scholarly exegetical and hermeneutic skills as their husband, and he always acknowledged their authorship and their collective and individual genius against those who thought women unable to achieve this level of cultural, artistic and philosophical sophistication. In short, the three women defended and explicated the theory about human emotions, also held by the radical Taizhou school followers of Wang Yangming, that even the entangled emotions of romantic love could become “a noble sentiment that gives meaning of human life” (Ko 1994:84). Although not widely accepted in late Ming and Qing society, these Confucian women defended the notion of companionate marriage based, in part, on a Confucian analysis of the emotional needs of women and men.

e. Evidential Research

After the conquest of all of China by the Manchu in 1644, there was a tremendous cultural backlash against the radical thinkers of the late Ming dynasty. Rather than seeking validation of the emotions and human passions, many Qing scholars took a completely different approach to rediscover the true teachings of the classical Confucian sages. The point of departure for all of these thinkers was to reject the philosophical foundations of both Song scholars such as Zhu Xi and Ming teachers such as Wang Yangming. The charge the radical Qing scholars made against both Zhu and Wang Yangming was that both lixue and xinxue were completely infused with so much extraneous Daoist and Buddhist accretions that the true Confucian vision was subverted into something strange to the teachings of the classical Confucian masters. Therefore, the task of the Qing scholars was to strip Neo-Confucianism of its Daoist and Buddhist subversive inclusions.

The method that the Qing scholars chose has been called hanxue or Han Teaching or kaozhengxue, Evidential Research Learning. The chief tactic was to argue that the best way to return to true Confucian teachings in the face of Song Neo-Confucian distortions was to return to the work of the earliest stratum of texts, namely the work of the famous Han exegetes. The theory was that these Han scholars were closer to the classical texts and were also without the taint of undue Daoist or Buddhist influence. The other way to describe the movement is to note that these scholars promoted a various rigorous historical-critical and philological approach to the philosophical texts based on what they called an evidential research program. The grand axiom or rubric of the kaozhengxue scholars was to find the truth in the facts. They abjured what they believed to be the overly metaphysical flights of fancy of the Song and Ming thinkers and went back to the careful study of philology and textual and social history in order to return to a true Confucian scholarly culture. The better philosophers of this group, with Ku Yanwu (1613-1682) and Dai Zhen (1724-1777) as the bookends of the tradition, recognized that such an appeal to research methodology as opposed to Song metaphysics was also a philosophical appeal in its own right. Yet all these Evidential Research scholars were united in trying to find the earliest core of true Confucian texts by a meticulous examination of the whole history of Confucian thought. Along with major contributions to Confucian classical studies, these Evidential Research philosophers also made major additions to the promotion of local historical studies and even advanced practical studies in agriculture and water management. They really did try to find the truth in the facts. Yet the world of the Qing Evidential Research scholars was as ruthlessly destroyed as the metaphysical speculations of Song-style philosophers with the arrival of the all-powerful Western imperial powers in the middle of the 19th century.

6. Korean and Japanese Contributions

It is extremely important to remember that Neo-Confucianism was an international and cross-cultural tradition in East Asia, with different manifestations in China, Korea, Japan and Vietnam. For instance, a strong case can be made for the strong philosophical creativity of Korean Neo-Confucians in the 15th and 16th centuries and in Japan after the inception of Tokugawa rule in 1600. Two examples will have to suffice to demonstrate that in some eras the most stimulating and innovative Confucian philosophical work was being done in Korea and Japan. As mentioned above, little study has been devoted to the Vietnamese reception and appropriation of Neo-Confucian philosophy at that time, and thus it is still impossible to speak with as much confidence about it as we can about the creativity of the Korean and Japanese Neo-Confucian philosophers.

a. Yi T’oegye and Yi Yulgok

The Korean Neo-Confucians who practiced the official ideology of the Choson kingdom after its founding in 1392 were devoted followers of Zhu Xi’s daoxue. But just because they were profound students of Master Zhu’s Southern Song Neo-Confucian synthesis does not mean that they did not realize that there were still a number of outstanding philosophical issues that needed to be debated in terms of how Zhu Xi depicted the daoxue project as a coherent philosophical vision. The most famous case of this Korean perspicacity is found in the justly famous Four-Seven Debate, a profound dialogue among scholars about the role of emotions within Zhu’s Neo-Confucian cosmology; the two most famous philosophers were Yi T’oegye (1501-1570) and Yi Yulgok (1536-1583).

The debate was framed as a technical discussion of two different lists of emotions (one list of four and another of seven different emotions, and hence the name for the Four-Seven Debate) inherited from the classical Confucian texts. But the most interesting underlying philosophical issues that emerged had to do with the analysis of the nature of and relationship between principle and vital force. In short, the Korean scholars realized that as elegant as it might be, there were problems with Zhu’s account of the nature of principle. The problem was put this way in a famous metaphor: how could a dead rider (principle as a purely formal pattern) guide the living horse of vital force? In other words, the Korean scholars understood clearly that the whole sensibility of the daoxue project was suffused with an emphasis on cosmic process. Hence, if process was so essential to the working of Zhu’s system, how could principle, as a critical philosophical trait, itself be without the living creativity of process? In the words of the Yijing or Book of Changes, if the very spirit of the Dao is shengsheng buxi or the generation [of the myriad things] without cessation, then how does this notion of genuine cosmological creativity inform the proper interpretation of principle as the key trait of the formal side of Zhu’s master narrative?

Yi Yulgok, the younger of the two giants of Korean Neo-Confucianism, gave the most creative response to this question. Yulgok is often portrayed as a proponent of a qi-monism wherein Yulgok defends the primacy of process sensibilities in daoxue by augmenting the role of vital force at the expense of principle. While Yulgok does indeed have all kinds of illuminating insights into the role of vital force, he never abandons a deep concern for the role of principle. Yulgok forthrightly links the notion of principle creatively with the equally important concept of cheng or the self-actualization of the mind-heart. In making this strong linkage, Yulgok is able to defend the thesis that principle itself is a vital manifestation of the living creativity of the Dao as the ceaseless generation of the myriad things. It was a philosophical tour-de-force and is probably the most imaginative reinterpretation of Zhu’s daoxue to be found in traditional East Asia.

b. Kaibara Ekken

In 17th century Tokugawa Japan Kaibara Ekken (1630-1714) provides an exemplar of the Japanese contribution to the refinement of Neo-Confucian discourse. Ekken, like so many other great Confucian scholars, was something of a renaissance figure. This social concern manifested itself in some very traditional ventures such as the publication of his famous Precepts for Daily Life in Japan, wherein he tried to give advice about how Confucian principles could be applied to the conduct of concrete daily life. Moreover, this passion for the concrete details of daily life also led to a fervent naturalist concern for the world of plants, animals, fish and even shellfish. Ekken not only wrote about these humble creatures but, like many early Western naturalists, provided illustrations of these plants and animals.

Ekken’s concern for the dynamic processes of the quotidian world also led him to reread Zhu Xi’s daoxue in a dramatic way. For instance, Ekken argued that the Supreme Ultimate/Polarity was not some kind of abstract pattern but actually the correct name for the primordial qi before it began to divide into the yin and yang forces. Ekken did not abandon Zhu’s category of principle but rather read the cosmos via a stronger emphasis on the dynamic role of vital force. “The ‘Way of the sage’ is the principle of life and growth of heaven and earth; the original qi harmonizing the yin and yang in ceaseless fecundity” (Tucker 1989: 81). Ekken made a further deduction from his re-evaluation of the role of vital force, namely that there is no ontological or cosmological ground for holding to a distinction between the ideal nature, mandated by tian, and the physical nature or endowment of the particular creature or person. It is for this reason that Ekken is often held to be a champion of the primacy of a qi-monism, but this kind of reduction does not do justice to Ekken’s subtle re-inscription of the various roles of concepts such as principle, vital force and the Supreme Ultimate/Polarity within daoxue. Just as with his Korean colleagues, Ekken’s naturalistic vision of the Confucian Dao was such that he believed the nature of the Dao “flows through the seasons and never stops. It is the root of all transformations and it is the place from which all things emerge; it is the origin of all that is received from heaven” (Tucker 1989: 81).

The fate of Korean and Japanese Neo-Confucianism was subject to the same immense impact of the arrival of the Western imperial powers. As Korea and Japan struggled to find their ways in the modern world, Neo-Confucianism seemed a historical part of their traditional cultures and hardly something of great value for the transformations of culture in the contemporary world dominated by the Western powers. In this sense, the arrival of Western-inspired modernization marked the end of the Neo-Confucian epoch in East Asia.

7. The Legacy of Neo-Confucianism

The arrival of the imperial Western powers in East Asia during the nineteenth century caused an unprecedented challenge to the Confucian traditions of the region. Never before had the countries of East Asia faced a combination of military conquest, cultural attack and infiltration by a powerful new civilization. Opium, guns and ideas were pouring into Asia during the nineteenth and twentieth centuries, with catastrophic results for the sphere of Confucian East Asia. The intellectual assault was as powerful – and perhaps even more significant in the long term – as the material impositions of colonial and semi-colonial regimes. No Asian tradition suffered more than the Confucian Way.

Yet even in the darkest hours after 1911, a significant renewal movement arose in East Asia in defense of the good to be recovered from traditions such as Confucianism. Along with the revivals of Daoism and Buddhism, there was a new movement in East Asia called in English ‘New Confucianism’ in order to distinguish it from the previous avatars of the Confucian Way. Although New Confucianism has its obvious roots in the great achievements of the Song, Yuan, Ming and Qing periods, it is also the child of intercultural dialogue with Western philosophical movements and ideas. While it is too soon to chart the course of New Confucianism, it is clear that some form of the Confucian Way will not only survive into the 21st century but will flourish anew in East Asia and farther abroad wherever the East Asian Diaspora carries people for whom the Confucian Way functions as part of their cultural background.

Hitherto, it is impossible to chart the changes wrought by either contemporary philosophers who are dedicated to the revival and reformation of the Confucian Way or by other scholars who are interested in Confucian discourse as merely one important traditional element for modern East Asian philosophers to utilize in terms of their own constructive work. It is clear, however, that Neo-Confucianism has now passed over into a completely new era, that of New Confucian ecumenical dialogue and conversation with philosophers from around the global city of a vastly expanded new republic of letters.

8. References and Further Reading

  • Barrett, T. H. Li Ao: Buddhist, Taoist, or Neo-Confucian? Oxford: Oxford University Press, 1992.
  • Berthrong, John H. Transformations of the Confucian Way. Boulder, CO: Westview Press, 1998.
  • Berthrong, John H. and Berthrong, Evelyn Nagai. Confucianism: A Short Introduction. Oxford: Oneworld Publications, 2000.
  • Black, Alison Harley. Man and Nature in the Philosophical Thought of Wang Fu-chih. Seattle: University of Washington Press, 1989.
  • Bol, Peter K. “This Culture of Ours”: Intellectual Transition in T’ang and Sung China. Stanford: Stanford University Press, 1992.
  • Bresciani, Umberto. Reinventing Confucianism: The New Confucian Movement. Taipei, Taiwan: The Taipei Ricci Institute for Chinese Studies, 2001.
  • Chang, Carsun. The Development of Neo-Confucian Thought. 2 Vols. New York: Bookman Associates, 1957-1962.
  • Chen, Chun. Neo-Confucian Terms Explained: The Pei-hsi tzu-I by Ch’en Ch’un (1159-1223). Trans. and ed. Wing-tsit Chan. New York: Columbia University Press, 1986.
  • Cheng, Chung-ying. New Dimensions of Confucian and Neo-Confucian Philosophy. Albany, NY: State University of New York Press, 1991.
  • Cheng, Chung-ying and Nicholad Bunnin, eds. Contemporary Chinese Philosophy. Oxford: Blackwell Publishers, 2002.
  • Ching, Julia. To Acquire Wisdom: The Way of Wang Yang-ming. New York: Columbia University Press, 1976.
  • Ching, Julia. The Religious Thought of Chu Hsi. Oxford and New York: Oxford University Press, 2000.
  • Chu, Hsi and Lü Tsu-ch’ien. Reflections on Things at Hand: The Neo-Confucian Anthology. Trans. Wing-tsit Chan. New York: Columbia University Press, 1967.
  • Chung, Edward Y. J. The Korean Neo-Confucianism of Yi T’oegye and Yi Yulgok: A Reappraisal of the “Four-Seven Thesis” and Its Practical Implications for Self-Cultivation. Albany, NY: State University of New York Press, 1995.
  • Elman, Benjamin A. From Philosophy to Philosophy: Intellectual and Social Aspects of Change in Late Imperial China. Cambridge, MA: Harvard University Press, 1984.
  • Fung, Yu-lan. A History of Chinese Philosophy. 2 vols. Trans. Derk Bodde. Princeton: Princeton University Press, 1952-53.
  • Graham, A. C. Two Chinese Philosophers: The Metaphysics of the Brothers Ch’eng. La Salle, IL: Open Court, 1992.
  • Hartman, Charles. Han Yü and the T’ang Search for Unity. Princeton: Princeton University Press, 1986.
  • Henderson, John B. The Development and Decline of Chinese Cosmology. New York: Columbia University Press, 1984.
  • Huang- Siu-chi. Lu Hsiang-shan: A Twelfth Century Chinese Idealist Philosophy. Westport, CT: Hyperion Press, 1977.
  • Huang Tsung-hsi. The Records of Ming Scholars. Eds. Julia Ching with Chaoying Fang. Honolulu: University of Hawaii Press, 1987.
  • Ivanhoe, Philip J. Confucian Moral Self Cultivation. Second Edition. Indianapolis: Hackett Publishing Company, 2000.
  • Jensen, Lionel M. Manufacturing Confucianism: Chinese Traditions and Universal Civilization. Durham, NC: Duke University Press, 1997.
  • Kalton, Michael C., et al. The Four Seven Debate: An Annotated Translation of the Most Famous Controversy in Korean Neo-Confucian Thought. Albany, N.Y.: State University of New York Press, 1994.
  • Kasoff, Ira E. The Thought of Chang Tsai. Cambridge: Cambridge University Press, 1984.
  • Kim, Yung Sik. The Natural Philosophy of Chu Hsi, 1130-1200. Philadelphia, PA: Memoirs of the American Philosophic Society, 2000.
  • Ko, Dorothy. Teachers of the Inner Chambers: Women and Culture in Seventeenth-Century China. Stanford: Stanford University Press, 1994.
  • Liu, James T. C. Reform in Sung China: Wang An-shih (1021-1086) and His New Policies. Cambridge: Harvard University Press, 1959.
  • Liu, James T. C. Ou-yang Hsiu: An Eleventh-Century Neo-Confucianist. Palo Alto, CA: Stanford University Press, 1967.
  • Liu, Shu-hsien. Understanding Confucian Philosophy: Classical and Sung-Ming. Westport, CT: Praeger, 1998.
  • Liu, Shu-hsien. Essentials of Contemporary Neo-Confucian Philosophy. Westport, CT and London: Praeger, 2003.
  • Makeham, John, ed. New Confucianism: A Critical Examination. New York: Palgrave Macmillan, 2003.
  • Maruyama, Masao. Studies in the Intellectual History of Tokugawa Japan. Trans. Mikiso Hane. Princeton: Princeton University Press, 1974.
  • Metzger, Thomas A. Escape from Predicament: Neo-Confucianism and China’s Evolving Political Culture. New York: Columbia University Press, 1977.
  • Munro, Donald J. Images of Human Nature: A Sung Portrait. Princeton: Princeton University Press, 1988.
  • Neville, Robert C. Boston Confucianism: Portable Tradition in the Late-Modern World. Albany, NY: State University of New York Press, 2000.
  • Nosco, Peter, ed. Confucianism and Tokugawa Culture. Princeton: Princeton University Press, 1984.
  • Ro, Young-chan. The Korean Neo-Confucianism of Yi Yulgok. Albany, N.Y.: State University of New York Press, 1989.
  • Tillman, Hoyt Cleveland. Ch’en Liang on Public Interest and the Law. Honolulu: University of Hawaii Press, 1994.
  • Tillman, Hoyt Cleveland. Confucian Discourse and Chu Hsi’s Ascendancy. Honolulu: University of Hawaii Press, 1992.
  • T’oegye, Yi. To Become a Sage: The Ten Diagrams on Sage Learning by Yi T’oegye. Trans. Michael C. Kalton. New York: Columbia University Press, 1988.
  • Tu, Wei-ming. Neo-Confucian Thought in Action: Wang Yang-ming’s Youth (1472-1509). Berkeley: University of California Press, 1976.
  • Tu, Wei-ming and Mary Evelyn Tucker, eds. Confucian Spirituality. 2 vols. New York: The Crossroad Publishing Company, 2003-04.
  • Tucker, Mary Evelyn. Moral and Spiritual Cultivation in Japanese Neo-Confucianism: The Life and Thought of Kaibara Ekken (1630-1714). Albany, N.Y.: State University of New York Press, 1989.
  • Yao, Xinzhong, ed. Encyclopedia of Confucianism. 2 vols. London and New York: RoutledgeCurzon, 2003.

Author Information

John H. Berthrong
Email: jhb@bu.edu
Boston University
U. S. A.

Imagery and Imagination

imageryBoth imagery and imagination play an important part in our mental lives. This article, which has three main sections, discusses both of these phenomena, and the connection between them. The first part discusses mental images and, in particular, the dispute about their representational nature that has become known as the imagery debate. The second part turns to the faculty of the imagination, discussing the long philosophical tradition linking mental imagery and the imagination—a tradition that came under attack in the early part of the twentieth century with the rise of behaviorism. Finally, the third part of this article examines modal epistemology, where the imagination has been thought to serve an important philosophical function, namely, as a guide to possibility.

Table of Contents

  1. The Imagery Debate
    1. Two Views About Mental Images: Pictorialism vs. Descriptionalism
    2. The Argument from Introspection
    3. Objections to Pictorialism
    4. A Remaining Question About Pictorial vs. Descriptional Representation
  2. Accounts of Imagination
    1. Image-Based Theories
    2. Non-Image-Based Theories
  3. Imagination and Possibility
  4. References and Further Reading

1. The Imagery Debate

Consider the following list of questions:

  • What shape are a beagle’s ears?
  • How many windows are in your bedroom?
  • Which is a darker shade of green, a pine tree or a frozen pea?
  • When a person stands up straight, which is higher, her navel or her wrist?
  • If the letter D is turned on its back and put on top of a J, what does the combination remind you of?

When attempting to answer these questions, which are adapted from Pinker (1997) and Kosslyn (1995), you undoubtedly produced mental imagery—images of beagles, of windows, and of peas. For some of these questions, you probably had to produce two different images to compare to one another, while for some of the other questions, you probably had to rotate the image you produced from the orientation at which it started. These tasks probably also seemed routine—the production and manipulation of mental images are common aspects of our mental lives. But what are these mental images? What role do they play in our mental life? In attempting to answer these questions, philosophers and cognitive scientists have given two very different sorts of answer.

a. Two Views About Mental Images: Pictorialism vs. Descriptionalism

We are naturally inclined to think of mental images as analogous to non-mental images. Consider, for example, my mental image of the Grand Canyon and a photograph of the Grand Canyon. Intuitively, the two are similar sorts of representations. Both are pictures—only the latter is in a frame while the former is in my head.

This view of mental images, commonly referred to as pictorialism, is defended most prominently by Fodor (1975) and Kosslyn (1980). (See also Kosslyn and Pomerantz 1977.) In addition to its intuitive attractiveness, pictorialism derives support from various empirical experiments concerning mental image rotation and scanning (Shepard and Metzler 1971; Kosslyn 1973; Shepard and Cooper 1982). In one such experiment, subjects were asked to identify whether a pair of figures, such as letters, digits, or block formations, were identical or different. In each pair, the second figure had been rotated to an orientation different from the first. The experimenters discovered that subjects’ response times varied directly with the degree of rotation between the figures, a finding that suggests that the subjects were mentally rotating images of the objects.

Despite this intuitive and empirical support, however, pictorialism runs into trouble in its attempt to account for the mental pictures (or, at least, the quasi-pictures—see Kosslyn 1980) that it posits. If such pictures are non-physical, then they are not made of the right sort of “stuff” for use in a scientific conception of the mind. In order to avoid dualism, then, the pictorialist seems forced to suppose that these pictures in the head are located in the brain. Unfortunately, this supposition is also problematic, as it is not clear that there are any structures in the brain that could plausibly be construed as these physical pictures.

Motivated in large part by such worries, many philosophers and other researchers in contemporary cognitive science advocate an alternative view called descriptionalism. Among its most prominent defenders are Dennett (1969, 1979) and Pylyshyn (1973, 1978). While pictorialists claim that mental images represent roughly in the way that pictures represent, descriptionalists claim that they represent roughly in the way that language represents. Consider a state of affairs where George W. Bush is seated to the right of Dick Cheney. One way to represent this situation is by drawing a picture of Bush and Cheney with Bush sitting to Cheney’s right. As we have seen, pictorialists claim that this provides us with a model for the way that mental images represent. But another way to represent the same state of affairs is with a sentence such as, “George W. Bush is sitting to the right of Dick Cheney.” Descriptionalists claim that this provides a better model for the way that mental images represent.

Natural language descriptions, however, are by no means the only kind of representations that count as descriptional in the sense intended by descriptionalists. In fact, for the descriptionalists, a representation can count as descriptional even if it is not literally descriptive of the states of affairs represented. Consider one such representation: the binary language of a computer. In a computational system, a particular string of 0s and 1s might represent the above state of affairs. Alternatively, consider a representation of this state of affairs that proceeds by defining a certain operator, the “RIGHT-OF” operator, that takes an ordered argument pair: RIGHT-OF(George W. Bush, Dick Cheney). Like the sentence “George W. Bush is sitting to the right of Dick Cheney,” the binary representation and the operator representation are clearly not pictorial in nature. One important reason is that these representations do not look like what they represent. What sets pictorial representations apart from other representations is that they represent in virtue of having at least one visual characteristic (e.g., form, shape, or color) in common with what they represent. So, for example, though a black-and-white photograph can represent a pumpkin pictorially, a drawing of a purple triangle cannot.

The dispute between the pictorialists and the descriptionalists, known as the imagery debate, has generated considerable controversy and discussion in the last thirty years. As we have seen, the imagery debate concerns the representative nature of mental images. The descriptionalists challenge the pictorialists’ claim that mental images represent in a pictorial way. Unfortunately, the imagery debate is commonly mischaracterized as a debate over the existence of mental images. Descriptionalists are often taken to be denying the existence of mental images, while pictorialists are often taken to be defending their existence. (See Block 1981a for discussion of this mischaracterization.) The situation is exacerbated by the very participants in the debate, who themselves often obfuscate the issue between them. Dennett (1979) describes the debate as “a war between the believers and the skeptics, the lovers of mental images … and those who decry or deny them,” and he frequently puts his own position in terms of “abandoning” mental images. Likewise, Fodor (1975) cites empirical studies in an effort to “argue forcibly for the psychological reality of images.” The pictorialist, however, should really be seen as arguing for the psychological reality of pictorial representation, which is also what the descriptionalist should be seen as abandoning.

b. The Argument from Introspection

It is also important to note that the imagery debate is not a debate over whether we “think in words” or “think in images.” To see this, it will be useful to consider the argument from introspection that is directed at descriptionalism. When we introspect, it seems to us that our mental images look like what they represent. This introspective judgment is often taken as definitive support for pictorialism, since pictorial representations look like what they represent while descriptional representations do not.

Block (1983) and Tye (1991) each argue persuasively that this argument should be rejected. Properly understood, the evidence from introspection can be seen to be neutral with respect to the imagery debate. To see this, we need to distinguish the experience of imaging from the representation that underlies or accounts for this experience. Consider the following analogy: Suppose you were to come across a box on whose surface was displayed a crude black and white image of a rabbit in a meadow. You might then ask: What is going on inside this box to account for the rabbit-image? One possibility is that some sort of slide projector inside the box projects the rabbit-image onto the box’s surface. If this were the case, then what underlies the image would be a pictorial process. But another possibility is that a computer inside the box produces the rabbit-image by way of binary code – strings of 0s and 1s that turn certain pixels on the surface of the box to black, certain pixels to gray, and so on, such that the rabbit image appears. If this were the case, then what underlies the image would be a non-pictorial process.

As this analogy suggests, the pictorialists claim that underlying the experience of mental imagery is some sort of representation that is pictorial in nature while the descriptionalists claim that underlying the experience of mental imagery is some sort of representation that is descriptional or linguistic in nature. By distinguishing between experiences and the underlying representations, we undercut the force of the introspective judgment that lies at the heart of the argument from introspection, namely, that mental images look like what they represent.

Pictorialists and descriptionalists alike thus accept that we sometimes think in images. In other words, pictorialists and descriptionalists agree that we have certain imagistic experiences, that we experience what we would call “imaging.” When we introspect, when we look within, it seems to us as if we are experiencing mental pictures. But the experience is one thing, the representation that accounts for this experience another. The pictorialists think that the introspective data should be interpreted just as it seems—our mind manipulates representations that are pictorial in nature. The pictorialist view thus offers us a unified conception of our experiences and the representations that underlie them. In contrast, the descriptionalists think that the introspective data is misleading in a certain sense; our experiences are not quite as they seem. Insofar as it seems to us that we have certain mental representations that are pictorial in nature, we are the victims of an illusion.

In defending descriptionalism against the argument from introspection, Tye (1991) makes the further point that all that introspection really suggests is that imaging is like perception: “to assert that a mental image of my brother, say, looks to me like my brother is merely to assert that my imagistic experience is like the perceptual experience I undergo when I view my brother with my eyes.” Empirical experiments have tended to confirm introspective reports that imaging resembles perceiving. Perky (1910) placed a number of people in a room, facing a screen, and asked them to produce mental images of various ordinary objects on the screen. The subjects were not aware of the fact that, after they had reported that they were engaged in the requested imaging (of a banana, for example), an image of a banana was lightly projected onto the screen. The projected image was slowly increased in intensity until, eventually, it was visible to any newcomer entering the room. Nonetheless, the subjects never realized that they were seeing an image of a banana. The only differences that they noted in their subjective experiences were changes in the size and the orientation of the banana they had been imaging. In this highly controlled setting at least, seeing was mistaken for visual imaging.

Additional empirical evidence strongly suggests that the mechanisms underlying imagery and underlying perception are the same. (For an overview of some such experiments, see Finke and Shepard 1986.) One set of important results was generated by Kosslyn (1993), who demonstrated using positron emission tomography (PET) that areas of the brain activated when we engage in object recognition are also activated when we produce visual mental imagery. Other important results come from studies on patients who have suffered damage to parts of their visual system. Bisiach and Luzzatti (1978) studied patients who suffer from hemi-neglect, i.e., patients who ignore objects in one half of their visual field. These patients were discovered also to neglect objects in the same half when producing mental images. To give another example, prosopagnosiacs, who cannot recognize faces, have been shown to suffer from similar difficulties when interpreting mental imagery (Levine, Warach, and Farah 1985).

Given the totality of the evidence, both introspective and empirical, it seems reasonable to assume that the representations underlying the experience of imagery are like the representations that underlie the experience of perception. Importantly, however, the representations that underlie the experience of perception may themselves be descriptional in nature. Thus, without a theory of the nature of the representation underlying perceptual experience, evidence connecting mental imagery with perception cannot be taken as support for pictorialism.

c. Objections to Pictorialism

While the above considerations suggest that the argument from introspection should be rejected, they do not entail the truth of descriptionalism. So why would anyone embrace descriptionalism? One influential consideration, as noted earlier, comes from the seeming incompatibility of pictorialism and materialism. This problem, at least in part, is what Block (1983) has called the No Seeum Objection: when we look in the brain, we do not see any pictures.

Of course, when we look in the brain, we do not see any descriptions either. But, in contrast to the pictorialists, the descriptionalists seem to have an easy response to the No Seeum charge. Sterelny (1986) notes that, since sentences are not medium-dependent, accounting for descriptional representations in the brain is unproblematic: “Sentences can come as sound waves, marks on paper, electrical pulses, punched cards, and so on. Why not then as patterns of neural firings as well?”

Interestingly, Block (1983) argues that we can extend this sort of response to protect pictorialism from the No Seeum objection as well. To know whether you are looking at a descriptional representation, you must be familiar with the representational medium that is in use. Block proposes that the pictorialist can adopt this same line of reasoning. What makes something the sort of representation that it is, regardless of whether it is pictorial or descriptional, depends in large part on the system of representation in which it functions. Thus, until we know more about how the representational system of the brain works, we are unlikely even to be able to tell which structures in the brain are representations, let alone what sort of representations they are.

Descriptionalism has also been thought to gain support from the Paraphernalia Objection to pictorialism: even if we were to discover pictures in the brain, these pictures could not play a role in our cognitive processes unless there were an internal eye to see the pictures, and since there is no such internal eye, pictorialism must be false. (See Rey 1981, Block 1983 for discussion of this objection.) Dennett (1969) voices the Paraphernalia objection by way of an apt analogy:

Imagine a fool putting a television camera on his car and connecting it to a small receiver under the bonnet so the engine could ‘see where it is going’. The madness in this is that although an image has been provided, no provision has been made for anyone or anything analogous to a perceiver to watch the image.

According to the Paraphernalia objection, the pictorialist is like this fool. Block (1983) and Kosslyn (1980) each suggest responses that the pictorialist can make to this objection; in short, the basic strategy is to invoke mechanistic explanation.

Finally, Dennett (1969) presents two examples that seem to cause trouble for pictorialism and provide support for descriptionalism. The first example involves a striped tiger. (See also Armstrong 1968 for a related example involving a speckled hen.) Form a mental image of a tiger and then try to answer the following question: How many stripes does that tiger have? Invariably, the question cannot be answered; the mental images that we form typically do not contain that information. However, just as all tigers have a definite number of stripes, so too do all pictures of tigers. Thus, if mental images were pictorial, a mental image of a tiger should reveal a definite number of stripes. More formally, the objection to pictorialism that the striped tiger example poses can be stated as follows:

  1. Mental images can be indeterminate with respect to visual properties (e.g., the number of stripes on a tiger).
  2. Pictorial representations cannot be indeterminate with respect to visual properties.
  3. So, mental images are not pictorial representations.

Dennett’s second example attempts to show that mental images can be noncommittal in a way in which pictorial representations generally cannot. (See also Shorter 1952. In what follows, I slightly modify Dennett’s example. See Block 1981a for a discussion of why the example needs modification.) Form a mental image of a tall woman wearing a hat and then try to answer the following questions: What kind of hat was it? Was she sitting or standing? Was she indoors or outdoors? Was she wearing shoes? Was she wearing a watch? Though you can undoubtedly answer some of these questions—probably you can tell what kind of hat the woman was wearing in your image, be it a beret or a cowboy hat or a baseball cap—you were probably unable to answer some of the others. When asked whether she was indoors or outdoors, or whether she was wearing a watch, you probably did not have enough information to answer the question. And this need not be because you imagined her only from the neck up. Even if you imagined her full-figure before you, your image likely did not go into sufficient detail to enable you to answer whether she was wearing a watch.

Consider next a picture of a tall woman wearing a hat. Dennett argues that in a pictorial representation of the woman, assuming that her wrists are in view, she must either be depicted wearing a watch or not wearing a watch. The only way for the picture to avoid addressing the issue would be to have something obscuring the woman’s wrists. This seems to differentiate the representational nature of a mental image from the representational nature of a picture. Your image can be inexplicitly noncommittal about whether she is wearing a watch, but a picture can only be explicitly noncommittal about it. (This terminology derives from Block 1981a.)

Finally, consider a written description of the woman. Clearly a description can be inexplicitly noncommittal. Your description might be very short, for example, which would make it impossible to tell whether the woman was wearing a watch or not. Dennett thus concludes that mental imagery has to be descriptional, and not pictorial, in nature.

In response to this example, Block (1981a), Fodor (1975), and Tye (1991) have each argued that Dennett is operating with too narrow a conception of pictorial representation, accusing him of committing the photographic fallacy. If we consider photographs, which are one kind of pictorial representation, then it might seem that Dennett is right: photographs are incapable of being inexplicitly noncommittal about visual features. But consideration of photographs does not show that pictorial representation in general lacks this option. In particular, consider children’s drawings or stick figures. In drawing a stick figure of a woman, you might simply fail to go into the matter of the woman’s wristwear. There are lots of different kinds of pictorial representation, and although both stick figure drawings and photographs represent pictorially, they do so in very different ways. The pictorialists’ claim that mental images represent pictorially should not force one to the position that mental images are like mental snapshots; they might be more like mental stick-figure drawings.

Interestingly, these points about the photographic fallacy do not protect the pictorialist from the striped tiger example. Since there is a difference between being inexplicitly noncommittal and being indeterminate, the fact that some pictorial representations, like stick figures, are able to be inexplicitly noncommittal about certain visual features does not show that they can be indeterminate about these visual features. The descriptionalist might argue that just as a photograph has to depict a determinate number of stripes on the tiger, so too does a stick-figure drawing.

Fodor (1975) suggests a way to deny the first premise of the above argument. It might be that there is some definite answer to the question, “how many stripes does my image-tiger have?” but that I cannot answer the question because images are labile (changing constantly, plastic); the problem is that we cannot hold onto our images long enough to count the stripes. Ultimately, however, Fodor rejects the second premise of the above argument, suggesting that on blurry or out-of-focus pictures there may not be a determinate answer to the question, “How many stripes are there on the photograph?” (See Hannay 1971 for a similar treatment of the problem.)

Alternatively, the pictorialist might reject the move that Dennett seems to make from the claim:

(a) I cannot count the stripes on the tiger in my mental image

to the claim:

(b)The mental image is indeterminate with respect to the number of stripes.

Your mental image might well be determinate without your being able to count the stripes. For example, if you only get a fleeting glance at an actual tiger, you are not going to be able to count his stripes. (See Lyons 1984 for a suggestion of this sort.) But that does not entail that the tiger has an indeterminate number of stripes.

d. A Remaining Question About Pictorial vs. Descriptional Representation

Above, in explaining the descriptionalist view, I noted that descriptional representations need not be literally descriptive. Descriptional representations are characterized primarily negatively, i.e., for the purposes of understanding the imagery debate, a representation will count as descriptional as long as it is not pictorial. This assumes, however, that we have a clear understanding of what makes a representation pictorial. Unfortunately, spelling out exactly what makes a representation a pictorial one—or, to put it another way, spelling out the nature of depiction—turns out to be rather difficult.

It is standardly noted that a pictorial representation must have at least one feature in common with what it is representing. Not just any feature will do, so we will have to limit ourselves to visual features. Suppose that we could specify, without begging any questions, what a visual feature is. In any case, we can surely identify some uncontroversial examples of visual features, such as color and shape, even if we cannot give a precise specification of what makes something a visual feature. Nonetheless, it soon becomes apparent that merely sharing the visual feature of color with the thing represented seems insufficient to make a representation pictorial. To take an obvious example, writing the noun “apple” in red ink does not make it a pictorial representation of an apple. (See Rey 1981 and Hopkins 1995 for further discussion of the nature of depiction.)

In the absence of a clear characterization of pictorial representation, some recent accounts of mental images may seem difficult to classify as either pictorialist or descriptionalist. For example, Tye (1991) claims that his own view of mental imagery—which treats images as interpreted, symbol-filled arrays—is a “hybrid” one. Since these arrays are in some respects like pictures but in other respects like linguistic representations, Tye claims that his view cannot be easily classified as either pictorialist or descriptionalist.

2. Accounts of Imagination

Mental imagery clearly plays a role in many mental activities. For example, memory often proceeds by way of imagery. But no mental activity is more prominently linked with mental imagery than that of imagining. In this section, I will discuss different accounts of the imagination, paying particular attention to the connections between imagery and imagination.

a. Image-Based Theories

René Descartes’ treatment of the imagination (1642/1984) is representative of a long philosophical tradition that analyzes imagination in terms of mental imagery. As he says in his Meditations on First Philosophy:

[I]f I want to think of a chiliagon, although I understand that it is a figure consisting of a thousand sides just as well as I understand the triangle to be a three-sided figure, I do not in the same way imagine the thousand sides or see them as if they were present before me. … But suppose I am dealing with a pentagon: I can of course understand the figure of a pentagon, just as I can the figure of a chiliagon, without the help of the imagination; but I can also imagine a pentagon, by applying the mind’s eye to its five sides and the area contained within them. And in doing this I notice quite clearly that imagination requires a peculiar effort of mind which is not required for understanding.

Presumably, what he means by this “peculiar effort of mind” is the effort to produce an image. In this way, Descartes sharply distinguishes the act of imagining from the related intellectual act of conceiving (or, in his terms, the act of understanding).

On this understanding of the imagination, imagining is thought of as importantly analogous to perception. This fits well with various experimental data (notably, Perky 1910) and corresponds to a long philosophical tradition of treating imagining as an inferior kind of perceiving. For example, Thomas Hobbes (1651/1968) refers to imagining as “decaying sense” and George Berkeley (1734/1965) claims that sense perceptions are “more strong, lively, and distinct” than our imaginings.

This analogy between imagining and perceiving makes it natural to consider imagination as a kind of perception with the “mind’s eye.” Again, Descartes’ discussion of the imagination in the Sixth Meditation provides a representative example of this:

When I imagine a triangle, for example, I do not merely understand that it is a figure bounded by three lines, but at the same time I also see the three lines with my mind’s eye as if they were present before me; and this is what I call imagining. (1642/1984)

Of course, there are clear instances of imagining in which the mind’s “eye” is not doing any work at all, i.e., in which visual images are not involved. Vendler (1984) gives examples such as imagining the roar of the lion, imagining the smell of onions frying on a grill, imagining the heat of the sun, imagining the pain in one’s molar. The image-based account thus must extend the notion of image to encompass imagistic representations from other sensory modalities. Presumably, there are counterparts to visual images for each of the other senses—auditory images, olfactory images, and so on. The case of imagining the pain in one’s molar can be dealt with in a parallel way. Although pain is not perceived by one of the five traditional senses, there is an analogue to sensory images that comes into play in this case: what is often called an affective image.

Even with this broad understanding of the notion of image, however, there are instances of uses of the word “imagine” in everyday language that do not seem to involve mental imagery. Consider cases where “imagine” is used to signal supposition (or, even more commonly, false supposition), as when a parent who says, “I imagined that my daughter was in her room last night, when in fact I now learn that she snuck out her bedroom window.” Consider also cases where “imagine” is used as part of various idiomatic expressions, as when someone says, “Imagine that!” in response to some surprising news.

Fortunately for the proponent of an image-based account, such cases can be easily dismissed. Surely it is unreasonable to expect that we should have to accommodate every ordinary language use of “imagine” or its cognates when giving an account of the imagination. (But see White 1990 for a contrary view.) Rather, what we should focus on are the cases where the imagination is actually being exercised and attempt to explain the nature of such imaginative exercises. This is what the proponent of the image-based account attempts to do.

So let us focus on actual exercises of the imagination. Are there any such exercises in which there is no mental imagery? Ryle (1949) answers in the affirmative. Though he grants that acts commonly described as “having a mental picture” of something are instances of imagining, he argues that concentrating on these sorts of examples to the exclusion of others gives us a misleading picture of what the imagination is. Consider:

  1. a witness who lies when she takes the stand
  2. an inventor who contemplates the machine she is working on
  3. a novelist working out the plot of her next book
  4. a group of children who are pretending that they are bears.

In these cases, Ryle claims that the witness, the inventor, the novelist, and the children may be exercising their imaginations without accompanying imagery. (In fact, the exercises of the imagination that occur when the judge listens to the lying witness’ story, the inventor’s colleague comments on the new machine, someone reads the novel, and the mother ignores the growls emanating from the “bears,” also might well proceed without imagery.) Think about what is going on when a group of children “play bears.” They get down on their hands and knees, growl at each other, probably rearrange the sofa cushions to make dens for themselves, and so on—but while engaging in this activity, they need not produce mental imagery of, say, furry paws and the snowbound den.

In response to Ryle’s discussion, the proponent of an image-based conception of the imagination might argue that these cases conflate being imaginative with exercising the imagination. But even if this suggestion covers the above cases, there are additional examples for which the suggestion lacks plausibility. White (1990) suggests that “we can imagine, or be unable to imagine, what the neighbours will think or why someone should try to kill us, just as we can imagine that the neighbours envy us or that someone is trying to kill us. Yet none of these imagined situations is something picturable in visual, auditory or tangible terms and, therefore, none is something pertaining to imagery.” Likewise, although we can imagine George W. Bush playing the electric guitar, how (assuming that imagining requires imagery) can we imagine his having a secret desire to be a rock and roll musician? What image could we produce to imagine, as John Lennon exhorts us to do, that there’s no heaven?

In addition to dealing with counterexamples such as these, there are two questions that any proponent of an image-based account must answer:

(1)What role does the image play in imagining?

(2)What makes an imagining the imagining that it is?

Image-based theories have often been saddled with an unfortunate answer to the first of these questions. First, once someone invokes mental images in an account of imagination, she appears to commit herself to the claim that such images are the objects of our imaginings—a highly implausible claim. (For development of this argument, see Vendler 1984.) In brief, the problem with this view is that when I imagine something, say George W. Bush, my imagining is about George W. Bush, not about a mental image. The proponent of an image-based account thus must find some other way of answering question (1).

Interestingly, image-based theories have also often been saddled with an unfortunate answer to the second question, namely, that the image involved in an imagining serves to individuate the imagining from other imaginings. The problem, however, is that imagery seems neither necessary nor sufficient to make an imagining the imagining it is. The basic worry traces back to Wittgenstein (1953), who wrote, “What makes my image of him into an image of him? Not its looking like him.” (See also Tidman 1994.) Consider the following two examples from White (1990):

One is imagining exactly the same thing when one imagines that, for example, a sailor is scrambling ashore on a desert island, however varied one’s imagery may be.

The imagery of a sailor scrambling ashore could be exactly the same as that of his twin brother crawling backwards into the sea, yet to imagine one of these is quite different from imagining the other.

Although proponents of image-based theories have various options for answering both of these questions (see Kind 2001), the associated problems have often led to the abandonment of image-based accounts.

b. Non-Image-Based Theories

In response to the apparent problems besetting image-based accounts (particularly the apparent counterexamples discussed above), many theorists deemphasize the role and importance of mental imagery in imagination. While accepting that some exercises of the imagination involve imagery, they deny that the imagery plays any sort of essential role in making a mental act an act of the imagination; moreover, they also claim that there are other instances of imagining that do not involve imagery. Scruton (1974) and Walton (1990) both offer theories of this sort. Scruton claims that “imagining may, and often does, involve imagery” but that “neither [imagination nor imagery] is a necessary feature of the other.” Walton accepts that some exercises of the imagination “consist partly in having mental images,” but claims also that “imagining can occur without imagery.” Hidé Ishiguru (1966) deemphasizes the image even further. On Ishiguru’s view, imagery never plays an essential role in imagining: “mental images are, at most, necessary tools for a limited number of people in certain kinds of exercise of the imagination and are, for many people, merely psychological accompaniments which occur when they are engaged in imaginative work and not the essence of it.” Finally, another non-image-based account is offered by White (1990), who claims that to imagine a state of affairs is to think of it as possibly being so.

Perhaps the most important variety of non-image-based account, however, is the experiential theory. Lyons (1986), Peacocke (1985), and Vendler (1984) each offer a version of this theory. While there are significant differences between these three philosophers’ versions of the experiential theory, there are nonetheless important similarities, and I will here concentrate on Vendler’s version as representative of the tradition that analyzes imagining in terms of experience.

Vendler explicitly treats imagination as a kind of vicarious experience, claiming that “the materia ex qua of all imagination is imagined experience.” To motivate this account, Vendler contrasts two different kinds of imaginative exercises. First, imagine swimming in cold water. Next, imagine yourself swimming in cold water. In the first case, what you do is to imagine the salty taste of the water, the feel of the waves as they lap against you, and so on. You put yourself in the water from the inside. Vendler calls this subjective imagining. In the second case, one thing you might do is to picture yourself in the water, so you see your head bobbing in the waves, and so on. Once again, you put yourself in the water, but in this case you do it from the outside. Vendler calls this objective imagining.

Notice that I can adopt the same objective perspective in imagining someone else. I can just as easily imagine my sister or my husband swimming in the ocean as I can imagine myself swimming in the ocean. But subjective imagining works differently. There, I conjure up the experiences that I would be having if I were in certain circumstances, and it seems that I can do this only about myself. In objective imagining, I imagine what someone, myself included, would look like in a certain situation; in subjective imagining, I imagine what the situation itself would feel like.

Clearly, subjective imagining involves evoking experiences. When I imagine swimming in the ocean, I evoke experiences like feeling cold, being pulled by the current, and seeing the shoreline. Interestingly, however, Vendler argues that objective imagining also requires us to evoke experiences. When I imagine myself swimming in the water, I am essentially imagining the experience of seeing (or hearing, etc.) myself swimming in the water. Thus, objective imagination ultimately reduces to a specialized kind of subjective imagination. According to Vendler, the materials of both subjective and objective imagination are basically the same, namely, experiences. Both kinds of imagination are constructions out of experiences, but the constructions proceed in slightly different ways: “In the subjective case the aim is to represent a consciousness, one’s own, or someone else’s, at a given point of life-history. In the objective case the purpose is to represent a thing as it appears in the field of experience” (Vendler 1984).

Adopting an experiential account has interesting consequences for answering the question: What can we imagine? The basic form of subjective imagining is “I imagine φ-ing,” suggesting that we can substitute any activity for φ. But Vendler does not believe that we can. Consider being dead, or being sound asleep, or snoring while sound asleep. These are activities, or states of being, that lack experiential content. According to an experiential account of imagining, it is a necessary condition on imagining performing a certain action φ (or imagining being in a certain condition C) that there be an experiential content to φ-ing (or to being C). Thus these are activities that Vendler does not think we can imagine.

An interesting corollary of this necessary condition comes out in Thomas Nagel’s seminal paper, “What is it like to be a bat?” (1974). Bats are mammals, and most of us would probably share the intuition that they have conscious experiences, but bats perceive the external world in a way that is radically different from the way we perceive the external world: they use sonar, or echolocation. They emit high-pitched, subtly modulated noises and then detect objects that are in range on the basis of the reflections they detect. This raises an interesting question: can we know what it is like to be a bat? In attempting to answer this question, Nagel implicitly endorses the claim of an experiential account that we can only imagine what we can experience; as he notes, “Our own experience provides the basic material for our imagination, whose range is therefore limited.” Because Nagel thinks our imagination does not allow us to extrapolate to the experience of bats, he denies that we can imagine what it is like to be a bat. This shows that on an experiential account, not only must there be an experiential content to φ-ing (or to being C), but also it must be the case that the experiential content is in principle accessible to the imaginer.

Although the experiential account has some intuitive plausibility, the reduction of objective imagination to subjective imagination requires the proponent of the experiential analysis to do some fancy footwork in response to certain occurrences of the word “imagine” that come up in everyday speech. For example, it is quite common to say things like:

  • “Imagine that there is life on Mars.”
  • “I can pretty clearly imagine why she married him.”
  • “Imagine what would happen if the NAFTA treaty had not been signed.”

In each case, it seems as if we change the meaning of each of these mental exercises if we insert the word “seeing.” Imagining that there is life on Mars might not entail putting myself into the situation as observer, that is, it seems that it need not involve imagining seeing that there is life on Mars. Similar points can be made about the other two cases.

To deal with this problem, Vendler argues that the word “imagine” functions differently in these cases from the way it functions in the cases of objective and subjective imagination that we’ve been talking about. In essence, Vendler denies that these claims describe genuine exercises of the imagination. Just as one might say “I can pretty well see why she married him” without implying that one was doing something with one’s eyes, one can say “I can pretty well imagine why she married him” without implying that one is doing something with one’s imagination. In this case, it seems plausible to suppose that what is going on is an exercise of reasoning rather than a perceptual or imaginative exercise. (This recalls the strategy used by the image-based theorists to dismiss cases in which the word “imagining” seems to mean only supposition.)

There are, however, other cases that Vendler may not be able to dismiss as easily. Some of these are the sorts of cases that threaten image-based accounts—both image-based theories and experiential theories have trouble accounting for apparently non-perceptual imagining, as when someone imagines a solution to a problem. White (1990) suggests other examples as well; for example, one can imagine “sacrificing everything for one’s principles or selling one’s birthright for a mess of pottage, without giving oneself a representation of any experiences.” Or, to use another of White’s examples, suppose someone imagines giving up all she has for love. It is hard for the experiential theorist to dismiss this as an exercise of mere reasoning, but likewise, it is not plausible to suggest that in such an imagining what one is doing is imagining seeing oneself giving up all one has for love.

Interestingly, the fact that examples of the sort that threatened image-based accounts reappear in the context of experiential accounts suggests an important connection between these two types of accounts. Though image-based accounts and experiential accounts initially appear clearly different, in that they draw attention to different features that make an act an act of the imagination, it can be argued that the experiential analysis entails that acts of the imagination will involve mental imagery. If such an argument were to succeed, then the experiential account would ultimately collapse into an image-based account. Recall that Vendler claims that the material of the imagination is imagined experience. The image-based theorist might try to argue that these experiences can only be understood in terms of imagery. Similar points might be made about other experiential theories. For example, Lyons (1986) offers an experiential analysis according to which imagination is the “replay” of perception. For Lyons, when someone imagines something, she does not form a mental image but rather rehearses, reactivates, or replays the act of seeing that thing. But since, as we saw above, empirical evidence strongly suggests that the mechanisms underlying imagery and underlying perception are the same, the replay of perception will likely involve imagery as well.

As the foregoing suggests, even if experiential theories do not analyze imagination in terms of imagery, such theories may be thought at least implicitly to rely on imagery. Thus, insofar as mental imagery is ontologically problematic, such problems will likely confront experiential theories as well as image-based theories. Ontological worries about imagery began with the rise of behaviorism in the early twentieth century. As the mind-brain identity theory gained currency in the 1950s, worries about imagery grew, since the very existence of mental images has been thought to raise an ontological problem for such theories. To put the problem crudely, images are not the right sort of “stuff” for use in a scientific explanation of the mind. This problem has engendered a strong antipathy for mental images in the second half of the twentieth century. Correspondingly, many of the mid- to late-twentieth century theories of imagination, such as those offered by Ryle (1949), Shorter (1952), Armstrong (1968), and Dennett (1969), are imageless theories.

Ryle’s theory, which is probably the most developed of the imageless theories, was constructed in direct reaction to the Cartesian view of imagining. Ryle worries that once we think of imagining as a sort of seeing with the mind’s eye, we are inclined to suppose that there exist things, mental images, that are seen with the mind’s eye. His goal is to prevent this natural move: “the familiar truth that people are constantly seeing things in their minds’ eyes and hearing things in their heads is no proof that there exist things which they see and hear….” His defense of this claim relies in large part on an analogy: Just as the fact that a murder is staged as part of a play does not entail that there is a victim actually murdered, the fact that we see things with the mind’s eye does not entail that there are things actually seen. This analogy also leads Ryle to a positive theory of the imagination. Since an actor’s resemblance to a murderer can be explained by the fact that he is pretending to be a murderer, and pretending to murder, we can also explain the similarity between the imaginer and the observer by invoking the notion of pretense. More generally, Ryle claims that imagining is a species of pretending.

Ryle is clearly right that there are similarities between imagining and pretending; in particular, there is what we might call an “air of hypotheticality” to both activities. But despite such similarities, it seems a mistake to characterize the former sort of activity in terms of the latter. As Ryle characterizes it, pretending is typically a performance intended to convince, while imagining is the sort of pretending that typically aims at convincing oneself rather than others. But many cases of imagining involve no attempt at persuasion—even of oneself. Consider various different kinds of imagining: imagining one’s next dentist appointment, imagining the pain of having a tooth pulled, or imagining the tooth itself. In none of these imaginings must we suppose that the imaginer tries to convince herself of anything. White (1990) criticizes Ryle’s analogy between pretending and imagining in detail, elaborating numerous differences between these two types of activities. (See also Hamlyn 1994.)

Kind (2001), in addition to providing further criticism of Ryle’s account, argues more generally that any theory of imageless imagining is likely to be unsatisfactory. The argument rests on the inability of imageless theories to account sufficiently for three features of imagining: its directedness, its active nature, and its phenomenology. A theory which assimilates imagining to pretending, as Ryle’s did, can account for the active nature of imagining, and perhaps for its directedness, but not for its distinctive phenomenology. Another option available to the imageless theorist, such assimilating imagining to belief, will account for its directedness, but not for its active nature or its phenomenology. Likewise, if the imageless theorist were to assimilate imagining to sensation, he could account for its phenomenology, and perhaps for its directedness, but not for its active nature. Though Kind admits that there may be other options available to the imageless theorist, she takes her reflection on the above examples to suggest the basic difficulty that any imageless theory confronts: It seems that an adequate account of imagination must invoke some sort of mental representation in order to account for the directedness and active nature of imagining, but non-imagistic mental representations seem unable to account for imagining’s phenomenology. The invocation of imagery seems to be the only way to account for the three features of imagining in conjunction.

3. Imagination and Possibility

Now that we have reflected on the nature of the imagination, in this last section let us consider briefly the role that imagination plays in modal epistemology. Like David Hume (1739/1969), who wrote in the Treatise that “nothing we imagine is absolutely impossible,” contemporary philosophers have often associated the imaginable with the possible. Moreover, it is commonly supposed that the faculty of the imagination is an important tool in our acquisition of modal knowledge; the imagination, it is thought, serves as an epistemological guide to possibility.

Strictly speaking, the above quotation from Hume draws a connection between what we (in fact) imagine and what is possible, but philosophers have generally drawn the evidential link between what is imaginable and what is possible. Conversely, there has also been thought to be an evidential link between what is unimaginable and what is impossible; Hume claimed, for example, that our inability to imagine a mountain without a valley leads us to regard a valley-less mountain as impossible. The traditional conception of the link between imagination and possibility thus comprises the following two claims:

Unimaginability claim: if something is unimaginable, then it is impossible.

Imaginability claim: if something is imaginable, then it is possible.

Though these claims did not originate with Hume—Descartes (1642/1984), for example, famously relied on the imaginability claim in his argument for dualism, drawing the conclusion that disembodiment is possible from the premise that disembodiment is imaginable—he is the philosopher with whom they are most commonly associated. Thus, I will refer to them jointly as the Humean thesis.

Many different notions of possibility abound in contemporary philosophical discussion, so we should be clear that the possibility invoked by the Humean thesis is usually meant to be a very weak one, namely, logical possibility. Importantly, logical possibility far outstrips physical possibility; what is physically possible is governed by the laws of physics, but what is logically possible is governed only by the laws of logic. Were the imagination meant to be a guide to the physically possible, the imaginability claim would be immediately problematic. Many physical impossibilities seem easily imaginable: I might imagine a juggling pin remaining suspended in the air after having been thrown there, or I might imagine the eight ball remaining absolutely motionless after I hit it with the cue ball.

Ultimately, it seems that an analogy to perception motivates the Humean thesis: imagination is supposed to give rise to knowledge of possibility as perception gives rise to knowledge of the actual world. Our knowledge of the world in which we live is grounded largely in perception. But, since we have no sensory access to what is not actually the case, perception can afford us no real insight into non-actualized possibilities. In contrast, the imagination is not limited to what is actually the case. This feature of the imagination, in conjunction with the close connection between perception and imagination, is what seems to lead us to rely on the imagination for knowledge of possibility.

In fact, we need only to reflect briefly on how we typically form modal judgments to see the force of the Humean thesis. Presumably, we are convinced that it is possible for there to be purple cows, and for humans to fly unaided by machines, as a result of our imaginings: we can imagine a purple cow, and we can imagine humans flying without mechanical aid. Likewise, consider how we would determine whether round squares are possible, or whether it would have been possible for me to have been a fish. Our conviction that these are impossible states of affairs springs from our inability to imagine them. As Hart (1988) writes, “One’s own experience in settling modal questions seems to show that the imagination plays a fundamental role.”

But despite this intuitive support for the Humean thesis, there is legitimate reason to worry about it. The unimaginability claim in particular has been thought to be especially problematic. One problem derives from the fact that there is considerable variation among individuals’ imaginative capacities. Jill might be able to imagine many things that Jack cannot, in which case it would seem clear that we are by no means entitled to infer from the fact that Jack cannot imagine something that it is impossible. Fortunately, this problem can be fairly easily resolved by interpreting “unimaginable” as something like “unimaginable by any human.” Another problem is the fact that there might be features of human psychology that make certain states of affairs in principle unimaginable by any of us. But if the unimaginability of a state of affairs is due solely to some psychological limitation on our part, then we would not seem to be justified in inferring the impossibility of such a state. (See White 1990; Tidman 1994.)

Most problematic, however, is that the limitation of the possible to the imaginable, particularly on an image-based analysis of imagination, seems overly restrictive. Insofar as the imagination cannot extend to non-sensory objects and states of affairs, philosophers claim that we should not draw conclusions about impossibility based on unimaginability. For this reason, the Humean thesis is often interpreted as about conceivability rather than imaginability, where conception is supposed to be an intellectual faculty. (See Yablo 1993; Tidman 1994. But see Hart 1988 and Kind 2002 for arguments against this interpretation of the Humean thesis.)

The imaginability claim is generally thought to be less problematic than the unimaginability claim, and as such it (and/or the parallel conceivability claim) is often used in philosophical arguments. Modern-day philosophers of mind, in the tradition of the Cartesian argument mentioned above, argue that certain of our imaginings condemn type materialism. Type materialism is committed to the claim that pain, for example, is necessarily identical to a certain brain state, call it “S”. Insofar as we can imagine creatures who are in pain despite lacking biological brains (and thus S-states) altogether, it seems that it is possible for pain to be distinct from S-states. Related imaginings are brought to bear against functionalist theories of mind. To defend their theories, materialists and functionalists either argue directly against the imaginability claim, suggesting that imagining is not a reliable guide to possibility, or argue that in the imaginings in question we have not imagined what we think we have (Tye 1995). This latter point has led to a general cautionary tone in recent discussions of the connection between imagination and possibility, with many philosophers greatly restricting both the kind of imagining that can serve as an epistemic guide to modality and the kind of possibility to which imagining can serve as a guide (see Chalmers 2002 and Yablo 1993).

4. References and Further Reading

  • Armstrong, D. 1968. A Materialist Theory of the Mind. London: Routledge & Kegan Paul.
  • Berkeley, G. 1734/1965. “A Treatise Concerning the Principles of Human Knowledge” and “Three Dialogues Between Hylas and Philonous.” In George Berkeley: Principles, Dialogues, and Philosophical Correspondence, edited with an introduction by C.M. Turbayne. Indianapolis: Bobbs-Merrill Educational Publishing.
  • Bisiach, E., and Luzzatti, C. 1978. “Unilateral Neglect of Representational Space.” Cortex 14: 129-33.
  • Block, N. 1981. Imagery. Cambridge, Mass.: MIT Press.
  • Block, N. 1981a. “What Is the Issue?” In Block 1981.
  • Block, N. 1981b. Readings in the Philosophy of Psychology, vol. 2. Cambridge, Mass.: Harvard University Press.
  • Block, N. 1983. “Mental Pictures and Cognitive Science.” In Lycan 1990. Casey, E. 1971. “Imagination: Imagining and the Image.” Philosophy and Phenomenological Research 31: 475-90.
  • Chalmers, D. 2002. “Does Conceivability Entail Possibility?” Imagination, Conceivability, and Possibility, edited by T. Gendler and J. Hawthorne. Oxford: Oxford University Press.
  • Currie, G. 1995. “Visual Imagery as the Simulation of Vision.” Mind and Language 10: 25-44.
  • Dennett, D. 1969. “The Nature of Images and the Introspective Trap.” In Block 1981.
  • Dennett, D. 1979. “Two Approaches to Mental Images.” In Block 1981.
  • Descartes, R. 1642/1984. “Meditations on First Philosophy.” In The Philosophical Writings of Descartes, vol. 2, edited by J. Cottingham et al. Cambridge: Cambridge University Press.
  • Finke, R.A., and Shepard, R.N. 1986. “Visual Function of Mental Imagery.” In Handbook of Perception and Human Performance, edited by K.R. Boff, L. Kaufman, and J.P. Thomas. Chichester: John Wiley & Sons (1986).
  • Flew, A. 1953. “Images, Supposing, and Imagining.” Philosophy 28: 246-254.
  • Fodor, J. 1975. “Imagistic Representation.” In Block 1981.
  • Hamlyn, D.W. 1994. “Imagination.” In A Companion to the Philosophy of Mind, edited by Samuel Guttenplan. Oxford: Blackwell Publishers (1994): 361-66.
  • Hannay, A. 1971. Mental Images: A Defence. London: George Allen and Urwin, Ltd.
  • Hart, W.D. 1988. The Engines of the Soul. Cambridge: Cambridge University Press.
  • Heil, J. 1998. Philosophy of Mind. New York: Routledge.
  • Hobbes, T. 1651/1968. Leviathan. London: Penguin Books.
  • Hopkins, R. 1995. “Explaining Depiction.” Philosophical Review 104: 425-55.
  • Hume, D. 1739/1969. A Treatise of Human Nature. Edited by E.C. Mossner. London: Penguin Books.
  • Ishiguro, H. 1967. “Imagination.” Proceedings of the Aristotelian Society, Supplementary 41: 37-56.
  • Kind, A. 2001. “Putting the Image Back in Imagination,” Philosophy and Phenomenological Research 62: 85-109.
  • Kind, A. 2002 (unpublished). “Imagination and Possibility.”
  • Kosslyn, S.M. 1973. “Scanning Visual Images: Some Structural Implications.” Perception and Psychophysics 14: 90-94.
  • Kosslyn, S.M., and Pomerantz, J.R. 1977. “Imagery, Propositions, and the Form of Internal Representations.” Cognitive Psychology 9: 52-76.
  • Kosslyn, S.M. 1980. Image and Mind. Cambridge, Mass.: Harvard University Press.
  • Kosslyn, S.M. 1993. Image and Brain: The Resolution of the Imagery Debate. Cambridge, Mass.: Harvard University Press.
  • Kosslyn, S.M., and Osherson, D.N. 1995. Visual Cognition, An Invitation to Cognitive Science, vol. 2. Cambridge, Mass.: The MIT Press.
  • Levine, D., Warach, J., and Farah, M. 1985. “Two Visual Systems in Mental Imagery.” Neurology 35: 1011-18.
  • Lycan, W.G. 1990. Mind and Cognition. Cambridge, Mass.: Basil Blackwell.
  • Lyons, W. 1984. “The Tiger and His Stripes.” Analysis 44: 93-93.
  • Lyons, W. 1986. “‘Introspection’ as the Replay of Perception.” The Disappearance of Introspection. Cambridge, Mass.: MIT Press/Bradford Books.
  • Nagel, T. 1974. “What Is It Like To Be a Bat?” Philosophical Review 83 (4): 435-50.
  • Peacocke, C. 1985. “Imagination, Experience and Possibility: a Berkeleian View Defended.” In Essays on Berkeley, edited by J. Foster and H. Robinson. Oxford: Clarendon Press (1985): 19-35.
  • Perky, C.W. 1910. “An Experimental Study of Imagination.” American Journal of Psychology 21: 422-52.
  • Russow, L.M. 1978. “Some Recent Work on Imagination.” American Philosophical Quarterly 15 (1): 57-66.
  • Pinker, S. 1997. How the Mind Works. New York: Norton.
  • Pylyshyn, Z. 1973. “What the Mind’s Eye Tells the Mind’s Brain—A Critique of Mental Imagery.” Psychological Bulletin 80:1-24.
  • Pylyshyn, Z. 1978. “Imagery and Artificial Intelligence.” In Perception and Cognition: Issues in the Foundation of Psychology, edited by C. Wade Savage. Minneapolis: University of Minnesota Press (1978): 19-56.
  • Reynolds, S.L. 1989. “Imagining Oneself To Be Another.” Nous 23: 615-33.
  • Ryle, G. 1949. “Imagination.” The Concept of Mind. London: Hutchison & Company.
  • Schwitzgebel, E. 2002. “How Well Do We Know Our Own Conscious Experience? The Case of Imagery.” Journal of Consciousness Studies 9: 35-53.
  • Scruton, R. 1982. Art and Imagination. London: Routledge.
  • Seddon, G. 1972. “Logical Possibility.” Mind 81: 481-94.
  • Shepard, R. N., and Metzler, J. 1971. “Mental Rotation of Three-Dimensional Objects.” Science 171: 701-03.
  • Shepard, R.N., and Cooper, L. 1982. Mental Images and Their Transformations. Cambridge, Mass.: MIT Press/Bradford Books.
  • Shorter, J.M. 1952. “Imagination.” Mind 61: 528-42.
  • Sterelny, K. 1986. “The Imagery Debate.”
  • Tidman, Paul. 1994. “Conceivability as a Test for Possibility.” American Philosophical Quarterly 31: 297-309.
  • Tipton, I. 1987. “Berkeley’s Imagination.” In Essays on the Philosophy of George Berkeley, edited by E. Sosa. Dordrecht: D. Reidel Publishing Company (1987).
  • Tye, M. 1994. “Imagery.” In A Companion to the Philosophy of Mind, edited by Samuel Guttenplan. Oxford: Blackwell Publishers (1994): 355-61.
  • Tye, M. 1991. The Imagery Debate. Cambridge, Mass.: MIT Press.
  • Tye, M. 1995. Ten Problems of Consciousness. Cambridge, Mass.: MIT Press.
  • Walton, K. 1990. Mimesis as Make Believe. Cambridge, Mass.: Harvard University Press.
  • White, A. 1990. The Language of Imagination. Cambridge, Mass.: Basil Blackwell.
  • Williams, B. 1968. “Imagination and the Self.” Problems of the Self. Cambridge: Cambridge University Press.
  • Wittgenstein, L. 1953. Philosophical Investigations. New York: Macmillan Publishing Co.
  • Vendler, Z. 1984. The Matter of Minds. Oxford: Clarendon Press.
  • Yablo, S. 1993. “Is Conceivability a Guide to Possibility?” Philosophy and Phenomenological Research 53 (1): 1-42.

Author Information

Amy Kind
Email: amy.kind@claremontmckenna.edu
Claremont McKenna College
U. s. A.

American Philosophy

The term “American Philosophy,” perhaps surprisingly, has been somewhat vague. While it has tended to primarily include philosophical work done by Americans within the geographical confines of the United States, this has not been exclusively the case. For example, Alfred North Whitehead came to the United States relatively late in life. On the other hand, George Santayana spent much of his life outside of the United States. Until only recently, the term was used to refer to philosophers of European descent. Another focus for defining, or at least characterizing, American Philosophy has been on the types of philosophical concerns and problems addressed. While American philosophers have worked on traditional areas of philosophy, such as metaphysics, epistemology, and axiology, this is not unique to American Philosophy. Many scholars have highlighted American philosophers’ focus on the interconnections of theory and practice, on experience and community, though these, too, are not unique to American Philosophy. The people, movements, schools of thought and philosophical traditions that have constituted American Philosophy have been varied and often at odds with each other. Different concerns and themes have waxed or waned at different times. For instance, the analysis of language was important throughout much of the twentieth century, but of very little concern before then, while the relation between philosophy and religion, of great significance early in American Philosophy, paled in importance during much of the twentieth century. Despite having no core of defining features, American Philosophy can nevertheless be seen as both reflecting and shaping collective American identity over the history of the nation.

Table of Contents

  1. 17th Century
  2. 18th Century
  3. 19th Century
    1. Charles Peirce
    2. William James
    3. John Dewey
    4. Other Pragmatists
  4. 20th Century and Recent
  5. References and Further Reading

1. 17th Century

Though many people, communities and nations populated the area that is now the United States long before the U.S.A. became a nation-state, and they all wrestled with universal philosophical questions such as the nature of the self, the relationships between persons, their origins and destiny, most histories of American Philosophy begin with European colonization, especially from the time of the Puritans in New England. From the “Mayflower Compact,” penned in 1620 as the early English settlers arrived in the New World, basic socio-political positions were made explicit and fundamental to newly established communities. Speaking of forming a covenant to “combine ourselves into a civil Body Politic,” those arriving on the Mayflower immediately identified a close and ineliminable connection between individuals and their community. This sentiment was echoed in founding documents of other colonies, such as the Fundamental Orders of Connecticut (1639) and the Massachusetts Body of Liberties (1641). Likewise, the writings of prominent early colonial leaders, such as John Winthrop (1588-1649) emphasized “the care of the public must oversway all private respects…for it is a true rule that particular estates cannot subsist in the ruin of the public.” Although highly influential, such views were not universal, as the Maryland Toleration Act (1649) and the writings of other influential leaders, e.g., Roger Williams (1603-1683) stressed religious tolerance over commitment to the religious covenant of a community. From the earliest concerns, then, even prior to the establishment of the United States, the social and political issues of the relation of individuals to their communities as well as the nature of the communities themselves (that is, as secular or religious) were paramount.

2. 18th Century

Broadly speaking, American Philosophy in the eighteenth century can be divided into two halves, the first still heavily influenced by the Calvinism of the Puritans and the second more directly along the lines of the European Enlightenment and associated with the political philosophy of the Founding Fathers (e.g., Thomas Jefferson, Benjamin Franklin).

Far and away the most significant thinker of the first half of the 18th century for American Philosophy was Jonathan Edwards (1703-1758). Often associated primarily with the fiery oratory of sermons such as “Sinners in the Hands of an Angry God,” and the religious revivalist “Great Awakening” of the 1740s, Edwards both distilled and assimilated Calvinist theological thought and the emergent Newtonian scientific worldview. Frequently characterized as trying to synthesize a Christian Platonism, with an emphasis on the reality of a spiritual world, with an empiricist epistemology, an emphasis on Lockean sensation and Newtonian corpuscular physics, Edwards drew directly from the thought of Bishop George Berkeley, who stressed the necessity of mind (or non-material reality) to make sense of human experience. This non-material mind, for Edwards, consists of understanding and will, both of which are passive at root. It is understanding that, along lines of the successes of Newtonian physics, leads to the fundamental metaphysical category of Resistance, which Edwards characterizes as “the primary quality of objects.” That is, whatever features objects might have, what is fundamental to something qua object is that is resists. This power of resistance is “the actual exertion of God’s power” and is demonstrated by Newton’s basic laws of motion, in which objects at rest or in motion will remain undeterred until and unless acted on by some other force (that is, resisted). Understanding, though, is different than will. Edwards is perhaps best known for his rejection of free will. As he remarked, “we can do as we please, but we cannot please as we please.” Just as there is natural necessity and natural inability, for Edwards, there is moral necessity and moral inability. Every act of will is connected to understanding, and thus determined. Echoing the views of John Calvin, Edwards saw not (good) works, but the grace of God as the determiner of human fortune.

While couched primarily in a religious context for Edwards but less so for others, the acceptance and adaptation of a Newtonian worldview was something shared by most American philosophers in the latter half of the 18th century. These later thinkers, however, abandoned to a great extent the religious context and focused rather on social-political issues. Sharing many commitments of European philosophers of the Age of Enlightenment (such as a reliance on reason and science, a broad faith in scientific and social progress along with a belief in the perfectibility of humans, a strong advocacy of political democracy and laissez-faire economics), many of the famous names of American history identified themselves with this enlightenment thought. While they attended very little to basic issues of metaphysics or epistemology, the Founding Fathers, such as Thomas Jefferson (1743-1826), Benjamin Franklin (1706-1790), and James Madison (1751-1836), wrote voluminously on social and political philosophy. The American Declaration of Independence as well as the United States Constitution, with its initial amendments, better known as the Bill of Rights, was drafted at this time, with their emphasis on religious toleration. Though including explicit references to God, these thinkers tended to commit themselves in their writings less to Christianity per se and more to deism, the view of God as creator of a world governed by natural laws (which they believed were explicated for the most part by Newton) but not directly involved with human action. For example, as early as 1730 and as late as 1790 Franklin spoke of God as world-creator and Jesus as providing a system of morality but with no direct commitment to the divinity of Jesus or to any organized church. Instead, a major focus of concern was the appropriate nature of the State and its relation to individuals. While the thought of Thomas Jefferson, exemplified in the language of the Declaration of Independence, emphasized natural, inalienable rights of individuals against the tyranny of the State – with the legitimacy of the State only in securing the rights of individuals – federalists such as James Madison highlighted dangers of factional democracy, with his view of protecting both individual rights and the public good.

3. 19th Century

In a letter to John Adams written in 1814, Thomas Jefferson complained that, while the post-revolutionary American youth lived in happier times than their parents, this younger generation held “all knowledge which is not innate, [to be] in contempt, or neglect at least.” Their “folly” included endorsing “self-learning and self-sufficiency; of rejecting the knowledge acquired in past ages, and starting on the new ground of intuition.” These complaints reflected Jefferson’s concerns about the rise of romanticism in early nineteenth century America. Transcendentalism, or American Romanticism, was the first of several major traditions to characterize philosophical thought in America’s first full century as a nation, with Transcendentalism succeeded by the impact of Darwinian evolutionary thought and finally developing into America’s most renowned school of thought, Pragmatism. A Hegelian movement, centered in St. Louis and identified largely with its chief proponent, George Holmes Howison (1834-1916), occurred in the second half of the nineteenth century, but was overshadowed by the rise of Pragmatism. Even the journal founded in 1867 by the St. Louis Hegelians, The Journal of Speculative Philosophy, became best known later on because of its publication of essays by the pragmatist Charles Peirce (1839-1914).

Where the thinkers of the American enlightenment stressed social and political concerns, based on a Newtonian mechanistic view of the world, the thinkers of American Transcendentalism took the emphasis on individuals and their relation to the community in a different direction. This direction was based not on a mechanistic view of the world, but on an organic metaphor that stressed the subjective nature of human experience and existence. Highlighting personal experience and often even a fairly mystical holism, writers such as Ralph Waldo Emerson (1803-1882), Henry David Thoreau (1817-1872), and Walt Whitman (1819-1892) argued for the priority of personal non-cognitive, emotional connections to nature and to the world as a whole. Human are agents in the world more fundamentally than they are knowers of the world. “Real” knowledge is intuitive and personal; it transcends scientific understanding that is based on empirical sense experience. Because of this, those things that constrain or restrict free personal thought, such as conventional morality and political institutions, need to be transcended as well. This spirit is captured in the poetry of Walt Whitman’s “Song of Myself” in which he claims, “I celebrate myself…Unscrew the locks from the doors! Unscrew the doors themselves from their jambs! I speak the past-word primeval, I give the sign of democracy….” This sentiment is echoed in the works of Emerson and Thoreau, both of whom argue for the importance of self-reliance, intuition, and a return to nature, i.e., an embracing of what is non-civilized and non-industrial. In his 1836 paper, “Nature,” Emerson states, “In the woods, we return to reason and faith…I am nothing; I see all; the currents of the Universal Being circulate through me; I am part or parcel of God…In the wilderness I find something more dear and connate than in streets and villages.” Emerson’s “The Transcendentalist” (1842) stands as a manifesto of this philosophical movement, in which he explicitly identifies Transcendentalism as a form of philosophical Idealism. Emerson wrote:

As thinkers, mankind have ever been divided into two sects, Materialists and Idealists; the first class founding on experience, the second on consciousness; the first class beginning to think from the data of the senses, the second class perceive that the senses are not final, and say, The senses give us representations of things, but what are the things themselves, they cannot tell…Society is good when it does not violate me, but best when it is likest to solitude. Everything real is self-existent. Everything divine shares the self-existence of Deity…[Kant showed] there was a very important class of ideas or imperative forms, which did not come by way of experience, but through which experience was acquired; that these were intuitions of the mind itself; and he denominated them Transcendental forms.

At the same time, during the 1830s and 1840s, there were other thinkers who stressed greater social and political equality, particularly several important women writers and activists, such as Sarah Grimké (1792-1873) and Elizabeth Cady Stanton (1815-1902). The call for social and political emancipation, in many ways a call to fulfill the promise of the American enlightenment, came not just from women such as Grimké and Stanton, but also from those demanding the abolition of slavery, notably William Lloyd Garrison (1805-1879) and Frederick Douglass (1817-1895).

Just as much of American philosophical thought was influenced by the success of Newton’s scientific worldview throughout the eighteenth century, the publication of Charles Darwin’s evolutionary theory in 1859 had a great impact on subsequent American philosophy. Though not known widely outside of academic circles, two thinkers in particular wrote passionately for re-conceiving philosophical concerns and positions along Darwinian lines, John Fiske (1842-1901) and Chauncey Wright (1830-1875). Both stressed the need to understand consciousness and morality in terms of their evolutionary development. Such a naturalistic, evolutionary approach became even more pronounced at the end of the twentieth century. It was outside of academia, however, often under the label of “Social Darwinism” that this view had even greater impact and influence, especially via the writings of Herbert Spencer (1820-1903) and William Graham Sumner (1840-1910). Both Spencer and Sumner likened societies to organisms, in a struggle for survival. Indeed, it was Spencer, not Darwin, who coined the term “survival of the fittest” to capture what he (and many others) took to be the significance of evolutionary theory. If groups within a society, and even societies themselves, are – like biological organisms – in a constant competition for survival, then a sign of their fitness is the fact that the do in fact survive, for Spencer. Such competition, indeed, is useful and good, for in the long run those that survive will have competed and won, a clear statement of their superiority. Spencer, Sumner and others, such as the industrialist Andrew Carnegie (1835-1919), argued that the social implication of the fact of such struggle for survival is that free-market capitalism is the natural economic system and the one that will ensure the greatest success for a society’s economic well-being. In Sumner’s essay, “The Man of Virtue,” he remarks that, “Every man and woman in society has one big duty. That is, to take care of his or her own self…Society, therefore, does not need any care or supervision.” Carnegie’s “The Gospel of Wealth” echoes this view: “[The law of competition] is here, we cannot evade it; no substitutes for it have been found; and while the law may be sometimes hard for the individual, it is best for the race, because it insures the survival of the fittest in every department…the law of competition [is] not only beneficial, but essential to the future progress of the race.” The emphasis on competition as the key to evolutionary thought was not shared by everyone, however. One prominent advocate of Darwin, who nevertheless argued that cooperation rather than competition was the message of evolutionary thought, was Lester Ward (1841-1913). Not only are those groups that cooperate and function together as a group more likely to survive than those that don’t, he claimed, but human history has shown that government is a natural, emergent feature of human societies, rather than, contra Sumner, a hindrance and impediment to progress.

After Transcendentalism and evolutionary philosophy, the third and by far most renowned philosophical movement in nineteenth century America was Pragmatism. Informally christened as “pragmatism” in the 1870s by one of its most famous proponents, Charles Sanders Peirce, Pragmatism is seen by most philosophers today as the classic American philosophical tradition. Not easily definable, Pragmatism is a constellation of principles, stances, and philosophical commitments, some of which are more or less salient for particular pragmatism philosophers (as will be noted below). Nevertheless, there are threads that run across and through most pragmatists. There is a strong naturalistic bent, meaning that they look for an understanding of phenomena and concepts in terms of how they arose and how they play a part in our engagement with the world. Peirce’s “pragmatic maxim” captures this stance as follows: “Consider what effects, which might conceivably have practical bearings, we conceive the object of our conception to have. Then, our conception of these effects is the whole of our conception of the object.” There is a rejection of a foundationalist view of knowledge. All knowledge claims are fallible and revisable. The flip side of such fallibility and revisibility is that no inquiry is disinterested. Beliefs are fundamentally instruments for us to cope with the contingencies of the world. In addition, there is an enunciated commitment to intersubjectivity and community. So, while rejecting the notion of any pure “givens,” of experience, pragmatists also reject any pure subjectivism or abandonment of standards or criteria of adjudication beyond the individual. Unlike the American philosophical movements that preceded Pragmatism, pragmatists wrestled with issues and concerns across the philosophical spectrum, from basic metaphysics to epistemology to all forms of axiology (ethical, political, and even aesthetic).

a. Charles Peirce

Generally acknowledged as the “Big Three” classical pragmatists are Charles Peirce, William James (1842-1910), and John Dewey (1859-1952). Peirce, a polymath by all accounts, not only coined the term “pragmatism” in the 1870s, but did ground-breaking work in semiotics (the study of signs) as well as in logic, particularly in the logic of relations. In addition, while a scientist and mathematician by trade, he wrote a considerable amount on the philosophy of science (for example, on the nature of explanation), value theory, and metaphysics, including seminal work on categories. From his early writings in the 1860s, in which he criticized Cartesian doubt and foundationalist search for indubitability, to his later works on cognition and what he termed “evolutionary cosmology,” Peirce continuously and consistently argued against forms of nominalism and in favor of realism, both in the sense that non-particulars are real (though perhaps not existent) and in the sense that our conceptions are of things independent of us. An important feature of Peirce’s pragmatism is a strident rejection of subjectivism. This comes through in his insistence that, as inquirers do not exist in isolation, beliefs are not fulfilled (as he put it, the irritation of doubt is not overcome) in isolation. Rather, it is the development of successful habit that matters and it is the verdict of the community of inquirers in the long run that matters in the determination of what settles inquiry. Just as this is not a subjectivist view of what is real or true, it is also not a “social constructivist” view, in which what is real or true is determined by what society decides. Instead, as in the model of good science, there is a community of inquirers who form a system of checks and balances for any belief, but this community of inquirers operates within a world of objects, qualities, relations, and laws.

In establishing his notion of pragmatism as a means of clarifying and determining the meaning of signs, Peirce coined his “Pragmatic Maxim,” noted above. This maxim not only points to pragmatism as a criterion of meaningfulness but also to pragmatism as a standard of truth. For Peirce, belief is not merely a cognitive state of an isolated agent, rather it encompasses an awareness of a state of affairs along with the appeasement of the irritation of doubt (or surprise) and – as genuine belief and not simply verbiage – the establishment of a habit, or rule of action. This requirement of a rule of action carries over for Peirce beyond epistemological concerns to metaphysical ones as well, particularly in his work on categories, or fundamental modes of being. Using varied terminology at different times, Peirce identified three fundamental categories of being. One category was that of Quality (or Firstness). This is the conception of being independent of anything else, such as the example of a pure tone or color. A second category was that of Brute Fact (or Secondness), that is being relative to or connected with something else. This might be a particular instance of a tone or a color sample. This is what he sometimes called the “demonstrative application” of a sign. Finally, there is Law, or Habit (or Thirdness), or mediation whereby a First and Second are brought into relation. This is the notion of regularity and representation, and as such involves a regulative as well as descriptive aspect. An example is a red light indicating the need to stop or perhaps indicating danger. Law, habit, regularity are neither reducible to the particular instances that are true of it (that is, Secondness) nor to the pure material quality of what is instantiated in those particulars (that is, Firstness). For Peirce, these three categories are all real, are all irreducible to the others, and are all involved in any form or act of inquiry. In particular, his insistence on the reality of Habit/Law was basic, as was noted above, to his advocacy of a pragmatist conception of inquiry.

b. William James

William James, known during his lifetime as much for his work in psychology as for his work in philosophy, did much more than Peirce to popularize the label and notion of pragmatism, both as a philosophical method for resolving disputes and as a theory of meaning and truth. Though James himself also argued against subjectivism and for the importance of “older truths” (that is, established facts), his writings led many others (including Peirce) to see his position as much more relativist and nominalist-leaning. James stressed the practical effects of belief and assertion, claiming that truth is a species of good (what it is ultimately good for us to believe). Much of James’s philosophical work was aimed at dissolving many of the traditional philosophical puzzles and conundrums by showing that they made no practical difference in our lives or that they rested on mistaken and fruitless assumptions. For example, the traditional metaphysical concern of the nature of substance, as a category of things underlying and separable from attributes, has led to philosophers since the time of Plato to argue back and forth without any apparent solution. For James, the only significance of such an issue is what effect on our subsequent experience is likely to occur given the adoption of some position with respect to this issue. Likewise, any stance on, say, the existence of God, will matter only if adopting a belief (for or against such existence) will shape our future experience for the better. Since beliefs are instruments for coping with the world, those beliefs that are good for us, those that indeed help us cope, are the ones that are true. Of course, the goodness and coping-value of some beliefs might be negligible as in my beliefs that Romans wore socks while in Britain. The point for James is not the level or strength of goodness, but the appropriate criterion of truth and significance. While James, then, often focused on trying to dissolve long-standing philosophical puzzles, he also offered substantive positions on many issues. He argued for what is now called a compatibalist view of free will (that human freedom is compatible with some forms of determinism) as well as against a dualist view of mind. With respect to some traditional philosophical issues, e.g., freedom vs. determinism, he advocated a particular position because he did see predictable good or bad consequences. With respect to determinism, for example, he argued that a belief in determinism leads to a feeling of fatalism and a capitulation to the status quo; hence, it is not better for us.

In metaphysics, he is still known for his view of “radical empiricism,” in which he argued that relations between objects are as real as the properties of objects. This view, he claimed, consisted in outline of a postulate, a statement of fact, and a generalized conclusion. The postulate is that the only things that shall be debatable among philosophers shall be things definable in terms drawn from experience. The statement of fact is that the relations between things are just as much matters of direct particular experience as the things themselves or their properties. For example, when one looks at a cat and a mouse, not only are those two objects (and their properties, such as their color and shape) immediate aspects of my visual experience, but so is the relation of their relative sizes; that is, it is also an aspect of my immediate visual experience that I see that the cat is larger than the mouse. Seeing the cat as being larger than the mouse is just as immediate as seeing that the cat is black and the mouse is gray. The generalized conclusion is that the parts of experience hold together from next to next by relations that are themselves parts of experience. As James puts it, the “directly apprehended universe needs, in short, no extraneous trans-empirical connective support, but possesses in its own right a concatenated or continuous structure.”

Another metaphysical commitment of James is that of pluralism, i.e., that there is no single correct description or account of the world. With his consequentialist, future-oriented pragmatist view, focusing on effective possibilities, James argued that there can be multiple warranted or “true” accounts. Not only can there be different good accounts, but different correct accounts. In holding this view, James rejects a straight correspondence view of truth (what he calls “the copy theory”) in which truth is simply a relation between a belief and a state of affairs. Rather, truth involves both a belief and facts about the world, but also other background beliefs and, indeed, future consequences. For James, then, the very distinction between a good account and a correct account is not a sharp dichotomy. This does not mean that any account is as good as any other; clearly that is false. Rather, there can be different accounts that not only make sense of present and past knowledge and experience, but lead to useful future experiences. What will determine the truth or warrantability of an account will be its consequences (e.g., are predictions based on it borne out in experience, does it promote physical and spiritual flourishing, does it survive intersubjective scrutiny?).

c. John Dewey

Born a generation after Peirce and James, and living decades past them both, John Dewey produced a body of work that reached a far greater audience than either of his predecessors. Like Peirce and James, Dewey engaged in academic philosophical writing, publishing many essays and books on metaphysics, epistemology, and value theory. Unlike Peirce and James, though, he also wrote a vast amount on social and political philosophy and very often engaged in dialogue outside of the academy. He became nationally known as an education reformer, frequently participating in public forums, and producing highly influential works such as Democracy and Education. His social and political writings, such as The Public and Its Problems, reached an audience far beyond academic philosophers. Within philosophy proper, Dewey is probably best known for his work on inquiry and logic. Stating that all inquiry is conducted by agents, and not merely by passive information processors, he emphasized the experimental and instrumental nature of human conduct. Taking inquiry to be “the controlled transformation of an indeterminate situation so as to convert the elements of the original situation into a unified whole,” Dewey argued that logic, formal rules of inference and implication, are ultimately generalizations of warranted, or warrantable, conclusions. Logic is a species of inquiry, and the latter is never disinterested or free of valuation. This emphasis on purposeful interaction between agents and environments points to Dewey’s well-known criticism of what he termed “the quest for certainty.” Too much human activity (with philosophers being primary culprits) has been a search for absolutes, whether in the area of ontology, epistemology, or ethics. This, for Dewey, is mistaken. The world is filled with contingencies and is in flux. Human inquiry should be a matter of purposeful action in response to, and ultimately in anticipation of, such contingencies and change. Intelligence is experimental and evaluative; we learn by doing, by engagement with the puzzles and problems presented by a changing environment. While there might not be eternal, absolute standards or criteria for, say, moral judgment, it is also the case that there are criteria that transcend subjective preferences, since there are facts about the contingencies and problems we face.

Constantly and consistently stressing a naturalistic account of human activity, Dewey (like James) saw human inquiry as the entertainment of hypotheses and intelligence as evaluative. Preferring to call his philosophical approaches “instrumentalist” rather than “pragmatist,” Dewey emphasized the contingent, purposive nature of human action. This “learning-by-doing” view carried over into his metaphysical commitments. For example, he frequently stressed the position that an agent can only be fully understood as one pole in a person-environment interaction, not merely as a subject bumping into a world of objects. This carried over into more immediately practical areas, such as his educational theory. Here he strongly advocated formal schooling as a means to enhance the autonomy of persons, whereby that autonomy is understood as the ability of persons to frame purposes, plans and life goals along with the skills and abilities to carry those purposes and plans and goals into effect. An education that is relevant to meaningful experiences is one that recognizes and is based on two principles: a principle of continuity (we are temporal agents and today’s experiences are part of a continuum with yesterday’s and tomorrow’s) as well as a principle of interaction (we are social beings and one’s experiences are inherently and ineliminably interwoven with the experiences of others).

Frequently critiquing and rejecting dichotomies that he saw as unfounded and unsustainable, Dewey argued often against a fact/value dichotomy. What is good (or bad) is relative to contexts and goals, but at the same time is a matter of what helps an organism cope with and flourish in the world. Drawing from a Darwinian heritage and writing as an early proponent of what is now seen as evolutionary and naturalistic ethics, Dewey growth is the only moral end. Adaptation and adjustment to different and changing environments, including social and moral environments, are the signs of appropriate action. In the interaction with one’s environments, an agent must decide among goals and choices of action, based on predicted outcomes. Appraising situations and deliberating on likely outcomes is what Dewey refers to as “valuation.” This process of valuation, for Dewey, clearly demonstrates the useless and mistaken notion of a fact/value dichotomy.

Finally, along with arguing for valuation at the level of the individual organism or person, Dewey wrote voluminously on valuation at the level of the group or community. Often speaking of democracy as a way of life, he claimed that full self-realization requires community and emphasized this self-realization in the context of individuals’ participation in social collectives. Social arrangements, in fact, are means of “creating” individuals, for Dewey, not oppressive or repressive impositions on them (at least, not by their nature; social arrangements could be oppressive and repressive, but not merely by being social). Social arrangements, far from being foreign impositions on our freedom, are both “natural” and can be enhancing of our individual freedom. Dewey fleshes out this claim by distinguishing two types of freedom: freedom of movement and freedom of intelligence. Freedom of movement is what some philosophers refer to by the expression “freedom from.” To be free in this sense means that one is free from external constraints on one’s movements. This, says Dewey, is certainly an important sense of freedom, but it is only a sense that is a means toward a more important end, which he designates as a fuller sort of freedom, namely, freedom of intelligence (or what some philosophers call “freedom to”). Simply having no (significant) external constraints on one’s movements does not lead to or entail self-realization. As he put it in The Public and Its Problems: “No man and no mind was ever emancipated merely by being left alone.” What one is free to do, what one does with that absence of constraint is a much more important sense of freedom for Dewey. He expresses this fuller sense of freedom is a variety of ways throughout his writings, e.g., it is “a sound instinct which identifies freedom with the power to frame purposes and to execute or carry into effect purposes so framed.” Freedom of movement (that is, freedom from constraints) is a necessary, but on a necessary, condition for this fuller sense of freedom. Furthermore, this freedom of intelligence results not from living in isolation of in rejecting social constraints (or, in his wording, “social controls”). In fact, social controls are quite natural and self-directed, Dewey claims. For example, he says, watch children at play. One of the first things they will do is to establish rules and parameters for play, in order to make play possible. Games involve rules, which constrain action, but at the same time make meaningful action possible. The important point here is that these rules are not only accepted, but most often self-imposed by the children at play. In addition to being natural, freedom of intelligence, which incorporates social controls, is social in its nascence. For Dewey: “Liberty is that secure release and fulfillment of personal potentialities which take place only in rich and manifold association with others; the power to be an individualized self making a distinctive contribution and enjoying in its own way the fruits of association.”

d. Other Pragmatists

Besides the “Big Three” classical pragmatists, there were many other important thinkers labeled (sometimes self-identified) as pragmatist. George Herbert Mead (1863-1931) was particularly influential during the first several decades of the twentieth century, especially in his work on the social development of the self and of language. A generation later, Clarence Irving Lewis (1883-1964) wrote several significant works in the middle third of the twentieth century on what he termed “conceptualistic pragmatism,” stressing how pragmatic grounds shape the interpretation of experience. His contemporary, Alain Locke (1885-1954), blending the thought of earlier pragmatists with that of W.E.B. DuBois (1868-1963), produced a large body of work on the social construction of identity (particularly focusing on race) and advocating cultural pluralism within the context of what he called a philosophy of “critical relativism” or “critical pragmatism.”

Another important thinker, often labeled as pragmatist, but noted more for advocating an explicit version of philosophical idealism, was Josiah Royce (1855-1916). Though there were other American idealists (e.g., G. H. Howison of the St. Louis Hegelians and Bordon Parker Bowne (1847-1910), known for his view of “personalism”), Royce is recognized as the most influential of them. Epistemologically, Royce noted that any analysis of experience shows that the fact and, indeed, very possibility of error leads to the postulation of both mind and external reality, since only minds can be in error and being in error presupposes something about which mind can be mistaken. The recognition of error presupposes a higher level of awareness, since knowing that one is in error about X presupposes that one recognize both X and what is mistaken about one’s judgment. Error, then, presupposes some form or level of veridicality. Much like the story of the blind men who come upon an elephant, each believing that part of the elephant captures the whole, the message here is that error is really partiality, that is having only partial truth. For Royce, this also pointed to the ultimate communal nature of all interpretation, as knowledge (even of one’s self) comes from signs, which in turn require some kind of comparison and finally of community. Royce extended this view, and displayed definite affinities to pragmatism, in his analysis of meaning. The meaning of an idea, he claimed, contained both an external and an internal element, much as we say that terms have both a denotation and a connotation. Ideas have external meaning in the sense that they connect up to an external world. But they have an internal meaning in the sense that they embody or express purpose. What is real, Royce claimed, is “the complete embodiment in individual form and in final fulfillment, of the internal meaning of finite ideas.” As these in turn require comparison and moving beyond partiality, they come finally to a complete and coherent absolute level of ideas, what he termed “Absolute Pragmatism.”

4. 20th Century and Recent

Much of the philosophical work of the classic pragmatists, as well as that of Royce and others, though begun in the latter half of the nineteenth century, carried over into the early decades of the twentieth century. While pragmatism continued to be a dominant movement in American philosophy in these early decades, other movements and schools of thought emerged. In the first several decades, there was a revival of common sense realism and naturalism (or, put another way, an explicit rejection of what was seen as the idealism of Royce and some aspects of pragmatism) as well as the emergence of Process Philosophy, which was directly influenced by contemporary science, especially Einsteinian relativity theory. Mid-twentieth century philosophy was heavily dominated in America by empiricism and analytic philosophy, with a strong focus on language. Finally, in the latter couple of decades there was a re-discovery and revival of pragmatism as well as the emergence of feminist and “minority” issues and concerns, of people and groups who had been marginalized and under-represented throughout the nation’s history. Some movements and schools of thought that had been prominent in Europe, such as existentialism and phenomenology, though having advocates in America, never gained significant widespread attention in American philosophy.

One of the earliest movements in twentieth century American thought was a rejection of idealism, spearheaded in large part by Royce’s own student, George Santayana (1863-1952), who saw philosophy as having unfortunately abandoned, and in the case of idealism contradicted, common sense. If we push the concept of knowledge to the point of requiring indubitability, then skepticism is the result, since nothing will satisfy this requirement. On the other hand, if knowledge is a kind of faith, much as common sense rests on untested assumptions, then we are led to a view of “animal faith,” which Santayana endorses. This return to common sense, or at least to a naturalist, realist stance was echoed by many philosophers at this time. In 1910 an essay in the Journal of Philosophy (then called the Journal of Philosophy, Psychology, and Scientific Methods), entitled, “The Program and First Platform of Six Realists,” announced a strong reaction against idealism and what were seen idealist elements in pragmatism. Among the platform planks of this program were statements that objects exist independently of mind, that ontology is logically independent of epistemology, that epistemology is not logically fundamental (that is, that things are known directly to us), that the degree of unity, consistency, or connection subsisting among entities is a matter to be empirically ascertained, etc. Given this realist stance, these philosophers then proceeded to try to produce naturalistic accounts of philosophical matters, for example, Ralph Barton Perry’s (1876-1957) General Theory of Value.

A second school of thought early in the century was known as “Process Philosophy.” Identified largely with the work of Alfred North Whitehead (1861-1947), though having other notable proponents such as Charles Hartshorne (1897-2000), process philosophy proceeded from an ontology that took events or processes as primary. Change and becoming were emphasized over permanence and being. Drawing on contemporary scientific advances, in particular the new Einsteinian worldview, Whitehead highlighted this “event ontology.” In his well-known work, The Concept of Nature, he insisted that “nature is a structure of events,” and taking the new Einsteinian four-dimensional understanding of the world, things (what he called “concresences”) are merely those streams of events “which maintain permanence of character.” This embracing of contemporary science did not entail a materialist stance for Whitehead any more than Jonathan Edwards’s embracing of the Newtonian worldview entailed materialism on his part. Rather, Whitehead distinguished between the notion of “Nature lifeless” and “Nature alive,” with the latter an acknowledgement of value and purpose being just as basic to experience as an external world of events.

Despite the presence of these two movements and the still-present influence of pragmatism, the middle half of the twentieth century was dominated in America by empiricism and analytic philosophy, with a pronounced turn toward linguistic analysis. Beginning with the powerful influence of the Logical Positivists (or Logical Empiricists), most notably Rudolf Carnap (1891-1969), academic philosophy turned in a decided way away from social and political concerns to conceptual analysis and self-reflection (that is, to the question of just what the proper role of philosophy is). Without a doubt, the most influential American philosopher during this time was Willard Van Orman Quine (1908-2000). Though Quine was critical of many aspects of Logical Positivism, indeed, one of his most renowned essays was “Two Dogmas of Empiricism,” he nevertheless shared their view that the role of philosophy was not to enlighten persons or serve social and political concerns. Saying that philosophers in the professional sense have no particular fitness for inspiration or “helping to get society on an even keel,” he argued instead that philosophy’s job is to clear away conceptual muddles and mistakes. Seeing philosophy as in large part continuous with science in the sense of trying to understand what there is and how we can then flourish in the world, he claimed that philosophy is on the abstract, theoretical end of scientific pursuits. Advocating a physicalist ontology, Quine was openly behaviorist about understanding human agency and knowledge. Criticizing the analytic/synthetic distinction and the view that there are truths independent of facts about the world, Quine strongly advocated a naturalized epistemology and naturalized ethics. Openly acknowledging an affinity with some aspects of pragmatism, Quine claimed a holistic approach to knowledge, insisting that no particular experiences occur in isolation; rather we experience a “web of belief,” with every belief or statement or experience affecting “the field as a whole,” and hence “our statements about the external world face the tribunal of sense experience not individually but only as a corporate body.” Reminiscent of Dewey, Quine asserted that while there is no fact/value dichotomy, the sciences, with their system of checks and balances, do provide the best theories and models of what there is. Besides his commitment to materialism, behaviorism, and holism, Quine urged what he called “semantic ascent,” that is, that philosophy should proceed by focusing on an analysis of language. By looking at the language we use and by framing philosophical concerns in terms of language, we can avoid fruitless philosophical disputes and faulty ontological commitments. Within academic philosophy, Quine is perhaps best known for his work in formal, mathematical logic and with his doctrine of “the indeterminacy of translation.” In his highly influential book, Word and Object, he introduced the term “gavagai.” “Gavagai” is a term uttered by a native while pointing at something in the immediate environment, something that appears to us as a rabbit. However, from that utterance, we don’t know if “gavagai” should be translated into English as “rabbit” or “undetached rabbit parts” or “rabbit time-slice” or something else. The point is that there is no givenness to the situation, no determinateness of translation. Nor is this a simple matter, as this lack of givenness and determinacy holds in all situations. There are other, pragmatic, factors that allow communication and understanding to be possible.

With this formal, often extremely technical, conceptual analysis dominating mid-century American philosophy, a return to social and political concerns did not become mainstream again until the 1970s. Such a return is often credited to the publication of John Rawls’s (1921-2002) A Theory of Justice. While other philosophers had, of course, written on these issues, it was Rawls’s book that brought these topics back into mainstream consideration among professional philosophers. Rawls argued for a position of political liberalism based on a system of procedural justice. Though his work was widely influential, it was critiqued by philosophers identified as libertarian, such as Robert Nozick (1938-2002), who saw it as too restrictive of individual liberties, as well as by communitarians, such as Alasdair MacIntyre (1929- ) who saw it as focusing too much on procedural justice and not enough on what is good for persons, who are also citizens situated in communities. Still, the revival of substantive social and political philosophy was effected. Outside of academic philosophy, these concerns had not been absent, however, but were present in the writings of social and political leaders, and in popular political philosophy, such as the writings of Ayn Rand (1905-1982) and Martin Luther King, Jr. (1929-1968).

As the century ended, there was a renewal of interest in pragmatism as a philosophical movement, with two important philosophers in particular adopting the label of pragmatist, Hilary Putnam (1926- ) and Richard Rorty (1931- ). Known throughout the philosophical world, they brought the writings and stance of classical pragmatists back into the forefront of professional philosophy, often with their critiques of each other’s works. This renewal of pragmatism, along with the revival of social and political philosophy, came at the same time, the final quarter of the century, as feminist philosophy emerged, though there had been prominent feminist thinkers in American philosophy prior to this time, e.g., Grimké and Stanton, noted earlier, as well as others, such as Charlotte Perkins Gilman (1860-1935) or even Anne Hutchinson (1591-1643). Outside of academic philosophy, the publication, in the 1960s, of Betty Friedan’s The Feminine Mystique, struck a popular nerve about the marginalization of women. Inside academic philosophy, feminist philosophers, such as Adrienne Rich (1929- ) and many others, began critiques of traditional philosophical concerns and stances. These critiques were leveled at the very roots of philosophical issues and across the board. For example, there were critiques of epistemic values such as objectivity (that is, detached, disembodied inquiry), as well as what were taken as masculine approaches to ethics and political philosophy, such as procedural over substantive justice or rights-based ethical theories. Insisting that there was not a public/private dichotomy and no value-neutral inquiry, feminists reformulated philosophical issues and concerns and redirected philosophical attention to issues of power and the social dimensions (and construction) of those very issues and concerns. This demand for pluralism in content was expanded to philosophical methods and goals, generally, and was expanded to other traditionally marginalized perspectives. By century’s end, traditional philosophical work continued in full force, for example, with a strong surge of interest in philosophy of mind, philosophy of science, etc., but was accompanied at the same time by a sharp increase in these newly-demanded foci, such as philosophy of race, philosophy of law, philosophy of power, etc.

One final note. This survey of American Philosophy clearly is all-too-brief. One difficulty with summarizing American Philosophy is what has counted as philosophy over time. Unlike European cultures, there has tended to be less of an academic class in America, hence less of a sense of professional philosophy, until, that is, the twentieth century. Even then, much of what has been taken as philosophy by most Americans has been distant from what most professional philosophers have taken as philosophy. The kind of public awareness in France and indeed Europe as a whole of, say, the death of Jean-Paul Sartre, was nowhere near matched in America by the death of Quine, though for professional philosophers the latter was at least of equal stature. Few American philosophers have had the social impact outside of academia as John Dewey. A second difficulty here is that many thinkers in American intellectual history lie outside what is today considered philosophy. Because of his intellectual lineage, Jonathan Edwards is still studied within American Philosophy, but other important American thinkers, such as Reinhold Niebuhr (1892-1971) and C. Wright Mills (1916-1962) are not. Much as other academic disciplines, philosophy in America has become professionalized. Nevertheless, professional philosophers, for example in their analysis of rights and the question of the meaningfulness of animal rights, or in their application of philosophical ethics to health care contexts, have both reflected and shaped the face of American culture.

5. References and Further Reading

There are numerous works available on particular American philosophers and specific movements or philosophical traditions in American philosophy. The references below are for books that deal widely with American Philosophy as a whole.

  • Blau, Joseph L. Men and Movements in American Philosophy. Englewood Cliffs, NJ: Prentice-Hall, 1952.
  • Borradori, Giovanna. The American Philosopher. Chicago: University of Chicago Press, 1994.
  • Cohen, Morris. American Thought. Glencoe, IL: The Free Press, 1954.
  • Fisch, Max H. (ed.). Classic American Philosophers. New York: Appelton-Century-Crofts, 1951.
  • Flower, Elizabeth and Murray G. Murphy. A History of Philosophy in American, two volumes. New York: G. P. Putnam’s Sons, 1977.
  • Hollinger, David A. and Charles Capper. The American Intellectual Tradition, two volumes. Oxford: Oxford University Press, 1989. (Second edition, 1993.)
  • Harris, Leonard. Philosophy Born of Struggle: Anthology of African American Philosophy from 1917. Dubuque, IO: Kendell/Hunt, 1983.
  • Harris, Leonard, Scott L. Pratt, and Anne S. Waters (eds.). American Philosophies. Oxford: Blackwell, 2002.
  • Kuklick, Bruce. A History of Philosophy in American, 1720-2000. Oxford: Clarendon Press, 2001.
  • Kuklick, Bruce. The Rise of American Philosophy: Cambridge, Massachusetts, 1860-1930. New Haven: Yale University Press, 1977.
  • MacKinnon, Barbara (ed.). American Philosophy: A Historical Anthology. Albany: SUNY Press, 1985.
  • Muelder, Walter G., Laurence Sears and Anne V. Schlabach (eds.). The Develolpment of American Philosophy. New York: Houghton Mifflin, 1940. (Second edition, 1960.)
  • Myers, Gerald (ed.). The Spirit of American Philosophy. New York: Capricorn Books, 1971.
  • Pratt, Scott L. Native Pragmatism. Bloomington: Indiana University Press, 2002.
  • Reck, Andrew J. The New American Philosophers. New York: Dell, 1968.
  • Reck, Andrew J. Recent American Philosophy. New York: Pantheon Books, 1964.
  • Schneider, Herbert W. A History of American Philosophy. New York: Columbia University Press, 1946.
  • Singer, Marcus G. (ed.) American Philosophy. Cambridge: Royal Institute of Philosophy, 1985.
  • Smith, John E. The Spirit of American Philosophy. New York: Oxford University Press, 1963.
  • Smith, John E. Themes in American Philosophy. New York: Harper & Row, 1970.
  • Stanlick, Nancy A. and Bruce S. Silver (eds.). Philosophy in America: Primary Readings. Upper Saddle River, NJ: Pearson Prentice Hall, 2004.
  • Stroh, Guy W. American Philosophy. Princeton: D. Van Nostrand, 1968.
  • Stuhr, John J. (ed.). Classical American Philosophy. Oxford: Oxford University Press, 1987.
  • Stuhr, John J. (ed.). Pragmatism and Classical American Philosophy, second edition. Oxford: Oxford University Press, 2000.
  • Waters, Anne S. American Indian Thought. Oxford: Blackwell, 2003.
  • West, Cornell. The American Evasion of Philosophy. Madison: University of Wisconsin Press, 1989.
  • White, Morton (ed.). Documents in the History of American Philosophy. New York: Oxford University Press, 1972.
  • White, Morton. Science and Sentiment in America. Oxford: Oxford University Press, 1972.
  • Winn, Ralph B. (ed.). American Philosophy. New York: Greenwood Press, 1968.

Author Information

David Boersema
Email: boersema@pacificu.edu
Pacific University
U. S. A.

Alexander Polyhistor (1st cn. B.C.E.)

Known in his own time as a prolific writer, historian and philosopher, Alexander Polyhistor’s existing writings are fragmentary and are often cited from secondary or paraphrased sources.  In addition to having recorded the geographies of ancient Greek and Roman empires and transcribing the writings of Hellenistic Jewish scholars that would otherwise be lost, Alexander Polyhistor is recognized for his interpretation of Pythagorean doctrines, all the while not being officially recognized as a Pythagorean in written histories. Alexander’s writings on Pythagorean ideas address central doctrines: the harmony of numbers as Unity and the ideal that the mathematical world has primacy over, or can account for the existence of, the physical world.  Yet the often conflicting accounts of Pythagorean concepts of numbers and Unity, the order giving rise to each, and their relation to the concept of matter and the origin of the universe make it difficult to determine with certainty how Alexander’s interpretation complements or embodies the varied lineages of the Pythagorean thinkers. Nonetheless, Alexander Polyhistor’s attempt at reconciling these ideas is considered a concise and valuable remnant of ancient Pythagorean thought, the importance of which still occupies scholars.

Table of Contents

  1. Life
  2. Work
  3. Thought
  4. References and Further Reading

1. Life

Lucius Cornelius Alexander Polyhistor was a Greek scholar, imprisoned by the Romans in the war of Sulla against Mithridates of Pontus and brought as a slave to Rome for employment as a tutor. After Alexander’s release he lived in Italy as a Roman citizen. He had written so many books on philosophy, geography, and history, that he received the name Polyhistor. The writings of Alexander are now lost; only fragments exist, providing valuable information on antiquarian and eastern Mediterranean subjects. Alexander’s most important treatise consisted of 42 books of historical and geographical accounts of nearly all the countries of the ancient world. His other notable work is about the Jews; it reproduces in paraphrase relevant excerpts from Jewish writers, of whom otherwise nothing would be known. One of Alexander’s students was Gaius Julius Hyginus, Latin author, scholar and friend of Ovid, who was appointed by Augustus to be superintendent of the Palatine library.

2. Work

As a philosopher, Alexander Polyhistor had written Philosophers’ Successions, mentioned several times by Diogenes Laertius in his Lives and Opinions of Eminent Philosophers [hereafter ‘DL’]. Usually Diogenes used bio-bibliographical information from Alexander — on Socrates, Plato, Carneades of Cyrene, Chrysippus of Soli, Pyrrho of Elea, and others. There is also one passage about the Pythagoreans [DL, VIII, 25-36], containing several thoughts (on contradictions, fate, life, soul and its parts, perfect figures), and different curiosities (do not eat beans, do not touch a white cock, and similar). All these are of less importance.

3. Thought

Diogenes has preserved one extraordinarily interesting paraphrase of Alexander Polyhistor, concerning the Pythagorean idea of numbers as the elements of the universe:

The beginning of all is unity (monas); unity is a cause of indefinite duality as a matter; both unity and indefinite duality are sources of the numbers; the points are proceeding from numbers; the lines – from the points; from the lines are plane figures; from plane are volumetric figures; from them – sensibly acceptable solids, in which four elements are – fire, water, earth, and air; moving and changing totally, they give rise to the universe – inspired, intelligent, spherical, in the middle of which is the earth; and the earth is also spherical and inhabited from all sides. [DL, VIII, 25]

Here and elsewhere Alexander expounds Pythagorean doctrines. (It is interesting to mention that Alexander states that he found all his information in some Pythagorean notes, and an addition to these notes made by Aristotle [DL, VIII, 36]). However, straight evaluation of Alexander himself as a Pythagorean does not follow from the quote. Also, the “catalogue of the Pythagoreans” by the Neo-Platonist Iamblichus [On Pythagorean Life 267] includes 218 persons, but Alexander’s name is absent. Most likely, he was an erudite scholar, well-informed of different philosophical schools. It is proved by his nickname and his use of the genre of “successions of philosophers,” as well as references in other of Diogenes’ books, unrelated to Pythagoreanism.

The passage quoted above explains in its own way a harmonious conception of some mathematical idealism. The physical world is secondary with regard to the mathematical one. F.M. Cornford considered this information to be related to the Old Pythagoreans. He approved that the “original Pythagoreanism was monistic.” He thought that the Pythagoreans, from the very beginning, had taken unity as the first principle of all. [Classical Quarterly, XXVII, 1933, p.104] This seems to be in correspondence with the beginning of the fifth chapter of the first book (A) of Aristotle’s Metaphysics:

Contemporaneously with these philosophers, and even earlier, the so-called Pythagoreans, who were the first to take up mathematics, not only advanced this study, but also having been brought up in it, they thought its principles were the principles of everything. Since of these principles numbers are by nature the first, and in numbers they seemed to see many resemblances to the things that exist and come into being – more than in fire and earth and water … since, again, they saw that the properties and the ratios of the musical scales were expressible in numbers; – since, then, all other things seemed in their whole nature to be modeled on numbers, and numbers seemed to be the ultimate things in the whole of nature, they supposed the elements of numbers to be the elements of everything, and the whole universe to be a harmony (or proportion) and a number. [985b-986a]

Aristotle’s explanation seems to contain some difficult inconsistency. It is not one and the same to say that individual things “are numbers,” or the whole cosmos to be a number — because of difference between the singularities and the universals. Further, different sources sometimes ascribe to Pythagoreans the idea that things “are numbers,” or sometimes that they are “like numbers.” Furthermore, it is not so difficult to admit geometric figures or musical scales depending on numbers; more difficult is to imagine, for example, a fire made of numbers; and it is almost incomprehensible, how justice (say) “was four.” Indeed, the very Pythagorean doctrine of numbers was full of contradictions. Were really “all things” (everything) numbers — or only some of them? Were the things really numbers, or “like numbers?” Were the numbers elements of the things, or “the elements of numbers to be the elements of everything?” Were the things “made of numbers,” or “to be modeled on numbers,” i.e. they were made “according to numbers?” It is not so easy to reconcile such discrepancy of ill-assorted opinions.

We have still to consider a view, also attributed to Pythagoreans, that the First Principle (arkhe) is Unity (monas): “The beginning of all is unity…” [DL, VIII, 25]. Late Pythagoreans erected altars and temples for the Unity (i.e. One), and worshipped it as God. They deified Unity, rather than numbers. A reason is that the numbers themselves consist of, or originated from the units. But in what sense did the Pythagoreans speak of the Unity as the First Principle — as a unity of singular things? or hidden unity, being the basis of everything? or the unity of opposites? and if so, then either opposite philosophical categories (finite and infinite, one and many, rest and motion, etc.), or opposing characteristics and qualities of singular things (as, for example, white-black, sweet-bitter, and similar)? As we can see, the Pythagorean concept of the Unity is no clearer than their doctrine of numbers.

So, what was the First Principle? Was it the Number, or the Unity? It is hard to see how the Pythagoreans could reconcile the two. If the Number was the beginning of all, then we must regard the numbers as resulting from the units; and, then, the Universe originated from the Unity, rather than numbers. Even we could exclude numbers at all, because any thing is some entire wholeness and a unit (not “two”, or “three”, or “number”). Then, we have to consider the numbers as secondary qualities or external characteristics of things, proceeding from the Unity.

However, Pythagorean teaching of the Unity also maintains a contradiction — between really existing things and some underlying, invisible and ‘mystical’ Unity. So, singular things, gathered together, become not a unity, but a plurality. If we want to dig anything out of the depth of things, why was it unity, rather than duality (say), or plurality again? Consequently, we accept a unity of singular, finite, separate things in themselves (as “units”) — but we couldn’t realize their unity as One (monas). Thus, the Pythagorean principle of the Unity is inconsistent with the doctrine that things are numbers.

There is no doubt, however, that the Pythagoreans asserted that “things were like numbers”, and this was the original doctrine, going back to Pythagoras himself. Valuable comments are to be found in W.K.C. Guthrie:

The earlier of them (i.e. the Pythagoreans) maintained, that the “things were numbers.” To demonstrate it they said: “Look! 1 is a point, 2 a line, 3 a surface, and 4 a solid. Thus you have solid bodies generated from numbers.” We may call this an unwarrantable and indeed incomprehensible leap from the abstract intellectual conceptions of mathematics to the solid realities of nature. The pyramid, which they have made of the number 4, is not a pyramid of stone or wood, but non-material, a mere concept of the mind. Aristotle was already too far removed from their mentality to understand it, and complained that they “made weightless entities the elements of entities which had weight.” [Guthrie 1960, pp.14-15. Cf. Aristotle, Metaphysics 1090a32-34]

Consequently, the above question — whether Pythagoreans acknowledged as the First Principle the Number, or the Unity — we also have to reconcile with matter. To understand the origin of the Universe, it is necessary to explain how material things proceeded either from (non-material) Number, or from (non-material) Unity, or how “entities which had weight” originated from “weightless entities.” It was an irresolvable yet important problem for the whole Ancient philosophy. The outstanding importance and exclusive difficulties of this problem were stressed in Aristotle’s criticism of theory of ideas and numbers as independent entities and first principles of the things (in books 13 and 14 of Metaphysics). The final conclusion is that that to explain the origin of numbers is tortuous, and it is impossible here to make ends meet; thus, it gives evidence of impossibility — in spite of Pythagorean statements — to separate mathematical objects from sensibly acceptable things, and that they are not the First Principles of these things. [Metaphysics 1093b25f.]

Perhaps a suitable historical approach to the question is the one proposed by the famous Russian philosopher Alexey Losev, in his Ancient Cosmos and Contemporary Science:

As it is known, the Neo-Pythagoreanism developed into two different directions: the first didn’t put forward the concept of the number (Timaeus Locrus, Ocellos, Pseudo-Architos); the second proceeded from the philosophy of number — here are the Pythagoreans Alexander Polyhistor, and also Moderatus, Nichomachos, Numenius and some others. The study of this second direction in the Neo-Pythagoreanism is especially important for understanding of Plotinus’ (say, Neo-Platonic) teaching of matter. [Losev 1993, p. 464]

Thus, the main doctrine of Old Pythagoreanism was that of numbers as the First Principles. The main difficulty of this doctrine was the impossibility of explaining how material things originated from non-material beginnings. Neo-Pythagoreanism divided into two streams; and some Pythagoreans simply didn’t put forward the concept of the number; others strived to retain original doctrine of numbers, arranging it with some teachings about matter, and thus moving toward Neo-Platonism.

At last, we could consider the fragment of Polyhistor (quoted above) as a quite successful attempt to reconcile Pythagorean concepts of the unity, their doctrine of numbers as the beginning of all things, and simultaneously to include matter in the Pythagorean explanation of the origin of the sensibly acceptable world. It was a great deed, even more amazing with regard to the fact that we haven’t sufficient grounds to consider Alexander Polyhistor himself exactly as Pythagorean. In the same time, by his felicitous reconciliation of main Pythagorean ideas — just in one paraphrase — Polyhistor provided us with some integrated philosophical account of  Pythagoreanism from a doctrinal perspective, and perhaps he is, for this reason, a better Pythagorean than Pythagoras himself. Generally speaking, from what we know of Polyhistor’s ideas, we could gather that this “unknown philosopher” was an outstanding historian of philosophy, and an important thinker of his era, somewhat along the lines of Posidonius. Indeed, the almost absolute loss of his writings is one of the irrecoverable and unbearable tragedies of the history of philosophy!

4. References and Further Reading

  • Guthrie, W.K.C. The Greek Philosophers: From Thales to Aristotle (New York: Evanston 1960)
  • Losev, A.F. Ancient Cosmos and Contemporary Science in Being – Name – Cosmos (Moscow: Thought 1993 – published in Russian)

Author Information

Oleg Romanov
Email: roleg@ssu.samara.ru
Rumania

George Berkeley (1685—1753)

berkeley

George Berkeley was one of the three most famous British Empiricists. (The other two are John Locke and David Hume.)  Berkeley is best known for his early works on vision (An Essay towards a New Theory of Vision, 1709) and metaphysics (A Treatise concerning the Principles of Human Knowledge, 1710; Three Dialogues between Hylas and Philonous, 1713).

Berkeley’s empirical theory of vision challenged the then-standard account of distance vision, an account which requires tacit geometrical calculations.  His alternative account focuses on visual and tactual objects.  Berkeley argues that the visual perception of distance is explained by the correlation of ideas of sight and touch.  This associative approach does away with appeals to geometrical calculation while explaining monocular vision and the moon illusion, anomalies that had plagued the geometric account.

Berkeley claimed that abstract ideas are the source of all philosophical perplexity and illusion.  In his Introduction to the Principles of Human Knowledge he argued that, as Locke described abstract ideas (Berkeley considered Locke’s the best account of abstraction), (1) they cannot, in fact, be formed, (2) they are not needed for communication or knowledge, and (3) they are inconsistent and therefore inconceivable.

In the Principles and the Three Dialogues Berkeley defends two metaphysical theses:  idealism (the claim that everything that exists either is a mind or depends on a mind for its existence) and immaterialism (the claim that matter does not exist).  His contention that all physical objects are composed of ideas is encapsulated in his motto esse is percipi (to be is to be perceived).

Although Berkeley’s early works were idealistic, he says little in them regarding the nature of one’s knowledge of the mind.  Much of what can be gleaned regarding Berkeley’s account of mind is derived from the remarks on “notions” that were added to the 1734 editions of the Principles and the Three Dialogues.

Berkeley was a priest of the Church of Ireland.  In the 1720s, his religious interests came to the fore.  He was named Dean of Derry in 1724.  He attempted to found a college in Bermuda, spending several years in Rhode Island waiting for the British government to provide the funding it had promised.  When it became clear that the funding would not be provided, he returned to London.  There he published Alciphron (a defense of Christianity), criticisms of Newton’s theory of infinitesimals, The Theory of Vision Vindicated, and revised editions of the Principles, and the Three Dialogues.  He was named Bishop of Cloyne in 1734 and lived in Cloyne until his retirement in 1752.  He was a good bishop, seeking the welfare of Protestants and Catholics alike.  His Querist (1735-1737) presents arguments for the reform of the Irish economy.  His last philosophical work, Siris (1744), includes a discussion of the medicinal virtues of tar water, followed by properly philosophical discussions that many scholars see as a departure from his earlier idealism.

Table of Contents

  1. Life and Works
  2. Essays on Vision
  3. Against Abstraction
  4. Idealism and Immaterialism
  5. Notions
  6. Concluding Remarks
  7. References and Further Reading

1. Life and Works

George Berkeley was born in or near Kilkenny, Ireland on 12 March 1685. He was raised in Dysart Castle. Although his father was English, Berkeley always considered himself Irish. In 1696, he entered Kilkenny College. He entered Trinity College, Dublin on 21 March 1700 and received his B.A. in 1704. He remained associated with Trinity College until 1724. In 1706 he competed for a College Fellowship which had become available and became a Junior Fellow on 9 June 1707. After completing his doctorate, he became a Senior Fellow in 1717. As was common practice for British academics at the time, Berkeley was ordained as an Anglican priest in 1710.

The works for which Berkeley is best known were written during his Trinity College period. In 1709, he published An Essay towards a New Theory of Vision. In 1710, he published A Treatise concerning the Principles of Human Knowledge, Part I. In 1712, he published Passive Obedience, which focuses on moral and political philosophy. In 1713, he published Three Dialogues between Hylas and Philonous. In 1721, he published De Motu. In addition, there is a set of notebooks, often called the Philosophical Commentaries (PC), that covers the period during which he developed his idealism and immaterialism. These were personal notebooks, and he never intended to publish them.

While Berkeley was associated with Trinity College until 1724, he was not continuously in residence. In 1713, he left for London, in part to arrange publication for the Three Dialogues. He befriended some of the intellectual lights of the time, including Jonathan Swift, Joseph Addison, Richard Steele, and Alexander Pope. He contributed several articles against free-thinking (agnosticism) to Steele’s Guardian. Since the articles were unsigned, disagreement remains regarding which articles Berkeley wrote. He was the chaplain to Lord Peterborough during his 1713-1714 continental tour. There is some evidence that Berkeley met the French philosopher Nicholas Malebranche during that tour, although the popular myth that their conversation occasioned Malebranche’s death is false: Malebranche died in 1715. He was the chaperone of young St. George Ashe, son of the Trinity College provost, during his continental tour from 1716-21. It was during this tour that Berkeley later claimed to have lost the manuscript to the second part of the Principles (Works 2:282). He observed the eruption of Mount Vesuvius in 1717 and sent a description of it to the Royal Society (Works 4:247-250). While in Lyon, France in 1720, Berkeley wrote De Motu, an essay on motion which reflects his scientific instrumentalism. The manuscript was Berkeley’s entry for a dissertation prize sponsored by the French Academy. It did not win.

In May 1724, Berkeley became Anglican Dean of Derry and resigned his position at Trinity College. He was never a dean in residence. Between 1722 and 1728, Berkeley developed a plan to establish a seminary in Bermuda for the sons of colonists and Native Americans. He actively lobbied for his project. He obtained a charter for the college, private contributions, and a promise for a grant of £20,000 from the British Parliament. After marrying Anne Foster on August 1, 1728, he and his bride departed for America in September 1728. He settled near Newport, Rhode Island, waiting for the promised grant. He bought a farm and built a house named Whitehall, which is still standing. He was an active cleric during his stay in Rhode Island. He was in contact with some of the leading American intellectuals of the time, including Samuel Johnson, who became the first president of King’s College (now Columbia University). He wrote the bulk of Alciphron, his defense of Christianity against free-thinking, while in America. In early 1731, Edmund Gibson, the Bishop of London, informed Berkeley that Sir Robert Walpole had informed him that there was little likelihood that the promised grant would be paid. Berkeley returned to London in October 1731. Before leaving America he divided his library between the Harvard and Yale libraries, and he gave his farm to Yale.

After his return to London, Berkeley published A Sermon before the Society for the Propagation of the Gospel in Foreign Parts (1732), Alciphron: or the Minute Philosopher (1732), The Theory of Vision, or Visual Language shewing the immediate Presence and Providence of A Deity, Vindicated and Explained (1733), The Analyst; or, a Discourse Addressed to an Infidel Mathematician (1734), A Defense of Free-Thinking in Mathematics (1735), Reasons for not Replying to Mr Walton’s Full Answer (1735), as well as revised editions of the Principles and the Dialogues (1734). The revisions of the Principles and Dialogues contain Berkeley’s scant remarks on the nature and one’s knowledge of mind (notions).

While the Bermuda Project was a practical failure, it increased Berkeley’s reputation as a religious leader. It is considered partially responsible for his appointment as Bishop of Cloyne in January 1734. In February 1734 he resigned as Dean of Derry. He was consecrated Bishop of Cloyne in St. Paul’s Church, Dublin, on 19 May 1734.

Berkeley was a good bishop. As bishop of an economically poor Anglican diocese in a predominantly Roman Catholic country, he was committed to the well-being of both Protestants and Catholics. He established a school to teach spinning, and he attempted to establish the manufacture of linen. His Querist (1735-1737) concerns economic and social issues germane to Ireland. Among other things, it contains a proposal for monetary reform. His Siris (1744) prefaces his philosophical discussions with an account of the medicinal value of tar water. The relationship of Siris to his early philosophy continues to be a matter of scholarly discussion.

Except for a trip to Dublin in 1737 to address the Irish House of Lords and a trip to Kilkenny in 1750 to visit family, he was continually in Cloyne until his retirement. In August 1752, Berkeley and his family left Cloyne for Oxford, ostensibly to oversee the education of his son George. While at Oxford, he arranged for the republication of his Alciphron and the publication of his Miscellany, a collection of essays on various subjects. He died on January 14, 1753 while his wife was reading him a sermon. In keeping with his will, his body was “kept five days above ground, … even till it grow offensive by the cadaverous smell” (Works 8:381), a provision that was intended to prevent premature burial. (This was the age in which some caskets were fitted with bells above ground so the “dead” could “ring up” if their beneficiaries had been a bit hasty.)

2. Essays on Vision

In 1709, Berkeley published An Essay towards a New Theory of Vision (NTV). This is an empirical account of the perception of distance, magnitude, and figure. The New Theory of Vision does not presuppose immaterialism, and, although Berkeley held that it was connected with his later works, the degree of connection is hotly contested among scholars. Berkeley also discusses vision in Dialogue 4 of Alciphron (1732), and, in reply to a set of objections, in the Theory of Vision …Vindicated (TVV). He alludes to his account of vision in the Principles of Human Knowledge (PHK §§42-44) and the Three Dialogues (DHP1 201-203).

Berkeley’s objective in the New Theory of Vision was “to shew the manner wherein we perceive by sight the distance, magnitude, and situation of objects. Also to consider the difference there is betwixt the ideas of sight and touch, and whether there be any idea common to both senses” (NTV §1). Berkeley agrees with other writers on optics that distance is not immediately seen (NTV §2) and recounts the positions of earlier writers. Some held that we correlate our current perceptions with earlier perceptions and judge that the objects are distant because we had experienced the large size of intermediate objects, or because the objects which now appear small and faint had earlier appeared large and vigorous (NTV §3). Some, such as Descartes, held that distance is judged by a natural geometry based on the angles between the perceived object and the eyes or on the angles of the rays of light that fall upon the eye (NTV §§4 and 6, and Works 1:237-238; Descartes 1:170). Berkeley rejects those accounts.

When one perceives mediately, one perceives one idea by means of perceiving another (NTV §9), for example, one perceives that someone is frightened by perceiving the paleness of her face (NTV §10). Empirically, the geometrical account fails, since one perceives neither the requisite lines, nor angles, nor rays as such (NTV §§12-15), even though such mathematical computations can be useful in determining the apparent distance or magnitude of an object (NTV §§ 38, 78; TVV §58). So, what are the immediate ideas that mediate the perception of distance? First, there are the kinesthetic sensations associated with focusing the eyes when perceiving objects at various distances (NTV §16). Second, as objects are brought closer to the eye, their appearance becomes more confused (blurred or double, NTV §21). Third, as an object approaches the eyes, the degree of confusion can be mitigated by straining the eyes, which is recognized by kinesthetic sensations (NTV §27). In each case, there is no necessary connection between the ideas and distance; there is merely a customary connection between two types of ideas (NTV §§17, 26, 28). A necessary connection is a relation such as that found among numbers in true arithmetic equations. It is impossible for 7+3 to equal anything other than 10, and it is impossible to imagine it to be anything other than 10. A customary connection is a relation found in experience in which one type of idea is found with or followed by another, but which one could imagine the situation to be otherwise. David Hume’s famous example is that experience shows that whenever one billiard ball hits another, the second rolls away, but the fact that one could imagine anything happening shows that there is merely a customary connection between the actions of the billiard balls. It is in this sense that ideas of touch and sight are merely customarily, and not necessarily, connected. The absence of a necessary connection between these ideas is further illustrated by the fact that nearsighted (purblind) persons find that objects appear less, rather than more, confused as they approach to the eyes (NTV §37). Since one perceives distance by sight mediately through the correlation of visual ideas with nonvisual ideas, a person born blind and who came to see would have no notion of visual distance: even the most remote objects would “seem to be in his eye, or rather his mind (NTV §41) This is Berkeley’s first allusion to Molyneux’s man-born-blind-made-to-see (cf. Locke 2.9.8, pp. 145-146), which Berkeley regularly uses to show the consequences of his theory of vision (see also NTV §§79, 110, and 132-133; TVV §71). Molyneux’s contention was that if a person were born blind and had learned to distinguish a cube from a sphere by touch, he would not immediately be able to distinguish a visual cube from a sphere if he were given sight.

Like most philosophers of the period, Berkeley seems to assume that touch provides immediate access to the world. Visual ideas of an object, on the other hand, vary with one’s distance from the object. As one approaches a tower one judges to be about a mile away, “the appearance alters, and from being obscure, small, and faint, grows clear, large, and vigorous” (NTV §44). The tower is taken to be of a determinate size and shape, but the visual appearance continually changes. How can that be? Berkeley claims that visual ideas are merely signs of tactile ideas. There is no resemblance between visual and tactile ideas. Their relationship is like that between words and their meanings. If one hears a noun, one thinks of an object it denotes. Similarly, if one sees an object, one thinks of a corresponding idea of touch, which Berkeley deems the secondary (mediate) object of sight. In both cases, there are no necessary connections between the ideas. The associative connection is based on experience (NTV §51; cf. TVV §40, Alciphron, Dialogue 4).

His discussion of magnitude is analogous to his discussion of distance. Berkeley explores the relationships between the objects of sight and touch by introducing the notions of minimum visibles and tangibles, the smallest points one actually can perceive by sight and touch, points which must be taken to be indivisible. The apparent size of a visible object varies with distance, while the size of the corresponding tangible object is taken to be constant (NTV §55). The apparent size of the visual object, its confusion or distinctness, and its faintness or vigor play roles in judging the size of the tangible object. All things being equal, if it appears large, it is taken to be large. “But, be the idea immediately perceived by sight never so large, yet if it be withal confused, I judge the magnitude of the thing to be but small. If it be distinct and clear, I judge it greater. And if it be faint, I apprehend it to be yet greater” (NTV §56; see also §57). As in the case of distance, there are no necessary connections between the sensory elements of the visual and tangible object. The correlations are only known by consistent experience (NTV §§59, 62-64), and Berkeley argues that measurements (inches, feet, etc.) are applicable only to tangible size (NTV §61).

The arguments are repeated, mutates mutandis, regarding visual and tangible figure (NTV §§105ff).

Berkeley argues that the objects of sight and touch – indeed, the objects of each sensible modalities – are distinct and incommensurable. This is known as the heterogeneity thesis (see NTV §§108ff). The tower that visually appears to be small and round from a distance is perceived to be large and square by touch. So, one complex tactual object corresponds to the indefinitely large number of visual objects. Since there are no necessary connections between the objects of sight and touch, the objects must be distinct. Further, his discussion of “hearing the coach approach” shows that there is a similar distinction between the objects of hearing and touch (NTV §46). Given the hypothesis that the number of minimum visibles seen is constant and the same among individual humans and other creatures (NTV §§80-81), it follows that the objects seen when using a microscope are not the same as those seen by the naked eye (NTV §85; cf. NTV §105 and DHP3 245-246).

Before turning to the discussions of Berkeley’s idealism and immaterialism, there are several points we should notice. First, there are various points in the New Theory of Vision where Berkeley writes as if ideas of touch are or are of external objects (cf. §§ 46, 64, 77, 78, 82, 88, 99, 117, 155). Since the Berkeley of the Principles and Dialogues contends that all ideas are mind-dependent and all physical objects are composed of ideas, some have questioned whether the position in the New Theory of Vision is consistent with the work that immediately follows. Some scholars suggest that either that the works on vision are scientific works which, as such, make no metaphysical commitments or that allusions to “external objects” are cases of speaking with the vulgar. Secondly, insofar as in his later works Berkeley claims that ordinary objects are composed of ideas, his discussion of the correlation of ideas of sight and touch tends to anticipate his later view by explaining how one “collects” the ideas of distinct senses to form one thing. Finally, the New Theory of Vision includes discussions of the primary/secondary qualities distinction (§§43, 48-49, 61, 109) and of abstraction (NTV §§122-127) that anticipate his later discussions of those topics.

3. Against Abstraction

In the Introduction to the Principles of Human Knowledge, Berkeley laments the doubt and uncertainty found in philosophical discussions (Intro. §§1-3), and he attempts to find those principles that drew philosophy away from common sense and intuition (PHK §4). He finds the source of skepticism in the theory of abstract ideas, which he criticizes.

Berkeley begins by giving a general overview of the doctrine:

It is agreed on all hands, that the qualities or modes of things do never really exist each of them apart by it self, and separated from all others, but are mixed, as it were, and blended together, several in the same object. But we are told, the mind being able to consider each quality singly, or abstracted from those other qualities with which it is united, does by that means frame to it self abstract ideas. … Not that it is possible for colour or motion to exist without extension: but only that the mind can frame to it self by abstraction the idea of colour exclusive of extension, and of motion exclusive of both colour and extension. (Intro, §7)

In §§8-9 he details the doctrine in terms of Locke’s account in the Essay concerning Human Understanding. Although theories of abstraction date back at least to Aristotle (Metaphysics, Book K, Chapter 3, 1061a29-1069b4), were prevalent among the medievals (cf. Intro, §17 and PC §779), and are found in the Cartesians (Descartes, 1:212-213; Arnauld and Nicole, pp. 37-38), there seem to be two reasons why Berkeley focused on Locke. First, Locke’s work was recent and familiar. Second, Berkeley seems to have considered Locke’s account the best available. As he wrote in his notebooks, “Wonderful in Locke that he could wn advanc’d in years see at all thro a mist yt had been so long a gathering & was consequently thick. This more to be admir’d than yt he didn’t see farther” (PC §567).

According to Locke, the doctrine of abstract ideas explains how knowledge can be communicated and how it can be increased. It explains how general terms obtain meaning (Locke, 3.3.1-20, pp. 409-420). A general term, such as ‘cat’ refers to an abstract general idea, which contains all and only those properties that one deems common to all cats, or, more properly, the ways in which all cats resemble each other. The connection between a general term and an abstract idea is arbitrary and conventional, and the relation between an abstract idea and the individual objects falling under it is a natural relation (resemblance). If Locke’s theory is sound, it provides a means by which one can account for the meaning of general terms without invoking general objects (universals).

Berkeley’s attack on the doctrine of abstract ideas follows three tracks. (1) There is the “I can’t do it” argument in Intro. §10. (2) There is the “We don’t need it” argument in Intro. §§11-12. And (3) there is the “The theory leads to inconsistencies” argument in Intro. §13, which Berkeley deemed the “killing blow” (PC §687). As we shall see, Berkeley uses a similar tripartite attack on doctrine of material substance (see PHK §§16-23).

Having outlined Locke’s account of abstraction in Introduction §§8-9, which allegedly results in the idea of a human which is colored but has no determinate color – that the idea includes a general idea of color, but not a specific color such as black or white or brown or yellow – which has a size but has no determinate size, and so forth, Berkeley argues in §10 that he can form no such idea. On the face of it, his argument is weak. At most it shows that insofar as he cannot form the idea, and assuming that all humans have similar psychological abilities, there is some evidence that no humans can form abstract ideas of the sort Locke described.

But there is a remark made in passing that suggests there is a much stronger argument implicit in the section. Berkeley writes:

To be plain, I own my self able to abstract in one sense, as when I consider some particular parts or qualities separated from others, with which though they are united in some object, yet, it is possible they may really exist without them. But I deny that I can abstract one from another, or conceive separately, those qualities which it is impossible should exist so separated; or that I can frame a general notion by abstracting from particulars in the manner aforesaid. Which two last are the proper acceptations of abstraction. (Intro. §10)

This three-fold distinction among types of abstraction is found in Arnauld and Nicole’s Logic or the Art of Thinking. The first type of abstraction concerns integral parts. The head, arms, torso, and legs are integral parts of a body: each can exist in separation from the body of which it is a part (Arnauld and Nicole, p. 37). The second kind of abstraction “arises when we consider a mode without paying attention to its substance, or two modes which are joined together in the same substance, taking each one separately” (Arnauld and Nicole, p. 37). The third concerns distinctions of reason, for example, conceiving of a triangle as equilateral without conceiving of it as equiangular (Arnauld and Nicole, p. 38). Berkeley grants that he can abstract in the first sense – “I can consider the hand, the eye, the nose, each by it self abstracted or separated from the rest of the body” (Intro. §10) – but he denies that he can abstract in the latter two senses. The latter two cases represent impossible states of affairs. In §7 Berkeley noted that the abstractionists held that it is impossible for a mode to exist apart from a substance. Many abstractionists also accepted a conceivability criterion of possibility: If one can (clearly and distinctly) conceive of a state of affairs, then it is possible for that state of affairs to exist as conceived (cf. Descartes, 2:54). This principle entails that impossible states of affairs are inconceivable. So, granting it is impossible for a mode to exist apart from a substance (Intro. §7), it follows that it is impossible to conceive of a mode apart from a substance, that the second form abstraction is impossible. And if the second falls, the third falls as well, since the third requires that alternative descriptions of an object pick out no differences in reality. So, a traditional theory of modes and substances, the conceivability criterion of possibility, and abstraction are an inconsistent triad. The inconsistency can be resolved by dropping the doctrine of abstract ideas. Berkeley made this point explicitly in the first draft of the Introduction:

It is, I think, a receiv’d axiom that an impossibility cannot be conceiv’d. For what created intelligence will pretend to conceive, that which God cannot cause to be? Now it is on all hands agreed, that nothing abstract or general can be made really to exist, whence it should seem to follow, that it cannot have so much as an ideal existence in the understanding. (Works 2:125)

One of the marks of the modern period is an adherence to the principle of parsimony (Ockham’s Razor). The principle holds that the theoretically simpler of two explanations is more probably true. In the seventeenth and eighteen centuries, this was sometimes expressed as “God does nothing in vain” (cf. DHP2 214). So, if it is possible to construct a theory of meaning that does not introduce abstract ideas as a distinct kind of idea, that theory would be simpler and deemed more probably true. This is the strategy Berkeley adopts in Introduction §§11-12.

Granting Locke that all existents are particulars (Locke 3.3.6, p. 410), Berkeley remarks, “But it seems that a word becomes general by being made the sign, not of an abstract general idea but, of several particular ideas, any one of which it indifferently suggests to the mind” (Intro. §11). Ideas remain particular, although a particular idea can function as a general idea. For example, when a geometer draws a line on a blackboard, it is taken to represent all lines, even though the line itself is particular and has determinate qualities. Similarly, a particular idea can represent all similar ideas. So, whether one takes Berkeley to mean that words apply immediately to objects or that meaning is mediated by paradigmatic ideas, the theory is simpler than the abstractionists’ insofar as all ideas are particular and determinate.

In Introduction §13, Berkeley turns to Locke’s abstract general idea of a triangle, an idea which “must be neither oblique nor rectangle, neither equilateral, equicrural, nor scalenon, but all and none of these at once. In effect, it is something imperfect that cannot exist, an idea wherein some parts of several different and inconsistent ideas are put together” (Locke 4.7.9, p. 596; quoted in Intro. §13, Berkeley’s emphasis). Upon quoting the passage, Berkeley merely asks his reader whether he or she can form the idea, but his point seems to be much stronger. The described idea is inconsistent, and therefore represents an impossible state of affairs, and it is therefore inconceivable, since whatever is impossible is inconceivable. This is explicit in a parallel passage in the New Theory of Vision. After quoting the triangle passage, Berkeley remarks, “But had he called to mind what he says in another place, to wit, ‘That ideas of mixed modes wherein any inconsistent ideas are put together cannot so much as exist in the mind, i.e. be conceived.’ vid. B. iii. C. 10. S. 33. ibid. I say, had this occurred to his thoughts, it is not improbable he would have owned it above all the pains and skill he was master of, to form the above-mentioned idea of a triangle, which is made up of manifest, staring contradictions” (NTV §125).

If abstract ideas are not needed for communication – Berkeley takes the fact that infants and poorly educated people communicate, while the formation of abstract ideas is said to be difficult, as a basis for doubting the difficulty thesis (Intro. §14) – he is able to give short shrift to the contention that abstract ideas are necessary for knowledge. The abstractionists maintain that abstract ideas are needed for geometrical proofs. Berkeley argues that only properties concerning, for example, a triangle as such are germane to a geometric proof. So, even if one’s idea of a triangle is wholly determinate (consider a diagram on a blackboard), none of the differentiating properties prevent one from constructing a proof, since a proof is not concerned solely with the idea (or drawing) with which one begins. He maintains that it is consistent with his theory of meaning to selectively attend to a single aspect of a complex, determinate idea (Intro. §16).

Berkeley concludes his discussion of abstraction by noting that not all general words are used to denote objects or kinds of objects. His discussion of the nondenotative uses of language is often taken to anticipate Ludwig Wittgenstein’s interest in meaning-as-use.

4. Idealism and Immaterialism

Berkeley’s famous principle is esse is percipi, to be is to be perceived. Berkeley was an idealist. He held that ordinary objects are only collections of ideas, which are mind-dependent. Berkeley was an immaterialist. He held that there are no material substances. There are only finite mental substances and an infinite mental substance, namely, God. On these points there is general agreement. There is less agreement on Berkeley’s argumentative approach to idealism and immaterialism and on the role of some of his specific arguments. His central arguments are often deemed weak.

The account developed here is based primarily on the opening thirty-three sections of the Principles of Human Knowledge. It assumes, contrary to some commentators, that Berkeley’s metaphysics rests on epistemological foundations. This approach is prima facie plausible insofar as it explains the appeal to knowledge in the title of the Principles (cf. Intro. §4), it is consistent with Berkeley’s epistemic concerns in other writings (cf. TVV §18), and it provides an explanatory role for abstract ideas. There will be occasional digressions concerning the problems perceived by those who claim that Berkeley’s approach was more straightforwardly metaphysical.

Berkeley begins his discussion as follows:

It is evident to any one who takes a survey of the objects of human knowledge, that they are either ideas actually imprinted on the senses, or else such as are perceived by attending to the passions and operations of the mind, or lastly ideas formed by help of memory and imagination, either compounding, dividing, or barely representing those originally perceived in the aforesaid ways. (PHK §1).

This seems to say that ideas are the immediate objects of knowledge in a fundamental sense (acquaintance). Following Locke, there are ideas of sense, reflection, and imagination. So, ordinary objects, as known, are collections of ideas marked by a single name. Berkeley’s example is an apple.

If ideas are construed as objects of knowledge, then there must also be something that “knows or perceives them, and exercises divers operations, as willing, imagining, remembering about them” (PHK §2; cf. §6). This Berkeley calls this ‘mind’ or ‘spirit’. Minds (as knowers) are distinct from ideas (as things known). For an idea, to be is to be perceived (known). Since this holds for ideas in general, it holds for “sensations or ideas imprinted on the sense” in particular (§3).

Berkeley contends that the “opinion strangely prevailing amongst men, that houses, mountains, rivers, and in a world all sensible objects have an existence natural or real, distinct from being perceived” is inconsistent, “a manifest contradiction” (PHK §4). If one construes ‘sensible objects’ as ideas of sense, and ideas are objects of knowledge, then having a real existence distinct from being perceived would require that an object be known (as an idea) and unknown (as a thing distinct from being perceived), which is inconsistent. He explains the source of the error on the basis of the doctrine of abstract ideas (PHK §5), a discussion which parallels the discussion in Introduction §10.

Ordinary objects, as known, are nothing but collections of ideas. If, like Descartes, Berkeley holds that claims of existence are justified if and only if the existent can be known, then ordinary objects must be at least collections of ideas. As Berkeley put it, “all the choir of heaven and furniture of the earth, in a word all those bodies which compose the mighty frame of the world, have not any subsistence without a mind, that their being is to be perceived or known” (PHK §6). The only substance that can be known is a spirit or thinking substance (PHK §7). But notice what has not yet been shown. It has not been shown that ordinary objects are only collections of ideas, nor has it be shown that thinking substances are immaterial. Berkeley’s next move is to ask whether there are grounds for claiming ordinary objects are something more than ideas.

The above account is not the only interpretation of the first seven sections of the Principles. Many commentators take a more directly metaphysical approach. They assume that ideas are mental images (Pitcher, p.70; cf. Winkler, p. 13 and Muehlmann, p. 49), or objects of thought (Winker, p.6), or modes of a mental substance (Bracken, pp. 76ff), or immediate objects of perception (Pappas, pp. 21-22), or any of Berkeley’s other occasional characterizations of ideas, and proceed to show that, on the chosen account of ideas, Berkeley’s arguments fail. A. A. Luce tells us that Berkeley’s characterization of an apple in terms of ideas (PHK §1) is concerned with the apple itself, rather than a known apple (Luce 1963, p. 30; cf. Tipton, p. 70), which suggests that Berkeley begs the question of the analysis of body. Many commentators tell us that what seems to be an allusion to ideas of reflection in the first sentence of §1 cannot be such, since Berkeley claims one has no ideas of minds or mental states (PHK §§27, 89, 140, 142; DHP2 223, DHP3 231-233; cf. Works 2:42n1). They ignore his allusions to ideas of reflection (PHK §§13, 25, 35, 68, 74, 89) and the presumption that if there are such ideas, they are the effects of an active mind (cf. PHK §27). Many commentators suggest that the argument for esse is percipi is in §3 – ignoring the concluding words in §2 – and find the “manifest contradiction” in §4 puzzling at best. Most commentators assume that the case for idealism – the position that there are only minds and mind-dependent entities – is complete by §7 and lament that Berkeley has not established the ‘only’. The epistemic interpretation we have been developing seems to avoid these problems.

Berkeley holds that ordinary objects are at least collections of ideas. Are they something more? In §§8-24 Berkeley examines the prime contenders for this “something more,” namely, theories of material substance. He prefaces his discussion with his likeness principle, the principle that nothing but an idea can resemble an idea. “If we look but ever so little into our thoughts, we shall find it impossible for us to conceive a likeness except only between our ideas” (PHK §8). Why is this? A claim that two objects resemble each other can be justified only by a comparison of the objects (cf. PC §377, ##16-18). So, if only ideas are immediately perceived, only ideas can be compared. So, there can be no justification for a claim that an idea resembles anything but an idea. If claims of existence rest on epistemically justified principles, the likeness principle blocks both grounds for claiming that there are mediately perceived material objects and Locke’s claim that the primary qualities of objects resemble one’s ideas of them (Locke, 1.8.15, p. 137).

One of the marks of the modern period is the doctrine of primary and secondary qualities. Although it was anticipated by Descartes, Malebranche, and others, the terms themselves were introduced in Robert Boyle’s “Of the Origins of Forms and Qualities” (1666) and Locke’s Essay. Primary qualities are the properties of objects as such. The primary qualities are solidity, extension, figure, number, and mobility (Locke 2.8.9, p. 135; cf. 2.8.10, p. 135). Secondary qualities are either the those arrangements of corpuscles containing only primary qualities that cause one to have ideas of color, sound, taste, heat, cold, and smell (Locke 2.8.8, p. 135; 2.8.10, p. 135) or, on some accounts, the ideas themselves. If the distinction can be maintained, there would be grounds for claiming that ordinary objects are something more than ideas. It is this theory of matter Berkeley considers first.

After giving a sketch of Locke’s account of the primary/secondary quality distinction (PHK §9), his initial salvo focuses on his previous conclusions and the likeness principle. “By matter therefore we are to understand an inert, senseless substance, in which extension, figure, and motion, do actually subsist” (PHK §9). Such a view is inconsistent with his earlier conclusions that extension, figure, and motion are ideas. The likeness principle blocks any attempt to go beyond ideas on the basis of resemblance. Combining the previous conclusions with the standard account of primary qualities requires that primary qualities both exist apart from the mind and only in the mind. So, Berkeley concludes that “what is called matter or corporeal substance, involves a contradiction in it” (PHK §9). He then turns to the individual qualities.

If there is a distinction between primary and secondary qualities, there must be a ground for the distinction. Indeed, given the common contention that an efficient cause must be numerically distinct from its effect (see Arnauld and Nicole, p. 186; Arnauld in Descartes, 2:147; Locke 2.26.1-2, pp. 324-325), if one cannot show that primary and secondary qualities are distinct, there are grounds for questioning the causal hypothesis. Berkeley argues that there is no ground for the distinction. Appealing to what one knows – ideas as they are conceived – Berkeley argues that one cannot conceive of a primary quality such as extension without some secondary quality as well: one cannot “frame an idea of a body extended and moved, but I must withal give it some colour or other sensible quality which is acknowledged to exist only in the mind” (PHK §10). If such sensible qualities as color exist only in the mind, and extension and motion cannot be known without some sensible quality, there is no ground for claiming extension exists apart from the mind. The primary/secondary quality distinction collapses. The source of the philosophical error is cited as the doctrine of abstract ideas. His arguments in Principles §§11-15 show that no evidence can be found that any of the other so-called primary qualities can exist apart from the mind.

After disposing of the primary/secondary quality distinction, Berkeley turns to an older theory of material substance, a substratum theory. At least since Aristotle, philosophers had held that qualities of material objects depend on and exist in a substance which has those qualities. This supposed substance allegedly remains the same through change. But if one claims there are material substances, one must have reasons to support that claim. In Principles §§16-24 Berkeley develops a series of arguments to the effect that (1) one cannot form an idea of a substratum, (2) the theory of material substance plays no explanatory role, and (3) it is impossible to produce evidence for the mere possibility of such an entity.

Can one form an idea a substratum? No. At least one cannot form a positive idea of a material substratum itself – something like an image of the thing itself – a point that was granted by its most fervent supporters (see Descartes 1:210; Locke 2.23.3, p. 295). The most one can do is form “An obscure and relative Idea of Substance in general” (Locke 2.23.3, p. 296), “though you know not what it is, yet you must be supposed to know what relation it bears to accidents, and what is meant by its supporting them” (PHK §16). Berkeley argues that one cannot make good on the notion of ‘support’ – “It is evident support cannot here be taken in its usual or literal sense, as when we say that pillars support a building: in what sense therefore must it be taken?” (PHK §16) – so one does not even have a relative idea of material substratum. Without a clear notion of the alleged relation, one cannot single out a material substance on the basis of a relation to something perceived (PHK §17).

If an idea of a material substratum cannot be derived from sense experience, claims of its existence might be justified if it is necessary to provide an explanation of a phenomenon. But no such explanation is forthcoming. As Berkeley notes: “But what reason can induce us to believe the existence of bodies without the mind, from what we perceive, since the very patrons of matter themselves do not pretend, there is any necessary connexion betwixt them and our ideas? I say it is granted on all hands (and what happens in dreams, phrensies, and the like, puts it beyond dispute) that it is possible we might be affected with all the ideas we have now, though no bodies existed without, resembling them” (PHK 18). Since material substance is not necessary to provide an explanation of mental phenomena, reason cannot provide grounds for claiming the existence of a material substance.

Berkeley’s final move against material substance is sometimes called the “Master Argument.” It takes the form of a challenge, one on which Berkeley is willing to rest his entire case. “It is but looking into your own thoughts, and so trying whether you can conceive it possible for a sound, or figure, or motion, or colour, to exist without the mind, or unperceived. This easy trial may make you see, that what you contend for, is a downright contradiction” (PHK §22). Berkeley seems to argue that in any case one might consider – books in the back of a closet, plants deep in a wood with no one about, footprints on the far side of the moon – the objects are related to the mind conceiving of them. So, it is contradictory to claim that those objects have no relation to a mind (PHK, §§22-23; cf. DHP1 199-201). This is generally not considered Berkeley at his best, since many commentators argue that it is possible to distinguish between the object conceived and the conceiving of it. George Pappas has provided a more sympathetic interpretation of the passage. He contends that Berkeley is calling for an “impossible performance” (Pappas, pp. 141-144). Conceivability is the ground for claiming that an object is possible. If one conceives of an object, then that object is related to some mind, namely, the mind that conceives it. So, the problem is that it is not possible to fulfill the conditions necessary to show that it would be possible for an object to exist apart from a relation to a mind.

Thus, Berkeley concludes, there are no grounds for claiming that an ordinary object is more than a collection of ideas. The arguments in §§1-7 showed that ordinary objects are at least collections of ideas of sense. The arguments in §§8-24 provide grounds for claiming that ordinary objects are nothing more than ideas. So, Berkeley is justified in claiming that they are only ideas of sense. Berkeley’s argument for immaterialism is complete, although he has not yet provided criteria for distinguishing ideas of sense from ideas of memory and imagination. This is his task in §§29-33. Before turning to this, Berkeley introduces several remarks on mind.

Berkeley claims that an inspection of our ideas shows that they are causally inert (PHK §25). Since there is a continual succession of ideas in our minds, there must be some cause of it. Since this cause can be neither an idea nor a material substance, it must be a spiritual substance (PHK §26). This sets the stage for Berkeley’s argument for the existence of God and the distinction between real things and imaginary things.

One knows that one causes some of one’s own ideas (PHK §28). Since the mind is passive in perception, there are ideas which one’s own mind does not cause. Only a mind or spirit can be a cause. “There is therefore some other will or spirit that produces them” (PHK §29). As such, this is not an argument for the existence of God (see PHK §§146-149), although Berkeley’s further discussion assumes that at least one mind is the divine mind.

He is now in a position to distinguish ideas of sense from ideas of the imagination: “The ideas of sense are more strong, lively, and distinct than those of the imagination; they have likewise a steadiness, order, and coherence, and are not excited at random, as those which are the effects of human wills often are” (PHK §30). This provides the basis for both the distinction between ideas of sense and ideas of imagination and for the distinction between real things and imaginary things (PHK §33). Real things are composed solely of ideas of sense. Ideas of sense occur with predictable regularity; they form coherent wholes that themselves can be expected to “behave” in predictable ways. Ideas of sense follow (divinely established) laws of nature (PHK §§30. 34, 36, 62, 104).

So, Berkeley has given an account of ordinary objects without matter. Ordinary objects are nothing but lawfully arranged collections of ideas of sense.

This section 4 is a condensed version of (Flage 2004).

5. Notions

If one reads the Principles and Dialogues, one discovers that Berkeley has little to say regarding our knowledge of minds, and most of what is found was added in the 1734 editions of those works. The reason is Berkeley originally intended the Principles to consist of at least three parts (cf. PC §583). The second was to examine issues germane to mind, God, morality, and freedom (PC §§508, 807). He told Samuel Johnson, his American correspondent, that the manuscript for the second part was lost during his travels in Italy in about 1716 (Works 2:282). In the 1734 editions of the Principles and Dialogues, Berkeley included brief discussions of our notions of minds.

Berkeley claims we do not have ideas of minds, since minds are active and ideas are passive (PHK §27; cf. §89, 140, 142). Nonetheless, “we have some notion of soul, spirit, and the operations of the mind, such as willing, loving, hating, in as much as we know or understand the meaning of those words” (PHK §27, 1734 edition). Given Berkeley’s theory of meaning, this seems to imply that so long as one able to pick out (distinguish) minds from other things one can have a notion of mind. Since Berkeley remarks, “Such is the nature of spirit or that which acts, that it cannot be of it self perceived, but only by the effects which it produceth” (PHK §27, all editions), one might come to believe that Berkeley knows minds in much the same way as Locke knows them. Locke claims one has a relative idea of substance in general (Locke 2.23.3, p. 296): one is able to pick out a substance as such on the basis of its relation to a directly perceived idea or quality. While nominally distinct from Lockean relative ideas, Berkeley could claim that notions pick out an individual mind as the thing that perceives some determinate idea (one’s own mind) or which causes some determinate idea (God or, perhaps, some other spirit). Since Berkeley held that causal and perceptual relations are necessary connections, this seems to avoid the problems with ‘support’ discussed in Principles §16. Such a position seems to be consistent with everything said in the Principles and much of what is said in the Dialogues (DHP2 2:223; DHP3 2:232-233). However, there are two passages in the Third Dialogue which suggest that one’s own mind is known directly, rather than relatively. Philonous says:

I own I have properly no idea, either of God or any other spirit; for these being active, cannot be represented by things perfectly inert, as our ideas are. I do nevertheless know, that I who am a spirit or thinking substance, exist as certainly, as I know my ideas exist. Farther, I know what I mean by the terms I and myself; and I know this immediately, or intuitively, though I do not perceive it as I perceive a triangle, a colour, or a sound. (DHP3 2:231, all editions)

How often must I repeat, that I know or am conscious of [my emphasis] my own being; and that I my self am not my ideas, but somewhat else, a thinking active principle that perceives, knows, wills, and operates about ideas. (DHP3 233, 1734 edition)

If you know yourself immediately “by a reflex act” (DHP3 232, all editions), and if this is independent of any relation to an idea, then it would seem that notions of oneself are nothing more than that unique way in which the mind knows itself. Nothing more can be said of them. Such a position seems to make notions an ad hoc addition to Berkeley’s philosophy.

But, perhaps, we need to draw a distinction between knowing that there is a mind and knowing what a mind is. Perhaps one might know directly that one has a mind, but one can know what a mind is only relative to ideas: a mind is that which causes or perceives ideas. One should not be surprised if this is Berkeley’s position. Such a relative understanding of the mind as knower and ideas as the known is already found in the opening sections of the Principles.

6. Concluding Remarks

According to Berkeley, the world consists of nothing but minds and ideas. Ordinary objects are collections of ideas. Already in his discussion of vision, he argued that one learns to coordinate ideas of sight and touch to judge distance, magnitude, and figure, properties which are immediately perceived only by touch. The ideas of one sense become signs of ideas of the other senses. In his philosophical writings, this coordination of regularly occurring ideas becomes the way the world is known and the way humans construct real things. If there are only minds and ideas, there is no place for some scientific constructs. Newtonian absolute space and time disappear. Time becomes nothing but the succession of ideas in individual minds (PHK §98). Motion is entirely object-relative (PHK §§112-117). Science becomes nothing more than a system of natural signs. With the banishing of abstraction, mathematics is reduced to a system of signs in which words or numerals signify other words or numerals (PHK §122). Space is reduced to sensible extension, and since one cannot actually divide a piece of extension into an infinite number of sensible parts, various geometrical paradoxes dissolve. As Berkeley understands them, science and Christian theology become compatible.

7. References and Further Reading

  • Berkeley, George. Philosophical Works, Including the Works on Vision. Edited by Michael R. Ayers. Everyman edition. London: J. M. Dent, 1975.
    • This is the most comprehensive one-volume edition of Berkeley’s philosophical works available. When the work is not divided into sections, marginal references are made to the page in The Works of George Berkeley.
  • Berkeley, George. The Works of George Berkeley, Bishop of Cloyne. Edited by A. A. Luce and T. E. Jessop. 9 volumes. London: Thomas Nelson and Sons, 1948-1957.
    • This is the standard edition of Berkeley’s works. Page references above are to this edition.
  • Arnauld, Antoine and Nicole, Pierre. Logic or the Art of Thinking. Translated by Jill Vance Buroker. Cambridge Texts in the History of Philosophy. Cambridge: Cambridge University Press, 1996.
    • This was one of the most widely-read logic textbooks of the early modern period.
  • Atherton, Margaret. Berkeley’s Revolution in Vision. Ithaca: Cornell University Press, 1990.
  • Belfrage, Bertil. “Towards a New Interpretation of Berkeley’s Theory of Vision” (in French). In Dominique Berlioz, editor, Berkeley: language de la perception et art de voir. Paris: Presses Universitires de France, 2003.
  • Berman, David. George Berkeley: Idealism and the Man. Oxford: Clarendon Press, 1994.
  • Boyle, Robert. Selected Philosophical Papers of Robert Boyle. Edited by M. S. Stewart. Philosophical Classics. Manchester: University of Manchester Press, 1979.
  • Bracken, Harry M. Berkeley. Philosophers in Perspective. New York: St. Martin’s Press, 1974.
  • Dancy, Jonathan. Berkeley: An Introduction. Oxford: Blackwell, 1987.
  • Descartes, René. The Philosophical Writings of Descartes. Translated and edited by John Cottingham, Robert Stoothoff, Dugald Steward, and (volume 3) Anthony Kenny. Cambridge: Cambridge University Press, 1985, 1984, 1991.
  • Flage, Daniel E. Berkeley’s Doctrine of Notions: A Reconstruction based on his Theory of Meaning. London and New York: Croom Helm and St. Martin’s Press, 1987.
  • Flage, Daniel E. Berkeley’s Epistemic Ontology:  The Principles,” Canadian Journal of Philosophy 34 (2004):  25-60. Reprinted in Flage, Daniel E., Berkeley (Polity Press, 2014).
  • Grayling, A. C. Berkeley: The Central Arguments. La Salle, IL: Open Court, 1986.
  • Locke, John. An Essay concerning Human Understanding. Edited by Peter H. Nidditch. Oxford: Clarendon Press, 1975.
  • Luce, A. A. Berkeley’s Immaterialism: A Commentary on his “A Treatise Concerning the Principles of Human Knowledge”. London: Thomas Nelson and Sons, 1945.
  • Luce, A. A. The Dialectic of Immaterialism. London: Hodder and Stroughton, 1963.
  • Muehlmann, Robert G. Berkeley’s Ontology. Indianapolis: Hackett, 1992.
  • Pappas, George S. Berkeley’s Thought. Ithaca: Cornell University Press, 2000.
  • Pitcher, George. Berkeley. The Arguments of the Philosophers. London: Routledge and Kegan Paul, 1977.
  • Stoneham, Tom. Berkeley’s World: An Examination of the Three Dialogues. Oxford: Oxford University Press, 2002.
  • Tipton, I. C. Berkeley: The Philosophy of Immaterialism. London: Methuen, 1974.
  • Warnock, G. J. Berkeley. London: Penquin, 1953.
  • Winkler, Kenneth P. Berkeley: An Interpretation. Oxford: Clarendon Press, 1989.

Author Information

Daniel E. Flage
Email: flagede@jmu.edu
James Madison University
U. S. A.

Maurice Blondel (1861—1949)

BlondelBlondel’s importance has largely been in theological and Catholic philosophical circles in France, Germany, Spain, Italy, and Quebec. Among many other important authors in the 20th Century, Blondel is responsible for the “new theology”, that played such a great role in the deliberations and arguments of the Second Vatican Council.

Blondel’s readings of other philosophical figures also bears a striking resemblance to the type of reading carried out under the rubric of Deconstruction. There are some major differences, however, both in the aim and the method of the reading. Blondel’s style of reading is to read a text through fully, eschewing polemics and taking of reified positions until the doctrines advanced in a text have been adequately understood. Then he proceeds to develop these doctrines or theses to their fullest extent, acting as if they were true in order too see what sort of consequences they would have for the thinking and acting subject. The aim is to assess the adequacy of the doctrines as the representation of a philosophical position, and this consists in two parts. First, there is the question of the adequacy of the representation. Second there is the question of the adequacy of the developed philosophical position itself. The goal of such a reading is to allow a doctrine or philosophical position to provide evidence of its own inadequacy on its own grounds, by indicating to us the extent to which it is true and able to provide an account of itself immanently, and by thereby indicating to us the extent to which it is only relatively true and insufficient, without thereby being simply false.

In his focus upon and demonstration of the inadequacy of the various philosophical positions and theses Blondel considers in his works, the mediations of human action that remains irreducible to unreflective practice, and the necessary requirement of a transcendence which the philosophical positions and doctrines attempt to efface, disparage, or force into forgetfulness, Blondel can also be brought into a continuity with certain Western Marxist figures, perhaps most closely with Theodore Adorno. Although Blondel does not use the term until his later works, he is intent upon critiquing reified consciousness and ideology.

Table of Contents

  1. Biography
  2. Immanence and Transcendence
  3. L’Action (1893)
  4. The Reaction to L’Action and the Dialectic Between Philosophy and Christianity
  5. Blondel’s Metaphysical Trilogy
  6. Blondel’s Methodology
  7. References and Further Reading

1. Biography

Maurice Blondel was born in Dijon, France in 1861, entered the École Normale Supérieure in 1881, and passed the aggregation in 1886. Like many in his generation, he was profoundly affected by the tensions in French life, particularly those between the French academic establishment and Catholicism. Blondel defended his thesis, L’action in 1893, at the Sorbonne. His thesis, which argues for the inescapability of the “religious problem”, brought him into the heart of theological and philosophical controversy of his time, First, Blondel was refused an university position on the grounds of having taken an improperly religious position in his philosophy, finally receiving a Professorship in Aix in 1897. After his difficulties with the philosophers, Blondel found himself under attack by conservative neo-thomist theologians for having rationalized theology, and ultimately by the group L’Action Francaise, as a “modernist”. Blondel wrote the Letter on Apologetics in 1896 and History and Dogma in 1903 precisely to address these problems, not least the great gap between Catholic thought and Modern philosophy and social existence.

Blondel refused to republish L’action (1893), intending to rework it in light of a larger, more rigorous project that was to become his metaphysical trilogy. In the meantime, he published numerous articles upon Modern Philosophy and Church Fathers, and took part in the Modernist controversy, taking a position that was neither Modernist nor Veterist, but rather stressed the role of a living tradition. In 1905, Blondel purchased the journal Annales de la Philosophie Chrétienne, and set up Lucien Laberthonière as editor, and engaged himself in argument against L’Action Francaise and its authors. In 1919, Blondel’s wife, Rose, died, and in 1927, his vision degenerated, leaving him nearly blind, necessitating his retirement, able to work only by dictation. From 1934 to 1937, however, he published the five volumes, La Pensée (2 vol.), L’être et les êtres, and L’action (2 vol.) of the metaphysical trilogy, followed by L’Esprit chrétien, only two volumes of which were completely finished at his death in 1949.

Blondel’s importance has largely been in theological and Catholic philosophical circles in France, Germany, Spain, Italy, and Quebec. Among many other important authors in the 20th Century, Blondel is responsible for the “new theology”, that played such a great role in the deliberations and arguments of the Second Vatican Council.

2. Immanence and Transcendence

Perhaps the most central theme in Blondel’s work is the complex relationship between immanence and transcendence. For each order of phenomena, it is possible to carry out an analysis simply at the level of those phenomena or in terms of those phenomena, within certain limits. Such an analysis, while revealing the relative sufficiency and structures of one level, for instance, those of affectivity and the body on the one hand, or of political association, on the other, has as its goal the indication at what points at to what degree these levels are not self-sufficient and must make recourse, either overtly or covertly to something transcendent to that level and order, for example, intentional and voluntary action as transcendent to affectivity, or humanity and morality as transcendent to political association. This type of analysis does not nullify the reality of the phenomena treated as immanent, but rather exhibits their necessary co-structuring relationship with the orders of phenomena transcendent to them.

This relationship is often figured in terms of adequacy and self-sufficiency. The goal of Blondel’s analyses is to show that the order of phenomena treated as immanent from within the scope of that particular investigation is not sufficient unto itself, that is, that at least another order of phenomena, an order transcendent to the order under investigation. Philosophical, religious, and scientific doctrines function, never simply as representations of reality, simply within the range of speculation or theory, but also serve to orient the life, practices, and action of human subjects, and it is in this respect that adequacy as a criterion comes into play. A doctrine about the reality in which human beings live which does not sufficiently take into account and provide a reflective basis for action, by which a subject can come to understand their role and destiny within that life, a life shared by others, mediated historically and materially, and ultimately oriented towards transcendence, cannot but prove to be inadequate to the demands of the problem of action.

In this perspective then, the goal of Blondel’s life-work was three-fold: First, to examine the exigencies of human action in order to delineate the too-often neglected structures of this vital dimension of human existence. Second, to examine the doctrines of thinkers, texts, and movements, in order to assess the adequacy of their positions and to expose the inadequacies of their positions and practices. What Blondel carried out in his own time is what has come to be called, in certain circles, as set of “philosophical interventions”; Finally, the development of a more fully articulated “philosophy of insufficiency”, which would comprehensively treat the relationship of action to thought and being for the human subject oriented historically, socially, and in relation to the Absolute.

3. L’Action (1893)

L’Action: essai d’une critique de la vie et d’une science de la pratique, with minor adjustments, is the thesis defended by Blondel at the Sorbonne at. This work, despite its very early position in Blondel’s corpus, is perhaps the best known of his works. While not as comprehensive as his later works, many of the themes that dominate his work are treated in L’action, and for this reason, this article gives the greatest space to a summary of these themes as found in that work. The text consists of five main sections, developing a dialectical phenomenology and ontology of the subject of action and its relation to transcendence. Blondel begins, in the Introduction, by delineating the relationship between speculation and action, and by arguing the impossibility of a purely speculative resolution or even setting of the problem action poses

The human condition is of the necessity to act, without ever having the luxury of taking a purely speculative position prior to involvement.

Impossibility of abstaining or of holding myself back, an incapacity to satisfy myself, to suffice to myself, and to be free of myself, this is what a first glance at my condition reveals to me. (p.x)

At the same time, this condition of already being enmired in the situation of action, action one has already taken, and action one is yet to take, provides the subject with the possibility of knowledge about the conditions and determinations of action, both a type of self-knowledge, and a knowledge of reality. Commitment, therefore, does not preclude speculative objectivity, rather it is its condition of possibility.

I will not claim to know myself and to experience myself, to acquire certainty, nor to assess the destiny of Man, without placing all of Man that I carry in myself into the crucible. It is a living laboratory, this organism of flesh, appetites, desires, and thoughts whose obscure labor I feel perpetually. (p.xii).

In fact, Blondel will go so far as to demand that the understanding of action must be brought to the point of a “science”, a science, however, which, must go beyond the limitations of the conception of science as simply objective. What Blondel means by science in this context is similar to what Hegel means by science in his discussions in the Phenomenology of Spirit and the Science of Logic. This science is particularized as well in the knowing and acting subject.

It is therefore a science of action that we must constitute; a science that will only be such to the degree that it is total, because every way of thinking and living deliberately implies a complete solution to the problem of existence. (p. xvii)

Blondel focuses his investigation upon action precisely because this is the only way to call everything into question, to proceed without relying completely on any presuppositions or predeterminations. This, however, leads him to a central concept and experience, that of a will (volonté), at the very center, the “common knot of science, morals, and metaphysics”, of his being.

At the ground of my being, there is a willing and a loving of being, or there is nothing . . . Involuntary and constrained being would no longer be: so much it is true that the last word of everything is beneficence; and to be is to will and to love. (p. xxiii)

In the first part, Blondel asks whether the problem of action is necessary to pose in the first place, or whether it can be avoided. By the problem of action, Blondel means the problem of the determination of the subject morally by some degree of reflection and engagement within being. It is not possible to suppress or banish this problem entirely by denying the possibility or reality of moral action, nor to, in appearance going one step further, deny any possibility of an adequate knowledge of being, in the first place because these attempts to deny the ground of the problem must still make some claim to a basis in truth and a relation to value.

In order to suppress everything, it is necessary, and it suffices, as it appears, to be all science, all sensation, and all action. (p.2)

This is a theme which appears over and over in Blondel’s works. Such negative and ultimately idealistic attempts to banish the problem indicate a deep form of egoism, a taking of self as the ultimately valuable and real, and an attempt, at the same time to remove any constraints upon the pure freedom of the self. This takes place though an attempt to conceal this position of a will, not only to power, but for the preservation of the conditions of employing that power, by means of a scepticism or nihilism that ostensibly denies the reality of values, an treats being as appearance. What this position truly maintains, however, is the will willing its own freedom, a type of freedom, however, unconditioned by any object but the self.

And, “I do not will to will”, nolo velle, translates immediately in the language of reflection into the two words, volo nolle, “I will not to will”. At least to do violence to the laws of conscience, not moral, but psychological, at least to dissimulate, under a completely verbal subtlety, to truth of things, the single sentiment of an absence of will implies the idea of a will that does not will and abdicates. (p. 12)

No denial of the problem, therefore, can sustain itself, not simply because it is false, but because it relies secretly upon that which it would refuse to affirm. In the second part, Blondel asks whether, given that the problem of action in unavoidable, one can consistently take a negative solution to it, the solution of pessimism or of a tragic sensibility. This position is not without a certain ground in truth, for our experience of life is not one of simple harmony, but one of discord, of suffering, of the presence of evil. It does not suffice for us to will the good for the good to be produced, or even for our wills to remain constant. The experience at the ground of pessimism is one of futility and the vanity of our attempts to come to terms with reality. Blondel views this problematic as especially acute in modern times, promoted by the artificial modes of thought of Kantian Critical Philosophy

Under the pretext of raising back up and of strengthening perhaps practical reason, one ruined it by the same stroke that strikes a deadly blow to pure reason. For all, whether they know or not, the problem of life is at the same time a question of metaphysics, or morals, and of science: action is that synthesis of willing, of knowing, and of being, the link of the human composite that one cannot separate without destroying everything that has been deunited.

The modern forms of pessimism result, in part, from the dominance of a mode of thought that, driven by epistemological concerns, imposes these ultimately false separations, both methodologically, as in the sciences, and more generally in the conditions of public life. If the possibility of a coherent totality of willing, knowing and being, is denied, these fall apart into orders of mere positivities whose ultimate meaning cannot be grasped. Indeed, pessimism is the very denial of such a meaning.

Again, Blondel finds in pessimism a hidden movement and directedness of the will. The pessimist cannot be satisfied with life because he postulates some greater value, unsatisfied in that life, namely the fullness of being, not merely the phenomenon.

From the phenomenon, he argues against being, even though he only feels the insufficiency of the phenomenon if it is penetrated first by the grandeur of being: he affirms before denying it and in order to deny it. (p. 33)

At the moment when one declares the insufficiency of the phenomenon, one attaches oneself to it as if it were the only real and solid being; one persists in contenting oneself with what thought and desire recognize to be vain, deceptive, and nul; one places one’s whole where one admits otherwise that there is nothing. (p. 35)

The third part of L’action, divided into five sections, takes up the task of delineating a positive solution to the problem of action, by means of generating and applying the “Science of action” Blondel spoke of earlier. Blondel argues that one cannot restrict the phenomenon of action or the science which would study it to a purely natural order, least of all that of the “natural sciences” developed in Modernity. In the first section, beginning with an analysis of sensation, the incapacity for the natural sciences to deal effectively with sensation as actually sensed, that is, buy a subject, and not treated merely as an objective fact, leads Blondel into a distinction between two different but auto-reinforcing fields of “science”, namely deductive science and positive or empirical science. Both of these types of science, which remain incapable of treating subjectivity as such, are justified by a covert appeal to each other, explaining the dominance of the scientific viewpoint in Modernity.

In order to effectively study action, a subjective science is necessary, a science that finds its basis in the very phenomenon of subjectivity

That is to say that in every scientific truth and in every known reality we must suppose, in order that it be known, an internal principle of unity, a center of grouping imperceptible to the senses or to the mathematical imagination, an operation immanent to the diversity of the parts, an organic idea, an original action which escapes from positive knowledge at the moment when it makes it possible, and to employ a word which needs to be better defined, a subjectivity (p. 87)

In the second section, Blondel begins to work out this science of subjectivity, beginning at the level of the threshold of consciousness and the affective and sensual structures of the body. In his investigation of the determinations of these basic components of consciousness, Blondel rejects any reduction to formal-mechanistic conceptions of determination, namely mechanistic determinism. At first this takes place in terms of a mere psychological spontaneity.

So, from the moment where it appears under the form of appetite or of instinctual need, there is a spontaneity victorious over mechanist determinism, an automatism already completely psychological. (p. 103)

The psychological determinism absorbs and puts to use the physical determinism, and will, in its turn be likewise set upon by higher levels of human existence, mediated in great part by symbolic activity. Symbolic activity is the original basis of both the intellect and the will, of intentional action and of reflection. The categories by which action and thought become possible remain imbued, but no longer determined by, affectivity and sensation, and enter into and generate further complex orders of their own which, although they are distinguishable from the lower orders, maintain a continuity with them as well.

It is from this basis that the human being becomes conscious, no merely of urges and desires or capacities, but also of freedom as such and of more than fleeting self-consciousness. In fact, the two, while not identical, are inextricable. Reflection guides action, and action demands reflection, both of these taking place through the subject which is never completely either one or the other. It is also at this level where transcendence can begin to be grasped reflectively, as further determination with respect to the immanent and not merely the negation of the immanent. For the subject, this takes place in relation to the infinite, and an infinite which one comes to know imperfectly through action.

What is it in effect that reveals to consciousness that apparent infinity of a power which is that agent’s? It is the very action which accomplishes itself in it and by it. And what inspires for it the desire and the feeling of its own power? It is the idea of that infinity of action from which it makes the origin of its voluntary decisions: a reflection and freedom impossible for whoever instead of acting would be acted upon. For there is no reason or reflective consciousness or sentiment of infinity except where there is consciousness of acting. (p.120)

Action then, reposing originally upon a ground of passivity, of being acted upon by the world and others, is a transcendence of that passivity. In turn, however, that means that the process of the determination of that activity, that transcendence will be a process that is in fact in process, that cannot be simply reduced again to another immanent order, especially an order represented as purely immanent, for that would involve us again in the problem of a subjectivity which does not take account at all, as was the case in modern science, of its continual, complex, and irreducible role in orders of objectivity.

The freedom of the will and the capacity for reflection, for rationality, cannot be maintained as purified, however, as they were for Kant, for the attempt to guarantee autonomy of the will as a condition for moral action ignore the requirement of commitment, of a necessary degree of heteronomy. In order to act in a world which is not simply dominated by the subject, the subject must allow its action to de determined in part by the exigencies of the situation. A certain heteronomy is therefore the condition for the possibility of autonomy.

Submitting itself to a heteronomy in order to maintain its own sovereignty, it brings to the service of a chosen tendency the very forces of the rival tendencies; it does what it does with the power that it would have used to do everything that it does not do. (p.130)

Action is a sort of co-action, not simply the imposition of force externally, but a relation to what one wills to act upon and with. Blondel makes a distinction between the willing will (volonté voulante) and the willed will (volonté voulue) which are both aspects of this play between autonomy and heteronomy in co-action.

This is why, proposing to itself freedom as an end, one feels a disproportion between the willing will, quod procedit ex volontate, and the willed will, quod volontatis objectum fit. One experiences the difficulty of a choice and a sacrifice.(p. 132)

In the three sections that follow, Blondel carries out a set of analyses, moving from the body of the subject to the relationship between the individual and society, and finally from the social to the religious in a general sense, the “superstitious”. The general movement in each case follows the same structure: an analysis of the order of immanence indicates the insufficiency of that order to the phenomena that are uncovered in that analysis, pointing to the necessity of something transcendent to and contributing to the structure of meaning of the immanent order. That transcendent then is explored from the new vantage point of that order of phenomena, and reveals in its turn its own insufficiencies and exigencies.

Beginning with the body, Blondel exposes the relationship between conscious life and the unconscious, which has its own role in action. The very irreducibility of action to a verbal or conceptual formalization derives from the fact that our existence as conscious and self-conscious beings is mediated by the unconscious, that which is, as determinations of agents, without being explicitly known by those agents.

The unconscious is not down below only; it is also up above and beyond deliberate resolutions. (p.150)

Consciousness is not something which sorts out the vagaries of the unconscious or operates upon it afterward; rather it is a node of clarity and lucidity which is at the same time, a shifting off into regions of shadow. Blondel asks why the will has to incarnate itself in materiality. The answer to this is not simply a matter of the interaction between formal and material causes, so that in order to have a form, there must be a matter in which the form resides. Nor, in a variation on this, is it simply a matter of efficient causality, so that the essence of the will be that it act upon and through the body. Instead, there is a relationship of final causality which includes these others but surpasses them. For, more is gained by the will than simply the locus of its externalization in its incarnation, precisely because the will is something which takes place temporally. The will allows itself to be worked upon, to be unfolded, to blossom open, only though its thoroughgoing ebb and flow into and out of materiality. Hence, in order for the will to be, not simply what it wills, but what it will be, what it would be, that is, for it to move towards its final end, it must allow this incorporation and materialization in the body.

This means that the will has to incorporate itself in habitual processes, where there is an interplay between the conscious and the unconscious. The permeability of the conscious and the unconscious to each other is what allows them to interact.

Thus the prealable notion of effort is like the structure prepared to receive all of the precise lessons of effective experience. What is afferent in real perception is not perceived as such except as the consequece of a yet undetermined initiative and because of the a priori welcome of the expected a posteriori. (p.156)

This very complex process cannot be taken in by consciousness as a whole without the aid of adumbration and imagery. At the same time, however, the very passivity and habitude which is required for the effectuation of the will is at the same time a product of previous willings mediated through previous states of materiality.

 

The habitual comportments, modified by the conscious interventions of the will and reflection, are not merely the relationship of a subject to a set of objects. Rather, at this basic level, the relationships to objects are already invested with a degree of subjectivity that is not merely a projection on the part of the acting subject. To the degree that the forces which resist the willing will and thus condition the willed will are not simply physical factors of an order completely heterogenous to the will, they take on a partially subjective nature.

But, the forces that are not a pure inertia, nor a brutal and blind weight; the multiple forces that express themselves in us by an instinctive tendency toward ends in view, by appetites, by solicitations that hold our thought, of forces that, in a word, reveal, below reflection, a subjective life and the intervention of obscure consciousnesses. (p.162)

These forces, within the willing subject are partially dominated by reason and the will, but a reversal of this is possible as well, where the subject comes to be dominated by these impulsions of forces. In fact, this is quite reflective of Blondel’s position. These motifs can come to dominate the reasonable willing subject precisely because they play a necessary role in action. Rational and voluntary action is then never pure, it always requires a co-action and synergy.

This co-action becomes much more explicit in the domain of the social. The possibility of action does not lie simply in the relation of the individual to the world, but is rather already permeated by sociality, not least in so far as action is brought into reflective thought by instances of conceptualization and language, but also by a categorical exigency of intersubjectivity.

Just as the formulated liberty could not save its autonomy except by imposing on itself the heteronomy of a practical obligation and an effort, the person is not born in the individual, it does not constitute and conserve itself except by assigning itself an impersonal end . . .Man does not suffice to himself; he must act for others, with others, by others. One cannot arrange for onself the affairs of one’s own life. Our existences are so connected that it is impossible the conceive a single action that does not extend in infinite undulations, quite beyond the end that it seemed to aim at. (p.198)

The condition for all but the most primitive and basic types of action is that one act within a social world, which means not simply a world of others, but a world in which others act, have acted, and will act. In the fourth section, Blondel turns his attention explicitly to the conditions of the intelligibility of acts, and this implies a necessary mediation by signification, signs, and language. In its most fundamental form, this co-implication of self and other takes place in terms of giving aid, of helping, prior to all strive and contention, which, however, are also then possibilities of the acting subject in relation to other subjects.

The fact of such an intricate relationship between action and signification, however, also means that the expressivity of the act does not remain with the subject, but is in a certain sense, just as much as a word or a gesture, alienated from the originating subject. Any other subject might be the one to perceive and interpret, give a meaning to the action, and this is a condition for the ac even in the process of origination, which makes all action, in a certain sense universal. Significative action, however, is not simply representation, but is also productive.

One should not believe that, in the sign, there is nothing more than its weakened echo: no, there is, already in it, in order to make it possible and to produce it, a commerce of the agent with something other than the agent, a new synthesis of the individual life with the milieu where it deploys itself. So, one does not speak in the void; and it is a foreign concourse a parte acti, which permits the most rudimentary expansion a parte agentis. Every sign is already a work. (p. 208)

This does not mean, however, that action is always successful, always aided by those brought into it through their own contribution to the act. Working along with each other means that the guidance and direction of the action is also alienable.

The impenetrability, the insufficiency, the unintelligence of our allies mess up our projects just as much as the hostility of obstacles: They make theirs what we want to be our own. (p. 217)

This, however, is never an all-or-nothing determination. Implicitly, all involved in an action play some role in its determination.

So the causal link results at the same time from a subjective disposition and an emperical association. Its originality is at the same time analytic a priori and synthetic a posteriori; for, in the effect produced, each of the subjects who contributes is a principal agent. The ideal intention seems completely drawn from the initiator; the response appears to come entirely from the collaborator; but, in fact, there is a reciprocity of the forma and the matter, and in the work, there is a symmetrical operation: each thinks to have done everything. (p. 223)

In the arrangements of social relations, a level transcendent to the individual subject, this becomes explicit. And, with this movement to the level of the social, Blondel treats another order of immanence, one where the existence and agency of individuals is no longer oriented around the subject alone.

That there are subjects foreign to the agent, this is a phenomenon of the same order as the existence of the subject himself (p. 225)

Blondel elaborates the structures of social organization in the fifth part of the third section. He does not assume a single basis for society. There are different levels, all of which interpenetrate each other and contribute to determination of each other, but within which there exists a certain order irreducible to but affected by the other orders.

These societies, more or less comprehensive, are in effect defined and limited, just as every organism is. They form a collective individuality, and bear, like a living being, a proper name: the family, the homeland, humanity. But, at the same time that they are circumscribed and as it were boxed-up in each other, they remain open. (p.246)

These different levels of social organization, however, can fall into difficulties and idolatries analogous to those that can bedevil the individual. Often the capacity for healthy and salutary social involvement exists only in potentia, in actu at the level of the individuals only, not at the level of society. Blondel devotes analyses to each of the levels. At the level of the family, a mutual commitment, rooted in but not reducible to organic processes, conditioned but not entirely determined by the culture of the homeland, results in the generation of a new generation, maintaining a certain identity through difference. More complex and serving different ends than the family alone is the homeland, the patrie, the nation, where a common culture is shared, the mode of life is differentiated, and a continuity beyond that of blood-relations is preserved.

Blondel is quite conscious of the dangers that a Romantic conception of the nation as Volk promotes. He raises two very important requirements for a nation to be more than simply an ideological construct which conceals structures of domination. First, there must be equitable relations of production between the classes and groups comprising the society. Second, there must be a reflective and free social discourse.

Not that the historical development of nations and races accomplishes itself with the infallible spontaneity of instinct. It is not at all a matter of that confused life that vegetates in the heart of popular masses. Human history is not, in the strict sens of the word, natural history. That is to say, beyond the indistinct forces which move the great human currents, reflection and liberty are original powers, capable of penetrating profoundly, as essential factors, into the destiny of peoples. (p. 266)

In fact, this requirement for the social to be conditioned by reflection and freedom, the province of the will and reason means that the homeland, the nation is revealed as insufficient to itself. To the degree that universal ideas are appealed to and promoted, the nation is no longer able to close itself off and treat others as mere tools or slaves. The higher developments of national consciousness, for Blondel, introduce the development of consciousness of humanity as such.

The universalization of morality that this movement introduces the role of morality as more than simply a set of customs or an ethos. The acting agent, acting within a social milieu which is, most often, quite flawed and wracked by conflicts, injustices, violence, remains capable of, even called to, action that can promote the good, both social and individual. Morality, is not, however, as it was for Kant, the universal precepts of a reason legislating for itself and for all rational beings. Instead, more comprehensively, it consists in the relations of social and moral solidarity with the actions, many of them past, the actions of those who are already themselves dead. Morality is something which exceeds the moral agent not because the moral agent is not rational enough, but because morality is something which, properly speaking, takes place within, but is not reduced to or absolutely determined by society.

Morals are not simple individual habits generalized. If there is an action of the individual on society, and of society on the individual, we must above all take account of the influence of society on society itself. That is to say that morals create morals; that a social fact derives from other social and collective facts where the sentiment has a greater part than the clear idea; and that individual action cannot suffice to organize the life of the individual, because there always is in practical logic more than the abstract analysis could discover. (p.284)

Morality, however, and the possibility of moral action, leads to another level of transcendence. It is impossible to account fully for morality by reference to a purely secular order of phenomena, and the demythologised accounts of Enlightenment philosophy remain unable to account for it as well. There is a dimension which Blondel calls the “superstitious” that supports value and morality and provides it with an end and structure of motivations as well. Even in the appeal to a demythologized or disenchanted social world, this functions as a new type of myth, the myth of having and appealing to no myths. This means that the social order, transcendent to the individual subject, cannot be wholly self-sufficient as well, not even when expanded to a generalized humanity. One must take account of the role of the supernatural, not merely in its role in the origins of primitive cultures, but within all cultures.

In the fourth part, Blondel, having elaborated the dialectical relationships between the various orders of immanence and transcendence, Blondel returns to the problem of action from considerations of the single acting subject. In the first moment, the will is revealed as inadequate to the action it aims to impose on phenomena; something always escapes it in its striving towards a goal. Second, willing action not only fails to produce entirely what it wills, it produces what it does not will, unforseen consequences; the will remains, itself one of these unforseen consequences, and this means responsibility cannot be easily evaded. Both of these moments lead to the point of realization that human action implies an “inevitable transcendence”, eventually leading the agent towards the “one thing necessary”, the necessary being, God, who we, however, are not able to figure and dominate by concepts or phenomena.

The part culminates in a radical determination of the acting individual subject in relation to the structures that have been uncovered and explored throughout the work, and in particular to the transcendent moment of unity, Religion and God. Blondel calls this moment “the option”. This does not correspond to a voluntarist determination of either absolute obedience to a divine being whose reasons one cannot question or to non-obedience, but rather to the possibility of an ascesis of the will and a recognition of one’s insufficiency. The other pole of the option is selfishness (egoisme), a decision taken against this insufficiency, to, in one permutation or another, will onself as the center of being, remaining, to be sure, inadequate to this position, but also concealing this from onself. This latter Blondel calls “the death of action” , counterpoised to the “life of action”, in which one wills to take part in an economy of grace, to recognize not only one’s finitude, but also the infinitude of the Absolute that is related to the finite personally.

Mortification is therefore the true metaphysical experiment, that which bears on being itself. What dies is that which impedes seeing, doing, living; and what survives is already that which is reborn. To survive oneself, there is the proof of the good will. The be dead would not be anything, but to survive, to feel oneself stripped of one’s intimate complacencies and of one’s tastes of independence, to be in the world as not being in it, to find for all human tasks more ardor in detachment than one can force in passion, this is the masterpiece of man. (383-4)

In the final part of L’action, Blondel turns explicitly to the relationship between philosophy and Christianity, the natural and the supernatural. He rejects the argument that anything supernatural must be, from a human perspective, arbitrary, since humans are not simply, as his studies of action have shown, confined merely to the immanent and natural orders. Blondel attacks the sterility of critical philosophy, the apogee of the Enlightenment, for having closed off questions rather than answering them, for demanding God to show Himself and to be judged by man. Blondel locates the fundamental error in the lack of attention to the phenomenon of action. Too often philosophy treats action as something only secondary, thinking that the limited intelligible structures philosophy treats are reality itself. Instead, action plays a fundamental mediatory role, it allows the “conditions of possibility” to be such, and to be manifested as such.

Blondel draws as a corollary the necessity for literal and actual lived practice in order to tackle the religious problem, which has important implications for philosophical practice

Without false respect or temerity, it is fitting to bring philosophy to the point where it can go, to the point that it ought to go. It has too often abandoned a part, the highest, of its domain; we ought to give it back to it. . . . It is a matter of seeing how this notion of the supernatural is necessarily engendered, and how the supernatural seems necessary to the human will in order that action be equated in consciousness. (406)

Blondel brings the work to a close by discussing corollaries to this, particularly the concrete and particular exigencies of such a practical grounding. This does not imply any sort of particularity one wishes to take; rather, to respond fully to the problem of action and the religious problem is already to be centered in a history mediated by certain texts and practices. At the same time, this also involves the acting subject in the most general determination, those of thought and of being, and these are structured dialectically, by a “logic” that does not allow itself to be subsumed simply to thought, or, as it did for Hegel, to the relationship between thought and being. The attempt to resolve the problem of action and the religious problem thus finds itself brought back finally to the problem of the end of human destiny

The Critique of Life, in order to resolve the human problem, can not not resolve the universal problem. It determines the common knot of science, or morals, and of metaphysics. It fixes the relations of consciousness and reality. It defines the meaning of being. This vital point it discovers at the intersection of knowing and of willing, in action (480)

4. The Reaction to L’Action and the Dialectic Between Philosophy and Christianity

Blondel came under attack from both sides after the defense of his thesis, first from the philosophical establishment, second from right-wing Catholic critics. It is in response to this second set of critics that Blondel wrote Letter on Apologetics and History and Dogma, two works which treat the relationship between Catholic dogma, the historical role of the Church, Modern Philosophy, and Modernity. These pieces allowed Blondel to clarify his position on the concrete exigencies of the historical relationship between the Catholic Church and the subject acting within a world which had changed drastically since the Middle Ages, a subject confronted not least with the increasingly marginalized role of the Church in politics, economics, science, and philosophy.

In the Letter on Apologetics, Blondel calls the Thomist-Scholastic synthesis, at its time an apogee of reflective and concrete thought engaged in social, intellectual, and religious problems, an “unstable equilibrium”, one which cannot be returned to or reimposed by fiat, but which must be replaced by a renewed consideration of the general conditions such a equilibrium was an attempt to reconcile and resolve. Blondel locates this in the capacity for the Thomistic synthesis to mediate the two conflicting realms of philosophy and theology by providing a third term, a mediating ground and link. This capacity, however, was a transitory one, lost in the immense changes that took place in Modernity, and Blondel calls for the restoration, through rigorous examination of the demands, motifs, and systematic claims of modern thought, of such a mediating term.

The central problematic, as Blondel views it, is one of conflicting requirements of autonomy and heteronomy. Philosophy, since it emancipated itself from theological concerns, in order to be what it ought to be, must be acknowledged as autonomous, while theology, by its very nature, cannot be theology under such conditions; while requiring use of the intellect and will, it ultimately can only take place in a fundamental heteronomy.

. . . the chief and indeed the unique aim of philosophy is to assure the full liberty of the mind, to guarantee the autonomous life of thought, and to determine in complete independence the conditions which establish its sway. Can there be, then, any possible connection between philosophy and Christianity, since the one seems to exclude the other. (152)

Blondel aims to undermine this false dichotomy in the Letter in two main ways. First, he addresses the question of the necessity of Christianity.

If Christianity were a belief and a way of life added to our nature and our reason as something optional, if we could develop in our integrity without this addition and we could refuse deliberately and with impunity the crushing weight of the supernatural gift, there would be no intelligible connection between these two levels, one of which, from the rational point of view might well not exist. (154-5)

Blondel argues that assuming such an optional status for Christianity, not optional in the sense of being merely a possible choice of the individual subject, but optional in the sense of being ultimately superfluous to rigorous philosophical reflection, is precisely to miss addressing the problem Christianity poses; ultimately, it is a question of “all or nothing”. One can reject the philosophical viewpoints that Christianity nurtures, one can decide a priori that there is no relevance or veracity to such a comportment or hypothesis, but this is not a neutral decision.

Second, Blondel argues that a dialectical engagement between Christianity, in particular Catholicism, and Modern philosophy has become necessary for either of these to remain consistent to themselves and their very projects. On the part of Christianity, if it is to retain a faithful orientation to Christ as Truth, it cannot afford to disregard the thought developed since the apogee of the Scholasticism, as was too often the case in Catholic circles. Nor could it afford to uncritically accept premises from current thought, too often the case in Protestant circles. For philosophy, the question is one of realizing the limits to its competence, not simply by laying down boundaries in the fashion Kant followed, through an intellectual division of labor that subordinated all other disciplines to philosophy; rather, philosophy, in order to remain true to itself, must come to recognize the competencies of other disciplines, and the exigencies of the supernatural, as the criteria for its limits.

Philosophy, in fine, giving up the pretension of containing and controlling totum et omne de omni et toto and the contrary but correlative pretension which makes it only a construction of thought or an epiphenomenon on the surface of life, must now precisely define its own competence and scope, including its own dynamism in the whole system of determination which it studies. (180)

Such a philosophy, which Blondel alternately calls a “Christian philosophy” or an “integral philosophy”, would in fact be the mediating third term discussed above, and is, Blondel maintains, the “subjective science” developed in his work L’action. This integral philosophy would not aim to replace all other systems, whether philosophical or theological, or to subordinate them, but rather to provide the supplement that they in fact require in order to fulfil their functions properly, including refraining from abrogating to themselves privileges, responsibilities, and authority which not only they do not rightly possess, but also interfere with their functioning and self-regulation and critique. Blondel’s critique, therefore, is also positive in that it not only manifest dialectically the limits and relations between philosophy and Christianity, but also constitutes precisely the theory and practice that maintains this reflection.

In History and Dogma, Blondel returns to these problems in a more historically motivated fashion. In the Letter on Apolgetics, he argued that there was a historical progress in the emancipation and subsequent development of Modern thought, not progress simpliciter, however, but rather a condition for progress, a condition that would be satisfied only in the evaluation, critique, and reappropriation of Modern thought by the integral philosophy he elaborated. Blondel also maintained that the proper attitude for the Catholic Church to take in the face of the effects, and even dominance, of Modern thought in recent time was not one of retrenchment, or return to an idealized Middle Ages dominated by Thomism, in part because of the progress to be realized through the confrontation with Modern thought, but also in greater part because there is no humanly historical origin-point to be returned to, which means that those advocating such a return are in effect covertly relying upon a form of idealism. In History and Dogma, Blondel takes up this problem more explicitly, arguing for a middle position between and critical of historicism and extrinsicism.

The question in particular was to the status of Christian dogma and its relationship to historical developments. One view, extrinsicism, held that dogma was unchanging, that it provided the meaning to historical events and developments, and that therefore the problems posed by the development of dogma in human history simply reflected errors. The static position taken by extrinsicism was motivated in part by the excesses of historicism, which argues that since dogmas arise historically, they are merely contingent products of historical processes. Within Catholic circles, such historicism took the form of Modernism, which, among other things, advocated accommodating dogma to Modern thought, precisely by using the categories and systems of Modern thought as the criteria for such accommodation.

Blondel rejects the explicit and systematic claims of both sides in the dispute, but offers a solution that allows a more fertile relationship between history and dogma. Dogma does in fact develop historically, and it is the product of historical process that are to a great degree contingent; in fact, going even further, in order for Dogma not to be simply another form of idealism, the believer must acknowledge that it is never present in absolutely completed form as extrinsicism maintains. Since Dogma purports to refer to reality, as part of that reality changes though the momentous changes of History, Dogma must be open to reinterpretation in light of, but not simply in terms of, present situations. In fact, living tradition allows for such a dialectic between past and present without requiring one to be absolutely subsumed to the other. On the other hand, the relativist claims of historicism are not even coherent, when they are taken to their logical conclusions. While the direction and thematics of history cannot be determined a priori (one of the conditions of it even being historical development), this does not mean that there are not some central processes and events that are more important than others and which play a much greater determinative role. In addition, for Blondel, history itself poses the religious problems that the dogma of Christianity represent solutions to.

Blondel’s emphasis upon tradition reflects his very methodology. Tradition is to function a a guide to the interpretation of the relationship between dogma and history, but this tradition itself, if it is not to falter and slip into one extreme or the other, must be a living and vital tradition. This means that it must remain engaged with the developments of the world outside of that tradition while at the same time remaining engaged within in a continuing conversation with the luminaries and decisive agents of its past. In the case of Catholicism, as Blondel argues both against the conservative Catholics of his time and against the Modern thinkers hostile to religion in general, let alone to Christianity or Catholicism, the very nature of the tradition requires a reflective and assiduously maintained commitment to fidelity to keeping that a living tradition.

5. Blondel’s Metaphysical Trilogy

In his later years, Blondel returned to the themes of L’action (1893), this time as a moment in a much more explicitly worked out metaphysical trilogy, La Pensée (2 vol.) in 1934 and 1935, L’être et les êtres in 1935., and a new version of L’action (2 vol) in 1936 and 1937. The later works reflect not only a deepened philosophical conception of the problems Blondel grapples with, nor simply a greater contact with and comparison to the thoughts of other philosophers, but also a more systematic structure of the problems. By treating the categories of thought and being rigorously in two separate, but related, works, he evades some of the difficulties that arise by placing action as the primary category. The various studies, however, form a cohesive whole, which is, in the end, rounded out by his more properly theological works, L’esprit chrétien and Les exigences philosophiques de chrétienité, and All of them culminate, like the first L’action, in considerations of the “option” and in the relationship to God. Only a greatly adumbrated account can be given here of these five volumes of work, but perhaps the key points can be made evident. In terms of this article, this requires a presentation that departs from Blondel’s explicit structuring of the works and instead places the key points in relation to each other synthetically.

In La Pensée, Blondel outlines a doctrine of “unthought thought”, or “cosmic” thought, thought that has not been thought by any human thinker, but nonetheless admits partially of being brought to intelligibility in a mediated fashion by human thinkers. This intelligible structure of phenomena does not remain, however, for the observer, merely immanent structures of phenomena, a dialectic of nature to be discovered and participated within. Nor does the thinking subject alone supply the determination to the reason and order it finds in the cosmos it explores, as in a dialectic of spirit. The thinking and acting human subject represents, not the ground of being and thought, nor simply a function or product of being or previous human thought, but rather an insufficient acting and thinking being whose action has its intelligibility and whose thought has its power of action only partly on its own basis. In effect, Blondel elaborates a dialectic of the supernatural that does not, as those of German Idealism do, reduce the spiritual to the human, a dialectic between nature, spirit, and God, which is a dialectic unfinished but not undetermined from the perspective of the human agent. In La Pensée, this takes place in terms of intelligibility , and in terms of the relationship of the subject to two constituitive types of thought.

In L’être et les êtres, the same problematic is approached in ontological terms, ultimately through the notion of created being. Blondel denounces various forms of what he calls “ontologisme”, ontologies that falsely hypostatize or reify some aspect of being as the ground or essence of all other beings and of Being itself. As he noted in La Pensée and comes to note in both L’action (1893) and the later L’action. There are striking similarities, given this formulation, between Heidegger’s insistences throughout his works that the question of Being has been reduced in each historical epoch to questions about beings; however, Blondel’s analyses both radically depart from Heidegger’s claim that all valuation is simply illegitimate projection onto Being on the part of the subject, and that the Christian God, as concept in a philosophical-theological system (for instance that of Thomas) does not address Being, but only a being to which all other beings are placed into relation.

In order to preserve and do justice to both the mysteriousness of Being, and the constant determination of beings, these cannot be strictly separated from each other by a concept of “ontological difference” as Heidegger claims. Rather than Being having to be unfigurable, it must be figured, there is an exigency within our very relation to Being that requires us to give it, and to discover within it, determination and solidarity not only between beings and other beings, the immanent order, but also between beings and Being, the order of transcendence. At the same time, from the human side, the thought of this, the being that supports this, and the action that produces this is always insufficient, meaning not that it necessarily fails, but that it requires the succor, teleological draw, and assistance of a greater Being, the “uniquely necessary”. Blondel argues that this is the Christian God.

It is for these reasons that the concept of created being is taken by Blondel to be the only truly coherent and consistent one. Any other ontology, in particular those of various forms of idealism, is more than simply a theory about the structure of and essence of beings; it is also an act of the willing subject, an act that covertly places the willing subject and its experiences as the center and ground of all other than itself, a form of self-idolatry. The central problem with such a position is not, however, simply that it is idolatrous, but that it betrays itself and its self-imposed philosophical task; such a position inevitably requires dismissing or reducing to another domain central phenomena of human historical existence. It is only through a study of being that acknowledges the insufficiency but also the capacity of the creature to know creation and the Creator that the being of the human person can be properly grasped. This has, as a consequence, the effect of arguing against the privileging of epistemology over a metaphysics of the knowing and acting subject, a common occurrence in Modernity.

Materiality is the first level of being that Blondel turns his critical attention to, primarily because materialisms of various sorts, as well as idealism as reactions against the stultifying effects of materialism, is a very common prejudice of Modernity. Blondel reiterates his argument made earlier in the article “L’illusion idéaliste” that any form of materialism that takes matter as something absolutely self-sufficient, as the ground of which all determinate things are made is actually a covert form of idealism, since it hypostatizes a concept, namely that of matter, and simply assumes the reducibility of all phenomena to arrangements of matter, actually to idealized structures. At the same time, Blondel does not aim to simply replace the concept of matter with that of thought and generate a new idealist system. Rather, his concern is to take account of the role of matter. Here, his account bears similarities to both the Thomistico-Aristotelean and the Marxist accounts of matter. For Thomas, prime matter is a mere conceptual necessity, a being of reason, but at the same time, our spiritual nature cannot be extricated absolutely from our matter, which provides the possibility not only for passion and duration, but also for action, sensation and intellection itself. Marx makes a distinction between vulgar materialism, which views matter and spirit as completely separate, and dialectical materialism, which views matter as already inhabited by spirit.

For Blondel, matter likewise does not simply provide the possibility of individuation and differentiation, but also of the solidarity of phenomena, even those of different orders, not least because being material also means at the same time insufficiency and determination.

Just as matter serves to separate them [beings] from Being in-itself , it also permits a participation without possible confusion with it. (EE.78)

Our material nature and the material nature of other beings we are in relation reflects our nature as thinking beings, a nature which, however, is not determined by an univocal or single grounding kind of thought.

If we have to speak according to sensible appearances and according to the common imagination, it is thought that seems to be contained in organized matter. Quite to the contrary, it is matter that is comprised between two very real faces of imperfect thought, of a thought that, irreducible to diaphanous unity, senses itself everywhere, in its effort to know (connaître), to will, to act, and to perfect itself, faced with an obstacle, a wall, an opacity, not, certainly, absolutely inscrutable, but which never allows itself to be entirely suppressed, to be entirely traversed. . . . So, matter is less a thing (chose) than the common condition of the resistances that all things (choses) oppose to us, and that we ourselves oppose to ourselves. (EE 80)

This thought finds itself split.

Our thought assumes two forms, neither self-sufficient in isolation nor directly connected, which we cannot therefore define either in their separate being or in their conjunction, and which operate, like all the generations of nature, in darkness and a kind of unconsciousness (Vol. 2. 41)

Blondel calls one of these forms noétique, the type of thought that unifies, that grasps universally and abstractly. The other form is the pneumatique, thought that grasps the particular, that penetrates to singularity. Both of these require the mediation of the other, and the task of the management of these introduces new possibilities of error, or rather of making the grounds of certain errors clear, errors which correctly recognize part of the being that they misunderstand. On the one hand, one can attempt to grasp all beings, thought and action primarily through the medium of abstraction, imposing strictures thereby upon what can be considered to be real, and thereby taken into consideration. On the other hand, one can go to the other extreme and privilege something particular or singular as the sole reality, around which all else is organized.

The exigencies that these two forms of thought necessary for human being and action impose are irreconcilable in any absolute sense for a human being. This introduces two other exigencies, one of the human relation to self, the other of the human relation to God. First, the insufficiency of human thought requires that all thought must be placed in relation to, but not reduced to practical comportment. Moral action and speculative knowledge thereby both depend

on the use to which the willing subject puts the two types of thought, not allowing itself to be dominated by either type while it relies upon them for determination of the relationships to self, world, and ultimately to God. Second, the recognition of such insufficiency also requires, given the fact that human action and thought does in fact possess a limited sufficiency, a recognition of what allows that to take place, namely the supernatural order, and ultimately the creative and loving action of God.

Thought, being and action are not three separate categories that could be schematically or deductively arranged apart from one another. To begin with, both thought and action are modes of being; neither one of them could be completely separated from a general study of being, but, on the other hand, neither one of them is simply reducible to a type of being, so that, having determined general characteristics of being, one would have at the same time defined and determined all characteristics of thought and action. All thought is a kind of action as well, without, again, thought being reducible to action; being requires for its part activity as well as duration and determination, and to be already implies, not just for the human, but at all levels of being, action. Thought provides coherent and reflective intelligibility to both being and action, a capacity for self-determination, limited by its insufficiencies to fully determine being or action, but also acting as a guiding function of both.

The metaphysical trilogy is rounded out by the partially unfinished theological work, L’esprit chrétien (completed by the two studies, Le sens chrétien and De l’assimilation, brought together in the work, Exigences philosophiques du christianisme), towards which all the texts of the trilogy lead. The analyses of the previous works lead to the point where the insufficiency of solely human thought, being, and action was successively demonstrated. At the same time, this insufficiency was always in relation to the Absolute, not an absolute insufficiency; human being, thought, and action possess determinacy, and a limited substantiality and consistency. Philosophy, carried out rigorously and in as much self-honesty as possible, ends up revealing its own limitations, the areas where it no longer possess a full competence. It retains, however, a role in relation to the Absolute, to the relationship to the Absolute that is religion, and, for Blondel, in particular Catholicism. Jean Lacroix provides an excellent summation of this:

On the one hand, rational thought has revealed exigences and aspirations to which a revelation must answer. . . . On the other hand, if it is truly an answer, this revelation in turn must nourish reason itself, must magnify it in some way and enable it to develop in a way that it could not have done on its own. (Maurice Blondel: An Introduction to the Man and his Philosophy, p. 65)

6. Blondel’s Methodology

Blondel, because of the systematicity of his work, has been called the “French Hegel” and the “Catholic Hegel”. In his main works, Blondel develops dialectical treatments of a set of levels of the phenomena under investigation, beginning from the requirements imposed by the subject matter itself. He treats the level of the acting subject early on in each of his works, first demonstrating that the subject cannot be reduced to any type or order of objectivity, whether it be of . The similarities to the Hegelian use of the dialectic lie in Blondel’s attention to structures of mediation and the role of determinate negation. Indicating the determination of the immanent by the transcendent does not mean referring the order of immanence simply to an order of transcendence or to a single transcendent moment, but rather means uncovering structures of mediation, by which the order of immanence is mediated by the entire structure of the transcendent, including by other levels relatively transcendent to the level treated as transcendent in relation to the immanent order, the order of phenomena being investigated. For instance, the social order is transcendent to the order of individual subjects, and mediates them in relation to each other and in the relation of the subject to itself, but the social order is itself mediated by larger social structures of shared history, and by the order of religion in relation ultimately to the Christian God.

This requires that the point of view, of analysis and description, be shifted from the immanent order to the transcendent, guided by the structure of mediation. This means that the immanent order, as in Hegelian Aufhebung, is not reduced to or nullified by the transcendent now under investigation, but is rather conserved and affirmed as an integral part of the larger structure and order, simply recognized as insufficient to itself and as mediated by the transcendent order. This recognition, from within the process of investigation of the immanent order, of the need for transcendence in order for the immanent phenomena to possess their meaning and being, is analogous to Hegel’s determinate negation, in which the negation of the thesis, the antithesis, emerges from the historical working-out of the truth and meaning of the thesis. It is through a full investigation of the immanent order, treating it provisionally as if it were fully self-sufficient and adequate to itself, that the order indicates its own negativity, its requirement for transcendence.

Blondel’s attention to the structures of the individual subject in the beginnings of his works does not at all therefore reflect a commitment to an ontology which would take those individuals as primary, and ontologically prior to the other levels of structure, in particular the social and the religious, which he later turns to. In fact, as pointed out earlier, his use of the method of immanence has as its purpose and aim to indicate the interpentration of those higher-level structures transcendent to the individual in the very structures by which the individual, the acting subject, exists. This involves Blondel in a sort of return to a realism about universals and about social structures, a realism, however, whose objects remain constrained by the same unfinished . Ontologically, one can put this in the following way. Individuals and individual things do not have full being, but the structures in which they take place do not have full being either. In terms of subject and object, one can say that both subject and object have an ontological insufficiency, which does not the same time, negate their reality or their existence.

Whereas, for Hegel, the System found its unity in the subject of Absolute Knowing, later treated as the philosophical subject or as Absolute Spirit, for Blondel, the ultimate unity comes in the Christian God as creator, who remains outside of the order of description of the relations and structures of the phenomena. Blondel, therefore, rejects Hegel’s insistence that the relation to the Absolute must, in the end, get beyond representation (Vorstellung) and assume the condition of Absolute Spirit conscious of itself in relation to its Other. Blondel also rejects Hegel’s doctrine that at the end of the process of development, all difference is no longer difference of form but only of content. For the acting human subject, who acts, thinks, and is, in relation to the Absolute, History has not come to an end, and humanity is still involved in processes that also involve development and difference in form as well as content, meaning that no speculative or theoretical body of doctrine can legitimately claim full adequacy, while, at the same time, the process of development remains one inhabited by and guided by a rationality which humanity and the acting subject can participate within fully.

Blondel’s use of the “method of immanence” (a term taken originally from Eduoard Le Roi’s works) bears a strong resemblance to methods used by other philosophical movements of the time. In that Blondel explicitly rejects anything like the Husserlian epoche, because it makes an unwarranted assumption of the possibility of suspension of claims to existence as well as a disengagement from practical and moral comportment, which in tunr does not allow the meanign of moral and practical phenomena to be grasped, Blondel’s way of getting at the phenomena bears a closer relationship to the phenomenologies of Max Scheler and Maurice Merleau-Ponty.

From the moment when I pose the theoretical problem of action and when I claim to discover the scientific solution, I no longer admit, at least provisionally and to that different point of view, the value of any practical solution. The usual words of good and evil, of duty, of culpability, that I employed are, from that moment on, denuded of meaning, until, of there is a place, I could restitute to them their fullness. (L’action. p.xix)

Scheler develops a hierarchy of values, which is not simply a hierarchy of meanings relative to each other, but also an order of constitution, ultimately guided by the value of the Holy that at the same time recognizes the relative sufficiency and absolute insufficiency of the other orders (utility, pleasure, life, and culture), and the constant interpenetration of these other orders by the transcendent as Holy. Merleau-Ponty places a constant emphasis upon the dialectic of the present and the absent, or the virtual, mediated by structures of affectivity and the human body, which is it the same time, in so far as it is a human body, socialized and oriented towards transcendence. On the other hand, Blondel’s insistence upon engaging with the phenomenon as the condition for knowledge of it does bear much in common with what Phenomenology, at its best, purports to require, getting “back to the things themselves”

Blondel’s readings of other philosophical figures also bears a striking resemblance to the type of reading carried out under the rubric of Deconstruction. There are some major differences, however, both in the aim and the method of the reading. Blondel’s style of reading is to read a text through fully, eschewing polemics and taking of reified positions until the doctrines advanced in a text have been adequately understood. Then he proceeds to develop these doctrines or theses to their fullest extent, acting as if they were true in order too see what sort of consequences they would have for the thinking and acting subject. The aim is to assess the adequacy of the doctrines as the representation of a philosophical position, and this consists in two parts. First, there is the question of the adequacy of the representation. Second there is the question of the adequacy of the developed philosophical position itself. The goal of such a reading is to allow a doctrine or philosophical position to provide evidence of its own inadequacy on its own grounds, by indicating to us the extent to which it is true and able to provide an account of itself immanently, and by thereby indicating to us the extent to which it is only relatively true and insufficient, without thereby being simply false.

In his focus upon and demonstration of the inadequacy of the various philosophical positions and theses Blondel considers in his works, the mediations of human action that remains irreducible to unreflective practice, and the necessary requirement of a transcendence which the philosophical positions and doctrines attempt to efface, disparage, or force into forgetfulness, Blondel can also be brought into a continuity with certain Western Marxist figures, perhaps most closely with Theodore Adorno. Although Blondel does not use the term until his later works, he is intent upon critiquing reified consciousness and ideology.

7. References and Further Reading

Most of Blondel’s works remain untranslated into English. Two translations of L’action (1893) exist, one by James Sommerville, the other, more recent, by Olivia Blanchette. The essays, “Letter on Apologetics” and “History and Dogma” have been translated by Alexander Dru and Illtyd Trethowan,and placed together in one volume, along with extensive introductions by the Dru and Trethowan.

  • L’action: essai d’une critique de la vie et d’une science de la pratique. Alcan and Presses Universitaires de France, Paris. 1893.
  • Les premiers écrits. Paris: Presses Universitaires de France. 1956 (includes the Letter on Apologetics and History and Dogma as well as several other important early works)
  • Dialogues avec les philosophes, Descartes, Spinoza, Malebranche, Pascal, Saint Augustin. Paris: Aubier Montaigne. 1966. (reproduction of some of Blondel’s articles on philosophical figures)
  • Patrie et Humanité Lyons: Chronique Sociale de France. 1928. (A course taught by Blondel in 1927)
  • La Pensee. 2 vol.Paris: Presses Universitaires de France. 1934, 35.
  • L’être et les êtres: essaie d’un ontologie concrète et intégrale. Paris: Alcan. 1935
  • L’action 2 vol. Paris: Alcan. 1936, 37
  • La philosophie et l’esprit chretienne. Paris: Presses Universitaires de France. 1946
  • Exigences philosophiques du christianisme. Paris, Presses Universitaires de France. 1950.
  • Blondel et Teilhard de Chardin; correspondance. Paris: Beauchesne. 1965.
  • Correspondance philosophique. Paris: Editions du Seuil. 1961.

Author Information

Gregory Sadler
Email: greg@reasonio.com
Marist College and ReasonIO
U. S. A.

Dietrich Bonhoeffer (1906—1945)

bonhoefferFor Bonhoeffer, the foundation of ethical behaviour lay in how the reality of the world and the reality of God were reconciled in the reality of Christ. Both in his thinking and in his life, ethics were centered on the demand for action by responsible men and women in the face of evil. He was sharply critical of ethical theory and of academic concerns with ethical systems precisely because of their failure to confront evil directly. Evil, he asserted, was concrete and specific, and it could be combated only by the specific actions of responsible people in the world. The uncompromising position Bonhoeffer took in his seminal work Ethics, was directly reflected in his stance against Nazism. His early opposition turned into active conspiracy in 1940 to overthrow the regime. It was during this time, until his arrest in 1943, that he worked on Ethics.

Table of Contents

  1. Life and Resistance
  2. Ethics
  3. References and Further Reading

1. Life and Resistance

Dietrich Bonhoeffer was born in Breslau on February 4, 1906. Dietrich and his twin sister, Sabina, were two of eight children born to Karl and Paula (von Hase) Bonhoeffer. Karl Bonhoeffer, a professor of psychiatry and Neurology at Berlin University, was Germany’s leading empirical psychologist. Dietrich received his doctorate from Berlin University in 1927, and lectured in the theological faculty during the early thirties. He was ordained a Lutheran pastor in 1931, and served two Lutheran congregations, St. Paul’s and Sydenham, in London from 1933-35.

In 1934, 2000 Lutheran pastors organized the Pastors’ Emergency League in opposition to the state church controlled by the Nazis. This organization evolved into the Confessing Church, a free and independent protestant church. Bonhoeffer served as head of the Confessing Church’s seminary at Finkenwalde. The activities of the Confessing Church were virtually outlawed and its five seminaries closed by the Nazis in 1937.

Bonhoeffer’s active opposition to National Socialism in the thirties continued to escalate until his recruitment into the resistance in 1940. The core of the conspiracy to assassinate Adolph Hitler and overthrow the Third Reich was an elite group within the Abwehr (German Military Intelligence), which included, Admiral Wilhelm Canaris, Head of Military Intelligence, General Hans Oster (who recruited Bonhoeffer), and Hans von Dohnanyi, who was married to Bonhoeffer’s sister, Christine. All three were executed with Bonhoeffer on April 9, 1945. For their role in the conspiracy, the Nazis also executed Bonhoeffer’s brother, Klaus, and a second brother-in-law, Rudiger Schleicher, on April 23, 1945, seven days before Hitler himself committed suicide on April 30.

Bonhoeffer’s role in the conspiracy was one of courier and diplomat to the British government on behalf of the resistance, since Allied support was essential to stopping the war. Between trips abroad for the resistance, Bonhoeffer stayed at Ettal, a Benedictine monastery outside of Munich, where he worked on his book, Ethics, from 1940 until his arrest in 1943. Bonhoeffer, in effect, was formulating the ethical basis for when the performance of certain extreme actions, such as political assassination, were required of a morally responsible person, while at the same time attempting to overthrow the Third Reich in what everyone expected to be a very bloody coup d’etat. This combination of action and thought surely qualifies as one of the more unique moments in intellectual history.

2. Ethics

Bonhoeffer’s critique of ethics results in a picture of an Aristotelian ethic that is Christological in expression, i.e., it shares much in common with a character-oriented morality, and at the same time it rests firmly on his Christology. For Bonhoeffer, the foundation of ethical behavior is how the reality of the world and how the reality of God are reconciled in the reality of Christ (Ethics, p. 198). To share in Christ’s reality is to become a responsible person, a person who performs actions in accordance with reality and the fulfilled will of God (Ethics, p.224). There are two guides for determining the will of God in any concrete situation: 1) the need of one’s neighbor, and 2) the model of Jesus of Nazareth. There are no other guides, since Bonhoeffer denies that we can have knowledge of good and evil (Ethics, p.231). There is no moral certainty in this world. There is no justification in advance for our conduct. Ultimately all actions must be delivered up to God for judgment, and no one can escape reliance upon God’s mercy and grace. “Before God self-justification is quite simply sin” (Ethics, p.167).

Responsible action, in other words, is a highly risky venture. It makes no claims to objectivity or certainty. It is a free venture that cannot be justified in advance (Ethics, p.249). But, nevertheless, it is how we participate in the reality of Christ, i.e., it is how we act in accordance with the will of God. The demand for responsible action in history is a demand no Christian can ignore. We are, accordingly, faced with the following dilemma: when assaulted by evil, we must oppose it directly. We have no other option. The failure to act is simply to condone evil. But it is also clear that we have no justification for preferring one response to evil over another. We seemingly could do anything with equal justification. Nevertheless, for Bonhoeffer, the reality of a demand for action without any (a priori) justification is just the moral reality we must face, if we want to be responsible people.

There are four facets to Bonhoeffer’s critique of ethics that should be noted immediately. First, ethical decisions make up a much smaller part of the social world for Bonhoeffer than they do for (say) Kant or Mill. Principally he is interested only in those decisions that deal directly with the presence of vicious behavior, and often involve questions of life and death. Second, Bonhoeffer’s own life serves as a case study for the viability of his views. Bonhoeffer is unique in this regard. His work on ethics began while he was actively involved in the German resistance to National Socialism and ended with his arrest in 1943. He fully expected that others would see his work in the conspiracy as intrinsically related to the plausibility of his ethical views. When it comes to ethics, Bonhoeffer noted, “(i)t is not only what is said that matters, but also the man who says it” (Ethics, p.267).

Third, like Aristotle, Bonhoeffer stays as close to the actual phenomenon of making moral choices as possible. What we experience, when faced with a moral choice, is a highly concrete and unique situation. It may share much with other situations, but it is, nevertheless, a distinct situation involving its own particulars and peculiarities, not excluding the fact that we are making the decisions, and not Socrates or Joan of Ark.

And finally, again like Aristotle, Bonhoeffer sees judgments of character and not action as fundamental to moral evaluation. Evil actions should be avoided, of course, but what needs to be avoided at all costs is the disposition to do evil as part of our character. “What is worse than doing evil,” Bonhoeffer notes, “is being evil” (Ethics, p.67). To lie is wrong, but what is worse than the lie is the liar, for the liar contaminates everything he says, because everything he says is meant to further a cause that is false. The liar as liar has endorsed a world of falsehood and deception, and to focus only on the truth or falsity of his particular statements is to miss the danger of being caught up in his twisted world. This is why, as Bonhoeffer says, that “(i)t is worse for a liar to tell the truth than for a lover of truth to lie” (Ethics, p.67). A falling away from righteousness is far worse that a failure of righteousness. To focus exclusively on the lie and not on the liar is a failure to confront evil.

Nevertheless, the central concern of traditional ethics remains: What is right conduct? What justifies doing one thing over another? For Bonhoeffer, there is no justification of actions in advance without criteria for good and evil, and this is not available (Ethics, p.231). Neither future consequences nor past motives by themselves are sufficient to determine the moral value of actions. Consequences have the awkward consequence of continuing indefinitely into the future. If left unattended, this feature would make all moral judgments temporary or probationary, since none are immune to radical revision in the future. What makes a consequence relevant to making an action right is something other than the fact that it is a consequence. The same is true for past motives. One motive or mental attitude surely lies behind another. What makes one mental state and not an earlier state the ultimate ethical phenomenon is something other than the fact that it is a mental state. Since neither motives nor consequences have a fixed stopping point, both are doomed to failure as moral criteria. “On both sides,” Bonhoeffer notes, “there are no fixed frontiers and nothing justifies us in calling a halt at some point which we ourselves have arbitrarily determined so that we may at last form a definite judgement” (Ethics, p.190). Without a reason for the relevance of specific motives or consequences, all moral judgments become hopelessly tentative and eternally incomplete.

What is more, general principles have a tendency to reduce all behavior to ethical behavior. To act only for the greatest happiness of the greatest number, or to act only so that the maxim of an action can become a principle of legislation, become as relevant to haircuts as they do to manslaughter. All behavior becomes moral behavior, which drains all spontaneity and joy from life, since the smallest misstep now links your behavior with the worst crimes of your race, gender, or culture. Ethics cannot be reduced to a search for general principles without reducing all of the problems of life to a bleak, pedantic, and monotonous uniformity. The “abundant fullness of life,” is denied and with it “the very essence of the ethical itself” (Ethics, p.263).

Reliance on theory, in other words, is destructive to ethics, because it interferes with our ability to deal effectively with evil. Bonhoeffer asks us to consider six strategies, six postures people often strike or adopt when attempting to deal with real ethical situations involving evil and vicious people. Any of these postures or orientations could employ principles, laws, or duties from ethical theory. But, in the end, it makes little difference what principles they invoke. The ethical postures themselves are what make responsible action impossible. A resort to the dictates of reason, for example, demands that we be fair to all the details, facts, and people involved in any concrete moral situation (Ethics, p.67). The reasonable person acts like a court of law, trying to be just to both sides of any dispute. In doing so, he or she ignores all questions of character, since all people are equal before the law, and it makes no difference who does what to whom. Thus, whenever it is in the interest of an evil person to tell the truth, the person of reason must reward him for doing so. The person of reason is helpless to do otherwise, and in the end is rejected by all, the good and the evil, and achieves nothing.

Likewise, Bonhoeffer argues, the enthusiasm of the moral fanatic or dogmatist is also ineffective for a similar reason. The fanatic believes that he or she can oppose the power of evil by a purity of will and a devotion to principles that forbid certain actions. Again, the concern is exclusively on action, and judgments of character are seen as secondary and derivative. But the richness and variety of actual, concrete situations generates questions upon questions for the application of any principle. Sooner or later, Bonhoeffer notes, the fanatic becomes entangled in non-essentials and petty details, and becomes prone to simple manipulation in the hands of evil (Ethics, p.68).

The man or woman of conscience presents an even stranger case. When faced with an inescapable ethical situation that demands action, the person of conscience experiences great turmoil and uncertainty. What the person of conscience is really seeking is peace of mind, or a return to the way things were, before everything erupted into moral chaos. Resolving the tensions is as important as doing the right thing. In fact, doing the right thing should resolve the conflicts and tensions or it is not the right thing. Consequently, people of conscience become prey to quick solutions, to actions of convenience, and to deception, because feeling good about themselves and their world is what matters ultimately. They fail completely to see, as Bonhoeffer notes, that a bad conscience, that disappointment and frustration over one’s action, may be a much healthier and stronger state for their souls to experience than peace of mind and feelings of well being (Ethics, p.68).

An emphasis on freedom and private virtuousness are even less capable of dealing effectively with evil. What Bonhoeffer means by freedom is not coextensive with the theoretical freedom of the existential either/or, where it makes no difference what we do, since we are all going to get it in the end anyway; nor is it the freedom of the positivist’s personal preference or emotivism. No, freedom here means the freedom to make exceptions to general rules or principles. The free person is the person who has the where-with-all to ignore conscience, reputation, facts, and anything else in order to make the best arrangement possible under the circumstances. This is the freedom to act in any way necessary, even to do what is wrong, in order to avoid what is worse, e.g., avoiding war by being unjust to large numbers of people, and consequently failing to see that what he thinks is worse, may still be the better, failing to see that evil can never be satiated (Ethics, p. 69).

On the other hand, the escape to a domain of private virtue is, perhaps, of all temptations the most dangerous to the Christian. This is a pulling back from the petty and vulgar affairs of the world in order to avoid being contaminated by evil. This monastic urge is rejected by Bonhoeffer, because for him there is no such thing as escaping your responsibility to act. When faced with evil, there is no middle path. You either oppose the persecution of the innocent or you share in it. No one can preserve his or her private virtue by turning away from the world (Ethics, p.69).

Bonhoeffer’s last category, duty, is perhaps the most important to him, because it is the most easily co-opted by evil; and again it makes no difference what laws we introduce to determine our duty. If a devotion to duty does not discriminate in terms of character, it will end up serving evil. “The man of duty,” Bonhoeffer observes, “will end by having to fulfill his obligations even to the devil” (Ethics, p.69).

Bonhoeffer replaces philosophical ethics and its pursuit of criteria to justify action in advance with an ethics grounded in the emergence of Christ as reconciler. The cornerstone of Bonhoeffer’s ethical world is a social/moral realism. In any given context there is always a right thing to do. This reality is a direct result of his Christology. The reality of the sensible world, with all its variety, multiplicity, and concreteness, has been reconciled with the spiritual reality of God. These two radically divorced worlds have now been made compatible and consistent in the reality of Christ (Ethics, p.195). Through Jesus the reality of God has entered the world (Ethics, p.192). If an action is to have meaning, it must correspond to what is real. Since there is only the reality of Christ, Christ is the foundation of ethics. Any Christian who attempts to avoid falsehoods and meaninglessness in his or her life must act in accordance with this reality.

Furthermore, the sole guide for acting in accordance with this reality is the model of Jesus’ selfless behavior in the New Testament. There are numerous dimensions to this model. First and foremost, your action can in no way be intended to reflect back on you, your character, or your reputation. You must, for the sake of the moment, unreservedly surrender all self-directed wishes and desires (Ethics, p.232). It is the other, another person, that is the focus of attention, and not yourself. In ethical action, the left hand really must be unaware of what the right hand is doing if the right hand is to do anything ethical. If not, your so-called good action becomes contaminated and its moral nature altered.

Bonhoeffer illustrates this notion of selfless action by contrasting the behavior of Jesus in the New Testament to that of the Pharisee. The Pharisee “…is the man to whom only the knowledge of good and evil has come to be of importance in his entire life…”(Ethics, p.30). Every moment of his life is a moment where he must choose between good and evil (Ethics, p.30). Every action, every judgment, no matter how small, is permeated with the choice of good and evil. He can confront no person without evaluating that person in terms of good and evil (Ethics, p.31). For him, all judgments are moral judgments. No gesture is immune to moral condemnation.

Jesus refuses to see the world in these terms. He lightly, almost cavalierly, casts aside many of the legal distinctions the Pharisee labors to maintain. He bids his disciples to eat on the Sabbath, even though starvation is hardly in question. He heals a woman on the Sabbath, although after eighteen years of illness she could seemingly wait a few more hours. Jesus exhibits a freedom from the law in everything he does, but nothing he does suggests all things are possible. There is nothing arbitrary about his behavior. There is, however, a simplicity and clarity. Unlike the Pharisee, he is unconcerned with the goodness or badness of those he helps, unconcerned with the personal moral worth of those he meets, talks to, dines with, or heals. He is concerned solely and entirely with the well being of another. He exhibits no other concern. He is the paradigm of selfless action, and the exact opposite of the Pharisee, whose every gesture is fundamentally self-reflective.

The responsible person is, thus, a selfless person, who does God’s will by serving the spiritual and material needs of another, since “…what is nearest to God is precisely the need of one’s neighbor” (Ethics, p.136). The selfless model of Jesus is his or her only guide to responsible action. And second, the responsible person must not hesitate to act for fear of sin. Any attempt to avoid personal guilt, any attempt to preserve moral purity by withdrawing from conflicts is morally irresponsible. For Bonhoeffer, no one who lives in this world can remain disentangled and morally pure and free of guilt (Ethics, p.244). We must not refuse to act on our neighbor’s behalf, even violently, for fear of sin. To refuse to accept guilt and bear it for the sake of another has nothing to do with Christ or Christianity. “(I)f I refuse to bear guilt for charity’s sake,” Bonhoeffer argues, “then my action is in contradiction to my responsibility which has its foundation in reality” (Ethics, p.241). The risk of guilt generated by responsible action is great and cannot be mitigated in advance by self-justifying principles. There is no certainty in a world come of age. No one, in other words, can escape a complete dependency on the mercy and grace of God.

3. References and Further Reading

All quotes from: Dietrich Bonhoeffer, Ethics, (New York: Simon & Schuster Inc., Touchstone Edition, 1995).

Works by Bonhoeffer:

  • Sanctorum Communio (The Communion of Saints)
  • Act and Being
  • The Cost of Discipleship
  • Life Together
  • Ethics
  • Letters and Papers from Prison
  • Gesammelte Schriften, 4 vols.

Author Information

Douglas Huff
Email: dhuff@gac.edu
Gustavus Adolphus College
U. S. A.

Behaviorism

Behaviorism was a movement in psychology and philosophy that emphasized the outward behavioral aspects of thought and dismissed the inward experiential, and sometimes the inner procedural, aspects as well; a movement harking back to the methodological proposals of John B. Watson, who coined the name.  Watson’s 1913 manifesto proposed abandoning Introspectionist attempts to make consciousness a subject of experimental investigation to focus instead on behavioral manifestations of intelligence.  B. F. Skinner later hardened behaviorist strictures to exclude inner physiological processes along with inward experiences as items of legitimate psychological concern.  Consequently, the successful “cognitive revolution” of the nineteen sixties styled itself a revolt against behaviorism even though the computational processes cognitivism hypothesized would be public and objective—not the sort of private subjective processes Watson banned.  Consequently (and ironically), would-be-scientific champions of consciousness now indict cognitivism for its “behavioristic” neglect of inward experience.

The enduring philosophical interest of behaviorism concerns this methodological challenge to the scientific bona fides of consciousness (on behalf of empiricism) and, connectedly (in accord with materialism), its challenge to the supposed metaphysical inwardness, or subjectivity, of thought.  Although behaviorism as an avowed movement may have few remaining advocates, various practices and trends in psychology and philosophy may still usefully be styled “behavioristic”. As long as experimental rigor in psychology is held to require “operationalization” of variables, behaviorism’s methodological mark remains.  Recent attempts to revive doctrines of “ontological subjectivity” (Searle 1992) in philosophy and bring “consciousness research” under the aegis of Cognitive Science (see Horgan 1994) point up the continuing relevance of behaviorism’s metaphysical and methodological challenges.

Table of Contents

  1. Behaviorists and Behaviorisms
    1. Psychological Behaviorists
      1. Precursors: Wilhelm Wundt, Ivan Pavlov
      2. John B. Watson: Early Behaviorism
      3. Intermediaries: Edward Tolman and Clark Hull
      4. B. F. Skinner: Radical Behaviorism
      5. Post-Behaviorist and Neo-behavioristic Currents: Externalism and Connectionism
    2. Philosophical Behaviorists
      1. Precursors, Preceptors, & Fellow Travelers: William James, John Dewey, Bertrand Russell
      2. Logical Behaviorism: Rudolf Carnap
      3. Ordinary Language Behaviorists: Gilbert Ryle, Ludwig Wittgenstein
      4. Reasons, Causes, and the Scientific Imperative
      5. Later Day Saints: Willard van Orman Quine and Alan Turing
      6. The Turing Test Conception: Behaviorism as Metaphysical Null Hypothesis
      7. Logical Behaviorism Metaphysically Construed
  2. Objections & Discussion
    1. Technical Difficulties
      1. Action v. Movement
      2. From Paralytics to Perfect Actors
      3. The Intentional Circle
      4. Methodological Complaints
    2. The Ur-Objection: Consciousness Denied
  3. References and Further Reading

1. Behaviorists and Behaviorisms

Behaviorism, notoriously, came in various sorts and has been, also notoriously, subject to variant sortings: “the variety of positions that constitute behaviorism” might even be said to share no common-distinctive property, but only “a loose family resemblance” (Zuriff 1985: 1) . Views commonly styled “behavioristic” share various of the following marks:

  • allegiance to the “fundamental premise … that psychology is a natural science” and, as such, is “to be empirically based and … objective” (Zuriff 1985: 1);
  • denial of the utility of introspection as a source of scientific data;
  • theoretic-explanatory dismissal of inward experiences or states of consciousness introspection supposedly reveals;
  • specifically antidualistic opposition to the “Cartesian theater” picture of the mind as essentially a realm of such inward experiences;
  • more broadly antiessentialist opposition to physicalist or cogntivist portrayals of thought as necessarily neurophysiological or computational;
  • theoretic-explanatory minimization of inner physiological or computational processes intervening between environmental stimulus and behavioral response;
  • mistrust of the would-be scientific character of the concepts of “folk psychology” generally, and of the would-be causal character of its central “belief-desire” pattern of explanation in particular;
  • positive characterization of the mental in terms of intelligent “adaptive” behavioral dispositions or stimulus-response patterns.

Among these features, not even Zuriff’s “fundamental premise” is shared by all (and only) behaviorists. Notably, Gilbert Ryle, Ludwig Wittgenstein, and followers in the “ordinary language” tradition of analytic philosophy, while, for the most part, regarding behavioral scientific hopes as vain, hold views that are, in other respects, strongly behavioristic. Not surprisingly, these thinkers often downplay the “behaviorist” label themselves to distinguish themselves from their scientific behaviorist cousins. Nevertheless, in philosophical discussions, they are commonly counted “behaviorists”: both emphasize the external behavioral aspects, deemphasize inward experiential and inner procedural aspects, and offer broadly behavioral-dispositional construals of thought.

a. Psychological Behaviorists

i. Precursors: Wilhelm Wundt, Ivan Pavlov

Wundt is often called “the father of experimental psychology.” He conceived the subject matter of psychology to be “experience in its relations to the subject” (Wundt 1897: 3). The science of experience he envisaged was supposed to be chemistry like: introspected experiential data were to be analyzed; the basic constituents of conscious experience thus identified; and the patterns and laws by which these basic constituents combine to constitute more complex conscious experiences (for example, emotions) described. Data were to be acquired and analyzed by trained introspective Observers. While the analysis of experience was supposed to be a self-contained enterprise, Wundt—originally trained as a physiologist—fully expected that the structures and processes introspective analysis uncovered in experience would parallel structures and processes physiological investigation revealed in the central nervous system. Introspectionism, as the approach was called, soon spread, and laboratories sprang up in the United States and elsewhere, aiming “to investigate the facts of consciousness, its combinations and relations,” so as to “ultimately discover the laws which govern these relations and combinations” (Wundt 1912: 1). The approach failed primarily due to the unreliability of introspective Observation. Introspective “experimental” results were not reliably reproducible by outside laboratories: Observers from different laboratories failed to agree, for instance, in their Observation (or failure to Observe) imageless thoughts (to cite one notorious controversy).

Pavlov’s successful experimental discovery the laws of classical conditioning (as they came to be called), by way of contrast, provided positive inspiration for Watson’s Behaviorist manifesto. Pavlov’s stimulus-response model of explanation is also paradigmatic to much later behavioristic thought. In his famous experiments Pavlov paired presentations to dogs of an unconditioned stimulus (food) with an initially neutral stimulus (a ringing bell). After a number of such joint presentations, the unconditional response to food (salivation) becomes conditioned to the bell: salivation occurs upon the ringing of the bell alone, in the absence of food. In accord with Pavlovian theory, then, given an animal’s conditioning history behavioral responses (for example, salivation) can be predicted to occur or not, and be controlled (made to occur or not), on the basis of laws of conditioning, answering to the stimulus-response pattern:

S -> R

Everything adverted to here is publicly observable, even measurable; enabling Pavlov to experimentally investigate and formulate laws concerning temporal sequencing and delay effects, stimulus intensity effects, and stimulus generalization (opening doors to experimental investigation of animal perception and discrimination).

Edward Thorndike, in a similar methodological vein, proposed “that psychology may be, at least in part, as independent of introspection as physics” (Thorndike 1911: 5) and pursued experimental investigations of animal intelligence. In experimental investigations of puzzle-solving by cats and other animals, he established that speed of solution increased gradually as a result of previous puzzle exposure. Such results, he maintained, support the hypothesis that learning is a result of habits formed through trial and error, and Thorndike formulated “laws of behavior,” describing habit formation processes, based on these results. Most notable among Thorndike’s laws (presaging Skinnerian operant conditioning) is his Law of Effect:

Of several responses made to the same situation, those which are accompanied or closely followed by satisfaction to the animal will, other things being equal, be more firmly connected with the situation, so that, when it recurs, they will be more likely to recur; those which are accompanied or closely followed by discomfort to the animal will, other things being equal, have their connections with that situation weakened, so that, when it recurs, they will be less likely to occur. The greater the satisfaction or discomfort, the greater the strengthening or weakening of the bond . (Thorndike 1911)

In short, rewarded responses tend to be reinforced and punished responses eliminated. His methodological innovations (particularly his “puzzle-box”) facilitated objective quantitative data collection and provided a paradigm for Behaviorist research methods to follow (especially the “Skinner box”).

ii. John B. Watson: Early Behaviorism

Watson coined the term “Behaviorism” as a name for his proposal to revolutionize the study of human psychology in order to put it on a firm experimental footing. In opposition to received philosophical opinion, to the dominant Introspectionist approach in psychology, and (many said) to common sense, Watson (1913) advocated a radically different approach. Where received “wisdom” took conscious experience to be the very stuff of minds and hence the (only) appropriate object of psychological investigation, Watson advocated an approach that led, scientifically, “to the ignoring of consciousness” and the illegitimacy of “making consciousness a special object of observation.” He proposed, instead, that psychology should “take as a starting point, first the observable fact that organisms, man and animal alike, do adjust themselves to their environment” and “secondly, that certain stimuli lead the organisms to make responses.” Whereas Introspectionism had, in Watson’s estimation, miserably failed in its attempt to make experimental science out of subjective experience, the laboratories of animal psychologists, such as Pavlov and Thorndike, were already achieving reliably reproducible results and discovering general explanatory principles. Consequently, Watson—trained as an “animal man” himself—proposed, “making behavior, not consciousness, the objective point of our attack” as the key to putting the study of human psychology on a similar scientific footing. Key it proved to be. Watson’s revolution was a smashing success. Introspectionism languished, behaviorism flourished, and considerable areas of our understanding of human psychology (particularly with regard to learning) came within the purview of experimental investigation along broadly behavioristic lines. Notably, also, Watson foreshadows Skinner’s ban on appeals to inner (central nervous) processes, seeming to share the Skinnerian sentiment “that because so little is known about the central nervous system, it serves as the last refuge of the soul in psychology” (Zuriff 1985: 80). Watson is, consequently, loath to hypothesize central processes, going so far as to speculate that thought occurs in the vocal tract, and is—quite literally—subaudible talking to oneself (Watson 1920).

iii. Intermediaries: Edward Tolman and Clark Hull

Tolman and Hull were the two most noteworthy figures of the movement’s middle years. Although both accepted the S-R framework as basic, Tolman and Hull were far more willing than Watson to hypothesize internal mechanisms or “intervening variables” mediating the S-R connection. In this regard their work may be considered precursory to cognitivism, and each touches on important philosophical issues besides. Tolman’s purposive behaviorism attempts to explain goal-directed or purposive behavior, focusing on large, intact, meaningful behavior patterns or “molar” behavior (for example, kicking a ball) as opposed to simple muscle movements or “molecular” behavior (for example, various flexings of leg muscles); regarding the molecular level as too far removed from our perceptual capacities and explanatory purposes to provide suitable units for meaningful behavioral analysis. For Tolman, stimuli play a cognitive role as signals to the organism, leading to the formation of “cognitive maps” and to “latent learning” in the absence of reinforcement. Overall,

The stimuli which are allowed in are not connected by just simple one-to-one switches to the outgoing responses. Rather the incoming impulses are usually worked over and elaborated in the central control room into a tentative cognitive-like map of the environment. And it is this tentative map, indicating routes and paths and environmental relationships, which finally determines what responses, if any, the animal will finally make. (Tolman 1948: 192)

Clark Hull undertook the ambitious program of formulating an exhaustive theory of such mechanisms intervening between stimuli and responses: the theory was to take the form of a hypothetical-deductive system of basic laws or “postulates” enabling the prediction of behavioral responses (as “output variables”) on the basis of external stimuli (“input variables”) plus internal states of the organism (“intervening variables”). Including such organismic “intervening” variables (O) in the predictive/explanatory laws results in the following revised explanatory schema:

S & O -> R

The intervening O-variables Hull hypothesized included drive and habit strength. Attributes of, and relations among, these variables are what the postulates describe: further attributes and relationships were derived as theorems and corollaries from the basic postulates. Hull’s student, Edward Spence, attempted to carry on with the program, without lasting success. Expected gains in predictive-explanatory scope and precision were not achieved and, with hindsight, it is easy to see that such an elaborate theoretical superstructure, built on such slight observational-experimental foundations, was bound to fall. Hull’s specific proposals are presently more historical curiosities than live hypotheses. Nevertheless, currently prevalent cognitivist approaches share Hull’s general commitment to internal mechanisms.

iv. B. F. Skinner: Radical Behaviorism

Skinner’s self-described “radical behaviorist” approach is radical in its insistence on extending behaviorist strictures against inward experiential processes to include inner physiological ones as well. The scientific nub of the approach is a concept of operant conditioning indebted to Thorndike’s “Law of Effect.” Operants (for example, bar-presses or key-pecks) are units of behavior an organism (for example, a rat or pigeon) occasionally emits “spontaneously” prior to conditioning. In operant conditioning, operants followed by reinforcement (for example, food or water) increase in frequency and come under control of discriminative stimuli (for example, lights or tones) preceding the response. By increasingly judicious reinforcement of increasingly close approximations, complex behavioral sequences are shaped. On Skinner’s view, high-level human behavior, such as speech, is the end result of such shaping. Prolonged absence of reinforcement leads to extinction of the response. Many original and important Skinnerian findings—for example, that constantly reinforced responses extinguish more rapidly than intermittently reinforced responses—concern the effects of differing schedules of reinforcement. Skinner notes the similarity of operant behavioral conditioning to natural evolutionary selection: in each case apparently forward-looking or goal-directed developments are explained (away) by a preceding course of environmental “selection” among randomly varying evolutionary traits or, in the psychological case, behavioral tricks. The purposiveness which Tolman’s molar behavioral description assumes, radical behaviorism thus claims to explain. Likewise, Skinner questions the explanatory utility of would-be characterizations of inner processes (such as Hull’s): such processes, being behavior themselves (though inner), are more in need of explanation themselves, Skinner holds, than they are fit to explain outward behavior. By “dismissing mental states and processes,” Skinner maintains, radical behaviorism “directs attention to the … history of the individual and to the current environment where the real causes of behavior are to be found” (Skinner 1987: 75). On this view, “if the proper attention is paid to the variables controlling behavior and an appropriate behavioral unit is chosen, orderliness appears directly in the behavior and the postulated theoretical processes become superfluous” (Zuriff: 88). Thus understood, Skinner’s complaint about inner processes “is not that they do not exist, but that they are not relevant” (Skinner 1953) to the prediction, control, and experimental analysis of behavior.

Skinner stressed prediction and control as his chief explanatory desiderata, and on this score he boasts that “experimental analysis of behaviour” on radical behaviorist lines “has led to an effective technology, applicable to education, psychotherapy, and the design of cultural practices in general” (Skinner 1987: 75). Even the most strident critics of radical behaviorism, I believe, must accord it some recognition in these connections. Behavior therapy (based on operant principles) has proven effective in treating phobias and addictions; operant shaping is widely and effectively used in animal training; and behaviorist instructional methods have proven effective—though they may have become less fashionable—in the field of education. Skinnerian Behaviorism can further boast of significantly advancing our understanding of stimulus generalization and other important learning-and-perception related phenomena and effects. Nevertheless, what was delivered was less than advertised. In particular, Skinner’s attempt to extend the approach to the explanation of high-grade human behavior failed, making Noam Chomsky’s dismissive (1959) review of Skinner’s book, Verbal Behavior, something of a watershed. On Chomsky’s diagnosis, not only had Skinner’s attempt at explaining verbal behavior failed, it had to fail given the insufficiency of the explanatory devices Skinner allowed: linguistic competence (in general) and language acquisition (in particular), Chomsky argued, can only be explained as expressions of innate mechanisms—presumably, computational mechanisms. For those in the “behavioral sciences” already chaffing under the severe methodological constraints Skinnerian orthodoxy imposed, the transition to “cognitive science” was swift and welcome. By 1985 Zuriff would write, “the received wisdom of today is that behaviorism has been refuted, its methods have failed, and it has little to offer modern psychology” (Zuriff 1985: 278). Subsequent developments, however, suggest that matters are not that simple.

v. Post-Behaviorist and Neo-behavioristic Currents: Externalism and Connectionism

Several recent developments inside and beside the mainstream of “cognitive science”—though their proponents have not been keen to style themselves “behaviorists”—appear to be rather behavioristic. Semantic externalism is the view that “meanings ain’t in the head” (Putnam 1975: 227) but depend, rather, on environmental factors; especially on sensory and behavioral intercourse with the referents of the referring thoughts or expressions. If emphasis on the outward or behavioral aspects of thought or intelligence—and attendant de-emphasis of inward experiential or inner procedural aspects—is the hallmark of behaviorism, semantic externalism is, on its face, behavioristic (though this is seldom remarked). Emphasis (as by Burge 1979) on social (besides the indexical, or sensory-behavioral) determinants of reference—on what Putnam called “the linguistic division of labor”—lends this view a distinct Wittgensteinean flavor besides. Such externalist “causal theories” of reference, although far from unquestioned orthodoxy, are currently among the leading cognitive scientific contenders. Less orthodox, but even more behavioristic, is the procedural externalism advocated by Andy Clark (2001), inspired by work in “Situated Cognition, Distributed and Decentralized Cognition, Real-World Robotics, and Artificial Life” (Clark 2001: abstract); identifying thought with “complex and iterated processes which continually loop between brain, body, and technological environment”; according to which the “intelligent process just is the spatially and temporally extended one which zig-zags between brain, body, and world” (Clark 2001: 132). Perhaps most importantly, the influential connectionist hypothesis that the brain does parallel processing of distributed representations, rather than serial processing of localized (language-like) representations, also waxes behavioristic. In parallel systems, typically, initial programming (comparable to innate mechanisms) is minimal and the systems are “trained-up” to perform complex tasks over a series of trails, by a process somewhat like operant shaping.

b. Philosophical Behaviorists

i. Precursors, Preceptors, & Fellow Travelers: William James, John Dewey, Bertrand Russell

In opposition to the “Structuralist” philosophical underpinnings of introspectionism, behaviorism grew out of a competing “Functionalist” philosophy of psychology that counted Dewey and William James among its leading advocates. Against structuralist reification of the content of experience, Dewey urged that sensations be given a functional characterization, and proposed to treat them as functionally defined occupants of roles in the “reflex arc” which—since it “represents both the unit of nerve structure and the type of nerve function”—should supply the “unifying principle and controlling working hypothesis in psychology” (Dewey 1896: 357); though the arc, Dewey insisted, is misunderstood if not viewed in broader organic-adaptive context. On another front—against structuralist reification of the subject of experience—William James famously maintained,

that ‘consciousness,’ when once it has evaporated to this estate of pure diaphaneity, is on the point of disappearing altogether. It is the name of a nonentity, and has no right to a place among first principles. Those who still cling to it are clinging to a mere echo, the faint rumor left behind by the disappearing ‘soul’ upon the air of philosophy.

James hastened to add, that he meant “only to deny that the word [`consciousness’] stands for an entity, but to insist most emphatically that it does stand for a function” (James 1912). The James-Lange theory of emotions—which holds that “the bodily changes follow directly the PERCEPTION of the exciting fact, and that our feeling of the same changes as they occur IS the emotion (James 1884: 189-190)—prefigures later behavioristic deflationary analyses of other categories of presumed mentation.

Bertrand Russell was among the first philosophers to recognize the philosophical significance of the behaviorist revolution Watson proposed. Though never a card-carrying behaviorist himself—insisting that the inwardness or “privacy” of “sense-data” “does not by itself make [them] unamenable to scientific treatment” (Russell 1921: 119)—Russell, nevertheless, asserted that behaviorism “contains much more truth than people suppose” and regarded it “as desirable to develop the behaviourist method to the fullest possible extent” (Russell 1927: 73), proposing a united front between behaviorism and science-friendly analytic philosophy of mind. Such fronts soon emerged on both the “formal language” and “ordinary language” sides of ongoing analytic philosophical debate.

ii. Logical Behaviorism: Rudolf Carnap

What is sometimes called the “formalist” or “ideal language” line of analytic philosophy seeks the logical and empirical regimentation of (would-be) scientific language for the sake of its scientific improvement. “Logical behaviorism” refers, most properly, to Carnap and Hempel’s proposed regimentation of psychological discourse on behavioristic lines, calling for analyses of mental terms along lines consonant with the Logical Empiricist doctrine of verificationism (resembling the “operationism” of P.W. Bridgman 1927) they espoused. According to verificationism, a theoretic attribution—say of temperature—as in “it’s 23.4º centigrade” “affirms nothing other than” that certain “physical test sentences obtain”: sentences describing the would-be “coincidence between the level of the mercury and the mark of the scale numbered 23.4” on a mercury thermometer, and “other coincidences,” for other measuring instruments (Hempel 1949: 16-17). Similarly, it was proposed, that for scientific psychological purposes, “the meaning of a psychological statement consists solely in the function of abbreviating the description of certain modes of physical response characteristic of the bodies of men and animals” (Hempel 1949: 19), the modes of physical response by which we test the truth of our psychological attributions. “Paul has a toothache” for instance would abbreviate “Paul weeps and makes gestures of such and such kinds”; “At the question `What is the matter?,’ Paul utters the words `I have a toothache'”; and so on (Hempel 1949: 17). As Carnap and Hempel came to give up verificationism, they gave up logical behaviorism, and came to hold, instead, that “the introduction and application of psychological terms and hypotheses is logically and methodologically analogous to the introduction and application of the terms and hypotheses of a physical theory.” Theoretical terms on this newly emerging (and now prevalent) view need only be loosely tied to observational tests in concert with other terms of the theory. They needn’t be fully characterized, each in terms of its own observations, as on the “narrow translationist” (Hempel 1977: 14) doctrine of logical behaviorism. As verificationism went, so went logical behaviorism: liberalized requirements for the empirical grounding of theoretical posits encouraged the taking of “cognitive scientific” liberties (in practice) and (in theory) the growth of cognitivist sympathies among analytic philosophers of mind. Still, despite having been renounced by its champions as unfounded and having found no new champions; and despite seeming, with hindsight, clearly false; logical behaviorism continues to provoke philosophical discussion, perhaps due to that very clarity. Appreciation of how logical behaviorism went wrong (below) is widely regarded by cognitivists as the best propaedeutic to their case for robust recourse to hypotheses about internal computational mechanisms.

iii. Ordinary Language Behaviorists: Gilbert Ryle, Ludwig Wittgenstein

The “ordinary language” movement waxed most strongly in the work of Ryle and Wittgenstein around the middle of the twentieth century. Their investigations are “meant to throw light on the facts of our language” in its everyday employment (Wittgenstein 1953: §130). Where the formalist seeks the logical and empirical regimentation of would-be scientific language, including psychological terms, Ryle and Wittgenstein regard our everyday use of mental terminology as unimpeached by its scientific “defects”—which are not defects—because such talk is not in the scientific line of business. To misconstrue talk of people “as knowing, believing, or guessing something, as hoping, dreading, intending or shirking something, as designing this or being amused at that” (Ryle 1949: 15) on the model of scientific hypotheses about inner mechanisms misconstrues the “logical grammar” (Wittgenstein) of such talk, or makes a “category-mistake” (Ryle). Philosophical puzzlements about knowledge of other minds and mind-body interaction arise from such misconstrual: for instance, attempts to solve the mind-body problem, Ryle claims, “presuppose the legitimacy of the disjunction `Either there exist minds or there exist bodies (but not both)'” which “would be like saying, `Either she bought a left-hand and a right-hand glove or she bought a pair of gloves (but not both)'” (Ryle 1949: 22-3). The most basic misconstrual (Wittgenstein’s and Ryle’s diagnoses concur) involves thinking—when we talk of “knowing, believing, or guessing,” etc.—”that these verbs are supposed to denote the occurrence of specific modifications” either mechanical (in brains) or “paramechanical” (in streams of consciousness):

So we have to deny the yet uncomprehended process in the yet unexplored medium. And now it looks as if we have denied the mental processes. And naturally we don’t want to deny them.” (Wittgenstein 1953: §308)

Not wanting to deny, for example, “that anyone ever remembers anything” (Wittgenstein 1953: §306) Wittgenstein and Ryle offer broadly dispositional stories about how mentalistic talk does work, in place of “the model of ‘object and designation'” (Wittgenstein 1953: §293) they reject.

According to Wittgenstein on the object-designation model—where the object is supposed to be private or introspected—it “drops out of consideration as irrelevant” (Wittgenstein 1953: §293): the “essential thing about private experience” here is “not that each person possesses his own exemplar” but “that nobody knows whether other people also have this or something else” (§272). So, if “someone tells me that he knows what pain is only from his own case” this would be as if

everyone had a box with something in it: we call it a `beetle’. No one can look in anyone else’s box, and everyone says he knows what a beetle is only by looking at his beetle.—Here it would be quite possible for everyone to have something different in his box. One might even imagine such a thing constantly changing.—But suppose the word `beetle’ had a use in these people’s language?—If so, it would not be used as the name of a thing. The thing in the box has no place in the language-game at all; not even as a something: for the box might even be empty.—No, one can `divide through’ by the thing in the box; it cancels out, whatever it is. (§293)

Rather than referring to inner experiences, sensation words, according to Wittgenstein, “are connected with the primitive, the natural, expressions of the sensation and used in their place” (§246): self-attributions of “pain” and other sensation terms are avowals not descriptions: “A child has hurt himself and he cries; and then adults talk to him and teach him exclamations and, later, sentences. They teach the child new pain-behaviour.” Here, Wittgenstein explains, he is not “saying that the word `pain’ really means crying”: rather, “the verbal expression of pain replaces crying and does not describe it” (§244). Avowals join the “natural expressions” to supply the “outward criteria” which logically (not just evidentially) constrain and enable the uses sensation and other “`inner process'” words have in our public language (§580). Furthermore, Wittgenstein famously argues, we cannot even coherently imagine a private language “in which a person could write down or give vocal expression to his inner experiences” exclusively “for his private use” because the “private ostensive definition” (§380) required to fix the reference of the would-be sensation-denoting expression could not establish a rule for its use. “To think one is obeying a rule is not to obey a rule” and in the case of usage consequent on the envisaged private baptism “thinking one was obeying a rule would be the same thing as … obeying” (§202).

For Ryle, when we employ the “verbs, nouns and adjectives, with which in ordinary life we describe the wits, characters, and higher-grade performances of people with whom we have do” (Ryle 1949: 15) “we are not referring to occult episodes of which their overt acts and utterances are effects; we are referring to those overt acts and utterances themselves” (25) or else to a “disposition, or a complex of dispositions” (15) to such acts and utterances. “Dispositional words like `know’, `believe’, `aspire’, `clever’, and `humorous”’ signify multi-track dispositions: “abilities, tendencies or pronenesses to do, not things of one unique kind, but things of lots of different kinds” (118): “to explain an action as done from a specified motive or inclination is not to describe the action as the effect of a specified cause”: being dispositions, motives “are not happenings and are not therefore of the right type to be causes” (113). Accordingly, “to explain an act as done from a certain motive is not analogous to saying that the glass broke, because a stone hit it, but to the quite different type of statement that the glass broke, when the stone hit it, because the glass was brittle” (87). The force of such explanation is not “to correlate [the action explained] with some occult cause, but to subsume it under a propensity or behavior trend” (110). The explanation does not prescind from the act to its causal antecedents but redescribes the act in broader context, telling “a more pregnant story,” as when we explain the bird’s “flying south” as “migration”; yet, Ryle observes,” the process of migrating is not a different process from that of flying south; so it is not the cause of its flying south” (142). Finally, the connection between disposition and deed, as Ryle understands it, is a logical-criterial, not a contingent-causal one: brave deeds are not caused by bravery, they constitute it (as the “soporific virtue,” or sleep-inducing power, of opium doesn’t cause it to induce sleep since tending to induce sleep is this power or “virtue”).

iv. Reasons, Causes, and the Scientific Imperative

For formalists, the informality and imprecision of ordinary language formulations invite criticism. Take Ryle’s “migration” comparison: either, it would seem Ryle is saying that everyday psychological explanations yield only vague interpretive understanding, having no scope for scientific development; or else it would seem, the “more pregnant story” must be formalizable in terms of predictive-explanatory laws (as of migration, in Ryle’s example) with logical-behaviorial-definition-like rigor (if not content). The point of logical behaviorist analysis is to scientifically ground talk of “belief,” “desire,” “sensation,” and the rest, whose everyday use seems empirically precarious. With this aim in mind, “explanatory” procession from low-level matter-of-fact description (“flying south”) to more interpretive description (“migration”), such as Ryle envisages, seems to move in the wrong direction—unless, again, the “more pregnant story” is not just redescriptive but delivers scientific theoretic gains in the form of more general and precise explantory-predictive laws. A related debate raged fiercely through the nineteen fifties and early sixties between defenders of the (would-be) scientific status of “motive” or “belief-desire” explanations (notably Hempel) and champions of the Rylean thesis that “reasons aren’t causes” (Elizabeth Anscombe and Stuart Hampshire, among them). Donald Davidson’s (1963) defense of “the ancient—and commonsense—position that rationalization is a species of causal explanation” is widely recognized as a watershed in this debate, though it remains doubtful to what extent cognivists retain rights to the water shed, since Davidson counts reasons to be causal in virtue of noncognitive (low-level physical) properties. On the other hand, philosophers in the ordinary language tradition (for example, Hampshire 1950, Geach 1957) raised daunting technical difficulties (below) for the “narrow translationist” plans of logical behaviorism. Such criticisms hastened the advent of cognitivism as an alternative to behaviorism of any stripe among philosophers unwilling to abide the informality, imprecision, and seeming scientific defeatism of the ordinary language approach.

v. Later Day Saints: Willard van Orman Quine and Alan Turing

Quine, considered by many to be the greatest Anglo-American philosopher of the last half of the twentieth century, was a self-avowed “behaviorist,” and such tendencies are evident in several areas of his thought, beginning with his enthusiasm for a linguistic turn (as Bergmann 1964 styled it: see Rorty 1967) in the philosophy of mind. “A theory of mind,” Quine writes, “can gain clarity and substance … from a better understanding of the workings of language, whereas little understanding of the working of language is to be hoped for in mentalistic terms” (Quine 1975: 84). Quine’s “naturalized” inquiries concerning knowledge and language attempt, further, to incorporate empirical findings and methods from Skinnerian psychology. In contrast to logical behaviorism (above), notably, Quine “never…aspired to the ascetic adherence to operational definitions” and always acknowledged—indeed insisted —that science “settles for partial criteria and for partial explanations” of its theoretic posits “in terms of other partially explained notions” (Quine 1990: 291). Still, he is not keen—as his cognitivist contemporaries (for example, Putnam) and followers (for example, Fodor) are—about the prospects such looser empiricist strictures offer for scientific deployment of mentalistic vernacular terms like “belief,” “desire,” and “sensation”. To standard behaviorist concern about the empirical credentials of alleged private entities and introspective reports, Quine adds the consideration that talk of “belief”, “desire”, and other intentional mental states is so logically ill-behaved as to be irreconcilable with materialism and scientifically unredeemable. In the final analysis, however, the behaviorism Quine proposes is methodological. His final metaphysical word is physicalism: “having construed behavioral dispositions in turn as physiological states, I end up with the so called identity theory of mind: mental states are states of the body” (Quine 1975: 94); yet, his antiessentialism here (as elsewhere) lends his physicalism a behavioristic cast (see next section).

Alan Turing is transitional. Along with the digital age, his theory of computation helped inspire the cognitivist revolution, making him, by some lights the first cognitivist. On the other hand, the methodological behaviorism of Turing’s proposed Imitation Game test for artificial intelligence (the “Turing test”) has been widely remarked and “the Turing test conception” of intelligence may be considered a parade case of metaphysical behaviorism for purposes of refutation (as by Block 1981) or illustration (as follows).

vi. The Turing Test Conception: Behaviorism as Metaphysical Null Hypothesis

The Imitation Game proposed by Turing (1950) was originally a game of female impersonation: the aim of the game for the (male) querant is to pass for (that is, be judged by the questioner to be) female. The Turing test replaces the male querant with a computer whose aim is to pass for human. This simplified setup (Turing’s actual proposal involves an additional complication, a third participant or foil besides to the querant and questioner) can be used to explain the metaphysical character of the dispute as a dispute about essence. In the original (man-woman) Imitation Game, notice, however good the impersonation, it doesn’t make the querant female. Something else is essential: it’s the content of their chromosomes (not their conversation) that makes the querant female or not. Different proposals for what that essential something is in the case of thought, then, represent different metaphysical takes on the nature of mind. In the Turing test scenario these different [proposed essences] represent further conditions necessary to promote intelligent-seeming behavior into actual intelligence, and sufficing for intelligence, or mentation, even in the absence of such behavior.

Dualistic Essentialism: S -> [(the right) conscious experiential processes] -> R
Physicalistic Essentialism: S -> [(the right) physical processes] -> R
Cognitivistic Essentialism: S -> [(the right) computational processess] -> R
Behavioristic Inessentialism: S -> [whatever works] -> R

Dualistic theories propose a conscious experiential essence; physicalistic (or “mind-brain identity”) theories propose a physical (specifically, neurophysiological) essence; and cognitivistic theories a procedural or computational essence. Behaviorism, in contrast, doesn’t care what mediates the intelligent-seeming S -> R connection; behavioristically speaking, intelligence is as intelligence does regardless of the manner of the doing (experiential, neurophysiological, computational, or otherwise). Behaviorism, thus construed, “is not a metaphysical theory: it is the denial of a metaphysical theory” and consequently “asserts nothing” (Ziff 1958: 136); at least, nothing positively metaphysical.

vii. Logical Behaviorism Metaphysically Construed

Logical behaviorism may be seen, in the light of the preceding, as attempting to stipulate nominal essences (Locke 1690: IIiii15) where dualism, physicalism, and cognitivism propose to discover real ones. Further, although the motives of its founders (Carnap and Hempel) were chiefly epistemic or “methodological,” logical behaviorism seemed to many to invite metaphysical exploitation. Because the definitions Carnap and Hempel proposed sought to specify observationally necessary and sufficient conditions for true attributions of the mental terms in what they called “the physical thing language,” the successful completion of this program, it seemed, would reduce the mental to the physical. Mentalistic descriptions of people as “expecting pain” or “having toothaches” would be completely replaceable, in principle and without cognitive loss, by talk of bodily transitions; thoughts and experiences would thus be shown to be nothing above and beyond such bodily transitions; vindicating materialism. As the the methodological emphasis of early analytic philosophy receded and was replaced by more frankly metaphysical concerns among formalist analytic philosophers of mind, it was chiefly this would-be metaphysical application of logical behaviorism that came increasingly under philosophical scrutiny.

2. Objections & Discussion

a. Technical Difficulties

i. Action v. Movement

Ordinary language philosophers were among the first to raise daunting difficulties for the strict translationist program which, they argued, was guilty of a category mistake—or at least of wildly underestimating the impracticability of what they were proposing—in conflating the concepts of action and movement under the heading of “behavior.” As D. W. Hamlyn puts this complaint, “where activity is exhibited, it is not necessarily inappropriate to talk of movements, but it will be so to do so in the same context, in the same universe of discourse”:

With movements we are concerned with physical phenomena, the laws concerning which are in principle derivable from the laws of physics. But the behaviour which we call “posting a letter” or “kicking a ball” involves a very complex series of movements, and the same movements will not be exhibited on all occasions on which we should describe the behavior in the same way. No fixed criteria can be laid down which will enable us to decide what series of movements shall constitute “posting a letter.” Rather we have learnt to interpret a varying range of movements as coming up to the rough standard which we observe in acknowledging a correct description of such behaviour as posting a letter. (Hamlyn 1953: 134-135)

The task of defining mentalistic predications such as “wanting to score a goal” in terms of outward acts—or dispositions to acts—like kicking a ball (Tolman’s “molar behavior”) seems daunting enough; the task of casting the definition in terms of movements or “molecular behavior”—”colorless movements and mere receptor impulses” (Watson), “motions and noises” (Ryle)—seems beyond daunting.

ii. From Paralytics to Perfect Actors

If the mental were completely definable in outwardly behavioral terms—as logical behaviorism proposes—then outward behavioral capacities or dispositions would be necessary for thought or experience. But a complete paralytic, it seems, might still think thoughts (for example, I can’t move), harbor desires (for example, to move) and experience (for example, despairing) sensations. Such possibilities are, on their face, contrary to logical behaviorism. From the logical behaviorist perspective, while such cases may complicate the description of the mental in behavioral terms, they do not seem fatal. It may be replied, for example, that wanting to move is being disposed to move if able and, since the various possible causes of the disability (severed spinal cords, curare poisoning, etc.) are physically specifiable, this envisaged complication is wholly consistent with behaviorist strictures and reductionist hopes. Hilary Putnam’s imagined super-super-spartans (“X-worlders“) are less easily countered. X-worlders (as Putnam called them) “suppress all … pain behavior” by “a great effort of will” for “what they regard as important ideological reasons” (Putnam 1963: 332-334). Like paralytics, these super-super-spartans “lack the behavioral dispositions envisioned by the behaviorists to be associated with pain, even though they do in fact have pain” (Block 1981: 12); but, unlike paralytics, they lack these dispositions for psychological reasons: efforts of will undertaken for ideological reasons—unlike severed spinal cords and doses of curare—would not be physically specifiable and any envisaged complications of the behavioral definitions attempting to build exceptions for these causes would be inconsistent with behaviorist strictures and reductionist hopes. And contrary to the sufficiency of behavior for pain that logical behaviorist definitions would imply, “an exactly analogous example of perfect pain-pretenders shows that no behavioral disposition is sufficient for pain either” (Block 1981: 12: emphasis added).

iii. The Intentional Circle

Among the technical arguments against logical behaviorism, the most influential has been the “intentional circle” argument harking back to Chisholm (1957, ch. 11) and Geach (1957, p. 8): indeed the perfect actor line of counterexamples “flows out of the Chisholm-Geach point” as Block (1981:12) notes. A desire to stay dry, for instance, will dispose you to carry an umbrella only on the condition that you believe it might rain; and, conversely, the belief it might rain will dispose you to carry an umbrella only on the condition that you desire to stay dry. Such Geach-Chisholm type examples show that “which behavioral dispositions a desire issues in depends on other states of the desirer. And similar points apply to behaviorist analyses of belief and other mental states” (Block 1981: 12). While this point is most plain with respect to intentional mental states such as belief and desire, perfect actor examples seem to show it to extend to sensations, such as pain, as well: “a disposition to pain behavior is not a sufficient condition of having pain, since the behavioral disposition could be produced by a number of different combinations of mental states, for example, [pain + a normal preference function] or by [no pain + an overwhelming desire to appear to have pain]” (Block 1981: 15); and, conversely, the dispositions are not a necessary condition since unpained-behavior dispositions might be produced by, for example. [no pain + a normal preference function] or by [pain + an overwhelming desire to appear not to have pain]. “Conclusion: one cannot define the conditions under which a given mental state will issue in a given behavioral disposition” as logical behaviorism proposes “without adverting to other mental states” (Block 1981: 12), which logical behaviorism precludes. Such arguments are widely “regarded as decisive refutations of behaviorist analyses of many mental states, such as belief, desire, and pain” (Block 1981: 13). The “functionalist” doctrine that a mental state is “definable in terms of its causal relations to inputs, outputs, and other mental states” (Block 1980: 257), not to inputs and outputs alone (a la logical behaviorism), also flows directly from the Geach-Chisholm point.

In truth, as Putnam himself notes, whether refutation of the “admittedly oversimplified position” of logical behaviorism refutes behaviorism tout court depends on the extent to which “the defects which this position exhibits are also exhibited by the more complex and sophisticated positions which are actually held” (Putnam 1957: 95). Notably, perfect actor and other would-be thought experimental counterexamples to behaviorism would counterexemplify metaphysical construals which those who have actually held “the more complex and sophisticated positions” at issue, for the most part, explicitly disavow. Also, notably, Ryle’s characterization of intentional mental states (in particular) as multi-track “dispositions the exercises of which are indefinitely heterogenous” (Ryle 1949: 44) seems already to allow for intentional “circularity”: Tolman and Hull-style behaviorism even explicitly embraces it. For refutation of behaviorism tout court to be claimed, cognitivism would be have to be so simply identified with the view that a mental state is “definable in terms of its causal relations to inputs, outputs, and other mental states” that Tolman, Hull, and Ryle, count as cognitivists. That’s too simple. One may agree “that the logically necessary and sufficient conditions for the ascription of a mental state” would have to “refer not just to environmental variables but to other mental states of the organism” (Fodor 1975: 7 n.7)—that mental attributions have to be reduced all together (or holistically) not one by one (atomistically)—yet behavioristically refuse the call for further computational (or physical or phenomenological) constraints on what count as mental states. The “faith that … one will surely get to pure behavioral ascriptions”—motions and noises—”if only one pursues the analysis far enough” (Fodor 1975: 7 n.7) is also behavioristically dispensable. Notably these two tacks have their costs: the first abandons hope for essential scientific characterization of the mental. The second abandons hope for reductionist exploitation of behaviorist ideas on behalf of materialism. So chastened, behaviorism, while defensible, seems, to many, too boring to merit further philosophical bother.

iv. Methodological Complaints

Fodor’s summation of the complaint against against methodological behaviorism is succinct: by it, he maintains, “[p]sychology is … deprived of its theoretical terms” meaning “psychologists can provide methodologically reputable accounts only of such aspects of behavior as are the effects of environmental variables”; but “the spontaneity and freedom from local environmental control that behavior often exhibits” makes “this sort of methodology intolerably restrictive” (Fodor 1975: 1-2). Furthermore, “there would seem to be nothing in the project of explaining behavior by reference to mental processes which requires a commitment to [their] epistemological privacy in the traditional sense” of conscious subjectivity. “Indeed,” Fodor continues, “for better or worse, a materialist cannot accept such a commitment since his view is that mental events are a species of physical events, and physical events are publicly observable, at least in principle” (Fodor 1975: 4): the commitment is to inner computational not inward experiential processes. However, while Fodor 1975 adduces, “failure of behavioristic psychology to provide even a first approximation to a plausible theory of cognition” (Fodor 1975: 8) in support of cognitivist alternatives, Fodor 2000 confesses “that the most interesting—certainly the hardest—problems about thinking are unlikely to be much illuminated by any kind of computational theory we are now able to imagine” (Fodor 2000: 1). As for more isolated or “modular” processes (for example, syntactic processing) where the “Computational Theory of Mind” by Fodor’s lights remains “by far the best theory of cognition that we’ve got; indeed, the only one we’ve got that’s worth the bother” (Fodor 2000: 1) … here, where, in Fodor’s judgment, behaviorism failed “to provide even a first approximation of a plausible theory,” cognitivism may be faulted with producing too many: elaborate theoretical superstructures built on slight observational-experimental foundations reminiscent of Hull’s. Notably, since Chomsky’s watershed “Review of Verbal Behavior by B. F. Skinner” Chomsky himself has held at least four distinct syntactic theories, and his currently fashionable “Minimalist Theory” presently competes with at least five distinct others. (Chomsky’s four theories (in chronological order) have been Transformational Grammar (1965), Extended Standard Theory (1975), Government and Binding (1984), and Minimalism (1995). Competing theories include, notably, Lexical Function Grammar (Bresnan), Head-Driven Phrase Structure Grammar (Sag, Pollard), Functionalism (see Newmeyer), Categorial Grammar (Steedman), and Stratificational Grammar (Lamb).)

b. The Ur-Objection: Consciousness Denied

Behaviorism’s disregard for consciousness struck many from the first, and continues to strike many today, as contrary to plain self-experience and plain common-sense; not to mention all that makes life precious and meaningful. In this vein behaviorism has been “likened to `Hamlet’ without the Prince of Denmark” (Ryle 1949: 328) and behaviorists accused of “affecting general anesthesia” (Ogden & Richards 1926: 23) and made the butt of jokes in the vein of the following (see Ziff 1958):

Q: What does one behaviorist say to another when they meet on the street?
A: You’re fine. How am I?
Q: What does one behaviorist say to another after sex?
A: That was great for you. How was it for me?

In the same vein as John Searle still complains “the behaviorist seems to leave out the mental phenomena in question,” (Searle 1992: 34), E. B. Titchener complained, at the movement’s outset, of behaviorism’s “irrelevance to psychology as psychology is ordinarily understood” (Titchener 1914: 6). On the other hand Titchener’s prediction—that, due to this irrelevance, introspective psychology would continue to flourish alongside behaviorism—with hindsight, seems a bit laughable itself. As Ryle puts it, “the extruded hero,” consciousness, for scientific purposes, “soon came to seem so bloodless and spineless a being that even the opponents of these [behaviorist] theories began to feel shy of imposing heavy burdens upon his spectral shoulders” (Ryle 1949: 328). Ryle’s countercomplaint still rings true today despite recent attempts to revive consciousness as a subject of serious scientific inquiry; or, more to the point especially, in light of such attempts, which all, in one way or another, seek to revive the Wundtian program of correlating introspected experiential with observed neurophysiological events. While it may be urged that the hero was never wholly extruded but has been lurking all along in the caves of psychophysics (for example, in correlations of physical stimulus variations with noticed differences in sensation), recent attempts to extend this psychology-as-psychophysics approach beyond psychophysics remain nascent at best.

“Imagery from Galton on has been the inner stronghold of a psychology based on introspection” (Watson 1913: 421) and here, with regard to direct sensory presentations (for example, afterimages) and sensations (for example, pain)—so-called qualia—the “neglect of consciousness” complaint against behaviorism is most acutely felt; and here it must be confessed that behaviorist replies have been mostly halting and evasive. Watson, confessing, “I may have to grant a few sporadic cases of imagery to him who will not be otherwise convinced” would marginalize the phenomena, insisting, “that the images of such a one are as sporadic and as unnecessary to his well-being and well-thinking as a few hairs more or less on his head” (Watson 1913: 423n.3)—a verdict Ryle deems confirmed. Scientifically, the “extruded hero,” it seems, can neither explanans nor explanandum be. Inward experience seems, scientifically, as nonexplanatory (of intentionality, intelligence, or other features of mind we should like to explain) as it seems itself scientifically inexplicable. Nevertheless, Ryle frankly confesses that “there is something seriously amiss” with his own treatment of sensations (Ryle 1949: 240) and, even, “not to know the right idioms to discuss these matters” in behavioristic good conscience; only hoping, his “discussion of them in the official idioms may have at least some internal Fifth Column efficacy” (Ryle 1949: 201). Still, inward experiences seem just as unaccountable on inner computational grounds as on outward behavioral ones—Kossyln’s 1980 data structural analysis of images as two dimensional data arrays, for example, leaves their qualia still unaccounted for. Behavioristic losses on the count of qualia are, by no means, cognitivistic gains. Cognitivism itself “has been plagued by two `qualia’ centered objections” in particular: the Inverted Qualia Objection that, possibly, for example, “though you and I have exactly the same functional organization, the sensation that you have when you look at red things is phenomenally the same as the sensation that I have when I look at green things” (Block 1980: 257); and the Absent Qualia Objection “that it is possible that a mental state of a person x be functionally identical to a state of y, even though x‘s state has qualitative character while y‘s state lacks qualitative character altogether” (Block 1980: 258).

Methodologically, then, the matter of consciousness remains about where Watson left it, as scientifically intractable as it seems morally crucial and common-sensically inescapable. Unless there is more scientific gold in those psychophysical hills than recently renewed attempts to mine them by Crick (1994) Edelman (1989) and others (see Horgan 1994) suggest, this is apt to be where matters remain for the foreseeable future. Notice, metaphysical dualism (identifying mental events with private, subjective, nonphysical, “modes” of conscious experience) may be held consistently with methodological behavioristic commitment to the explanatory superfluity of such factors by disallowing such events their apparent causal roles in the generation of behavior. Epiphenomenalism denies their causal efficacy altogether. Parallelism just denies their “downward” (mental-to-physical) causal efficacy. It is due, largely, to their reluctance to embrace such drastic expedients as parallelism and epiphenomenalism that, despite recently renewed would-be scientific interest in consciousness, most cognitive scientists and allied analytic philosophers continue to reject metaphysical dualism—remaining true to their metaphysical, along with their methodological, behavioral roots.

The enduring cogency of behaviorism’s challenge to the scientific bona fides of consciousness means that methodologically, at least, there seems no viable alternative to “practically everybody in cognitive science” remaining—if not “a behaviorist of one sort or another” (Fodor 2001: 13-14)—at least, behavioristic in some manner. Cognitive Science killed Behaviorism, they say. Still, Cognitive Science seems entitled to its last name only on condition that it retain a good measure of behavioristic conscience.

3. References and Further Reading

  • Anscombe, G. E. M. Intention. Oxford: Blackwell, 1957.
  • Bergmann, Gustav. Logic and Reality. Madison: University of Wisconsin Press, 1964.
  • Bergmann, Gustav, and Kenneth Spence. “Operationism and Theory in Psychology.” Psychological Review 48 (1964): 1-14.
  • Block, Ned. “Troubles with Functionalism.” First appeared in Perception and Cognition: Minnesota Studies in the Philosophy of Science, Vol. IX. Ed. P. French, T. Uehling, and H. Wettstein. Minneapolis: University of Minnesota Press, 1979. Reprinted in Readings in the Philosophy of Psychology. Ed. N. Block. Cambridge: Harvard University Press, 1980: 268-305.
  • Block, Ned. “Are Absent Qualia Impossible?” The Philosophical Review 89 (1980): 257-274.
  • Block, Ned. “Psychologism and Behaviorism.” The Philosophical Review 90 (1981): 5-43.
  • Bresnan, Joan. Lexical-Functional Syntax. Malden, MA: Blackwell, 2001.
  • Bridgman, P. W. The Logic of Modern Physics. New York: Macmillan, 1927.
  • Burge, Tyler. “Individualism and the Mental.” Studies in Metaphysics: Midwest Studies in Philosophy, vol. 4. Ed. P. French, T. Uehling, and H. Wettstein. Minneapolis: University of Minnesota Press, 1979: 73-121.
  • Carnap, Rudolf. 1932/33. “Psychology in Physical Language.” Erkenntnis 3. Reprinted (in translation by George Schick) in Logical Positivism. Ed. A. J. Ayer. New York: The Free Press, 1959: 165-98.
  • Chalmers, David. The Conscious Mind: In Search of a Fundamental Theory. New York: Oxford University Press, 1996.
  • Chihara, C. S., and Fodor, J. A. “Operationalism and Ordinary Language: A critique of Wittgenstein.” American Philosophical Quarterly 2 (1965): 281-295.
  • Chisholm Roderick. Perceiving: a Philosophical Study. Ithaca: Cornell University Press, 1957.
  • Chomsky, Noam. “Review of Verbal Behavior by B. F. Skinner.” Language 35 (1959): 26-58.
  • Chomsky, Noam. Aspects of the Theory of Syntax. Cambridge MA: MIT Press, 1965.
  • Chomsky, Noam. “Conditions on Transformations.” A Festschrift for Morris Halle. Ed. Stephen R. Anderson and Paul Kiparsky. New York: Holt, Rinehart & Winston, 1973. 232-286.
  • Chomsky, Noam. Lectures on Government and Binding: The Pisa Lectures. Dordrecht Holland: Foris Publications, 1984.
  • Chomsky, Noam. The Minimalist Program. Cambridge, MA: MIT Press, 1995.
  • Clark, Andy. “Reasons, Robots and the Extended Mind.” Mind & Language 16 (2001): 121-145.
  • Crick, Francis. The Astonishing Hypothesis: The Scientific Search for the Soul. New York: Simon and Schuster, 1994.
  • Davidson, Donald. “Actions, Reasons, and Causes.” Essays on Actions and Events. Oxford: Oxford University Press (1980): 3-19.
  • Descartes, Rene. Meditations on First Philosophy. Trans. John Cottingham, Robert Stoothoff and Dugald Murdoch. In The philosophical writings of Descartes, Vol. II. New York: Cambridge University Press, 1984: 1-62. First appeared 1642.
  • Dewey, John. “The Reflex Arc Concept in Psychology.” Psychological Review, 3 (1896): 357-370.
  • Edelman, G.M. The Remembered Present: A Biological Theory of Consciousness. New York: Basic Books, 1989
  • Fodor, Jerry A. The Mind Doesn’t Work that Way. Cambridge, MA: MIT Press, 2000.
  • Fodor, Jerry A. “Language, Thought, and Compositionality.” Mind and Language 16 (2001): 1-15.
  • Geach, P. Mental Acts: Their Content and Their Objects. London: Routledge & Kegan Paul: 1957.
  • Hamlyn, D. W. “Behaviour.” Philosophy 28 (1953): 132-145.
  • Hampshire, Stuart. “Critical Notice of Ryle, The Concept of Mind. Mind 59 (1950): 234: .
  • Hampshire, Stuart. Thought and Action. London: Chatto & Windus, 1959.
  • Hempel, Karl. “The Logical Analysis of Psychology.” Readings in the Philosophy of Psychology, Vol. 1. Ed. N. Block. Cambridge: Harvard University Press, 1980. 15-23. First appeared 1949.
  • Hempel, Carl. “Author’s Prefatory Note, 1977.” Readings in the Philosophy of Psychology, Vol. 1. Ed. N. Block. Cambridge: Harvard University Press, 1980. 14-15.
  • Horgan, John. “Can Science Explain Consciousness?” Scientific American, 271.1 (1994): 88-94.
  • Hull, Clark. Principles of Behavior. New York: Appleton-Century-Crofts, 1943.
  • Hume, David. A Treatise of Human Nature. Online: http://www.socsci.mcmaster.ca/~econ/ugcm/3ll3/hume/treat.html. Originally appeared 1739.
  • James, William. “What is an Emotion?” Mind 9 (1884): 188-205. Online: http://psychclassics.yorku.ca/James/emotion.htm.
  • James, William. “Does `Consciousness’ Exist?” Journal of Philosophy, Psychology, and Scientific Methods 1 (1912) : 477-491. Online: http://psychclassics.yorku.ca/James/consciousness.htm.
  • Kossyln, S. M. Image and Mind. Cambridge, MA: Harvard University Press, 1980.
  • Lamb, Sidney. Pathways of the Brain: The Neurocognitive Basis of Language. Amsterdam: John Benjamins, 1999.
  • Lewis, David. “Psychophysical and Theoretical Identifications.” Australasian Journal of Philosophy 50 (1972): 207-215.
  • Locke, John. An Essay Concerning Human Understanding. Online: http://humanum.arts.cuhk.edu.hk/Philosophy/Locke/echu/index.htm. First appeared 1690.
  • Newmeyer, Frederich J. “The Prague School and North American Functionalist Approach to Syntax.” Journal of Linguistics 37 (2001): 101-126.
  • O’Donohue, William and Richard Kitchener, eds. 1999. Handbook of Behaviorism. San Diego: Academic Press.
  • Ogden, C. K., and I. A. Richards, eds. The Meaning of Meaning. London: Harcourt, Brace, & Co, 1926.
  • Pavlov, I. P. Conditioned Reflexes. London: Oxford, 1927.
  • Place, Ullin T. “Ryle’s Behaviorism.” Handbook of Behaviorism. Ed. William O’Donohue and Richard Kitchener. San Diego: Academic Press, 1999.
  • Pollard, Carl, and Ivan Sag. Head-Driven Phrase Structure Grammar. Chicago: University of Chicago Press, 1994.
  • Putnam, Hilary. “Psychological Concepts, Explication, and Ordinary Language.” Journal of Philosophy 54 (1957): 94-100.
  • Putnam, Hilary. “Brains and Behavior.” Mind, Language, and Reality: Philosophical Papers, Vol. 2: 325-341. Cambridge: Cambridge University Press. First appeared 1963.
  • Putnam, Hilary. “The Meaning of `Meaning’.” Mind, Language, and Reality: Philosophical Papers, Vol. 2: 215-271. Cambridge: Cambridge University Press, 1975.
  • Quine, W. V. “Mind and Verbal Dispositions.” Mind and Language. Ed. S. Guttenplan. Oxford: Clarendon Press, 1975.
  • Quine, W. V. “Comment on Parsons.” Perspectives on Quine. Ed. R. Barrett and R. Gibson. Oxford: Basil Blackwell, 1990. 291-293.
  • Rorty, Richard. Introduction. The Linguistic Turn: Recent Essays in Philosophical Method. Ed. R. Rorty. Chicago: University of Chicago Press, 1967. 1-39.
  • Russell, Bertrand. The Analysis of Mind . New York: Macmillan, 1921.
  • Russell, Bertrand. Philosophy . New York: W. W. Norton, 1927.
  • Ryle, Gilbert. The Concept of Mind. Chicago: The University of Chicago Press, 1949.
  • Searle, John R. The Rediscovery of the Mind. Cambridge, MA: MIT Press, 1992.
  • Searle, John R. The Mystery of Consciousness. Cambridge, MA: MIT Press, 1997.
  • Skinner, B. F. Science and Human Behavior . New York: Macmillan, 1953.
  • Skinner, B. F. Verbal Behavior. New York: Appleton-Century-Crofts, Inc., 1957.
  • Skinner, B. F. 1987. “Behaviourism, Skinner On.” Oxford Companion to the Mind. New York: Oxford University Press.
  • Smith, Laurence D. Behaviorism and Logical Positivism: A Reassessment of the Alliance. Stanford, CA: Stanford University Press, 1986.
  • Steedman, Mark. Surface Structure and Interpretation. Cambridge, MA: MIT Press, 1996.
  • Thorndike, Edward. Animal Intelligence. Online: http://psychclassics.yorku.ca/Thorndike/Animal/chap5.htm. First published 1911.
  • Titchener, E. B. “On `Psychology as the Behaviorist Views it’.” Proceedings of the American Philosophical Society 53 (1914): 1-17.
  • Tolman, Edward. “Cognitive Maps in Rats and Men.” Psychological Review 55 (1948): 189-208.
  • Turing, Alan. “Computing Machinery and Intelligence.” Mind 59 (1950): 433-460. Online: http://www.loebner.net/Prizef/TuringArticle.html.
  • Watson, J. B. “Psychology as the Behaviorist Views it.” Psychological Review 20 (1913): 158-177. Online: http://psychclassics.yorku.ca/Watson/views.htm.
  • Watson, J. B. “Image and Affection in Behavior.” The Journal of Philosophy, Psychology, and Scientific Methods 10 (1913): 421-428.
  • Watson, J. B. “Is Thinking Merely the Action of Language Mechanisms?” British Journal of Psychology 11 (1920): 87-104. Online: http://psychclassics.yorku.ca/Watson/thinking.htm .
  • Wittgenstein, Ludwig. Philosophical Investigations . Trans. G. E. M. Anscombe. New York: Macmillan, 1953.
  • Wundt, Wilhelm. Outlines of Psychology. Trans. Charles Hubbard Judd. Online: http://psychclassics.yorku.ca/Wundt/Outlines/index.htm. First published 1897.
  • Ziff, Paul. “About Behaviourism.” Analysis 18 (1958): 132-136.
  • Zuriff, G. E. Behaviorism: A Conceptual Reconstruction. New York: Columbia University Press, 1985.

Author Information

Larry Hauser
Email: lshauser@aol.com
Alma College
U. S. A.

John Calvin (1509—1564)

calvinOne can scarcely imagine a figure with a greater reputation for disapproval of philosophy than John Calvin. The French expatriate penned some of the most vitriolic diatribes against philosophy and its role in scholastic theology ever written. Thus, in one way, this reputation is rather well-earned, and an article upon Calvin in an encyclopedia of philosophy can be rather brief. However, in another way, Calvin’s consideration, knowledge, and use of philosophy in his own work refutes the obscurantist representation left by a surface-level reading. A closer reading of Calvin’s great work, the Institutes of the Christian Religion, along with his commentaries and treatises demonstrates that instead of denying the importance of philosophy, Calvin generally seeks to set philosophy in what he regards as its proper place. His vehemence stems from his belief that the rationalism of some of the scholastics had displaced God’s wisdom, most securely found in the work of the Holy Spirit in the scriptures, as the pinnacle for knowledge of the divine.

Table of Contents

  1. Biography
  2. Philosophy
    1. Knowledge of Philosophy
    2. Epistemology
    3. Influence
  3. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Biography

John Calvin, (1509-1564) was born in Noyon, the son of a notary, Gerard Cauvin, and his wife, Jeanne LeFranc. Although Calvin’s father displayed no particular piety, his mother is recorded as having taken him to visit shrines, and on one such occasion he is supposed to have kissed a fragment of the head of St. Ann. Calvin was the fourth of five sons in a family that was definitely not of the aristocracy. Normally, this would have worked against his chances of receiving a thorough education,but through the good fortune of his father’s professional relationship to a family of the local nobility, he received a private education with that family’s children. Having distinguished himself at an early age, Calvin was deemed worthy of receiving the support of a benefice, a church-granted stipend, at the age of 12, so as to support him in his studies. Although normally benefices were granted as payment for work for the church, either present or in the future, there is no record that Calvin ever performed any duties for this position. Later on he held two more benefices, for which he also did no work. Thus supported by the Church, at age 14, Calvin was enrolled at the College de la Marche in the University of Paris, though he quickly transferred to the College de Montaigu.

In Paris, Calvin first came into contact with the new humanistic learning while preparing for a career as a priest,. Though all the contacts which Calvin made cannot be traced, it seems clear that he met many of the leading humanists of his day. Calvin earned his masters degree at the age of 18. However, he did not proceed with his original plan to prepare for a clerical career. Gerard Cauvin, recently excommunicated in a dispute with the cathedral chapter at Noyon, ordered his son to enroll instead at Orleans in the law faculty. Calvin obeyed, and applied himself, finishing his doctorate in law sometime before 14 January 1532. In that same year, his first published book appeared, a commentary on Seneca’s De Clementia. Significantly, it contains no overt evidence of an awareness of, let alone a preoccupation with, the contemporary events in the religious world.

Around 1533, Calvin experienced a “subita conversione,” a sudden conversion. As Calvin is notoriously reticent about revealing his personal life, his writings do not grant much insight as to the exact time or cause of this event. Ganoczy relates it to the prosecution of Cop for heresy, during which Calvin fled Paris, and at which time his apartment was searched and his papers confiscated. In any case, on May 4, 1534, he appeared in Noyon, and surrendered his clerical benefices. Probably from that point on, Calvin no longer had a personal attachment to the church of Rome.

Writing rapidly, Calvin finished the first edition of his Institutes of the Christian Religion in 1536. It enjoyed a wide popular demand, and the original supply was exhausted within a year. Instead of simply reprinting it, Calvin revised it, and the edition of 1539 expanded substantially the original work. This would be Calvin’s pattern throughout the subsequent Latin editions of 1543, 1550, and 1559. French editions were printed in 1545 and 1560, and Calvin’s French is easily as influential as Luther’s German for the formation of the modern vernacular. Each Latin edition was a rearrangement of earlier material, as well as the addition of new components. If this had been the sole gift from Calvin’s pen, it might seem enough. But Calvin also wrote commentaries on almost every book of the Bible, issued numerous tracts, and preached almost every day in Geneva.

Geneva was to be Calvin’s triumph and tribulation. In 1536, Guillaume Farel shamed Calvin into sharing the leadership of Geneva. This period of Calvin’s life lasted until the city council threw him out in April of 1538. Calvin was too rigid for their taste. He settled in Strasbourg, and pastored a congregation. It was here that he began his other life work: commenting upon the books of the Bible. Beginning with the Romans commentary, written at least partially and published in Strasbourg in 1540, Calvin would comment upon most of the books of the scripture. However, Geneva called him back in 1541. Calvin, believing that Geneva was his particular call, returned. He was to live there, alternately supporting and berating the council, until his death in 1564. It was in this period that Calvin made his other great contribution to the Church, preparing, and then forcing the city council to ratify, his Ecclesiastical Ordinances of the Church of Geneva. In this, all the principles of Reformed polity are found. In 1564, debilitated by a series of illnesses, Calvin died in Geneva. By the terms of his will, he was buried in an unmarked grave, so as to avoid any possibility of idolatry.

Calvin’s thought is marked by a constant dialectic between the perspective of a wholly pure and good creator (God) and the corrupted created being (humanity). His anthropology and soteriology shows his dependence on Augustine, with the will being somewhat limited in human application, and powerless to effect change in its status vis-à-vis salvation. However, Calvin balances that with a hearty emphasis on human response to God’s love and mercy in the created order, by correct action both in the human world and the world of nature.

2. Philosophy

a. Knowledge of Philosophy

Given Calvin’s occasional antipathy for philosophers, it is all too tempting to dismiss him as someone who knew very little philosophy, striking out at that which he did not know. However tempting that may be, it simply is untrue. In the Institutes, his treatises, and the commentaries, Calvin continually demonstrates a familiarity with both general and specific philosophical knowledge which seems to have been gained through his own study of their writings. What seems most significant about Calvin’s use of philosophy is that in general, he refuses to accept a philosophical system. Instead, he considers philosophy as the history of human wisdom’s attempt to search out answers to the questions of human existence. Thus, philosophers and their theories become paradigms for consideration, rather than structures for the organization of thought.

Hence, Calvin’s effort at using philosophy must be understood as part of his humanism, rather than a tool of the coherence of systematization of his thought. Calvin placed logic in the curriculum of the Genevan Academy. He could illustrate faith with the four-fold causality of Aristotle. He can use the thoughts of the philosophers as aids to training the mind, and believed that not many pastors, and certainly no doctor of the church could be ignorant of philosophy. However, that respect lived in constant tension with his irritation at the efforts of philosophy (and philosophers) at exceeding their proper place.

b. Epistemology

As noted, Calvin can seem overly harsh about philosophy. Concerning the knowledge of God, Calvin states that it is at this point that it becomes clear “how volubly has the whole tribe of philosophers shown their stupidity and silliness! For even though we may excuse the others (who act like utter fools), Plato, the most religious of all and the most circumspect, also vanishes in his round globe.” (Institutes of Christian Religion I.v.11) Calvin finds that even the most wise philosophers do not compare to the “sacred reading,” which has within itself the power to move the very heart of the reader. (ICR I.viii.1) The power of the scripture is that it carries the gospel, ensured by the Holy Spirit’s presence, so that its words can transport the soul. God’s purpose, Calvin states, in the scriptural teaching of his infinite and spiritual essence, is to refute even subtle speculations of secular philosophy. (ICR I.viii.1) Even those who have attained the intellectual first rank, cannot reach the eminence which is natural to the Gospel. (Commentary on I Corinthians 2.7).

However, Calvin is not anti-philosophical, hating the works of philosophers and philosophy in general. If so, would he have required logic in the Genevan Academy? Rather, he wished to turn the question of wisdom and philosophy clearly towards obedience to Christ. Thus, in the commentary on I Corinthians, Calvin writes that

“For whatever knowledge and understanding a man has counts for nothing unless it rests upon true wisdom; and it is of no more value for grasping spiritual teaching than the eye of a blind man for distinguishing colours. Both of these must be carefully attended to, that (1) knowledge of all the sciences is so much smoke apart from the heavenly science of Christ; and (2) that man with all his shrewdness is as stupid about understanding by himself the mysteries of God as an ass is incapable of understanding musical harmony.”

The interesting point about this passage is that Calvin is neither denigrating human philosophy, nor human reason. He is, rather, discussing what the true purpose of that knowledge or understanding should be, and what the real foundation of human knowledge is. Here, Calvin is not moving back to an Aristotelian self-evident principle; his foundation is instead true wisdom. For Calvin, the phrase “true wisdom” (vera sapientia) hearkens immediately to the beginning sentence of the Institutes. (ICR I.i.1) It was that basis of “true and sound wisdom” (vera ac solida sapientia) which Calvin was seeking, the only place from which epistemology could be safely grounded. Reason, and the fruits of reason, have their place. However, that place does not command a privilege over revealed wisdom.

This instrumental view allows Calvin to give high praise to the fruits of reason. Human reason can even occasionally ascend to consider the truths which are more properly above its grasp, but cannot provide the necessary controls to make sure that its investigations are carefully and correctly considered. “Reason is intelligent enough to taste something of things above, although it is more careless about investigating these.” (ICR II.ii.13). Calvin divides reason, giving it various depths of penetration according to its subject matter. He could write “this then, is the distinction: that there is one kind of understanding of earthly things; another of heavenly. I call ‘earthly things’ those which do not pertain to God or his Kingdom, to true justice, or to the blessedness of the future life; but which have their significance and relationship with regard to the present life and are, in a sense, confined within its bounds.” (ICR II.ii.13)

Thus, Calvin is simply fulfilling his own division when he comments from I Corinthians 3 that “The apostle does not ask us to make a total surrender of the wisdom which is either innate or acquired by long experience. He only asks that we subjugate it to God, so that all our wisdom might be derived from His Word.” (Commentary on I Corinthians 3.18). Calvin is wishing, quite explicitly, to consider the various arts as maid-servants. He cautions against making them mistresses.

There can be no doubt that Calvin made this move for at least two reasons. The first is that for Calvin, the effects of sin are far more drastic than for some other Christian thinkers. Sin has corrupted not only the will, but also the intellect. After the introduction of sin into the world, human possibility is radically limited, and no un-aided intellect, not even the sharpest, will be able to penetrate into the mysteries of God’s truth and God’s current will for humanity.

As important as that insight is another which many have failed to grasp. Calvin’s theology involves a radical notion of God’s accommodation to human capacity, or more truly, human frailty. Even before the Fall, humans were only able to know God because of God’s self-disclosure; humans were only able to please God because of God’s prior guidance in the form of rules. There was never a moment when humans were able truly to initiate either the knowledge of God or the movement toward God. That is immeasurably more true after the establishment of sin in the world, and its effects. Calvin thus dismisses all efforts at going beyond the scriptures (and a great deal of classical metaphysics), as pure speculation, both wrong and sinful.

c. Influence

Perhaps strangely, Calvin’s legacy on the subordinate position of philosophy in the search for divine truth is neither clear, nor lasting. During his own lifetime, Genevan theologians such as Theodore Beza were far more sanguine about grasping the tools of scholastic theology and philosophy, and seem to have been moving away from that hierarchy upon which Calvin insisted. Within the next century, some of the foremost Protestant scholastic theologians would teach at the Genevan Academy, or at least have their ideas taught there.

A modern theological and historiographical struggle exists over what that change entails, and what its significance must be. Some, like Brian G. Armstrong, have argued that this shift towards scholastic models of thought represent an inevitable shift in the content of Reformed theology, and thus a falling away from Calvin’s theological project. Others, notably Richard Muller, have contended that there was not an original time without scholastic theology, and that scholastic method is content neutral. In any case, what is clear is that by the mid-17th century, the caution which Calvin so frequently expressed about the use of philosophy, had been lost. With its loss came the loss of Calvin’s distinctive appropriation of philosophy.

3. References and Further Reading

a. Primary Sources

  • Opera Quae Supersunt Omnia. 59 volumes. Edited by Wilhelm Baum, Edward Cunitz, & Edward Reuss. Brunswick: Schwetschke and Sons, 1895.
    • Still the standard edition of Calvin’s works.
  • Opera Selecta. 5 volumes. 3rd ed. Edited by Peter Barth and Wilhelm Niesel. Munich: Christian Kaiser, 1967.
    • Almost as frequently cited as the Calvini Opera.
  • Ioannis Calvini Opera Exegetica. Various editors. Geneva: Droz, 1992-.
    • This represents a modern effort to provide true critical editions of Calvin’s exegetical works, the first volumes present fine texts.
  • Registres du Consistoire de Genève au Temps de Calvin. Tome I (1542-1544). Edited by Thomas A. Lambert and Isabella M. Watt. Geneva: Droz, 1996.
    • Along with later volumes, this allows a far greater contextualization of Calvin than previously possible.
  • Institutes of the Christian Religion. 2 volumes. Translated by Ford Lewis Battles, edited by John T. McNeill. Library of Christian Classics. Philadelphia: Westminster Press, 1960.
    • The standard English translation of Calvin’s final Latin edition of the Institutes.
  • Calvin’s Commentaries, translated by the Calvin Translation Society, 1843-1855; reprint, Grand Rapids, Michigan: Baker, 1979, 22 volumes.
    • A usable translation of Calvin’s commentaries.
  • Calvin’s New Testament Commentaries, 12 volumes. Edited by David W. Torrance and Thomas F. Torrance. Grand Rapids: Eerdmans, 1960.
    • Probably the most widely read edition of Calvin’s New Testament commentaries.
  • Calvin’s Old Testament Commentaries, Rutherford House Translation, ed. D. F. Wright. Grand Rapids, Michigan: Eerdmans, 1993-.
    • A fine new translation of Calvin’s Old Testament Commentaries.

b. Secondary Sources

  • Bieler, Andre. The Social Humanism of Calvin. Translated by Paul T. Fuhrmann. Richmond: John Knox Press, 1961.
    • An important work on Calvin’s social ethic.
  • Bouwsma, William. John Calvin: A Sixteenth Century Portrait. Oxford: Oxford University Press, 1988.
    • A widely cited, controversial reconstruction of Calvin’s thought from a psychological framework.
  • Breen, Quirinus. John Calvin: A Study in French Humanism. 2nd ed. New York: Archon Books, 1968.
    • A helpful engagement of Calvin’s work as humanism.
  • Cottret, Bernard. Calvin: A Biography. Translated by M. Wallace McDonald. Grand Rapids: Eerdmans, 2000.
    • The newest biography of Calvin, written from a historian’s viewpoint, and supplying rich contextual detail for consideration of Calvin’s influences.
  • Davis, Thomas J. The Clearest Promises of God: The Development of Calvin’s Eucharistic Teaching. New York: AMS Press, 1995.
    • The clearest setting out of Calvin’s eucharistic teaching and its development.
  • Dowey, Edward A. Jr. The Knowledge of God in Calvin’s Theology. 3rd ed. Grand Rapids, MI: Wm. B. Eerdmans, 1994.
    • Essentially unchanged from its appearance in 1952, still indispensable for its categories and its vital grasp of the Reformer’s thought.
  • Gamble, Richard C. Articles on Calvin and Calvinism, 9 vols. New York: Garland Publishing Co., 1992.
    • Gathers together most of the significant articles on Calvin, other fine collections exist, but this is the most comprehensive.
  • Ganoczy, Alexandre. The Young Calvin. Translated by David Foxgrover and Wade Provo. Philadelphia: Westminster Press, 1987.
    • The best biography and tracing of Calvin’s early influences.
  • Kingdon, Robert. Geneva and the Coming of the Wars of Religion in France, 1555-1563. Geneve: Librairie E. Droz, 1956.
    • This seminal work demonstrated the importance of solid historical work to undergird any effort at understanding Calvin’s world.
  • McGrath, Alister E. A Life of John Calvin: A Study in the Shaping of Western Culture. Cambridge, MA: Blackwell Publishers, 1990.
    • A standard biography of Calvin.
  • Millet, Olivier. Calvin et la dynamique de la parole: Etude de Rhétorique réformée. Geneve: Editions Slatkine: 1992.
    • Not yet translated, but too important to leave off the list – this magisterial work opens new vistas of research into rhetoric, the early use of theological French, and Calvin’s linguistic skills.
  • Muller, Richard. The Unaccommodated Calvin: Studies in the Foundation of a Theological Tradition. Oxford: Oxford University Press, 2000.
    • A conscious effort at returning Calvin studies toward the texts and thought-worlds of the sixteenth century.
  • Naphy, William. Calvin and the Consolidation of the Genevan Reformation. Manchester: Manchester University Press, 1994.
    • One of the best works for understanding Calvin’s Geneva.
  • Parker, T.H.L. Calvin’s New Testament Commentaries. 2nd ed. Louisville: Westminster/John Knox Press, 1993.
  • Calvin’s Old Testament Commentaries. Edinburgh: T. & T. Clark, 1986.
    • Together, these two volumes serve as a fine introduction to Calvin’s major life work – the exposition of the scripture.
  • Partee, Charles. Calvin and Classical Philosophy. Leiden: E. J. Brill, 1977.
    • Probably the best place to begin in considering Calvin’s knowledge of Greek and Latin philosophy.
  • Schreiner, Susan E. The Theater of His Glory: Nature and the Natural Order in the Thought of John Calvin. Studies in Historical Theology. Durham: Labyrinth Press, 1991.
    • The best textually-argued source for considering Calvin’s appropriation of the created order.
  • Steinmetz, David. Calvin in Context Oxford: Oxford University Press, 1995.
    • This set of essays argues convincingly for understanding Calvin always within the stream of tradition he inherited.
  • Thompson, John. The Daughters of Sarah: Women in Regular and Exceptional Roles in the Exegesis of Calvin, His Predecessors, and His Contemporaries. Geneve: Librairie Droz, 1992.
    • Demonstrates the promise of considering new questions through solid history of exegetical models.
  • Wendel, François. Calvin: Origins and Development of His Religious Thought. Translated by Philip Mairet. Durham, NC: Labyrinth Press, 1987.
    • Originally published in 1963, this introduction is still widely cited.
  • Zachman, Randall C. The Assurance of Faith: Conscience in the Theology of Martin Luther and John Calvin. Minneapolis: Fortress Press, 1993.
    • A sensitive study of how the different grasp of a critical concept led to quite different outcomes in the thought of two giants of the Reformation.

Author Information:

R. Ward Holder
Assistant Professor of Theology
St. Anselm College
U. S. A.

Critias (460—403 B.C.E.)

CritiasCritias, son of Callaeschrus, an Athenian philosopher, rhetorician, poet, historian, and political leader, was best known for his leading role in the pro-Spartan government of the Thirty (404-403 BC). But Critias also produced a broad range of works and was a noted poet and teacher in his own time. The fragments of three tragedies and a satyr play, a collection of elegies, books of homilies and aphorisms, a collection of epideictic speeches, and a number of constitutions of the city-states both in poetry and prose all have been passed down in the works of later authors. In spite of arguments over the authorship of certain works ascribed to him and the brevity of the fragments, few other classical Greek writers present such a breadth of literary output. Critias, the political figure, author, and philosopher, stands as one of the most controversial and enigmatic figures of fifth-century BC Athens.

Critias’ one significant and original contribution appears to have been a clear distinction between perception through the senses (aisthanomai) and understanding through the mind (gnômê). While there are indications that others (e.g., Empedocles and Heraclitus) may have shared in this differentiation, Critias’ statement is the earliest extant. Apart from this one exception, Critias does not appear to have been an original thinker.

Critias commented that “if you yourself were trained, so that you were sufficient in mind (gnômê), you would thus be least wronged by your own (senses)” (fr. 40). In this statement Critias appears to be in agreement with Protagoras and many other of his contemporaries in the sophistic idea that excellence is teachable. He was furthermore a materialist in his beliefs about the soul and its role in perception. Aristotle and later writers report that Critias believed that the soul (psychê) was the blood, and, in agreement with Empedocles, that the blood around the heart was the seat of perception (noêma) (fr. 23).

Table of Contents

  1. Life
  2. Political Career
  3. Ancient Perspectives on Critias
  4. Relationship with Socrates
    1. Philosophical Views
    2. Distinction Between Sense and Understanding
    3. Views on Law and Morals
  5. Drama and Poetry
  6. Rhetoric
  7. Writings
  8. References and Further Reading

1. Life

Critias’ first certain appearance in the historical record is as an alleged participant in the mutilation of the herms in 415 BC. Critias was released on the testimony of Andocides (On the Mysteries 47) in the course of the investigation of the crime, and nothing further is known of his involvement in the matter. There are also sporadic references to Critias’ participation in some of the major events of the last years of the Peloponnesian war. Whether he was a participant in the oligarchic reign of the Four Hundred in 411 BC is uncertain. He posthumously prosecuted Phrynicus, the radical oligarch and ringleader of the Four Hundred (Lycurgus, Against Leocrates 113) after the regime’s collapse in 410 BC.

2. Political Career

In the years that followed, Critias was actively involved in politics as an associate of Alcibiades. Critias proclaims in one of his elegiac poems that he proposed Alcibiades’ return from exile, probably around 408 BC (fragments 4 and 5). With the turn of Athenian popular opinion against Alcibiades, Critias probably followed Alcibiades into exile in 406 BC. During this time Critias became involved in an insurrection in Thessaly, but nothing certain is known of his activities there, apart from Theramenes’ enigmatic statement that Critias was “with Prometheus setting up a democracy and arming the peasants against their masters” (Xenophon, Hellenica 2.3.36). Too little is known of Thessalian history at that time to ascertain whom “Prometheus” was, or to determine the nature of any alleged “democratic” revolution in which Critias may have been involved.

Upon his return from exile in the spring of 404 BC, Critias was one of the “five ephors” who led the various oligarchic factions of post-war Athens (Lysias, Against Eratosthenes 43). Critias was also a leading member of the Thirty, whose brutal reign of terror in 404/403 BC was vividly depicted by Xenophon (Hellenica, Book 2). The reign of terror unleashed by the Thirty saw summary executions, property confiscations, and the exile of thousands of Athenian sycophants, democrats, and metics. Even Theramenes, one of the founding members of the Thirty, was executed without a trial after he dared to openly oppose Critias. Another apparent victim of the Thirty was the still-exiled Alcibiades, who remained in his fortified estates in Thrace. According to the report of Alcibiades’ later biographers-Cornelius Nepos (Alcibiades 10) and Plutarch (Alcibiades 38.5)-it was his old supporter and fellow Socratic companion Critias who gave the assassination order in 403 BC.

There are indications that Critias had some degree of personal control over the Athenian cavalry class and over the Eleven, who acted as executioners (Xenophon, Hellenica 2.4.8). Critias also appears to have been the guiding force behind the more extreme elements of the Thirty as well as their unquestioned leader after the execution of Theramenes in 403 BC. He also appears to have been one of the chief law-givers of the oligarchy (Xenophon, Hellenica 2.3.49).

Whatever plans that Critias and the Thirty had for the establishment of a new oligarchic regime in Athens were abruptly halted by the military successes of a group of pro-democratic exiles led by Thrasybulus at the Athenian border post at Phyle and in the port town of Piraeus. On a single day in May of 403 BC, in a pitched battle between the forces under the command of Thrasybulus and Critias and the supporters of the Thirty, the mastermind of the oligarchic movement fell. At that time, Critias, commander of the phalanx, opted for a deep line of fifty shields for his hoplites. The members of the Thirty themselves stood in the front ranks on the extreme left of the phalanx. Far from shunning the violent danger of the battlefield, Critias positioned himself in the left-most corner of the line. However, the arrangement of the phalanx in a deep column failed, the fighting bloody and costly. Critias was among the more than seventy who fell (Xenophon, Hellenica 2.3.11-13). Critias’ death left the remaining members of the Thirty and the Three Thousand leaderless and in confusion. Attempts at a new oligarchic government failed and the democracy was restored soon afterwards.

A memorial was later erected to Critias and the Thirty depicting a personified Oligarchy carrying torches and setting Democracy on fire. An inscription on the monument’s base, as recorded by a scholiast, read: “This is a memorial of those noble men who restrained the hubris of the accursed Athenian Demos a short time” (scholiast on Aeschines, Against Timarchus 39). The price of this “restraint” was the lives of at least 1,500 Athenians (Aristotle, Constitution of the Athenians 35.4).

As Plato admits in his Seventh Letter, the extreme behavior of his second cousin Critias-along with another cousin, Charmides, the leader of the Ten who governed the Piraeus during the rule of the Thirty-effectively ended any thoughts he had previously entertained about a future political career (Plato, Seventh Letter 324d).

3. Ancient Perspectives on Critias

Xenophon characterized Critias as a ruthless, amoral tyrant, whose crimes would eventually be the cause of Socrates’ death. This negative view of Critias was continued by Philostratus, who called him “the most evil… of all men” (Lives of the Sophists 1.16). On the other hand, Plato’s portrayal of his second cousin, Critias, in four dialogues (Lysis, Charmides, Critias, and Timaeus) presents Critias as a refined and well-educated member of one of Athens’ oldest and most distinguished aristocratic families and as a regular participant in Athenian philosophical culture.

Although these portrayals differ, they are not mutually exclusive. Critias’ family was among the most prominent of the old aristocratic Eupatrid clans that had ruled Athens before the advent of the democracy. No fewer than four of his direct ancestors had held the eponymous archonship (the highest office of the Athenian state)–one, a certain Dropides, in 645/644 BC. Solon was among his famous relatives (Plato, Charmides 155a), and both Solon and the poet Anacreon reportedly praised Critias’ ancestors in their poems (Plato, Charmides 157e and Solon, fr. 22 in Iambi et Elegi Graeci. 2nd ed. M.L. West, ed. Oxford 1992).

Although the literary tradition lacks detailed evidence about Critias’ youth, his biographer Philostratus (Lives of the Sophists 1.16) says that Critias’ “formal education was the of the most noble sort,” and Athenaeus (Deipnosophistae 4.84d) notes that his training as a flutist made him famous in his youth. A fragment of a dedication for two victories at the Isthmian games and two victories at the Nemean games in 438 BC by a [Critia]s, son of Callaeschrus, remains (IG I3 1022), but the restoration of the name remains uncertain. It does seem clear that Critias excelled in two of the most important elements of traditional Athenian education: music and athletics.

If Plato accurately reports the characters of historical figures in his dialogues–though surely in fictionalized situations that suited his philosophical ends–then perhaps these dialogues provide glimpses into Critias’ character and behavior. In Plato’s Protagoras, set in 433 BC, Critias appears among the leading sophists–Protagoras, Hippias, Prodicus, and Socrates–and the educated elite of Athens. In the Protagoras, Critias takes part in the dialogue alongside Alcibiades. This pairing is perhaps ironic, since Xenophon records that Athenian anger at the reckless and destructive behavior of Critias and Alcibiades, both associates of Socrates, was the real reason behind the execution of Socrates in 399 BC (Memoirs of Socrates 1.2.12). It is noteworthy that Critias’ only contribution to the philosophical discussion is a plea to the participants to be impartial and fair at a point in which those present increasingly appear either in favor of Socrates or Protagoras. In contrast to Xenophon’s portrayal of Critias as a ruthless tyrant, Plato’s presentation of Critias as a moderating force is a remarkable counterpoint.

Critias’ more substantial role in the Charmides, which opens with the return of Socrates from Potidaea in 432 BC, provides an equally stark contrast to the negative depiction of Xenophon and others. The dialogue centers on the meaning of sophrosyne (self-control), which Charmides–clearly following the lead of his cousin and guardian Critias–defines for Socrates at one point as “minding one’s own business” (Plato, Charmides 161b). Although this particular definition is abandoned in the discussion described in Charmides itself, it reappears in an expanded form as the ultimate meaning of dikaiosyne (justice) in the Republic (433a-b): “that each individual must act in the affairs of the city as each is best fitted by nature to do.” This definition of justice (dikaiosyne) is, of course, held by Plato to be the highest virtue and is central to his utopian conception of the ordering of the various social and political classes of the ideal state.

Critias is also a principal character in both the Timaeus and the Critias, which are set on the day after the events recorded in the Republic in 421 BC. Critias relates the story of Atlantis and its fabled war with Athens some 9,000 years earlier. He had heard this tale from his homonymous grandfather, who, in turn, had heard it from his relative the lawgiver Solon. The story, which Plato has Critias say was preserved by Egyptian priests, presents an idealized portrait of an ancient Athens that matches remarkably well the features of the utopian state described in the Republic. What is significant is that Plato has chosen Critias as the reporter of the Atlantis myth. By doing this Plato invests his second cousin with heightened importance as a man who knew the history of a past age, a time when governments resembled the utopia of the Republic and not the imperfect systems of fourth-century BC Greece.

4. Relationship with Socrates

Among the laws drafted by Critias was an edict forbidding “instruction in the art of words” (Xenophon, Memoribilia 1.2.31). Xenophon reports that Socrates responded with a sarcastic reply: “if someone was a herdsman and made his cattle fewer and more poor, would he not agree that he was a bad herdsman; yet it is a great wonder, if someone was a leader of a city and made his citizens fewer and poorer, that he would not be ashamed nor think himself a bad leader of a city” (Xenophon, Memoribilia 1.2.32). Although it is the relationship between Critias and his former teacher that Xenophon wants to deny, it is Charicles who threatens Socrates with punishment if he does not desist from making statements against the regime (Xenophon, Memoribilia 1.2.37-38). Critias remains in the background of the conversation, making only a withering remark about the philosopher’s affinity for “tanners, craftsmen, and bronze workers” (Xenophon, Memoribilia 1.2.37). In another tête-a-tête, Socrates crudely upbraids a lovestruck Critias for his apparently overzealous attraction to a handsome youth named Euthydemus by saying that he was rubbing against the young man “like a little pig scratching itself against a rock” (Xenophon, Memoribilia 1.2.29-30). These vignettes of Socrates and Critias are both amusing and make a point: Critias and Socrates knew each other, but also were often at odds with one another.

Despite the threats and obvious tension between the two, Socrates survived the terror and the subsequent civil war. Perhaps it was at Critias’ insistence that Socrates’ insubordinate behavior was overlooked during the terror. Whatever the reason, it is clear from the events of Socrates’ trial in 399 BC and the scattered rebukes in fourth- and third-century BC literature that the attachment between Critias and the philosopher held fast in the popular mind (e.g., Xenophon, Memoribilia 1.2.12; Aeschines, Against Timarchus 173; and comic fragment 3:122 in T. Kock, ed. Comicorum Atticorum Fragmenta. Teubner 1880-1888).

a. Philosophical Views

Although the tragic events of the last year of Critias’ life have left a vivid picture of a radical and brutal politician, it is important to remember that Critias was also a regular and leading participant in Athenian philosophical culture. As a scholiast on Plato’s Timaeus (20a) notes: “he was called an amateur among philosophers, and a philosopher among amateurs.” Here the term “amateur” clearly refers to Critias’ aristocratic background in the sense that aristocrats by nature are “amateurs”–or perhaps more accurately “those who do not take money for their work.”

While little remains of Critias’ philosophical writing, numerous quotations by later writers attest to multiple works on a variety of topics. Unfortunately, these fragments reflect neither a comprehensive nor a thorough understanding of his philosophy. Enough remains, however, to understand something of his practice as a philosopher, his epistemology, his conception of the soul, and his ethics.

Much of his philosophical teaching appears to have been presented in multiple books of Homilies and Aphorisms. It is tempting to imagine that the Homilies (which may be understood either as “lectures” or “conversations”) may have represented an early form of the dialogue, but an insufficient number of fragments survive to give a clear picture of their literary character. If Critias’ Homilies were indeed in dialogues, he may have influenced his cousin Plato in his choice of an innovative literary form for the presentation of philosophy.

b. Distinction Between Sense and Understanding

Critias’ one significant and original contribution appears to have been a clear distinction between perception through the senses (aisthanomai) and understanding through the mind (gnômê). While there are indications that others (e.g., Empedocles and Heraclitus) may have shared in this differentiation, Critias’ statement is the earliest extant. Apart from this one exception, Critias does not appear to have been an original thinker.

Critias commented that “if you yourself were trained, so that you were sufficient in mind (gnômê), you would thus be least wronged by your own (senses)” (fr. 40). In this statement Critias appears to be in agreement with Protagoras and many other of his contemporaries in the sophistic idea that excellence is teachable. He was furthermore a materialist in his beliefs about the soul and its role in perception. Aristotle and later writers report that Critias believed that the soul (psychê) was the blood, and, in agreement with Empedocles, that the blood around the heart was the seat of perception (noêma) (fr. 23).

A fragment of Critias’ tragedy Perithus illustrates more clearly the point of these fragments: “A noble character (chrêstos tropos) is more credible than law, for no orator can overcome it…” (fr. 22) As M. Untersteiner has argued, Critias believed that “the concrete manifestation of gnômê is realized in tropos, ‘character,’ where the idea of will and decision is included in the very root of the term.” An example of Critias putting his philosophical beliefs into practice may be found in the showdown with his political rival Theramenes before the other members of the Thirty and the Athenian councilors. At the very moment that Theramenes seems to be swaying the audience, Critias steps forward and says: “I believe the business of a leader should be that if he sees his comrades being deceived, he should not permit it.” Then, backed up by an armed bodyguard, Critias summarily sentences Theramenes to death and has him dragged from the altar in the council chamber (Xenophon, Hellenica 2.3.51).

c. Views on Law and Morals

Critias believed that law, order, and the divine are merely human creations that function as tyrants over humanity–thus, morality is relative to the individual and a trained, noble character should be regarded as superior to any law. This ethical preference for the educated individual over human law occurs in several of the other fragments of his work, but is best illustrated in the fragment from the satyr play Sisyphus, which is attributed to Critias. Authorship of the play continues to be disputed by scholars, but there is nothing in the one surviving fragment (fr. 25) that cannot be paralleled either in the other fragments or in what is known of Critias’ beliefs. In the play Critias describes the invention both of law and the gods by a clever and wise man (puknos kai sophos anêr) who wished to deceive and control the rest of humanity through fear of supernatural powers. If law and the gods are a human construct, it follows that they are no match for the learned individual. Although the quotation is clearly meant to be spoken by Sisyphus, who was condemned by the gods for his impious acts, the second-century AD medical doctor and skeptic Sextus Empiricus quotes this passage as evidence of Critias’ atheism.

Additional circumstantial evidence for Critias’ atheism may be found in his open blasphemy toward the gods at the climax of the condemnation of his political rival Theramenes (Xen. Hell. 2.3.52-55). Having taken refuge atop the sacred altar in the council house, Theramenes calls Critias and his followers “the most unholy of men.” At Critias’ behest, the herald orders the Eleven to drag Theramenes from the altar, and he is carried off to his execution “beseeching the gods to witness these events.”

5. Drama and Poetry

Apart from the surviving fragments of the plays and the elegiac and hexameter poetry attributed to him, nothing is known about Critias’ work as a playwright and poet. Only a single quote from the Tennes survives, the end of a hypothesis of the Rhadamanthys remains along with three brief fragments, and some nine fragments are extant from his Pirithous. A substantial fragment from the satyr play, Sisyphus, (discussed above) also remains.

In the sole surviving fragment of his hexameters, Critias celebrates the sixth-century BC poet Anacreon, who was reputed to be the lover of Critias’ homonymous grandfather (fr.1). This fragment also contains the earliest reference to the kottabos game, a favorite sport at aristocratic symposia; another fragment in elegaic couplets further records the Sicilian origins of the game (fr. 2). Critias’ apparent love for this drinking game, which included a brief prayer for one’s younger lover, is undoubtedly behind Theramenes’ famous last words at his execution in 403 BC. After having been compelled to drink hemlock, Theramenes reputedly tossed the dregs from his cup and in clear imitation of kottabos practice said: “This to Critias the fair” (Xenophon, Hellenica 2.3.56).

Two fragments of Critias’ elegies honor Alcibiades (fragments 4 and 5). One of the fragments, in fact, states emphatically that it was Critias who proposed the successful motion for Alcibiades’ return from exile (fr. 5).

Another brief pentameter line records the axiom: “More men are good from practice, than from nature” (fr. 9). The axiom fits well what is known of Critias’ emphasis on training in the building of character, but is perhaps striking when his own aristocratic pedigree is considered.

The remaining elegaic couplets, which record various customs and facts relating to the Spartans, apparently belonged to a “Politeia of the Lacedaemonians” in verse (fragments 5-7). Politeia is a term often best translated as “constitution,” but often refers more broadly to a “way of life” rather than strictly political matters. Critias appears to have been one of the first to compose such “constitutions” either in verse or prose. Critias reportedly believed that the Spartan politeia was the best (Xenophon, Hellenica 2.3.34), and so it is no accident that the majority of the fragments come from his constitutions of the Lacedaimonians (one in prose, the other in verse).

6. Rhetoric

In his rhetorical training, Critias was influenced by the grand, antithetical style of Gorgias and Antiphon and continued to be read by students of rhetoric such as Cicero (On Oratory 2.23.93) throughout antiquity. Furthermore, his work was remembered by later rhetoricians of the Second Sophistic as an excellent example of pure Attic oratory (see, for example, Philostratus, Lives of the Sophists 9.16 and 16.1.34-40). None of Critias’ speeches survive intact, although H.T. Wade-Gery has argued that a speech attributed to Herodes Atticus is a work of Critias. However, U. Albini’s careful and thorough study of the speech leaves no possibility for a date of composition of the “Herodes” speech earlier than the second century AD. More profitably, S. Usher has argued that the speeches given by Critias in Xenophon’s Hellenica are condensed versions of the originals. Xenophon almost certainly knew Critias and his rhetorical style personally, and may have been present to hear him attack Theramenes in the council chamber, but how precisely he recalled the words spoken must remain a matter of speculation.

7. Writings

Fragments of Constitutions of Thessaly (fr. 31) and Lacedaemon (frr. 32-37) written by Critias in prose are extant; A. Boeckh and other scholars have attributed to Critias a “Constitution of the Athenians” wrongly ascribed to Xenophon, but this argument has found little favor. Other extant fragments from unnamed prose works include biographical details of the lives of the poet Archilochus (fr. 44) and the Athenian statesmen Themistocles (fr. 45) and Cimon (fr. 52). In addition, the lexicographer Pollux cites words from Critias’ works on some twenty occasions–a testimony to Critias’ stature as a writer of pure Attic Greek and, perhaps, to his educated diction.

In the fragments from his “Constitution of the Lacedaimonians” Critias never fails to record his admiration for even the most mundane features of Spartan society. Along with Lacedaimonian moderation in drinking wine and toasting their fellows (fr. 6), Critias stated that the Laconian way of raising children (fr. 32), the shape of Laconian drinking cups, Laconian shoes, Laconian cloaks, and even Laconian furniture (fr. 34) were the best. He also recorded that “it was a Lacedaimonian, Chilon the wise, who once said, ‘Nothing too much, all beautiful things arrive at the proper moment'” (fr. 7).

Critias was one of the first to write histories of individual city states. It is likely that Xenophon used and perhaps even imitated Critias in the writing of his own “Constitution of the Lacedaemonians,” although he never says as much. It is also possible, if not certain, that Aristotle used Critias’ work in the composition of his “constitutions” of the Greek city-states, but this too must remain an open question.

The breadth of Critias’ work in philosophy, drama, poetry, historical writing, rhetoric, and politics is impressive. He was not a particularly original thinker, but generalists seldom are. His leadership of the Thirty–one of Athens’ darkest, bloodiest moments–has tended to overshadow his literary and philosophical work, but Critias was no ordinary despotic thug. A scion of one of Athens most noble families, highly-educated, cultured, a writer of poetry and prose, a powerful speaker, and brave, Critias was perhaps the greatest tragedy the city ever produced.

8. References and Further Reading

  • H. Diels and W. Kranz, eds. Die Fragmente der Vorsokratiker. 10th ed. Berlin 1960-1961. Fragments of Critias’ works are cited above according to the numeration of Diels-Kranz.
  • U. Albini, [Erode Attico] peri politeias. introduzione, testo critico e commento. Florence 1968.
  • J.K. Davies, Athenian Propertied Families 600-300 B.C. Oxford 1971.
  • H.T. Wade-Gery, “Kritias and Herodes,” in Essays in Greek History. Oxford 1958 271-292.
  • W. Morison, The “Amateur” as Tyrant: A Socioeconomic Study of Kritias. Unpublished Masters Thesis: California State University, Fresno 1990
  • D. Stephans, Critias: Life and Literary Remains. Cincinnati 1939.
  • M. Untersteiner, The Sophists. New York 1954.
  • S. Usher, “Xenophon, Critias, and Theramenes,” Journal of Hellenic Studies 88 (1968) 128-135.

Author Information

William Morison
Email: morisonw@gvsu.edu
Grand Valley State University
U. S. A.

The Bakhtin Circle

bakhtinThe Bakhtin Circle was a 20th century school of Russian thought which centered on the work of Mikhail Mikhailovich Bakhtin (1895-1975). The circle addressed philosophically the social and cultural issues posed by the Russian Revolution and its degeneration into the Stalin dictatorship. Their work focused on the centrality of questions of significance in social life in general and artistic creation in particular, examining the way in which language registered the conflicts between social groups. The key views of the circle are that linguistic production is essentially dialogic, formed in the process of social interaction, and that this leads to the interaction of different social values being registered in terms of reaccentuation of the speech of others. While the ruling stratum tries to posit a single discourse as exemplary, the subordinate classes are inclined to subvert this monologic closure. In the sphere of literature, poetry and epics represent the centripetal forces within the cultural arena whereas the novel is the structurally elaborated expression of popular ideologiekritik, the radical criticism of society. Members of the circle included Matvei Isaevich Kagan (1889-1937); Pavel Nikolaevich Medvedev (1891-1938); Lev Vasilievich Pumpianskii (1891-1940); Ivan Ivanovich Sollertinskii (1902-1944); Valentin Nikolaevich Voloshinov (1895-1936); and others.

Table of Contents

  1. Introduction
  2. The Early Works: 1919-1927
  3. The Concluding Works of the Bakhtin Circle: 1928-1929
  4. Bakhtin and the Theory of the Novel: 1933-1941
  5. Carnival, History And Popular Culture: Rabelais, Goethe And Dostoyevsky As Philosophers
  6. Bakhtin’s Last Works
  7. Conclusion

1. Introduction

M.M. Bakhtin and his circle began meeting in the Belorussian towns of Nevel and Vitebsk in 1918 before moving to Leningrad in 1924. Their group meetings were terminated due to the arrest of many of the group in 1929. From this time until his death in 1975, Bakhtin continued to work on the topics which had occupied his group, living in internal exile first in Kustanai (Kazakhstan, 1930-36), Savelovo (about 100 km from Moscow, 1937-45), Saransk (Mordovia, 1936-7, 1945-69) and finally moving in 1969 to Moscow, where he died at the age of eighty. In Saransk Bakhtin worked at the Mordov Pedagogical Institute (now University) until retirement in 1961.

The Bakhtin circle is reputed to have been initiated by Kagan on his return from Germany, where he had studied philosophy in Leipzig, Berlin and Marburg. He had been a pupil of the founder of Marburg Neo-Kantianism Herman Cohen and had attended lectures by Ernst Cassirer. Kagan established a “Kantian Seminar” at which various philosophical, religious and cultural issues were discussed. Kagan was a Jewish intellectual who had been a member of the Social Democratic Party (the precursor of the Bolsheviks and Mensheviks) and he may have been attracted to Cohen’s philosophy for its supposed affinity with Marxism (Cohen regarded his ethical philosophy as completely compatible with that of Marx), while rejecting the atheism of Russian Communism. Whatever the truth of the matter, the members of the circle did not restrict themselves to academic philosophy but became closely involved in the radical cultural activities of the time, activities which became more intense with the movement of the group to Vitebsk, where many important avant-garde artists such as Malevich and Chagall had settled to avoid the privations of the Civil War. One of the group, Pavel Medvedev, a graduate in law from Petrograd University, became rector of the Vitebsk Proletarian University, editing the town’s cultural journalIskusstvo (Art) to which he and Voloshinov contributed articles, while Bakhtin and Pumpianskii both gave public lectures on a variety of philosophical and cultural topics, as seen in recently published student notes. Pumpianskii, it is known, never finished his studies at Petrograd university, while it is doubtful whether Bakhtin had any formal higher education at all despite his claims, now disproven, to have graduated from the same University in 1918. It seems that Bakhtin attempted to gain acceptance in academic circles by adopting aspects of his older brother’s biography. Nikolai Bakhtin had a solid classical education from his German governess and graduated from Petrograd University, where he had been a pupil of the renowned classicist F.F. Zelinskii. Bakhtin had therefore been exposed to philosophical ideas since his youth. After Nikolai’s departure for the Crimea, and Mikhail’s move to Nevel, it seems that Kagan took the place of his brother as unofficial mentor, having an important influence on Bakhtin’s philosophy in a new and exciting cultural environment, although the two friends went their separate ways in 1921, the year Bakhtin married.

Kagan, however, moved to take up a teaching position at the newly established provincial university in Orel in 1921. While there he published the only sustained piece of philosophy to be published by a member of the group before the late 1920s entitled “Kak vozmozhna istoria” (How Is History Possible) in 1922. The same year he produced an obituary of Hermann Cohen in which he stressed the historical and sociological aspects of Cohen’s philosophy and wrote other unpublished works. 1922 also saw the publication of Pumpianskii’s paper “Dostoevskii i antichnost´” (Dostoyevsky and Antiquity), a theme that was to recur in Bakhtin’s work for many years. While Bakhtin himself did not publish any substantial work until 1929, he was clearly working on matters related to Neo-Kantian philosophy and the problem of authorship at this time. Bakhtin’s earliest published work is the two page “Iskusstvo i otvetstvennost´” (Art and Answerability) from 1919 and fragments of a larger project on moral philosophy written between 1920 and 1924, now usually referred to as K filosofii postupka (Towards a Philosophy of the Act).

Most of the group’s significant work was produced after their move to Leningrad in 1924. It seems that there the group became acutely aware of the challenge posed by Saussurean linguistics and its development in the work of the Formalists. Thus there emerges a new awareness of the importance of the philosophy of language in philosophy and poetics. The most significant work on the philosophy of language was published in the period 1926-1930 by Voloshinov: a series of articles and a book entitledMarksizm i filosofia iazyka (Marxism and the Philosophy of Language) (1929). Medvedev, who had been put in charge of the archive of the symbolist poet Aleksandr Blok, participated in the vigorous discussions between Marxist and formalist literary theorists with a series of articles and a book, Formal´lnyi metod v literaturovedenii (The Formal Method in Literary Scholarship) (1928) and the first book-length study of Blok’s work. Voloshinov also published an article and a book (1925, 1926) on the debate which raged around Freudianism at the time. In 1929 Bakhtin produced the first edition of his famous monograph Problemy tvorchestva Dostoevskogo (Problems of Dostoyevsky’s Work), but many other works dating from 1924-9 remained unpublished and usually unfinished. Among these was a critical essay on formalism called “Problema soderzheniia i formy v slovesnom khudozhestvennom tvorchestve” (The Problem of Content, Material and Form in Verbal Artistic Creation) (1924) and a book length study called “Avtor i geroi v esteticheskoi deiatel´nosti” (Author and Hero in Aesthetic Activity) (1924-7).

Since the 1970s the works published under the names of Voloshinov and Medvedev have often been ascribed to Bakhtin, who neither consented nor objected. A voluminous, ideologically motivated, often bad-tempered and largely futile body of literature has grown up to contest the issue one way or another, but since there is no concrete evidence to suggest that the published authors were not responsible for the texts which bear their names, there seems no real case to answer. It seems much more likely that the materials were written as a result of lively group discussions around these issues, which group members wrote up according to their own perspectives afterwards. There are clearly many philosophical, ideological and stylistic discrepancies which, despite the presence of certain parallels and points of agreement, suggest these very different works were largely the work of different authors. In accordance with Bakhtin’s own philosophy, it seems logical to treat them as rejoinders in ongoing dialogues between group members on the one hand and between the group and other contemporary thinkers on the other.

The sharp deterioration in the situation of unorthodox intellectuals in the Soviet Union at the end of 1928 effectively broke the Bakhtin circle up. Bakhtin, whose health had already begun to deteriorate, was arrested, presumably because of his connection with the St. Petersburg Religious-Philosophical society, and was sentenced to ten years on the Solovetskii Islands. After vigorous intercession by Bakhtin’s friends, a favourable review of his Dostoyevsky book by Commissar of Enlightenment Lunacharskii and a personal appeal by Maksim Gor´kii, this was commuted to six years exile in Kazakhstan. With the tightening of censorship at the time, very little was published by Voloshinov, while Medvedev published a book on theories of authorship V laboratorii pisatelia (In the Laboratory of the Writer) in 1933 and a new version of the Formalism study, revised to fit in more closely with the ideological requirements of the time, in 1934. Medvedev was appointed full professor at the Leningrad Historico-Philological Institute but was arrested and disappeared during the terror of 1938. Voloshinov worked at the Herzen Pedagogical Institute in Leningrad until 1934 when he contracted tuberculosis. He died in a sanitorium two year later leaving unfinished a translation of the first volume of Ernst Cassirer’s The Philosophy of Symbolic Forms, a book which is of considerable importance in the work of the circle. Kagan died of angina in 1937 after working as editor of an encyclopedic atlas of energy resources in the Soviet Union for many years. Pumpianskii pursued a successful career as Professor of Literature at Leningrad University, but published only short articles and introductions to works of Russian authors, most notably Turgenev. Sollertinskii joined the Leningrad Philharmonic in 1927 as a lecturer, but soon established himself as one of the leading Soviet musicologists, producing over two hundred articles, books and reviews. He died of a heart attack, probably resulting from the privations of the Leningrad blockade, in 1944.

While in Kazakhstan Bakhtin began work on his now famous theory of the novel which resulted in the now famous articles Slovo v romane (Discourse in the Novel) (1934-5), Iz predystorii romannogo slovo (From the Prehistory of Novelistic Discourse) (1940), Epos i roman (Epic and Novel) (1941),Formy vremeni i khronotopa v romane (Forms of Time and Chronotope in the Novel) (1937-8). Between 1936 and 1938 he completed a book on the Bildungsroman and its significance in the history of realism which was lost when the publishing house at which the manuscript was lying awaiting publication was destroyed in the early days of the German invasion of the Soviet Union in 1941. Voluminous, most still unpublished, preparatory material still exists, although part is lost, allegedly because Bakhtin used it for cigarette papers during the wartime paper shortage. Bakhtin’s exceptional productiveness at this time is further accentuated when one considers that one of his legs was amputated in February 1938. He had suffered from inflammation of the bone marrow, osteomyelitis, for many years, which gave him a lot of pain, high temperatures, and often confined him to bed for weeks on end. This had been a factor in the appeals of his friends and acquaintances for clemency when he was internally exiled, a factor that may well have saved his life. This did not, however, prevent him from presenting a now famous doctoral thesis on Rabelais to the Gor´kii Institute of World Literature in 1940. The work proved extremely controversial in the hostile ideological climate of the time and it was not until 1951 that Bakhtin was eventually granted the qualification of kandidat. It was not published in book form until 1965.

The period between the completion of the Rabelais study and the second edition of the Dostoyevsky study in 1963 is perhaps the least well known of Bakhtin’s life in terms of work produced. This has been recently (1996) rectified with the publication of archival materials from this period, when Bakhtin was working as a lecturer at the Mordov Pedagogical Institute. The most substantial work dating from this period is Problema rechevykh zhanrov (The Problem of Speech Genres) which was most likely produced in response to the reorganisation of Soviet linguistics in the wake of Stalin’s article Marksizm i voprosy iazykoznaniia (Marxism and Questions of Linguistics) of 1953. Many other fragments exist from this time, including notes for a planned article about Maiakovskii and more methodological comments on the study of the novel.

In the more liberal atmosphere of the so-called “thaw” following Khruschev’s accession, Bakhtin’s work on Dostoyevsky came to the attention of a group of younger scholars led by Vadim Kozhinov who, upon finding out that he was still alive, contacted Bakhtin and tried to convince him to republish the 1929 Dostoyevsky book. After some initial hesitation, Bakhtin responded by significantly expanding and fundamentally altering the overall project. It was accepted for publication in September 1963 and received a generally favourable reception. Publication of the Rabelais study, newly edited for purposes of acceptability (mainly the toning down of scatology and an analysis of a speech by Lenin) followed soon after. As Bakhtin’s health continued to decline, he was taken to hospital in Moscow in 1969 and in May 1970 he and his wife, who died a year later, were moved into a retirement home just outside Moscow. Bakhtin continued to work until just before his death in 1975, producing work of a mainly methodological character.

Since Bakhtin’s death, several collections of his work have appeared in Russian and many translations have followed. English language translations have been appearing since 1968, although the quality of translation and systematicity of publication has been uneven. Up to ten different translators have published work by a writer whose terminology is very specific, often rendering key concepts in a variety of different ways. This has exacerbated problems of interpretation and questions of theoretical heritage, especially since there is a quite sharp distinction between works written before and after the 1929 Dostoyevsky study. Another problem has been the questions of authorship of the Bakhtin circle and the extent to which a Marxist vocabulary in the works of Voloshinov and Medvedev should be taken at face value. Those, for example, who argue Bakhtin was the author of these works also tend to argue that the vocabulary is mere “window dressing” to facilitate publication, while those who support the authenticity of the original publications also tend to take the Marxist arguments seriously. As a result writers about Bakhtin have tended to choose one period of Bakhtin’s career and treat it as definitive, a practice which has produced a variety of divergent versions of “Bakhtinian” thought. The recent appearance of the first volume of a collected works in Russian might help to overcome the problems which have dogged Bakhtin studies.

2. The Early Works: 1919-1927

The work of the Bakhtin Circle should be regarded as a philosophy of culture. Questions which seem to be of very specific relevance, such as the modality of author-hero relations, actually involve questions of a much more general nature encompassing the value-laden relations between subject and object, subjects and other subjects. The phenomenological arguments presented by the young Bakhtin are directed against the abstractions of rationalist philosophy and contemporary positivism. He draws much of his conceptual structure from the work of the Marburg School (most notably Hermann Cohen (1842-1918), Paul Natorp (1854-1924) and Nicolai Hartmann (1882-1950)) and German phenomenologists such as Max Scheler (1874-1928) and Heinrich Rickert (1863-1936). However, it is particularly difficult to trace the precise influence of these writers because Bakhtin was notoriously inconsistent in crediting his sources and was not averse to copying whole passages which he had translated from German into Russian in his works without reference to the original. This has led many commentators either to guess at influences on the young Bakhtin or to credit him with the invention of a philosophical vocabulary almost from nothing. However, recent archival work by Brian Poole has uncovered notebooks in which Bakhtin made copious notes from various German idealist philosophers which give us a better idea both of the sources of his ideas and the originality of the philosophical work which resulted from his fusion of disparate ideas.

The ideas of the Marburg School were undoubtedly filtered to Bakhtin through the works of Matvei Kagan on his return from Germany at the end of the First World War. In his obituary of Cohen Kagan stressed the religious, messianic aspects of the former’s philosophy, which emerges in his later work. For the late Cohen, “the unity of objective being, as an unending large process of the unity of being and concept demands the unending small unity of the singular individuum…. The whole problem of religion is contained in the problem of the individuum as in the question of God.” The continual relationship between the individuum and God is the absolute element of subjectivity and is the unity of monotheism. The individual does not combine with God but continually relates to God. This has social significance, for religion grows out of ethics: “the religion of the unity of humanity is monotheism…. Religion is everywhere, in all regions of culture…. Religion itself is philosophy.” Problems of intersubjectivity must be related to questions of historical development: “in our opinion, the problem of individual relationships, the problem of subjective consciousness, ontological subjectivity can be based on the pathos of the individual condition of the struggle of the historical life of culture, the person and humanity.” Kagan stresses the parallels between Cohen’s ethics and the traditions of Russian populism, a factor which recurs later in Bakhtin’s career when the novel becomes linked with a populist political process. (M. Kagan, German Kogen, 1922) The unity of the individual is dependent on the unity of the people and this is in turn dependent on the unity of God.

Whatever the difficulties of tracing his more immediate precursors, there is no doubt that Bakhtin’s philosophical project maintained a fundamental connection with the traditions of Enlightenment aesthetics and with Kantianism in particular. As for Kant, the aesthetic is distinguished by its “disinterestedness,” the uncoupling of purposiveness from representation of the end. Where Kant concentrated on aesthetic judgement, however, Bakhtin was interested in aesthetic activity which can help to establish a mode of reciprocal intersubjective relationships necessary to produce an intimate unity of individuals whose specificity is in no way endangered. This project, which remains constant throughout his work, adopts various forms. The aesthetic is the realm where now detached from the “open event of being” and “finalized” by virtue of the author’s “exteriority” (vnenakhodimost´), the value-laden essence of the hero’s deed is manifested. If the hero’s activity were not objectified by the author then he or she would remain in some perpetual stream of consciousness, completely oblivious to the wider significance of those deeds. However, in order to visualise the meaningful nature of those deeds, the author must also have an insight into the subjective world of the hero, his or her horizon, sphere of views and interests (krugozor). Only the appropriate mode of empathy and objectification can produce the sort of productive whole Bakhtin envisages.

Several problems arise from this model. The first is that Bakhtin seems to want to use the author-hero model as a reciprocal principle within society and as a model of relations in literary composition. In the first model authors and heroes change their roles constantly, the unique perspective of each subject allows the objectification of others except oneself, who is objectified by others. Although the concept hardly appears in the early works, from 1928 onwards dialogue becomes the model of such interactions: one gains an awareness of one’s own place within the whole through dialogue, which helps to bestow an awareness on others at the same time. This is a very pleasant model as long as relationships remain equal. Yet the author-hero model also assumes a fundamental inequality in that the hero of a work can never have a reciprocal vantage point from which to objectify the author and thus the creator. There is a crucial difference between a person-to-person and a person-to-God relationship which Bakhtin’s model seems to obscure.

Furthermore, Bakhtin’s model of the unique perspective of each author/hero, which is drawn from the Kantian model of an individual consciousness bearing a-priori categories encountering and giving form to the manifold of sense impressions, is seriously compromised when one admits a socio-linguistic dimension into the equation. This happens in Voloshinov’s 1926 article on discourse in life and poetry. The alternative adopted by Voloshinov foregrounds the intonational dimension of language which manifests the unique evaluative connections between subject and object. Language enmeshed within everyday practical activity is extracted, or liberated, from its connection with the “open event of being” by the author who then reflects upon it, from his or her own unique vantage point, manifesting its total intonational meaning. The hero’s language is alien to the author and therefore ripe for objectification; the crucial category is the latter’s exteriority. Stress on this intonational dimension allows the encounter of the two consciousnesses to be spoken about in phenomenological rather than linguistic terms and therefore allows Bakhtin to counter what he calls “theoreticism”, the tendency to consider the inner meaning of an action and its historical specificity in isolation from each other. This might include Hegel‘s tendency to view the particular incident as meaningful only as an instance of the unfolding of reason, Husserl‘s sublation of inter-subjective relations in transcendental subjectivity or the positivistic assumption that categorisation of a phenomenon is sufficient to explain that phenomenon.

The distinctively Bakhtinian approach to language only really begins to emerge in Voloshinov’s 1926 essay Slovo v zhizni i slovo v poezii: k voprosam sotsiologicheskoi poetiki (Discourse in Life and Discourse in Poetry: Questions of Sociological Poetics), written during his postgraduate studies at the Institute of Material, Artistic and Verbal Culture in Leningrad where L.P. Iakubinskii, the pioneer of the study of dialogic speech, was among his advisers. This work, which has been seen as the earliest example of pragmatics by more than one commentator, is the first work of the circle to be presented as an explicitly Marxist text. The author attempts to define the aesthetic as a specific form of social interaction characterised by its “completion by the creation of the artistic work and by its continual recreations in cocreative perception and it does not require any other objectifications”. In the artistic work unspoken social evaluations are “condensed” and determine artistic form. The deeper structural features of a particular social interaction are made manifest in a successful artistic work; as Voloshinov puts it, “form should be a convincing evaluation of the content” (Bakhtin School Papers ed. Shukman, Colchester 1983 p.9, 19, 20). The early Bakhtinian phenomenology is now recast in terms of discursive interaction, with a specifically sociological frame of reference.

Another of Voloshinov’s projects was a critical response to incipient psychoanalysis and contemporary attempts to attempt a fusion of Marxism and Freudianism. In 1927 he published his first book calledFreidizm: Kriticheskii ocherk (Freudianism a Critical Sketch), which continued the theme of an earlier article from 1925 Po tu storonu sotsial´nogo (Just Beyond the Social) in which Freud was accused of a biological reductionism and subjectivism quite alien to the spirit of Marxism. Leaning upon a sociological analysis of language and culture, Voloshinov stresses that intersubjectivity precedes subjectivity as such and that all meaning production and thus repression of meanings are socio-ideological rather than individual and biological as Freud supposed. It must be noted, however, that Voloshinov does not pay any attention to Freud’s later work on cultural phenomena and thus presents a rather one-sided view of contemporary psychology. Furthermore, Freudianism is treated as a manifestation of “bourgeois decay” very much in the spirit of the later Lukács. This indicates a turning towards a more Hegelian approach to questions of cultural and philosophical development, while the recasting of the Freudian superego in terms of the repression of unofficial ideologies by an official ideology anticipates one of the central themes that would occupy Bakhtin in the 1930s and 1940s.

3. The Concluding Works of the Bakhtin Circle: 1928-1929

In the late 1920s the sociological and linguistic turn signalled by Voloshinov’s article on discourse had begun to form into a distinct school of thought in which language was the index of social relations and embodiment of ideological worldview. While Voloshinov’s linguistic studies were undoubtedly crucial to this reorientation, one of the central influences on the group at the time was the work of Ernst Cassirer, whose ground-breaking Philosophy of Symbolic Forms (3 Vols) was published between 1923 and 1929. One of Voloshinov’s unfinished projects, which he began while at University, was a translation of the first volume of Cassirer’s work on language. This volume marked the culmination of Cassirer’s move away from Marburg Neo-Kantianism to a Hegelian rectification of Kant. Adopting Hegel’s dialectical orientation, evolutionary approach to human knowledge and existence and concentration of the totality of human activities, Cassirer sought to overcome the exclusivity of the Kantian focus on mankind’s rational thought processes. At the same time, however, Cassirer strove to resist the Hegelian subsumption of all realms of the human spirit into the Absolute by retaining the Kantian distinction between the “languages” of the human spirit. To this end Cassirer drew upon Herder and von Humboldt’s identification of thought and signification, viewing the “symbolic function” as the common element to all areas of knowledge, but which took a specific form in each of them. The truth, agreed Cassirer and Hegel, is whole, but the former understood this to mean that each of the perspectives offered by various symbolic forms is equally valid and must be progressively “unfolded” so as to fully articulate itself. This formulation, as we shall see, had a far reaching effect on the later work of Bakhtin, but there are signs of its influence almost immediately in the work of the group.

In 1928 P.N. Medvedev published a book-length critique of Russian Formalism. This work begins with a definition of literary scholarship as “one branch of the study of ideologies”, a study which “embraces all areas of man’s ideological creativity”. Medvedev goes on to argue that while Marxism has established the basis of such a study, including its relationship to economic factors, the study of “the distinctive features and qualitative individuality of each of the branches of ideological creation — science, art, ethics, religion, and so forth. — is still in the embryonic stage” (p.3). Despite the replacement of “symbolic forms” with “branches of ideological creation” the continuity of approach is clear. Where Cassirer sought to examine the symbolic function as “a factor which recurs in each basic cultural form but in no two takes exactly the same shape” (vol. 1, p.84), Medvedev sought to investigate the “sociological laws of development” which can be found in each “branch” of “ideological creation” but which manifests itself in specific ways. This sociological adaption of Cassirer’s work was to feature largely in Bakhtin’s work from the 1930s and 1940s, where, as Poole has demonstrated, many unattributed passages from the former’s work appear in Russian translation within the body of the latter’s work. Medvedev felt that the Formalists were correct in attempting to define the specific features of literary creation but fundamentally mistaken in the positivistic approach they took towards literary devices which tended to efface the ideological, meaning-bearing and thus sociological aspect of literary form. In conclusion Medvedev recommended that the formalists be treated respectfully and seriously, even if their fundamental premises were erroneous. Marxist criticism, he argued, should value Formalism as an object of serious criticism through which the bases of the former can be clarified.

While subjecting the Russian Formalists to intense criticism on the basis of their partisan alliance with the Futurist movement and their sharing its tendency towards a nihilistic destruction of meaning, Medvedev particularly praised Western “formalist art scholarship” such as the work of Hildebrand, Wölfflin and Worringer. These theorists were important for the development of the Bakhtin circle because they treated changes of artistic forms and styles as changes of “artistic volition”, that is, having ideological significance. Worringer saw art history to be marked by an alternation of naturalism (empathy) and abstraction (estrangement) which correlated to the harmony or otherwise in the relationship of man and his environment. While formal and evaluative aspects are not identical, they do tend to maintain a close affiliation and this, Medvedev concluded, can be applied to literary form as well as visual art. This particular chapter, along with some shorter extracts of the book were omitted from the second edition of the book published with the title Formalizm I formalisty (Formalism and the Formalists) in 1934. By this time a tolerant attitude towards the Formalists or Western scholarship was not permitted, and thus an additional and extremely hostile chapter called “The Collapse of Formalism” was included. Earlier writers on the Bakhtin Circle tended to ascribe the first edition to Bakhtin and the second to Medvedev, but it is clear that the body of the second edition is an expurgated version of the first.

Medvedev’s formulation was carried over into Bakhtin’s now famous study Problemy tvorchestva Dostoevskogo (Problems of Dostoyevsky’s Work) published in 1929. Here the great nineteenth-century novelist’s own verbally affirmed and often reactionary ideology is downplayed in favour of his “form-shaping ideology” which is seen to be imbued with a profoundly democratic spirit. Bakhtin attacks those critics, such as Engelgardt, who characterised Dostoyevsky’s creative method as Hegelian. In such a scheme two positions struggle for ascendancy but are transformed into a synthesis at the end; however, according to Bakhtin, there is no merging of voices into a final, authoritative voice as in the Hegelian absolute. Dostoyevsky does not present an abstract dialectic but an unmerged dialogue of voices, each given equal rights. Bakhtin follows the nineteenth-century German novelist and critic Otto Ludwig in terming this type of dialogue “polyphonic dialogue”, which allows Cassirer’s insistence on a plurality of cultural forms to be extended to a plurality of discourses in society and the novel. In the course of Dostoyevsky’s novels, argues Bakhtin, very much in the spirit of Cassirer, the worldviews of Dostoyevsky’s heroes “unfold”, presenting their own unique perspective upon the world. The novelist does not, as is the case with Tolstoi, submerge all positions beneath a single authoritative perspective, but allows the voice of the narrator to reside beside the voices of the characters, bestowing no greater authority on that voice than on any of the others. Voices intersect and interact, mutually illuminating their ideological structures, potentialities, biases and limitations.

Bakhtin’s early phenomenology is now translated into discursive terms. Where Bakhtin was initially concerned with intersubjective relations and the modality of authorial and heroic interaction, this is now examined in terms of the way in which one language encounters another, reporting and modifying the utterance by reaccentuating it. Modes of interaction range from stylisation to explicit parody, which Bakhtin spends a considerable proportion of the book cataloguing. As only the later edition of the book (1963) has been published in English, there is a tendency to confuse the chronology of the emergence of Bakhtin’s key concepts. It should be noted that there is no reflection on carnival or on the Menippean Satire in the first edition of the Dostoyevsky study. These features only emerged in the next decade in relation to the history of the novel as a genre. The first edition of the Dostoyevsky study is a monograph on the work of the famous novelist in terms which in many respects embody the poetics of a significant portion of contemporary “fellow-traveller” writing. When considered in its historical context, the Dostoyevsky study can be seen as a sort of rearguard defence of liberality in the cultural arena against the encroachment of political control. The book was published on the eve of the destructive RAPP dictatorship, when bellicose advocates of “proletarian culture” were granted free reign by the newly victorious Stalinist leadership of the Soviet Communist Party. Formal experimentation and an inadequately tendentious narrative position was branded as reactionary, while Bakhtin’s work defended the presentation of a plurality of perspectives free from “monologic” closure. The formal characteristics of a work were themselves of ideological significance, but the reactionary tendency was in the imposition of a unitary perspective on a varied community of opinion.

The semiotic dimension of the new orientation of the Bakhtin Circle was developed at the same time by Voloshinov. In a series of articles between 1928 and 1930 punctuated by the appearance of the book-length Marksizm i filosofiia iazyka (Marxism and the Philosophy of Language) in 1929 (2nd edition 1930) Voloshinov published an analysis of the relationship between language and ideology unsurpassed for several decades. Voloshinov examines two contemporary accounts of language, what he calls “abstract objectivism”, whose leading exponent is Saussure, and “individualistic subjectivism”, developed from the work of Wilhelm von Humboldt by the romantic idealists Benedetto Croce (1866-1952) and Karl Vossler (1872-1942). Voloshinov argues that the two trends derive from rationalism and romanticism respectively and share both the strengths and weaknesses of those movements. While the former identifies the systematic and social character of language it mistakes the “system of self-identical forms” for the source of language usage in society; it abstracts language from the concrete historical context of its utilisation (Bakhtin’s “theoreticism”); the part is examined at the expense of the whole; the individual linguistic element is treated as a “thing” at the expense of the dynamics of speech; a unity of word meaning is assumed to the neglect of the multiplicity of meaning and accent and language is treated as a ready-made system whose developments are aberrations. The latter trend is correct in viewing language as a continuous generative process and asserting that this process is meaningful, but fundamentally wrong in identifying the laws of that creation with those of individual psychology, viewing the generative process as analogous with art and treating the system of signs as an inert crust of the creative process. These partial insights, Voloshinov argues that a stable system of linguistic signs is merely a scientific abstraction; the generative process of language is implemented in the social-verbal interaction of speakers; the laws of language generation are sociological laws; although linguistic and artistic creativity do not coincide, this creativity must be understood in relation to the ideological meanings and values that fill language and that the structure of each concrete utterance is a sociological structure.

Several commentators have noted how Voloshinov’s approach to language anticipates many of the criticisms of linguistic philosophy levelled by present day Poststructuralists, but does so without invoking the relativism of much of the latter or the nullity of Derrida‘s “hors texte.” Voloshinov firmly establishes the sign-bound nature of consciousness and the shifting nature of the language system, but instead of viewing the subject as fragmented by the reality of difference, he poses each utterance to be a microcosm of social conflict. This allows sociological structure and the plurality of discourse to be correlated according to a unitary historical development. In this sense Voloshinov’s critique bears a strong resemblance to the Italian Communist leader Antonio Gramsci’s account of hegemony in his Prison Notebooks. Like Voloshinov and Bakhtin, Gramsci drew upon the work of Croce and Vossler and Matteo Bartoli’s Saussurean “spatial linguistics”, and combined it with a Hegelian reading of Marxism. As we have seen, however, Voloshinov was heavily influenced by the work of Cassirer, whose admiration for the work of von Humboldt, the founder of generative linguistics, was substantial. Voloshinov’s critique thus tended towards the romantic pole of language study rather than taking up the equidistant position he claimed in his study. This can be seen in the tendency to see social groups as collective subjects rather than institutionally defined collectives and such assertions as those which suggest the meaning of a word is “totally determined” by its context. What Voloshinov effectively does is to supplement Humboldt’s recognition of individual and national linguistic variability with a sociological dimension. Humboldt’s “inner-form” of language is recast as the relationality of discourse, dialogism. Abandoning the Marxist distinction between base and superstructure, Voloshinov follows Cassirer and Hegel in seeing the variety of linguistic forms as expressions of a single essence. It is significant that Gramsci, who adopted a consistently pragmatist epistemology followed the same course and emerged with startlingly similar formulations.

This suggests that the relations between the work of the Bakhtin school and Marxism are ones which are complex and worthy of close scrutiny. Those who have tried to set up a Chinese wall between the two tendencies or who have tried to identify them, have consistently failed to do justice to this philosophical dialogue. Some have even gone so far as to see the work of the group as fundamentally anti-Hegelian, a charge which collapses as soon as one traces the use of terminology in the works from the late 1920s.

4. Bakhtin and the Theory of the Novel: 1933-1941

The shift in Bakhtin’s thought from Kant towards Hegel is nowhere clearer than in his central works on the novel. This can be seen in the new centrality Bakhtin grants to the history of literature to which Kant had been largely indifferent. As if to stress his indebtedness to German idealism, Bakhtin adopts all of the characteristics of the novel as a genre catalogued by Goethe, Schlegel and Hegel with little modification and traces how the “essence” of the genre “appears” over a course of time. The development of the novel is described in a way distinctly reminiscent of Cassirer’s “symbolic forms” which unfold to present their unique view of the world which is itself a modified version of Hegel’s characterisation of thePhenomenology of Spirit as the representation of “appearing knowledge”. At the same time, however, the novel adopts many of the features of the role of Hegel’s philosophy in its Cassireran guise as the philosophy of culture. Such a philosophy, argued Cassirer, does not attempt to go behind the various image worlds created by the human spirit but “to understand and elucidate their basic formative principle” (The Philosophy of Symbolic Forms vol. 1, Language p.113). The novel, according to the scheme developed by Bakhtin, elucidates this principle with regard both to other literary genres and socio-ideological discourses. The old idealist formulation of the novel’s imperative that it be a “full and comprehensive reflection of its era” is reformulated as “the novel must represent all the ideological voices of its era… all the era’s languages that have any claim to being significant” (411). The novel is a symbolic form, but a specific one in which the “basic formative principle” of symbolic forms becomes visible. The socially stratified national language, heteroglossia in itself, becomes heteroglossia for-itself rather as thought perceives itself as its own object at the climax of Hegel’s Phenomenology.

The novel, for Bakhtin, uncovers the formative principle of discourse, its relationality, dialogism, without presenting some final absolute language of truth such as that which constitutes Hegelian conceptualism. The novel develops into something akin to a visio intellectualis of the sort Cassirer found in the work of Nicholas Cusanus. This is a whole which includes all various viewpoints in its accidentiality and necessity, “the thing seen and the manner and direction of the seeing” (Cassirer The Individual and the Cosmos in Renaissance Philosophy 1963, p.32). No individual perspective is adequate to the whole in itself, for only the concrete totality of perspectives can present the whole:

Languages of heteroglossia, like mirrors that face each other, each of which in its own way reflects a little piece, a tiny corner of the world, force us to guess at and grasp behind their inter-reflecting aspects for a world that is broader, more multi-levelled and multi-horizoned than would be available to one language, one mirror. (Bakhtin Voprosy literatury i estetikipp.225-26)

While this aspect of Bakhtin’s theory of the novel is most likely based on the philosophy of Cassirer, who developed his work as a defence of liberal values in the context of an increasingly chauvinistic atmosphere in Weimar Germany, a different political slant becomes markedly more apparent in Bakhtin’s work of the 1930s. The novelist now becomes the heir of an anti-authoritarian popular cultural strategy to deflate the pretensions of the official language and ideology and institute a popular-collective learning process. The antecedent of this strategy is not German bourgeois liberalism but Russian populism (narodnichestvo). Thus the dialectic of mythical and critical symbolic forms which Cassirer outlined in his philosophy now becomes fused with a dialectic of official and popular socio-cultural forces. On one side stand the forces of cultural centralisation and stabilisation: the “official strata”, unitary language, the literary canon and so on. On the other side stands the decentralising influence of popular culture: popular festivity and collective ridicule, literary parody, and the anti-canonic novel. The rise of the novel is correlated with the collapse of antique unity and the breaking down of cultural boundaries. Where the official culture developed a canon of poetic genres which posited a rarified language in opposition to the common spoken language, presented a monolithically serious worldview and epic accounts of a golden age and heroic beginnings, the novel parodies these features, ridiculing the official culture’s claims to universal validity and the ossified conventionality of canonic forms and language.

The novel is thus a literary expression of a whole socio-cultural process, but this process is rather too broad to be incorporated under the label Bakhtin gives to it without considerable problems with regard to conceptual accuracy. The adjective poetic becomes shorthand for the whole complex of institutional and cultural forms which can be included on the side of officialdom. Thus poetic denotes both a type of discourse used in artistic texts and a hierarchical relation between discourses which constitutes the hegemonic relationships of an unequal society. Correspondingly, novelistic describes both the character of a genre, multi-accented artistic discourse, and an anti-authoritarian relationship between discourses. Another pair of terms which is often used interchangeably with these two is monologic and dialogic. The former denotes a mono-accentual type of discourse and an authoritarian stance towards another discourse. The latter describes a multi-accentual discourse, the relationality of discourse, and an orientation on a monologic discourse which seeks to reveal the ideological structure lurking behind surface appearances. The ground between formal and political terms shifts before the reader, who is constantly reminded of the institutional co-ordinates for all discursive phenomena but is never presented with a sociological account of those co-ordinates. This might be explained both by the ideological restrictions placed on any writer in Stalin’s Russia and by the idealist frame of Bakhtin’s own theory. This ambiguity has allowed very different interpretations of Bakhtin’s work to be drawn, ranging from a tendency to reduce the whole argument to one of artistic forms, leading to a liberalistic formal criticism and attempts to correlate Bakhtin’s argument with the institutional forms of modern capitalist society. Bakhtin’s work has thus become a battleground between (mainly American) liberal academics and (mainly British) anti-Stalinist Marxists.

In its classical phase, Russian populism was, according to Walicki, “opposed to the “abstract intellectualism” of those revolutionaries who tried to teach the peasants, to impose on them the ideals of Western socialism, instead of learning what were their real needs and acting in the name of such interests and ideals of which the peasants had already become aware”. Yet it also suggested an opposition to those Second International Marxists who argued that capitalism was an unavoidable stage in the development of Russia (The Controversy Over Capitalism 1989 p.3). In one sense, then, it was a political ideology compatible with Third International Marxism, but in another it sought to reverse the hegemony of intellectuals over “the people”. Bakhtin’s poet is a hegemonic intellectual whose language relates in an authoritative fashion to the discourse of the masses, while the novelist aims to break and indeed reverse that hegemonic relationship. In Bakhtin’s formulation, the locus of critical forces of culture is the people, while the mythological forces of culture emerge from the official stratum.

Many of the central works on the novel were at least partially written in response to the theory of the novel developed by Georg Lukács. Bakhtin had begun to translate Lukács’ Theory of the Novel in the 1920s but abandoned the project upon learning that Lukács no longer liked the book but in the 1930s, when Lukács accommodated to the Stalin regime and essentially became a right Hegelian, his theory of the novel became canonical. Bakhtin agreed with Lukács that the novel represented the “essence of the age” and that irony constituted a central factor of the novelistic method, but rejected the latter’s assertion that unless the novel revealed the thread of rationality running through a seemingly anarchic world, that is, presented an authoritative perspective, the author had succumbed to bourgeois decadence. Modernist formal experimentation and the dominance of parody in modernist literature Lukács found to be a reflection of “bourgeois decay”, while Bakhtin strove to reveal its popular-democratic roots. The novel should not be seen as a compensation for the restlessness of contemporary society, uncovering the assured road to progress, but the embodiment of the dynamic forces that could shape society in a popular-democratic fashion. Thus where Lukács championed epic closure, Bakhtin highlighted novelistic openendedness; where Lukács advocated a strong narrative presence, Bakhtin advocated the maximalisation of multilingual intersection and the testing of discourse. Bakhtin takes a left Hegelian stance against Lukács; dialogism becomes analogous to Hegel’s Geist, both describing the social whole and standing in judgement over those eras in which the dialogic imperative is not realised.

5. Carnival, History And Popular Culture: Rabelais, Goethe And Dostoyevsky As Philosophers

The high point of Bakhtin’s populism can be seen in his now famous 1965 study of Rabelais and the heavily revised second edition of the 1929 Dostoyevsky book (1963). The former had been composed as Bakhtin’s doctoral dissertation which had been written in the late 1930s but was only prepared for publication when he emerged from obscurity in the 1960s. Tvorchestvo Fransua Rable i narodnaia kul´tura srednevekov´ia i renessansa (The work of François Rabelais and the Popular Culture of the Middle Ages and the Renaissance) is a remarkable work. Bakhtin concentrates on the collapse of the strict hierarchies of the Middle Ages and the beginning of the Renaissance by looking at the way in which ancient modes of living and working collectively, in accordance with the rhythms of nature, re-emerge in the forms of popular culture opposed to official culture. In Problemy poetiki Dostoevskogo (Problems of Dostoyevsky’s Poetics) Bakhtin summarises the essence of the question thus:

It could be said (with certain reservations, of course) that a person of the Middle Ages lived, as it were, two lives: one that was the official life, monolithically serious and gloomy, subjugated to a strict hierarchical order, full of terror, dogmatism, reverence and piety; the other was the life of the carnival square, free and unrestricted, full of ambivalent laughter, blasphemy, the profanation of everything sacred, full of debasing and obscenities, familiar contact with everyone and everything. Both these lives were legitimate, but separated by strict temporal boundaries. (p.129-30)

The activities of the carnival square: collective ridicule of officialdom, inversion of hierarchy, violations of decorum and proportion, celebration of bodily excess and so on embody, for Bakhtin, an implicit popular conception of the world. This conception is not, however, able to become ideologically elaborated until the radical laughter of the square entered into the “world of great literature” (Rabelais p.96). The novel of Rabelais is seen as the epitome of this process of breaking down the rigid, hierarchical world of the Middle Ages and the birth of the modern era. Rabelais is much more than a novelist for Bakhtin: his work embodies a whole new philosophy of history, in which the world is viewed in the process of becoming. The grotesque is the image of this becoming, the boundaries between person and person, person and thing, are erased as the individual merges with the people and the whole cosmos. As the individual body is transcended, the biological body is negated and the “body of historical, progressing mankind” moves to the centre of the system of images. In the carnival focus on death and rebirth the individual body dies, but the body of the people lives and grows, biological life ends but historical life continues.

The carnivalesque becomes a set of image-borne strategies for destabilising the official worldview. In a recently published article written for inclusion in the Soviet Literaturnaia entsiklopediia (Literary Encyclopaedia) in 1940, Bakhtin defines the satirical attitude as the “image-borne negation” of contemporary actuality as inadequacy, which contains within itself a positive moment in which an improved actuality is affirmed. This affirmed actuality is the historical necessity implicit in contemporary actuality and which is implied by the grotesque image. The grotesque, argues Bakhtin, “discloses the potentiality of an entirely different world, of another order, another way of life. It leads man out of the confines of the apparent (false) unity, of the indisputable and stable” (Rabelais p.48). The grotesque image of the body, as an image which reveals incomplete metamorphosis no longer represents itself, it represents what Hegel called the “universal dialectic of life”.

The Renaissance birth of the historical world led to a new development in the Enlightenment. Where Rabelais was presented as the high point of Renaissance literary and philosophical development, the Enlightenment reaches one of its high points in the work of Goethe. The process dispersing the “residue of otherworldly cohesion and mythical unity” was completed at this time, helping “reality to gather itself together and condense into the visible whole of a new world” (Speech Genres and Other Late Essaysp.45). The Enlightenment, argues Bakhtin in a section which draws heavily on Cassirer (the corresponding passage is The Philosophy of the Enlightenment p.197), should no longer be considered an a-historical era, but “an epoch of great awakening of a sense of time, above all … in nature and human life” (p.26). But, argues Bakhtin “this process of preparing for the disclosure of historical time took place more rapidly, completely, and profoundly in literary creativity than in the abstract philosophical, ideological views of Enlightenment thinkers” (p.26). Goethe’s imagination was fundamentally chronotopic, he visualised time in space:

Time and space merge … into an inseparable unity … a definite and absolutely concrete locality serves at the starting point for the creative imagination… this is a piece of human history, historical time condensed into space. Therefore the plot (sum of depicted events) and the characters … are like those creative forces that formulated and humanised this landscape, they made it a speaking vestige of the movement of history (historical time), and, to a certain degree, predetermined its subsequent course as well, or like those creative forces a given locality needs in order to organise and continue the historical process embodied in it. (p.49)

Goethe wanted to “bring together and unite the present, past and future with the ring of necessity” (p.39), to make the present creative. Like Rabelais, Goethe was as much a philosopher as a writer.

The same pattern of analysis shapes the 1963 version of the Dostoyevsky study. Here Dostoyevsky is no longer treated, as in the 1929 version, as a totally original innovator, but as the heir to a tradition rooted in popular culture. The novelist stood poised at the threshold of a new era, as the rigidly hierarchical Russian Empire was poised to give way to the catastrophic arrival of capitalist anarchy and ultimately revolution. Dostoyevsky thus intersected with the threshold poetics of carnival at a different stage in its development, he sought to present the voices of his era in a “pure simultaneity” unrivalled since Dante. In contradistinction to that of Goethe this chronotope was one of visualising relations in terms of space not time and this leads to a philosophical bent that is distinctly messianic:

Only such things as can conceivably be linked at a single point in time are essential and are incorporated into Dostoevskii’s world; such things can be carried over into eternity, for in eternity, according to Dostoevskii, all is simultaneous, everything coexists…. Thus there is no causality in Dostoevskii’s novels, no genesis, no explanations based on the past, on the influences of the environment or of upbringing and so forth. Every act a character commits is in the present, and in this sense is not predetermined; it is conceived of and represented by the author as free. (p.29)

The roots of such a conception lie in carnival and, according to Bakhtin, in the carnivalised philosophical dialogues that constituted the Menippean Satire. This philosophico-literary genre reaches a new stage in Dostoyevsky’s work, where the roots of the novel as a genre stands out particularly clearly. One of those roots was the Socratic Dialogue, which was overwhelmed by the monologic Aristotelian treatise, but which continued to lead a subterranean life in the non-canonical minor satirical genres and then became a constitutive element of the novel form and, implicitly, literary modernism. This accounts for its philosophical importance.

6. Bakhtin’s Last Works

In his last years Bakhtin returned to the methodological questions that had preoccupied his earlier years, though now with a rather different perspective. This began with his work on speech genres in the 1950s, though apart from this study, did not yield any sustained texts until the 1970s. Bakhtin now began to stress the dialogic character of all study in the “human sciences”, the fact that one needs to deal with another “I” who can speak for and about his or herself in a fundamentally different way than with an inanimate and voiceless object. To this end he sought to differentiate his position from that of incipient Soviet structuralism, which adopted the “abstract objectivist” approach to language and the constitution of the subject. Bakhtin’s approach to subjectivity is dialogic, referring to the exchange of utterances rather than narrowly linguistic, and this extends to the analysis of texts which are always intertextual, meeting and illuminating each other. Just as texts have genres, “definite and relatively stable typical forms of construction of the whole” so too does speech. Thus the boundaries between complex genres such as those commonly regarded as literary and other less formalised genres should be seen as porous and flexible, allowing a dialogue of genres as well as styles.

7. Conclusion

The work of the Bakhtin circle is multifaceted and extremely pertinent to contemporary philosophical concerns. Yet their work moves beyond philosophy narrowly defined to encompass anthropology, literary studies, historiography and political theory. The vicissitudes of intellectual life in the Soviet Union have complicated assessment of the work of the circle, as has the way in which the works have been published and translated in recent years. On top of this, the works of the group have been read into a theoretical position framed by present-day concerns over poststructuralism and the fate of the subject in modern philosophy. A proper historical assessment of the work of the Bakhtin Circle will be much aided by the publication of Bakhtin’s Complete Works which will appear over the next few years. This will hopefully be followed by a harmonised English translation which will facilitate an informed assessment in the English speaking world.

Author Information

Craig Brandist
Email: c.s.brandist@sheffield.ac.uk
University of Sheffield
United Kingdom

Francis Bacon (1561—1626)

bacon-francisSir Francis Bacon (later Lord Verulam and the Viscount St. Albans) was an English lawyer, statesman, essayist, historian, intellectual reformer, philosopher, and champion of modern science. Early in his career he claimed “all knowledge as his province” and afterwards dedicated himself to a wholesale revaluation and re-structuring of traditional learning. To take the place of the established tradition (a miscellany of Scholasticism, humanism, and natural magic), he proposed an entirely new system based on empirical and inductive principles and the active development of new arts and inventions, a system whose ultimate goal would be the production of practical knowledge for “the use and benefit of men” and the relief of the human condition.

At the same time that he was founding and promoting this new project for the advancement of learning, Bacon was also moving up the ladder of state service. His career aspirations had been largely disappointed under Elizabeth I, but with the ascension of James his political fortunes rose. Knighted in 1603, he was then steadily promoted to a series of offices, including Solicitor General (1607), Attorney General (1613), and eventually Lord Chancellor (1618). While serving as Chancellor, he was indicted on charges of bribery and forced to leave public office. He then retired to his estate where he devoted himself full time to his continuing literary, scientific, and philosophical work. He died in 1626, leaving behind a cultural legacy that, for better or worse, includes most of the foundation for the triumph of technology and for the modern world as we currently know it.

Table of Contents

  1. Life and Political Career
  2. Thought and Writings
    1. Literary Works
    2. The New Atlantis
    3. Scientific and Philosophical Works
    4. The Great Instauration
    5. The Advancement of Learning
    6. The “Distempers” of Learning
    7. The Idea of Progress
    8. The Reclassification of Knowledge
    9. The New Organon
    10. The Idols
    11. Induction
  3. Reputation and Cultural Legacy
  4. References and Further Reading

1. Life and Political Career

Sir Francis Bacon (later Lord Verulam, the Viscount St. Albans, and Lord Chancellor of England) was born in London in 1561 to a prominent and well-connected family. His parents were Sir Nicholas Bacon, the Lord Keeper of the Seal, and Lady Anne Cooke, daughter of Sir Anthony Cooke, a knight and one-time tutor to the royal family. Lady Anne was a learned woman in her own right, having acquired Greek and Latin as well as Italian and French. She was a sister-in-law both to Sir Thomas Hoby, the esteemed English translator of Castiglione, and to Sir William Cecil (later Lord Burghley), Lord Treasurer, chief counselor to Elizabeth I, and from 1572-1598 the most powerful man in England.

Bacon was educated at home at the family estate at Gorhambury in Herfordshire. In 1573, at the age of just twelve, he entered Trinity College, Cambridge, where the stodgy Scholastic curriculum triggered his lifelong opposition to Aristotelianism (though not to the works of Aristotle himself).

In 1576 Bacon began reading law at Gray’s Inn. Yet only a year later he interrupted his studies in order to take a position in the diplomatic service in France as an assistant to the ambassador. In 1579, while he was still in France, his father died, leaving him (as the second son of a second marriage and the youngest of six heirs) virtually without support. With no position, no land, no income, and no immediate prospects, he returned to England and resumed the study of law.

Bacon completed his law degree in 1582, and in 1588 he was named lecturer in legal studies at Gray’s Inn. In the meantime, he was elected to Parliament in 1584 as a member for Melcombe in Dorsetshire. He would remain in Parliament as a representative for various constituencies for the next 36 years.

In 1593 his blunt criticism of a new tax levy resulted in an unfortunate setback to his career expectations, the Queen taking personal offense at his opposition. Any hopes he had of becoming Attorney General or Solicitor General during her reign were dashed, though Elizabeth eventually relented to the extent of appointing Bacon her Extraordinary Counsel in 1596.

It was around this time that Bacon entered the service of Robert Devereux, the Earl of Essex, a dashing courtier, soldier, plotter of intrigue, and sometime favorite of the Queen. No doubt Bacon viewed Essex as a rising star and a figure who could provide a much-needed boost to his own sagging career. Unfortunately, it was not long before Essex’s own fortunes plummeted following a series of military and political blunders culminating in a disastrous coup attempt. When the coup plot failed, Devereux was arrested, tried, and eventually executed, with Bacon, in his capacity as Queen’s Counsel, playing a vital role in the prosecution of the case.

In 1603, James I succeeded Elizabeth, and Bacon’s prospects for advancement dramatically improved. After being knighted by the king, he swiftly ascended the ladder of state and from 1604-1618 filled a succession of high-profile advisory positions:

  • 1604 – Appointed King’s Counsel.
  • 1607 – Named Solicitor General.
  • 1608 – Appointed Clerk of the Star Chamber.
  • 1613 – Appointed Attorney General.
  • 1616 – Made a member of the Privy Council.
  • 1617 – Appointed Lord Keeper of the Royal Seal (his father’s former office).
  • 1618 – Made Lord Chancellor.

As Lord Chancellor, Bacon wielded a degree of power and influence that he could only have imagined as a young lawyer seeking preferment. Yet it was at this point, while he stood at the very pinnacle of success, that he suffered his great Fall. In 1621 he was arrested and charged with bribery. After pleading guilty, he was heavily fined and sentenced to a prison term in the Tower of London. Although the fine was later waived and Bacon spent only four days in the Tower, he was never allowed to sit in Parliament or hold political office again.

The entire episode was a terrible disgrace for Bacon personally and a stigma that would cling to and injure his reputation for years to come. As various chroniclers of the case have pointed out, the accepting of gifts from suppliants in a law suit was a common practice in Bacon’s day, and it is also true that Bacon ended up judging against the two petitioners who had offered the fateful bribes. Yet the damage was done, and Bacon to his credit accepted the judgment against him without excuse. According to his own Essayes, or Counsels, he should have known and done better. (In this respect it is worth noting that during his forced retirement, Bacon revised and republished the Essayes, injecting an even greater degree of shrewdness into a collection already notable for its worldliness and keen political sense.) Macaulay in a lengthy essay declared Bacon a great intellect but (borrowing a phrase from Bacon’s own letters) a “most dishonest man,” and more than one writer has characterized him as cold, calculating, and arrogant. Yet whatever his flaws, even his enemies conceded that during his trial he accepted his punishment nobly, and moved on.

Bacon spent his remaining years working with renewed determination on his lifelong project: the reform of learning and the establishment of an intellectual community dedicated to the discovery of scientific knowledge for the “use and benefit of men.” The former Lord Chancellor died on 9 April, 1626, supposedly of a cold or pneumonia contracted while testing his theory of the preservative and insulating properties of snow.

2. Thought and Writings

In a way Bacon’s descent from political power was a fortunate fall, for it represented a liberation from the bondage of public life resulting in a remarkable final burst of literary and scientific activity. As Renaissance scholar and Bacon expert Brian Vickers has reminded us, Bacon’s earlier works, impressive as they are, were essentially products of his “spare time.” It was only during his last five years that he was able to concentrate exclusively on writing and produce, in addition to a handful of minor pieces:

  • Two substantial volumes of history and biography, The History of the Reign of King Henry the Seventh and The History of the Reign of King Henry the Eighth.
  • De Augmentis Scientiarum (an expanded Latin version of his earlier Advancement of Learning).
  • The final 1625 edition of his Essayes, or Counsels.
  • The remarkable Sylva Sylvarum, or A Natural History in Ten Centuries (a curious hodge-podge of scientific experiments, personal observations, speculations, ancient teachings, and analytical discussions on topics ranging from the causes of hiccups to explanations for the shortage of rain in Egypt). Artificially divided into ten “centuries” (that is, ten chapters, each consisting of one hundred items), the work was apparently intended to be included in Part Three of the Magna Instauratio.
  • His utopian science-fiction novel The New Atlantis, which was published in unfinished form a year after his death.
  • Various parts of his unfinished magnum opus Magna Instauratio (or Great Instauration), including a “Natural History of Winds” and a “Natural History of Life and Death.”

These late productions represented the capstone of a writing career that spanned more than four decades and encompassed virtually an entire curriculum of literary, scientific, and philosophical studies.

a. Literary Works

Despite the fanatical claims (and very un-Baconian credulity) of a few admirers, it is a virtual certainty that Bacon did not write the works traditionally attributed to William Shakespeare. Even so, the Lord Chancellor’s high place in the history of English literature as well as his influential role in the development of English prose style remain well-established and secure. Indeed even if Bacon had produced nothing else but his masterful Essayes (first published in 1597 and then revised and expanded in 1612 and 1625), he would still rate among the top echelon of 17th-century English authors. And so when we take into account his other writings, e.g., his histories, letters, and especially his major philosophical and scientific works, we must surely place him in the first rank of English literature’s great men of letters and among its finest masters (alongside names like Johnson, Mill, Carlyle, and Ruskin) of non-fiction prose.

Bacon’s style, though elegant, is by no means as simple as it seems or as it is often described. In fact it is actually a fairly complex affair that achieves its air of ease and clarity more through its balanced cadences, natural metaphors, and carefully arranged symmetries than through the use of plain words, commonplace ideas, and straightforward syntax. (In this connection it is noteworthy that in the revised versions of the essays Bacon seems to have deliberately disrupted many of his earlier balanced effects to produce a style that is actually more jagged and, in effect, more challenging to the casual reader.)

Furthermore, just as Bacon’s personal style and living habits were prone to extravagance and never particularly austere, so in his writing he was never quite able to resist the occasional grand word, magniloquent phrase, or orotund effect. (As Dr. Johnson observed, “A dictionary of the English language might be compiled from Bacon’s works alone.”) Bishop Sprat in his 1667 History of the Royal Society honored Bacon and praised the society membership for supposedly eschewing fine words and fancy metaphors and adhering instead to a natural lucidity and “mathematical plainness.” To write in such a way, Sprat suggested, was to follow true, scientific, Baconian principles. And while Bacon himself often expressed similar sentiments (praising blunt expression while condemning the seductions of figurative language), a reader would be hard pressed to find many examples of such spare technique in Bacon’s own writings. Of Bacon’s contemporary readers, at least one took exception to the view that his writing represented a perfect model of plain language and transparent meaning. After perusing the New Organon, King James (to whom Bacon had proudly dedicated the volume) reportedly pronounced the work “like the peace of God, which passeth all understanding.”

b. The New Atlantis

As a work of narrative fiction, Bacon’s novel New Atlantis may be classified as a literary rather than a scientific (or philosophical) work, though it effectively belongs to both categories. According to Bacon’s amanuensis and first biographer William Rawley, the novel represents the first part (showing the design of a great college or institute devoted to the interpretation of nature) of what was to have been a longer and more detailed project (depicting the entire legal structure and political organization of an ideal commonwealth). The work thus stands in the great tradition of the utopian-philosophical novel that stretches from Plato and More to Huxley and Skinner.

The thin plot or fable is little more than a fictional shell to contain the real meat of Bacon’s story: the elaborate description of Salomon’s House (also known as the College of the Six Days Works), a centrally organized research facility where specially trained teams of investigators collect data, conduct experiments, and (most importantly from Bacon’s point of view) apply the knowledge they gain to produce “things of use and practice for man’s life.” These new arts and inventions they eventually share with the outside world.

In terms of its sci-fi adventure elements, the New Atlantis is about as exciting as a government or university re-organization plan. But in terms of its historical impact, the novel has proven to be nothing less than revolutionary, having served not only as an effective inspiration and model for the British Royal Society, but also as an early blueprint and prophecy of the modern research center and international scientific community.

c. Scientific and Philosophical Works

It is never easy to summarize the thought of a prolific and wide-ranging philosopher. Yet Bacon somewhat simplifies the task by his own helpful habits of systematic classification and catchy mnemonic labeling. (Thus, for example, there are three “distempers” – or diseases – of learning,” eleven errors or “peccant humours,” four “Idols,” three primary mental faculties and categories of knowledge, etc.) In effect, by following Bacon’s own methods it is possible to produce a convenient outline or overview of his main scientific and philosophical ideas.

d. The Great Instauration

As early as 1592, in a famous letter to his uncle, Lord Burghley, Bacon declared “all knowledge” to be his province and vowed his personal commitment to a plan for the full-scale rehabilitation and reorganization of learning. In effect, he dedicated himself to a long-term project of intellectual reform, and the balance of his career can be viewed as a continuing effort to make good on that pledge. In 1620, while he was still at the peak of his political success, he published the preliminary description and plan for an enormous work that would fully answer to his earlier declared ambitions. The work, dedicated to James, was to be called Magna Instauratio (that is, the “grand edifice” or Great Instauration), and it would represent a kind of summa or culmination of all Bacon’s thought on subjects ranging from logic and epistemology to practical science (or what in Bacon’s day was called “natural philosophy,” the word science being then but a general synonym for “wisdom” or “learning”).

Like several of Bacon’s projects, the Instauratio in its contemplated form was never finished. Of the intended six parts, only the first two were completed, while the other portions were only partly finished or barely begun. Consequently, the work as we have it is less like the vast but well-sculpted monument that Bacon envisioned than a kind of philosophical miscellany or grab-bag. Part I of the project, De Dignitate et Augmentis Scientiarum (“Nine Books of the Dignity and Advancement of Learning”), was published in 1623. It is basically an enlarged version of the earlier Proficience and Advancement of Learning, which Bacon had presented to James in 1605. Part II, the Novum Organum (or “New Organon”) provides the author’s detailed explanation and demonstration of the correct procedure for interpreting nature. It first appeared in 1620. Together these two works present the essential elements of Bacon’s philosophy, including most of the major ideas and principles that we have come to associate with the terms “Baconian” and “Baconianism.”

e. The Advancement of Learning

Relatively early in his career Bacon judged that, owing mainly to an undue reverence for the past (as well as to an excessive absorption in cultural vanities and frivolities), the intellectual life of Europe had reached a kind of impasse or standstill. Yet he believed there was a way beyond this stagnation if persons of learning, armed with new methods and insights, would simply open their eyes and minds to the world around them. This at any rate was the basic argument of his seminal 1605 treatise The Proficience and Advancement of Learning, arguably the first important philosophical work to be published in English.

It is in this work that Bacon sketched out the main themes and ideas that he continued to refine and develop throughout his career, beginning with the notion that there are clear obstacles to or diseases of learning that must be avoided or purged before further progress is possible.

f. The “Distempers” of Learning

“There be therefore chiefly three vanities in studies, whereby learning hath been most traduced.” Thus Bacon, in the first book of the Advancement. He goes on to refer to these vanities as the three “distempers” of learning and identifies them (in his characteristically memorable fashion) as “fantastical learning,” “contentious learning,” and “delicate learning” (alternatively identified as “vain imaginations,” “vain altercations,” and “vain affectations”).

By fantastical learning (“vain imaginations”) Bacon had in mind what we would today call pseudo-science: i.e., a collection of ideas that lack any real or substantial foundation, that are professed mainly by occultists and charlatans, that are carefully shielded from outside criticism, and that are offered largely to an audience of credulous true believers. In Bacon’s day such “imaginative science” was familiar in the form of astrology, natural magic, and alchemy.

By contentious learning (“vain altercations”) Bacon was referring mainly to Aristotelian philosophy and theology and especially to the Scholastic tradition of logical hair-splitting and metaphysical quibbling. But the phrase applies to any intellectual endeavor in which the principal aim is not new knowledge or deeper understanding but endless debate cherished for its own sake.

Delicate learning (“vain affectations”) was Bacon’s label for the new humanism insofar as (in his view) it seemed concerned not with the actual recovery of ancient texts or the retrieval of past knowledge but merely with the revival of Ciceronian rhetorical embellishments and the reproduction of classical prose style. Such preoccupation with “words more than matter,” with “choiceness of phrase” and the “sweet falling of clauses” – in short, with style over substance – seemed to Bacon (a careful stylist in his own right) the most seductive and decadent literary vice of his age.

Here we may note that from Bacon’s point of view the “distempers” of learning share two main faults:

  1. Prodigal ingenuity – i.e., each distemper represents a lavish and regrettable waste of talent, as inventive minds that might be employed in more productive pursuits exhaust their energy on trivial or puerile enterprises instead.
  2. Sterile results – i.e., instead of contributing to the discovery of new knowledge (and thus to a practical “advancement of learning” and eventually to a better life for all), the distempers of learning are essentially exercises in personal vainglory that aim at little more than idle theorizing or the preservation of older forms of knowledge.

In short, in Bacon’s view the distempers impede genuine intellectual progress by beguiling talented thinkers into fruitless, illusory, or purely self-serving ventures. What is needed – and this is a theme reiterated in all his later writings on learning and human progress – is a program to re-channel that same creative energy into socially useful new discoveries.

g. The Idea of Progress

Though it is hard to pinpoint the birth of an idea, for all intents and purposes the modern idea of technological “progress” (in the sense of a steady, cumulative, historical advance in applied scientific knowledge) began with Bacon’s The Advancement of Learning and became fully articulated in his later works.

Knowledge is power, and when embodied in the form of new technical inventions and mechanical discoveries it is the force that drives history – this was Bacon’s key insight. In many respects this idea was his single greatest invention, and it is all the more remarkable for its having been conceived and promoted at a time when most English and European intellectuals were either reverencing the literary and philosophical achievements of the past or deploring the numerous signs of modern degradation and decline. Indeed, while Bacon was preaching progress and declaring a brave new dawn of scientific advance, many of his colleagues were persuaded that the world was at best creaking along towards a state of senile immobility and eventual darkness. “Our age is iron, and rusty too,” wrote John Donne, contemplating the signs of universal decay in a poem published six years after Bacon’s Advancement.

That history might in fact be progressive, i.e., an onward and upward ascent – and not, as Aristotle had taught, merely cyclical or, as cultural pessimists from Hesiod to Spengler have supposed, a descending or retrograde movement, became for Bacon an article of secular faith which he propounded with evangelical force and a sense of mission. In the Advancement, the idea is offered tentatively, as a kind of hopeful hypothesis. But in later works such as the New Organon, it becomes almost a promised destiny: Enlightenment and a better world, Bacon insists, lie within our power; they require only the cooperation of learned citizens and the active development of the arts and sciences.

h. The Reclassification of Knowledge

In Book II of De Dignitate (his expanded version of the Advancement) Bacon outlines his scheme for a new division of human knowledge into three primary categories: History, Poesy, and Philosophy (which he associates respectively with the three fundamental “faculties” of mind – memory, imagination, and reason). Although the exact motive behind this reclassification remains unclear, one of its main consequences seems unmistakable: it effectively promotes philosophy – and especially Baconian science – above the other two branches of knowledge, in essence defining history as the mere accumulation of brute facts, while reducing art and imaginative literature to the even more marginal status of “feigned history.”

Evidently Bacon believed that in order for a genuine advancement of learning to occur, the prestige of philosophy (and particularly natural philosophy) had to be elevated, while that of history and literature (in a word, humanism) needed to be reduced. Bacon’s scheme effectively accomplishes this by making history (the domain of fact, i.e., of everything that has happened) a virtual sub-species of philosophy (the domain of realistic possibility, i.e., of everything that can theoretically or actually occur). Meanwhile, poesy (the domain of everything that is imaginable or conceivable) is set off to the side as a mere illustrative vehicle. In essence, it becomes simply a means of recreating actual scenes or events from the past (as in history plays or heroic poetry) or of allegorizing or dramatizing new ideas or future possibilities (as in Bacon’s own interesting example of “parabolic poesy,” the New Atlantis.)

i. The New Organon

To the second part of his Great Instauration Bacon gave the title New Organon (or “True Directions concerning the Interpretation of Nature”). The Greek word organon means “instrument” or “tool,” and Bacon clearly felt he was supplying a new instrument for guiding and correcting the mind in its quest for a true understanding of nature. The title also glances at Aristotle’s Organon (a collection that includes his Categories and his Prior and Posterior Analytics) and thus suggests a “new instrument” destined to transcend or replace the older, no longer serviceable one. (This notion of surpassing ancient authority is aptly illustrated on the frontispiece of the 1620 volume containing the New Organon by a ship boldly sailing beyond the mythical pillars of Hercules, which supposedly marked the end of the known world.)

The New Organon is presented not in the form of a treatise or methodical demonstration but as a series of aphorisms, a technique that Bacon came to favor as less legislative and dogmatic and more in the true spirit of scientific experiment and critical inquiry. Combined with his gift for illustrative metaphor and symbol, the aphoristic style makes the New Organon in many places the most readable and literary of all Bacon’s scientific and philosophical works.

j. The Idols

In Book I of the New Organon (Aphorisms 39-68), Bacon introduces his famous doctrine of the “idols.” These are characteristic errors, natural tendencies, or defects that beset the mind and prevent it from achieving a full and accurate understanding of nature. Bacon points out that recognizing and counteracting the idols is as important to the study of nature as the recognition and refutation of bad arguments is to logic. Incidentally, he uses the word “idol” – from the Greek eidolon (“image” or “phantom”) – not in the sense of a false god or heathen deity but rather in the sense employed in Epicurean physics. Thus a Baconian idol is a potential deception or source of misunderstanding, especially one that clouds or confuses our knowledge of external reality.

Bacon identifies four different classes of idol. Each arises from a different source, and each presents its own special hazards and difficulties.

1. The Idols of the Tribe.

These are the natural weaknesses and tendencies common to human nature. Because they are innate, they cannot be completely eliminated, but only recognized and compensated for. Some of Bacon’s examples are:

  • Our senses – which are inherently dull and easily deceivable. (Which is why Bacon prescribes instruments and strict investigative methods to correct them.)
  • Our tendency to discern (or even impose) more order in phenomena than is actually there. As Bacon points out, we are apt to find similitude where there is actually singularity, regularity where there is actually randomness, etc.
  • Our tendency towards “wishful thinking.” According to Bacon, we have a natural inclination to accept, believe, and even prove what we would prefer to be true.
  • Our tendency to rush to conclusions and make premature judgments (instead of gradually and painstakingly accumulating evidence).

2. The Idols of the Cave.

Unlike the idols of the tribe, which are common to all human beings, those of the cave vary from individual to individual. They arise, that is to say, not from nature but from culture and thus reflect the peculiar distortions, prejudices, and beliefs that we are all subject to owing to our different family backgrounds, childhood experiences, education, training, gender, religion, social class, etc. Examples include:

  • Special allegiance to a particular discipline or theory.
  • High esteem for a few select authorities.
  • A “cookie-cutter” mentality – that is, a tendency to reduce or confine phenomena within the terms of our own narrow training or discipline.

3. The Idols of the Market Place.

These are hindrances to clear thinking that arise, Bacon says, from the “intercourse and association of men with each other.” The main culprit here is language, though not just common speech, but also (and perhaps particularly) the special discourses, vocabularies, and jargons of various academic communities and disciplines. He points out that “the idols imposed by words on the understanding are of two kinds”: “they are either names of things that do not exist” (e.g., the crystalline spheres of Aristotelian cosmology) or faulty, vague, or misleading names for things that do exist (according to Bacon, abstract qualities and value terms – e.g., “moist,” “useful,” etc. – can be a particular source of confusion).

4. The Idols of the Theatre.

Like the idols of the cave, those of the theatre are culturally acquired rather than innate. And although the metaphor of a theatre suggests an artificial imitation of truth, as in drama or fiction, Bacon makes it clear that these idols derive mainly from grand schemes or systems of philosophy – and especially from three particular types of philosophy:

  • Sophistical Philosophy – that is, philosophical systems based only on a few casually observed instances (or on no experimental evidence at all) and thus constructed mainly out of abstract argument and speculation. Bacon cites Scholasticism as a conspicuous example.
  • Empirical Philosophy – that is, a philosophical system ultimately based on a single key insight (or on a very narrow base of research), which is then erected into a model or paradigm to explain phenomena of all kinds. Bacon cites the example of William Gilbert, whose experiments with the lodestone persuaded him that magnetism operated as the hidden force behind virtually all earthly phenomena.
  • Superstitious Philosophy – this is Bacon’s phrase for any system of thought that mixes theology and philosophy. He cites Pythagoras and Plato as guilty of this practice, but also points his finger at pious contemporary efforts, similar to those of Creationists today, to found systems of natural philosophy on Genesis or the book of Job.

k. Induction

At the beginning of the Magna Instauratio and in Book II of the New Organon, Bacon introduces his system of “true and perfect Induction,” which he proposes as the essential foundation of scientific method and a necessary tool for the proper interpretation of nature. (This system was to have been more fully explained and demonstrated in Part IV of the Instauratio in a section titled “The Ladder of the Intellect,” but unfortunately the work never got beyond an introduction.)

According to Bacon, his system differs not only from the deductive logic and mania for syllogisms of the Schoolmen, but also from the classic induction of Aristotle and other logicians. As Bacon explains it, classic induction proceeds “at once from . . . sense and particulars up to the most general propositions” and then works backward (via deduction) to arrive at intermediate propositions. Thus, for example, from a few observations one might conclude (via induction) that “all new cars are shiny.” One would then be entitled to proceed backward from this general axiom to deduce such middle-level axioms as “all new Lexuses are shiny,” “all new Jeeps are shiny,” etc. – axioms that presumably would not need to be verified empirically since their truth would be logically guaranteed as long as the original generalization (“all new cars are shiny”) is true.

As Bacon rightly points out, one problem with this procedure is that if the general axioms prove false, all the intermediate axioms may be false as well. All it takes is one contradictory instance (in this case one new car with a dull finish) and “the whole edifice tumbles.” For this reason Bacon prescribes a different path. His method is to proceed “regularly and gradually from one axiom to another, so that the most general are not reached till the last.” In other words, each axiom – i.e., each step up “the ladder of intellect” – is thoroughly tested by observation and experimentation before the next step is taken. In effect, each confirmed axiom becomes a foothold to a higher truth, with the most general axioms representing the last stage of the process.

Thus, in the example described, the Baconian investigator would be obliged to examine a full inventory of new Chevrolets, Lexuses, Jeeps, etc., before reaching any conclusions about new cars in general. And while Bacon admits that such a method can be laborious, he argues that it eventually produces a stable edifice of knowledge instead of a rickety structure that collapses with the appearance of a single disconfirming instance. (Indeed, according to Bacon, when one follows his inductive procedure, a negative instance actually becomes something to be welcomed rather than feared. For instead of threatening an entire assembly, the discovery of a false generalization actually saves the investigator the trouble of having to proceed further in a particular direction or line of inquiry. Meanwhile the structure of truth that he has already built remains intact.)

Is Bacon’s system, then, a sound and reliable procedure, a strong ladder leading from carefully observed particulars to true and “inevitable” conclusions? Although he himself firmly believed in the utility and overall superiority of his method, many of his commentators and critics have had doubts. For one thing, it is not clear that the Baconian procedure, taken by itself, leads conclusively to any general propositions, much less to scientific principles or theoretical statements that we can accept as universally true. For at what point is the Baconian investigator willing to make the leap from observed particulars to abstract generalizations? After a dozen instances? A thousand? The fact is, Bacon’s method provides nothing to guide the investigator in this determination other than sheer instinct or professional judgment, and thus the tendency is for the investigation of particulars – the steady observation and collection of data – to go on continuously, and in effect endlessly.

One can thus easily imagine a scenario in which the piling up of instances becomes not just the initial stage in a process, but the very essence of the process itself; in effect, a zealous foraging after facts (in the New Organon Bacon famously compares the ideal Baconian researcher to a busy bee) becomes not only a means to knowledge, but an activity vigorously pursued for its own sake. Every scientist and academic person knows how tempting it is to put off the hard work of imaginative thinking in order to continue doing some form of rote research. Every investigator knows how easy it is to become wrapped up in data – with the unhappy result that one’s intended ascent up the Baconian ladder gets stuck in mundane matters of fact and never quite gets off the ground.

It was no doubt considerations like these that prompted the English physician (and neo-Aristotelian) William Harvey, of circulation-of-the-blood fame, to quip that Bacon wrote of natural philosophy “like a Lord Chancellor” – indeed like a politician or legislator rather than a practitioner. The assessment is just to the extent that Bacon in the New Organon does indeed prescribe a new and extremely rigid procedure for the investigation of nature rather than describe the more or less instinctive and improvisational – and by no means exclusively empirical – method that Kepler, Galileo, Harvey himself, and other working scientists were actually employing. In fact, other than Tycho Brahe, the Danish astronomer who, overseeing a team of assistants, faithfully observed and then painstakingly recorded entire volumes of astronomical data in tidy, systematically arranged tables, it is doubtful that there is another major figure in the history of science who can be legitimately termed an authentic, true-blooded Baconian. (Darwin, it is true, claimed that The Origin of Species was based on “Baconian principles.” However, it is one thing to collect instances in order to compare species and show a relationship among them; it is quite another to theorize a mechanism, namely evolution by mutation and natural selection, that elegantly and powerfully explains their entire history and variety.)

Science, that is to say, does not, and has probably never advanced according to the strict, gradual, ever-plodding method of Baconian observation and induction. It proceeds instead by unpredictable – and often intuitive and even (though Bacon would cringe at the word) imaginative – leaps and bounds. Kepler used Tycho’s scrupulously gathered data to support his own heart-felt and even occult belief that the movements of celestial bodies are regular and symmetrical, composing a true harmony of the spheres. Galileo tossed unequal weights from the Leaning Tower as a mere public demonstration of the fact (contrary to Aristotle) that they would fall at the same rate. He had long before satisfied himself that this would happen via the very un-Bacon-like method of mathematical reasoning and deductive thought-experiment. Harvey, by a similar process of quantitative analysis and deductive logic, knew that the blood must circulate, and it was only to provide proof of this fact that he set himself the secondary task of amassing empirical evidence and establishing the actual method by which it did so.

One could enumerate – in true Baconian fashion – a host of further instances. But the point is already made: advances in scientific knowledge have not been achieved for the most part via Baconian induction (which amounts to a kind of systematic and exhaustive survey of nature supposedly leading to ultimate insights) but rather by shrewd hints and guesses – in a word by hypotheses – that are then either corroborated or (in Karl Popper’s important term) falsified by subsequent research.

In summary, then, it can be said that Bacon underestimated the role of imagination and hypothesis (and overestimated the value of minute observation and bee-like data collection) in the production of new scientific knowledge. And in this respect it is true that he wrote of science like a Lord Chancellor, regally proclaiming the benefits of his own new and supposedly foolproof technique instead of recognizing and adapting procedures that had already been tested and approved. On the other hand, it must be added that Bacon did not present himself (or his method) as the final authority on the investigation of nature or, for that matter, on any other topic or issue relating to the advance of knowledge. By his own admission, he was but the Buccinator, or “trumpeter,” of such a revolutionary advance – not the founder or builder of a vast new system, but only the herald or announcing messenger of a new world to come.

3. Reputation and Cultural Legacy

If anyone deserves the title “universal genius” or “Renaissance man” (accolades traditionally reserved for those who make significant, original contributions to more than one professional discipline or area of learning), Bacon clearly merits the designation. Like Leonardo and Goethe, he produced important work in both the arts and sciences. Like Cicero, Marcus Aurelius, Benjamin Franklin, and Thomas Jefferson, he combined wide and ample intellectual and literary interests (from practical rhetoric and the study of nature to moral philosophy and educational reform) with a substantial political career. Like his near contemporary Machiavelli, he excelled in a variety of literary genres – from learned treatises to light entertainments – though, also like the great Florentine writer, he thought of himself mainly as a political statesman and practical visionary: a man whose primary goal was less to obtain literary laurels for himself than to mold the agendas and guide the policy decisions of powerful nobles and heads of state.

In our own era Bacon would be acclaimed as a “public intellectual,” though his personal record of service and authorship would certainly dwarf the achievements of most academic and political leaders today. Like nearly all public figures, he was controversial. His chaplain and first biographer William Rawley declared him “the glory of his age and nation” and portrayed him as an angel of enlightenment and social vision. His admirers in the Royal Society (an organization that traced its own inspiration and lineage to the Lord Chancellor’s writings) viewed him as nothing less than the daring originator of a new intellectual era. The poet Abraham Cowley called him a “Moses” and portrayed him as an exalted leader who virtually all by himself had set learning on a bold, firm, and entirely new path:

Bacon at last, a mighty Man, arose

Whom a wise King and Nature chose

Lord Chancellour of both their Lawes. . . .

The barren Wilderness he past,

Did on the very Border stand

Of the great promis’d Land,

And from the Mountains Top of his Exalted Wit,

Saw it himself and shew’d us it. . . .

Similarly adulatory if more prosaic assessments were offered by learned contemporaries or near contemporaries from Descartes and Gassendi to Robert Hooke and Robert Boyle. Leibniz was particularly generous and observed that, compared to Bacon’s philosophical range and lofty vision, even a great genius like Descartes “creeps on the ground.” On the other hand, Spinoza, another close contemporary, dismissed Bacon’s work (especially his inductive theories) completely and in effect denied that the supposedly grand philosophical revolution decreed by Bacon, and welcomed by his partisans, had ever occurred.

The response of the later Enlightenment was similarly divided, with a majority of thinkers lavishly praising Bacon while a dissenting minority castigated or even ridiculed him. The French encyclopedists Jean d’Alembert and Denis Diderot sounded the keynote of this 18th-century re-assessment, essentially hailing Bacon as a founding father of the modern era and emblazoning his name on the front page of the Encyclopedia. In a similar gesture, Kant dedicated his Critique of Pure Reason to Bacon and likewise saluted him as an early architect of modernity. Hegel, on the other hand, took a dimmer view. In his “Lectures on the History of Philosophy” he congratulated Bacon on his worldly sophistication and shrewdness of mind, but ultimately judged him to be a person of depraved character and a mere “coiner of mottoes.” In his view, the Lord Chancellor was a decidedly low-minded (read typically English and utilitarian) philosopher whose instruction was fit mainly for “civil servants and shopkeepers.”

Probably the fullest and most perceptive Enlightenment account of Bacon’s achievement and place in history was Voltaire’s laudatory essay in his Letters on the English. After referring to Bacon as the father of experimental philosophy, he went on to assess his literary merits, judging him to be an elegant, instructive, and witty writer, though too much given to “fustian.”

Bacon’s reputation and legacy remain controversial even today. While no historian of science or philosophy doubts his immense importance both as a proselytizer on behalf of the empirical method and as an advocate of sweeping intellectual reform, opinion varies widely as to the actual social value and moral significance of the ideas that he represented and effectively bequeathed to us. The issue basically comes down to one’s estimate of or sympathy for the entire Enlightenment/Utilitarian project. Those who for the most part share Bacon’s view that nature exists mainly for human use and benefit, and who furthermore endorse his opinion that scientific inquiry should aim first and foremost at the amelioration of the human condition and the “relief of man’s estate,” generally applaud him as a great social visionary. On the other hand, those who view nature as an entity in its own right, a higher-order estate of which the human community is only a part, tend to perceive him as a kind of arch-villain – the evil originator of the idea of science as the instrument of global imperialism and technological conquest.

On the one side, then, we have figures like the anthropologist and science writer Loren Eiseley, who portrays Bacon (whom he calls “the man who saw through time”) as a kind of Promethean culture hero. He praises Bacon as the great inventor of the idea of science as both a communal enterprise and a practical discipline in the service of humanity. On the other side, we have writers, from Theodor Adorno, Max Horkheimer, and Lewis Mumford to, more recently, Jeremy Rifkin and eco-feminist Carolyn Merchant, who have represented him as one of the main culprits behind what they perceive as western science’s continuing legacy of alienation, exploitation, and ecological oppression.

Clearly somewhere in between this ardent Baconolotry on the one hand and strident demonization of Bacon on the other lies the real Lord Chancellor: a Colossus with feet of clay. He was by no means a great system-builder (indeed his Magna Instauratio turned out to be less of a “grand edifice” than a magnificent heap) but rather, as he more modestly portrayed himself, a great spokesman for the reform of learning and a champion of modern science. In the end we can say that he was one of the giant figures of intellectual history – and as brilliant, and flawed, a philosopher as he was a statesman.

4. References and Further Reading

Note: The standard edition of Bacon’s Works and Letters and Life is still that of James Spedding, et. al., (14 volumes, London, 1857- 1874), also available in a facsimile reprint (Stuttgart, 1989).

  • Adorno, Theodor and Max Horkheimer. The Dialectic of Enlightenment. 1944.
  • Anderson, F. H. Francis Bacon: His Career and His Thought. Los Angeles: University of Southern California Press, 1962.
  • Bury, J.B. The Idea of Progress. London: MacMillan, 1920.
  • Eiseley, Loren. The Man Who Saw Through Time. New York: Scribners, 1973.
  • Fish, Stanley E. “The Experience of Bacon’s Essays.” In Self-Consuming Artifacts. Berkeley, CA: University of California Press, 1972.
  • Gaukroger, Stephen. Francis Bacon and the Transformation of Early-modern Philosophy. Cambridge, U.K. ; New York : Cambridge University Press, 2001.
  • Merchant, Carolyn. The Death of Nature: Women, Ecology, and the Scientific Revolution. San Francisco: Harper and Row, 1980.
  • Mumford, Lewis. Technics and Civilization. 1934.
  • Lampert, Laurence. Nietzsche and Modern Times : A Study of Bacon, Descartes, and Nietzsche. New Haven, Conn.: Yale University Press, 1993.
  • Rifkin, Jeremy. Biosphere Politics. New York: Crown, 1991.
  • Rossi, Paolo. Francis Bacon: from Magic to Science. Trans. Sacha Rabinovitch. Chicago: University of Chicago Press, 1968.
  • Vickers, Brian. Francis Bacon. Harlow, UK: Longman Group, 1978.
  • Vickers, Brian, Ed. Francis Bacon. New York : Oxford University Press, 1996.
  • Whitney, Charles. Francis Bacon and Modernity. New Haven, CN: Yale University Press, 1986.

Author Information

David Simpson
Email: dsimpson@condor.depaul.edu
DePaul University
U. S. A.

Cyrenaics

The Cyrenaics are one of the minor Socratic schools. The school was founded by Aristippus, a follower of Socrates. The Cyrenaics are notable mainly for their empiricist and skeptical epistemology and their sensualist hedonism. They believe that we can have certain knowledge of our immediate states of perceptual awareness, for example, that I am seeing white now. However, we cannot go beyond these experiences to gain any knowledge about the objects themselves that cause these experiences or about the external world in general. Some of their arguments prefigure the positions of later Greek skeptics, and their distinction between the incorrigibility of immediate perceptual states versus the uncertainty of belief about the external world became key to the epistemological problems confronting philosophers of the ‘modern’ period, such as Descartes and Hume. In ethics, they advocate pleasure as the highest good. Furthermore, bodily pleasures are preferable to mental pleasures, and we should pursue whatever will bring us pleasure now, rather than deferring present pleasures for the sake of achieving better long-term consequences. In all these respects, their iconoclastic and ‘crude’ hedonism stands well outside the mainstream of Greek ethical thought, and their theories were often contrasted with Epicurus’ more moderate hedonism.

Table of Contents

  1. History
  2. Epistemology
    1. Experiences and Their Causes
      1. The Relativity of Perception
      2. The Privacy of Experience and the Problem of Other Minds
    2. The Cyrenaics, Relativism, and Skepticism
      1. The Cyrenaics and Protagoras
      2. The Cyrenaics and Pyrrhonian Skeptics
  3. Ethics
    1. The Value and Nature of Pleasure
    2. Pleasure, Happiness, and Prudence
      1. Personal Identity and Momentary Pleasure
      2. The Self-Defeating Nature of Future-Concern
      3. Present Preferences and Future-Concern
    3. Custom, Morality, and Friendship
    4. Later Cyrenaics
      1. Hegesias
      2. Anniceris
      3. Theodorus
  4. Ancient Sources
  5. References and Further Reading

1. History

The Cyrenaic school was founded by Aristippus (c. 435-356 B.C.), a follower of Socrates and a rough contemporary of Plato. The name ‘Cyrenaic’ comes from Cyrene, Aristippus’ home town, a Greek colony in Northern Africa. Aristippus taught philosophy to his daughter Arete, who in turn taught philosophy to her son Aristippus. Aristippus the younger formulated many of the theories of the Cyrenaic school, so that some scholars count him as being more properly the founder of the school, with Aristippus the Elder being merely the school’s figurehead. However, disentangling the exact contributions of the two to the Cyrenaic philosophy is difficult. Later Cyrenaics, notably Hegesias, Anniceris, and Theodorus, who were rough contemporaries of Epicurus, modified the Cyrenaic ethical doctrines in different directions, and the school died out shortly afterwards, around the middle of the 3rd century B.C. However, it did have some influence on later philosophers. Epicurus most likely developed some of the distinctive features of his ascetic hedonism in order to avoid what he saw as the unpalatable consequences of Cyrenaic hedonism, and many of the Cyrenaic arguments against the possibility of gaining knowledge of the external world were appropriated by later academic and Pyrrhonian skeptics.

2. Epistemology

The Cyrenaics are empiricists and skeptics. As empiricists, they believe that all that we have access to as a potential source of knowledge are our own experiences. These experiences are private to each of us. We can have incorrigible knowledge of our experiences (that is, it impossible to be mistaken about what we are currently experiencing), but not of the objects that cause us to have these experiences. This results in their skepticism—their conviction that we cannot have knowledge of the external world.

a. Experiences and Their Causes

The Cyrenaics affirm that pathê–affections, or experiences–are the criterion of knowledge. They distinguish sharply between the experiences that one has– for example, that I am now seeing gray–and the objects that cause one to have these experiences– for example, the computer screen.

We can have infallible knowledge of our own experiences, since we have immediate access to them, but we do not have access to objects and qualities in the external world. As the Cyrenaics put it, “The experience which takes place in us reveals to us nothing more than itself.” The Cyrenaics reinforce this point by saying that, strictly speaking, we should not say, “I am seeing something yellow,” for instance, but “I am being yellowed,” or “I am being moved by something yellowly,” since the latter statements make it clear that we are reporting only our immediate perceptual state. (In this respect, the Cyrenaics bear a striking resemblance to some modern epistemologists, who resort to locutions like “I am being appeared to redly now” as describing accurately what is immediately given to us in experience.)

The Cyrenaics have two main arguments for why it is impossible to make inferences about the qualities of objects in the external world on the basis of our experiences:

i. The Relativity of Perception

The Cyrenaics note that the same object can cause different perceivers to experience different sensible qualities, depending on the bodily condition of the perceivers. For instance, honey will taste sweet to most people, but bitter to somebody with an illness, and the same wall that appears white to one person will look yellow to somebody with jaundice. And if a person presses his eye, he sees double.

From the fact that the wall appears white to me and yellow to you, the Cyrenaics think we should infer that we cannot know which quality the wall itself has on the basis of our experience of it, presumably because we have no criterion outside of our experiences to use to adjudicate which one (if either) of our experiences is correct. Such arguments from the relativity of perception are common in ancient Greek philosophy, and other thinkers draw different conclusions; for example, Protagoras says we should conclude that the wall is both white (for me) and yellow (for you), while Democritus thinks that we should conclude that it is neither white nor yellow.

ii. The Privacy of Experience and the Problem of Other Minds

Even if all people were to agree on the perceptual quality that some object has–for instance, that a wall appears white–the Cyrenaics still think that we could not confidently say that we are having the same experience. This is because each of us has access only to our own experiences, not to those of other people, and so the mere fact that each of us calls the wall ‘white’ does not show us that we are all having the same experience that I am having when I use the word ‘white.’

This argument of the Cyrenaics anticipates the problem of other minds—that is, how can I know that other people have a mind like I do, since I only observe their behavior (if even that), not the mental states that might or might not cause that behavior?

b. The Cyrenaics, Relativism, and Skepticism

The Cyrenaic position bears some striking resemblance to the relativistic epistemology of the sophist Protagoras, as depicted in Plato’s dialogue Theaetetus, and to the skeptical epistemology of the Pyrrhonists. Because of this, the Cyrenaics’ epistemology is sometimes wrongly assimilated that of Protagoras or the Pyrrhonists. However, the Cyrenaics’ subjectivism is quite different from those positions, and explaining their differences will help bring out what is distinctive about the Cyrenaics.

i. The Cyrenaics and Protagoras

The Cyrenaics and Protagoras do have similar starting-points. Protagoras also says that knowledge comes from perception. He uses basically the same arguments from relativity that the Cyrenaics use, and on their basis asserts that each of us infallibly has knowledge of how things appear to us. So, if I feel that the wind is hot, and judge that “the wind is hot,” I am judging truly (for me) how the wind is. And if the wind feels not-hot to you, and you judge that “the wind is not hot,” you are also judging truly (for you) how the wind is. These apparently contradictory statements can both betrue, since each of us is judging only about how things appear to us.

However, there are important differences between Protagoras’ relativism and the Cyrenaics’ subjectivism. The Cyrenaics would more likely want to say “that the wind appears hot to me is true” (simpliciter) rather than “‘The wind is hot’ is true-for-me.” The Cyrenaic position retains the possibility of error whenever you go beyond the immediate content of your experience, whereas Protagoras says that however things appear to you is ‘true for you.’ According to the Cyrenaics, I may know infallibly that “I am being appeared to hotly now,” but if I were to say that the wind itself were hot, I might be mistaken, and if I were to judge that “You are being appeared to hotly now,” whereas in fact you were having a chilly experience, I would be mistaken. Protagoras, as depicted in the Theaetetus, does away with the possibility of people genuinely contradicting one another, since all statements are about how things appear to the individual making the statement, and hence all (sincere) statements turn out to be true–for that individual, at that time.

Also, when Protagoras says that each us can judge infallibly how things ‘appear’ to us, the sense of ‘appearance’ that Protagoras is using extends beyond the initial restricted sense of phenomenal appearances, for example, a wind feeling hot or a wall seeming white, to cover beliefs generally. That is, if I believe that “the laws of Athens are just,” then Protagoras would say that this is equivalent to “it seems to me that the laws of Athens are just.” And since each of us can judge infallibly about our own appearances, I can also know that it is true (for me) that “the laws of Athens are just.” The Cyrenaics retain the more restricted sense of ‘appearance,’ where each of can know infallibly our immediate perceptual states, for instance, knowing that I am having a red experience, but this does not extend to knowledge of laws ‘appearing’ to be just, or the future ‘appearing’ to be hopeful.

ii. The Cyrenaics and Pyrrhonian Skeptics

The later academic and Pyrrhonian skeptics make use of arguments from the relativity of perception to try to refute the position of dogmatists, like the Stoics and the Epicureans, who claim that we can gain knowledge of the external world on the basis of sense-perception. However, although the Cyrenaics might properly be called ‘skeptics,’ their skepticism differs from the skepticism of the Pyrrhonists in at least three respects.

The first difference is that the Cyrenaics claim that we can have knowledge of the contents of our experiences, while the Pyrrhonists disavow any knowledge whatsoever. However, this difference might not be as significant as it seems, since the Pyrrhonists do acknowledge that we can accurately report how things appear to us– for example, that the wind appears hot. However, they refuse to say that this qualifies as knowledge, since knowledge concerns how things are, not merely how they appear to us.

The second difference is that the Cyrenaics claim that it is impossible to gain knowledge of the external world, while the Pyrrhonists claim neither that one can nor that one cannot gain such knowledge. The Pyrrhonists would label the Cyrenaic position as a form of ‘negative dogmatism,’ since the Cyrenaics do advance assertions about the impossibility of knowledge of the external world. This is a type of second-order purported ‘knowledge’ about the limits of our knowledge, and the Pyrrhonists, as true skeptics, do not make even these types of pronouncements.

Third, although the Cyrenaics do claim that it is impossible to gain knowledge of what the external world is like, it is not as clear that they doubt that there exists an external world, which the Pyrrhonists do. Some sources ascribe to the Cyrenaics the position that whether there is an external world is not known, while others ascribe to them the position that we can know that there is an external world that is the cause of our experiences, but that we cannot know what this world is like. The latter position fits in more smoothly with the way the Cyrenaics conceive of experiences, as effects of external causes (“I am being yellowed”), but has obvious difficulties of its own. (For instance, if we can know nothing about what characteristics objects in the external world have, what basis do we have to think that these objects exist?) However, if this is what the Cyrenaics think, a parallel can be drawn between their position and what Immanuel Kant says about the existence of the noumenal world of ‘things in themselves,’ which is the unknowable source of the data which ultimately forms our experiences.

Finally, the Cyrenaic position, at least in the limited reports we have concerning it, does not appear to be as fully-developed as that of the later skeptics. The academic and Pyrrhonian skeptics engaged in long controversies with the dogmatists, and as a result, they needed to answer the objections of the dogmatists, for example, that it is impossible to live as a skeptic, or that skepticism is self-refuting. The Cyrenaics, as far as we know, do not address these questions.

3. Ethics

The Cyrenaics are unabashed sensual hedonists: the highest good is my own pleasure, with all else being valuable only as a means to securing my own pleasure, and bodily pleasures are better than mental pleasures. Their iconoclastic theory stands well outside the mainstream of Greek ethical thought, with the traditional virtues of moderation, justice, and friendship being disparaged by them.

a. The Value and Nature of Pleasure

The Cyrenaics start from the Greek ethical commonplace that the highest good is what we all seek for its own sake, and not for the sake of anything else. This they identify as pleasure, because we instinctively seek pleasure for its own sake, and when we achieve pleasure, we want nothing more. Similarly, pain is bad because we shun it.

When the Cyrenaics say that ‘pleasure’ is the highest good, they do not mean that pleasure in general in good, so that we should seek to maximize the overall amount of pleasure in the world, as utilitarians say. Instead, they mean that, for each of us, our own pleasure is what is valuable to us, because that is what each of us seeks. Also, each of us can only experience our own pleasures, and not the pleasures of other people. Thus, the Cyrenaic view is a form of egoistic hedonism.

Pleasure and pain are both ‘movements,’ according to the Cyrenaics: pleasure a smooth motion, and pain a rough motion. The absence of either type of motion is an intermediate state which is neither pleasurable nor painful. This is directed against Epicurus’ theory that thehomeostatic state of being free of pain, need and worry is itself most pleasant. The Cyrenaics make fun of the Epicurean theory by saying that this state of being free of desires and pain is the condition of a corpse.

The Cyrenaics admit that there are both bodily pleasures (for example, sexual gratification) and mental pleasures ( for example, delight at the prosperity of one’s country), and they maintain, against the Epicureans, that not all mental pleasures are based upon bodily pleasures. However, they exalt bodily over mental pleasures, presumably because bodily pleasures are much more vivid than mental pleasures. They also assert that bodily pains are worse than mental pains, and give as evidence for this claim that criminals are punished with bodily instead of mental pains.

b. Pleasure, Happiness, and Prudence

One of the most striking features of Cyrenaic ethics is their assertion that it is pleasure, and not happiness, which is the highest good. Almost all other Greek theorists agree that happiness is the highest good, but disagree about what happiness consists in. Even Epicurus, who is a hedonist, remains within this tradition by asserting that happiness is the same as leading a pleasant life. The Cyrenaics, however, say that what we really seek are individual pleasures, for example, the pleasure of eating a steak. Happiness, which is thought of as the sum of all of these individual pleasures, is valuable only because of the value of each of the individual pleasures that make it up.

Another striking feature of the Cyrenaic theory is its lack of future-concern. The Cyrenaics advocate going after whatever will bring one pleasure now, enjoying the pleasure while one is experiencing it, and not worrying too much about what the future will bring. Although the Cyrenaics say that prudence is valuable for attaining pleasure, they do not seem much concerned with exercising self-control in pursuing pleasure, or with deferring present pleasures (or undergoing present pains) for the sake of experiencing greater pleasure (or avoiding greater pains) in the future.

This lack of future-concern is not a direct consequence of their hedonism, nor of their privileging of bodily over mental pleasures. If pleasure is the highest good, and one wants to maximize the pleasure in one’s life, then the natural position to take is the one Socrates lays out in Plato’s dialogue the Protagoras. Socrates describes a type of hedonism in which one uses a ‘measuring art’ to weigh equally all of the future pleasures and pains one would experience . Although present pleasures might seem more alluring than distant ones, Socrates maintains that this is like an optical illusion in which nearer objects seem larger than distant ones, and that one must correct for this distortion if one is going to plan one’s life rationally. Epicurus, likewise, says that the wise person is willing to forgo some particular pleasure if that pleasure will bring one greater pain in the future. Simply indulging in whatever pleasures are close at hand will ultimately bring one unhappiness.

The texts we have do not allow us to obtain with any degree of confidence the reasons that the Cyrenaics have for their advocacy of the pleasures of the moment. There are at least three plausible speculations, however:

i. Personal Identity and Momentary Pleasure

The first reason that the Cyrenaics might have for rejecting long-term planning about one’s pursuits is that they are skeptical about personal identity across time. If all I have access to are momentary, fluctuating experiences, what reason do I have to think that the ‘self’ that exists today will be the same ‘self’ as the person who will bear my name 30 years hence? After all, in most respects, a person at 30 years old is almost completely different from that ‘same’ person at 10, and the ‘same’ person at 50 will also be much changed. So, if what I desire is pleasure for myself, what reason do I have to sacrifice my pleasures for the sake of the pleasures of that ‘other’ person down the temporal stream from myself? Nursing a hangover, or deep in debt, that future self might curse the past self for his intemperance, but what concern is that of mine?

If the Cyrenaics do believe that personal identity does not persist over time, their position would be similar to one espoused by Protagoras in the Theaetetus. Because of the similarities between the Protagorean and Cyrenaic epistemologies, as well as the fact that having such a position would help make sense of the Cyrenaics’ focus on pursuing present pleasures, some scholars have attributed this view of personal identity to the Cyrenaics. However, there is little direct evidence that they held such a view, and the way they describe people and objects seems, indeed, to presuppose their identity across time.

ii. The Self-Defeating Nature of Future-Concern

The Cyrenaics may also think that planning for the future, and trying to assure happiness by foregoing present pleasures for the sake of the future, is self-defeating. If this is right, then it is not the case that the Cyrenaics think that future pleasures and pains are unimportant, it is simply that they believe that worrying about the future is futile. One gains happiness, and maximizes the pleasure in one’s life, not by anxiously planning one’s future out, and toiling on behalf of the future, but simply by enjoying whatever pleasures are immediately at hand, without worrying about the long-term consequences.

The Cyrenaics think that “to pile up the pleasures which produce happiness is most unpleasant,” because one will need to be choosing things which are painful for the sake of future pleasures. The Cyrenaics instead aim at enjoying the pleasures that are present, without letting themselves be troubled at what is not present, that is, the past and future. Epicurus thinks that the memory of past pleasures, and the expectation of future pleasures, are themselves most pleasant, and hence he emphasizes the importance of careful planning in arranging what one will experience in the future. The Cyrenaics, however, deny this, saying that pleasures are pleasant only when actually being experienced.

iii. Present Preferences and Future-Concern

Finally, the Cyrenaics lack of future-concern may result from radically relativizing the good to one’s present preferences. It’s reported that Aristippus “discerned the good by the single present time alone,” and later Cyrenaics assert that there is no telos–goal or good–to life asa whole; instead, particular actions and desires each aim at some particular pleasure. So the notion of some overall goal or good for one’s entire life is rejected and is replaced by a succession of short-terms goals. As one’s desires change over time, what is good for you at that time likewise changes, and at each moment, it makes sense to try to satisfy the desires that one has at that time, without regard to the desires one may happen to have in the future.

If the Cyrenaics thought that to choose rationally is to endeavor to maximize the fulfillment of one’s present preferences, their position would be analogous to the model of economic rationality put forward by current philosophers like David Gauthier.

c. Custom, Morality, and Friendship

In ancient times, the Cyrenaics were among the most dismissive of traditional Greek morality. They say that nothing is just or base by nature: what is just or base is set entirely by the customs and conventions of particular societies. So, for instance, there is nothing in the world or in human nature that makes incest, or stealing, or parricide wrong in themselves. However, these things become base in a particular society because the laws and customs of that society designate those practices as base. You should normally refrain from wrong-doing, not because wrong-doing is bad in itself, but because of the punishments that you will suffer if you are caught.

Many of the stories surrounding Aristippus stress his willingness to do things that were considered demeaning or shocking, like putting on a woman’s robes when the king commands it, or exposing his child to die with no remorse when it was an inconvenience. Although most of these stories are malicious and probably untrue, they do seem to have a basis in the Cyrenaics’ disregard of conventions of propriety when they think they can get away with it. All pleasures are good, they say, even ones that result from unseemly behavior.

The Cyrenaic attitude toward friendship also is consistent with their egoistic hedonism and well outside the traditional attitudes toward friendship. Friendship, according to the Cyrenaics, is entered into for self-interested motives. That is, we obtain friends simply because we believe that by doing so we will be in a better position to obtain pleasure for ourselves, not because we think that the friendship is valuable for its own sake, or because we love our friend for his own sake.

d. Later Cyrenaics

Around the time of Epicurus, a number of offshoot sects of Cyrenaicism sprung up. They seemed to have been concerned mainly with modifying or elaborating Cyrenaic ethics.

i. Hegesias

Hegesias is an extremely pessimistic philosopher. He maintains that happiness is impossible to achieve, because the body and mind are subject to a great deal of suffering, and what happens to us is a result of fortune and not under our control. Pleasure is good, and pain evil, but life as such is neither good nor evil. It is reported (maybe spuriously) that Hegesias was known as the ‘death-persuader,’ and that he was forbidden to lecture because so many members of his audience would kill themselves after listening to him.

Hegesias stresses that every action is done for entirely self-interested motives, and because of this, he denies that friendship exists. This assumes, of course, that one cannot truly be a friend if one enters into the friendship for entirely self-interested reasons.

ii. Anniceris

Anniceris moderated the extreme psychological egoism of Hegesias. He says that friendship does exist, that we should not cherish our friends merely for the sake of their usefulness to us, and that we will willingly deprive ourselves of pleasures because of our love of our friends.

He also says, however, that our end is our own pleasure, and that the happiness of our friend is not desirable for its own sake, since we feel only our own pleasure, not that of our friend. It is not clear how he makes these different parts of his theory consistent with one another.

iii. Theodorus

Theodorus was a pupil of Anniceris. His main innovation is the rejection of the thesis that pleasure and pain are the things that are intrinsically good and evil. Instead, he says that these are intermediates, and that the experience of joy is the highest good, and the feeling of grief the worst evil. (Theodorus may mean to relegate only bodily pleasures and pains to the status of intermediates, since it is natural to think of joy as a mental pleasure and grief as a mental pain.)

He also believes that friendship does not exist, since wise people are self-sufficient and do not need friends, while the unwise enter into friendship merely to satisfy their needs (and hence are not really friends). He also says that acts like adultery, theft and sacrilege are sometimes allowable, since these acts are not bad by nature, but are simply looked down upon because of societal prejudices, which are engendered in order to keep the masses in line.

4. Ancient Sources

None of Cyrenaics’ own writings survive. Thus, in order to reconstruct their views, we need to rely on secondary and tertiary sources which summarize the outlines of Cyrenaic doctrines, or mention the Cyrenaics in passing while discussing some other topic. These sources are not always reliable, and they are often sketchy, so our knowledge of the Cyrenaics is incomplete and tentative. In particular, our sources often mention what the philosophical position of a Cyrenaic is, without recording what his arguments were for that position.

Our main source for Cyrenaic epistemology is Sextus Empiricus, a doctor and Pyrrhonian skeptic who probably lived in the second century A.D. He is a careful and intelligent writer, although he is a fairly late source and is also sometimes polemical. He mentions the Cyrenaics in several places, but his most extended discussion of them occurs in Against the Professors VII 190-200. Another important source for Cyrenaic epistemology is the treatise Against Colotes, by the essayist Plutarch (c. 50-120 A.D.), a Platonist. The main topic of the essay is an attack on Epicurean epistemology, but Plutarch also deals with the Epicurean criticisms of the Cyrenaics in 1120c-1121e.

Our main source for the lives and ethics of the Cyrenaics is Diogenes Laertius, who probably lived in the third century A.D. His 10-book Lives of the Philosophers is a gossipy compendium of what other people have said about the lives and thought of many philosophers. Book 2 includes a discussion of Aristippus and the Cyrenaics. It is stuffed with reports of the Cyrenaics’ scandalous behavior and witty repartee, almost all of which are probably scurrilous, but it also has a valuable summary of the Cyrenaics’ ethical doctrines.

5. References and Further Reading

This is not meant as comprehensive bibliography; rather, it’s a selection of a few recent books and articles to read for those who want to learn more about the Cyrenaics. The books and articles listed below have extensive bibliographies for those looking for more specialized and scholarly publications.

  • The Epistemology of the Cyrenaic School, by Voula Tsouna, Cambridge University Press. 1998.
    • This is the only book-length study of Cyrenaic epistemology available in English. It is written for an audience of specialists in ancient philosophy, and hence gets a little technical at places for the non-specialist. However, the discussion is very clear overall, and Tsouna does an excellent job of assessing the sources we have and of relating the Cyrenaic’s position to those of both ancient and modern philosophers. There is also an appendix which contains translations of almost all of the ancient sources we have that are significant for understanding Cyrenaic epistemology.
  • The Morality of Happiness, by Julia Annas, Oxford University Press. 1993.
    • There are no recent books in English available which focus on the Cyrenaic’s ethics. This book deals with all major ancient theorists from Aristotle on, but it is still a good introduction to Cyrenaic ethics. Annas concentrates on the respects in which the Cyrenaics are out of step with other ancient ethical theories.
  • “The Cyrenaics on Pleasure, Happiness, and Future-Concern,” by Tim O’Keefe, Phronesis, vol. 47 no. 4 (2002), 395-416.
    • This article explores the question of why the Cyrenaics, alone among ancient Greek ethical theorists, claim that happiness is not the highest good, but particular pleasures are instead, and that one should not worry about the long-term consequences of one’s actions but instead concentrate on obtaining pleasures that are near at hand.

Author Information

Tim O’Keefe
Email: (see web page)
Georgia State University
U. S. A.

Confucius (551—479 B.C.E.)

Better known in China as “Master Kong” (Chinese: Kongzi), Confucius was a fifth-century BCE Chinese thinker whose influence upon East Asian intellectual and social history is immeasurable. As a culturally symbolic figure, he has been alternately idealized, deified, dismissed, vilified, and rehabilitated over the millennia by both Asian and non-Asian thinkers and regimes. Given his extraordinary impact on Chinese, Korean, Japanese, and Vietnamese thought, it is ironic that so little can be known about Confucius. The tradition that bears his name – “Confucianism” (Chinese: Rujia) – ultimately traces itself to the sayings and biographical fragments recorded in the text known as the Analects (Chinese: Lunyu). As with the person of Confucius himself, scholars disagree about the origins and character of the Analects, but it remains the traditional source for information about Confucius’ life and teaching. Most scholars remain confident that it is possible to extract from the Analects several philosophical themes and views that may be safely attributed to this ancient Chinese sage. These are primarily ethical, rather than analytical-logical or metaphysical in nature, and include Confucius’ claim that Tian (“Heaven”) is aligned with moral order but dependent upon human agents to actualize its will; his concern for li (ritual propriety) as the instrument through which the family, the state, and the world may be aligned with Tian’s moral order; and his belief in the “contagious” nature of moral force (de), by which moral rulers diffuse morality to their subjects, moral parents raise moral children, and so forth.

Table of Contents

  1. The Confucius of History
  2. The Confucius of the Analects
  3. Theodicy
  4. Harmonious order
  5. Moral force
  6. Self-cultivation
  7. The Confucius of Myth
  8. The Confucius of the State
  9. Key Interpreters of Confucius
  10. References and Further Reading

1. The Confucius of History

Sources for the historical recovery of Confucius’ life and thought are limited to texts that postdate his traditional lifetime (551-479 BCE) by a few decades at least and several centuries at most. Confucius’ appearances in Chinese texts are a sign of his popularity and utility among literate elites during the Warring States (403-221 BCE), Qin (221-206 BCE), and Han (206 BCE-220 CE) periods. These texts vary in character and function, from collections of biographical and pedagogical fragments such as the Analects to dynastic histories and works by later Confucian thinkers.

The historical Confucius, born in the small state of Lu on the Shandong peninsula in northeastern China, was a product of the “Spring and Autumn Period” (770-481 BCE). We know him mostly from texts that date to the “Warring States Period” (403-221 BCE). During these eras, China enjoyed no political unity and suffered from the internecine warfare of small states, remnants of the once-great Zhou polity that collapsed after “barbarian” invasions in 771 BCE. For more than three hundred years after the alleged year of Confucius’ birth, the Chinese would fight each other for mastery of the empire lost by the Zhou. In the process, life became difficult, especially for the shi (“retainer” or “knight”) class, from which Confucius himself arose. As feudal lords were defeated and disenfranchised in battle and the kings of the various warring states began to rely on appointed administrators rather than vassals to govern their territories, these shi became lordless anachronisms and fell into genteel poverty and itinerancy. Their knowledge of aristocratic traditions, however, helped them remain valuable to competing kings, who wished to learn how to regain the unity imposed by the Zhou and who sought to emulate the Zhou by patterning court rituals and other institutions after those of the fallen dynasty.

Thus, a new role for shi as itinerant antiquarians emerged. In such roles, shi found themselves in and out of office as the fortunes of various patron states ebbed and flowed. Confucius is said to have held office for only a short time before withdrawing into scholarly retirement. While out of office, veteran shi might gather small circles of disciples – young men from shi backgrounds who wished to succeed in public life. It is precisely such master-and-disciple exchanges between Confucius and his students that the Analects claims to record.

2. The Confucius of the Analects

Above all else, the Analects depicts Confucius as someone who “transmits, but does not innovate” (7.1). What Confucius claimed to transmit was the Dao (Way) of the sages of Zhou antiquity; in the Analects, he is the erudite guardian of tradition who challenges his disciples to emulate the sages of the past and restore the moral integrity of the state. Although readers of the Analects often assume that Confucius’ views are presented as a coherent and consistent system within the text, a careful reading reveals several different sets of philosophical concerns which do not conflict so much as they complement one another. These complimentary sets of concerns can be categorized into four groups:

  • Theodicy
  • Harmonious order
  • Moral force
  • Self-cultivation

3. Theodicy

Those familiar with Enlightenment-influenced presentations of Confucius as an austere humanist who did not discuss the supernatural may be surprised to encounter the term “theodicy” as a framework for understanding Confucius’ philosophical concerns. Confucius’ record of silence on the subject of the divine is attested by the Analects (5.13, 7.21, 11.12). In fact, as a child of the late Zhou world, Confucius inherited a great many religious sensibilities, including theistic ones. For the early Chinese (c. 16th century BCE), the world was controlled by an all-powerful deity, “The Lord on High” (Shangdi), to whom entreaties were made in the first known Chinese texts, inscriptions found on animal bones offered in divinatory sacrifice. As the Zhou polity emerged and triumphed over the previous Shang tribal rule, Zhou apologists began to regard their deity, Tian (“Sky” or “Heaven”) as synonymous with Shangdi, the deity of the deposed Shang kings, and explained the decline of Shang and the rise of Zhou as a consequence of a change in Tianming (“the mandate of Heaven”). Thus, theistic justifications for conquest and rulership were present very early in Chinese history.By the time of Confucius, the concept of Tian appears to have changed slightly. For one thing, the ritual complex of Zhou diviners, which served to ascertain the will of Tian for the benefit of the king, had collapsed with Zhou rule itself. At the same time, the network of religious obligations to manifold divinities, local spirits, and ancestors does not seem to have ceased with the fall of the Zhou, and Confucius appears to uphold sacrifices to “gods and ghosts” as consistent with “transmitting” noble tradition. Yet, in the Analects, a new aspect of Tian emerges. For the Confucius of the Analects, discerning the will of Tian and reconciling it with his own moral compass sometimes proves to be a troubling exercise:

If Heaven is about to abandon this culture, those who die afterwards will not get to share in it; if Heaven has not yet abandoned this culture, what can the men of Guang [Confucius’ adversaries in this instance] do to me? (9.5)

There is no one who recognizes me…. I neither resent Heaven nor blame humanity. In learning about the lower I have understood the higher. The one who recognizes me – wouldn’t that be Heaven? (14.35)

Heaven has abandoned me! Heaven has abandoned me! (11.9)

As A. C. Graham has noted, Confucius seems to be of two minds about Tian. At times, he is convinced that he enjoys the personal protection and sanction of Tian, and thus defies his mortal opponents as he wages his campaign of moral instruction and reform. At other moments, however, he seems caught in the throes of existential despair, wondering if he has lost his divine backer at last. Tian seems to participate in functions of “fate” and “nature” as well as those of “deity.” What remains consistent throughout Confucius’ discourses on Tian is his threefold assumption about this extrahuman, absolute power in the universe: (1) its alignment with moral goodness, (2) its dependence on human agents to actualize its will, and (3) the variable, unpredictable nature of its associations with mortal actors. Thus, to the extent that the Confucius of the Analects is concerned with justifying the ways of Tian to humanity, he tends to do so without questioning these three assumptions about the nature of Tian, which are rooted deeply in the Chinese past.

4. Harmonious order

The dependence of Tian upon human agents to put its will into practice helps account for Confucius’ insistence on moral, political, social, and even religious activism. In one passage (17.19), Confucius seems to believe that, just as Tian does not speak but yet accomplishes its will for the cosmos, so too can he remain “silent” (in the sense of being out of office, perhaps) and yet effective in promoting his principles, possibly through the many disciples he trained for government service. At any rate, much of Confucius’ teaching is directed toward the maintenance of three interlocking kinds of order: (1) aesthetic, (2) moral, and (3) social. The instrument for effecting and emulating all three is li (ritual propriety).

Do not look at, do not listen to, do not speak of, do not do whatever is contrary to ritual propriety. (12.1)

In this passage, Confucius underscores the crucial importance of rigorous attention to li as a kind of self-replicating blueprint for good manners and taste, morality, and social order. In his view, the appropriate use of a quotation from the Classic of Poetry (Shijing), the perfect execution of guest-host etiquette, and the correct performance of court ritual all serve a common end: they regulate and maintain order. The nature of this order is, as mentioned above, threefold. It is aesthetic — quoting the Shijing upholds the cultural hegemony of Zhou literature and the conventions of elite good taste. Moreover, it is moral — good manners demonstrate both concern for others and a sense of one’s place. Finally, it is social — rituals properly performed duplicate ideal hierarchies of power, whether between ruler and subject, parent and child, or husband and wife. For Confucius, the paramount example of harmonious social order seems to be xiao (filial piety), of which jing (reverence) is the key quality:

Observe what a person has in mind to do when his father is alive, and then observe what he does when his father is dead. If, for three years, he makes no changes to his father’s ways, he can be said to be a good son. (1.11)

[The disciple] Ziyu asked about filial piety. The Master said, “Nowadays, for a person to be filial means no more than that he is able to provide his parents with food. Even dogs and horses are provided with food. If a person shows no reverence, where is the difference?” (2.7)

In serving your father and mother, you ought to dissuade them from doing wrong in the gentlest way. If you see your advice being ignored, you should not become disobedient but should remain reverent. You should not complain even if you are distressed. (4.18)

The character of this threefold order is deeper than mere conventions such as taste and decorum, as the above quotations demonstrate. Labeling it “aesthetic” might appear to demean or trivialize it, but to draw this conclusion is to fail to reflect on the peculiar way in which many Western thinkers tend to devalue the aesthetic. As David Hall and Roger Ames have argued, this “aesthetic” Confucian order is understood to be both intrinsically moral and profoundly harmonious, whether for a shi household, the court of a Warring States king, or the cosmos at large. When persons and things are in their proper places – and here tradition is the measure of propriety – relations are smooth, operations are effortless, and the good is sought and done voluntarily. In the hierarchical political and social conception of Confucius (and all of his Chinese contemporaries), what is below takes its cues from what is above. A moral ruler will diffuse morality to those under his sway; a moral parent will raise a moral child:

Let the ruler be a ruler, the subject a subject, a father a father, and a son a son. (12.11)

Direct the people with moral force and regulate them with ritual, and they will possess shame, and moreover, they will be righteous. (2.3)

5. Moral force

The last quotation from the Analects introduces a term perhaps most famously associated with a very different early Chinese text, the Laozi (Lao-tzu) or Daodejing (Tao Te Ching)de (te), “moral force.” Like Tian, de is heavily freighted with a long train of cultural and religious baggage, extending far back into the mists of early Chinese history. During the early Zhou period, de seems to have been a kind of amoral, almost magical power attributed to various persons – seductive women, charismatic leaders, etc. For Confucius, de seems to be just as magically efficacious, but stringently moral. It is both a quality, and a virtue of, the successful ruler:

One who rules by moral force may be compared to the North Star – it occupies its place and all the stars pay homage to it. (2.1)

De is a quality of the successful ruler, because he rules at the pleasure of Tian, which for Confucius is resolutely allied with morality, and to which he attributes his own inner de (7.23). De is the virtue of the successful ruler, without which he could not rule at all.

Confucius’ vision of order unites aesthetic concerns for harmony and symmetry (li) with moral force (de) in pursuit of social goals: a well-ordered family, a well-ordered state, and a well-ordered world. Such an aesthetic, moral, and social program begins at home, with the cultivation of the individual.

6. Self-Cultivation

In the Analects, two types of persons are opposed to one another – not in terms of basic potential (for, in 17.2, Confucius says all human beings are alike at birth), but in terms of developed potential. These are the junzi (literally, “lord’s son” or “gentleman”; Tu Wei-ming has originated the useful translation “profound person,” which will be used here) and the xiaoren (“small person”):

The profound person understands what is moral. The small person understands what is profitable. (4.16)

The junzi is the person who always manifests the quality of ren (jen) in his person and the displays the quality of yi (i) in his actions (4.5). The character for ren is composed of two graphic elements, one representing a human being and the other representing the number two. Based on this, one often hears that ren means “how two people should treat one another.” While such folk etymologies are common in discussions of Chinese characters, they often are as misleading as they are entertaining. In the case of ren – usually translated as “benevolence” or “humaneness” – the graphic elements of a human being and the number two really are instructive, so much so that Peter Boodberg suggested an evocative translation of ren as “co-humanity.” The way in which the junzi relates to his fellow human beings, however, highlights Confucius’ fundamentally hierarchical model of relations:

The moral force of the profound person is like the wind; the moral force of the small person is like the grass. Let the wind blow over the grass and it is sure to bend. (12.19)

D. C. Lau has pointed out that ren is an attribute of agents, while yi (literally, “what is fitting” — “rightness,” “righteousness”) is an attribute of actions. This helps to make clear the conceptual links between li, de, and the junzi. The junzi qua junzi exerts de, moral force, according to what is yi, fitting (that is, what is aesthetically, morally, and socially proper), and thus manifests ren, or the virtue of co-humanity in an interdependent, hierarchical universe over which Tian presides.

Two passages from the Analects go a long way in indicating the path toward self-cultivation that Confucius taught would-be junzi in fifth century BCE China:

From the age of fifteen on, I have been intent upon learning; from thirty on, I have established myself; from forty on, I have not been confused; from fifty on, I have known the mandate of Heaven; from sixty on, my ear has been attuned; from seventy on, I have followed my heart’s desire without transgressing what is right. (2.4)

The Master’s Way is nothing but other-regard and self-reflection. (4.15)

The first passage illustrates the gradual and long-term scale of the process of self-cultivation. It begins during one’s teenaged years, and extends well into old age; it proceeds incrementally from intention (zhi) to learning (xue), from knowing the mandate of Heaven (Tianming) to doing both what is desired (yu) and what is right (yi). In his disciple Zengzi (Tseng-tzu)’s summary of his “Way” (Dao), Confucius teaches only “other-regard” (zhong) and “self-reflection” (shu). These terms merit their own discussion.

The conventional meaning of “other-regard” (zhong) in classical Chinese is “loyalty,” especially loyalty to a ruler on the part of a minister. In the Analects, Confucius extends the meaning of the term to include exercising oneself to the fullest in all relationships, including relationships with those below oneself as well as with one’s betters. “Self-reflection” (shu) is explained by Confucius as a negatively-phrased version of the “Golden Rule”: “What you do not desire for yourself, do not do to others.” (15.24) When one reflects upon oneself, one realizes the necessity of concern for others. The self as conceptualized by Confucius is a deeply relational self that responds to inner reflection with outer virtue.

Similarly, the self that Confucius wishes to cultivate in his own person and in his disciples is one that looks within and compares itself with the aesthetic, moral, and social canons of tradition. Aware of its source in Tian, it seeks to maximize ren through apprenticeship to li so as to exercise de in a manner befitting a junzi. Because Confucius (and early Chinese thought in general) does not suffer from the Cartesian “mind-body problem” (as Herbert Fingarette has demonstrated), there is no dichotomy between inner and outer, self and whole, and thus the cumulative effect of Confucian self-cultivation is not merely personal, but collectively social and even cosmic.

7. The Confucius of Myth

While the Analects is valuable, albeit not infallible, as a source for the reconstruction of Confucius’ thought, it is far from being the only text to which Chinese readers have turned in their quest for discovering his identity. During the Han dynasty (206 BCE-220 CE), numerous hagiographical accounts of Confucius’ origins and deeds were produced, many of which would startle readers familiar only with the Analects. According to various texts, Confucius was a superhuman figure destined to rule as the “uncrowned king” of pre-imperial China. At birth, his body was said to have displayed special markings indicating his exemplary status. After his death, he was alleged to have revealed himself in a glorified state to his living disciples, who then received further esoteric teachings from their apotheosized master. Eventually, and perhaps inevitably, he was recognized as a deity and a cult organized itself around his worship. Feng Youlan has suggested that, had these Han images of Confucius prevailed, Confucius would have become a figure comparable to Jesus Christ in the history of China, and there would have been no arguments among scholars about whether or not Confucianism was a religion like Christianity.

To both ancient modern eyes, fantastic and improbable myths of Confucius should be added more recent myths about the sage that date from the earliest sustained contact between China and the West during the early modern period. The Latinization of Kong(fu)zi to “Confucius” originates with the interpretation of Chinese culture and thought by Jesuit missionaries for their Western audiences, supporters, and critics. Jesuits steeped in Renaissance humanism saw in Confucius a Renaissance humanist; German thinkers such as Leibniz or Wolff recognized in him an Enlightenment sage. Hegel condemned Confucius for exemplifying those whom he saw as “the people without history”; Mao castigated Confucius for imprisoning China in a cage of feudal archaism and oppression. Each remade Confucius in his own image for his own ends – a process that continues throughout the modern era, creating great heat and little light where the historical Confucius himself is concerned. Each mythologizer has seen Confucius as a symbol of whatever s/he loves or hates about China. As H. G. Creel once put it, once a figure like Confucius has become a cultural hero, stories about him tell us more about the values of the storytellers than about Confucius himself.

8. The Confucius of the State

Such mythmaking was very important to the emerging imperial Chinese state, however, as it struggled to impose cultural unity on a vast and fractious territory during the final few centuries BCE and beyond into the Common Era. After the initial persecution of Confucians during the short-lived Qin dynasty (221-202 BCE), the succeeding Han emperors and their ministers seized upon Confucius as a vehicle for the legitimation of their rule and the social control of their subjects. The “Five Classics” – five ancient texts associated with Confucius – were established as the basis for the imperial civil service examinations in 136 BCE, making memorization of these texts and their orthodox Confucian interpretations mandatory for all who wished to obtain official positions in the Han government. The state’s love affair with Confucius carried on through the end of the Han in 220 CE, after which Confucius fell out of official favor as a series of warring factions struggled for control of China during the “Period of Disunity” (220-589 CE) and foreign and indigenous religious traditions such as Buddhism and Daoism rivaled Confucianism for the attentions of the elite.

After the restoration of unified imperial government with the Tang dynasty (618-907 CE), however, the future of Confucius as a symbol of the Chinese cultural and political establishment became increasingly secure. State-sponsored sacrifices to him formed part of the official religious complex of temple rituals, from the national to the local level, and orthodox hagiography and history cemented his reputation as cultural hero among the masses. The Song dynasty (969-1279 CE) Confucian scholar Zhu Xi (Chu Hsi, 1130-1200 CE) institutionalized the study of the Analects as one of “Four Books” required for the redesigned imperial civil service examinations, and aspiring officials continued to memorize the text and orthodox commentaries on it until the early twentieth century.

With the fall of the last Chinese imperial government in 1911, Confucius also fell from his position of state-imposed grandeur – but not for long. Within a short time of the abdication of the last emperor, monarchists were plotting to restore a Confucian ruler to the throne. Although these plans did not materialize, the Nationalist regime in mainland China and later in Taiwan has promoted Confucius and Confucianism in a variety of ways in order to distinguish itself from the iconoclastic Communists who followed Mao to victory and control over most of China in 1949. Even the Communist regime in China has bowed reverentially to Confucius on occasion, although not without vilifying him first, especially during the anti-traditional “Cultural Revolution” campaigns of the late 1960s and early 1970s.

Today, the Communist government of China spends a great deal of money on the reconstruction and restoration of old imperial temples to Confucius across the country, and has even erected many new statues of Confucius in areas likely to be frequented by tourists from overseas. Predictably, Confucius, as a philosopher, has been rehabilitated by culturally Chinese regimes across Asia, from Singapore to Beijing, as what Wm. Th. de Bary has called “the East Asian challenge for human rights” has prompted attempts to ground “human rights with Chinese characteristics” in an authentically traditional source. In short, Confucius seems far from dead, although one wonders if the authentic spirit of his fifth century BCE thought ever will live again.

9. Key Interpreters of Confucius

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

The two best known early interpreters of Confucius’ thought – besides the compilers of the Analects themselves, who worked gradually from the time of Confucius’ death until sometime during the former Han dynasty – are the Warring States philosophers “Mencius” or Mengzi (Meng-tzu, 372-289 BCE) and Xunzi (Hsun-tzu, 310-220 BCE). Neither knew Confucius personally, nor did they know one another, except retrospectively, as in the case of Xunzi commenting on Mencius. The two usually are cast as being opposed to one another because of their disagreement over human nature – a subject on which Confucius was notably silent (Analects 5.13).

Mencius illustrates a pattern typical of Confucius’ interpreters in that he claims to be doing nothing more than “transmitting” Confucius’ thought while introducing new ideas of his own. For Mencius, renxing (human nature) is congenitally disposed toward ren, but requires cultivation through li as well as yogic disciplines related to one’s qi (vital energy), and may be stunted (although never destroyed) through neglect or negative environmental influence. Confucius does not use the term renxing in the Analects, nor does he describe qi in Mencius’ sense, and nowhere does he provide an account of the basic goodness of human beings. Nonetheless, it is Mencius’ interpretation of Confucius’ thought – especially after the ascendancy of Zhu Xi’s brand of Confucianism in the twelfth century CE – that became regarded as orthodox by most Chinese thinkers.

Like Mencius, Xunzi claims to interpret Confucius’ thought authentically, but leavens it with his own contributions. Whereas Mencius claims that human beings are originally good but argues for the necessity of self-cultivation, Xunzi claims that human beings are originally bad but argues that they can be reformed, even perfected, through self-cultivation. Also like Mencius, Xunzi sees li as the key to the cultivation of renxing. Although Xunzi condemns Mencius’ arguments in no uncertain terms, when one has risen above the smoke and din of the fray, one may see that the two thinkers share many assumptions, including one that links each to Confucius: the assumption that human beings can be transformed by participation in traditional aesthetic, moral, and social disciplines.

Later interpreters of Confucius’ thought between the Tang and Ming dynasties are often grouped together under the label of “Neo-Confucianism.” This term has no cognate in classical Chinese, but is useful insofar as it unites several thinkers from disparate eras who share common themes and concerns. Thinkers such as Zhang Zai (Chang Tsai, 1020-1077 CE), Zhu Xi (Chu Hsi, 1130-1200 CE), and Wang Yangming (1472-1529 CE), while distinct from one another, agree on the primacy of Confucius as the fountainhead of the Confucian tradition, share Mencius’ understanding of human beings as innately good, and revere the “Five Classics” and “Four Books” associated with Confucius as authoritative sources for standards of ritual, moral, and social propriety. These thinkers also display a bent toward the cosmological and metaphysical which isolates them from the Confucius of the Analects, and betrays the influence of Buddhism and Daoism – two movements with little or no popular following in Confucius’ China — on their thought.

This cursory review of some seminal interpreters of Confucius’ thought illustrates a principle that ought to be followed by all who seek to understanding Confucius’ philosophical views: suspicion of the sources. All sources for reconstructing Confucius’ views, from the Analects on down, postdate the master and come from a hand other than his own, and thus all should be used with caution and with an eye toward possible influences from outside of fifth century BCE China.

10. References and Further Reading

  • Allan, Sarah. The Way of Water and Sprouts of Virtue. Albany: State University of New York Press, 1997.
  • Allinson, Robert E. “The Golden Rule as the Core Value in Confucianism and Christianity: Ethical Similarities and Differences.” Asian Philosophy 2/2 (1992): 173-185.
  • Ames, Roger T., and Henry Rosemont, Jr., trans. The Analects of Confucius: A Philosophical Translation. New York: Ballatine, 1998.
  • Ames, Roger T. “The Focus-Field Self in Classical Confucianism,” in Self as Person in Asian Theory and Practice, ed. Roger T. Ames (Albany: State University of New York Press, 1994), 187-212.
  • Berthrong, John. “Trends in the Interpretation of Confucian Religiosity,” in The Confucian-Christian Encounter in Historical and Contemporary Perspective, ed. Peter K. H. Lee (Lewiston, ME: Edwin Mellen Press, 1991), 226-254.
  • Boodberg, Peter A. “The Semasiology of Some Primary Confucian Concepts,” in Selected Works of Peter A. Boodberg, ed. Alvin P. Cohen (Berkeley: University of California Press, 1979), 26-40.
  • Brooks, E. Bruce and A. Taeko, trans. The Original Analects: Sayings of Confucius and His Successors. New York: Columbia University Press, 1998.
  • Chan, Wing-tsit, ed. A Sourcebook in Chinese Philosophy. Princeton: Princeton University Press, 1963.
  • Cheng, Anne. “Lun-yü,” in Early Chinese Texts: A Bibliographical Guide, ed. Michael Loewe (Berkeley: Society for the Study of Early China and the Institute of East Asian Studies, University of California, Berkeley, 1993), 313-323.
  • Creel, Herrlee G. Confucius and the Chinese Way. New York: Harper and Row, 1949.
  • Creel, Herrlee G. “Was Confucius Agnostic?” T’oung Pao 29 (1935): 55-99.
  • Csikszentmihalyi, Mark. “Confucius and the Analects in the Hàn,” in Confucius and the Analects: New Essays, ed. Bryan W. Van Norden (Oxford: Oxford University Press, 2002), 134-162.
  • Eno, Robert. The Confucian Creation of Heaven. Albany: State University of New York Press, 1990.
  • Fingarette, Herbert. Confucius — The Secular as Sacred. New York: Harper Torchbooks, 1972.
  • Graham, A. C. Disputers of the Tao: Philosophical Argument in Ancient China. La Salle, IL: Open Court, 1989.
  • Hall, David L., and Roger T. Ames. Thinking Through Confucius. Albany: State University of New York Press, 1987.
  • Ivanhoe, Philip J. “Whose Confucius? Which Analects?” in Confucius and the Analects: New Essays, ed. Bryan W. Van Norden (Oxford: Oxford University Press, 2002), 119-133.
  • Lau, D.C., trans. Confucius — The Analects. 2nd ed. Hong Kong: Chinese University Press, 1992.
  • Legge, James, trans. Confucius — Confucian Analects, The Great Learning, and the Doctrine of the Mean. New York: Dover Publications, 1971.
  • Munro, Donald J. The Concept of Man In Early China. Stanford, CA: Stanford University Press, 1969.
  • Nivison, David S. “The Classical Philosophical Writings,” in The Cambridge History of Ancient China: From the Origins of Civilization to 221 B.C., ed. Michael Loewe and Edward L. Shaughnessy (Cambridge: Cambridge University Press, 1999), 745-812.
  • Nivison, David S. The Ways of Confucianism: Investigations in Chinese Philosophy. Ed. Bryan W. Van Norden. Chicago and La Salle, IL: Open Court, 1996.
  • Schwartz, Benjamin I. The World of Thought in Ancient China. Cambridge, MA: The Belknap Press of Harvard University Press, 1985.
  • Shryock, John K. The Origin and Development of the State Cult of Confucius. New York: Century Company, 1932.
  • Taylor, Rodney L. “The Religious Character of the Confucian Tradition.” Philosophy East and West 48/1 (January 1998): 80-107.
  • Tu, Wei-ming. “Li as a Process of Humanization,” in Tu, Humanity and Self-Cultivation: Essays in Confucian Thought (Berkeley: Asian Humanities Press, 1979), 17-34.
  • Van Norden, Bryan W. “Introduction,” in Confucius and the Analects: New Essays, ed. Bryan W. Van Norden (Oxford: Oxford University Press, 2002), 3-38.
  • Waley, Arthur, trans. The Analects of Confucius. New York: The MacMillan Company, 1938.

Author Information

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

John Dewey (1859—1952)

John Dewey was a leading proponent of the American school of thought known as pragmatism, a view that rejected the dualistic epistemology and metaphysics of modern philosophy in favor of a naturalistic approach that viewed knowledge as arising from an active adaptation of the human organism to its environment. On this view, inquiry should not be understood as consisting of a mind passively observing the world and drawing from this ideas that if true correspond to reality, but rather as a process which initiates with a check or obstacle to successful human action, proceeds to active manipulation of the environment to test hypotheses, and issues in a re-adaptation of organism to environment that allows once again for human action to proceed. With this view as his starting point, Dewey developed a broad body of work encompassing virtually all of the main areas of philosophical concern in his day. He also wrote extensively on social issues in such popular publications as the New Republic, thereby gaining a reputation as a leading social commentator of his time.

Dewey’s philosophical work received varied responses from his philosophical colleagues during his lifetime. There were many philosophers who saw his work, as Dewey himself understood it, as a genuine attempt to apply the principles of an empirical naturalism to the perennial questions of philosophy, providing a beneficial clarification of issues and the concepts used to address them. Dewey’s critics, however, often expressed the opinion that his views were more confusing than clarifying, and that they appeared to be more akin to idealism than the scientifically based naturalism Dewey expressly avowed.

Table of Contents

  1. Life and Works
  2. Theory of Knowledge
  3. Metaphysics
  4. Ethical and Social Theory
  5. Aesthetics
  6. Critical Reception and Influence
  7. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Life and Works

John Dewey was born on October 20, 1859, the third of four sons born to Archibald Sprague Dewey and Lucina Artemesia Rich of Burlington, Vermont. The eldest sibling died in infancy, but the three surviving brothers attended the public school and the University of Vermont in Burlington with John. While at the University of Vermont, Dewey was exposed to evolutionary theory through the teaching of G.H. Perkins and Lessons in Elementary Physiology, a text by T.H. Huxley, the famous English evolutionist. The theory of natural selection continued to have a life-long impact upon Dewey’s thought, suggesting the barrenness of static models of nature, and the importance of focusing on the interaction between the human organism and its environment when considering questions of psychology and the theory of knowledge. The formal teaching in philosophy at the University of Vermont was confined for the most part to the school of Scottish realism, a school of thought that Dewey soon rejected, but his close contact both before and after graduation with his teacher of philosophy, H.A.P. Torrey, a learned scholar with broader philosophical interests and sympathies, was later accounted by Dewey himself as “decisive” to his philosophical development.

After graduation in 1879, Dewey taught high school for two years, during which the idea of pursuing a career in philosophy took hold. With this nascent ambition in mind, he sent a philosophical essay to W.T. Harris, then editor of the Journal of Speculative Philosophy, and the most prominent of the St. Louis Hegelians. Harris’s acceptance of the essay gave Dewey the confirmation he needed of his promise as a philosopher. With this encouragement he traveled to Baltimore to enroll as a graduate student at Johns Hopkins University.

At Johns Hopkins Dewey came under the tutelage of two powerful and engaging intellects who were to have a lasting influence on him. George Sylvester Morris, a German-trained Hegelian philosopher, exposed Dewey to the organic model of nature characteristic of German idealism. G. Stanley Hall, one of the most prominent American experimental psychologists at the time, provided Dewey with an appreciation of the power of scientific methodology as applied to the human sciences. The confluence of these viewpoints propelled Dewey’s early thought, and established the general tenor of his ideas throughout his philosophical career.

Upon obtaining his doctorate in 1884, Dewey accepted a teaching post at the University of Michigan, a post he was to hold for ten years, with the exception of a year at the University of Minnesota in 1888. While at Michigan Dewey wrote his first two books: Psychology (1887), and Leibniz’s New Essays Concerning the Human Understanding (1888). Both works expressed Dewey’s early commitment to Hegelian idealism, while the Psychology explored the synthesis between this idealism and experimental science that Dewey was then attempting to effect. At Michigan Dewey also met one of his important philosophical collaborators, James Hayden Tufts, with whom he would later author Ethics (1908; revised ed. 1932).

In 1894, Dewey followed Tufts to the recently founded University of Chicago. It was during his years at Chicago that Dewey’s early idealism gave way to an empirically based theory of knowledge that was in concert with the then developing American school of thought known as pragmatism. This change in view finally coalesced into a series of four essays entitled collectively “Thought and its Subject-Matter,” which was published along with a number of other essays by Dewey’s colleagues and students at Chicago under the title Studies in Logical Theory (1903). Dewey also founded and directed a laboratory school at Chicago, where he was afforded an opportunity to apply directly his developing ideas on pedagogical method. This experience provided the material for his first major work on education, The School and Society (1899).

Disagreements with the administration over the status of the Laboratory School led to Dewey’s resignation from his post at Chicago in 1904. His philosophical reputation now secured, he was quickly invited to join the Department of Philosophy at Columbia University. Dewey spent the rest of his professional life at Columbia. Now in New York, located in the midst of the Northeastern universities that housed many of the brightest minds of American philosophy, Dewey developed close contacts with many philosophers working from divergent points of view, an intellectually stimulating atmosphere which served to nurture and enrich his thought.

During his first decade at Columbia Dewey wrote a great number of articles in the theory of knowledge and metaphysics, many of which were published in two important books: The Influence of Darwin on Philosophy and Other Essays in Contemporary Thought (1910) and Essays in Experimental Logic(1916). His interest in educational theory also continued during these years, fostered by his work at Teachers College at Columbia. This led to the publication of How We Think (1910; revised ed. 1933), an application of his theory of knowledge to education, and Democracy and Education (1916), perhaps his most important work in the field.

During his years at Columbia Dewey’s reputation grew not only as a leading philosopher and educational theorist, but also in the public mind as an important commentator on contemporary issues, the latter due to his frequent contributions to popular magazines such as The New Republic and Nation, as well as his ongoing political involvement in a variety of causes, such as women’s suffrage and the unionization of teachers. One outcome of this fame was numerous invitations to lecture in both academic and popular venues. Many of his most significant writings during these years were the result of such lectures, includingReconstruction in Philosophy (1920), Human Nature and Conduct (1922), Experience and Nature(1925), The Public and its Problems (1927), and The Quest for Certainty (1929).

Dewey’s retirement from active teaching in 1930 did not curtail his activity either as a public figure or productive philosopher. Of special note in his public life was his participation in the Commission of Inquiry into the Charges Against Leon Trotsky at the Moscow Trial, which exposed Stalin’s political machinations behind the Moscow trials of the mid-1930s, and his defense of fellow philosopher Bertrand Russell against an attempt by conservatives to remove him from his chair at the College of the City of New York in 1940. A primary focus of Dewey’s philosophical pursuits during the 1930s was the preparation of a final formulation of his logical theory, published as Logic: The Theory of Inquiry in 1938. Dewey’s other significant works during his retirement years include Art as Experience (1934), A Common Faith(1934), Freedom and Culture (1939), Theory of Valuation (1939), and Knowing and the Known(1949), the last coauthored with Arthur F. Bentley. Dewey continued to work vigorously throughout his retirement until his death on June 2, 1952, at the age of ninety-two.

2. Theory of Knowledge

The central focus of Dewey’s philosophical interests throughout his career was what has been traditionally called “epistemology,” or the “theory of knowledge.” It is indicative, however, of Dewey’s critical stance toward past efforts in this area that he expressly rejected the term “epistemology,” preferring the “theory of inquiry” or “experimental logic” as more representative of his own approach.

In Dewey’s view, traditional epistemologies, whether rationalist or empiricist, had drawn too stark a distinction between thought, the domain of knowledge, and the world of fact to which thought purportedly referred: thought was believed to exist apart from the world, epistemically as the object of immediate awareness, ontologically as the unique aspect of the self. The commitment of modern rationalism, stemming from Descartes, to a doctrine of innate ideas, ideas constituted from birth in the very nature of the mind itself, had effected this dichotomy; but the modern empiricists, beginning with Locke, had done the same just as markedly by their commitment to an introspective methodology and a representational theory of ideas. The resulting view makes a mystery of the relevance of thought to the world: if thought constitutes a domain that stands apart from the world, how can its accuracy as an account of the world ever be established? For Dewey a new model, rejecting traditional presumptions, was wanting, a model that Dewey endeavored to develop and refine throughout his years of writing and reflection.

In his early writings on these issues, such as “Is Logic a Dualistic Science?” (1890) and “The Present Position of Logical Theory” (1891), Dewey offered a solution to epistemological issues mainly along the lines of his early acceptance of Hegelian idealism: the world of fact does not stand apart from thought, but is itself defined within thought as its objective manifestation. But during the succeeding decade Dewey gradually came to reject this solution as confused and inadequate.

A number of influences have bearing on Dewey’s change of view. For one, Hegelian idealism was not conducive to accommodating the methodologies and results of experimental science which he accepted and admired. Dewey himself had attempted to effect such an accommodation between experimental psychology and idealism in his early Psychology (1887), but the publication of William James’ Principles of Psychology (1891), written from a more thoroughgoing naturalistic stance, suggested the superfluity of idealist principles in the treatment of the subject.

Second, Darwin’s theory of natural selection suggested in a more particular way the form which a naturalistic approach to the theory of knowledge should take. Darwin’s theory had renounced supernatural explanations of the origins of species by accounting for the morphology of living organisms as a product of a natural, temporal process of the adaptation of lineages of organisms to their environments, environments which, Darwin understood, were significantly determined by the organisms that occupied them. The key to the naturalistic account of species was a consideration of the complex interrelationships between organisms and environments. In a similar way, Dewey came to believe that a productive, naturalistic approach to the theory of knowledge must begin with a consideration of the development of knowledge as an adaptive human response to environing conditions aimed at an active restructuring of these conditions. Unlike traditional approaches in the theory of knowledge, which saw thought as a subjective primitive out of which knowledge was composed, Dewey’s approach understood thought genetically, as the product of the interaction between organism and environment, and knowledge as having practical instrumentality in the guidance and control of that interaction. Thus Dewey adopted the term “instrumentalism” as a descriptive appellation for his new approach.

Dewey’s first significant application of this new naturalistic understanding was offered in his seminal article “The Reflex Arc Concept in Psychology” (1896). In this article, Dewey argued that the dominant conception of the reflex arc in the psychology of his day, which was thought to begin with the passive stimulation of the organism, causing a conscious act of awareness eventuating in a response, was a carry-over of the old, and errant, mind-body dualism. Dewey argued for an alternative view: the organism interacts with the world through self-guided activity that coordinates and integrates sensory and motor responses. The implication for the theory of knowledge was clear: the world is not passively perceived and thereby known; active manipulation of the environment is involved integrally in the process of learning from the start.

Dewey first applied this interactive naturalism in an explicit manner to the theory of knowledge in his four introductory essays in Studies in Logical Theory. Dewey identified the view expressed in Studies with the school of pragmatism, crediting William James as its progenitor. James, for his part, in an article appearing in the Psychological Bulletin, proclaimed the work as the expression of a new school of thought, acknowledging its originality.

A detailed genetic analysis of the process of inquiry was Dewey’s signal contribution to Studies. Dewey distinguished three phases of the process. It begins with the problematic situation, a situation where instinctive or habitual responses of the human organism to the environment are inadequate for the continuation of ongoing activity in pursuit of the fulfillment of needs and desires. Dewey stressed inStudies and subsequent writings that the uncertainty of the problematic situation is not inherently cognitive, but practical and existential. Cognitive elements enter into the process as a response to precognitive maladjustment.

The second phase of the process involves the isolation of the data or subject matter which defines the parameters within which the reconstruction of the initiating situation must be addressed. In the third, reflective phase of the process, the cognitive elements of inquiry (ideas, suppositions, theories, etc.) are entertained as hypothetical solutions to the originating impediment of the problematic situation, the implications of which are pursued in the abstract. The final test of the adequacy of these solutions comes with their employment in action. If a reconstruction of the antecedent situation conducive to fluid activity is achieved, then the solution no longer retains the character of the hypothetical that marks cognitive thought; rather, it becomes a part of the existential circumstances of human life.

The error of modern epistemologists, as Dewey saw it, was that they isolated the reflective stages of this process, and hypostatized the elements of those stages (sensations, ideas, etc.) into pre-existing constituents of a subjective mind in their search for an incorrigible foundation of knowledge. For Dewey, the hypostatization was as groundless as the search for incorrigibility was barren. Rejecting foundationalism, Dewey accepted the fallibilism that was characteristic of the school of pragmatism: the view that any proposition accepted as an item of knowledge has this status only provisionally, contingent upon its adequacy in providing a coherent understanding of the world as the basis for human action.

Dewey defended this general outline of the process of inquiry throughout his long career, insisting that it was the only proper way to understand the means by which we attain knowledge, whether it be the commonsense knowledge that guides the ordinary affairs of our lives, or the sophisticated knowledge arising from scientific inquiry. The latter is only distinguished from the former by the precision of its methods for controlling data, and the refinement of its hypotheses. In his writings in the theory of inquiry subsequent to Studies, Dewey endeavored to develop and deepen instrumentalism by considering a number of central issues of traditional epistemology from its perspective, and responding to some of the more trenchant criticisms of the view.

One traditional question that Dewey addressed in a series of essays between 1906 and 1909 was that of the meaning of truth. Dewey at that time considered the pragmatic theory of truth as central to the pragmatic school of thought, and vigorously defended its viability. Both Dewey and William James, in his book Pragmatism (1907), argued that the traditional correspondence theory of truth, according to which the true idea is one that agrees or corresponds to reality, only begs the question of what the “agreement” or “correspondence” of idea with reality is. Dewey and James maintained that an idea agrees with reality, and is therefore true, if and only if it is successfully employed in human action in pursuit of human goals and interests, that is, if it leads to the resolution of a problematic situation in Dewey’s terms. The pragmatic theory of truth met with strong opposition among its critics, perhaps most notably from the British logician and philosopher Bertrand Russell. Dewey later began to suspect that the issues surrounding the conditions of truth, as well as knowledge, were hopelessly obscured by the accretion of traditional, and in his view misguided, meanings to the terms, resulting in confusing ambiguity. He later abandoned these terms in favor of “warranted assertiblity” to describe the distinctive property of ideas that results from successful inquiry.

One of the most important developments of his later writings in the theory of knowledge was the application of the principles of instrumentalism to the traditional conceptions and formal apparatus of logical theory. Dewey made significant headway in this endeavor in his lengthy introduction to Essays in Experimental Logic, but the project reached full fruition in Logic: The Theory of Inquiry.

The basis of Dewey’s discussion in the Logic is the continuity of intelligent inquiry with the adaptive responses of pre-human organisms to their environments in circumstances that check efficient activity in the fulfillment of organic needs. What is distinctive about intelligent inquiry is that it is facilitated by the use of language, which allows, by its symbolic meanings and implication relationships, the hypothetical rehearsal of adaptive behaviors before their employment under actual, prevailing conditions for the purpose of resolving problematic situations. Logical form, the specialized subject matter of traditional logic, owes its genesis not to rational intuition, as had often been assumed by logicians, but due to its functional value in (1) managing factual evidence pertaining to the problematic situation that elicits inquiry, and (2) controlling the procedures involved in the conceptualized entertainment of hypothetical solutions. As Dewey puts it, “logical forms accrue to subject-matter when the latter is subjected to controlled inquiry.”

From this new perspective, Dewey reconsiders many of the topics of traditional logic, such as the distinction between deductive and inductive inference, propositional form, and the nature of logical necessity. One important outcome of this work was a new theory of propositions. Traditional views in logic had held that the logical import of propositions is defined wholly by their syntactical form (e.g., “All As are Bs,” “Some Bs are Cs”). In contrast, Dewey maintained that statements of identical propositional form can play significantly different functional roles in the process of inquiry. Thus in keeping with his distinction between the factual and conceptual elements of inquiry, he replaced the accepted distinctions between universal, particular, and singular propositions based on syntactical meaning with a distinction between existential and ideational propositions, a distinction that largely cuts across traditional classifications. The same general approach is taken throughout the work: the aim is to offer functional analyses of logical principles and techniques that exhibit their operative utility in the process of inquiry as Dewey understood it.

The breadth of topics treated and the depth and continuity of the discussion of these topics mark theLogic as Dewey’s decisive statement in logical theory. The recognition of the work’s importance within the philosophical community of the time can be gauged by the fact that the Journal of Philosophy, the most prominent American journal in the field, dedicated an entire issue to a discussion of the work, including contributions by such philosophical luminaries as C. I. Lewis of Harvard University, and Ernest Nagel, Dewey’s colleague at Columbia University. Although many of his critics did question, and continue to question, the assumptions of his approach, one that is certainly unique in the development of twentieth century logical theory, there is no doubt that the work was and continues to be an important contribution to the field.

3. Metaphysics

Dewey’s naturalistic metaphysics first took shape in articles that he wrote during the decade after the publication of Studies in Logical Theory, a period when he was attempting to elucidate the implications of instrumentalism. Dewey disagreed with William James’s assessment that pragmatic principles were metaphysically neutral. (He discusses this disagreement in “What Does Pragmatism Mean by Practical,” published in 1908.) Dewey’s view was based in part on an assessment of the motivations behind traditional metaphysics: a central aim of the metaphysical tradition had been the discovery of an immutable cognitive object that could serve as a foundation for knowledge. The pragmatic theory, by showing that knowledge is a product of an activity directed to the fulfillment of human purposes, and that a true (or warranted) belief is known to be such by the consequences of its employment rather than by any psychological or ontological foundations, rendered this longstanding aim of metaphysics, in Dewey’s view, moot, and opened the door to renewed metaphysical discussion grounded firmly on an empirical basis.

Dewey begins to define the general form that an empirical metaphysics should take in a number of articles, including “The Postulate of Immediate Empiricism” (1905) and “Does Reality Possess Practical Character?” (1908). In the former article, Dewey asserts that things experienced empirically “are what they are experienced as.” Dewey uses as an example a noise heard in a darkened room that is initially experienced as fearsome. Subsequent inquiry (e.g., turning on the lights and looking about) reveals that the noise was caused by a shade tapping against a window, and thus innocuous. But the subsequent inquiry, Dewey argues, does not change the initial status of the noise: it was experienced as fearsome, and in fact was fearsome. The point stems from the naturalistic roots of Dewey’s logic. Our experience of the world is constituted by our interrelationship with it, a relationship that is imbued with practical import. The initial fearsomeness of the noise is the experiential correlate of the uncertain, problematic character of the situation, an uncertainty that is not merely subjective or mental, but a product of the potential inadequacy of previously established modes of behavior to deal effectively with the pragmatic demands of present circumstances. The subsequent inquiry does not, therefore, uncover a reality (the innocuousness of the noise) underlying a mere appearance (its fearsomeness), but by settling the demands of the situation, it effects a change in the inter-dynamics of the organism-environment relationship of the initial situation–a change in reality.

There are two important implications of this line of thought that distinguish it from the metaphysical tradition. First, although inquiry is aimed at resolving the precarious and confusing aspects of experience to provide a stable basis for action, this does not imply the unreality of the unstable and contingent, nor justify its relegation to the status of mere appearance. Thus, for example, the usefulness and reliability of utilizing certain stable features of things encountered in our experience as a basis for classification does not justify according ultimate reality to essences or Platonic forms any more than, as rationalist metaphysicians in the modern era have thought, the similar usefulness of mathematical reasoning in understanding natural processes justifies the conclusion that the world can be exhaustively defined mathematically.

Second, the fact that the meanings we attribute to natural events might change in any particular in the future as renewed inquiries lead to more adequate understandings of natural events (as was implied by Dewey’s fallibilism) does not entail that our experience of the world at any given time may as a whole be errant. Thus the implicit skepticism that underlies the representational theory of ideas and raises questions concerning the veracity of perceptual experience as such is unwarranted. Dewey stresses the point that sensations, hypotheses, ideas, etc., come into play to mediate our encounter with the world only in the context of active inquiry. Once inquiry is successful in resolving a problematic situation, mediatory sensations and ideas, as Dewey says, “drop out; and things are present to the agent in the most naively realistic fashion.”

These contentions positioned Dewey’s metaphysics within the territory of a naive realism, and in a number of his articles, such as “The Realism of Pragmatism” (1905), “Brief Studies in Realism” (1911), and “The Existence of the World as a Logical Problem” (1915), it is this view that Dewey expressly avows (a view that he carefully distinguishes from what he calls “presentational realism,” which he attributes to a number of the other realists of his day). Opposing narrow-minded positions that would accord full ontological status only to certain, typically the most stable or reliable, aspects of experience, Dewey argues for a position that recognizes the real significance of the multifarious richness of human experience.

Dewey offered a fuller statement of his metaphysics in 1925, with the publication of one of his most significant philosophical works, Experience and Nature. In the introductory chapter, Dewey stresses a familiar theme from his earlier writings: that previous metaphysicians, guided by unavowed biases for those aspects of experience that are relatively stable and secure, have illicitly reified these biases into narrow ontological presumptions, such as the temporal identity of substance, or the ultimate reality of forms or essences. Dewey finds this procedure so pervasive in the history of thought that he calls it simplythe philosophic fallacy, and signals his intention to eschew the disastrous consequences of this approach by offering a descriptive account of all of the various generic features of human experience, whatever their character.

Dewey begins with the observation that the world as we experience it both individually and collectively is an admixture of the precarious, the transitory and contingent aspect of things, and the stable, the patterned regularity of natural processes that allows for prediction and human intervention. Honest metaphysical description must take into account both of these elements of experience. Dewey endeavors to do this by an event ontology. The world, rather than being comprised of things or, in more traditional terms, substances, is comprised of happenings or occurrences that admit of both episodic uniqueness and general, structured order. Intrinsically events have an ineffable qualitative character by which they are immediately enjoyed or suffered, thus providing the basis for experienced value and aesthetic appreciation. Extrinsically events are connected to one another by patterns of change and development; any given event arises out of determinant prior conditions and leads to probable consequences. The patterns of these temporal processes is the proper subject matter of human knowledge–we know the world in terms of causal laws and mathematical relationships–but the instrumental value of understanding and controlling them should not blind us to the immediate, qualitative aspect of events; indeed, the value of scientific understanding is most significantly realized in the facility it affords for controlling the circumstances under which immediate enjoyments may be realized.

It is in terms of the distinction between qualitative immediacy and the structured order of events that Dewey understands the general pattern of human life and action. This understanding is captured by James’ suggestive metaphor that human experience consists of an alternation of flights and perchings, an alternation of concentrated effort directed toward the achievement of foreseen aims, what Dewey calls “ends-in-view,” with the fruition of effort in the immediate satisfaction of “consummatory experience.” Dewey’s insistence that human life follows the patterns of nature, as a part of nature, is the core tenet of his naturalistic outlook.

Dewey also addresses the social aspect of human experience facilitated by symbolic activity, particularly that of language. For Dewey the question of the nature of social relationships is a significant matter not only for social theory, but metaphysics as well, for it is from collective human activity, and specifically the development of shared meanings that govern this activity, that the mind arises. Thus rather than understanding the mind as a primitive and individual human endowment, and a precondition of conscious and intentional action, as was typical in the philosophical tradition since Descartes, Dewey offers a genetic analysis of mind as an emerging aspect of cooperative activity mediated by linguistic communication. Consciousness, in turn, is not to be understood as a domain of private awareness, but rather as the fulcrum point of the organism’s readjustment to the challenge of novel conditions where the meanings and attitudes that formulate habitual behavioral responses to the environment fail to be adequate. Thus Dewey offers in the better part of a number of chapters of Experience and Nature a response to the traditional mind-body problem of the metaphysical tradition, a response that understands the mind as an emergent issue of natural processes, more particularly the web of interactive relationships between human beings and the world in which they live.

4. Ethical and Social Theory

Dewey’s mature thought in ethics and social theory is not only intimately linked to the theory of knowledge in its founding conceptual framework and naturalistic standpoint, but also complementary to it in its emphasis on the social dimension of inquiry both in its processes and its consequences. In fact, it would be reasonable to claim that Dewey’s theory of inquiry cannot be fully understood either in the meaning of its central tenets or the significance of its originality without considering how it applies to social aims and values, the central concern of his ethical and social theory.

Dewey rejected the atomistic understanding of society of the Hobbesian social contract theory, according to which the social, cooperative aspect of human life was grounded in the logically prior and fully articulated rational interests of individuals. Dewey’s claim in Experience and Nature that the collection of meanings that constitute the mind have a social origin expresses the basic contention, one that he maintained throughout his career, that the human individual is a social being from the start, and that individual satisfaction and achievement can be realized only within the context of social habits and institutions that promote it.

Moral and social problems, for Dewey, are concerned with the guidance of human action to the achievement of socially defined ends that are productive of a satisfying life for individuals within the social context. Regarding the nature of what constitutes a satisfying life, Dewey was intentionally vague, out of his conviction that specific ends or goods can be defined only in particular socio-historical contexts. In theEthics (1932) he speaks of the ends simply as the cultivation of interests in goods that recommend themselves in the light of calm reflection. In other works, such as Human Nature and Conduct and Art as Experience, he speaks of (1) the harmonizing of experience (the resolution of conflicts of habit and interest both within the individual and within society), (2) the release from tedium in favor of the enjoyment of variety and creative action, and (3) the expansion of meaning (the enrichment of the individual’s appreciation of his or her circumstances within human culture and the world at large). The attunement of individual efforts to the promotion of these social ends constitutes, for Dewey, the central issue of ethical concern of the individual; the collective means for their realization is the paramount question of political policy.

Conceived in this manner, the appropriate method for solving moral and social questions is the same as that required for solving questions concerning matters of fact: an empirical method that is tied to an examination of problematic situations, the gathering of relevant facts, and the imaginative consideration of possible solutions that, when utilized, bring about a reconstruction and resolution of the original situations. Dewey, throughout his ethical and social writings, stressed the need for an open-ended, flexible, and experimental approach to problems of practice aimed at the determination of the conditions for the attainment of human goods and a critical examination of the consequences of means adopted to promote them, an approach that he called the “method of intelligence.”

The central focus of Dewey’s criticism of the tradition of ethical thought is its tendency to seek solutions to moral and social problems in dogmatic principles and simplistic criteria which in his view were incapable of dealing effectively with the changing requirements of human events. In Reconstruction of Philosophyand The Quest for Certainty, Dewey located the motivation of traditional dogmatic approaches in philosophy in the forlorn hope for security in an uncertain world, forlorn because the conservatism of these approaches has the effect of inhibiting the intelligent adaptation of human practice to the ineluctable changes in the physical and social environment. Ideals and values must be evaluated with respect to their social consequences, either as inhibitors or as valuable instruments for social progress, and Dewey argues that philosophy, because of the breadth of its concern and its critical approach, can play a crucial role in this evaluation.

In large part, then, Dewey’s ideas in ethics and social theory were programmatic rather than substantive, defining the direction that he believed human thought and action must take in order to identify the conditions that promote the human good in its fullest sense, rather than specifying particular formulae or principles for individual and social action. He studiously avoided participating in what he regarded as the unfortunate practice of previous moral philosophers of offering general rules that legislate universal standards of conduct. But there are strong suggestions in a number of his works of basic ethical and social positions. In Human Nature and Conduct Dewey approaches ethical inquiry through an analysis of human character informed by the principles of scientific psychology. The analysis is reminiscent of Aristotelian ethics, concentrating on the central role of habit in formulating the dispositions of action that comprise character, and the importance of reflective intelligence as a means of modifying habits and controlling disruptive desires and impulses in the pursuit of worthwhile ends.

The social condition for the flexible adaptation that Dewey believed was crucial for human advancement is a democratic form of life, not instituted merely by democratic forms of governance, but by the inculcation of democratic habits of cooperation and public spiritedness, productive of an organized, self-conscious community of individuals responding to society’s needs by experimental and inventive, rather than dogmatic, means. The development of these democratic habits, Dewey argues in School and Society andDemocracy and Education, must begin in the earliest years of a child’s educational experience. Dewey rejected the notion that a child’s education should be viewed as merely a preparation for civil life, during which disjoint facts and ideas are conveyed by the teacher and memorized by the student only to be utilized later on. The school should rather be viewed as an extension of civil society and continuous with it, and the student encouraged to operate as a member of a community, actively pursuing interests in cooperation with others. It is by a process of self-directed learning, guided by the cultural resources provided by teachers, that Dewey believed a child is best prepared for the demands of responsible membership within the democratic community.

5. Aesthetics

Dewey’s one significant treatment of aesthetic theory is offered in Art as Experience, a book that was based on the William James Lectures that he delivered at Harvard University in 1931. The book stands out as a diversion into uncommon philosophical territory for Dewey, adumbrated only by a somewhat sketchy and tangential treatment of art in one chapter of Experience and Nature. The unique status of the work in Dewey’s corpus evoked some criticism from Dewey’s followers, most notably Stephen Pepper, who believed that it marked an unfortunate departure from the naturalistic standpoint of his instrumentalism, and a return to the idealistic viewpoints of his youth. On close reading, however, Art as Experience reveals a considerable continuity of Dewey’s views on art with the main themes of his previous philosophical work, while offering an important and useful extension of those themes. Dewey had always stressed the importance of recognizing the significance and integrity of all aspects of human experience. His repeated complaint against the partiality and bias of the philosophical tradition expresses this theme. Consistent with this theme, Dewey took account of qualitative immediacy in Experience and Nature, and incorporated it into his view of the developmental nature of experience, for it is in the enjoyment of the immediacy of an integration and harmonization of meanings, in the “consummatory phase” of experience that, in Dewey’s view, the fruition of the re-adaptation of the individual with environment is realized. These central themes are enriched and deepened in Art as Experience, making it one of Dewey’s most significant works.

The roots of aesthetic experience lie, Dewey argues, in commonplace experience, in the consummatory experiences that are ubiquitous in the course of human life. There is no legitimacy to the conceit cherished by some art enthusiasts that aesthetic enjoyment is the privileged endowment of the few. Whenever there is a coalesence into an immediately enjoyed qualitative unity of meanings and values drawn from previous experience and present circumstances, life then takes on an aesthetic quality–what Dewey called having “an experience.” Nor is the creative work of the artist, in its broad parameters, unique. The process of intelligent use of materials and the imaginative development of possible solutions to problems issuing in a reconstruction of experience that affords immediate satisfaction, the process found in the creative work of artists, is also to be found in all intelligent and creative human activity. What distinguishes artistic creation is the relative stress laid upon the immediate enjoyment of unified qualitative complexity as the rationalizing aim of the activity itself, and the ability of the artist to achieve this aim by marshalling and refining the massive resources of human life, meanings, and values.

The senses play a key role in artistic creation and aesthetic appreciation. Dewey, however, argues against the view, stemming historically from the sensationalistic empiricism of David Hume, that interprets the content of sense experience simply in terms of the traditionally codified list of sense qualities, such as color, odor, texture, etc., divorced from the funded meanings of past experience. It is not only the sensible qualities present in the physical media the artist uses, but the wealth of meaning that attaches to these qualities, that constitute the material that is refined and unified in the process of artistic expression. The artist concentrates, clarifies, and vivifies these meanings in the artwork. The unifying element in this process is emotion–not the emotion of raw passion and outburst, but emotion that is reflected upon and used as a guide to the overall character of the artwork. Although Dewey insisted that emotion is not the significant content of the work of art, he clearly understands it to be the crucial tool of the artist’s creative activity.

Dewey repeatedly returns in Art as Experience to a familiar theme of his critical reflections upon the history of ideas, namely that a distinction too strongly drawn too often sacrifices accuracy of account for a misguided simplicity. Two applications of this theme are worth mentioning here. Dewey rejects the sharp distinction often made in aesthetics between the matter and the form of an artwork. What Dewey objected to was the implicit suggestion that matter and form stand side by side, as it were, in the artwork as distinct and precisely distinguishable elements. For Dewey, form is better understood in a dynamic sense as the coordination and adjustment of the qualities and associated meanings that are integrated within the artwork.

A second misguided distinction that Dewey rejects is that between the artist as the active creator and the audience as the passive recipient of art. This distinction artificially truncates the artistic process by in effect suggesting that the process ends with the final artifact of the artist’s creativity. Dewey argues that, to the contrary, the process is barren without the agency of the appreciator, whose active assimilation of the artist’s work requires a recapitulation of many of the same processes of discrimination, comparison, and integration that are present in the artist’s initial work, but now guided by the artist’s perception and skill. Dewey underscores the point by distinguishing between the “art product,” the painting, sculpture, etc., created by the artist, and the “work of art” proper, which is only realized through the active engagement of an astute audience.

Ever concerned with the interrelationships between the various domains of human activity and concern, Dewey ends Art as Experience with a chapter devoted to the social implications of the arts. Art is a product of culture, and it is through art that the people of a given culture express the significance of their lives, as well as their hopes and ideals. Because art has its roots in the consummatory values experienced in the course of human life, its values have an affinity to commonplace values, an affinity that accords to art a critical office in relation to prevailing social conditions. Insofar as the possibility for a meaningful and satisfying life disclosed in the values embodied in art is not realized in the lives of the members of a society, the social relationships that preclude this realization are condemned. Dewey’s specific target in this chapter was the conditions of workers in industrialized society, conditions which force upon the worker the performance of repetitive tasks that are devoid of personal interest and afford no satisfaction in personal accomplishment. The degree to which this critical function of art is ignored is a further indication of what Dewey regarded as the unfortunate distancing of the arts from the common pursuits and interests of ordinary life. The realization of art’s social function requires the closure of this bifurcation.

6. Critical Reception and Influence

Dewey’s philosophical work received varied responses from his philosophical colleagues during his lifetime. There were many philosophers who saw his work, as Dewey himself understood it, as a genuine attempt to apply the principles of an empirical naturalism to the perennial questions of philosophy, providing a beneficial clarification of issues and the concepts used to address them. Dewey’s critics, however, often expressed the opinion that his views were more confusing than clarifying, and that they appeared to be more akin to idealism than the scientifically based naturalism Dewey expressly avowed. Notable in this connection are Dewey’s disputes concerning the relation of the knowing subject to known objects with the realists Bertrand Russell, A. O. Lovejoy, and Evander Bradley McGilvery. Whereas these philosophers argued that the object of knowledge must be understood as existing apart from the knowing subject, setting the truth conditions for propositions, Dewey defended the view that things understood as isolated from any relationship with the human organism could not be objects of knowledge at all.

Dewey was sensitive and responsive to the criticisms brought against his views. He often attributed them to misinterpretations based on the traditional, philosophical connotations that some of his readers would attach to his terminology. This was clearly a fair assessment with respect to some of his critics. To take one example, Dewey used the term “experience,” found throughout his philosophical writings, to denote the broad context of the human organism’s interrelationship with its environment, not the domain of human thought alone, as some of his critics read him to mean. Dewey’s concern for clarity of expression motivated efforts in his later writings to revise his terminology. Thus, for example, he later substituted “transaction” for his earlier “interaction” to denote the relationship between organism and environment, since the former better suggested a dynamic interdependence between the two, and in a new introduction to Experience and Nature, never published during his lifetime, he offered the term “culture” as an alternative to “experience.” Late in his career he attempted a more sweeping revision of philosophical terminology in Knowing and the Known, written in collaboration with Arthur F. Bentley.

The influence of Dewey’s work, along with that of the pragmatic school of thought itself, although considerable in the first few decades of the twentieth century, was gradually eclipsed during the middle part of the century as other philosophical methods, such as those of the analytic school in England and America and phenomenology in continental Europe, grew to ascendency. Recent trends in philosophy, however, leading to the dissolution of these rigid paradigms, have led to approaches that continue and expand on the themes of Dewey’s work. W. V. O. Quine’s project of naturalizing epistemology works upon naturalistic presumptions anticipated in Dewey’s own naturalistic theory of inquiry. The social dimension and function of belief systems, explored by Dewey and other pragmatists, has received renewed attention by such writers as Richard Rorty and Jürgen Habermas. American phenomenologists such as Sandra Rosenthal and James Edie have considered the affinities of phenomenology and pragmatism, and Hilary Putnam, an analytically trained philosophy, has recently acknowledged the affinity of his own approach to ethics to that of Dewey’s. The renewed openness and pluralism of recent philosophical discussion has meant a renewed interest in Dewey’s philosophy, an interest that promises to continue for some time to come.

7. References and Further Reading

a. Primary Sources

All of the published writings of John Dewey have been newly edited and published in The Collected Works of John Dewey, Jo Ann Boydston, ed., 37 volumes (Carbondale: Southern Illinois University Press, 1967-1991).

Dewey’s complete correspondence has know been published in electronic form in The Correspondence of John Dewey, 3 vols., Larry Hickman, ed. (Charlottesville, Va: Intelex Corporation).

An authoritative collection of Dewey’s writings is The Essential Dewey, 2 vols., Larry Hickman and Thomas M. Alexander, eds. (Bloomington, IN: Indiana University Press, 1998).

b. Secondary Sources

  • Alexander, Thomas M. The Horizons of Feeling: John Dewey’s Theory of Art, Experience, and Nature. Albany: State University of New York Press, 1987.
  • Boisvert, Raymond D. Dewey’s Metaphysics. New York: Fordham University Press, 1988.
  • Boisvert, Raymond D. John Dewey: Rethinking Our Time. Albany: State University of New York Press, 1998.
  • Bullert, Gary. The Politics of John Dewey. Buffalo, NY: Prometheus Books, 1983.
  • Campbell, James. Understanding John Dewey: Nature and Cooperative Intelligence. Chicago and La Salle: Open Court, 1995.
  • Damico, Alfonso J. Individuality and Community: The Social and Political Thought of John Dewey. Gainesville, FL: University Presses of Florida, 1978.
  • Dykhuizen, George. The Life and Mind of John Dewey. Carbondale: Southern Illinois University Press, 1973.
  • Eames, S. Morris. Experience and Value: Essays on John Dewey and Pragmatic Naturalism.Elizabeth R. Eames and Richard W. Field, eds. Carbondale: Southern Illinois University Press, 2003.
  • Eldridge, Michael. Transforming Experience: John Dewey’s Cultural Instrumentalism. Nashville: Vanderbilt University Press, 1998.
  • Gouinlock, James. John Dewey’s Philosophy of Value. New York: Humanities Press, 1972.
  • Hickman, Larry. John Dewey’s Pragmatic Technology. Bloomington: Indiana University Press, 1990.
  • Hickman, Larry A., ed. Reading Dewey: Interpretations for a Postmodern Generation. Bloomington and Indianapolis: Indiana University Press, 1998.
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Author Information

Richard Field
Email: rfield(at)nwmissouri.edu
Northwest Missouri State University
U. S. A.

Cicero (106—43 B.C.E.)

cicero-02Marcus Tullius Cicero was born on January 3, 106 B.C.E. and was murdered on December 7, 43 B.C.E. His life coincided with the decline and fall of the Roman Republic, and he was an important actor in many of the significant political events of his time, and his writings are now a valuable source of information to us about those events. He was, among other things, an orator, lawyer, politician, and philosopher. Making sense of his writings and understanding his philosophy requires us to keep that in mind. He placed politics above philosophical study; the latter was valuable in its own right but was even more valuable as the means to more effective political action. The only periods of his life in which he wrote philosophical works were the times he was forcibly prevented from taking part in politics.

While Cicero is currently not considered an exceptional thinker, largely on the (incorrect) grounds that his philosophy is derivative and unoriginal, in previous centuries he was considered one of the great philosophers of the ancient era, and he was widely read well into the 19th century. Probably the most notable example of his influence is St. Augustine’s claim that it was Cicero’s Hortensius (an exhortation to philosophy, the text of which is unfortunately lost) that turned him away from his sinful life and towards philosophy and ultimately to God. Augustine later adopted Cicero’s definition of a commonwealth and used it in his argument that Christianity was not responsible for the destruction of Rome by the barbarians.

Table of Contents

  1. Cicero’s life
  2. Cicero’s influence
  3. Cicero’s thought
  4. Cicero and the Academic Skeptics
  5. Cicero and Stoicism and Peripateticism
  6. Cicero and Epicureanism
  7. Cicero’s writings
    1. On Invention
    2. On the Orator
    3. On the Republic
    4. On the Laws
    5. Brutus
    6. Stoic Paradoxes
    7. The Orator
    8. Consolation
    9. Hortensius
    10. Academics
    11. On Ends
    12. Tusculan Disputations
    13. On the Nature of the Gods
    14. On Divination
    15. On Fate
    16. On Old Age
    17. On Friendship
    18. Topics
    19. On Duties
  8. Further reading on Cicero’s life
  9. Further reading on Cicero’s philosophy
    1. Texts by Cicero
    2. Texts about Cicero

1. Cicero’s life

Cicero’s political career was a remarkable one. At the time, high political offices in Rome, though technically achieved by winning elections, were almost exclusively controlled by a group of wealthy aristocratic families that had held them for many generations. Cicero’s family, though aristocratic, was not one of them, nor did it have great wealth. But Cicero had a great deal of political ambition; at a very young age he chose as his motto the same one Achilles was said to have had: to always be the best and overtop the rest. Lacking the advantages of a proper ancestry, there were essentially only two career options open to him. One was a military career, since military success was thought to result from exceptional personal qualities and could lead to popularity and therefore political opportunity (as was the case much later for American presidents Ulysses S. Grant and Dwight D. Eisenhower). Cicero, however, was no soldier. He hated war, and served in the military only very briefly as a young man.

Instead, Cicero chose a career in the law. To prepare for this career, he studied jurisprudence, rhetoric, and philosophy. When he felt he was ready, he began taking part in legal cases. A career in the law could lead to political success for several reasons, all of which are still relevant today. First, a lawyer would gain a great deal of experience in making speeches. Second, he (there were no female lawyers in Rome) could also gain exposure and popularity from high-profile cases. Finally, a successful lawyer would build up a network of political connections, which is important now but was even more important in Cicero’s time, when political competition was not conducted along party lines or on the basis of ideology, but instead was based on loose, shifting networks of personal friendships and commitments. Cicero proved to be an excellent orator and lawyer, and a shrewd politician. He was elected to each of the principal Roman offices (quaestor, aedile, praetor, and consul) on his first try and at the earliest age at which he was legally allowed to run for them. Having held office made him a member of the Roman Senate. This body had no formal authority — it could only offer advice — but its advice was almost always followed. He was, as can be imagined, very proud of his successes. (Though this is not the place for a long discussion of Roman government, it should be noted that the Roman republic was not a democracy. It was really more of an oligarchy than anything else, with a few men wielding almost all economic and political power).

During his term as consul (the highest Roman office) in 63 B.C.E. he was responsible for unraveling and exposing the conspiracy of Catiline, which aimed at taking over the Roman state by force, and five of the conspirators were put to death without trial on Cicero’s orders. Cicero was proud of this too, claiming that he had singlehandedly saved the commonwealth; many of his contemporaries and many later commentators have suggested that he exaggerated the magnitude of his success. But there can be little doubt that Cicero enjoyed widespread popularity at this time – though his policy regarding the Catilinarian conspirators had also made him enemies, and the executions without trial gave them an opening.

The next few years were very turbulent, and in 60 B.C.E. Julius Caesar, Pompey, and Crassus (often referred to today as the First Triumvirate) combined their resources and took control of Roman politics. Recognizing his popularity and talents, they made several attempts to get Cicero to join them, but Cicero hesitated and eventually refused, preferring to remain loyal to the Senate and the idea of the Republic. This left him open to attacks by his enemies, and in January of 58 B.C.E. one of them, the tribune Clodius (a follower of Caesar’s), proposed a law to be applied retroactively stating that anyone who killed a Roman citizen without trial would be stripped of their citizenship and forced into exile. This proposal led to rioting and physical attacks on Cicero, who fled the city. The law passed. Cicero was forbidden to live within 500 miles of Italy, and all his property was confiscated. This exile, during which Cicero could not take part in politics, provided the time for his first period of sustained philosophical study as an adult. After roughly a year and a half of exile, the political conditions changed, his property was restored to him, and he was allowed to return to Rome, which he did to great popular approval, claiming that the Republic was restored with him. This was also treated by many as an absurd exaggeration.

Cicero owed a debt to the triumvirate for ending his exile (and for not killing him), and for the next eight years he repaid that debt as a lawyer. Because he still could not engage in politics, he also had time to continue his studies of philosophy, and between 55 and 51 he wrote On the Orator, On the Republic, and On the Laws. The triumvirate, inherently unstable, collapsed with the death of Crassus and in 49 B.C.E. Caesar crossed the Rubicon River, entering Italy with his army and igniting a civil war between himself and Pompey (Caesar’s own account of this war still survives). Cicero was on Pompey’s side, though halfheartedly. He felt that at this point the question was not whether Rome would be a republic or an empire but whether Pompey or Caesar would be Emperor, and he believed that it would make little difference, for it would be a disaster in either case. Caesar and his forces won in 48 B.C.E., and Caesar became the first Roman emperor. He gave Cicero a pardon and allowed him to return to Rome in July of 47 B.C.E., but Cicero was forced to stay out of politics. Most of the rest of his life was devoted to studying and writing about philosophy, and he produced the rest of his philosophical writings during this time.

Caesar was murdered by a group of senators on the Ides of March in 44 B.C.E. Cicero was a witness to the murder, though he was not a part of the conspiracy. The murder led to another power struggle in which Mark Antony (of “Antony and Cleopatra” fame), Marcus Lepidus, and Octavian (later called Augustus) were the key players. It also gave Cicero, who still hoped that the Republic could be restored, the opportunity for what is considered his finest hour as a politician. With Caesar dead, the Senate once again mattered, and it was to the Senate that Cicero made the series of speeches known as the Philippics (named after the speeches the Greek orator Demosthenes made to rouse the Athenians to fight Philip of Macedon). These speeches called for the Senate to aid Octavian in overcoming Antony (Cicero believed that Octavian, still a teenager, would prove to be a useful tool who could be discarded by the Senate once his purpose was served).

However, Antony, Lepidus, and Octavian were able to come to terms and agreed to share power. Each of them had enemies that he wanted eliminated, and as part of the power-sharing deal each got to eliminate those enemies. Antony put not only Cicero but also his son, his brother, and his nephew on the list of those to be killed (the Philippics are not very nice to him at all, especially the Second Philippic). Though Octavian owed his success in part to Cicero, he chose not to extend his protection to Cicero and his family. Cicero, his brother, and his nephew tried somewhat belatedly to flee Italy. His brother and nephew turned aside to collect more money for the trip, and were killed. Cicero kept going. Plutarch describes the end of Cicero’s life: “Cicero heard [his pursuers] coming and ordered his servants to set the litter [in which he was being carried] down where they were. He…looked steadfastly at his murderers. He was all covered in dust; his hair was long and disordered, and his face was pinched and wasted with his anxieties – so that most of those who stood by covered their faces while Herennius was killing him. His throat was cut as he stretched his neck out from the litter….By Antony’s orders Herennius cut off his head and his hands.” Antony then had Cicero’s head and hands nailed to the speaker’s podium in the Senate as a warning to others. Cicero’s son, also named Marcus, who was in Greece at this time, was not executed. He became consul in 30 B.C.E. under Octavian, who had defeated Antony after the Second Triumvirate collapsed. As consul, the younger Marcus got to announce Antony’s suicide to the Senate. It is unfortunate that we have no record of this speech.

2. Cicero’s influence

While Cicero is currently not considered an exceptional thinker, largely on the (incorrect) grounds that his philosophy is derivative and unoriginal, in previous centuries he was considered one of the great philosophers of the ancient era, and he was widely read well into the 19th century. Probably the most notable example of his influence is St. Augustine’s claim that it was Cicero’s Hortensius (an exhortation to philosophy, the text of which is unfortunately lost) that turned him away from his sinful life and towards philosophy and ultimately to God. Augustine later adopted Cicero’s definition of a commonwealth and used it in his argument that Christianity was not responsible for the destruction of Rome by the barbarians. Further discussion of Cicero’s influence on later philosophers can be found in MacKendrick, Chapter 20 and Appendix.

3. Cicero’s thought

Cicero subordinated philosophy to politics, so it should not surprise us to discover that his philosophy had a political purpose: the defense, and if possible the improvement, of the Roman Republic. The politicians of his time, he believed, were corrupt and no longer possessed the virtuous character that had been the main attribute of Romans in the earlier days of Roman history. This loss of virtue was, he believed, the cause of the Republic’s difficulties. He hoped that the leaders of Rome, especially in the Senate, would listen to his pleas to renew the Republic. This could only happen if the Roman elite chose to improve their characters and place commitments to individual virtue and social stability ahead of their desires for fame, wealth, and power. Having done this, the elite would enact legislation that would force others to adhere to similar standards, and the Republic would flourish once again. Whether this belief shows an admirable commitment to the principles of virtue and nobility or a blindness to the nature of the exceedingly turbulent and violent politics of his time, or perhaps both, is impossible to say with certainty.

Cicero, therefore, tried to use philosophy to bring about his political goals. Like most intellectual endeavors in Cicero’s time, philosophy was an activity in which Greece (and especially Athens) still held the lead. The Romans were more interested in practical matters of law, governance, and military strategy than they were in philosophy and art (many of Cicero’s writings include justifications for his study of philosophy and arguments that it ought to be taken seriously). But for Cicero to really use philosophy effectively, he needed to make it accessible to a Roman audience. He did this in part by translating Greek works into Latin, including inventing Latin words where none seemed suitable for Greek concepts (including the Latin words which give us the English words morals, property, individual, science, image, and appetite), and in part by drawing on and idealizing Roman history to provide examples of appropriate conduct and to illustrate the arguments of philosophy. He also summarized in Latin many of the beliefs of the primary Greek philosophical schools of the time (and he is the source of much of our knowledge about these schools). These included the Academic Skeptics, >Peripatetics, Stoics, and Epicureans. Cicero was well acquainted with all these schools, and had teachers in each of them at different times of his life. But he professed allegiance throughout his life to the Academy.

4. Cicero and the Academic Skeptics

In Cicero’s time there were in fact two schools claiming to be descended from the First Academy, established by Plato. Cicero studied briefly in both the Old Academy and the New Academy; the differences between the two need not concern us. What they shared was their basic commitment to skepticism: a belief that human beings cannot be certain in their knowledge about the world, and therefore no philosophy can be said to be true. The Academic Skeptics offered little in the way of positive argument themselves; they mostly criticized the arguments of others.

This can be annoying, but it requires real mental abilities, including the ability to see all sides of an issue and to understand and accept that any belief, no matter how cherished, is only provisional and subject to change later if a better argument presents itself. It is the approach which underlies the modern scientific method, though the Academics did not use it in that way. Even something like evolution, for which there is mountains of evidence and seemingly no resonable alternative, is treated as a theory subject to change if needed rather than an eternal truth.

And it is this approach which Cicero embraced. This is not surprising if we consider again why he was interested in philosophy in the first place. As a lawyer, he would need to see as many sides of an argument as possible in order to argue his clients’ cases effectively. He would have to marshal all the available evidence in a methodical way, so as to make the strongest possible case, and he would have to accept that he might at any time have to deal with new evidence or new issues, forcing him to totally reconsider his strategies. As a politician, he would need a similar grasp of the issues and a similar degree of flexibility in order to speak and to act effectively. A lawyer or politician who fanatically sticks to a particular point of view and cannot change is not likely to be successful. Adopting the teachings of the Academy also allowed Cicero to pick and choose whatever he wanted from the other philosophical schools, and he claims to do this at various points in his writings. Finally, his allegiance to the Academy helps to explain his use of the dialogue form: it enables Cicero to put a number of arguments in the mouths of others without having to endorse any particular position himself.

However, Cicero did not consistently write as a member of the Academy. Skepticism can, if taken to extremes, lead to complete inaction (if we can’t be certain of the correctness of our decisions or of our actions, why do anything at all?) which was incompatible with Cicero’s commitment to political activity. Even if it isn’t taken that far, it can still be dangerous. It may not be a problem if trained, knowledgeable philosophers are skeptical about things like whether the gods exist or whether the laws are just. But if people in general are skeptical about these things, they may end up behaving lawlessly and immorally (see Aristophanes’ Clouds for a portrayal of this). Thus, while Cicero is willing to accept Academic Skepticism in some areas, he is not willing to do so when it comes to ethics and politics. For doctrines in these areas, he turns to the Stoics and Peripatetics.

5. Cicero and Stoicism and Peripateticism

Cicero believed that these two schools taught essentially the same things, and that the difference between them was whether virtue was the only thing human beings should pursue or whether it was merely the best thing to be pursued. According to the first view, things like money and health have no value; according to the second, they have value but nowhere near enough to justify turning away from virtue to attain them. This was a difference with little practical consequence, so far as Cicero was concerned, and there is no need to take it up here.

Since, according to the teachings of the Academy, Cicero was free to accept any argument that he found convincing, he could readily make use of Stoic teachings, and he did so particularly when discussing politics and ethics. In the Laws, for example, he explicitly says that he is setting aside his skepticism, for it is dangerous if people do not believe unhesitatingly in the sanctity of the laws and of justice. Thus he will rely on Stoicism instead. He puts forth Stoic doctrines not dogmatically, as absolutely and always true, but as the best set of beliefs so far developed. We ought to adhere to them because our lives, both individually and collectively, will be better if we do. It is essentially Stoic ethical teachings that Cicero urges the Roman elite to adopt.

Stoicism as Cicero understood it held that the gods existed and loved human beings. Both during and after a person’s life, the gods rewarded or punished human beings according to their conduct in life. The gods had also provided human beings with the gift of reason. Since humans have this in common with the gods, but animals share our love of pleasure, the Stoics argued, as Socrates had, that the best, most virtuous, and most divine life was one lived according to reason, not according to the search for pleasure. This did not mean that humans had to shun pleasure, only that it must be enjoyed in the right way. For example, it was fine to enjoy sex, but not with another man’s wife. It was fine to enjoy wine, but not to the point of shameful drunkenness. Finally, the Stoics believed that human beings were all meant to follow natural law, which arises from reason. The natural law is also the source of all properly made human laws and communities. Because human beings share reason and the natural law, humanity as a whole can be thought of as a kind of community, and because each of us is part of a group of human beings with shared human laws, each of us is also part of a political community. This being the case, we have duties to each of these communities, and the Stoics recognized an obligation to take part in politics (so far as is possible) in order to discharge those duties. The Stoic enters politics not for public approval, wealth, or power (which are meaningless) but in order to improve the communities of which they are a part. If politics is painful, as it would often prove to be for Cicero, that’s not important. What matters is that the virtuous life requires it.

6. Cicero and Epicureanism

For the Epicurean philosophy Cicero had only disdain throughout most of his life, though his best friend Atticus was an Epicurean. This disdain leads him to seriously misrepresent its teachings as being based on the shameless pursuit of base pleasures, such as food, sex, and wine (the modern day equivalent being sex, drugs, and rock’n’roll). However, this is not what Epicurus, who founded the school, or his later followers actually taught. Epicurus did claim that nature teaches us that pleasure is the only human good, and that life should therefore be guided by the pursuit of pleasure. But he meant by pleasure the absence of pain, including the pain caused by desires for wealth, fame, or power. This did not mean living life as one long Bacchanalia. Instead it meant withdrawing from politics and public life and living quietly with friends, engaged in the study of philosophy, which provided the highest pleasure possible (think of a monastery without the Bible and the rigorous discipline). The notion that the life of philosophy is the most pleasant life, of course, also comes from Socrates. Epicureans were also publicly atheists. Their atheism was based on a theory of atomism, which they were the first to propose. Everything in the universe, they argued, was made up of atoms, including the heavenly bodies; the gods did not exist. This knowledge was not a cause of despair but a cause of joy, they believed, since one of the greatest human pains is the pain caused by the fear of death and what lies beyond it. According to the Epicureans, death simply meant the end of sensation, as one’s atoms came apart. Thus there was no reason to fear it, because there was no divine judgment or afterlife. The best known Epicurean is Lucretius, a contemporary of Cicero’s at Rome who Cicero may have known personally. Lucretius’ On the Nature of Things, available online, sets out Epicurean teachings.

It is easy to see why Cicero, a man deeply involved in politics and the pursuit of glory, would find any doctrine that advocated the rejection of public life repulsive. It is also easy to see why someone concerned with the reform of character and conduct would reject public atheism, since fear of divine punishment often prevents people from acting immorally. During his forced exile from politics at the end of his life, however, some of his letters claim that he has gone over to Epicureanism, presumably for the reasons he hated it previously. No longer able to take part in public life, the best he could hope for was the cultivation of private life and the pleasures that it had to offer. Since Cicero abandoned this idea as soon as the opportunity to return to public life arose, there is no reason to take his professed conversion seriously – unless we wish to see in it an example of changing his beliefs to reflect changing circumstances, and thus an example of his commitment to the Academy.

7. Cicero’s writings

Cicero’s written work can be sorted into three categories. None can be said to represent the “true” Cicero, and all of Cicero’s work, we must remember, has a political purpose. This does not make it worthless as philosophy, but it should make us cautious about proclaiming anything in particular to be what Cicero “really thought.” Also, as an Academic skeptic, Cicero felt free to change his mind about something when a better position presented itself, and this makes it even more difficult to bring his writing together into a coherent whole.

The first category of Cicero’s work is his philosophic writings, many of which were patterned after Plato’s or Aristotle’s dialogues. These writings, in chronological order, include On Invention, On the Orator, On the Republic, On the Laws, Brutus, Stoic Paradoxes, The Orator, Consolation, Hortensius, Academics, On Ends, Tusculan Disputations, On the Nature of the Gods, On Divination, On Fate, On Old Age, On Friendship, Topics, On Glory, and On Duties. Unfortunately, several of them have been lost almost entirely (Hortensius, on the value of philosophy, the Consolation, which Cicero wrote to himself on the death of his beloved daughter Tullia in order to overcome his grief, and On Glory, almost totally lost) and several of the others are available only in fragmentary condition (notably the Laws, which Cicero may never have finished, and the Republic, fragments of which were only discovered in 1820 in the Vatican). These will be discussed in more detail below. While each of them is dedicated and addressed to a particular individual or two, they were intended to be read by a wide audience, and even at the end of his life Cicero never gave up entirely on the hope that the Republic and his influence would be restored. Hence these are not purely philosophical writings, but were designed with a political purpose in mind, and we are entitled to wonder whether Cicero is being entirely candid in the opinions that he expresses. Also, the dialogue form is useful for an author who wishes to express a number of opinions without having to endorse one. As we have seen, Cicero’s skepticism would have made this an especially attractive style. We should not assume too quickly that a particular character speaks for Cicero. Instead we should assume that, unless he explicitly says otherwise, Cicero wanted all the viewpoints presented to be considered seriously, even if some or all of them have weaknesses.

The second category is the speeches Cicero made as a lawyer and as a Senator, about 60 of which remain. These speeches provide many insights into Roman cultural, political, social, and intellectual life, as well as glimpses of Cicero’s philosophy. Many of them also describe the corruption and immorality of the Roman elite. However, they have to be taken with a grain of salt, because Cicero was writing and delivering them in order to achieve some legal outcome and/or political goal and by his own admission was not above saying misleading or inaccurate things if he thought they would be effective. In addition, the speeches that we have are not verbatim recordings of what Cicero actually said, but are versions that he polished later for publication (the modern American analogy would be to the Congressional Record, which allows members of Congress the opportunity to revise the text of their speeches before they are published in the Record). In some cases (such as the Second Philippic) the speech was never delivered at all, but was merely published in written form, again with some political goal in mind.

Finally, roughly 900 letters to and from (mostly from) Cicero have been preserved. Most of them were addressed to his close friend Atticus or his brother Quintius, but some correspondence to and from some other Romans including famous Romans such as Caesar has also been preserved. The letters often make an interesting contrast to the philosophic dialogues, as they deal for the most part not with lofty philosophical matters but with the mundane calculations, compromises, flatteries, and manipulations that were part of politics in Rome and which would be familiar to any politician today. It is important to be cautious in drawing conclusions from them about Cicero’s “true” beliefs since they rely on an understanding between the sender and recipient not available to others, because they are often not the result of full reflection or an attempt at complete clarity and precision (after all, a friend can be counted on to know what you mean), and because many of them, like the speeches, were written with a political purpose in mind that may make them less than fully truthful and straightforward.

Space does not allow us to discuss Cicero’s speeches and letters. The serious student of Cicero, however, will not want to ignore them. What follows is a brief summary of the main points each of Cicero’s philosophical works.

a. On Invention

Written while Cicero was still a teenager, it is a handbook on oratory. Cicero later dismissed it and argued that his other oratorical works had superceded it.

b. On the Orator

A lengthy treatise, in the form of a dialogue, on the ideal orator. While it is full of detail which can be tedious to those who are not deeply interested in the theory of rhetoric, it also contains useful discussions of the nature of and the relationships among law, philosophy, and rhetoric. Cicero places rhetoric above both law and philosophy, arguing that the ideal orator would have mastered both law and philosophy (including natural philosophy) and would add eloquence besides. He argues that in the old days philosophy and rhetoric were taught together, and that it is unfortunate that they have now been separated. The best orator would also be the best human being, who would understand the correct way to live, act upon it by taking a leading role in politics, and instruct others in it through speeches, through the example of his life, and through making good laws.

c. On the Republic

This dialogue is, unfortunately, in an extremely mutilated condition. It describes the ideal commonwealth, such as might be brought about by the orator described in On the Orator. In doing so it tries to provide philosophical underpinnings for existing Roman institutions and to demonstrate that Roman history has been essentially the increasing perfection of the Republic, which is superior to any other government because it is a mixed government. By this Cicero means that it combines elements of monarchy, aristocracy, and democracy in the right balance; the contemporary reader may well disagree. But even this government can be destroyed and is being destroyed by the moral decay of the aristocracy. Thus Cicero describes the importance of an active life of virtue, the foundations of community, including the community of all human beings, the role of the statesman, and the concept of natural law. It also includes the famous Dream of Scipio.

d. On the Laws

This dialogue is also badly mutilated, and may never have been finished. In it Cicero lays out the laws that would be followed in the ideal commonwealth described in On the Republic. Finding the source of law and justice, he says, requires explaining “what nature has given to humans; what a quantity of wonderful things the human mind embraces; for the sake of performing and fulfilling what function we are born and brought into the world; what serves to unite people; and what natural bond there is between them.” Philosophy teaches us that by nature human beings have reason, that reason enables us to discover the principles of justice, and that justice gives us law. Therefore any valid law is rooted in nature, and any law not rooted in nature (such as a law made by a tyrant) is no law at all. The gods also share in reason, and because of this they can be said to be part of a community with humanity. They care for us, and punish and reward us as appropriate. Much of what remains of this dialogue is devoted to religious law.

e. Brutus

This dialogue too is in a mutilated condition. It is a history of oratory in Greece and Rome, listing hundreds of orators and their distinguishing characteristics, weaknesses as well as strengths. There is also some discussion of oratory in the abstract. Cicero says that the orator must “instruct his listener, give him pleasure, [and] stir his emotions,” and, as in On the Orator, that the true orator needs to have instruction in philosophy, history, and law. Such a person will have the tools necessary to become a leader of the commonwealth. This dialogue is less inclined to the argument that the orator must be a good man; for example, Cicero says that orators must be allowed to “distort history [i.e. lie] in order to give more point to their narrative.”

f. Stoic Paradoxes

Not a dialogue; Cicero lays out six Stoic principles (called paradoxes) which the average listener would not be likely to agree with and tries to make them both understandable and persuasive to such a listener. It is, he says, an exercise in turning the specialized jargon of the Stoics into plain speech for his own amusement (which obviously does not require Cicero to actually agree with any of the Stoic beliefs). The beliefs discussed are as follows: moral worth is the only good; virtue is sufficient for happiness; all sins and virtues are equal; every fool is insane; only the wise man is really free; only the wise man is really rich. These topics are largely taken up again in the Tusculan Disputations. MacKendrick argues strenuously that this work is far more than an idle amusement, and that it showcases Cicero’s rhetorical skills as well as being an attack on his enemies.

g. The Orator

Written in the form of a letter on the topic of the perfect orator, it includes a defense of Cicero’s own oratorical style (Cicero was never known for his modesty). It emphasizes that the orator must be able to prove things to the audience, please them, and sway their emotions. It also includes the famous quote “To be ignorant of what occurred before you were born is to remain always a child.”

h. Consolation

This text is lost except for fragments cited by other authors. Cicero wrote it to diminish his grief over the death of his daughter Tullia through the use of philosophy. From his letters we know that it was not entirely successful.

i. Hortensius

his text is heavily fragmented and we can determine little more than its broad outline. It is written in order to praise philosophy, which alone can bring true happiness through the development of reason and the overcoming of passions. In antiquity it was widely read and very popular; it was instrumental in converting St. Augustine to Christianity.

j. Academics

The positions of the various philosophical schools on epistemology (how we can perceive and understand the world) and the possibility of knowing truth are set out and refuted by the participants in this dialogue (of which we have different parts of two editions). Cicero also incorporates a detailed history of the development of these schools following the death of Socrates (diagrammed nicely in MacKendrick; see below). The nature of Cicero’s own skepticism can be found in this work; the reader is left to choose the argument that is most persuasive.

k. On Ends

A dialogue which sets out the case, pro and con, of the several philosophic schools on the question of the end or purpose (what Aristotle called the telos) of human life. For Cicero, and arguably for ancient philosophy generally, this was the most important question: “What is the end, the final and ultimate aim, which gives the standard for all principles of right living and of good conduct?” Today many are inclined to believe that an answer to this question, if an answer exists at all, must be found in religion, but Cicero held that it was a question for philosophy, and this text was meant to popularize among the Romans the various answers that were being offered at the time. As with Academics, the reader must decide which case is most persuasive.

l. Tusculan Disputations

Another attempt to popularize philosophy at Rome and demonstrate that the Romans and their language had the potential to achieve the very highest levels of philosophy. The first book presents the argument that death is an evil; this argument is then refuted. The second book presents and refutes the argument that pain is an evil. The third book argues that the wise man will not suffer from anxiety and fear. In the fourth book Cicero demonstrates that the wise man does not suffer from excessive joy or lust. And in the fifth and final book Cicero argues that virtue, found through philosophy, is sufficient for a happy life. These positions are all compatible with Stoicism.

m. On the Nature of the Gods

This dialogue, along with the next two, was intended by Cicero to form a trilogy on religious questions. It offers desciptions of literally dozens of varieties of religion. Emphasis is especially placed on the Epicurean view (the gods exist but are indifferent about human beings), which is described and then refuted, and the Stoic view (the gods govern the world, love human beings, and after death reward the good and punish the bad), which is similarly stated and refuted. At the end of the dialogue the characters have not reached agreement. This is perhaps the dialogue that best illustrates Cicero’s skeptical method.

n. On Divination

This dialogue too, according to Cicero, is meant to set out arguments both for and against a topic, in this case the validity of divination (predicting the future through methods such as astrology, reading animal entrails, watching the flight of birds, etc.) without asserting that either side is correct. The case for the validity of divination is presented in the first book and then crushed in the second (in which Cicero himself is the main speaker). While Cicero explicitly says that he reserves judgment, it is hard to conclude that Cicero approved of divination, which he saw as drawing on superstition rather than religion. Religion was useful because it helped to control human behavior and could be used as a tool for public policy; and in this context divination could be useful too (as when an unwise political decision was prevented by the announcement that the omens were unfavorable).

o. On Fate

The text is fragmented. The topic discussed is whether or not human beings can be said to have free will, so much of the book deals with theories of causation and the meaning of truth and falsehood. Cicero apparently rejects the idea that fate determines all our actions and argues that human beings, to a significant extent, have free will.

p. On Old Age

In this dialogue, we learn that the sufferings of old age do not affect everyone equally but in fact are dependent on character; old men of good character continue to enjoy life, though in different ways than in their youth, while men of bad character have new miseries added to their previous ones. Nothing is more natural than to age and die, and if we are to live in accordance with nature (a Stoic teaching) we should face death calmly. If one has lived well, there are many pleasant memories to enjoy, as well as prestige and the intellectual pleasures that are highest of all.

q. On Friendship

This dialogue describes the nature of true friendship, which is possible only between good men, who are virtuous and follow nature. This friendship is based on virtue, and while it offers material advantages it does not aim at them or even seek them. The dialogue goes on to describe the bonds of friendship among lesser men, which are stronger the more closely they are related but which exist even in more distant relationships. The conclusion is reached that all human beings are bonded together, along with the gods, in a community made up of the cosmos as a whole and based on shared reason. There is, however, awareness of the fact that in the real world friendship can be a difficult thing to maintain due to political pressures and adversity. It also includes the assertion that Cato was better than Socrates because he is praised for deeds, not words, which is perhaps the center of Cicero’s personal philosophy (recall that he only wrote about philosophy, rhetoric and so on when political participation was denied to him by force), as well as the claim that love is not compatible with fear – a claim that Machiavelli found significant enough to explicitly reject in The Prince.

r. Topics

A toolkit for orators on the science of argument, touching on the law, rhetoric, and philosophy, and setting out the various kinds of arguments available to the orator, rules of logic, and the kinds of questions he may find himself facing. It has similarities to Aristotle’s Topics and part of his Rhetoric.

s. On Duties

Written in the form of a letter to his son Marcus, then in his late teens and studying philosophy in Athens (though, we can gather from the letters, not studying it all that seriously), but intended from the start to reach a wider audience. Cicero addresses the topic of duty (including both the final purpose of life, which defines our duties, and the way in which duties should be performed), and says that he will follow the Stoics in this area, but only as his judgment requires. More explicitly, the letter discusses how to determine what is honorable, and which of two honorable things is more honorable; how to determine what is expedient and how to judge between two expedient things; and what to do when the honorable and the expedient seem to conflict. Cicero asserts that they can only seem to conflict; in reality they never do, and if they seem to it simply shows that we do not understand the situation properly. The honorable action is the expedient and vice-versa. The bonds among all human beings are described, and young Marcus is urged to follow nature and wisdom, along with whatever political activity might still be possible, rather than seeking pleasure and indolence. On Duties, written at the end of Cicero’s life, in his own name, for the use of his son, pulls together a wide range of material, and is probably the best starting place for someone wanting to get acquainted with Cicero’s philosophic works.

8. Further reading on Cicero’s life

Plutarch’s “Life of Cicero” is the source of much of our knowledge of Cicero’s life. It should be kept in mind that Plutarch is writing a century after Cicero’s death and has no firsthand knowledge of the events he describes. He also writes to offer moral lessons, rather than simply record events. The Roman historian Sallust’s Conspiracy of Catiline offers a description of that conspiracy, written twenty years after it took place, which fails to give Cicero the same degree of importance he gave himself. Both of these texts are available online and in inexpensive Penguin editions. D.R. Shackleton Bailey, Cicero, incorporates many of Cicero’s own letters in describing Cicero and the events of his life; the reader gets a firsthand look at events and a taste of Cicero’s enjoyable prose style through these letters. Manfred Fuhrmann, Cicero and the Roman Republic, uses the same approach and also includes material from speeches and the philosophical writings. Christian Habicht, Cicero the Politician, is a short (99 pages of text) history of Cicero’s life and times. Its brevity makes it a useful starting point and overview. Even shorter (84 pages of text) is Thomas Wiedemann, Cicero and the End of the Roman Republic. Weidemann even finds room for photographs and drawings, which makes this book perhaps too short. R.E. Smith, Cicero the Statesman, focuses on the period from 71 B.C.E.-43 B.C.E., which is the most active part of Cicero’s life. He gives a very clear exposition of Roman politics as well as Cicero’s part in it. Thomas Mitchell’s two volumes, Cicero, the Ascending Years (which covers Cicero’s life up to the end of his consulship) and Cicero the Senior Statesman (which covers the years from the end of his consulship to his death), in his words, aim to “provide a detailed and fully documented account of Cicero’s political life that combines the story of his career with a comprehensive discussion of the political ideas and events that helped shape it.” He succeeds admirably. There are also available a large number of general histories of the Roman Republic and empire which the reader is encouraged to explore.

9. Further reading on Cicero’s philosophy

a. Texts by Cicero

The standard versions of Cicero’s writings in English are still the Loeb editions of the Harvard University Press. They include the Latin text on the left hand pages and the English translation on the right hand pages, which is obviously of particular use to one who knows or is learning Latin. There are Loeb editions of all of Cicero’s speeches, letters, and philosophical writings known to exist, and they were the main sources for this article. The Perseus Project includes Cicero’s writings in its online archives. The series of Cambridge Texts in the History of Political Thought has recently added editions of On the Commonwealth and On the Laws (in one volume, edited by James E.G. Zetzel) and On Duties (edited by M.T. Griffin and E.M. Atkins). These volumes include the Cambridge series’ usual excellent introductions and background material and were also helpful in preparing this article. The Oxford World’s Classics series has recently released a new translation of On the Commonwealth and On the Laws (edited by Jonathan Powell and Niall Rudd); while its supplemental material is not as thorough as that of the Cambridge edition, it is still worth reading.

b. Texts by Cicero

Perhaps the best starting point is Neal Wood, Cicero’s Social and Political Thought. It includes chapters on Cicero’s life and times and then discusses Cicero’s thought in a number of areas (for example there are chapters entitled “The Idea of the State” and “The Art of Politics”); admittedly its focus de-emphasizes Cicero’s thought on religion, oratorical theory, and so on. A wider range of essays, which can best be appreciated after reading Cicero’s texts, can be found in J.G.F. Powell, editor, Cicero the Philosopher: Twelve Papers. Andrew R. Dyck, A Commentary on Cicero, De Officiis (On Duty), is exactly what it says; it is massive (654 pages), detailed, relies on the reader’s knowing Latin, and is of interest almost exclusively to the specialist. Paul MacKendrick, The Philosophical Books of Cicero, offers detailed summaries of each of Cicero’s philosophical writings, as well as brief discussions which include the issue of Cicero’s sources and originality for each text (Cicero is defended against the charges of unoriginality commonly made against him). It was extremely helpful in the preparation of this article. The final two chapters, as mentioned above, trace Cicero’s influence down through the centuries and conclude with the observation that “Americans, though denied by their educational system a widespread knowledge of the classics in the original, share with Cicero a sturdy set of ethical values, which it is to be hoped they will, in true Ciceronian fashion, still cleave to in time of crisis.”

Author Information

Edward Clayton
Central Michigan University
U. S. A.

Michael Dummett (1925—2011)

Michael DummettMichael Dummett was one of the most influential British philosophers of his generation.  His philosophical reputation is based partly on his studies of the history of analytical philosophy and partly on his own contributions to the philosophical study of logic, language, mathematics and metaphysics. The article deals first with the historical work, then with his on-going project, concluding with a brief discussion of his influence.

Of his historical work, it is his commentaries on Gottlob Frege that are of outstanding importance. Frege was primarily a mathematician, and Dummett has devoted a book to Frege’s philosophy of mathematics. More controversially, Dummett has argued that analytical philosophy is based on Frege’s insight that the correct way to study thought is to study language. He holds that Frege advocated a realist semantic theory. According to such a theory, every sentence (and thus every thought we are capable of expressing) is determinately true or false, even though we may not have any means of discovering which it is.

Dummett’s most celebrated original work lies in his development of anti-realism, based on the idea that to understand a sentence is to be capable of recognizing what would count as evidence for or against it. According to anti-realism, there is no guarantee that every declarative sentence is determinately true or false. This means that the realist and the anti-realist support rival systems of logic. Dummett argues that we should think in terms of a series of independent debates between realists and anti-realists, each concerned with a different type of language—so one might be an anti-realist about arithmetic but a realist, say, about the past. Dummett’s main philosophical project is to demonstrate that philosophy of language is capable of providing a definitive resolution of such metaphysical debates.  His work on realism and anti-realism involves all of the following fields: philosophy of mathematics, philosophy of logic, philosophy of language and metaphysics.

Table of Contents

  1. Biographical Information
  2. Dummett and Other Philosophers
    1. Wittgenstein: Meaning as Use
    2. Intuitionism: the Significance of Bivalence
    3. Frege and Dummett
      1. Frege: the Significance of Philosophy of Language
      2. Frege and the Origins of Semantics
      3. Frege’s Unfinished Business
  3. Dummett on Realism and Anti-Realism
    1. Justifying Logical Laws by a Semantic Theory
    2. The Role of Proof-Theoretic Justification
    3. Justifying a Semantic Theory by Means of a Meaning-Theory
    4. Justificationist Semantics
    5. God
  4. On Immigration
  5. Dummett’s Influence
  6. References and Further Reading

1. Biographical Information

Michael Dummett attended Sandroyd School and Winchester College, and served in the armed forces from 1943 to 1947. Although he was educated within the traditions of the Anglican Church at Winchester, by the age of 13 he regarded himself as an atheist. In 1944 however, he was received into the Roman Catholic Church, and he remains a practising Catholic. After his military service, he studied at Christ Church College, Oxford, graduating with First Class Honours in Philosophy, Politics and Economics in 1950 and then attained a fellowship at All Souls College. An All Souls fellowship is perhaps the ultimate academic prize open to Oxford graduates, providing an ideal opportunity to engage in research without any of the pressure that comes from having to teach, or to produce a doctoral thesis within a set period of time. From 1950 to 1951, Dummett was also Assistant Lecturer in Philosophy in Birmingham University. In Oxford, he was Reader in Philosophy of Mathematics from 1962 until 1974.

His first philosophical article was a book review, published in Mind in 1953. He has published many more articles since, most of which have been collected into three volumes. Several of the articles published in the 1950s and 1960s are considered by some to be classics, but, at this time, some members of the philosophical community worried that his published output would never match his true potential. This was partly because of his perfectionism, and partly because, from 1965 to 1968, he and his wife Ann chose to devote much of their time and energy to the fight against racism. In 1965, they helped to found the Oxford Committee for Racial Integration, which soon affiliated to a newly formed national organization, the Committee Against Racial Discrimination on whose national executive committee he served. However, CARD was wracked with internal divisions, and after an acrimonious annual convention in 1967 Dummett concluded that a white person could play only an ancillary role in the fight against racism. He did found a new organization, the Joint Council for the Welfare of Immigrants which focused specifically on immigration rights, but by 1969, his work as an activist had been reduced sufficiently to allow a return to philosophical research, and he resumed the task of writing his first major work, Frege: Philosophy of Language.

The book was eventually published in 1973 and it was a watershed in the study of Frege. Even so, the first edition was deficient in containing hardly any references to the text of Frege’s work, a fault that was remedied in the second edition in 1981, published concurrently with The Interpretation of Frege’s Philosophy, a book whose title is self-explanatory.

Between the first and second editions of Frege: Philosophy of Language, Dummett also published Elements of Intuitionism in 1977 (a second edition was published in 2000), and his first collection of papers, Truth and Other Enigmas in 1978. In 1979, he accepted the position of Wykeham Professor of Logic at Oxford, which he held until his retirement in 1992. Although Dummett had been connected with Oxford for the whole of his professional career, he has also taught and studied outside England. He held various visiting positions at Berkeley, Ghana, Stanford, Minnesota, Princeton, Rockefeller, Munster, Bologna and Harvard. The William James Lectures that he delivered at Harvard in 1976 were published in 1991 as The Logical Basis of Metaphysics, his most detailed study of the debates between realists and anti-realists. In the same year, he published his second collection of papers, Frege and Other Philosophers, and Frege: Philosophy of Mathematics, his long-awaited sequel to Frege: Philosophy of Language. His third collection of papers, The Seas of Language, was published in 1993.

The lectures he delivered at Bologna in 1987, entitled Origins of Analytical Philosophy, were published in 1988 in the journal Lingua e Stile. A translation into German was made by Joachim Schulte, and this was published along with Schulte’s interview with Dummett in 1988, as Ursprünge der analytischen Philosophie. The book was subsequently published in Italian in 1990, in French in 1991, and in English in 1993. In 1996-1997, he delivered the Gifford Lectures in St. Andrews University, and these were published as Thought and Reality in 2006. He also gave the John Dewey Lectures at Columbia University in 2002, which were published as Truth and the Past in 2004. In 2001, he published On Immigration and Refugees, which is in part a contribution to moral and political philosophy. He also published works on voting systems and the history of card games, all of them subjects on which he was an authority. He received a Knighthood in 1999 in recognition of his efforts to fight racism, as well as for his philosophical work.

2. Dummett and Other Philosophers

There is an intimate connection between Dummett’s studies of the history of analytical philosophy and his own contributions to the field. Much of his own work can only be understood as a response to other thinkers, who, he thinks, have set the agenda that analytical philosophers ought to follow. To understand anything of his work it is necessary to understand the significance that Wittgenstein, the intuitionists, and above all Gottlob Frege have for him.

a. Wittgenstein: Meaning as Use

Dummett states that early in his career (before he published the work on which his reputation rests), “I regarded myself, doubtless wrongly, as a Wittgensteinian” (Dummett, 1993a 171). The most important idea that Dummett took from the later works of Wittgenstein, is that “meaning is use”. To know the meaning of a word is to understand that word, and to understand it is to be able to use it correctly. Of course, in order to be able to determine the significance of the claim that meaning is use, we must be able to spell out precisely what is involved in being able to use a word correctly: this is a task to which Dummett devoted a considerable amount of effort.

Wittgenstein also asserted in his later works that the task of philosophy is not to increase the sum of human knowledge, but to release us from the grip of confused metaphysical notions by drawing our attention to certain facts about meaning. Philosophy should limit itself to describing what we do in other areas of life, and should never attempt to alter our practices. Dummett states that, “I have never been able to sympathise with that idea,” (Dummett, 1993a, 174) and, as he has noted, a Catholic philosopher could hardly be content to say that metaphysics is impossible (Dummett, 1978, 435). However, there seems to be a connection between Wittgenstein’s suggestion that meaning is use and his rejection of metaphysics.

In Zettel, Wittgenstein asks the reader to consider two philosophers, one an idealist, the other a realist, who are raising their children to share their philosophical beliefs. An idealist holds that physical objects only exist in so far as they are perceived; talk of unperceived physical objects is merely a means to making predictions about future observations. The realist holds that physical objects exist independently of our capacity to perceive them. Wittgenstein suggests that both philosophers will teach their children how to use vocabulary about physical objects in exactly the same way, except, perhaps, that one child will be taught to say, “Physical objects exist independently of our perceptions,” and the other will be taught to deny this. If this is the only difference between the two children, says Wittgenstein, “Won’t the difference be one only of battle-cry?” (Wittgenstein, 1967, 74). For Wittgenstein, to understand the use of a word, in the manner that is relevant to philosophy, it is necessary to understand the role that sentences involving that word play in our lives. His claim in this case is that those sentences which philosophers take to express substantive statements about realism and idealism play no role whatsoever in our lives. The metaphysical sentences have no use, and so there is nothing to be understood—they are strings of words without a meaning. Wittgenstein’s hope is that once we see that, in a given metaphysical dispute, both sides are divided by nothing more than their different battle cries, both parties will realize that there is nothing to fight about and so give up fighting.

The argument presented above for the conclusion that metaphysical disputes are arguments about nothing does not follow just from the doctrine that meaning is use: a necessary part of the argument was the controversial observation that one’s stance on a particular metaphysical issue has no possible relevance to any practices in which one engages outside the arcane practice of arguing with other metaphysicians. This would have to be demonstrated for each metaphysical dispute in turn. Dummett accepts that meaning is use, but not that metaphysical problems need to be abandoned rather than solved. Therefore, he is faced with the challenge of explaining what content metaphysical statements have, by pointing out the exact connection between metaphysical doctrines and other practices in which we engage. Dummett met this challenge by focusing upon a disagreement in philosophy of mathematics, the dispute between intuitionists and Platonists.

b. Intuitionism: the Significance of Bivalence

In philosophy of mathematics, the term “platonism” is used to describe the belief that at least some mathematical objects (for example, the natural numbers) exist independently of human reasoning and perception. The Platonist is a realist about numbers. There are various forms of opposition to platonism. One form of anti-realism about mathematical objects is known as intuitionism.

Intuitionism was founded by L. E. J. Brouwer (1881-1966). The intuitionists argued that mathematical objects are constructed, and statements of arithmetic are reports by mathematicians of what they have constructed, each mathematician carrying out his or her own construction in his or her own mind. A concise statement of this case may be found in a lecture delivered by Brouwer in 1912 (Brouwer, 1983). This process of construction involves what Kant called “intuition”, hence the name “intuitionism”. Dummett does not, in fact, find the case presented by Brouwer very convincing, relying as it does on the idea that a mathematical construction is a process carried out by the individual mathematician within the privacy of his or her own mind. This seems to identify the meaning that one attaches to a mathematical term with a private mental object to which only that person has access. For Dummett, the significance of Brouwer lies not so much in the way that he and his immediate followers argued for their position, as in their exploration of the implications of their philosophical position for mathematical logic (Dummett, 1978, 215-247).

From an intuitionistic perspective, to claim that some mathematical proposition, P, is true is to claim that there is a proof of P, that is, that ‘we’ have access to a proof of P. It is the task of the mathematician to construct such proofs. To claim that the negation of P is true is to claim there is a proof that it is impossible to prove P. Of course, there is no guarantee that, for any arbitrary mathematical proposition, we will have either a proof of that proposition or a proof that no proof is possible. From the perspective of platonism, whether or not we have a proof, we know that P must be either true or false: mathematical reality guarantees that it has one of these two truth-values. From an intuitionist perspective, we have no such guarantee.

Consider, for example, Goldbach’s conjecture, the conjecture that every even number is the sum of two primes. So far, nobody has discovered either a proof or a counter-example. It makes sense, from a realist perspective, to suppose that this conjecture might be true because every one of the infinite series of even numbers is a sum or two primes, even though there might be no proof to be discovered. As far as the intuitionist is concerned, the only thing that could make it true that all even numbers are the sum of two primes is that there be a proof. For all we know, according to the intuitionist, there might be no proof and no counter-example, in which case there is nothing to give the conjecture a truth-value.

The belief that every proposition is determinately true or false is the principle of bivalence. If we assert that the principle of bivalence holds of some set of propositions, even though we do not know whether, for every proposition in that set, there is sufficient evidence to confirm or refute that proposition, then our assertion of bivalence must be based on the belief that truth can transcend evidence. In dealing with mathematics, to have sufficient evidence to confirm a proposition is to have a proof of that proposition. So we see that, in the dispute between platonists (realists about numbers), and intuitionists (anti-realists about numbers), the realist affirms the principles of bivalence and that truth may transcend evidence, and the anti-realist denies these two principles.

Intuitionism is a doctrine that has clear implications for mathematical practice: the realist considers certain inferences to be valid which the intuitionist considers to be invalid. Suppose, for example, we have a proof that ‘P implies R’, and that ‘not-P implies R’. In the form of logic favored by the realist, classical logic, we then have a proof of R, because we can apply the law of excluded middle, which tells us that ‘P or not-P’. The intuitionist cannot appeal to the law of excluded middle. In order to derive R from ‘P implies R’ and ‘not-P implies R’, the intuitionist would also have to prove either P or not-P. In virtue of these clear implications for mathematical practice, the difference between the Platonist and the intuitionist can hardly be dismissed as merely one of battle-cry.

Dummett has suggested that certain other philosophical debates between realists and anti-realists should take the same form, once both sides properly understand the nature of the debate. The example taken from Wittgenstein concerned a debate between a realist and an idealist concerning physical objects. According to Dummett, the idealist’s opposition to the view that physical objects exist independently of our perceptions of them should result in the rejection of both evidence-transcendent truth and bivalence. The idealist will be proposing some reform of classical logic, although it might not be exactly the same as that proposed by the intuitionist, since it will have to incorporate an account of what counts as sufficient evidence to confirm or refute a statement about physical objects. The important point to note is that the issue at stake will be which logical laws we should accept. If Dummett is correct, the great insight of the intuitionists was to realize that metaphysical disputes were really disputes about logical laws. However, we have also seen that he does not find the arguments of Brouwer and others in favor of this revision of classical logic to be compelling. He believed that the thinker who provided the tools that will enable us to solve such disputes was Gottlob Frege, not Brouwer.

c. Frege and Dummett

i. Frege: the Significance of Philosophy of Language

Gottlob Frege (1848-1925) was a mathematician by profession, whose work on the foundations of mathematics carried him deep into philosophical territory. His ultimate goal, for most of his career, was to demonstrate that all truths of arithmetic could be derived from purely logical premises. This position is known as “logicism.” Frege’s attempted proof of logicism was a failure, and, thanks to Kurt Gödel, we know that no single axiomatic system can suffice for the proof of all truths of arithmetic. In Frege: Philosophy of Mathematics Dummett attempts to pinpoint exactly where Frege went wrong. For current purposes, it is more important to understand the extent to which Dummett approves of Frege’s work. Dummett has probably been the most important commentator on Frege. His interpretation of Frege’s work is by no means universally accepted, but serious students of Frege’s work can hardly afford to ignore it.

According to Dummett, Frege’s unsuccessful project had two important by-products. In order to vindicate his logicism, Frege had to invent a language in which numbers could be defined by means of a more primitive logical vocabulary, and by means of which statements of arithmetic could be either proved or disproved. This Frege achieved in 1879, the major technical innovation being the use of quantifiers to handle statements involving multiple generality. In other words, Frege invented a formal language in which it is possible to display the difference between “Everybody loves somebody”, and “There is somebody whom everybody loves”, and to demonstrate clearly how different conclusions can be derived from each these. This was a major achievement, and all current formal languages, rely upon Frege’s method for expressing such statements. Consequently, Frege has been crowned as the founder of modern formal logic.

It is hardly surprising that, having used logic to investigate the foundations of mathematics, Frege should also have been interested in the nature of logic itself. Frege wrote a variety of papers on the nature of thought, meaning and truth; and on a number of occasions, he attempted to combine these into a comprehensive treatise on logic. Dummett adopts the label “philosophy of language” for this aspect of Frege’s work, and he views it as the second important by-product of Frege’s failed project (Dummett, 1981b, 37).

Why does Dummett reject Frege’s own term for this field of study, “logic”, and instead describe it as “philosophy of language”, a label whose accuracy has been disputed? Dummett rejects the label “logic” because he prefers to use that word in the narrow Aristotelian sense of the study of principles of inference (Dummett, 1981b, 37). That alone does not explain why he chooses “philosophy of language” as an alternative label, rather than, for example, “philosophy of thought.” This label is adopted because he thinks that Frege’s work made it natural for philosophers to take the “linguistic turn“, and thus to become analytical philosophers, although Dummett acknowledges that Frege himself did not explicitly make this turn, and that some of his statements seem to be antithetical to it (Dummett, 1993a, 7). According to Dummett, the linguistic turn is taken when one recognizes

[F]irst, that a philosophical account of thought can be attained through a philosophical account of language, and, secondly, that a comprehensive account can only be so attained. (Dummett, 1993a, 4)

As an example of how Frege’s approach to philosophical questions anticipated the explicit acknowledgement of the priority of language over thought, Dummett refers to Frege’s use of the context principle in Die Grundlagen der Arithmetik, published in 1884. When faced with the question of what number words mean, Frege invokes the context principle, which is characterized by Dummett as

[T]he thesis that it is only in the context of a sentence that a word has a meaning: the investigation therefore takes the form of asking how we can fix the senses of sentences containing words for numbers. (Dummett, 1993a, 5)

It should be noted that the term that Dummett here translates as “sentence”, Satz, is, in this passage, (p. x of Frege’s original text) translated as “proposition” by J.L. Austin (Frege, 1980a, x) and Michael Beaney (Frege, 1997, 90). Dummett’s translation is more favorable to his interpretation of the context principle as a linguistic principle than that of Austin and Beaney.

What is important, for Dummett, is that Frege does not approach the question of numbers by focusing on what is happening inside our heads when we think of a number. Frege, even if he did not explicitly embrace the linguistic turn, rejected psychologism—the view that would have us understand logic by studying private mental processes. Dummett holds that the rejection of psychologism leads more or less inevitably to the linguistic turn (Dummett, 1993a, 25).

On Dummett’s view, the contrast between Brouwer and Frege could be put as follows. Brouwer introspected, and found that he had intuitions of proofs, but not of numbers. Frege focused on sentences containing numerical terms, asking whether the numerical terms functioned as names, and whether there was a guarantee that such sentences were all determinately true or false, holding that an affirmative answer to each of these two questions would be sufficient to establish that numbers are objects—the presence or absence of any private mental ideas or intuitions being irrelevant.

Even if the use Frege makes of the context principle in the Grundlagen makes a turn to philosophy of language inevitable, that need not in itself be seen as a contribution to philosophy of language. Indeed, Dummett himself writes as follows of the Grundlagen:

Realism is a metaphysical doctrine; but it stands or falls with the viability of a corresponding semantic theory. There is no general semantic theory in, or underlying the Grundlagen; the context principle repudiates semantics. That principle, as understood in the Grundlagen, ought therefore not to be invoked as underpinning realism, but as dismissing the issue as spurious. (Dummett, 1991a, 198)

Dummett holds that Frege did supply a semantic theory in his writings after the Grundlagen, indeed, a few lines after the paragraph cited above, he adds:

Full-fledged realism depends on—indeed, may be identified with—an undiluted application to sentences of the relevant kind a straightforward two-valued classical semantics: a Fregean semantics in fact.

A “straightforward two-valued classical semantics” involves a commitment to bivalence, and we have already seen why Dummett views this as the defining feature of realism. Commentators who do not accept Dummett’s characterization of realism would not necessarily agree with his characterization of Frege as a realist, since it is not a label that Frege himself adopts. We must now consider what it was that Frege added to his philosophy after the Grundlagen that constitutes, on Dummett’s view, a general semantic theory incorporating the principle of bivalence. If the Grundlagen can be used by Dummett as evidence that Frege’s work made a turn to philosophy of language inevitable, it is to his later writings that he turns for evidence of Frege’s contributions to philosophy of language.

ii. Frege and the Origins of Semantics

Dummett describes Frege as a realist in virtue of his semantic theory. Frege never explicitly described himself as a realist, and never explicitly stated that he was advancing a semantic theory. Dummett’s interpretation provides a framework for evaluating the views that Frege did explicitly advance. To understand Dummett’s interpretation of Frege, it will be useful to see how this interpretation can be used to make sense of the views advanced in Frege’s most influential paper, “Über Sinn und Bedeutung” (Frege, 1892). The translation of Bedeutung has been a controversial question; a guide is given in Beaney’s preface to (Frege, 1997, 36-46). Dummett’s preferred translation is “reference” (Dummett, 1981a, 84), so that the title of the article would be “On Sense and Reference”. The standard English translations (Frege, 1980b, 56-79 and Frege, 1997, 151-172) both include page references to the original text of 1892.

Frege introduces the distinction between sense and reference by the example of proper names. It is frequently informative to be told that two names stand for the same object: it was, for example, a significant discovery that the evening star is the morning star. In such a case, Frege says that we are discovering that two names that have a different sense have the same reference. They have the same reference because they stand for the same object, they have a different sense because, in each case, the object is presented in a different way (Frege, 1892, 26). Frege then asserts that, in indirect speech, rather than using a name to speak of the object referred to, as is usual, we speak about the sense. If “the morning star” and “the evening star” really do designate one and the same object, then any true statement that includes the phrase “the morning star” can be converted into a true statement in which the phrase “the evening star” is substituted for “the morning star” throughout. An obvious exception to this rule would be a statement such as “Before it was discovered by the Babylonians that the morning star is the evening star, people did not believe the evening star was visible in the morning” (Frege, 1892, 28). Frege’s claim is that the sense is that which is understood by users of a word. When we talk about pre-Babylonian astronomical beliefs, what is relevant to the truth of what we say is the understanding people then had of “the morning star”, and not, as is more usual, the morning star itself.

Frege is very clear that the sense of a word is something objective: two people grasp one and the same sense of a word, just as two people may view the moon through one and the same telescope (Frege, 1892, 31). Frege then introduces a new piece of terminology: a name designates its reference, but expresses its sense (Frege, 1892, 32).

Having introduced the distinction between sense and reference, Frege then asks whether a sentence has a reference (Frege, 1892, 32). He starts by asserting that a sentence expresses a thought. This implies, of course, that a thought is the sense of a sentence, because what is expressed is a sense. He also observes that when we alter the sense of any part of a sentence, the sense of the whole sentence is altered (Frege, 1892, 32). So, just as two people can both grasp the sense of a particular name, they can also grasp the sense of a particular sentence: that is, different people can think the very same thought. Now that it is established that a sentence has a sense, and that the sense of the sentence depends upon the sense of the parts of the sentence, Frege argues that if the sentence has a reference, this too would depend on the reference of the parts. If a proper name lacks a bearer, then it will not have a reference, and one would expect that a sentence that contains a name without a bearer would lack a reference. Frege considers an example of a sentence that contains a name without a bearer, a sentence from The Odyssey about Odysseus—Frege is supposing that there is no such person as Odysseus. Frege asserts that such a sentence fails to be true or false: what the sentence lacks is a truth-value (Frege, 1892, 33). This leads Frege to conclude that the reference of a sentence is its truth-value: he states that the True and the False are objects, and truth-values, and that all sentences either name one of these two objects, or else they are names that fail to name anything (Frege, 1892, 34).

Frege then finds further support for this conclusion. He has already stated that if two names stand for the same object, one name may be substituted for the other without changing the truth of what is said, unless, as in indirect speech, we are using a name to designate the sense that that name usually bears. Frege claims that the same applies to sentences. When one sentence contains another as its part, the truth-value of the larger sentence is unchanged when the sentence that forms a part is replaced by another sentence that bears the same truth-value, unless we are dealing with indirect speech (Frege, 1892, 36). Frege proceeds to defend this claim in the rest of the article, analyzing particular cases.

Dummett holds that there are two guiding principles that we need in order to understand Frege’s work on sense and reference. The first is that Frege is offering a semantic theory, in which the reference of an expression is its semantic value, the second is that to understand the relationship between a word and its referent, we must take as a model the relationship between a name and its bearer (Dummett, 1981a, 190).

A semantic theory explains how the truth-value of a sentence is determined by its parts. In a semantic theory, every simple expression is assigned a semantic value, and the semantic value of a complex expression is determined by the semantic value of the simple expressions from which it is composed. The truth-value of a sentence is determined by the semantic value of its parts.

Consider, for example, the expressions “George Lucas”, “Gottlob Frege”, “contributed to mathematical logic”, and “directed a famous film”. The sentence “Gottlob Frege contributed to mathematical logic” is true, but the sentence “George Lucas contributed to mathematical logic” is not true. This is because “Gottlob Frege” and “George Lucas” each have a different semantic value, or, in plain English, “Gottlob Frege” and “George Lucas” are not two different names for the same person (and George Lucas made no independent contribution to mathematical logic). Similarly, from the fact that “Gottlob Frege contributed to mathematical logic” is true, but “Gottlob Frege directed a famous film” is not true, we can conclude that “… directed a famous film” and “… contributed to mathematical logic” do not share the same semantic value.

Semantic theories have a role in the justification of systems of formal logic. Dummett holds that Frege used his work on sense and reference to justify his formal system in exactly the way that logicians today use what is explicitly described as a semantic explanation. Indeed, Dummett sees Frege’s work as providing the foundations for all current work in semantics of natural language (Dummett, 1981a, 81-83).

Dummett does not just claim that Frege had a semantic theory; he claims that he had a realist semantic theory. The semantic theory is realist because the prototype of a term’s semantic value is the object designated by a name: a term’s having a semantic value is equated with its picking out non-linguistic reality, and the failure to pick out non-linguistic reality would result in a failure to have a semantic value (Dummett, Frege: Philosophy of Language, 1981a, 404). From Frege’s perspective, if an expression lacks a semantic value, then that really is a failure: a semantic value is something that no expression should be without. If a (declarative) sentence lacks a truth-value, that is because something has gone wrong: all (declarative) sentences should be either true or false, because their components should all denote bits of reality.

iii. Frege’s Unfinished Business

Dummett holds that it was an important turning point when Frege described a sentence as a proper name for a truth-value. He thinks that, at this point, Frege lost sight of an important insight embodied in the context principle: the importance of the sentence as the smallest unit of language that can be used to say something. Once a sentence is treated as just a proper name, and a truth-value as just another object, there is no acknowledgement that there is something special about the role of a sentence in language (Dummett, 1981a, 195-196).

Dummett is also unsatisfied by Frege’s account of sense. We have seen that, for Frege, several people may grasp the sense of one word or of one thought, and that just as the sense of a name denotes an object, the sense of a thought denotes a truth-value. But what is involved in grasping a sense?

Frege’s answer is that senses are neither part of the world of spatio-temporal objects, nor do they exist inside the minds of individuals. They belong to a “third realm”, a timeless world, to which all of us have access. Dummett is far from endorsing the suggestion that thoughts occupy a third realm beyond time and space. He describes this doctrine as a piece of “ontological mythology”, the term “mythology” here being used in a purely pejorative sense (Dummett, 1993a, 25). Dummett thinks that these two loose ends should be tied together. Rather than being content to describe the act of understanding as involving a mysterious connection between our minds and timeless entities known as senses, we should focus on the practice of using sentences in a language. This, in turn requires us to think about the purpose of classifying sentences as true or false, and that requires that we think about the purposes for which we use a language (Dummett, 1981a, 413). The result of this process might be to vindicate Frege’s semantics, or it might vindicate the intuitionist position. Dummett’s most influential contribution to philosophy can be understood as an attempt to resolve this unfinished business.

3. Dummett on Realism and Anti-Realism

Along with his historical work, Dummett is known for his on-going work on a grand metaphysical project. The aim of this project is to find a means of resolving a number of debates, each of which has a common form but a different subject matter. In each debate, there is a realist, and an anti-realist, and they differ concerning which logical principles they apply to statements of the type that are under dispute—as it may be, statements of arithmetic, statements about the past, about the future, about the physical world, about possible worlds, and so forth. To decide in favor of anti-realism in one instance does not mean that one must always decide in favor of anti-realism, and the same is true for realism.

Some of Dummett’s papers deal with arguments that are quite specific to one particular debate—for example, he discusses the charge that anti-realism about the past is ultimately self-defeating, since what is now the present will be the past (Dummett, “The Reality of the Past”, in his 1978), and he has advanced an argument about the nature of names for non-existent natural-kinds that is intended to undercut David Lewis’s argument for the thesis that all possible worlds are real (Dummett, “Could There Be Unicorns?” in his 1993b). However, he is best known for advancing a generic line of argument that the anti-realist in any particular debate could appeal to. That does not mean that he thinks that the anti-realist will always be successful. In his valedictory lecture as Wykeham Professor of Logic, he stated:

I saw the matter, rather, as the posing of a question how far, and in what contexts, a certain generic line of argument could be pushed, where the answers ‘No distance at all’ and ‘In no context at all’ could not be credibly entertained, and the answers ‘To the bitter end’ and ‘In all conceivable contexts’ were almost as unlikely to be right. (Dummett, 1993b, 464)

The difference between the realist and the anti-realist, in each case, concerns the correct logical laws, because, for reasons explained in section 2.2, Dummett thinks that metaphysical debates are properly understood as debates about logical laws. Dummett’s most complete statement of the nature of such metaphysical debates, and the means by which they can be resolved was The Logical Basis of Metaphysics (Dummett, 1991b).

a. Justifying Logical Laws by a Semantic Theory

According to Dummett, to find out how to resolve metaphysical disputes, we must find out how to justify a logic—that is, a set of principles of inference. Logic is the study of validity—an inference is valid if, and only if, the truth of the premises guarantees the truth of the conclusion. The logician wants to be able to recognize such truth-preserving inferences by their structure. More precision can be achieved by presenting inferences in a formal system (Dummett, 1991b, 185), and precision comes to be of vital importance when we are trying to choose between rival logical systems.

The logician wants to be able to recognize, from the structure of one set of sentences, that the members of another set of sentences are true. One method of validating rules of inference is by means of a semantic theory. In such a theory, every expression is assigned a semantic value, and an account is offered of how the semantic value of a complex expression is based upon the semantic value of its components. The aim of the semantic theory is to explain how the parts of a sentence determine the truth-value of that sentence (Dummett, 1991b, 23-25), as was explained above.

At this point, it may be helpful to focus upon a particular inference and a particular semantic theory. Suppose that we assign the following semantic values to symbols in the following way. P and Q stand for atomic sentences, which have either the value true, or the value false, and never both values. The symbol “~” when followed by a symbol which stands for an atomic sentence has the opposite value of the value of that atomic sentence. The symbol “(x v y)”, where x and y are replaced by symbols which stand for atomic sentences has the value true when at least one of those atomic sentences has the value true. Otherwise, it has the value false. Next, we consider the following argument:

(1) (P v Q)
(2) ~Q
Therefore P.

To validate this inference, we must show that if (1) and (2) are true, then the conclusion, P, must also be true. If (2) is true, then Q is false. If Q is false, then if (1) is true, it must be in virtue of the truth of P, since if both P and Q were false, (1) could not be true. So we must suppose that P is true, and that is what we were trying to demonstrate.

In this case, the semantic theory used incorporated the principle of bivalence: every sentence was assigned either the value true or the value false. For reasons explained in sections 2.2 and 2.3.2, Dummett considers this to be characteristic of realist semantics. There is no one simple alternative to the principle of bivalence. One could depart from bivalence in virtue of having more than two truth-values, or in virtue of admitting that there are sentences without a truth-value, or in virtue of believing that we have no guarantee that all sentences will have one of the two values true or false. Just as there are many alternatives to bivalence, there are many alternatives to classical logic. Although Dummett’s work on deduction has its roots in the debate over intuitionism, it does not necessarily follow that, in every case, the alternative logic advocated by a Dummett-style anti-realist would be intuitionistic logic. The correct logical principles should become clear once the correct semantic theory is established.

Of course, in this case, it probably was not necessary to offer a semantic theory in order to convince the reader of the validity of the inference. Indeed, the astute reader might well wonder whether such a procedure can serve to justify a logical law at all. Did we not invoke logical laws when explaining how the inference under discussion was justified?

The answer is that we did—but this need not render the justification circular. Dummett is clear that he is not trying to show how deductive practices could be justified to someone who is completely skeptical about the possibility of deduction; rather, he is considering how we might decide whether a particular rule of inference, which is accepted by some logicians but not by others, is justifiable. As long as no logical law that is under dispute is used in the semantic theory, it will be possible to offer a justification that does not beg the question. It is important to note that the set of logical laws that are used in the semantic theory need not be co-extensive with the set of logical laws that are justified thereby (Dummett, 1991b, 204).

b. The Role of Proof-Theoretic Justification

Dummett devotes considerable attention to establishing a procedure that can be used to show that a law is beyond dispute, a procedure that he terms “third-grade proof-theoretic justification.” These are the logical laws that can be used in the semantic theory without fear of controversy. It is not possible to explain the procedure in full here, only to outline the basic principles on which the procedure is based.

As we have seen, logic deals with our ability to recognize that one set of sentences implies that all the members of some other set of sentences are true, in virtue of the structure of the sentences. The task of a system of formal logic is to display the structure, or form, in virtue of which such inferences are possible. Within such a system, the principal operator in a sentence indicates which other sentences may be derived from that sentence, possibly in conjunction with other sentences. For example, the symbol “&” may be used to indicate conjunction: if it is true to assert P & Q, then we know that it is true to assert P and true to assert Q. When we derive, for example, P from P & Q, we are said to be applying an elimination rule for “&”: a rule which states how to derive from a sentence which contains “&” a sentence which does not contain “&”. As well as elimination rules, a logical constant also has introduction rules. We apply an introduction rule for “&” if, having derived P from one formula, and Q from another, we then assert P & Q.

Let us assume (and this assumption is not trivial), that, whenever we assert a sentence containing “&”, that sentence could have been derived by means of the introduction rule. Given the set of introduction and elimination rules for “&”, along with our assumption, it will be clear that, if we add the constant “&” to a language, the only sentences that we can now assert, although we were not entitled to assert them before, are sentences which contain “&”. When we derive some new sentence from a sentence containing “&”, by applying the elimination rule, the final sentence will be one that we could have asserted anyway. In technical terms, this means that if we extend the language by adding the term “&”, we have only a conservative extension. Dummett is in agreement with Belnap’s thesis is that if we can show, for some rule, that adding this rule to a language involves only a conservative extension, then we have a reason for supposing that the addition of this rule has been justified (Dummett, 1991b, 217-220).

The assumption that, when we have a sentence containing a logical constant, that sentence could have been derived using the introduction rule for the constant, is referred to by Dummett as “the fundamental assumption”. It is necessary to consider, for each logical constant whose introduction and elimination rules we wish to justify, whether the fundamental assumption is correct for it. Consider, for example, disjunction, “v“—that is, the logical constant which is more or less equivalent in meaning to “or”. The standard introduction rule for disjunction is that, if one can assert P, one can assert “P v Q”, and if one can assert Q, then one can assert “P v Q”. To decide whether the fundamental assumption is true in this case, it is necessary to consider whether, if I see a child running across the street and say “A boy or a girl is running across the street,” it is always true that I could have looked more closely, and been in a position to say either “A boy is running across the street,” or “A girl is running across the street.” It is a difficult task to spell out the precise content of “could have”, and thus a difficult task to determine whether the fundamental assumption should be accepted for each constant (Dummett, 1991b, 270).

Even if we accept the fundamental assumption, not every alleged logical rule involves making merely a conservative extension to the language. Suppose we know that “If P, then Q” is true and also “If not-P, then Q”, and from this, we derive “Q”. Here, we are applying an elimination rule that does not involve a merely conservative extension of the language, because it could be that the truth of “Q” was not used in deriving either of the two conditional statements.

The technical apparatus for examining whether adding some constant to the language involves a conservative or non-conservative extension is known as “proof-theory”. It was pioneered by Gerhard Gentzen. Dummett’s third-grade proof theoretic justification builds on the work of Dag Prawitz. Dummett’s requirements are, in fact, more stringent than that adding an operator to a language involve a merely conservative extension of the language, because it is necessary to take into account that two or more operators each of which, taken on its own, involves a conservative extension might, taken together, involve a non-conservative extension, (Dummett, 1991b, 286-290), but we cannot discuss all those details fully here.

It must be remembered that Dummett is not arguing that we should accept only those logical laws which can be justified by these means—rather, he is suggesting that these logical laws are the ones which can be taken for granted when trying to justify more controversial principles. Logical constants that are justified by third-grade proof-theoretic justification are above reproach. Other logical constants may be justified, if at all, by a semantic theory. Proof-theoretic justification is not sufficient to settle disputes about logical laws: it is a useful means of showing that an inference is valid, but it is less useful as a test for invalidity. The set of logical laws that are justified by a semantic theory need not be the same as the set of logical laws that are appealed to in explaining that theory (Dummett, 1991b, 301).

So, we settle a debate about a logical law by offering a semantic theory—but that just pushes the problem back one stage further; we must still consider how to settle debates about rival semantic theories. Dummett’s answer is that just as a logic may be justified by a semantic theory, a semantic theory may, in turn be justified by being made the basis of a meaning-theory.

c. Justifying a Semantic Theory by Means of a Meaning-Theory

A meaning-theory is an explanation of the skill that anyone who understands a language has. As language-users, we are faced, continually, with sentences that we have never before encountered. It seems that there must be some set of rules of which we have implicit knowledge, which enable us to deduce the meaning of new sentences. Dummett is by no means alone in seeking for such a theory: in particular, there is a certain amount of overlap between Dummett’s thinking and that of Donald Davidson, although it would be well beyond the scope of this article to examine the similarities and differences between these two thinkers in detail.

One suggestion, which Davidson has advocated strongly, is that a meaning-theory would specify a set of rules from which we could derive, for any sentence, a knowledge of the conditions under which that sentence is true. The suggestion is that, if you know of some sentence of a foreign language that the sentence is true if the cat is on the mat, and false if the cat is not on the mat, then you know that the sentence in question means “The cat is on the mat.”

Dummett endorses the proposal that this is the best suggestion currently on offer for constructing a meaning-theory (Dummett, 1991b, 164), and notes that such a theory must be built on foundations laid by Frege. However, he distinguishes between a strong and a weak sense in which truth can be the central notion of a meaning-theory. In the strong sense, meaning is to be explained in terms of truth-conditions, as above, and it is simply taken for granted that we know what truth is. If truth is central to the meaning-theory only in the weak sense, then although knowledge of the meaning of a sentence is equated with knowledge of its truth-conditions, some further explanation is offered of what it is for a sentence to be true (Dummett, 1991b 113, 161-163). For example, an intuitionist would say that to understand some mathematical formula, it is necessary to be able to distinguish between those mathematical constructions which do and those which do not constitute proofs of the formula in question: truth is here being explained in terms of provability. If truth is central to the meaning-theory in the strong sense, however, grasp of truth-conditions is not explained in terms of any more fundamental notion: we are just told that to understand the meaning is to understand the truth-conditions, it being assumed that, for every sentence, there is something which renders it either true or false.

The connection between a semantic theory and a meaning-theory should now be apparent. Both the realist and the anti-realist offer semantic theories that explain how the semantic value of a sentence is determined by the semantic value of its parts. A meaning-theory of the type favored by Dummett will explain how, when we see what words are used in a sentence and the order in which they are put together, we are enabled to understand the truth-conditions for that sentence. The realist, adhering to the principle of bivalence, supposes that all the sentences will be determinately true or false. The anti-realist, on the other hand, can bring other notions into play to explain what it is for a sentence to be true.

So, the logic is justified by a semantics; the semantics is justified by a meaning-theory. How is the meaning-theory to be justified? A meaning-theory is judged to be successful according to whether it provides us with a satisfactory explanation of what it is to understand a language. It is important to note that Dummett requires that the meaning-theory provide us with a genuine explanation of what understanding is. He points out that while it is, no doubt, correct to say that someone understands the meaning of “Davidson has a toothache” if, and only if, they know that an utterance of this sentence is true if, and only if, Davidson has a toothache, this account fails to provide us with a non-circular explanation of what it is to understand the utterance. We want to be told exactly what it is to know that such an utterance is true. Meaning-theories of this type are classified by Dummett as “modest”, and he urges other philosophers to set about the harder task of providing more ambitious meaning-theories, meaning-theories that are, in his terminology, “full-blooded.” A full-blooded theory offers an explanation of understanding, which does not rely on a prior grasp of concepts such as “understanding”, or “knowing the truth-conditions” (Dummett, 1991b, 113, 136).

d. Justificationist Semantics

We are now in a position to consider the “generic line of argument” that Dummett considers can be advanced by the anti-realist. This argument makes use of the Wittgensteinian principle that meaning is use. Dummett takes this to mean that there can be no element in linguistic understanding that is not manifested in the way a word is used in practice. When we recognize that a sentence is true, we are manifesting that we have a certain ability—the ability to recognize that the sentence has been verified. The same holds when we recognize that a sentence has been decisively refuted. According to an anti-realist meaning-theory ( in which justification is central), the ability to recognize when a sentence has been decisively confirmed or refuted is constitutive of knowing the meaning. (Dummett terms this a justificationist semantics). According to the realist, knowledge of how a sentence may be confirmed or refuted is answerable to a prior knowledge of the meaning.

Dummett is aware that the realist suggestion is far more intuitively compelling. However, he argues that it may yet prove to be mistaken. He offers several arguments, of which I will summaries one. Suppose that realism is correct. In that case, our ability to agree about what things are yellow is dependent upon our shared understanding of what makes it true that something is yellow. It would therefore be possible that, tomorrow, everything which is yellow becomes orange and vice versa, and that, at the same time, we all undergo a collective psychological change, so that things which are really yellow now appear to us to be orange, and vice versa. In other words, a major change would have taken place in reality, and yet none of us would notice it. Given that we had not altered the truth-conditions of sentences involving “yellow” and “orange”, we would now be making many false utterances using these words. Yet this widespread falsity would pass entirely unnoticed; indeed, it would be entirely inconsequential. Our assertions would be fulfilling perfectly every purpose that they have, and yet would be false. If we admit this possibility, it seems incorrect to say, as Dummett thinks we should, that truth is the goal of our assertions. Truth and falsity would have lost their connection with practice.

Alternatively, one might argue that we would still be making true statements using “yellow” and “orange”, but that the meanings of the words “yellow” and “orange” would have been altered. In that case, meaning has been altered, even though there is no observable difference in the practice, and so meaning has lost its connection with practice.

For the anti-realist, this possibility cannot arise, because there is no gap between what makes an assertion correct, and the most direct means that we have of checking that assertion. Dummett does allow that there will be indirect means of confirming a sentence, that is, methods for showing that, had we applied our most direct, or canonical method of verification, it would have been successful (Dummett, 1991b, 313-314).

It is by this type of argument that Dummett hopes to persuade us to rethink our attachment to realism. Of course, he does not think that we will know whether to be a realist or an anti-realist about a specific subject matter until we have a well-worked out meaning-theory. He does not assert that in all cases the correct meaning-theory will be an anti-realist one. Indeed, he has also offered reasons for supposing that “global anti-realism”—the thesis that anti-realism is always correct—is untenable (for example, Dummett, 1978, 367). Dummett’s anti-realism was first formulated as a thesis about arithmetic, and, as he points out, applying it to empirical discourse is not a straightforward matter:

The fundamental difference between the two lies in the fact that, whereas a means of deciding a range of mathematical statements or any other effective mathematical procedure, if available at all, is permanently available, the opportunity to decide whether or not an empirical statement holds good may be lost: what can be effectively decidable now will no longer be effectively decidable next year, nor, perhaps, next week. (Dummett, 2004, 42)

The most extreme form of anti-realism would be the theory that a statement about the past is rendered true or false only by evidence available to the speaker at the time of asserting it. This would imply that if the only evidence for the occurrence of an event is that some individual remembers it, and that individual takes the memory to their grave, then when the witness dies it ceases to be true that the event took place. However, it is basic to Dummett’s whole approach that meaning is determined by how a community uses the language; an individual acting alone cannot confer a meaning. Justification is therefore a collective enterprise; what matters is not whether I can verify a statement, but whether we can verify it, where ‘we’ are a community that includes people who are now dead. Dummett therefore rejects this most extreme form of anti-realism about the past as being too solipsistic. (Dummett, 2004, 67-68)
For this reason, Dummett accepts that some concession must be made to realism when it comes to dealing with statements about the past. He has made different suggestions about how much should be conceded: in his Gifford lectures, he argued that a proposition is true if and only if we are or were in a position to establish its truth, in the Dewey lectures that a proposition is true if and only if someone suitably placed would have been able to do so. The latter implies that statements concerning times before any human being existed have a determinate truth-value on the grounds that, if someone had existed then, they would have been able to confirm or deny such statements. (Dummett, 2006, vii-viii) These two lecture series offer quite different views about the nature of time.

It should be noted that the philosophical motivation for making a concession to realism is the attempt to do justice to the manner in which statements about the past are justified. Dummett’s justificationist approach to semantics does not imply a dogmatic insistence on anti-realism. Rather, he advocates a method for spelling out what it is to grasp truth-conditions by focusing on the way in which that grasp of truth-conditions is manifested. His central objection to truth-conditional semantics is that their advocates presuppose that we know what it is for something to be true, yet they never explain what constitutes such knowledge. This he regards as an act of faith that stands in need of a rational foundation. (Dummett, 2006, 55) Whatever concessions the justificationist may make to the realist, this central principle is not compromised.

e. God

In his Gifford Lectures, Dummett presents an argument for the existence of God that depends on his justificationist semantics. According to justificationist semantics, any account of the way the world is must be an account of the way the world is perceived by someone. We know that different animals perceive the world in different ways, and we aspire to break out of the limitations of merely human perception, and perceive the world as it is in itself—the single reality that underlies the very different perceptions that constitute the world of dogs and the world of humans.

By means of science, we have made some progress towards understanding the world as it is in itself—we can point to ways in which scientific descriptions of the world are improvements on the description based on our bare perceptions, so our aspiration to know the world as it is in itself cannot be dismissed as an incoherent longing. But insofar as this aspiration is coherent, “in itself” cannot mean “without reference to the perceptions of any being.”

We might be led to suppose that perceptions had been successfully eliminated from our account of how the world is if we focus on abstract mathematical models used by scientists, but this is an error. Abstract mathematical models are a necessary part of science, but many such structures exist as models for mathematicians to study. We must be saying something further when we say of one such structure that it is not merely an object of mathematical study, but a true description of the way the world is. This ‘something further’ would include an explanation of how to apply the favored mathematical description, and that would mean matching the abstract mathematical description to perceptions.

Dummett concludes that the single world that underlies the different perceptions of humans and other species can only be understood as being the world as apprehended by a being whose knowledge constitutes the way things are—in other words, the world as apprehended by God. (Dummett, 2006, 103) Dummett thinks that this demonstrates that there exists a Creator who controls and sustains the universe, but he concedes that it is hard to reconcile Biblical statements about God’s goodness with the presence of evil in the world. (Dummett, 2006, 106)

4. On Immigration

Dummett’s work against racism was not motivated by philosophy, but it did result in his publishing a work of moral and political philosophy in 2001. The book, On Immigration and Refugees is aimed at a wide audience. In the first half, Dummett argues for a set of general principles concerning rights of immigrants and refugees. In the second half, he examines the recent history of the United Kingdom (with some discussion of other nations), analyzing the reasons why successive governments have failed to live up to the moral standards defended in the first part of the book.

Dummett’s starting point is that everyone is under an obligation to behave justly in the sense of giving people what they are due, which includes the necessities for living a fully human life. He argues that political philosophy has usually focused on the duties that a state has to its citizens, overlooking the fact that a state also represents its citizens to the outside world. Forming a corporation of any kind does not remove normal human obligations, or grant any right to be selfish, so it is immoral to congratulate politicians for upholding the interests of their own citizens at the expense of giving others what is due to them. One basic human right is to be a “first-class citizen” of some state, that is, a citizen of a state whose values one shares and where one does not face unjust persecution.

Starting from these premises, Dummett argued that there should be a presumption in favor of the right to migrate. The state has a right to refuse entry to criminals, or to halt mass immigration to prevent over-population or the submergence of its culture and language. He emphasized that in practice these conditions are rarely met, and argued that although British colonial authorities encouraged immigration policies that submerged the native population in Fiji and Malaya, the claim that British culture is being “swamped” by immigrants is merely a cover for racism. He also argued that those who are stateless have the right to become citizens of another state. Dummett recommended the creation of a commission run by the United Nations to handle such cases.

5. Dummett’s Influence

A few philosophers, notably Crispin Wright (Wright, 1983) and Neil Tennant (Tennant, 1987, 1997), have attempted to extend the project of providing anti-realist semantics for empirical language. More commonly, philosophers have reacted to Dummett’s work by attempting to demonstrate that his anti-realist arguments are not successful. Even if they are not, it may yet be that he has provided the correct account of what is at stake in metaphysical disputes concerning realism, and the correct account of the proper framework for resolving disputes about fundamental logical laws. Of course, not all philosophers who have considered the matter are agreed even upon that. How often do philosophers agree about anything?

This lack of agreement may not be surprising, but one of Dummett’s early ambitions was to show how philosophers could achieve agreement. His claim was that, once the contributions of Frege are fully appreciated, it would be possible to formulate a method for achieving generally agreed resolutions to problems concerning theories of meaning, and that such work should be viewed as providing the foundations for all future work in philosophy.

He himself pointed out that the similar claims have been made for the work of Husserl, Kant, Spinoza and Descartes, to name but a few, and that, in each case, such claims proved false:

[B]y far the safest bet would be that I am suffering from a similar illusion in making this claim about Frege. To this, I can offer only the banal reply which any prophet has to make to any sceptic: time will tell. (Dummett, 1978, 458)

It may be too early to judge, but so far the passage of time has favored the skeptics rather than the prophet; there does not seem to be a general consensus about how to resolve disputes in philosophy of language, even among analytical philosophers. However, one does not have to agree with Dummett to appreciate that his work is important. His historical work has been devoted towards formulating the basic premises that underlie much contemporary philosophy, including his own. In so doing, he has provided a useful service for critics; those who find themselves out of sympathy with analytical philosophy at least know where to direct their attacks. One does not have to find Dummett’s challenge to classical logic successful to accept that it is worth taking seriously.

It is widely acknowledged that Dummett’s work is not easy to read. His work has been influential despite this. Indeed, his influence may be attributed, in part, to some of those factors that make his work hard to read, such as his refusal to accept superficial solutions, and his skill in unearthing hidden complexities. These features make for work that is daunting to beginners, but rewarding for experts. To read Dummett’s work is to be reminded continuously that anyone who is serious about wanting to discover the answers to deep philosophical questions must be prepared to work very hard. That is a lesson well worth learning.

6. References and Further Reading

Works by Dummett in English

  • (Co-edited with John Crossley): Formal Systems and Recursive Functions: Proceedings of the Eighth Logic Colloquium, Oxford 1963 (Amsterdam: North-Holland, 1965)
  • Frege: Philosophy of Language (London: Duckworth, and Cambridge MA: Harvard University Press, 1st ed. 1973; 2nd ed. 1981a)
  • Elements of Intuitionism (Oxford: Clarendon Press, 1st ed. 1977; 2nd ed. 2000)
  • Truth and Other Enigmas (London: Duckworth, and Cambridge MA: Harvard University Press, 1978)
  • Catholicism and the World Order: Some Reflections on the 1978 Reith Lectures (London: Catholic Institute for International Relations, 1979)
  • (with Sylvia Mann): The Game of Tarot: from Ferrara to Salt Lake City (London: Duckworth, 1980)
  • Twelve Tarot Games (London: Duckworth, 1980)
  • Immigration: Where the Debate Goes Wrong (2nd ed, London, 1981)
  • The Interpretation of Frege’s Philosophy (London: Duckworth, and Cambridge MA: Harvard University Press, 1981b)
  • Voting Procedures (Oxford: Clarendon Press, 1984)
  • The Visconti-Sforza Tarot Cards (New York: George Braziller, 1986)
  • Frege and Other Philosophers (Oxford: Clarendon Press, 1991)
  • Frege: Philosophy of Mathematics (London: Duckworth, and Cambridge: Harvard University Press, 1991a)
  • The Logical Basis of Metaphysics (London: Duckworth, and Cambridge MA: Harvard University Press, 1991b)
  • Grammar and Style for Examination Candidates and Others (London: Duckworth, 1993)
  • Origins of Analytical Philosophy (London: Duckworth and Cambridge MA: Harvard University Press, 1993a)
  • The Seas of Language (Oxford: Clarendon Press, 1993b)
  • (with Ronald Decker and Thierry Depaulis): A Wicked Pack of Cards (London: Duckworth, 1996)
  • Principles of Electoral Reform (Oxford University Press, Oxford: 1997)
  • Grammar and Style for Examination Candidates and Others (London: Duckworth, 1993)
  • Origins of Analytical Philosophy (London: Duckworth and Cambridge MA: Harvard University Press, 1993a)
  • The Seas of Language (Oxford: Clarendon Press, 1993b)
  • (with Ronald Decker and Thierry Depaulis): A Wicked Pack of Cards (London: Duckworth, 1996)
  • Principles of Electoral Reform (Oxford University Press, Oxford: 1997)
  • On Immigration and Refugees (London: Taylor and Francis, 2001)
  • Truth and the Past (New York: Columbia University Press, 2004)
  • Thought and Reality (Oxford: Oxford University Press, 2006)

A complete bibliography of Dummett’s writings may be found in Randall E. Auxier and Lewis Edwin Hahn (eds.) The Philosophy of Michael Dummett: The Library of Living Philosophers, Volume XXXI (Chicago and La Salle: Open Court, 2007)

Books about Dummett

  • Barry Taylor (ed.) Michael Dummett, Contributions to Philosophy (Dordrecht: Kluwer, 1987)
  • B. McGuinnes and G. Oliveri (eds.) The Philosophy of Michael Dummett (Dordrecht: Kluwer, 1994)
  • Richard Heck (ed.) Language, Thought and Truth (Oxford: Clarendon Press, 1998)
  • Johannes L. Brandl and Peter Sullivan (eds.) New Essays on the Philosophy of Michael Dummett (Amsterdam: Rodolpi, 1998)
  • Darryl Gunson, Michael Dummett and the Theory of Meaning (Aldershot: Ashgate, 1998)
  • Karen Green, Dummett: Philosophy of Language (Oxford: Blackwell, 2001)
  • Bernhard Weiss, Michael Dummett: Philosophy Now (Princeton: Princeton University Press, 2002)

Other Works Cited

  • L. E. J. Brouwer, ‘Intuitionism and Formalism’, in P. Benacerraf and H. Putnam (eds.) Philosophy of Mathematics: Selected Readings (Cambridge: Cambridge University Press, 2nd ed. 1983)
  • Gottlob Frege, “Über Sinn und Bedeutung” in Zeitschrift für Philosophie und philosophische Kritik 1892.
  • Gottlob Frege, (trans. J. L. Austin) The Foundations of Arithmetic (Oxford: Blackwell, 1950, 1953, 1980a)
  • Gottlob Frege, (ed. Peter Geach and Max Black), Translations from the Philosophical Writings of Gottlob Frege (Oxford: Blackwell, 1952, 1960, 3rd ed. 1980b)
  • Gottlob Frege, (trans. and ed. M. Beaney), The Frege Reader (Oxford: Blackwell, 1997)
  • Neil Tennant, Anti-Realism and Logic (Oxford: Clarendon Press, 1987)
  • Neil Tennant, The Taming of the True (Clarendon Press, Oxford, 1997)
  • Ludwig Wittgenstein, (ed. G. E. M. Anscombe and G. H. von Wright; trans. G. E. M. Anscombe), Zettel (Oxford: Blackwell, 1967)
  • Crispin Wright, Realism, Meaning and Truth (Oxford: Blackwell, 1987, 2nd ed. 1993)

Author Information

Benjamin Murphy
Email: bmurphy@fsu.edu
Florida State University, Panama City
U. S. A.

Juan Donoso Cortés (1809—1853)

CortesJDJuan Donoso Cortés, parliamentary statesman, diplomat, government minister, royal counselor, theologian, and political theorist, may not be well known among modern political philosophers. However, his ideas had an enormous influence in the spheres of politics and religion in the nineteenth and twentieth centuries. Donoso’s theories were uniquely influential in shaping the ideological trajectory that began with the reaction against the Enlightenment and the French Revolution in the eighteenth century and culminated in the rise of fascism in the twentieth century. This Spanish Catholic and conservative thinker was the philosophical heir of Joseph de Maistre, one of the most prominent reactionary conservative thinkers of the late eighteenth and early nineteenth centuries. Even though his life was short and his works few in number, Donoso’s contribution to modern political philosophy and theology cannot be ignored if we wish to have a more complete understanding of the ideas and actions that have shaped Europe and the Roman Church in recent centuries. His most notable idea—the theory on dictatorship—was Donoso’s most significant and unique contribution to modern political thought.

Table of Contents

  1. Philosophical Development and Context
  2. View of Human Nature
  3. Theory of Dictatorship
    1. Religious Dictatorship
    2. Political Dictatorship
  4. Views on Violence
  5. Views on History
  6. References and Further Reading

1. Philosophical Development and Context

In the early years of his life, Donoso’s thinking was deeply influenced by the philosophes of the Enlightenment. His education was thoroughly grounded in the study of such Enlightenment thinkers as Rousseau, Montesquieu, Voltaire, and Diderot. It was only in the last years of his life that Donoso distinguished himself as a standard bearer of an ideological camp that stood in complete opposition to the philosophes. By the year 1848 Donoso was firmly in the camp of such contre-philosophes as Joseph de Maistre and Louis de Bonald.

Until the European revolution of 1848, the primary concern of reactionary conservative thinkers was the restoration of the pre-1789 monarchical ancien régime. The authority and hierarchical order that were the centerpieces of conservative thought, were seen only in the context of restoring and preserving a monarchical régime. The revolution of 1848 exposed the inability of many of the European monarchies to maintain authority and hierarchical order. Donoso was one of the first and most vociferous of conservative thinkers to acknowledge this. While like de Maistre he was something of a romantic medievalist who advocated a hierarchical social order, with the Pope of Rome at the head of that order wielding absolute spiritual and temporal power while all other temporal and ecclesiastical authorities ruled as his deputies, he was also a realist who could strategically adapt his ideology to contemporary exigencies. He was the first conservative thinker to develop an alternative theory that posited a different model of régime calculated to achieve the restoration and maintenance of the authority and hierarchical order that all conservatives saw as the foundation of civilization. This was his theory on dictatorship. Even though Donoso was always an ardent monarchist, like his precursor de Maistre, he was also enough of a political realist to know that the ultimate goal of a stable social order based on obedience to infallible authority and adherence to a rigid hierarchy of rank and privilege could be achieved by other means, if necessary. If monarchies were too feeble to maintain such a social order, then other forms of government, more harsh in nature, need to be instituted in order to subjugate human beings.

2. View of Human Nature

Like de Maistre, Donoso viewed human beings as essentially and naturally depraved and irrational. To Donoso, human beings are so irredeemably corrupt in moral capacity and intellectually drawn to absurdity that they must be ruled with an iron fist. All social and religious order depends upon the will of those who rule to demand and impose obedience to their dictates and belief in their teachings as well as upon the willingness of subjects to obey and believe their rulers, both secular and religious. Civilization, according to Donoso, can only be preserved through the imposition and acceptance of political and religious commands and dogmas. These commands and dogmas are the repressive mechanisms Donoso held as essential to the survival and preservation of civilization, especially that mode of civilization which Donoso called “Catholic.” Repression, said Donoso, is one of the most essential elements of civilization. For Donoso, no amount of free and open discussion could ever arrive at any modicum of truth. He saw truth as revealed by God and mediated through God’s chosen instrument, the Catholic Church and it’s Supreme Pontiff. Discussion only opens the door to doubt, confusion, and discord thus preparing the ground for socialism. Discussion, which Donoso held as the cornerstone of liberalism, creates a belief vacuum that can only be filled by Christ or Antichrist, by Catholicism or socialism. In a begrudging sort of way, Donoso respected socialism more than liberalism because he saw the former as more akin to Catholicism, as something offering human beings a set of dogmatic beliefs. Liberalism can only offer doubt and uncertainty.

3. Theory of Dictatorship

In his Speech on Dictatorship, Donoso described two different types of repression which he saw as necessary for the survival and maintenance of civilization—political and religious. These two forms of repression must exist in an equilibrium in order to be effective. With a decline in religious repression must come a corresponding and proportional rise in political repression, and vice versa. As the “thermometer” of religious repression falls, the “thermometer” of political repression must rise; and as the “thermometer” of political repression falls, so the “thermometer” of religious repression must rise. All political and religious régimes must be repressive if political and religious order are to endure. Donoso emphasized that the legitimacy of a régime is not based upon heredity, but upon the capacity of a régime to be repressive. This constituted a major shift in conservative thinking. Concern was not focused as much on who should rule, but on how rule is to be exercised. While authority and hierarchical order remained the conservative ideal, Donoso introduced a degree of realistic pragmatism to how this ideal could be achieved and preserved. This shift had ominous consequences in the twentieth century since the door was opened to more radical and ruthless forms of political and religious control.

a. Religious Dictatorship

In the religious arena, Donoso’s ideas on authority influenced the life of the Roman Catholic Church for over a century. Again echoing the views of de Maistre, Donoso thought that infallibility is an essential characteristic of authority. Authority is synonymous with infallibility. The power to command behavior and impose beliefs is not subject to error and must not be seen as subject to error. Without the exercise of and belief in infallible authority, Donoso thought that people and societies would sink into a morass of confusion, doubt, and error.

Donoso’s theory on infallibility helped to lay the foundation for the doctrine of papal infallibility that was promulgated by Pope Pius IX in 1870 at the end of the First Vatican Council. His advice was sought by Pius IX through the papal nuncio to France in the early 1850s, Rafaello Cardinal Fornari, with regard to the drawing up of a list of religious and philosophical propositions that were to be condemned as heretical. Donoso’s loathing for democracy, freedom of thought, freedom of speech, freedom of religion, rationalism, liberalism, socialism, pluralism, freedom of expression, and tolerance was reflected in his Letter to Cardinal Fornari. The ideas asserted in this letter appeared in Pius IX’s decree the Syllabus of Errors.

The repressive methods of governance advocated by Donoso in his theory on dictatorship also influenced the development of a papal régime that rested upon the absolute exercise of power by the pope over the Church. Donoso’s theories contributed to the development of a totalitarian ideology of papal supremacy and authority that dominated the Church until the Second Vatican Council in the early 1960s. A dictatorial papal régime was established by Pius IX that lasted through and reached its zenith during the pontificate of Pius XII. The Church endured a form of régime and a vision that pitted it in a holy war against modernity. His theories helped to shape the ideas and vocabulary that justified the establishment of a strong and centralized papal régime and the persecution of dissident and progressive Catholic thinkers—”modernists”— who sought to bring about a reconciliation between Christianity and the modern world.

b. Political Dictatorship

In the political arena, Donoso’s influence was just as ominous. His theory of dictatorship and his critique of liberal democratic parliamentarianism significantly influenced the thinking of the twentieth century German conservative political theorist Carl Schmitt. Schmitt figured prominently in the development of the legal principles and structures of the Nazi régime. Schmitt’s critique of parliamentary democracy rests heavily upon arguments first developed by Donoso. Furthermore, Schmitt’s depiction of politics as a constant struggle of friends against enemies reflects Donoso’s quasi-Manichæan view of politics as a war between Catholic civilization and philosophical civilization. Donoso’s notion of infallible authority resonated in the Nazi Führerprinzip, the Italian fascist principle of Ducismo, and the principle of Caudillaje of the Franco régime in Spain (1936-75). The emphasis Donoso placed on infallible authority, his contempt of parliamentary democracy, and his support of dictatorial rule were common features of both conservative authoritarian as well as fascist régimes. Donoso’s ideas were held in high esteem in Spain during the time of the Franco dictatorship and were also reflected in other conservative authoritarian régimes in Portugal under Salazar and Caetano, France under Pétain (the Vichy régime), Austria under Dollfuss and Schuschnigg, and Hungary under Horthy.

4. Views on Violence

Donoso’s theory on sacrifices, developed in his Ensayo sobre el catolicismo, el liberalismo y el socialismo, endorsed violence as a social necessity. The spilling of blood by the State is essential in keeping the repressive equilibrium required to maintain a society. For every drop of blood spilled in crime, there must be an equal amount of blood spilled in the name of justice if authority and order are to be preserved. Criminal violence must be balanced with just violence; the violence that promotes evil must be met with the violence that promotes the good. Donoso saw human beings as so morally depraved and feeble in intellect that they require dictatorial rulers to regulate their behavior, priests to tell then what to believe and think, and executioners to punish them when they waver or depart from the commanded norms of behavior, thought, and belief. Kings, priests, and executioners are the pillars of civilization.

5. Views on History

Donoso’s view of history reflect the influence of St. Augustine, Vico, and Hegel. It combines the eschatological perspective of Augustine with the historical cycles of Vico and the dialectical process of Hegel. History is a process of the unfolding of a divine plan guided by Providence toward a specific end, which is the triumph of good over evil, of Catholic civilization over philosophical civilization. The process advances in cycles wherein the recurrent theme of good against evil is played out in a dialectical manner until the end is reached. Each cycle in the dialectical process ends with what Donoso called the “supernatural triumph of good over evil.” The action of divine Providence is essential in this process. Just as the executioner turns an evil into a good by replacing criminal violence with just violence, so Providence turns the natural triumph of evil into the supernatural triumph of the good. Donoso saw the natural triumph of evil in Jesus’ death as a supernatural triumph at the same time. The evil of the crucifixion accomplished the good of human redemption. The evil that afflicts can also be a good that strengthens and saves. The evil of sin allows God to display the good that is manifested in his justice and his mercy. History is the playing out of this drama in a cyclic and dialectically structured process guided by divine Providence toward a definite conclusion-the ultimate triumph of good over evil. Catholic civilization, which Donoso depicted as totally good, will ultimately crush and triumph over that evil he called philosophical civilization.

Donoso can also be seen as a modern-day Cassandra uttering prophecies of apocalyptic doom. He saw the development of modern technology, symbolized by the telegraph for him, and the establishment of mass permanent armies and police forces as potential instruments in the hands of a future godless and socialistic tyranny. All of his efforts in the arenas of politics, philosophy, and religion were aimed at preventing the rise of such an evil. Revolution had to be met with counterrevolution, anarchy with dictatorship, freethinking with dogma, doubt with certainty, and discussion with decree. The ultimate battle for Donoso was to be a quasi-Manichæan struggle between Catholicism and socialism, or Catholic civilization and philosophical civilization, two systems of belief in a combat to the death for the control of societies and souls.

6. References and Further Reading

Works by Juan Donoso Cortés:

  • Juan Donoso Cortés, Antologia de Juan Donoso Cortés, edited by Francisco Elías de Tejada (Madrid: Editorial Tradicionalista, 1953)
  • Artículos políticos en “El Porvenir,” edited by Federico Súarez Verdeguer (Pamplona: Ediciones Universidad de Navarra, 1992
  • Donoso Cortés y la fundación de “El Heraldo” y “El Sol,” edited by Federico Súarez Verdeguer (Pamplona: Ediciones Universidad de Navarra, 1986)
  • Essai sur le catholicisme, le libéralisme et le socialisme, introduction by Arnaud Imatz (Bouère: Editions Dominique Martin Morin, 1986).
    • French translation of the Ensayo sobre el catolicismo, el liberalismo y el socialismo
  • Essay on Catholicism, Liberalism, and Order, translated by Madeleine Vincent Goddard, edited J. C. Reville (New York: Joseph F. Wagner, 1925).
    • English translation of the Ensayo
  • Essays on Catholicism, Liberalism, and Socialism, translated by Rev. William McDonald (Dublin: M. H. Gill and Son, 1879).
    • The second English translation of the Ensayo
  • Der Staat Gottes, translated by Ludwig Fischer (Darmstadt: Wissenschaftliche Buchgesellschaft, 1966).
    • German translation of the Ensayo
  • Obras completas de Don Juan Donoso Cortés, 2 vols., edited by Juan Juretschke (Madrid: Biblioteca de Autores Cristianos, 1946)
  • Obras completas de Donoso Cortés, 2 vols., edited by Carlos Valverde, S.J., (Madrid: Biblioteca de Autores Cristianos, 1970)
  • Selected Works of Juan Donoso Cortés, translated, edited, and introduced by Jeffrey P. Johnson (Wesport: Greenwood Press, 2000)
  • “Speech on Dictatorship,” in Catholic Political Thought: 1789-1848, edited by Bela Menczer (South Bend: University of Notre Dame Press, 1962).

Works on Juan Donoso Cortés:

  • Gabriel de Armas, Donoso Cortés: su sentido trascendente de la vida (Madrid: Colección Cálamo, 1953)
  • Orestes Brownson, Orestes Brownson: Selected Essays, edited by Russell Kirk (Chicago: Regnery, 1955)
  • Catholic Encyclopedia, 1909 edition, s.v. “Donoso Cortés,” by Condé B. Pallen; Jules Chaix-Ruy Donoso Cortés: Théologien de l’histoire et prophète (Paris: Beauchesne, 1956)
  • Alois Dempf, Christliche Staatsphilosophie in Spanien (Salzburg: Verlag Anton Pustet, 1937)
  • John T. Graham, Donoso Cortés: Utopian Romanticist and Political Realist (Columbia: University of Missouri Press, 1974)
  • R. A. Herrera, Donoso Cortés: Cassandra of the Age (Grand Rapids: Eerdmans, 1995)
  • Ramon Menéndez Pidal, La historia de España: la era Isabelina y el sexenio democrático (1834-1874), vol. XXXIV (Madrid: Espasa Calpe, 1981)
  • Raúl Sánchez Abelenda, La teoría del poder en el pensamiento político de Juan Donoso Cortés (Buenos Aires: Editorial Universitaria de Buenos Aires, 1969)
  • Carl Schmitt, La interpretación europea de Donoso Cortés (Madrid: Rialp, 1953); Political Theology, translated by George Schwab (Cambridge: MIT Press, 1985)
  • Edmund Schramm, Donoso Cortés: ejemplo del pensamiento de la tradición, (Madrid: Publicaciones Españolas, 1961); Donoso Cortés: Su vida y su pensamiento (Madrid: Espasa Calpe, 1936)
  • Federico Súarez Verdeger, Introducción a Donoso Cortés (Madrid: Rialp, 1964)
  • Carlos Valverde, S.J., “Introducción” in Obras completas de Donoso Cortés, vol. 1, edited by Carlos Valverde, S.J. ( Madrid: Biblioteca de Autores Cristianos, 1970); Dietmar Westemeyer, Donoso Cortés, hombre de estado y teólogo, translated by J. S. Mazpule (Madrid: Editora Nacional, 1957)
  • Frederick D. Wilhelmsen, Christianity and Political Philosophy (Athens: University of Georgia Press, 1978); Francis G. Wilson, Political Thought in National Spain (Champaign: Stipes, 1967).

Author Information

Jeffrey P. Johnson
U. S. A.

Evolutionary Ethics

Evolutionary ethics tries to bridge the gap between philosophy and the natural sciences by arguing that natural selection has instilled human beings with a moral sense, a disposition to be good. If this were true, morality could be understood as a phenomenon that arises automatically during the evolution of sociable, intelligent beings and not, as theologians or philosophers might argue, as the result of divine revelation or the application of our rational faculties. Morality would be interpreted as a useful adaptation that increases the fitness of its holders by providing a selective advantage. This is certainly the view of Edward O. Wilson, the “father” of sociobiology, who believes that “scientists and humanists should consider together the possibility that the time has come for ethics to be removed temporarily from the hands of the philosophers and biologicized” (Wilson, 1975: 27). The challenge for evolutionary biologists such as Wilson is to define goodness with reference to evolutionary theory and then explain why human beings ought to be good.

Table of Contents

  1. Key Figures and Key Concepts
    1. Charles Darwin
    2. Herbert Spencer
    3. The Is-Ought Problem
    4. The Naturalistic Fallacy
    5. Sociobiology
  2. Placement in Contemporary Ethical Theory
  3. Challenges for Evolutionary Ethics
  4. References and Further Reading

1. Key Figures and Key Concepts

a. Charles Darwin

The biologization of ethics started with the publication of The Descent of Man by Charles Darwin (1809-1882) in 1871. In this follow-up to On the Origin of Species, Darwin applied his ideas about evolutionary development to human beings. He argued that humans must have descended from a less highly organized form–in fact, from a “hairy, tailed quadruped … inhabitant of the Old World” (Darwin, 1930: 231). The main difficulty Darwin saw with this explanation is the high standard of moral qualities apparent in humans. Faced with this puzzle, Darwin devoted a large chapter of the book to evolutionary explanations of the moral sense, which he argued must have evolved in two main steps.

First, the root for human morality lies in the social instincts (ibid. 232). Building on this claim by Darwin, today’s biologists would explain this as follows. Sociability is a trait whose phylogenetic origins can be traced back to the time when birds “invented” brooding, hatching, and caring for young offspring. To render beings able to fulfill parental responsibilities required social mechanisms unnecessary at earlier stages of evolutionary history. For example, neither amoebae (which reproduce by division) nor frogs (which leave their tadpole-offspring to fend for themselves) need the social instincts present in birds. At the same time as facilitating the raising of offspring, social instincts counterbalanced innate aggression. It became possible to distinguish between “them” and “us” and aim aggression towards individuals that did not belong to one’s group. This behavior is clearly adaptive in the sense of ensuring the survival of one’s family.

Second, with the development of intellectual faculties, human beings were able to reflect on past actions and their motives and thus approve or disapprove of others as well as themselves. This led to the development of a conscience which became “the supreme judge and monitor” of all actions (ibid. 235). Being influenced by utilitarianism, Darwin believed that the greatest-happiness principle will inevitably come to be regarded as a standard for right and wrong (ibid. 134) by social beings with highly evolved intellectual capacities and a conscience.

Based on these claims, can Darwin answer the two essential questions in ethics? First, how can we distinguish between good and evil? And second, why should we be good? If all his claims were true, they would indeed support answers to the above questions. Darwin’s distinction between good and evil is identical with the distinction made by hedonistic utilitarians. Darwin accepts the greatest-happiness principle as a standard of right and wrong. Hence, an action can be judged as good if it improves the greatest happiness of the greatest number, by either increasing pleasure or decreasing pain. And the second question–why we should be good–does not pose itself for Darwin with the same urgency as it did, for instance, for Plato (Thrasymachus famously asked Socrates in the Republic why the strong, who are not in need of aid, should accept the Golden Rule as a directive for action). Darwin would say that humans are biologically inclined to be sympathetic, altruistic, and moral as this proved to be an advantage in the struggle for existence (ibid. 141).

b. Herbert Spencer

The next important contribution to evolutionary ethics was by Herbert Spencer (1820-1903), the most fervent defender of that theory and the creator of the theory of Social Darwinism. Spencer’s theory can be summarized in three steps. As did Darwin, Spencer believed in the theory of hedonistic utilitarianism as proposed by Jeremy Bentham and John Stuart Mill. In his view, gaining pleasure and avoiding pain directs all human action. Hence, moral good can be equated with facilitating human pleasure. Second, pleasure can be achieved in two ways, first by satisfying self-regarding impulses and second by satisfying other-regarding impulses. This means that eating one’s favorite food and giving food to others are both pleasurable experiences for humans. Third, mutual cooperation between humans is required to coordinate self- and other-regarding impulses, which is why humans develop principles of equity to bring altruistic and egoistic traits into balance (Fieser, 2001, 214).

However, Spencer did not become known for his theory of mutual cooperation. On the contrary, his account of Social Darwinism is contentious to date because it is mostly understood as “an apology for some of the most vile social systems that humankind has ever known,” for instance German Nazism (Ruse, 1995: 228). In short, Spencer elevated alleged biological facts (struggle for existence, natural selection, survival of the fittest) to prescriptions for moral conduct (ibid. 225). For instance, he suggested that life is a struggle for human beings and that, in order for the best to survive, it is necessary to pursue a policy of non-aid for the weak: “to aid the bad in multiplying, is, in effect, the same as maliciously providing for our descendants a multitude of enemies” (Spencer, 1874: 346). Spencer’s philosophy was widely popular, particularly in North America in the 19th century, but declined significantly in the 20th century.

Which answers could he give to the two essential questions in ethics? How can we distinguish between good and evil and why should we be good? Spencer’s answer to question one is identical to Darwin’s (see above) as they both supported hedonistic utilitarianism. However, his answer to question two is interesting, if untenable. Spencer alleged that evolution equaled progress for the better (in the moral sense of the word) and that anything which supported evolutionary forces would therefore be good (Maxwell, 1984: 231). The reasoning behind this was that nature shows us what is good by moving towards it; and hence, “evolution is a process which, in itself, generates value” (Ruse, 1995: 231). If evolution advances the moral good, we ought to support it out of self-interest. Moral good was previously identified with universal human pleasure and happiness by Spencer. If the evolutionary process directs us towards this universal pleasure, we have an egoistic reason for being moral, namely that we want universal happiness. However, to equate development with moral progress for the better was a major value judgement which cannot be held without further evidence, and most evolutionary theorists have given up on the claim (Ruse, 1995: 233; Woolcock, 1999: 299). It also is subject to more conceptual objections, namely deriving “ought” from “is,” and committing the naturalistic fallacy.

c. The Is-Ought Problem

The first philosopher who persistently argued that normative rules cannot be derived from empirical facts was David Hume (1711-1776) (1978: 469):

In every system of morality, which I have hitherto met with, I have always remark’d, that the author proceeds for some time in the ordinary way of reasoning, and establishes the being of a God or makes observations concerning human affairs; when of a sudden I am surpriz’d to find, that instead of the usual copulations of propositions, is, and is not, I meet with no proposition that is not connected with an ought, or an ought not. This change is imperceptible; but is, however, of the last consequence.

It is this unexplained, imperceptible change from “is” to “ought” which Hume deplores in moral systems. To say what is the case and to say what ought to be the case are two unrelated matters, according to him. On the one hand, empirical facts do not contain normative statements, otherwise they would not be purely empirical. On the other hand, if there are no normative elements in the facts, they cannot suddenly surface in the conclusions because a conclusion is only deductively valid if all necessary information is present in the premises.

How do Darwin and Spencer derive “ought” from “is”? Let us look at Darwin first, using an example which he could have supported.

  1. Child A is dying from starvation.
  2. The parents of child A are not in a position to feed their child.
  3. The parents of child A are very unhappy that their child is dying from starvation.
  4. Therefore, fellow humans ought morally to provide food for child A.

Darwin (1930: 234) writes that “happiness is an essential part of the general good.” Therefore, those who want to be moral ought to promote happiness, and hence, in the above case, provide food. However, the imperceptible move from “is” to “ought” which Hume found in moral systems, is also present in this example. Thus, Darwin derives ought from is when he moves from the empirical fact of unhappiness to the normative claim of a duty to relieve unhappiness.

The same can be said for Spencer whose above argument about the survival of the fittest could be represented as follows:

  1. Natural selection will ensure the survival of the fittest.
  2. Person B is dying from starvation because he is ill, old, and poor.
  3. Therefore, fellow humans ought to morally avoid helping person B so that the survival of the fittest is guaranteed.

Even if both premises were shown to be true, it does not follow that we ought to morally support the survival of the fittest. An additional normative claim equating survival skills with moral goodness would be required to make the argument tenable. Again, this normative part of the argument is not included in the premises. Hence, Spencer also derives “ought” from “is.” Thomas Huxley (1906: 80) objects to evolutionary ethics on these grounds when he writes:

The thief and the murderer follow nature just as much as the philantropist. Cosmic evolution may teach us how the good and the evil tendencies of man may have come about; but, in itself, it is incompetent to furnish any better reason why what we call good is preferable to what we call evil than we had before.

d. The Naturalistic Fallacy

But evolutionary ethics was not only attacked by those who supported Hume’s claim that normative statements cannot be derived from empirical facts. A related argument against evolutionary ethics was voiced by British philosopher G.E. Moore (1873-1958). In 1903, he published a ground-breaking book, Principia Ethica, which created one of the most challenging problems for evolutionary ethics: the “naturalistic fallacy.” According to Michael Ruse (1995), when dealing with evolutionary ethics, “it has been enough for the student to murmur the magical phrase ‘naturalistic fallacy,’ and then he or she can move on to the next question, confident of having gained full marks thus far on the exam” (p. 223). So, what is the naturalistic fallacy and why does it pose a problem for evolutionary ethics?

Moore was interested in the definition of “good” and particularly in whether the property good is simple or complex. Simple properties, according to Moore, are indefinable as they cannot be described further using more basic properties. Complex properties, on the other hand, can be defined by outlining their basic properties. Hence, “yellow” cannot be defined in terms of its constituent parts, whereas “colored” can be explained further as it consists of several individual colors.

“Good,” according to Moore, is a simple property which cannot be described using more basic properties. Committing the naturalistic fallacy is attempting to define “good” with reference to other natural, i.e. empirically verifiable, properties. This understanding of “good” creates serious problems for both Darwin and Spencer. Following Bentham and Mill, both identify moral goodness with “pleasure.” This means they commit the naturalistic fallacy as good and pleasant are not identical. In addition, Spencer identifies goodness with “highly evolved,” committing the naturalistic fallacy again. (Both Moore’s claim in itself as well as his criticism of evolutionary ethics can be attacked, but this would fall outside the scope of this entry.)

e. Sociobiology

Despite the continuing challenge of the naturalistic fallacy, evolutionary ethics has moved on with the advent of sociobiology. In 1948, at a conference in New York, scientists decided to initiate new interdisciplinary research between zoologists and sociologists. “Sociobiology” was the name given to the new discipline aiming to find universally valid regularities in the social behavior of animals and humans. Emphasis was put on the study of biological, i.e. non-cultural, behavior. The field did, however, not get off the ground until Edward Wilson published his Sociobiology: The New Synthesis in 1975. According to Wilson (1975: 4), “sociobiology is defined as the systematic study of the biological basis of all social behavior.”

In Wilson’s view, sociobiology makes philosophers, at least temporarily, redundant, when it comes to questions of ethics (see quote in introduction). He believes that ethics can be explained biologically when he writes (ibid. 3, emphasis added):

The hypothalamus and limbic system … flood our consciousness with all the emotions – hate, love, guilt, fear, and others – that are consulted by ethical philosophers who wish to intuit the standards of good and evil. What, we are then compelled to ask, made the hypothalamus and the limbic system? They evolved by natural selection. That simple biological statement must be pursued to explain ethics.

Ethics, following this understanding, evolved under the pressure of natural selection. Sociability, altruism, cooperation, mutual aid, etc. are all explicable in terms of the biological roots of human social behavior. Moral conduct aided the long-term survival of the morally inclined species of humans. According to Wilson (ibid. 175), the prevalence of egoistic individuals will make a community vulnerable and ultimately lead to the extinction of the whole group. Mary Midgley agrees. In her view, egoism pays very badly in genetic terms, and a “consistently egoistic species would be either solitary or extinct” (Midgley, 1980: 94).

Wilson avoids the naturalistic fallacy in Sociobiology by not equating goodness with another natural property such as pleasantness, as Darwin did. This means that he does not give an answer to our first essential question in ethics. What is good? However, like Darwin he gives an answer to question two. Why should we be moral? Because we are genetically inclined to be moral. It is a heritage of earlier times when less morally inclined and more morally inclined species came under pressure from natural selection. Hence, we do not need divine revelation or strong will to be good; we are simply genetically wired to be good. The emphasis in this answer is not on the should, as it is not our free will which makes us decide to be good but our genetic heritage.

One of the main problems evolutionary ethics faces is that ethics is not a single field with a single quest. Instead, it can be separated into various areas, and evolutionary ethics might not be able to contribute to all of them. Let us therefore look at a possible classification for evolutionary ethics, which maps it on the field of traditional ethics, before concluding with possible criticisms.

2. Placement in Contemporary Ethical Theory

For philosophy students, ethics is usually divided into three areas: metaethics, normative ethical theory, and applied ethics. Metaethics looks for possible foundations of ethics. Are there any moral facts out there from which we can deduce our moral theories? Normative ethical theories suggest principles or sets of principles to distinguish morally good from morally bad actions. Applied ethics looks at particular moral issues, such as euthanasia or bribery.

However, this classification is not adequate to accommodate evolutionary ethics in its entirety. Instead, a different three-fold distinction of ethics seems appropriate: descriptive ethics, normative ethics, and metaethics. Descriptive ethics outlines ethical beliefs as held by various people and tries to explain why they are held. For instance, almost all human cultures believe that incest is morally wrong. This belief developed, it could be argued, because it provides a survival advantage to the group that entertains it. Normative ethical theories develop standards to judge which actions are good and which actions are bad. The standard as defended by evolutionary ethics would be something like “Actions that increase the long-term capacity of survival in evolutionary terms are good and actions that decrease this capacity are bad.” However, the field has not yet established itself credibly in normative ethics. Consequentialism, deontology, virtue ethics, and social contracts still dominate debates. This is partly due to the excesses of Social Darwinism but also due to the unintuitive nature of the above or similar standards. Evolutionary ethics has been more successful in providing interesting answers in metaethics. Michael Ruse (1995: 250), for instance, argues that morality is a “collective illusion of the genes, bringing us all in…. We need to believe in morality, and so, thanks to our biology, we do believe in morality. There is no foundation “out there” beyond human nature.”

Descriptive ethics seems, as yet, the most interesting area for evolutionary ethics, a topic particularly suitable for anthropological and sociological research. Which ethical beliefs do people hold and why? But in all three areas, challenges are to be faced.

3. Challenges for Evolutionary Ethics

The following are some lingering challenges for evolutionary ethics:

  • How can a trait that was developed under the pressure of natural selection explain moral actions that go far beyond reciprocal altruism or enlightened self-interest? How can, for instance, the action of Maximilian Kolbe be explained from a biological point of view? (Kolbe was a Polish priest who starved himself to death in a concentration camp to rescue a fellow prisoner.)
  • Could not human beings have moved beyond their biological roots and transcended their evolutionary origins, in which case they would be able to formulate goals in the pursuit of goodness, beauty, and truth that “have nothing to do directly with survival, and which may at times militate against survival?” (O’Hear, 1997: 203).
  • Morality is universal, whereas biologically useful altruism is particular favoring the family or the group over others. “Do not kill” does not only refer to one’s own son, but also to the son of strangers. How can evolutionary ethics cope with universality?
  • Normative ethics aims to be action-guiding. How could humans ever judge an action to be ensuring long-term survival? (This is a practical rather than conceptual problem for evolutionary ethics.)
  • Hume’s “is-ought” problem still remains a challenge for evolutionary ethics. How can one move from “is” (findings from the natural sciences, including biology and sociobiology) to “ought”?
  • Similarly, despite the length of time that has passed since the publication of Principia Ethica, the challenge of the “naturalistic fallacy” remains.

Evolutionary ethics is, on a philosopher’s time-scale, a very new approach to ethics. Though interdisciplinary approaches between scientists and philosophers have the potential to generate important new ideas, evolutionary ethics still has a long way to go.

4. References and Further Reading

  • Darwin, Charles (1871, 1930) The Descent of Man, Watts & Co., London.
  • Fieser, James (2001) Moral Philosophy through the Ages, Mayfield Publishing Company, Mountain View California), Chapter 12 “Evolutionary Ethics.”
  • Hume, David (1740, 1978) A Treatise of Human Nature, Clarendon Press, Oxford.
  • Maxwell, Mary (1984) Human Evolution: A Philosophical Anthropology, Croom Helm, London.
  • Midgley, Mary (1980) Beast and Man: The Roots of Human Nature, Methuen, London.
  • O’Hear, Anthony (1997) Beyond Evolution: Human Nature and the Limits of Evolutionary Explanation, Clarendon Press, Oxford.
  • Ruse, Michael (1995) Evolutionary Naturalism, Routledge, London.
  • Spencer, Herbert (1874) The Study of Sociology, Williams & Norgate, London.
  • Wilson, Edward O. (1975) Sociobiology: The New Synthesis, Harvard University Press, Cambridge, Massachusetts.
  • Woolcock, Peter G. (1999) “The Case Against Evolutionary Ethics Today,” in: Maienschein, Jane and Ruse, Michael (eds) Biology and the Foundation of Ethics, Cambridge University Press, Cambridge, pp. 276-306.

Author Information

Doris Schroeder
Lancaster University, United Kingdom

Theories of Explanation

Within the philosophy of science there have been competing ideas about what an explanation is. Historically, explanation has been associated with causation: to explain an event or phenomenon is to identify its cause. But with the growth and development of philosophy of science in the 20th century, the concept of explanation began to receive more rigorous and specific analysis. Of particular concern were theories that posited the existence of unobservable entities and processes (atoms, fields, genes, and so forth). These posed a dilemma: on the one hand, the staunch empiricist had to reject unobservable entities as a matter of principle; on the other, theories that appealed to unobservable entities were clearly producing revolutionary results. Thus philosophers of science sought some way to characterize the obvious value of these theories without abandoning the empiricist principles deemed central to scientific rationality.

A theory of explanation might treat explanations in either a realist or an epistemic (that is, anti-realist) sense. A realist interpretation of explanation holds that the entities or processes an explanation posits actually exist–the explanation is a literal description of external reality. An epistemic interpretation, on the contrary, holds that such entities or processes do not necessarily exist in any literal sense but are simply useful for organizing human experience and the results of scientific experiments–the point of an explanation is only to facilitate the construction of a consistent empirical model, not to furnish a literal description of reality. Thus Hempel‘s epistemic theory of explanation deals only in logical form, making no mention of any actual physical connection between the phenomenon to be explained and the facts purported to explain it, whereas Salmon’s realist account emphasizes that real processes and entities are conceptually necessary for understanding exactly why an explanation works.

In contrast to these theoretical and primarily scientific approaches, some philosophers have favored a theory of explanation grounded in the way people actually perform explanation. Ordinary Language Philosophy stresses the communicative or linguistic aspect of an explanation, its utility in answering questions and furthering understanding between two individuals, while an approach based in cognitive science maintains that explaining is a purely cognitive activity and that an explanation is a certain kind of mental representation that results from or aids in this activity. It is a matter of contention within cognitive science whether explanation is properly conceived as the process and results of belief revision or as the activation of patterns within a neural network.

This article focuses on the way thinking about explanation within the philosophy of science has changed since 1950. It begins by discussing the philosophical concerns that gave rise to the first theory of explanation, the deductive-nomological model. Discussions of this theory and standard criticisms of it are followed by an examination of attempts to amend, extend or replace this first model. There is particular emphasis on the most general aspects of explanation and on the extent to which later developments reflect the priorities and presuppositions of different philosophical traditions. There are many important aspects of explanation not covered, most notably the relation between the different types of explanation such as teleological, functional, reductive, psychological, and historical explanation — that are employed in various branches of human inquiry.

Table of Contents

  1. Introduction
  2. Hempel’s Theory of Explanation
  3. Standard Criticisms of Hempel’s Theory of Explanation
  4. Contemporary Developments in the Theory of Explanation
    1. Explanation and Causal Realism
    2. Explanation and Constructive Empiricism
    3. Explanation and Ordinary Language Philosophy
    4. Explanation and Cognitive Science
    5. Explanation, Naturalism and Scientific Realism
  5. The Current State of the Theory of Explanation
  6. References and Further Reading

1. Introduction

Most people, philosophers included, think of explanation in terms of causation. Very roughly, to explain an event or phenomenon is to identify its cause. The nature of causation is one of the perennial problems of philosophy, so on the basis of this connection one might reasonably attempt to trace thinking about the nature of explanation to antiquity. (Among the ancients, for example, Aristotle’s theory of causation is plausibly regarded as a theory of explanation.) But the idea that the concept of explanation warrants independent analysis really did not begin to take hold until the 20th century. Generally, this change occurred as the result of the linguistic turn in philosophy. More specifically, it was the result of philosophers of science attempting to understand the nature of modern theoretical science.

Of particular concern were theories that posited the existence of unobservable entities and processes (for example, atoms, fields, genes, etc.). These posed a dilemma. On the one hand, the staunch empiricist had to reject unobservable entities as a matter of principle; on the other hand, theories that appealed to unobservables were clearly producing revolutionary results. A way was needed to characterize the obvious value of these theories without abandoning the empiricist principles deemed central to scientific rationality.

In this context it became common to distinguish between the literal truth of a theory and its power to explain observable phenomena. Although the distinction between truth and explanatory power is important, it is susceptible to multiple interpretations, and this remains a source of confusion even today. The problem is this: In philosophy the terms “truth” and “explanation” have both realist and epistemic interpretations. On a realist interpretation the truth and explanatory power of a theory are matters of the correspondence of language with an external reality. A theory that is both true and explanatory gives us insight into the causal structure of the world. On an epistemic interpretation, however, these terms express only the power of a theory to order our experience. A true and explanatory theory orders our experience to a greater degree than a false non-explanatory one. Hence, someone who denies that scientific theories are explanatory in the realist sense of the term may or may not be denying that they are explanatory in the epistemic sense. Conversely, someone who asserts that scientific theories are explanatory in the epistemic sense may or may not be claiming that they are explanatory in the realist sense. The failure to distinguish these senses of “explanation” can and does foster disagreements that are purely semantic in nature.

One common way of employing the distinction between truth and explanation is to say that theories that refer to unobservable entities may explain the phenomena, but they are not literally true. A second way is to say that these theories are true, but they do not really explain the phenomena. Although these statements are superficially contradictory, they can both be made in support of the same basic view of the nature of scientific theories. This, it is now easy to see, is because the terms ‘truth’ and ‘explanation’ are being used differently in each statement. In the first, ‘explanation’ is being used epistemically and ‘truth’ realistically; in the second, ‘explanation’ is being used realistically and ‘truth’ epistemically. But both statements are saying roughly the same thing, namely, that a scientific theory may be accepted as having a certain epistemic value without necessarily accepting that the unobservable entities it refers to actually exist. (This view is known as anti-realism.) One early 20th century philosopher scientist, Pierre Duhem, expressed himself according to the latter interpretation when he claimed:

A physical theory is not an explanation. It is a system of mathematical propositions, deduced from a small number of principles, which aim to represent as simply, as completely, and as exactly as possible a set of experimental laws. ([1906] 1962: p7)

Duhem claimed that:

To explain is to strip the reality of the appearances covering it like a veil, in order to see the bare reality itself. (op.cit.: p19)

Explanation was the task of metaphysics, not science. Science, according to Duhem, does not comprehend reality, but only gives order to appearance. However, the subsequent rise of analytic philosophy and, in particular, logical positivism made Duhem’s acceptance of classical metaphysics unpopular. The conviction grew that, far from being explanatory, metaphysics was meaningless insofar as it issued claims that had no implications for experience. By the time Carl Hempel (who, as a logical positivist, was still fundamentally an anti-realist about unobservable entities) articulated the first real theory of explanation (1948) the explanatory power of science could be stipulated.

To explain the phenomena in the world of our experience, to answer the question “Why?” rather than only the question “What?”, is one of the foremost objectives of all rational inquiry; and especially scientific research, in its various branches strives to go beyond a mere description of its subject matter by providing an explanation of the phenomena it investigates. (Hempel and Oppenheim 1948: p8)

For Hempel, answering the question “Why?” did not, as for Duhem, involve an appeal to a reality beyond all experience. Hempel employs the epistemic sense of explanation. For him the question “Why?” was an expression of the need to gain predictive control over our future experiences, and the value of a scientific theory was to be measured in terms of its capacity to produce this result.

2. Hempel’s Theory of Explanation

According to Hempel, an explanation is:

…an argument to the effect that the phenomenon to be explained …was to be expected in virtue of certain explanatory facts. (1965 p. 336)

Hempel claimed that there are two types of explanation, what he called ‘deductive-nomological’ (DN) and ‘inductive-statistical’ (IS) respectively.” Both IS and DN arguments have the same structure. Their premises each contain statements of two types: (1) initial conditions C, and (2) law-like generalizations L. In each, the conclusion is the event E to be explained:

C1, C2, C3,…Cn

L1, L2, L3,…Ln

————————

E

The only difference between the two is that the laws in a DN explanation are universal generalizations, whereas the laws in IS explanations have the form of statistical generalizations. An example of a DN explanation containing one initial condition and one law-like generalization is:

C. The infant’s cells have three copies of chromosome 21.

L. Any infant whose cells have three copies of chromosome 21 has Down’s Syndrome.

————————————————————————————————–

E. The infant has Down’s Syndrome.

An example of an IS explanation is:

C. The man’s brain was deprived of oxygen for five continuous minutes.

L. Almost anyone whose brain is deprived of oxygen for five continuous minutes will sustain brain damage.

—————————————————————————————————

E. The man has brain damage.

For Hempel, DN explanations were always to be preferred to IS explanations. There were two reasons for this.

First, the deductive relationship between premises and conclusion maximized the predictive value of the explanation. Hempel accepted IS arguments as explanatory just to the extent that they approximated DN explanations by conferring a high probability on the event to be explained.

Second, Hempel understood the concept of explanation as something that should be understood fundamentally in terms of logical form. True premises are, of course, essential to something being a good DN explanation, but to qualify as a DN explanation (what he sometimes called a potential DN explanation) an argument need only exhibit the deductive-nomological structure. (This requirement placed Hempel squarely within the logical positivist tradition, which was committed to analyzing all of the epistemically significant concepts of science in logical terms.) There is, however, no corresponding concept of a potential IS explanation. Unlike DN explanations, the inductive character of IS explanations means that the relation between premises and conclusion can always be undermined by the addition of new information. (For example, the probability of brain damage, given that a man is deprived of oxygen for 7 minutes, is lowered somewhat by the information that the man spent this time at the bottom of a very cold lake.) Consequently, it is always possible that a proposed IS explanation, even if the premises are true, would fail to predict the fact in question, and thus have no explanatory significance for the case at hand.

3. Standard Criticisms of Hempel’s Theory of Explanation

Hempel’s dissatisfaction with statistical explanation was at odds with modern science, for which the explanatory use of statistics had become indispensable. Moreover, Hempel’s requirement that IS explanations approximate the predictive power of DN explanations has the counterintuitive implication that for inherently low probability events no explanations are possible. For example, since smoking two packs of cigarettes a day for 40 years does not actually make it probable that a person will contract lung cancer, it follows from Hempel’s theory that a statistical law about smoking will not be involved in an IS explanation of the occurrence of lung cancer. Hempel’s view might be defended here by claiming that when our theories do not allow us to predict a phenomenon with a high degree of accuracy, it is because we have incomplete knowledge of the initial conditions. However, this seems to require us to base a theory of explanation on the now dubious metaphysical position that all events have determinate causes.

Another important criticism of Hempel’s theory is that many DN arguments with true premises do not appear to be explanatory. Wesley Salmon raised the problem of relevance with the following example:

C1. Butch takes birth control pills.

C2: Butch is a man.

L: No man who takes birth control pills becomes pregnant.

———————————————————————————-

E: Butch has not become pregnant.

Unfortunately, this reasoning qualifies as explanatory on Hempel’s theory despite the fact that the premises seem to be explanatorily irrelevant to the conclusion.

Sylvain Bromberger raised the problem of asymmetry by pointing out that, while on Hempel’s model one can explain the period of a pendulum in terms of the length of the pendulum together with the law of simple periodic motion, one can just as easily explain the length of a pendulum in terms of its period in accord with the same law. Our intuitions tell us that the first is explanatory, but the second is not. The same point is made by the following example:

C: The barometer is falling rapidly.

L: Whenever the barometer falls rapidly, a storm is approaching.

—————————————————————–

E: A storm is approaching.

While the falling barometer is a trustworthy indicator of an approaching storm, it is counterintuitive to say that the barometer explains the occurrence of the storm. Rather, it is the approaching storm that explains the falling barometer.

These two problems, relevance and asymmetry, expose the difficulty of developing a theory of explanation that makes no reference to causal relations. Reference to causal relations is not an option for Hempel, however, since causation heads the anti-realist’s list of metaphysically suspect concepts. It would also undermine his view that explanation should be understood as an epistemic rather than a metaphysical relationship. Hempel’s response to these problems was that they raise purely pragmatic issues. His model countenances many explanations that prove to be useless, but whether an explanation has any practical value is not, in Hempel’s view, something that can be determined by philosophical analysis. This is a perfectly cogent reply, but it has not generally been regarded as an adequate one. Virtually all subsequent attempts to improve upon Hempel’s theory accept the above criticisms as legitimate.

As noted above, Hempel’s model requires that an explanation make use of at least one law-like generalization. This presents another sort of problem for the DN model. Hempel was careful to distinguish law-like generalizations from accidental generalizations. The latter are generalizations that may be true, but not in virtue of any law of nature. (for example, “All of my shirts are stained with coffee” may be true, but it is- I hope- just an accidental fact, not a law of nature.) Although the idea that explanation consists in subsuming events under natural laws has wide appeal in the philosophy of science, it is doubtful whether this requirement can be made consistent with Hempel’s epistemic view of explanation. The reason is simply that no one has ever articulated an epistemically sound criterion for distinguishing between law-like generalizations and accidental generalizations. This is essentially just Hume’s problem of induction, namely, that no finite number of observations can justify the claim that a regularity in nature is due to an natural necessity. In the absence of such a criterion, Hempel’s model seems to violate the spirit of the epistemic view of explanation, as well as the idea that explanation can be understood in purely logical terms.

4. Contemporary Developments in the Theory of Explanation

Contemporary developments in the theory of explanation in many ways reflect the fragmented state of analytic philosophy since the decline of logical positivism. In this article we will look briefly at examples of how explanation has been conceived within the following five traditions: (1) Causal Realism, (2) Constructive Empiricism, (3) Ordinary Language Philosophy, (4) Cognitive Science and (5) Naturalism and Scientific Realism.

a. Explanation and Causal Realism

With the decline of logical positivism and the gathering success of modern theoretical science, philosophers began to regard continued skepticism about the reality of unobservable entities and processes as pointless. Different varieties of realism were articulated and against this background several different causal theories of explanation were developed. The idea behind them is the ordinary intuition noted at the beginning of this essay: to explain is to attribute a cause. Michael Scriven argued this point with notable force:

Let us take a case where we can be sure beyond any reasonable doubt that we have a correct explanation. As you reach for the dictionary, your knee catches the edge of the table and thus turns over the ink bottle, the contents of which proceed to run over the table’s edge and ruin the carpet. If you are subsequently asked to explain how the carpet was damaged you have a complete explanation. You did it by knocking over the ink. The certainty of this explanation is primeval…This capacity for identifying causes is learnt, is better developed in some people than in others, can be tested, and is the basis for what we call judgments. (1959: p. 456)

Wesley Salmon’s causal theory of explanation is perhaps the most influential developed within the realist tradition. Salmon had earlier developed a fundamentally epistemic view according to which an explanation is a list of statistically relevant factors. However he later rejected this, and any epistemic theory, as inadequate. His reason was that all epistemic theories are incapable of showing how explanations produce scientific understanding. This is because scientific understanding is not only a matter of having justified beliefs about the future. Salmon now insists that even a Laplacean Demon whose knowledge of the laws and initial conditions of the universe were so precise and complete as to issue in perfect predictive knowledge would lack scientific understanding. Specifically, he would lack the concepts of causal relevance and causal asymmetry and he could not distinguish between true causal processes and pseudo-processes. (As an example of the latter, consider the beam of a search light as it describes an arc through the sky. The movement of the beam is a pseudo-process since earlier stages of the beam do not cause later stages. By contrast, the electrical generation of the light itself, and the movement of the lamp housing are true causal processes.)

Salmon defends his causal realism by rejecting the Humean conception of causation as linked chains of events, and by attempting to articulate an epistemologically sound theory of continuous causal processes and causal interactions to replace it. The theory itself is detailed and does not lend itself to compression. It reads not so much as an analysis of the term ‘explanation’ as a set of instructions for producing an explanation of a particular phenomenon or event. One begins by compiling a list of statistically relevant factors and analyzing the list by a variety of methods. The procedure terminates in the creation of causal models of these statistical relationships and empirical testing to determine which of these models is best supported by the evidence.

Insofar as Salmon’s theory insists that an adequate explanation has not been achieved until the fundamental causal mechanisms of a phenomenon have been articulated, it is deeply reductionistic. It is not clear, for example, how Salmon’s model of explanation could ever generate meaningful explanations of mental events, which supervene on, but do not seem to be reducible to a unique set of causal relationships. Salmon’s theory is also similar to Hempel’s in at least one sense, and that is that both champion ideal forms of explanation, rather than anything that scientists or ordinary people are likely to achieve in the workaday world. This type of theorizing clearly has its place, but it has also been criticized by those who see explanation primarily as a form of communication between individuals. On this view, simplicity and ease of communication are not merely pragmatic, but essential to the creation of human understanding.

b. Explanation and Constructive Empiricism

In his book The Scientific Image (1980) Bas van Fraassen produced an influential defense of anti-realism. Terming his view “constructive empiricism” van Fraassen claimed that theoretical science was properly construed as a creative process of model construction rather than one of discovering truths about the unobservable world. While avoiding the fatal excesses of logical positivism he argued strongly against the realistic interpretation of theoretical terms, claiming that contemporary scientific realism is predicated on a dire misunderstanding of the nature of explanation. (See “Naturalism and Scientific Realism” below). In support of his constructive empiricism van Fraassen produced an epistemic theory of explanation that draws on the logic of why-questions and draws on a Bayesian interpretation of probability.

Like Hempel, van Fraassen seeks to explicate explanation as a purely logical concept. However, the logical relation is not that of premises to conclusion, but one of question to answer. Following Bromberger, van Fraassen characterizes explanation as an answer to a why-question. Why-questions, for him, are essentially contrastive. That is, they always, implicitly or explicitly, ask: Why Pk, rather than some set of alternatives X= ? Why-questions also implicitly stipulate a relevance relation R, which is the explanatory relation (for example, causation) any answer must bear to the ordered pair .

Van Fraassen follows Hempel in addressing explanatory asymmetry and explanatory relevance as pragmatic issues. However, van Fraassen’s question-answering model makes this view a bit more intuitive. The relevance relation is defined by the interests of the person posing the question. For example, an individual who asks for an explanation of an airline accident in terms of the human decisions that led to it can not be forced to accept an explanation solely in terms of the weather. van Fraassen deals with the problem of explanatory asymmetry by showing that this, too, is a function of context. For example, most people would say that bad weather explains plane crashes, but plane crashes don’t explain bad weather. However, there are conditions (for example, unstable atmospheric conditions, an airplane carrying highly explosive cargo) that could combine to supply the latter explanation with an appropriate context.

Van Fraassen’s model also avoids Hempel’s problematic requirement of high probability for IS explanation. For van Fraassen, an answer will be potentially explanatory if it “favors” Pk over all the other members of the contrast class. This means roughly that the answer must confer greater probability on Pk than on any other Pi. It does not require that Pk actually be probable, or even that the probability of Pk be raised as a result of the answer, since favoring can actually result from an answer that lowers the probability of all other Pi relative to Pk. For van Fraassen, the essential tool for calculating the explanatory value of a theory is Bayes’ Rule, which allows one to calculate the probability of a particular event relative to a set of background assumptions and some new information. From a Bayesian point of view, the rationality of a belief is relative to a set of background assumptions which are not themselves the subject of evaluation. Van Fraassen’s theory of explanation is therefore deeply subjectivist: what counts as a good explanation for one person may not count as a good explanation for another, since their background assumptions may differ.

Van Fraassen’s pragmatic account of explanation buttresses his anti-realist position, by showing that when properly analyzed there is nothing about the concept of explanation that demands a realistic interpretation of causal processes or unobservables. Van Fraassen does not make the positivist mistake of claiming that talk of such things is metaphysical nonsense. He claims only that a full appreciation of science does not depend on a realistic interpretation. His pragmatism also offers an alternative account of Salmon’s Laplacean Demon. van Fraassen agrees with Salmon that an individual with perfect knowledge of the laws and initial conditions of the universe lacks something, but what he lacks is not objective knowledge of the difference between causal processes and pseudo processes. Rather, he simply lacks the human interests that make causation a useful concept.

c. Explanation and Ordinary Language Philosophy

Although van Fraassen’s theory of explanation is based on the view that explanation is a process of communication, he still chooses to explicate the concept of explanation as a logical relationship between question and answer, rather than as a communicative relationship between two individuals. Ordinary Language Philosophy tends to emphasize this latter quality, rejecting traditional epistemology and metaphysics and focusing on the requirements of effective communication. For this school, philosophical problems do not arise because ordinary language is defective, but because we are in some way ignoring the communicative function of language. Consequently, the point of ordinary language analysis is not to improve upon ordinary usage by clarifying the meanings of terms for use in some ideal vocabulary, but rather to bring the full ordinary meanings of the terms to light.

Within this tradition Peter Achinstein (1983) developed an illocutionary theory of explanation. Like Salmon, Achinstein characterizes explanation as the pursuit of understanding. He defines the act of explanation as the attempt by one person to produce understanding in another by answering a certain kind of question in a certain kind of way. Achinstein rejects Salmon’s narrow association of understanding with causation, as well as van Fraassen’s analysis in terms of why-questions. For Achinstein there are many different kinds of questions that we ordinarily regard as attempts to gain understanding (for example, who-, what-, when-, and where-questions) and it follows that the act of answering any of these is properly regarded as an act of explanation.

According to Achinstein’s theory S (a person) explains q (an interrogative expressing some question Q) by uttering u only if:

S utters u with the intention that his utterance of u render q understandable by producing the knowledge of the proposition expressed by u that it is a correct answer to Q. (1983: p.13)

Achinstein’s approach is an interesting departure from the types of theory discussed above in that it draws freely both on the concept of intention as well as the irreducibly causal notion of “producing knowledge.” This move clearly can not be countenanced by someone who sees explanation as a fundamentally logical concept. Even the causal realist who believes that explanations make essential reference to causes does not construe explanation itself in causal terms. Indeed, Achinstein’s approach is so different from theories that we have discussed so far that it might be best construed as addressing a very different question. Whereas traditional theories have attempted to explicate the logic of explanation, Achinstein’s theory may be best understood as an attempt to describe the process of explanation itself.

Like van Fraassen’s theory, Achinstein’s theory is deeply pragmatic. He stipulates that all explanations are given relative to a set of instructions (cf. van Fraassen’s relevance relations) and indicates that these instructions are ultimately determined by the individual asking the question. So, for example, a person who ask for an explanation why the electrical power in the house has gone out implicitly instructs that the question be answered in a way that would be relevant to the goal of turning the electricity back on. An answer that explained the absence of an electrical current in scientific terms, say by reference to Maxwell’s equations, would be inappropriate in this case.

Achinstein attempts to avoid van Fraassen’s subjectivism, by identifying understanding with knowledge that a certain kind of proposition is true. These, he calls “content giving propositions” which are to be contrasted with propositions that have no real cognitive significance. For example, Achinstein would want to rule out as non-explanatory, answers to questions that are purely tautological, such as: Mr. Pheeper died because Mr. Pheeper ceased to live. Achinstein also counts as non explanatory the scientifically correct answer to a question like: What is the speed of light in a vacuum? For him 186,000 miles/ second is not explanatory because, as it stands, it is just an incomprehensibly large number offering no basis of comparison with velocities that are cognitively significant. This does not mean that speed of light in a vacuum can not be explained. For example, a more cognitively significant answer to the above question might be that light can travel 7 1/2 times around the earth in one second. (Thanks to Professor Norman Swartz for this example)

One of the main difficulties with Achinstein’s theory is that the idea of a content-giving proposition remains too vague. His refusal to narrow the list of questions that qualify as requests for explanation makes it very difficult to identify any interesting property that an act of explanation must have in order to produce understanding. Moreover, Achinstein’s theory suffers from epistemological problems of its own. His theory of explanation makes essential reference to the intention to produce a certain kind of knowledge-state, but it is unclear from what Achinstein says how a knowledge state can be the result of an illocutionary act simpliciter. Certainly, such acts can produce beliefs, but not all beliefs so produced will count as knowledge, and Achinstein’s theory does not distinguish between the kinds of explanatory acts that are likely to result in such knowledge, and the kinds that will not.

d. Explanation and Cognitive Science

While explanation may be fruitfully regarded as an act of communication, still another departure from the standard relational analysis is to think of explaining as a purely cognitive activity, and an explanation as a certain kind of mental representation that results from or aids in this activity. Considered in this way, explaining (sometimes called ‘abduction’) is a universal phenomenon. It may be conscious, deliberative, and explicitly propositional in nature, but it may also be unconscious, instinctive, and involve no explicit propositional knowledge whatsoever. For example: a father, hearing a high-pitched wail coming from the next room, rushes to his daughter’s aid. Whether he reacted instinctively, or on the basis of an explicit inference, we can say that the father’s behavior was the result of his having explained the wailing sound as the cry of his daughter.

From this perspective the term ‘explanation’ is neither a meta-logical nor a metaphysical relation. Rather, the term has been given a theoretical status and an explanatory function of its own; that is, we explain a person’s behavior by reference to the fact that he is in possession of an explanation. Put differently, ‘explanation’ has been subsumed into the theoretical vocabulary of science (with explanation itself being one of the problematic unobservables) an understanding of which was the very purpose of the theory of explanation in the first place.

Cognitive science is a diverse discipline and there are many different ways of approaching the concept of explanation within it. One major rift within the discipline concerns the question whether “folk psychology” with its reference to mental entities like intentions, beliefs and desires is fundamentally sound. Cognitive scientists in the artificial intelligence (AI) tradition argue that it is sound, and that the task of cognitive science is to develop a theory that preserves the basic integrity of belief-desire explanation. On this view, explaining is a process of belief revision, and explanatory understanding is understood by reference to the set of beliefs that result from that process. Cognitive scientists in the neuroscience tradition, in contrast, argue that folk psychology is not explanatory at all: in its completed state all reference to beliefs and desires will be eliminated from the vocabulary of cognitive science in favor of a vocabulary that allows us to explain behavior by reference to models of neural activity. On this view explaining is a fundamentally neurological process, and explanatory understanding is understood by reference to activation patterns within a neural network.

One popular approach that incorporates aspects of both traditional AI and neuroscience makes use of the idea of a mental model (cf. Holland et al. [1986]) Mental models are internal representations that occur as a result of the activation of some part of a network of condition-action (or if-then) type rules. These rules are clustered in such a way that when a certain number of conditions becomes active, some action results. For example, here is a small cluster of rules that a simple cognitive system might use to distinguish different types of small furry mammals in a backyard environment.

(i) If [large, scurries, meows] then [cat].

(ii) If [small, scurries, squeaks] then [rat].

(iii) If [small, hops, chirps] then [squirrel].

(iv) If [squirrel or rat] then [flees].

(v) If [cat] then [approaches].

A mental model of a squirrel, then, can be described as an activation of rule (iii).

A key concept within the mental models framework is that of a default hierarchy. A set of rules such as those above, state a standard set of default conditions. When these are met, a set of expectations is generated. For example, the activation of rule (iii) generates expectations of type (iv). However, a viable representational system must be able to revise prior rule activations when expectations are contradicted by future experience. In the mental models framework, this is achieved by incorporating a hierarchy of rules below the default condition with more specific conditions at lower levels of the model whose actions will defeat default expectations. For example, default rule (iii) might be defeated by another rule as follows:

3. Level 1: If [small, hops, chirps] then [squirrel].

Level 2: If [flies] then [bird].

In other words, a system that identifies a small, hopping chirping animal as a squirrel generates a set of expectations about its future behavior. If these expectations are contradicted by, for example, the putative squirrel flying, then the system will descend to a lower level of the hierarchy thereby allowing the system to reclassify the object as a bird.

Although this is just a cursory characterization of the mental models framework it is enough to show how explanation can be handled within it. In this context it is natural to think of explanation as a process that is triggered by a predictive failure. Essentially, when the expectations activated at Level 1 of the default hierarchy fail, the system searches lower levels of the hierarchy to find out why. If the above example were formulated in explicitly propositional terms, we would say that the failure of Level 1 expectations generated the question: Why did the animal, which I previously identified as a squirrel, fly? The answer supplied at level 2 is: Because the animal is not a squirrel, but a bird. Of course, Level 2 rules produce their own set of expectations, which must themselves be corroborated with future experience or defeated by future explanations. Clearly, the above example is a rudimentary form of explanation. Any viable system must incorporate learning algorithms which allow it to modify both the content and structure of the default hierarchy when its expectations are repeatedly undermined by experience. This will necessarily involve the ability to generalize over past experiences and activate entirely new rules at every level of the default hierarchy.

One can reasonably doubt whether philosophical questions about the nature of explanation are addressed by defining and ultimately engineering systems capable of explanatory cognition. To the extent that these questions are understood in purely normative terms, they obviously arise in regard to systems built by humans with at least as much force as they arise for humans themselves. In defense of the cognitive science approach, however, one might assert that the simple philosophical question “What is explanation?” is not well-formed. If we accept some form of epistemic relativity, the proper form of such a question is always “What is explanation in cognitive system S?” Hence, doubts about the significance of explanatory cognition in some system S are best expressed as doubts about whether system S-type explanation models human cognition accurately enough to have any real significance for human beings.

e. Explanation, Naturalism and Scientific Realism

Historically, naturalism is associated with the inclination to reject any kind of explanation of natural phenomena that makes essential reference to unnatural phenomena. Insofar as this view is understood simply as the rejection of supernatural phenomena (for example the actions of gods, irreducibly spiritual substances, etc.) it is uncontroversial within the philosophy of science. However, when it is understood to entail the rejection of irreducibly non-natural properties, (that is, the normative properties of ‘rightness’ and ‘wrongness’ that we appeal to in making evaluative judgments about human thought and behavior), it is deeply problematic. The problem is just that the aim of the philosophy of science has always been to establish an a priori basis for making precisely these evaluative judgments about scientific inquiry itself. If they can not be made, then it follows that the goals of philosophical inquiry have been badly misconceived.

Most contemporary naturalists do not regard this as an insurmountable problem. Rather, they just reject the idea that philosophical inquiry can occur from a vantage point outside of science, and they deny that evaluative judgments we make about scientific reasoning and scientific concepts have any a priori status. Put differently, they think philosophical inquiry should be seen as a very abstract form of scientific inquiry, and they see the normative aspirations of philosophers as something that must be achieved by using the very tools and methods that philosophers have traditionally sought to justify.

The relevance of naturalism to the theory of explanation can be understood briefly as follows. Naturalism undermines the idea that knowledge is prior to understanding. If it is true that there will never be an inductive logic that can provide an a priori basis for calling an observed regularity a natural law, then there is, in fact, no independent way of establishing what is the case prior to understanding why it is the case. Because of this, some naturalists (for example, Sellars) have suggested a different way of thinking about the epistemic significance of explanation. The idea, basically, is that explanation is not something that occurs on the basis of pre-confirmed truths. Rather, successful explanation is actually part of the process of confirmation itself:

Our aim [is] to manipulate the three basic components of a world picture: (a) observed objects and events, (b) unobserved objects and events, (c) nomological connections, so as to achieve a maximum of “explanatory coherence.” In this reshuffle no item is sacred. (Sellars, 1962: p356)

Many naturalists have since embraced this idea of “inference to the best explanation” (IBE) as a fundamental principle of scientific reasoning. Moreover, they have put this principle to work as an argument for realism. Briefly, the idea is that if we treat the claim that unobservable entities exist as a scientific hypothesis, then it can be seen as providing an explanation of the success of theories that employ them: namely, the theories are successful because they are (approximately) true. Anti-realism, by contrast, can provide no such explanation; on this view theories that make reference to unobservables are not literally true and so the success of scientific theories remains mysterious. It should be noted here that scientific realism has a very different flavor from the more foundational form of realism discussed above. Traditional realists do not think of realism as a scientific hypothesis, but as an independent metaphysical thesis.

Although IBE has won many converts in recent years it is deeply problematic precisely because of the way it employs the concept of explanation. While most people find IBE to be intuitively plausible, the fact remains that no theory of explanation discussed above can make sense of the idea that we accept a claim on the basis of its explanatory power. Rather, every such view stipulates as a condition of having explanatory power at all that a statement must be true or well-confirmed. Moreover, van Fraassen has argued that even if we can make sense of IBE, it remains a highly dubious principle of inductive inference. The reason is that “inference to the best explanation” really can only mean “inference to the best explanation given to date.” We are unable to compare proposed explanations to others that no one has yet thought of, and for this reason the property of being the best explanation can not be an objective measure of the likelihood that it is true.

One way of responding to these criticisms is to observe that Sellars’ concept of explanatory coherence is based on a view about the nature of understanding that simply eludes the standard models of explanation. According to this view an explanation increases our understanding, not simply by being the correct answer to a particular question, but by increasing the coherence of our entire belief system. This view has been developed in the context of traditional epistemology (Harman, Lehrer) as well as the philosophy of science (Thagard, Kitcher). In the latter context, the terms “explanatory unification” and “consilience” have been introduced to promote the idea that good explanations necessarily tend to produce a more unified body of knowledge. Although traditionalists will insist that there is no a priori basis for thinking that a unified or coherent set of beliefs is more likely to be true, (counterexamples are, in fact, easy to produce) this misses the point that most naturalists reject the possibility of establishing IBE, or any other inductive principle, on purely a priori grounds.

For critiques of naturalism, see the Social Science article.

5. The Current State of the Theory of Explanation

This brief summary may leave the reader with the impression that philosophers are hopelessly divided on the nature of explanation, but this is not really the case. Most philosophers of science would agree that our understanding of explanation is far better now than it was in 1948 when Hempel and Oppenheim published “Studies in the Logic of Explanation.” While it serves expository purposes to represent the DN model and each of its successors as fatally flawed, this should not obscure the fact that these theories have brought real advances in understanding which succeeding models are required to preserve. At this point, fundamental disagreements on the nature of explanation fall into one of two categories. First, there are metaphysical disagreements. Realists and anti-realists continue to differ over what sort of ontological commitments one makes in accepting an explanation. Second, there are meta-philosophical disagreements. Naturalists and non-naturalists remain at odds concerning the relevance of scientific inquiry ( namely, inquiry into the way scientists, ordinary people and computers actually think) to a philosophical theory of explanation. These disputes are unlikely to be resolved anytime soon. Fortunately, however, the significance of further research into the logical and cognitive structure of explanation does not depend on their outcome.

6. References and Further Reading

  • Achinstein, Peter (1983) The Nature of Explanation. New York: Oxford University Press.
  • Belnap and Steele (1976) The Logic of Questions and Answers. New Haven: Yale University
  • Bromberger, Sylvain (1966) “Why-Questions,” In Baruch A. Brody, ed., Readings in the Philosophy of Science, 66-84. Englewood Cliffs: Prentice Hall, Inc..
  • Brody, Baruch A. (1970) Readings in the Philosophy of Science. Englewood Cliffs, N.J.: Prentice Hall
  • Duhem, Pierre (1962) The Aim and Structure of Physical Theory. New York:
  • Friedman, Michael (1974 ) “Explanation and Scientific Understanding.” Journal of Philosophy 71: 5-19.
  • Harman, Gilbert (1965) “The Inference to the Best Explanation.” Philosophical Review, 74: 88-95.
  • Hempel, Carl G. and Oppenheim, Paul (1948) “Studies in the Logic of Explanation.” In Brody p. 8-38.
  • Hempel, Carl G. (1965) Aspects of Scientific Explanation and other Essays in the Philosophy of Science. New York: Free Press.
  • Holland, John; Holyoak, Keith; Nisbett, Richard; Thagard, Paul (1986) Induction: Processes of Inference, Learning, and Discovery. Cambridge: MIT Press
  • Hume, David (1977) An Enquiry Concerning Human Understanding. Indianapolis: Hackett
  • Kitcher, Philip (1981) “Explanatory Unification.” Philosophy of Science 48:507-531.
  • Lehrer, Keith (1990) Theory of Knowledge. Boulder: West View Press.
  • Pitt, Joseph C. (1988) Theories of Explanation. Oxford: Oxford University Press.
  • Quine, W. V. (1969) “Epistemology Naturalized.” In Ontological Relativity and Other Essays. New York: Columbia University Press: 69-90.
  • Salmon, Wesley (1984) Scientific Explanation and the Causal Structure of the World. Princeton: Princeton University Press.
  • Salmon, Wesley (1990) Four Decades of Scientific Explanation. Minneapolis: University of Minnesota Press.
  • Scriven, M (1959) “Truisms as the Grounds for Historical Explanations.” In P. Gardiner (Ed.), Theories of History: Readings from Classical and Contemporary Sources, New York: Free Press, pp. 443-475.
  • Sellars, Wilfred (1962) Science, Perception, and Reality. New York: Humanities Press.
  • Stich, Stephen (1983) From Folk Psychology to Cognitive Science. Cambridge: The MIT Press.
  • Thagard, Paul (1988) Computational Philosophy of Science. Cambridge: MIT Press.
  • van Fraassen, Bas C. (1980) The Scientific Image. Oxford: Clarendon Press.
  • van Fraassen, Bas C. (1989) Laws and Symmetry. Oxford: Clarendon Press.

Author Information

G. Randolph Mayes
Email: mayesgr@csus.edu
California State University Sacramento
U. S. A.

Logical Problem of Evil

The existence of evil and suffering in our world seems to pose a serious challenge to belief in the existence of a perfect God. If God were all-knowing, it seems that God would know about all of the horrible things that happen in our world. If God were all-powerful, God would be able to do something about all of the evil and suffering. Furthermore, if God were morally perfect, then surely God would want to do something about it. And yet we find that our world is filled with countless instances of evil and suffering.  These facts about evil and suffering seem to conflict with the orthodox theist claim that there exists a perfectly good God. The challenge posed by this apparent conflict has come to be known as the problem of evil.

This article addresses one form of that problem that is prominent in recent philosophical discussions–that the conflict that exists between the claims of orthodox theism and the facts about evil and suffering in our world is a logical one. This is the “logical problem of evil.”

The article clarifies the nature of the logical problem of evil and considers various theistic responses to the problem. Special attention is given to the free will defense, which has been the most widely discussed theistic response to the logical problem of evil.

Table of Contents

  1. Introducing the Problem
  2. Logical Consistency
  3. Logical Consistency and the Logical Problem of Evil
  4. Plantinga’s Free Will Defense
  5. Divine Omnipotence and the Free Will Defense
  6. An Objection: Free Will and Natural Evil
  7. Evaluating the Free Will Defense
  8. Was Plantinga’s Victory Too Easy?
  9. Other Responses to the Logical Problem of Evil
  10. Problems with the Free Will Defense
  11. References and Further Reading
    1. References
    2. Further Reading

1. Introducing the Problem

Journalist and best-selling author Lee Strobel commissioned George Barna, the public-opinion pollster, to conduct a nationwide survey. The survey included the question “If you could ask God only one question and you knew he would give you an answer, what would you ask?” The most common response, offered by 17% of those who could think of a question was “Why is there pain and suffering in the world?” (Strobel 2000, p. 29). If God is all-powerful, all-knowing and perfectly good, why does he let so many bad things happen? This question raises what philosophers call “the problem of evil.”

It would be one thing if the only people who suffered debilitating diseases or tragic losses were the likes of Adolf Hitler, Joseph Stalin or Osama Bin Laden. As it is, however, thousands of good-hearted, innocent people experience the ravages of violent crime, terminal disease, and other evils. Michael Peterson (1998, p. 1) writes,

Something is dreadfully wrong with our world. An earthquake kills hundreds in Peru. A pancreatic cancer patient suffers prolonged, excruciating pain and dies. A pit bull attacks a two-year-old child, angrily ripping his flesh and killing him. Countless multitudes suffer the ravages of war in Somalia. A crazed cult leader pushes eighty-five people to their deaths in Waco, Texas. Millions starve and die in North Korea as famine ravages the land. Horrible things of all kinds happen in our world—and that has been the story since the dawn of civilization.

Peterson (1998, p. 9) claims that the problem of evil is a kind of “moral protest.” In asking “How could God let this happen?” people are often claiming “It’s not fair that God has let this happen.” Many atheists try to turn the existence of evil and suffering into an argument against the existence of God. They claim that, since there is something morally problematic about a morally perfect God allowing all of the evil and suffering we see, there must not be a morally perfect God after all. The popularity of this kind of argument has led Hans Küng (1976, p. 432) to call the problem of evil “the rock of atheism.” This essay examines one form the argument from evil has taken, which is known as “the logical problem of evil.”

In the second half of the twentieth century, atheologians (that is, persons who try to prove the non-existence of God) commonly claimed that the problem of evil was a problem of logical inconsistency. J. L. Mackie (1955, p. 200), for example, claimed,

Here it can be shown, not that religious beliefs lack rational support, but that they are positively irrational, that several parts of the essential theological doctrine are inconsistent with one another.

H. J. McCloskey (1960, p. 97) wrote,

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

Mackie and McCloskey can be understood as claiming that it is impossible for all of the following statements to be true at the same time:

(1) God is omnipotent (that is, all-powerful).

(2) God is omniscient (that is, all-knowing).

(3) God is perfectly good.

(4) Evil exists.

Any two or three of them might be true at the same time; but there is no way that all of them could be true. In other words, (1) through (4) form a logically inconsistent set. What does it mean to say that something is logically inconsistent?

(5) A set of statements is logically inconsistent if and only if: (a) that set includes a direct contradiction of the form “p & not-p”; or (b) a direct contradiction can be deduced from that set.

None of the statements in (1) through (4) directly contradicts any other, so if the set is logically inconsistent, it must be because we can deduce a contradiction from it. This is precisely what atheologians claim to be able to do.

Atheologians claim that a contradiction can easily be deduced from (1) through (4) once we think through the implications of the divine attributes cited in (1) through (3). They reason as follows:

(6) If God is omnipotent, he would be able to prevent all of the evil and suffering in the world.

(7) If God is omniscient, he would know about all of the evil and suffering in the world and would know how to eliminate or prevent it.

(8) If God is perfectly good, he would want to prevent all of the evil and suffering in the world.

Statements (6) through (8) jointly imply that if the perfect God of theism really existed, there would not be any evil or suffering. However, as we all know, our world is filled with a staggering amount of evil and suffering. Atheologians claim that, if we reflect upon (6) through (8) in light of the fact of evil and suffering in our world, we should be led to the following conclusions:

(9) If God knows about all of the evil and suffering in the world, knows how to eliminate or prevent it, is powerful enough to prevent it, and yet does not prevent it, he must not be perfectly good.

(10) If God knows about all of the evil and suffering, knows how to eliminate or prevent it, wants to prevent it, and yet does not do so, he must not be all- powerful.

(11) If God is powerful enough to prevent all of the evil and suffering, wants to do so, and yet does not, he must not know about all of the suffering or know how to eliminate or prevent it—that is, he must not be all-knowing.

From (9) through (11) we can infer:

(12) If evil and suffering exist, then God is either not omnipotent, not omniscient, or not perfectly good.

Since evil and suffering obviously do exist, we get:

(13) God is either not omnipotent, not omniscient, or not perfectly good.

Putting the point more bluntly, this line of argument suggests that—in light of the evil and suffering we find in our world—if God exists, he is either impotent, ignorant or wicked. It should be obvious that (13) conflicts with (1) through (3) above. To make the conflict more clear, we can combine (1), (2) and (3) into the following single statement.

(14) God is omnipotent, omniscient and perfectly good.

There is no way that (13) and (14) could both be true at the same time. These statements are logically inconsistent or contradictory.

Statement (14) is simply the conjunction of (1) through (3) and expresses the central belief of classical theism. However, atheologians claim that statement ( 13) can also be derived from (1) through (3). [Statements (6) through (12) purport to show how this is done.] (13) and (14), however, are logically contradictory. Because a contradiction can be deduced from statements (1) through (4) and because all theists believe (1) through (4), atheologians claim that theists have logically inconsistent beliefs. They note that philosophers have always believed it is never rational to believe something contradictory. So, the existence of evil and suffering makes theists’ belief in the existence of a perfect God irrational.

Can the believer in God escape from this dilemma? In his best-selling book When Bad Things Happen to Good People, Rabbi Harold Kushner (1981) offers the following escape route for the theist: deny the truth of (1). According to this proposal, God is not ignoring your suffering when he doesn’t act to prevent it because—as an all-knowing God—he knows about all of your suffering. As a perfectly good God, he also feels your pain. The problem is that he can’t do anything about it because he’s not omnipotent. According to Kushner’s portrayal, God is something of a kind-hearted wimp. He’d like to help, but he doesn’t have the power to do anything about evil and suffering. Denying the truth of either (1), (2), (3) or ( 4) is certainly one way for the theist to escape from the logical problem of evil, but it would not be a very palatable option to many theists. In the remainder of this essay, we will examine some theistic responses to the logical problem of evil that do not require the abandonment of any central tenet of theism.

2. Logical Consistency

Theists who want to rebut the logical problem of evil need to find a way to show that (1) through (4)—perhaps despite initial appearances—are consistent after all. We said above that a set of statements is logically inconsistent if and only if that set includes a direct contradiction or a direct contradiction can be deduced from that set. That means that a set of statements is logically consistent if and only if that set does not include a direct contradiction and a direct contradiction cannot be deduced from that set. In other words,

(15) A set of statements is logically consistent if and only if it is possible for all of them to be true at the same time.

Notice that (15) does not say that consistent statements must actually be true at the same time. They may all be false or some may be true and others false. Consistency only requires that it be possible for all of the statements to be true (even if that possibility is never actualized). (15) also doesn’t say anything about plausibility. It does not require the joint of a consistent set of statements to be plausible. It may be exceedingly unlikely or improbable that a certain set of statements should all be true at the same time. But improbability is not the same thing as impossibility. As long as there is nothing contradictory about their conjunction, it will be possible (even if unlikely) for them all to be true at the same time.

This brief discussion allows us to see that the atheological claim that statements (1) through (4) are logically inconsistent is a rather strong one. The atheologian is maintaining that statements (1) through (4) couldn’t possibly all be true at the same time. In other words,

(16) It is not possible for God and evil to co-exist.

The logical problem of evil claims that God’s omnipotence, omniscience and supreme goodness would completely rule out the possibility of evil and that the existence of evil would do the same for the existence of a supreme being.

3. Logical Consistency and the Logical Problem of Evil

How might a theist go about demonstrating that (16) is false? Some theists suggest that perhaps God has a good reason for allowing the evil and suffering that he does. Not just any old reason can justify God’s allowing all of the evil and suffering we see. Mass murderers and serial killers typically have reasons for why they commit horrible crimes, but they do not have good reasons. It’s only when people have morally good reasons that we excuse or condone their behavior. Philosophers of religion have called the kind of reason that could morally justify God’s allowing evil and suffering a “morally sufficient reason.”

Consider the following statement.

(17) It is possible that God has a morally sufficient reason for allowing evil.

If God were to have a morally sufficient reason for allowing evil, would it be possible for God to be omnipotent, omniscient, perfectly good, and yet for there to be evil and suffering? Many theists answer “Yes.” If (17) were true, (9) through (12) would have to be modified to read:

(9′) If God knows about all of the evil and suffering in the world, knows how to eliminate or prevent it, is powerful enough to prevent it, and yet does not prevent it, he must not be perfectly good—unless he has a morally sufficient reason for allowing evil.

(10′) If God knows about all of the evil and suffering, knows how to eliminate or prevent it, wants to prevent it, and yet does not do so, he must not be all-powerful—unless he has a morally sufficient reason for allowing evil.

(11′) If God is powerful enough to prevent all of the evil and suffering, wants to do so, and yet does not, he must not know about all of the suffering or know how to eliminate or prevent it (that is, he must not be all-knowing)—unless he has a morally sufficient reason for allowing evil.

(12′) If evil and suffering exist, then either: a) God is not omnipotent, not omniscient, or not perfectly good; or b) God has a morally sufficient reason for allowing evil.

From (9′) through (12′), it is not possible to conclude that God does not exist. The most that can be concluded is that either God does not exist or God has a morally sufficient reason for allowing evil. So, some theists suggest that the real question behind the logical problem of evil is whether (17) is true.

If it is possible that God has a morally sufficient reason for allowing evil and suffering to occur, then the logical problem of evil fails to prove the non-existence of God. If, however, it is not possible that God has a morally sufficient reason for allowing evil, then it seems that (13) would be true: God is either not omnipotent, not omniscient, or not perfectly good.

An implicit assumption behind this part of the debate over the logical problem of evil is the following:

(18) It is not morally permissible for God to allow evil and suffering to occur unless he has a morally sufficient reason for doing so.

Is (18) correct? Many philosophers think so. It is difficult to see how a God who allowed bad things to happen just for the heck of it could be worthy of reverence, faith and worship. If God had no morally sufficient reason for allowing evil, then if we made it to the pearly gates some day and asked God why he allowed so many bad things to happen, he would simply have to shrug his shoulders and say “There was no reason or point to all of that suffering you endured. I just felt like letting it happen.” This callous image of God is difficult to reconcile with orthodox theism’s portrayal of God as a loving Father who cares deeply about his creation. (18), combined with the assumption that God does not have a morally sufficient reason for allowing evil, yields

(19) God is doing something morally inappropriate or blameworthy in allowing evil to occur,

and

(20) If God is doing something morally inappropriate or blameworthy, then God is not perfectly good.

If (19) and (20) are true, then the God of orthodox theism does not exist.

What would it look like for God to have a morally sufficient reason for allowing evil? Let’s first consider a down-to-earth example of a morally sufficient reason a human being might have before moving on to the case of God. Suppose a gossipy neighbor were to tell you that Mrs. Jones just allowed someone to inflict unwanted pain upon her child. Your first reaction to this news might be one of horror. But once you find out that the pain was caused by a shot that immunized Mrs. Jones’ infant daughter against polio, you would no longer view Mrs. Jones as a danger to society. Generally, we believe the following moral principle to be true.

(21) Parents should not inflict unwanted pain upon their children.

In the immunization case, Mrs. Jones has a morally sufficient reason for overriding or suspending this principle. A higher moral duty—namely, the duty of protecting the long-term health of her child—trumps the lesser duty expressed by (21). If God has a morally sufficient reason for allowing evil and suffering, theists claim, it will probably look something like Mrs. Jones’.

4. Plantinga’s Free Will Defense

What might God’s reason be for allowing evil and suffering to occur? Alvin Plantinga (1974, 1977) has offered the most famous contemporary philosophical response to this question. He suggests the following as a possible morally sufficient reason:

(MSR1) God’s creation of persons with morally significant free will is something of tremendous value. God could not eliminate much of the evil and suffering in this world without thereby eliminating the greater good of having created persons with free will with whom he could have relationships and who are able to love one another and do good deeds.

(MSR1) claims that God allows some evils to occur that are smaller in value than a greater good to which they are intimately connected. If God eliminated the evil, he would have to eliminate the greater good as well. God is pictured as being in a situation much like that of Mrs. Jones: she allowed a small evil (the pain of a needle) to be inflicted upon her child because that pain was necessary for bringing about a greater good (immunization against polio). Before we try to decide whether (MSR1) can justify God in allowing evil and suffering to occur, some of its key terms need to be explained.

To begin with, (MSR1) presupposes the view of free will known as “libertarianism”:

(22) Libertarianism=df the view that a person is free with respect to a given action if and only if that person is both free to perform that action and free to refrain from performing that action; in other words, that person is not determined to perform or refrain from that action by any prior causal forces.

Although the term “libertarianism” isn’t exactly a household name, the view it expresses is commonly taken to be the average person’s view of free will. It is the view that causal determinism is false, that—unlike robots or other machines—we can make choices that are genuinely free.

According to Plantinga, libertarian free will is a morally significant kind of free will. An action is morally significant just when it is appropriate to evaluate that action from a moral perspective (for example, by ascribing moral praise or blame). Persons have morally significant free will if they are able to perform actions that are morally significant. Imagine a possible world where God creates creatures with a very limited kind of freedom. Suppose that the persons in this world can only choose good options and are incapable of choosing bad options. So, if one of them were faced with three possible courses of action—two of which were morally good and one of which was morally bad—this person would not be free with respect to the morally bad option. That is, that person would not be able to choose any bad option even if they wanted to. Our hypothetical person does, however, have complete freedom to decide which of the two good courses of action to take. Plantinga would deny that any such person has morally significant free will. People in this world always perform morally good actions, but they deserve no credit for doing so. It is impossible for them to do wrong. So, when they do perform right actions, they should not be praised. It would be ridiculous to give moral praise to a robot for putting your soda can in the recycle bin rather than the trash can, if that is what it was programmed to do. Given the program running inside the robot and its exposure to an empty soda can, it’s going to take the can to the recycle bin. It has no choice about the matter. Similarly, the people in the possible world under consideration have no choice about being good. Since they are pre-programmed to be good, they deserve no praise for it.

According to Plantinga, people in the actual world are free in the most robust sense of that term. They are fully free and responsible for their actions and decisions. Because of this, when they do what is right, they can properly be praised. Moreover, when they do wrong, they can be rightly blamed or punished for their actions.

It is important to note that (MSR1) directly conflicts with a common assumption about what kind of world God could have created. Many atheologians believe that God could have created a world that was populated with free creatures and yet did not contain any evil or suffering. Since this is something that God could have done and since a world with free creatures and no evil is better than a world with free creatures and evil, this is something God should have done. Since he did not do so, God did something blameworthy by not preventing or eliminating evil and suffering (if indeed God exists at all). In response to this charge, Plantinga maintains that there are some worlds God cannot create. In particular, he cannot do the logically impossible. (MSR1) claims that God cannot get rid of much of the evil and suffering in the world without also getting rid of morally significant free will. (The question of whether God’s omnipotence is compatible with the claim that God cannot do the logically impossible will be addressed below.)

Consider the following descriptions of various worlds. We need to determine which ones describe worlds that are logically possible and which ones describe impossible worlds. The worlds described will be possible if the descriptions of those worlds are logically consistent. If the descriptions of those worlds are inconsistent or contradictory, the worlds in question will be impossible.

W1: (a) God creates persons with morally significant free will;
(b) God does not causally determine people in every situation to choose what is right and to avoid what is wrong; and
(c) There is evil and suffering in W1.
W2: (a) God does not create persons with morally significant free will;
(b) God causally determines people in every situation to choose what is right and to avoid what is wrong; and
(c) There is no evil or suffering in W2.
W3: (a) God creates persons with morally significant free will;
(b) God causally determines people in every situation to choose what is right and to avoid what is wrong; and
(c) There is no evil or suffering in W3.
W4: (a) God creates persons with morally significant free will;
(b) God does not causally determine people in every situation to choose what is right and to avoid what is wrong; and
(c) There is no evil or suffering in W4.

Let’s figure out which of these worlds are possible. Is W1 possible? Yes. In fact, on the assumption that God exists, it seems to describe the actual world. People have free will in this world and there is evil and suffering. God has obviously not causally determined people in every situation to choose what is right and to avoid what is wrong because there would be no evil or suffering if he had. So, W1 is clearly possible.

What about W2? Granting Plantinga’s assumption that human beings are genuinely free creatures, the first thing to notice about W2 is that you and I would not exist in such a world. We are creatures with morally significant free will. If you took away our free will, we would no longer be the kinds of creatures we are. We would not be human in that world. Returning to the main issue, there does not seem to be anything impossible about God causally determining people in every situation to choose what is right and to avoid what is wrong. It seems clearly possible that whatever creatures God were to make in such a world would not have morally significant free will and that there would be no evil or suffering. W2, then, is also possible.

Now let’s consider the philosophically more important world W3. Is W3 possible? Plantinga says, “No.” Parts (a) and (b) of the description of W3 are, he claims, logically inconsistent. In W3 God causally determines people in every situation to choose what is right and to avoid what is wrong. People in this world couldn’t do morally bad things if they wanted to. And yet part of what it means for creatures to have morally significant free will is that they can do morally bad things whenever they want to. Think about what it would be like to live in W3. If you wanted to tell a lie, you would not be able to do so. Causal forces beyond your control would make you tell the truth on every occasion. You would also be physically incapable of stealing your neighbor’s belongings. In fact, since W3 is a world without evil of any kind and since merely wanting to lie or steal is itself a bad thing, the people in W3 would not even be able to have morally bad thoughts or desires. If God is going to causally determine people in every situation to choose what is right and to avoid what is wrong in W3, there is no way that he could allow them to be free in a morally significant sense. Peterson (1998, p. 39) writes,

if a person is free with respect to an action A, then God does not bring it about or cause it to be the case that she does A or refrains from doing A. For if God brings it about or causes it to be the case in any manner whatsoever that the person either does A or does not do A, then that person is not really free.

God can’t have it both ways. He can create a world with free creatures or he can causally determine creatures to choose what is right and to avoid what is wrong every time; but he can’t do both. God can forcibly eliminate evil and suffering (as in W2) only at the cost of getting rid of free will.

The fact that W3 is impossible is centrally important to Plantinga’s Free Will Defense. Atheologians, as we saw above, claim that God is doing something morally blameworthy by allowing evil and suffering to exist in our world. They charge that a good God would and should eliminate all evil and suffering. The assumption behind this charge is that, in so doing, God could leave human free will untouched. Plantinga claims that when we think through what robust free will really amounts to, we can see that atheologians are (unbeknownst to themselves) asking God to do the logically impossible. Being upset that God has not done something that is logically impossible is, according to Plantinga, misguided. He might say, “Of course he hasn’t done that. It’s logically impossible!” As we will see in section V below, Plantinga maintains that divine omnipotence involves an ability to do anything that is logically possible, but it does not include the ability to do the logically impossible.

Consider W4. Is it possible? Yes! Most people are tempted to answer “No” when first exposed to this description, but think carefully about it. Although there is no evil and suffering in this world, it is not because God causally determines people in every situation to choose what is right and to avoid what is wrong. In this world God has given creatures morally significant free will without any strings attached. If there is nothing bad in this world, it can only be because the free creatures that inhabit this world have—by their own free will—always chosen to do the right thing. Is this kind of situation really possible? Yes. Something is logically possible just when it can be conceived without contradiction. There is nothing contradictory about supposing that there is a possible world where free creatures always make the right choices and never go wrong. Of course, it’s highly improbable, given what we know about human nature. But improbability and impossibility, as we said above, are two different things. In fact, according to the Judeo-Christian story of Adam and Eve, it was God’s will that significantly free human beings would live in the Garden of Eden and always obey God’s commands. If Adam and Eve had followed God’s plan, then W4 would have been the actual world.

It is important to note certain similarities between W1 and W4. Both worlds are populated by creatures with free will and in neither world does God causally determine people to always choose what is right and to avoid what is wrong. The only difference is that, in W1, the free creatures choose to do wrong at least some of the time, and in W4, the free creatures always make morally good decisions. In other words, whether there is immorality in either one of these worlds depends upon the persons living in these worlds—not upon God. According to Plantinga’s Free Will Defense, there is evil and suffering in this world because people do immoral things. People deserve the blame for the bad things that happen—not God. Plantinga (1974, p. 190) writes,

The essential point of the Free Will Defense is that the creation of a world containing moral good is a cooperative venture; it requires the uncoerced concurrence of significantly free creatures. But then the actualization of a world W containing moral good is not up to God alone; it also depends upon what the significantly free creatures of W would do.

Atheist philosophers such as Anthony Flew and J. L. Mackie have argued that an omnipotent God should be able to create a world containing moral good but no moral evil. As Flew (1955, p. 149) put it, “If there is no contradiction here then Omnipotence might have made a world inhabited by perfectly virtuous people.” Mackie (1955, p. 209) writes,

If God has made men such that in their free choices they sometimes prefer what is good and sometimes what is evil, why could he not have made men such that they always freely choose the good? If there is no logical impossibility in a man’s choosing the good on one, or on several occasions, there cannot be a logical impossibility in his freely choosing the good on every occasion. God was not, then, faced with a choice between making innocent automata and making beings who, in acting freely, would sometimes go wrong: there was open to him the obviously better possibility of making beings who would act freely but always go right. Clearly, his failure to avail himself of this possibility is inconsistent with his being both omnipotent and perfectly good.

According to Plantinga, Mackie is correct in thinking that there is nothing impossible about a world in which people always freely choose to do right. That’s W4. He is also correct in thinking that God’s only options were not “making innocent automata and making beings who, in acting freely, would sometimes go wrong.” In other words, worlds like W1 and W2 are not the only logically possible worlds. But Plantinga thinks he is mistaken in thinking that W3 is possible and in not recognizing important differences between W3 and W4. People can freely choose to do what is right only when their actions are not causally determined.

We might wonder why God would choose to risk populating his new creation with free creatures if he knew there was a chance that human immorality could foul the whole thing up. C. S. Lewis (1943, p. 52) offers the following answer to this question:

Why, then, did God give them free will? Because free will, though it makes evil possible, is also the only thing that makes possible any love or goodness or joy worth having. A world of automata—of creatures that worked like machines—would hardly be worth creating. The happiness which God designs for His higher creatures is the happiness of being freely, voluntarily united to Him and to each other…. And for that they must be free. Of course, God knew what would happen if they used their freedom the wrong way: apparently He thought it worth the risk.

Plantinga concurs. He writes,

A world containing creatures who are sometimes significantly free (and freely perform more good than evil actions) is more valuable, all else being equal, than a world containing no free creatures at all. Now God can create free creatures, but he cannot cause or determine them to do only what is right. For if he does so, then they are not significantly free after all; they do not do what is right freely. To create creatures capable of moral good, therefore, he must create creatures capable of moral evil; and he cannot leave these creatures free to perform evil and at the same time prevent them from doing so…. The fact that these free creatures sometimes go wrong, however, counts neither against God’s omnipotence nor against his goodness; for he could have forestalled the occurrence of moral evil only by excising the possibility of moral good. (Plantinga 1974, pp. 166-167)

According to his Free Will Defense, God could not eliminate the possibility of moral evil without at the same time eliminating some greater good.

5. Divine Omnipotence and the Free Will Defense

Some scholars maintain that Plantinga has rejected the idea of an omnipotent God because he claims there are some things God cannot do—namely, logically impossible things. Plantinga, however, doesn’t take God’s omnipotence to include the power to do the logically impossible. He reasons as follows. Can God create a round square? Can he make 2 + 2 = 5? Can he create a stick that is not as long as itself? Can he make contradictory statements true? Can he make a rock so big he can’t lift it? In response to each of these questions, Plantinga’s answer is “No.” Each of the scenarios depicted in these questions is impossible: the objects or events in question couldn’t possibly exist. Omnipotence, according to Plantinga, is the power to do anything that is logically possible. The fact that God cannot do the logically impossible is not, Plantinga claims, a genuine limitation of God’s power. He would urge those uncomfortable with the idea of limitations on God’s power to think carefully about the absurd implications of a God who can do the logically impossible. If you think God really can make a round square, Plantinga would like to know what such a shape would look like. If God can make 2 + 2 = 5, then what would 2 + 3 equal? If God can make a rock so big that he can’t lift it, exactly how big would that rock be? What Plantinga would really like to see is a stick that is not as long as itself. Each of these things seems to be absolutely, positively impossible.

Many theists maintain that it is a mistake to think that God’s omnipotence requires that the blank in the following sentence must never be filled in:

(23) God is not able to ______________.

According to orthodox theism, all of the following statements (and many more like them) are true.

(24) God is not able to lie.

(25) God is not able to cheat.

(26) God is not able to steal.

(27) God is not able to be unjust.

(28) God is not able to be envious.

(29) God is not able to fail to know what is right.

(30) God is not able to fail to do what he knows to be right.

(31) God is not able to have false beliefs about anything.

(32) God is not able to be ignorant.

(33) God is not able to be unwise.

(34) God is not able to cease to exist.

(35) God is not able to make a mistake of any kind.

According to classical theism, the fact that God cannot do any of these things is not a sign of weakness. On the contrary, theists claim, it is an indication of his supremacy and uniqueness. These facts reveal that God is, in St. Anselm’s (1033-1109 A.D.) words, “that being than which none greater can be conceived.” Plantinga adds the following two items to the list of things God cannot do.

(36) God is not able to contradict himself.

(37) God is not able to make significantly free creatures and to causally determine that they will always choose what is right and avoid what is wrong.

These inabilities follow not from God’s omnipotence alone but from his omnipotence in combination with his omniscience, moral perfection and the other divine perfections God possesses.

6. An Objection: Free Will and Natural Evil

At this point, someone might raise the following objection.

Plantinga can’t put all the blame for pain and suffering on human beings. Although much of the evil in this world results from the free choices people make, some of it does not. Cancer, AIDS, famines, earthquakes, tornadoes, and many other kinds of diseases and natural disasters are things that happen without anybody choosing to bring them about. Plantinga’s Free Will Defense, then, cannot serve as a morally sufficient reason for God’s allowing disease and natural disasters.

This objection leads us to draw a distinction between the following two kinds of evil and suffering:

(38) Moral evil =df evil or suffering that results from the immoral choices of free creatures.

(39) Natural evil =df evil or suffering that results from the operations of nature or nature gone awry.

According to Edward Madden and Peter Hare (1968, p. 6), natural evil includes

the terrible pain, suffering, and untimely death caused by events like fire, flood, landslide, hurricane, earthquake, tidal wave, and famine and by diseases like cancer, leprosy and tetanus—as well as crippling defects and deformities like blindness, deafness, dumbness, shriveled limbs, and insanity by which so many sentient beings are cheated of the full benefits of life.

Moral evil, they continue, includes

both moral wrong-doing such as lying, cheating, stealing, torturing, and murdering and character defects like greed, deceit, cruelty, wantonness, cowardice, and selfishness. (ibid.)

It seems that, although Plantinga’s Free Will Defense may be able to explain why God allows moral evil to occur, it cannot explain why he allows natural evil. If God is going to allow people to be free, it seems plausible to claim that they need to have the capacity to commit crimes and to be immoral. However, it is not clear that human freedom requires the existence of natural evils like deadly viruses and natural disasters. How would my free will be compromised if tomorrow God completely eliminated cancer from the face of the Earth? Do people really need to die from heart disease and flash floods in order for us to have morally significant free will? It is difficult to see that they do. So, the objection goes, even if Plantinga’s Free Will Defense explains why God allows moral evil, it does not explain why he allows natural evil.

Plantinga, however, thinks that his Free Will Defense can be used to solve the logical problem of evil as it pertains to natural evil. Here is a possible reason God might have for allowing natural evil:

(MSR2) God allowed natural evil to enter the world as part of Adam and Eve’s punishment for their sin in the Garden of Eden.

(Those familiar with Plantinga’s work will notice that this is not the same reason Plantinga offers for God’s allowing natural evil. They will also be able to guess why a different reason was chosen in this article.) The sin of Adam and Eve was a moral evil. (MSR2) claims that all natural evil followed as the result of the world’s first moral evil. So, if it is plausible to think that Plantinga’s Free Will Defense solves the logical problem of evil as it pertains to moral evil, the current suggestion is that it is plausible also to think that it solves the logical problem of evil as it pertains to natural evil because all of the worlds evils have their source in moral evil.

(MSR2) represents a common Jewish and Christian response to the challenge posed by natural evil. Death, disease, pain and even the tiresome labor involved in gleaning food from the soil came into the world as a direct result of Adam and Eve’s sin. The emotional pain of separation, shame and broken relationships are also consequences that first instance of moral evil. In fact, according to the first chapter of Genesis, animals in the Garden of Eden didn’t even kill each other for food before the Fall. In the description of the sixth day of creation God says to Adam and Eve,

I give you every seed-bearing plant on the face of the whole earth and every tree that has fruit with seed in it. They will be yours for food. And to all the beasts of the earth and all the birds of the air and all the creatures that move on the ground—everything that has the breath of life in it—I give every green plant for food. (Gen. 1:29-30, NIV)

In other words, the Garden of Eden is pictured as a peaceful, vegetarian commune until moral evil entered the world and brought natural evil with it. It seems, then, that the Free Will Defense might be adapted to rebut the logical problem of natural evil after all.

Some might think that (MSR2) is simply too far-fetched to be taken seriously. [If you think (MSR2) is far-fetched, see Plantinga’s (1974, pp. 191-193) own suggestions about who is responsible for natural evil.] Natural disasters, it will be said, bear no essential connection to human wrongdoing, so it is absurd to think that moral evil could somehow bring natural evil into the world. Moreover, (MSR2) would have us believe that there were real persons named Adam and Eve and that they actually performed the misdeeds attributed to them in the book of Genesis. (MSR2) seems to be asking us to believe things that only a certain kind of theist would believe. The implausibility of (MSR2) is taken by some to be a serious defect.

7. Evaluating the Free Will Defense

What should we make of Plantinga’s Free Will Defense? Does it succeed in solving the logical problem of evil as it pertains to either moral or natural evil? In order to answer these questions, let’s briefly consider what it would take for any response to the logical problem of evil to be successful. Recall that the logical problem of evil can be summarized as the following claim:

(16) It is not possible for God and evil to co-exist.

When someone claims

(40) Situation x is impossible,

what is the least that you would have to prove in order to show that (40) is false? If you could point to an actual instance of the type of situation in question, that would certainly prove that (40) is false. But you don’t even need to trouble yourself with finding an actual x. All you need is a possible x. The claim

(41) Situation x is possible

is the contradictory of (40). The two claims are logical opposites. If one is true, the other is false; if one is false, the other is true. If you can show that x is merely possible, you will have refuted (40).

How would you go about finding a logically possible x? Philosophers claim that you only need to use your imagination. If you can conceive of a state of affairs without there being anything contradictory about what you’re imagining, then that state of affairs must be possible. In a word, conceivability is your guide to possibility.

Since the logical problem of evil claims that it is logically impossible for God and evil to co-exist, all that Plantinga (or any other theist) needs to do to combat this claim is to describe a possible situation in which God and evil co-exist. That situation doesn’t need to be actual or even realistic. Plantinga doesn’t need to have a single shred of evidence supporting the truth of his suggestion. All he needs to do is give a logically consistent description of a way that God and evil can co-exist. Plantinga claims God and evil could co-exist if God had a morally sufficient reason for allowing evil. He suggests that God’s morally sufficient reason might have something to do with humans being granted morally significant free will and with the greater goods this freedom makes possible. All that Plantinga needs to claim on behalf of (MSR1) and (MSR2) is that they are logically possible (that is, not contradictory).

Does Plantinga’s Free Will Defense succeed in describing a possible state of affairs in which God has a morally sufficient reason for allowing evil? It certainly seems so. In fact, it appears that even the most hardened atheist must admit that (MSR1) and (MSR2) are possible reasons God might have for allowing moral and natural evil. They may not represent God’s actual reasons, but for the purpose of blocking the logical problem of evil, it is not necessary that Plantinga discover God’s actual reasons. In the last section we noted that many people will find (MSR2)’s explanation of natural evil extremely difficult to believe because it assumes the literal existence of Adam and Eve and the literal occurrence of the Fall. However, since (MSR2) deals with the logical problem of evil as it pertains to natural evil (which claims that it is logically impossible for God and natural evil to co-exist), it only needs to sketch a possible way for God and natural evil to co-exist. The fact that (MSR2) may be implausible does not keep it from being possible. Since the situation described by (MSR2) is clearly possible, it appears that it successfully rebuts the logical problem of evil as it pertains to natural evil.

Since (MSR1) and (MSR2) together seem to show contra the claims of the logical problem of evil how it is possible for God and (moral and natural) evil to co-exist, it seems that the Free Will Defense successfully defeats the logical problem of evil.

8. Was Plantinga’s Victory Too Easy?

Some philosophers feel that Plantinga’s apparent victory over the logical problem of evil was somehow too easy. His solution to the logical problem of evil leaves them feeling unsatisfied and suspicious that they have been taken in by some kind of sleight of hand. For example, J. L. Mackie one of the most prominent atheist philosophers of the mid-twentieth-century and a key exponent of the logical problem of evil has this to say about Plantinga’s Free Will Defense:

Since this defense is formally [that is, logically] possible, and its principle involves no real abandonment of our ordinary view of the opposition between good and evil, we can concede that the problem of evil does not, after all, show that the central doctrines of theism are logically inconsistent with one another. But whether this offers a real solution of the problem is another question. (Mackie 1982, p. 154)

Mackie admits that Plantinga’s defense shows how God and evil can co-exist, that is, it shows that “the central doctrines of theism” are logically consistent after all. However, Mackie is reluctant to attribute much significance to Plantinga’s accomplishment. He expresses doubt about whether Plantinga has adequately dealt with the problem of evil.

Part of Mackie’s dissatisfaction probably stems from the fact that Plantinga only gives a possible reason for why God might have for allowing evil and suffering and does not provide any evidence for his claims or in any way try to make them plausible. Although sketching out mere possibilities without giving them any evidential support is typically an unsatisfactory thing to do in philosophy, it is not clear that Mackie’s unhappiness with Plantinga is completely warranted. It was, after all, Mackie himself who characterized the problem of evil as one of logical inconsistency:

Here it can be shown, not that religious beliefs lack rational support, but that they are positively irrational, that several parts of the essential theological doctrine are inconsistent with one another. (Mackie 1955, p. 200)

In response to this formulation of the problem of evil, Plantinga showed that this charge of inconsistency was mistaken. Even Mackie admits that Plantinga solved the problem of evil, if that problem is understood as one of inconsistency. It is, therefore, difficult to see why Plantinga’s Free Will Defense should be found wanting if that defense is seen as a response to the logical problem of evil. As an attempt to rebut the logical problem of evil, it is strikingly successful.

The dissatisfaction many have felt with Plantinga’s solution may stem from a desire to see Plantinga’s Free Will Defense respond more generally to the problem of evil and not merely to a single formulation of the problem. As an all-around response to the problem of evil, the Free Will Defense does not offer us much in the way of explanation. It leaves several of the most important questions about God and evil unanswered. The desire to see a theistic response to the problem of evil go beyond merely undermining a particular atheological argument is understandable. However, we should keep in mind that all parties admit that Plantinga’s Free Will Defense successfully rebuts the logical problem of evil as it was formulated by atheists during the mid-twentieth-century.

If there is any blame that needs to go around, it may be that some of it should go to Mackie and other atheologians for claiming that the problem of evil was a problem of inconsistency. The ease with which Plantinga undermined that formulation of the problem suggests that the logical formulation did not adequately capture the difficult and perplexing issue concerning God and evil that has been so hotly debated by philosophers and theologians. In fact, this is precisely the message that many philosophers took away from the debate between Plantinga and the defenders of the logical problem of evil. They reasoned that there must be more to the problem of evil than what is captured in the logical formulation of the problem. It is now widely agreed that this intuition is correct. Current discussions of the problem focus on what is called “the probabilistic problem of evil” or “the evidential problem of evil.” According to this formulation of the problem, the evil and suffering (or, in some cases, the amounts, kinds and distributions of evil and suffering) that we find in the world count as evidence against the existence of God (or make it improbable that God exists). Responding to this formulation of the problem requires much more than simply describing a logically possible scenario in which God and evil co-exist.

9. Other Responses to the Logical Problem of Evil

Plantinga’s Free Will Defense has been the most famous theistic response to the logical problem of evil because he did more to clarify the issues surrounding the logical problem than anyone else. It has not, however, been the only such response. Other solutions to the problem include John Hick’s (1977) soul-making theodicy. Hick rejects the traditional view of the Fall, which pictures humans as being created in a finitely perfect and finished state from which they disastrously fell away. Instead, Hick claims that human beings are unfinished and in the midst of being made all that God intended them to be. The long evolutionary process made humans into a distinguishable species capable of reasoning and responsibility, but they must now (as individuals) go through a second process of “spiritualization” or “soul-making,” during which they become “children of God.” According to Hick, the suffering and travails of this life are part of the divine plan of soul-making. A world full of suffering, trials and temptations is more conducive to the process of soul-making than a world full of constant pleasure and the complete absence of pain. Hick (1977, pp. 255-256) writes,

The value-judgment that is implicitly being invoked here is that one who has attained to goodness by meeting and eventually mastering temptations, and thus by rightly making responsible choices in concrete situations, is good in a richer and more valuable sense than would be one created ab initio in a state either of innocence or of virtue…. I suggest, then, that it is an ethically reasonable judgment… that human goodness slowly built up through personal histories of moral effort has a value in the eyes of the Creator which justifies even the long travail of the soul-making process.

Unlike Plantinga’s response to the logical problem of evil, which is merely a “defense” (that is, a negative attempt to undermine a certain atheological argument without offering a positive account of why God allows evil and suffering), Hick’s response is a “theodicy” (that is, a more comprehensive attempt to account for why God is justified in allowing evil and suffering).

Eleonore Stump (1985) offers another response to the problem of evil that brings a range of distinctively Christian theological commitments to bear on the issue. She claims that a world full of evil and suffering is “conducive to bringing about both the initial human [receipt of God’s gift of salvation] and also the subsequent process of sanctification” (Stump 1985, p. 409). She writes,

Natural evil—the pain of disease, the intermittent and unpredictable destruction of natural disasters, the decay of old age, the imminence of death—takes away a person’s satisfaction with himself. It tends to humble him, show him his frailty, make him reflect on the transience of temporal goods, and turn his affections towards other-worldly things, away from the things of this world. No amount of moral or natural evil, of course, can guarantee that a man will [place his faith in God]…. But evil of this sort is the best hope, I think, and maybe the only effective means, for bringing men to such a state. (Stump 1985, p. 409)

Stump claims that, although the sin of Adam—and not any act of God—first brought moral and natural evil into this world, God providentially uses both kinds of evil in order to bring about the greatest good that a fallen, sinful human being can experience: a repaired will and eternal union with God.

The responses of both Hick and Stump are intended to cover not only the logical problem of evil but also any other formulation of the problem as well. Thus, some of those dissatisfied with Plantinga’s merely defensive response to the problem of evil may find these more constructive, alternative responses more attractive. Regardless of the details of these alternatives, the fact remains that all they need to do in order to rebut the logical problem of evil is to describe a logically possible way that God and evil can co-exist. A variety of morally sufficient reasons can be proposed as possible explanations of why a perfect God might allow evil and suffering to exist. Because the suggestions of Hick and Stump are clearly logically possible, they, too, succeed in undermining the logical problem of evil.

10. Problems with the Free Will Defense

A. Even though it is widely agreed that Plantinga’s Free Will Defense describes a state of affairs that is logically possible, some of the details of his defense seem to conflict with important theistic doctrines. One point of conflict concerns the possibility of human free will in heaven. Plantinga claims that if someone is incapable of doing evil, that person cannot have morally significant free will. He also maintains that part of what makes us the creatures we are is that we possess morally significant freedom. If that freedom were to be taken away, we might very well cease to be the creatures we are. However, consider the sort of freedom enjoyed by the redeemed in heaven. According to classical theism, believers in heaven will somehow be changed so that they will no longer commit any sins. It is not that they will contingently always do what is right and contingently always avoid what is wrong. They will somehow no longer be capable of doing wrong. In other words, their good behavior will be necessary rather than contingent.

This orthodox view of heaven poses the following significant challenges to Plantinga’s view:

(i) If heavenly dwellers do not possess morally significant free will and yet their existence is something of tremendous value, it is not clear that God was justified in creating persons here on Earth with the capacity for rape, murder, torture, sexual molestation, and nuclear war. It seems that God could have actualized whatever greater goods are made possible by the existence of persons without allowing horrible instances of evil and suffering to exist in this world.

(ii) If possessing morally significant free will is essential to human nature, it is not clear how the redeemed can lose their morally significant freedom when they get to heaven and still be the same people they were before.

(iii) If despite initial appearances heavenly dwellers do possess morally significant free will, then it seems that it is not impossible for God to create genuinely free creatures who always (of necessity) do what is right.

In other words, it appears that W3 isn’t impossible after all. If W3 is possible, an important plank in Plantinga’s Free Will Defense is removed. None of these challenges undermines the basic point established above that Plantinga’s Free Will Defense successfully rebuts the logical problem of evil. However, they reveal that some of the central claims of his defense conflict with other important theistic doctrines. Although Plantinga claimed that his Free Will Defense offered merely possible and not necessarily actual reasons God might have for allowing evil and suffering, it may be difficult for other theists to embrace his defense if it runs contrary to what theism says is actually the case in heaven.

B. Another problem facing Plantinga’s Free Will Defense concerns the question of God’s free will. God, it seems, is incapable of doing anything wrong. Thus, it does not appear that, with respect to any choice of morally good and morally bad options, God is free to choose a bad option. He seems constitutionally incapable of choosing (or even wanting) to do what is wrong. According to Plantinga’s description of morally significant free will, it does not seem that God would be significantly free. Plantinga suggests that morally significant freedom is necessary in order for one’s actions to be assessed as being morally good or bad. But then it seems that God’s actions could not carry any moral significance. They could never be praiseworthy. That certainly runs contrary to central doctrines of theism.

If, as theists must surely maintain, God does possess morally significant freedom, then perhaps this sort of freedom does not preclude an inability to choose what is wrong. But if it is possible for God to possess morally significant freedom and for him to be unable to do wrong, then W3 once again appears to be possible after all. Originally, Plantinga claimed that W3 is not a logically possible world because the description of that world is logically inconsistent. If W3 is possible, then the complaint lodged by Flew and Mackie above that God could (and therefore should) have created a world full of creatures who always did what is right is not answered.

There may be ways for Plantinga to resolve the difficulties sketched above, so that the Free Will Defense can be shown to be compatible with theistic doctrines about heaven and divine freedom. As it stands, however, some important challenges to the Free Will Defense remain unanswered. It is also important to note that, simply because Plantinga’s particular use of free will in fashioning a response to the problem of evil runs into certain difficulties, that does not mean that other theistic uses of free will in distinct kinds of defenses or theodicies would face the same difficulties.

11. References and Further Reading

a. References

  • Clark, Kelly James. 1990. Return to Reason: A Critique of Enlightenment Evidentialism and a Defense of Reason and Belief in God. Grand Rapids, MI: Eerdmans.
  • Flew, Anthony. 1955. “Divine Omnipotence and Human Freedom.” In Anthony Flew and Alasdair MacIntyre (eds.) New Essays in Philosophical Theology. New York: Macmillan.
  • Hick, John. 1977. Evil and the God of Love, revised ed. New York: Harper & Row.
  • Küng, Hans. 1976. On Being a Christian, trans. Edward Quinn. Garden City, New York: Doubleday.
  • Kushner, Harold S. 1981. When Bad Things Happen to Good People. New York: Schocken Books.
  • Lewis, C. S. 1943. Mere Christianity. New York: Macmillan.
  • Mackie, J. L. 1982. The Miracle of Theism. Oxford: Oxford University Press.
  • Mackie, J. L. 1955. “Evil and Omnipotence.” Mind 64: 200-212.
  • Madden, Edward and Peter Hare. 1968. Evil and the Concept of God. Springfield, IL: Charles C. Thomas.
  • McCloskey, H. J. 1960. “God and Evil.” Philosophical Quarterly 10: 97-114.
  • Peterson, Michael L. 1998. God and Evil: An Introduction to the Issues. Boulder, CO: Westview Press.
  • Plantinga, Alvin. 1974. The Nature of Necessary. Oxford: Oxford University Press.
  • Plantinga, Alvin. 1977. God, Freedom, and Evil. Grand Rapids, MI: Eerdmans.
  • Strobel, Lee. 2000. The Case for Faith: A Journalist Investigates the Toughest Objections to Christianity. Grand Rapids, MI: Zondervan.
  • Stump, Eleonore. 1985. “The Problem of Evil.” Faith and Philosophy 2: 392-423.

b. Further Reading

  • Adams, Robert Merrihew and Marilyn McCord Adams, eds. 1990. The Problem of Evil. Oxford: Oxford University Press.
  • Howard-Snyder, Daniel, ed. 1996. The Evidential Argument from Evil. Bloomington, IN: Indiana University Press.
  • Peterson, Michael L., ed. 1992. The Problem of Evil: Selected Readings. Notre Dame, IN: University of Notre Dame Press.

Author Information

James R. Beebe
Email: beebe “at” yahoo “dot” com
University at Buffalo
U. S. A.

Gilles Deleuze (1925–1995)

DeleuzeDeleuze is a key figure in postmodern French philosophy. Considering himself an empiricist and a vitalist, his body of work, which rests upon concepts such as multiplicity, constructivism, difference, and desire, stands at a substantial remove from the main traditions of 20th century Continental thought. His thought locates him as an influential figure in present-day considerations of society, creativity and subjectivity.  Notably, within his metaphysics he favored a Spinozian concept of a plane of immanence with everything a mode of one substance, and thus on the same level of existence.  He argued, then, that there is no good and evil, but rather only relationships which are beneficial or harmful to the particular individuals.  This ethics influences his approach to society and politics, especially as he was so politically active in struggles for rights and freedoms.  Later in his career he wrote some of the more infamous texts of the period, in particular, Anti-Oedipus and A Thousand Plateaus. These texts are collaborative works with the radical psychoanalyst Félix Guattari, and they exhibit Deleuze’s social and political commitment.

Gilles Deleuze began his career with a number of idiosyncratic yet rigorous historical studies of figures outside of the Continental tradition in vogue at the time. His first book, Empirisism and Subjectivity, isa study of Hume, interpreted by Deleuze to be a radical subjectivist. Deleuze became known for writing about other philosophers with new insights and different readings, interested as he was in liberating philosophical history from the hegemony of one perspective. He wrote on Spinoza, Nietzche, Kant, Leibniz and others, including literary authors and works, cinema, and art.   Deleuze claimed that he did not write “about” art, literature, or cinema, but, rather, undertook philosophical “encounters” that led him to new concepts.  As a constructivist, he was adamant that philosophers are creators, and that each reading of philosophy, or each philosophical encounter, ought to inspire new concepts. Additionally, according to Deleuze and his concepts of difference, there is no identity, and in repetition, nothing is ever the same.  Rather, there is only difference: copies are something new, everything is constantly changing, and reality is a becoming, not a being.

Table of Contents

  1. Biography
  2. The History Of Philosophy
    1. Two Examples: Kant and Leibniz
  3. A New Empiricism
    1. Hume
    2. Spinoza
    3. Nietzsche
    4. Deleuze’s Central Empiricist Concepts
  4. Difference And Repetition
    1. Difference-in-itself
    2. Contra-Hegel
    3. Repetition and Time
    4. The Image of Thought
  5. Capitalism And Schizophrenia – Deleuze And Guattari
  6. Literature, Cinema, Painting
    1. Literature
      1. Marcel Proust
      2. Leopold von Sacher-masoch
      3. Franz Kafka
    2. Cinema
    3. Painting
  7. What Is Philosophy?
    1. Early Reflections – Naturalism
    2. “What is Philosophy?” – Constructivism
  8. References and Further Reading
    1. Main texts
    2. Secondary texts
      1. Books and Collections of Essays
      2. Additional Uncollected Articles

1. Biography

Gilles Deleuze was born in the 17th arrondisment of Paris, a district that, excepting periods in his youth, he lived in for the whole of his life. He was the son of an conservative, anti-Semitic engineer, a veteran of World War I. Deleuze’s brother was arrested by Germans during the Nazi occupation of France for alleged resistance activities, and died on the way to Auschwitz.

Due to his families’ lack of money, Deleuze was schooled at a public school before the war. When the Germans invaded France, Deleuze was on vacation in Normandy and spent a year being schooled there. In Normandy, he was inspired by a teacher, under whose influence he read Gide, Baudelaire and others, becoming for the first time interested in his studies. In a late interview, he states that after this experience, he never had any trouble academically. After returning to Paris and finishing his high school education, Deleuze attended the Lycée Henri IV, where he did his kâgne, an intensive year of study for students of promise, in 1945, and then studied philosophy at the Sorbonne with figures such as Jean Hippolyte and Georges Canguilheim. He passed his agrégation in 1948, necessary for entry into the teaching profession, and taught in a number of high schools until 1956. In this year, he also married Denise Paul “Fanny” Grandjouan, a French translator of D.H. Lawrence. His first book, Empiricism and Subjectivity, on David Hume, was published in 1953, when he was 28.

Over the next ten years, Deleuze held a number of assistant teaching positions in French universities, publishing his important text on Nietzsche (Nietzsche and Philosophy) in 1962. It was also around this time that he met Michel Foucault, with whom he had a long and important friendship. When Foucault died, Deleuze dedicated a book-length study to his work (Foucault 1986). In 1968, Deleuze’s doctoral thesis, comprising of Difference and Repetition and Expressionism in Philosophy: Spinoza were published. This was also the period of the first major incidence of pulmonary illness that would plague Deleuze for the rest of his life.

In 1969, Deleuze took up a teaching post at the ‘experimental’ University of Paris VII, where he taught until his retirement in 1987. In the same year, he met Félix Guattari, with whom he wrote a number of influential texts, notably the two volumes of Capitalism and Schizophrenia, Anti-Oedipus (1972) and A Thousand Plateaus (1980). These texts were considered by many (including Deleuze) to be an expression in part of the political ferment in France during May 1968. During the seventies, Deleuze was politically active in a number of causes, including membership in the Groupe d’information sur les prisons (formed, with others, by Michel Foucault), and had an engaged concern with homosexual rights and the Palestinian liberation movement.

In the eighties, Deleuze wrote a number of books on cinema (the influential studies The Movement-Image (1983) and The Time-Image (1985)) and on painting (Francis Bacon (1981)). Deleuze’s final collaboration with Guattari, What is Philosophy?, was published in 1991 (Guattari died in 1992).

Deleuze’s last book, a collection of essays on literature and related philosophical questions, Essays Critical and Clinical, was published in 1993. Deleuze’s pulmonary illness, by 1993, had confined him quite severely, even making it difficult for him to write. He took his own life on November 4th, 1995.

2. The History Of Philosophy

Deleuze’s whole intellectual trajectory can be traced by his shifting relationship to the history of philosophy. While in later years, he became quite critical of both the style of thought implied in narrow reproductions of past thinkers and the institutional pressures to think on this basis, Deleuze never lost any enthusiasm for writing books about other philosophers, if in a new way. Most of his publications contain the name of another philosopher as part of the title: Hume, Kant, Spinoza, Nietzsche, Bergson, Leibniz, Foucault.

Deleuze expresses two main problems with the traditional style and institutional location of the history of philosophy. The first concerns a politics of the tradition:

The history of philosophy has always been the agent of power in philosophy, and even in thought. It has played the repressors role: how can you think without having read Plato, Descartes, Kant and Heidegger, and so-and-so’s book about them? A formidable school of intimidation which manufactures specialists in thought – but which also makes those who stay outside conform all the more to this specialism which they despise. An image of thought called philosophy has been formed historically and it effectively stops people from thinking. (D 13)

This hegemony of thought recurrently comes under attack later in Deleuze’s career, notably in What is Philosophy? This criticism also sits well with a general theme throughout his writings, which is the immediate politicisation of all thought. Philosophy and its history is not separated from the fortunes of the wider world, for Deleuze, but intimately linked to it, and to the forces at work there.

The second criticism directed at the traditional style of history of philosophy, the construction of specialists and expertise, leads directly to the foremost positive aspect of Deleuze’s particular method: “What we should in fact do, is stop allowing philosophers to reflect ‘on’ things. The philosopher creates, he doesn’t reflect.” (N122) And this creation, with regard to other writers, takes the form of a portrait:

The history of philosophy isn’t a particularly reflective discipline. It’s rather like portraiture in painting. Producing mental, conceptual portraits. As in painting, you have to create a likeness, but in a different material: the likeness is something you have to produce, rather than a way of reproducing anything (which comes down to just repeating what a philosopher says). (N 136)

Perhaps such a method does not seem extremely creative, or perhaps only in a relatively passive sense. For Deleuze, however, the history of philosophy also embraces a much more active, constructive sense. Each reading of a philosopher, an artist, a writer should be undertaken, Deleuze tells us, in order to provide an impetus for creating new concepts that do not pre-exist (DR vii).

Thus the works that Deleuze studies are seen by him as inspirational, but also as a resource, from which the philosopher can gather the concepts that seem the most useful and give them a new life, along with the force to develop new, non-preexistent concepts.

In an important sense, Deleuze’s whole modus operandi is based in this revaluation of the role of other thinkers, and the means by which one can use them: each of his books either centers around one philosopher, or derives much of its texture from references to others. In any case, new concepts are derived from others’ works, or old ones are recreated or ‘awakened’, and put to a new service.

a. Two examples: Kant and Leibniz

Deleuze’s book on Kant, his third publication (1963) in general conforms with the standards of an academic philosophical study. Aside from its surprising breadth, covering as it does all three of Kant’s Critiques in a slender volume, it focuses on a problem that is clearly of concern to both Kant himself and the traditional reading of his work, that of the relationship between the faculties. Deleuze himself, later reflecting on Kant’s Critical Philosophy, distinguishes it from the other, more constructivist historical studies:

My book on Kant’s different; I like it, I did it as a book about an enemy that tries to show how his system works, its various cogs – the tribunal of Reason, the legitimate exercises of the faculties. (N 6)

There are, however, some distinctively creative elements even to this apparently sober study, which reflect Deleuze’s general interests, two in particular. In this text on Kant, these reveal themselves by way of emphasis, rather than out-and-out creation.

The first of these is his emphasis on Kant’s rejections of transcendentality at key points in the Critiques, in favour of a generalised pragmatism of reason. While Deleuze himself locates in Kant the development of the concept of the transcendental at the root of modern philosophy (DR 135), he is quick to insist that, even as transcendental faculties in Kant, understanding, reason and imagination act only in an immanent fashion to achieve their own ends:

. . . the so-called transcendental method is always the determination of an immanent employment of reason, conforming to one of its interests. The Critique of Pure Reason thus condemns the transcendent employment of a speculative reason which claims to legislate by itself; the Critique of Practical Reason condemns the transcendent employment of practical reason which, instead of legislating by itself, lets itself be empirically conditioned. (KCP 36-7; cf. KCP 24-5; NP 91)

Deleuze, then, insists on the critical activity of Kant’s philosophy as not only a critique of reason used wrongly, but specifies this critique in pragmatic and empiricist terms.

The second Deleuzian feature of Kant’s Critical Philosophy is its insistence on the creative and affirmative nature of the Critique of Judgement. This runs counter not just to a number of Kant scholars, who suggest that the third Critique is a defected work as a result of Kant’s age and decaying mental abilities when he wrote it, but also other prominent French philosophers of Deleuze’s generation, notably Jean-Francois Lyotard and Jacques Derrida, who both consider this text primarily in terms of its aporetic nature.

Deleuze, to the contrary, insists on its central importance to Kant’s philosophy. He argues not only that there are conflicts between the activity of the faculties, and thus between the first two Critiques, a moot point in reading Kant, but that the Critique of Judgement solves this problem (already a controversial perspective) by positing a genesis of free accord between the faculties deeper than their conflicts. Not only are the struggles between the faculties not insoluble: there is in fact an affirmative creation of a resolution that does not rely upon any transcendental faculty.

When we turn to consider a much later text, The Fold: Leibniz and the Baroque, we find Deleuze’s constructivist practice of the history of philosophy developed to its fullest. This text is not only a “portrait” of Leibniz’s thought, but uses concepts drawn from it, along with new concepts based in a philosophical ‘take’ on mathematics, art, and music, to characterise the Baroque period, and indeed vice versa. Leibniz, Deleuze argues, is the philosopher whose point of view can be best used to understand the Baroque period, and Baroque architecture, music and art give us a unique and illuminating vantage point for reading Leibniz. In fact, one of the more astonishing claims that Deleuze makes is that the one cannot be understood properly without the other:

It is impossible to understand the Leibnizian monad, and its light-mirror-point of view-interior decoration system, if we do not come to terms with these elements in Baroque architecture. (FLB 39; translation altered)

How is such a statement to be demonstrated? Instead of claiming that in fact there is an a priori link between Leibniz and the Baroque, Deleuze creates a new concept, and reads both of them through it: this is the concept of the fold. In keeping with Leibniz’s theory of the monad, that the whole universe is contained within each being, like the Baroque church, Deleuze argues that the process of folding constitutes the basic unit of existence. While there are elements of the fold already in Leibniz and the architecture and art of the period, as Deleuze points out (N 157), it gains a new consistency and significance when used as a creative term in this manner. Throughout the book, and later, in Foucault, Deleuze uses the concept of the fold to describe the nature of the human subject as the outside folded in: an immanently political, social, embedded subject.

In addition, in The Fold, we see a remarkable cross-section of Deleuze’s whole work, expressed in a new way through the material that he analyses. Chapters 4 and 6 give a succinct formulation of the relationship between the event and the subject (one of Deleuze’s perennial interests), which leads to a new formulation of the nature of sufficient reason in line with Deleuze’s concept of the virtual. We also see a return to the question of the body that he examines with Guattari in Capitalism and Schizophrenia. (FLB sec III: ‘Having a body’), which reinstates the work of Leibniz on the level of the material, rather than in the realm of idealism.

Deleuze thus provides a reading of Leibniz that strikes the reader as eccentric and certainly at odds with the traditional approach, and yet which holds to both the text (in all his historical studies, Deleuze cites quite exhaustively), and to the new direction that he is working in.

3. A New Empiricism

In the English preface to the Dialogues, Deleuze writes the following:

I have always felt that I am an empiricist . . . [My empiricism] is derived from the two characteristics by which Whitehead defined empiricism: the abstract does not explain, but must itself be explained; and the aim is not to rediscover the eternal or the universal, but to find the conditions under which something new is produced (creativeness). (D vii; cf. N 88; WP 7)

One can see that such a definition of empiricism differs sharply, at least apparently, from the traditional understanding canonised by Anglo-American histories of philosophy. Such a history would have us believe that empiricism is above all the doctrine that whatever knowledge that we possess is derived from the senses and the senses alone – the well-known rejection of innate ideas. Modern views of science embrace such a doctrine, and apply it as a tool to derive facts about the physical world.

Deleuze’s empiricism is both an extreme radicalisation and rejection of this sense-data model: “Empiricism is by no means . . . a simple appeal to lived experience.” (DR xx; cf. PI 35). Rather, it takes a standpoint regarding the transcendental in general. Writing of Hume, he states that, We can now see the special ground of empiricism: . . . nothing is ever transcendental.” (ES 24) To claim that knowledge is derived from the senses alone and not from ideas which exist in the mind prior to experience (as is argued in a long tradition from Plato to Descartes and beyond, lingering in the discourse of modern science) is indeed a rejection of a certain transcendentality of the mind, but for Deleuze, this is only the very first moment of a radical displacement of all transcendentals that is central in all of his work: questioning the supremacy of reason as the a priori privileged way of relating to the world, questioning the link between freedom and will, attempting to abolish dualisms from ontology, reinstating politics prior to Being.

To return to the citation from the Dialogues, there are two aspects of Deleuze’s empiricist philosophy. The first is the rejection of all transcendentals, but the second is an active element: for Deleuze, empiricism is always about creating. In terms of philosophy, the creation par excellence is the creation of concepts: “Empiricism is by no means a reaction against concepts . . . On the contrary, it undertakes the most insane creation of concepts ever.” (DR xx) This idea of philosophy as an empiricist creation of concepts, or constructivism, is taken up again in What is Philosophy?, and is present, as noted above, in all of his historical studies of philosophers.

These two facets of empiricism are throughout Deleuze’s work, and it is in this sense that his claim about being such a philosopher is clearly true. Deleuze primarily developed this point of view through the texts he wrote prior to 1968, and particularly through three other philosophers, who he reads as empiricists in the sense mentioned: Hume, Spinoza and Nietzsche.

a. Hume

Deleuze’s first publication, Empiricism and Subjectivity (1953) is a book about David Hume, who is generally considered the foremost and most rigorous British empiricist, according to the general ‘sense-data’ model described above. Deleuze, however, takes Hume to be far more radical than he is normally considered to be. While this text very carefully reads Hume’s works, especially the Treatise of Human Nature, the portrait that emerges is quite strikingly idiosyncratic.

On Deleuze’s account, Hume is above all a philosopher of subjectivity. His central concern is to establish the basis upon which the subject is formed. All the well-known arguments about habit, causation and miracles reveal a more profound question: if there is nothing transcendental, how are we to understand the self-aware, creative self who seems to govern the nature that he somehow has sprung up from? Deleuze argues then that the relation between human nature and nature is Hume’s central concern (ES 109).

Deleuze develops this argument by asserting precisely the opposite of the traditional reading of Hume:

According to Hume, and also Kant, the principles of knowledge are not derived from experience. But in the case of Hume, nothing is transcendental, because these principles are simply principles of our nature . . . (ES 111-2)

Kant proposed transcendental operations of categories in order to make experience possible, criticising Hume for thinking that we could have unified knowledge of an empirical flux that we only passively receive. On Deleuze’s reading, however, Hume did not suppose that there were no unifying processes at work, on the contrary. The difference is that for Hume, these principles are natural; they do not rely upon the postulation of a priori structures of experience.

The question of the subject is resolved by Hume, according to Deleuze, by the creation of a number of key concepts: association, belief, and the externality of relations. Association is the principle of nature which operates by establishing a relation between two things. The imagination is affected by this principle to create a new unity, which can in turn be used later on to come to conclusions about other ideas that this unity resembles, is closely related to, or seems to cause. If we consider the traditional example of the balls on a pool table, the process of association allows a subject to form a relation of causality between one ball and the next, so that the next time one ball comes into contact with another, an expectation that the second ball will move is created.

Thus Hume, for Deleuze, considers the mind to be a system of associations alone, a network of tendencies (ES 25): “We are habits, nothing but habits – the habit of saying ‘I’. Perhaps there is no more striking answer to the problem of the Self.” (ES x.) The mind, affected by the natural principle of association, becomes human nature, from the ground up:

Empirical subjectivity is constituted in the mind under the influence of the principles affecting it; the mind therefore does not have the characteristics of a preexisting subject. (ES 29)

These associations account not only for experience in the basic sense, but up to the highest level of social and cultural life: this is the basis for Hume’s rejection of a social contract model of society (such as Hobbes’), in favour of convention alone. Morals, feelings, bodily comportment, all of these elements of subjectivity are explained, not by transcendental structures, such as Kant will propose, but the immanent activity of association.

Once this habitual structure of the self is in place, Deleuze suggests, the Humean concept of belief comes into play, which is resolutely a central part of human nature. It describes the particularly human way of going beyond the given. When we expect the sun to come up tomorrow, we do not do so because we know that it will, but because of a belief based on a habit. This in turn reverses the hierarchy of knowledge and belief, and results, for Deleuze, in a, “great conversion of theory to practice.” (PI 36) Every act of belief is a practical application of habit, without any reference to an a priori ability to judge. Not only is the human being thus habitual, on Deleuze’s reading, but also creative, even in the most mundane moments of life.

Finally, Deleuze insists that one of Hume’s greatest contributions to modern philosophy is his insistence that all relations are external to their terms: this is the essence of Hume’s anti-transcendental stance. Human nature cannot unite itself, there is no ‘I’ which stands before experience, but only moments of experience themselves, unattached and meaningless without any necessary relation to each other. A flash of red, a movement, a gust of wind, these elements must be externally related to each other to create the sensation of a tree in autumn. In the social world, this externality attests to the always-already interested nature of life: no relation is necessary, or governed by neutral laws, so every relation has a localised and passional motive. The ways in which habits are formed attests to the desires at the heart of our social milieu.

Subjectivity, as Deleuze describes it through his reading of Hume, is a practical, passional, empiricist concept, immediately located at the heart of the conventional, which is to say the social.

b. Spinoza

While Hume may not be a contentious name to link with a deepened empiricism, Benedict de Spinoza certainly is. Generally considered the arch-rationalist par excellence, Spinoza is most well known for the first main thesis proposed in his Ethics: that there is one substance, God or Nature, and that everything that exists is merely a modulation of this substance. His style of writing, known as the ‘geometric method’, is composed by propositions, proofs, and axioms. Such a point of view hardly seems consistent with a radical construction of concepts, and an essential pragmatism: and yet this is what Deleuze’s interpretation of Spinoza, which has been very influential (as recent texts such as those by Geneveive Lloyd and Moira Gatens demonstrate), argues.

Spinoza is without a doubt the philosopher most praised and referred to by Deleuze, often with words that are rarely a part of philosophical writing. For example:

Spinoza is, for me, the ‘prince’ of philosophers. (EPS 11)

Spinoza is the Christ of philosophers, and the greatest philosophers are hardly more than apostles who distance themselves from or draw near to this mystery. (WP 60)

Spinoza: the absolute philosopher, whose Ethics is the foremost book on concepts. (N 140)

Spinoza’s greatness for Deleuze comes precisely from his development of a philosophy based on the two features of empiricism discussed above. Indeed, for Deleuze, Spinoza combines the two things into one movement: a rejection of the transcendental in the action of creating a plane of absolute immanence upon which all that exists situate themselves. In more Spinozist language, we can refer to the thesis of a single substance instead of a plane of immanence; all bodies (beings) are modal expressions of the one substance (SPP 122).

But not only is The Ethics for Deleuze the creation of a plane of immanence, it is the creation of a whole regime of new concepts that revolve around the rejection of the transcendental in all spheres of life. The unity of the ontological and the ethical is crucial, for Deleuze, in understanding Spinoza, that is:

Spinoza didn’t entitle his book Ontology, he’s too shrewd for that, he entitles it Ethics. Which is a way of saying that, whatever the importance of my speculative propositions may be, you can only judge them at the level of the ethics that they envelope or imply [impliquer].

In short, as the title of one of Deleuze’s books, Spinoza: Practical Philosophy, indicates, the Ethics is only understood when it is seen, at one and the same time, to be theoretical and practical. Deleuze considers there to be three primary theoretico-practical points in the Ethics:

The great theories of the Ethics . . . cannot be treated apart from the three practical theses concerning consciousness, values and the sad passions (SPP 28)

First of all, the illusion of consciousness. Spinoza argues that we are not the cause of our thoughts and actions, but only assume that we are based on their affects upon us. This leads to dualisms of substance (such as Descartes’ mind/body split). Deleuze insists on this point because he sees Spinoza bypassing an important illusion of subjectivity: we suppose that we are causes and not effects.

The illusion of consciousness, for Spinoza a result of inadequate knowledge and sad affects, allows us to posit a transcendental consciousness supposedly free from the interventions of the world (as in Descartes). This is in fact a blind-spot which precludes us from knowing ourselves as caused, the practical meaning of which is that we deny our own ‘sociality’, as one mode amongst others, and the significance of the relations that we enter into, which actually determine our power to act, and our ability to experience active joy.

The second is the critique of morality. Spinoza’s Ethics, for Deleuze, constitutes a rejection of the transcendent Good/Evil distinction in favour of a merely functional opposition between good and bad. Good and Evil, for Spinoza as for Lucretius and Nietzsche, are the illusions of a moralistic world-view that does nothing but reduce our power to act and encourages the experience of the sad passions (SPP 25; LS 275-8). The Ethics is for Deleuze rather an incitement to consider encounters between bodies on the basis of their relative ‘goodness’ for those modes that are relating. The shark enters into a good relation with salt water, which increases its power to act, but for fresh water fish, or for a rose bush, salt water only degrades the characteristic relations between the parts of the bush and threatens to destroy its existence.

So actions have no transcendental scale to be measured upon (the theological illusion), but only relative and perspectival good and bad assessments, based on specific bodies. Thus the Ethics is, for Deleuze, an ‘ethology’, that is, a guide to obtaining the best relations possible for bodies.

Finally, Deleuze sees in Spinoza the rejection of the sad passions. This point is linked to the last, and again closely related to Nietzsche’s critique of ressentiment and slave morality. Sad passions are for Spinoza all those forces which disparage life. For Deleuze, Spinoza,

denounces all the falsifications of life, all the values in the name of which we disparage life. We do not live, we only lead a semblance of life; we can only think of how to keep from dying, and our whole life is a death worship. (SPP 26)

The hinge that this practical reading of Spinoza turns on is Deleuze’s angle of approach to the Ethics. Rather than emphasising the great theoretical structures found in the first few sections, Deleuze emphasises the later part of the book (particularly part V), which consists in arguments from the point of view of individual modes. This approach puts the importance on the reality of individuals rather than form, and on the practical rather than the theoretical. In the preface to the English translation of Expressionism in Philosophy, he writes:

What interested me most in Spinoza wasn’t his Substance, but the composition of finite modes . . . That is: the hope of making substance turn on finite modes, or at least of seeing in substance a plane of immanence in which finite modes operate . . .” (EPS 11)

Deleuze’s reading of Spinoza has clear and profound relations with all that he wrote after 1968, especially the two volumes of Capitalism and Schizophrenia.

c. Nietzsche

Aside from Spinoza, Nietzsche is the most important philosopher for Deleuze. His name, and central concepts that he created appear almost without exception in all of Deleuze’s books. It would also be accurate to say that he reads both Spinoza and Nietzsche together, one through the other, and thus highlights the profound continuity of their thought.

The most significant work that Deleuze did with Nietzsche was his highly influential study Nietzsche and Philosophy, the first book in France to systematically defend and explicate Nietzsche’s work, still suspected of fascism, after the second World War. This text was and is extremely well regarded by other philosophers, including Jacques Derrida (Derrida 2001), and Pierre Klossowski, who wrote the other key French study on Nietzsche in the second half of last century (Nietzsche and the Vicious Circle, which is dedicated to Deleuze).

While Nietzsche and Philosophy does deal with Nietzsche’s polemical targets, its originality and strength lies in its systematic exposition of the diagnostic elements of his thought. Indeed, one critique of this text is that it oversystematises a thinker and writer whose style of writing overtly resists such a summary approach. For Deleuze, however, it has been one of the hallmarks of bad readings of Nietzsche that they have relied upon a non-philosophical reading, either seeing him as a writer who attempts to assert other models of thought over philosopher, or, more commonly, as an obscurantist or (proto-) madman whose books have no coherence or value.

Nietzsche, for Deleuze, develops a symptomatology based on an analysis of forces that is elaborate, rigorous and systematic. He argues that Nietzsche’s ontology is monist, a monism of force: “There is no quantity of reality, all reality is already a quantity of force.” (NP 40) This force, in turn, is solely a force of affirmation, since it expresses only itself and itself to its fullest; that is, force says ‘yes’ to itself (NP 186). Deleuze’s reading of Nietzsche starts from this point, and accounts for the whole of Nietzsche’s critical typology of negation, sadness, reactive forces and ressentiment on this basis. The polemical basis of Nietzsche’s work, for Deleuze, is directed at all that would separate force from acting on its own basis, that is, from affirming itself.

There is not one force, but many, the play and interaction of which forms the basis of existence. Deleuze argues that the many antagonistic metaphors in Nietzsche’s writing should be interpreted in light of his pluralist ontology, and not as indications of some sort of psychological agressivity.

Nietzsche’s ontology, then, retains the suppleness and reliance on difference while remaining monist. Thus he, for Deleuze, is characterised as an anti-transcendental thinker.

Deleuze’s reading of Nietzsche demonstrates the extent to which he rejected the traditional, or dogmatic image of thought (see (4)(d) below), which relies upon a natural harmony between thinker, truth and the activity of thought. Thought does not naturally relate to truth at all, but is rather a creative act (NP xiv), an act of affect, of force on other forces: “As Nietzsche succeeded in making us understand, thought is creation, not will to truth.” (WP 54) There is no room for seeing truth as abstract generality (NP 103) in Deleuze’s account of Nietzsche, but rather to see truth itself as a part of regimes of force, as a matter of value, to be assessed and judged, rather than as an innate disposition (NP 108).

Once again, in Nietzsche, we are confronted with the problem of considering a philosopher who is generally considered to be quite foreign to the tradition of empiricist thought, as an empiricist. As with Spinoza, however, Deleuze’s reading of Nietzsche, as he himself indicates, relies upon his characterisation of empiricist thought: as the rejection of the transcendental, both in ontology and thought, and the consequent affirmation of thought as creativity.

d. Deleuze’s Central Empiricist Concepts

While Deleuze often refers to the central concepts of empiricism as classically formulated by Hume in the Treatise (association, habituation, convention etc.) (ES; LS 305-7; DR 70-3; WP 201-2), he also develops, throughout his work, a number of other key concepts which should be considered as empiricist. The most prominent of these are immanence, constructivism, and excess.

The key word throughout Deleuze’s writings, as we have seen, to be found in almost all of his main texts without fail, is immanence. This term refers to a philosophy based around the empirical real, the flux of existence which has no transcendental level or inherent seperation. His last text, published a few months before his death, bore the title, “Immanence: a life . . .” (PI 25-33). Deleuze repeatedly insists that philosophy can only be done well if it approaches the immanent conditions of that which it is trying to think; this is to say that all thought, in order to have any real force, must not work by setting up trancendentals, but by creating movement and consequences:

If you’re talking about establishing new forms of transcendence, new universals, restoring a reflective subject as the bearer of rights, or setting up a communicative intersubjectivity, then it’s not much of a philosophical advance. People want to produce ‘consensus’, but consensus is an ideal that guides opinion, and has nothing to do with philosophy. (N 152; cf. 145; WP chapter 2)

Deleuze’s insistence on the concept of the immanent also has an ontological sense, as we have seen in his studies of Spinoza and Nietzsche, and which returns later in works such as Difference and Repetition and Capitalism and Schizophrenia: there is only one substance, and therefore everything which exists must be considered on the same plane, the same level, and analysed by way of their relations, rather than by their essence.

Constructivism is the title that Deleuze uses to characterise the movement of thought in philosophy. This has two senses. Firstly, empiricism, immanent thought, must create movement, create concepts if it is to be philosophy and not just opinion or consensus. Deleuze and Guattari cite Nietzsche on this point: “[Philosophers] must no longer accept concepts as a gift, nor merely purify or polish them, but first make and create them, present them and make them convincing.” (WP 5)

Secondly, in relation to other philosophy, Deleuze maintains that we do not just repeat what they have already said (see (2) above): “Empiricism . . . [analyses] the states of things, in such a way that non-pre-existent concepts can be extracted from them.” (D vii) This constructivism, for Deleuze, holds weight in all areas of research, as he demonstrates in his studies of literature, cinema and art (see (6) below).

Constructivism, moreover, does not proceed along any predetermined lines. There is nothing that is necessary to create, for Deleuze: thought does not have a pre-given orientation (see (4)(b) below). Empiricist thought is thus always in some sense strategic (LS 17).

The concept of excess takes the place in Deleuze’s thought of the transcendent. Instead of an object, a table for example, being determined and given its essence by a transcendental concept or Idea (Plato) which is directly applicable to it, or the application of a transcendental category or schema (Kant), everything that exists is exceeded by the forces which constitute it. The table does not have a for-itself, but has existence within a field or territory, which are beyond its meaning or control. Thus a table exists in a kitchen, which is part of a three-bedroom family home, which is part of a capitalist society. In addition, the table is used to eat on, linking itself with the human body, and another produced, consumable item, a hamburger. For Deleuze, one can always analyse interminably in any direction these relations of force, which always move beyond the horizon of the object in question.

For Deleuze, however, nothing is exceeded more than subjectivity. This is not a statement of ontological priority, but bears on the extreme privilege the conscious-to-self subject has had in the history of Western thought, it is certainly here that Deleuze makes his most significant use of the concept of excess. Consider, for example: “Subjectivity is determined as an effect.” (ES 26). “There are no fewer things in the mind that exceed our consciousness than there are things in the body that exceed our knowledge.” (SPP 18)

The point is that human forces aren’t on their own enough to establish a dominant form in which man can install himself. Human forces (having an understanding, a will, an imagination and so on) have to combine with other forces: an overall form arises from this combination, but everything depends on the nature of other forces with which the human forces become linked. (N 117; cf. especially DR 254; 257-61)

While Deleuze protests that he never made a big deal out of rejecting traditional postulates like the subject (N 88), he frequently writes about the notion of the exceeded subject, from his first book on Hume and throughout his work. This in some sense locates him in the landscape of what is known as postmodern thought, along with other figures such as Jacques Derrida, Jean-Francois Lyotard and Michel Foucault.

4. Difference And Repetition

Difference and Repetition (1968) is without doubt Deleuze’s most significant book in a traditional academic style, and proposes the most central of his disruptions to the canonical traditions of philosophy. However, precisely for this reason, it is also one of his most difficult books, dealing as it does with two age-old, overdetermined philosophical topics, identity and time, and with the nature of thought itself.

a. Difference-in-itself

Deleuze’s main aim in Difference and Repetition is a creative elaboration of these two concepts, but it essentially precedes by way of a critique of Western philosophy. His central thesis is,

That identity not be first, that it exist as a principle but as a second principle, as a principle become; that it revolve around the Different: such would be the nature of a Copernican revolution which opens up the possibility of difference having its own concept, rather than being maintained under the domination of a concept in general already understood as identical. (DR 41)

From Plato (DR 59-63) to Heidegger (DR 64-6), Deleuze argues, difference has not been accepted on its own, but only after being understood with reference to self-identical objects, which makes difference a difference between. He attempts in this book to reverse this situation, and to understand difference-in-itself.

We can understand Deleuze’s argument by way of reference to his analysis of Plato’s three-tiered system of idea, copy and simulacrum (cf. LS 253-65). In order to define something such as courage, we can have reference in the end only to the Idea of Courage, an identical-to-itself, this idea containing nothing else (DR 127). Courageous acts and people can be thus judged by analogy with this Idea. There are also, however, those who only imitate courageous acts, people who use courage as a front for personal gain, for example. These acts are not copies of the courageous ideal, but rather fakes, distortions of the idea. They are not related to the Idea by way of analogy, but by changing the idea itself, making it slip. Plato frequently makes arguments based on this system, Deleuze tells us, from the Statesman (God-shepherd, King-shepherd, charlatan) to the Sophist (wisdom, philosopher, sophist) (DR 60-1; 126-8).

The philosophical tradition, beginning with Plato (although Deleuze detects some ambiguity here (eg. DR 59; TP 361)) and Aristotle, has sided with the model and the copy, and resolutely fought to exclude the simulacra from consideration, either by rejecting it as an external error (Descartes (DR 148)), or by assimilating it into a higher form, via the operation of a dialectic (Hegel (DR 263)).

While difference is subordinated to the model/copy scheme, it can only be a consideration between elements, which gives to difference a wholly negative determination, as a not-this. However, Deleuze suggests, if we turn our attention to the simulacra, the reign of the identical and of analogy is destabilised. The simulacra exists in and of itself, without grounding in or reference to a model: its existence is “unmediated” (DR 29), it is itself unmediated difference. It is for this reason that Deleuze makes his well-known claim that a true philosophy of difference must be “inverted-” or “anti-Platonism” (DR 127-8): the being of simulacra is the being of difference itself; each simulacra is its own model.

We might well ask here: what provides the unity of the different? How can we talk about the being of something that is difference itself? Deleuze’s answer is that precisely there is no intrinsic ontological unity. He takes up here Nietzsche’s idea that being is becoming: there is an internal self-differing within the different itself, the different differs from itself in each case. Everything that exists only becomes and never is.

Unity, Deleuze tells us, must be understood as a secondary operation (DR 41) under which difference is pressed into forms. The prominent philosophical notion he offers for such unity is time (see (4)(c) below), but later, in Anti-Oedipus, Deleuze and Guattari offer a political ontology that shows how this process of becoming is fixed into unitary formulations.

b. Contra-Hegel

Deleuze’s arch-enemy in Difference and Repetition is Hegel. While this critical stance is already clearly evident in Nietzsche and Philosophy and from there throughout his work, Deleuze’s revaluation of difference itself takes as its most essential form the rejection of the Hegelian dialectic, which represents the most extreme development of the logic of the identical.

The dialectic, Deleuze tells us, seems to operate with extreme differences alone, even so far as acknowledging them as the motor of history. Formed of two opposite terms, such as being and non-being, the dialectic operates by synthesising them into a new third term that preserves and overcomes the earlier opposition. Deleuze argues that this is a dead end which makes,

identity the sufficient condition for difference to exist and be thought. It is only in relation to the identical, as a function of the identical, that contradiction is the greatest difference. The intoxication and giddiness are feigned, the obscure is already clarified from the outset. Nothing shows this more than the insipid monocentrality of the circles in the Hegelian dialectic. (DR 263)

While offering a philosophical tool that sees difference at the heart of being, the process of the dialectic removes this affirmation as its most essential step.

The further consequence of this for Deleuze relates to the place of negation in Hegel’s system. The dialectic, in its general movement, takes specific differences, differences-in-themselves, and negates their individual being, on the way to a “superior” unity. Deleuze argues in Difference and Repetition that this step of Hegel’s mistakes ontology, history and ethics.

“Beneath the platitude of the negative lies the world of ‘disparateness'” (DR 267). There is no resolution of the differences-in-themselves into a higher unity that does not fundamentally misunderstand difference. Here Deleuze is clearly recalling his Spinozist and Nietzschean ontology of a single substance that is expressed in a multiplicity of ways (cf. DR 35-42; 269): In a famous sentence, he writes: “A single voice raises the clamour of being.” (DR 35)

Hegel is famous for asserting that the negating dialectic is the motor of history, proceeding towards the often-caricatured end of history and the realisation of absolute spirit. For Deleuze, history does not have a teleological element, a direction of realisation; this is only an illusion of consciousness (cf. SPP 17-22):

History progresses not by negation and the negation of negation, but by deciding problems and affirming differences. It is no less bloody and cruel as a result. Only the shadows of history live by negation . . . (DR 268)

Finally, regarding ethics, Deleuze argues that an ontology based on the negative makes of ethical affirmation a secondary, derived possibility: “The false genesis of affirmation . . .: if the truth be told, none of this would amount to much if it was not for the moral presuppositions and practical implications of such a distortion.” (DR 268)

c. Repetition and Time

For Deleuze, the central stake in the consideration of repetition is time. As with difference, repetition has been subjected to the law of the identical, but also to a prior model of time: to repeat a sentence means, traditionally, to say the same thing twice, at different moments. These different moments must be themselves equal and unbiased, as if time were a flat, featureless expanse. So repetition has essentially been considered as the traditional idea of difference over time understood in a common-sense way, as a succession of moments. Deleuze asks if, given a renovated understanding of difference as in-itself, we are able to reconsider repetition also. But there is also an imperative here, since, if we are to consider difference-in-itself over time, based in the traditional logic of repetition, we once again reach the point of identity. As such, Deleuze’s critique of identity must revaluate the question of time.

Deleuze’s argument proceeds through three models of time, and relates the concept of repetition to each of them.

The first is time as a circle. Circular time is mythical and seasonal time, the repetition of the same after time has passed through its cardinal points. These points may be simple natural repetitions, like the sun rising daily, the movement of summer to spring, or the elements of tragedy, which Deleuze suggests operate cyclically. There is a sense of both destiny and theology in the concept of time as a circle, as a succession of instants which are governed by an external law.

When time is considered in this fashion, Deleuze argues (DR 70-9), repetition is solely concerned with habit. The subject experiences the passing of moments cyclically (the sun will come up every morning), and contracts habits which make sense of time as a continually living present. Habit is thus the passive synthesis of moments that creates a subject.

The second model of time is linked by Deleuze to Kant (KCP vii-viii), and it constitutes one of the central ruptures that the Kantian philosophy creates in thought, for Deleuze: this is time as a straight line. In the Critique of Pure Reason, Kant liberates time from the circular model by proposing it as a form that is imposed upon sensory experience. For Deleuze, this reverses the earlier situation by placing events into time (as a line), rather than seeing the chain of events constituting time by the passing of present moments.

Habit can thus no longer have any power, since in this model of time, nothing returns. In order for sense to be made of what has occurred, there must be an active process of synthesis, which makes of the past instances a meaning (DR 81). Deleuze calls this second synthesis memory. Unlike habit, memory does not relate to a present, but to a past which has never been present, since it synthesises from passing moments a form in-itself of things which never existed before the operation. The novels of Marcel Proust are for Deleuze the most profound development of memory as the pure past, or in Proust’s terminology, as time regained. (DR 122; PS passim)

In this second model of time, repetition thus has an active sense in line with the synthesis, since it repeats something, in the memory, that did not exist before – this does not save it, however, from being an operation of identity, nonetheless. These two moments, the active constitution of a pure past, and the disparate experience of a present yet to be synthesised produces a further consequence for Deleuze: as in Kant, a radical splitting of the subject into two elements, the I of memory, which is only a process of synthesis, and a self of experience, an ego which undergoes experience. (DR 85-7; KCP viii-ix)

Deleuze insists that both of these models of time press repetition into the service of the identical, and make it a secondary process with regards to time. The final model of time that Deleuze proposes attempts to make repetition itself the form of time.

In order to do this, Deleuze relates the concepts of difference and repetition to each other. If difference is the essence of that which exists, constituting beings as disparates, then neither of the first two models of time does justice to them, insisting as they do on the possibility and even necessity of synthesising differences into identities. It is only when beings are repeated as something other that their disparateness is revealed. Consequently, repetition cannot be understood as a repetition of the same, and becomes liberated from subjugation under the demands of traditional philosophy.

To give body to the conception of repetition as the pure form of time, Deleuze turns to the Nietzschean concept of the eternal return. This difficult concept is always given a forceful and careful qualification by Deleuze whenever he writes about it (eg. DR 6;41; 242; PI 88-9; NP 94-100): that it must not be considered as the movement of a cycle, as the return of the identical. As a form of time, the eternal return is not the circle of habit, even on the cosmic level. This would only allow the return of something that already existed, of the same, and would result again in the suppression of difference through an inadequate concept of repetition.

While habit returned the same in each instance, and memory dealt with the creation of identity in order to allow experience to be remembered, the eternal return is, for Deleuze, only the repetition of that which differs-from-itself, or, in Nietzsche’s terminology, only the repetition of those beings whose being is becoming: “The subject of the eternal return is not the same but the different, not the similar but the dissimilar, not the one but the many . . .” (DR 126)

As such, Deleuze tells us, repetition as the third meaning of time takes the form of the eternal return. Everything that exists as a unity will not return, only that which differs-from-itself. “Difference inhabits repetition.” (DR 76). So, while habit was the time of the present, and memory the being of the past, repetition as the eternal return is the time of the future.

The superiority of this third understanding of repetition as time has two main impetuses in Deleuze’s argument. The first is obviously that it keeps difference intact in its movement of differing-from-itself. The second is as significant, if for different reasons. If only what differs returns, then the eternal return operates selectively (DR 126; PI 88-9), and this selection is an affirmation of difference, rather than an activity of representation and unification based on the negative, as in Hegel.

d. The Image of Thought

Chapter three of Difference and Repetition provides a novel approach to an important question in philosophy, the problem of presuppositions. Deleuze pursues this topic again later in A Thousand Plateaus (374-80), and when he writes about conceptual personae in What is Philosophy? (ch. 3); he had already written on images of thought in Nietzsche and Philosophy (103-10) and Proust and Signs (94-102).

An example is Descartes’ celebrated phrase at the beginning of the Discourse on the Method:

Good sense is the most evenly shared thing in the world . . the capacity to judge correctly and to distinguish the true from the false, which is properly what one calls common sense or reason, is naturally equal in all men . .

For Descartes, thought has a natural orientation towards truth, just as for Plato, the intellect is naturally drawn towards reason and recollects the true nature of that which exists. This, for Deleuze, is an image of thought.

Although images of thought take the common form of an ‘Everybody knows . . .’ (DR 130), they are not essentially conscious. Rather, they operate on the level of the social and the unconscious, and function, “all the more effectively in silence.” (DR 167)

Deleuze undertakes a thorough analysis of the traditional philosophical image of thought, and lists eight features which, in all aspects of philosophical pursuit, imply a subordination of thought to externally imposed directives. He includes the good nature of thought, the priority of the model or recognition as the means of thought, the sovereignty of representation over supposed elements in nature and thought, and the subordination of culture to method (or learning to knowledge). These all imply an a priori nature of thought, a telos, a meaning and a logic of practice. These features,

crush thought under an image which is that of the Same and the Similar in representation, but profoundly betrays what it means to think and alienates the two powers of difference and repetition, of philosophical commencement and recommencement. (DR167)

It is this element, in Difference and Repetition, that founds Deleuze’s most serious criticism of the traditional image of thought: that it fails to come to terms with the true nature of difference and repetition. As a result, it is fair to say that this moment of the book is essential for understanding the way in which Deleuze both wants to base his assessment of traditional philosophies of identity and time, and how he wishes to exceed them: his reformulation of difference and repetition is made possible by this critique (cf. N 149).

The other critical angle Deleuze supplies here is related to the first, and derives from Nietzsche’s critique of Western thought:

When Nietzsche questions the most general presuppositions of philosophy, he says that these are essentially moral, since Morality alone is capable of convincing us that thought has a good nature and the thinker a good will, and that only the good can ground the supposed affinity between thought and the True. (DR132; cf. LS 3)

As we saw above regarding Hegel, the real point of concern is that this image of thought is in the service of practical, political and moral forces, it is not simply a matter of philosophy, in segregation from the rest of the world.

To the question ‘why do we have this image of thought?’ Deleuze, along with Nietzsche, that it is a moral image, and is in the service of power, but there is also a more intrinsic problem with thinking itself, that is only fully developed in the Conclusion to What is Philosophy?, and this is that thought itself is dangerous.

In contradistinction to the natural goodness of thought in the traditional image, Deleuze argues for thought as an encounter: “Something in the world forces us to think.” (DR 139) These encounters confront us with the impotence of thought itself (DR 147), and evoke the need of thought to create in order to cope with the violence and force of these encounters. The traditional image of thought has developed, just as Nietzsche argues about the development of morality in The Genealogy of Morals, as a reaction to the threat that these encounters offer. We can consider the traditional image of thought, then, precisely as a symptom of the repression of this violence.

As a result, the relationship of philosophy to thought must have two correlative aspects, Deleuze argues:

an attack on the traditional moral image of thought, but also a movement towards understanding thought as self-engendering, an act of creation, not just of what is thought, but of thought itself, within thought (DR 147).

This is true, dangerous thought, but the sole thought capable of approaching difference-in-itself and complex repetition: thought without an image. .

The thought which is born in thought, the act of thinking which is neither given by innateness nor presupposed by reminiscence but engendered in its genitality, is a thought without image. But what is such a thought, and how does it operate in the world? (DR 167; cf. 132)

This final question directs us towards the central aim of the two texts of Capitalism and Schizophrenia.

5. Capitalism And Schizophrenia – Deleuze And Guattari

The collaborative texts of Deleuze and Felix Guattari, particularly the two volumes of Capitalism and Schizophrenia, are outside of the scope of the current article (see the Deleuze and Guattari entry in this encyclopaedia, forthcoming). However, two brief points are important to note.

First, that despite the wide notoriety of these works as obscurantist and non-philosophical, they bear a profound relation to Deleuze’s philosophical enterprise in general, and develop in new ways many of his concerns: a commitment to an immanent ontology, the importance of the social and the political to the very heart of being, and the affirmation of difference over the transcendental hierarchy in every aspect of this work.

Secondly, the manner in which these texts are written by the two writers, between the two and not seperately, means that many new elements emerge that cannot be drawn from their work individually. As such, regarding Deleuze, many of the central ideas cited above do undergo an interesting and novel transformation into a new direction: the very type of relationship characterised in Capitalism and Schizophrenia as a becoming.

6. Literature, Cinema, Painting

Deleuze’s work on the arts, he never ceases to remind the reader, are not to be understood as literary criticism, film or art theory. Talking of the 1980’s, during which he wrote almost exclusively on the arts, he states the following:

let’s suppose that there’s a third period when I worked on painting and cinema: images on the face of it. But I was writing philosophy. (N 137)

This accords with the aims of Deleuze’s empiricism (see (3) above), to understand philosophy as an encounter (with a work, philosophical or artistic, an object, a person) out of which “non-pre-existent concepts,” (DR vii) can be created. Regarding his books on cinema, he is even more explicit:

Film criticism faces twin dangers: it shouldn’t just describe films but nor should it apply to them concepts taken from outside film. The job of criticism is to form concepts that aren’t of course ‘given’ in films but nonetheless relate specifically to cinema, and to some specific genre of film, to some specific film or other. Concepts specific to cinema, but which can only be formed philosophically. (N 58; C2 280)

All of Deleuze’s work on artists can be assembled under the rubric of the creation of new philosophical concepts that relate specifically to the work at hand, yet which also link these works with others more generally. Not a philosophy of the arts per se, but a philosophical encounter with specific artistic works and forms.

One feature that the artistic works also contain, distinct from many of Deleuze’s other books, is a concern with a taxonomy of signs. In Proust and Signs, Francis Bacon, and the Cinema books, Deleuze attempts to develop a systematic approach of classifying different signs. These signs are not linguistic (C1 ix), since they are not themselves elements of a system, but rather are types of emissions from a work. Proust, for example, on Deleuze’s account, understands experience itself as a reception of signs by a proto-subject which must be understood properly, just as the large variety of images discussed in Cinema 1 and 2 are categorised by Deleuze on the basis of C.S. Peirce’s semiotics.

Deleuze often comes to consider the questions ‘what is the nature of the artist, and of art?’ Aside from his specific elaborations of these questions in What is Philosophy?, he is concerned to emphasise the radically active creative nature of art and artists in his work in general. This characterisation goes far beyond the general consideration of artists as ‘creative people’, and highlights the manner in which art is itself a creation of movement, not of representations: that is, something radically new, an affect, a movement of force or desire (cf. PS xi.,187 n1).

While the dominant Western tradition, from Plato to Heidegger, places art in a relationship to truth, Deleuze insists in every case on a Nietzschean argument (NP 102-3), that the work of art only has relations with forces, and that truth is a derivative, secondary formation: art is active.

In another register, Deleuze suggests that artists are themselves created, within thought, and must be cultured and afflicted by forces which exceed them to develop to the point of creativity (NP 103-9; cf. (4)(d) above). These forces, in turn, account for the frequent frailty of artists and thinkers. While the work of art sets to work forces of life, the artist themselves has experienced “too much”, and this wearies and sickens them (D 18; C2 189).

Deleuze’s insistences that the artist is above all someone who creates new ways of being and perceiving increases in frequency and strength throughout the course of his texts on art and artists.

a. Literature

Deleuze wrote extensively on literature throughout his career. Aside from dedicating whole works to Proust (Proust and Signs 1964), Leopold von Sacher-Masoch (“Coldness and Cruelty”1969), and Kafka (Kafka: Towards a Minor Literature 1975), and a large portion of The Logic of Sense to Lewis Carroll, he also dealt in some detail with a wide range of figures such as F. Scott Fizgerald, Herman Melville, Samuel Beckett, Antonin Artaud, Heinrich von Kleist, and Fyodor Dostoyevsky.

i. Marcel Proust

It is quite easy, if one wishes to attach a philosophical point of view to Marcel Proust’s work, to see it as a phenomenology of memory and perception, in which his famous text In Search of Lost Time would be oriented towards an understanding of what underlies and gives substance to experience and memory.

In essence, Deleuze proposes the opposite of the phenomenological method. He reads Proust’s work as an anti-logos, that supposes, rather than a transcendental ego which is the necessary feature of all experience, a passive, receptive subject at the mercy of the signs and symptoms of the world.

For what does in fact take place in In Search of Lost Time, one and the same story with infinite variations? It is clear that the narrator sees nothing, hears nothing . . like a spider poised in its web, observing nothing, but responding to the slightest sign . . . (AO 68)

Rather than memory, the central question of the Search, being based within the subject, and as the product of certain transcendental operations, it is a creation of something which did not exist before by way of an original, each-time unique, style of interpretation for experiences (PS 101). Deleuze uses the term ‘anti-logos’ on the grounds that Proust, as he argues, refuses the representational model of experience central to Western philosophy:

Everywhere Proust contrasts the world of signs and symptoms with the world of attributes, the world of hieroglyphs and ideograms with the world of analytic expression, phonetic writing, and rational thought. What is constantly impugned are the great themes inherited from the Greeks: philos, sophia, dialogue, logos, phone. (PS 108)

In contrast, Deleuze characterises the Search as a recasting of thought: thought is creative and not reminiscent (Platonic and phenomenological).

ii. Leopold von Sacher-masoch

Masoch features in a few of Deleuze’s books (K 66-7; D 119-23), but most significantly in his long study “Coldness and Cruelty”. This early text is a critique of the unity of the clinical and aesthetic notion “sado-masochism”.

Deleuze argues here that this clinical concept fails to account for the actual writings of the Maquis de Sade and Sacher-masoch, along with making an unjustified unity from a two quite distinct groups of symptoms.

Masoch is considered by Deleuze to be an important writer of unusual power, and a master of suspense, the key literary element of masochism. However, while de Sade has become well-known, and his writings analysed, Deleuze suggests that our poor understanding of Masoch’s texts is one of the main culprits in making the confused unity that is sadomasochism. In fact, according to Deleuze, he offers us a new way of understanding existence by displacing sexuality into the world of power (M 12). Thus, Deleuze tells us, Masoch was in fact, “a great anthropologist.” (M 16)

Point by point, Deleuze develops a reading of the two writers, Masoch in particular, that shows their profound disparity. Alongside this is an analysis of the psychiatric categories of sadism and masochism that reveals the same lack of common ground.

Sadomasochism is one of these misbegotten names, a semiological howler. We found in every case that what appeared to be a common ‘sign’ linking the two perversions together turned out on investigation to be in the nature of a mere syndrome which could be further broken down into irreducibly specific symptoms of the one or the other perversion. (M 134)

In “Coldness and Cruelty”, Deleuze also elaborates a critique of Freud that points in the direction of Anti-Oedipus, although clearly more limited in scope.

iii. Franz Kafka

Kafka: towards a minor literature can be distinguished from Deleuze’s other texts on literature in that it was written with Guattari, and it strongly bears the stamp of Anti-Oedipus, published just three years earlier, and the concepts utilised there. In many ways, it can be read as a development of the same themes in regard to Kafka’s work.

This text is a marked departure from all of the dominant interpretations of Kafka’s writing, which is generally considered either psychoanalytically (as a projection of interior guilt onto the world through writing) or mythically, that is, as a reserve of symbols and closely related to negative theology and Jewish mysticism. Deleuze and Guattari consider Kafka as a proponent of a joyful science, of writing as a way of creating a line of flight or freedom from the forms of domination. They write:

The three worst themes in many interpretations of Kafka are the transcendence of the law, the interiority of guilt, the subjectivity of enunciation. (K 45)

In contrast, Deleuze and Guattari read Kafka as a proponent of the immanence of desire. The law is no more than a secondary configuration that traps desire into certain formations: bureaucracy, of course, is the main example in Kafka’s work, where offices, secretaries, lawyers and bankers present figures of entrapment.

They also see Kafka as directly targeting the Oedipus complex, the triangle of “daddy-mommy-me”:

the too-well formed family triangle is really only a conduit for investments of an entirely different sort that the child endlessly discovers underneath his father, inside his mother, in himself. The judges, commissioners, bureaucrats, and so on, are not substitutes for the father; rather, it is the father who is a condensation of all these forces that he submits to and that he tries to get his son to submit to. (K 11-2)

Thus, for Kafka, according to Deleuze and Guattari, the family are a socially derived unit that works by trapping the flow of desire. The interiority of guilt is replaced by the exteriority of subjugation. This is best demonstrated in the analysis of Kafka’s famous short story, The Metamorphosis (K 14-5).

They also wish to read Kafka, not as a writer of genius, who expresses the superior insight of his inner sight, but as a writer of minor literature. This is the key concept of Deleuze and Guattari’s reading of Kafka. Minor literature is a writing that takes a dominant language (German, in Kafka’s case, French in Beckett’s, and so forth), and pushes it until it becomes a language of force, and not of signification (K 19). In turn, this connects immediately with the situation of minorities, minority groups in the first instance, but also the attempts that everyone makes to create a line of flight outside of majoritarian or molar social formations.

As such, minor literature is an immediately political writing (K 17), which connects the text immediately to (micro-) political struggle. Thus the third substitution is the collective, that is, political, nature of enunciation, for the traditional model of the subjective intent behind the author’s words. Kafka, for Deleuze and Guattari, writes as a node in a field of forces, rather than a Cartesian cogito, sovereign in the castle of consciousness. “The superiority of Anglo-american literature”

One clear feature of Deleuze’s relationship to literature is his outspoken appreciation for what he calls Anglo-American literature, and its superiority over the literature of Europe.

What we find in great English and American novelists is a gift, rare among the French, for intensities, flows, machine-books, tool-books, schizo-books. (N 23)

The great European tradition in literature is analogous for Deleuze to traditional philosophy: it always revolves around a relationship to truth, the preservation of some kind of social status quo, the sovereignty of the author over the text; as Deleuze states, “everybody says “cogito” in the French novel.”

The strength of Anglo-american literature for Deleuze is rather that it rejects the idea of the book as a representation of reality, and all of the adjacent problems with the dogmatic image of literature, and presents the book as a machine, as something which does things, rather than signifying.

b. Cinema

Part of the reason for the impact of Deleuze’s writings on cinema is simply that he is the first important philosopher to have devoted such detailed attention to it. Of course, many philosophers have written about movies, but Deleuze offers an analysis of the cinema itself as an artistic form, and develops a number of connections between it and other philosophical work.

Deleuze’s first book is entitled Cinema 1: The Movement-Image. It deals with cinema from its development through to the second World War. For Deleuze, the cinema as an art form is quite unique, and deals with its subject matter in ways that no other form of art is capable of, particularly as a way of relating to the experience of space and time.

Deleuze’s analysis begins by coming to new understandings of the concepts of the image and movement. The image, above all, is not a representation of something, that is, a linguistic sign. This definition relies upon the age-old Platonic distinction between form and matter, in its modern Saussurean form of signifier-signified. Rather, Deleuze wants to collapse these two orders into one, and the image thus becomes expressive and affective: not an image of a body, but the body as image (C1 58).

This collapse comes about with reference to two philosophers, Henri Bergson and Charles Sanders Peirce. Deleuze dedicated a book-length study to the former entitled Bergsonism (1968), and his use of his notions of movement and time in the Cinema texts is already presaged by this text. Movement for Bergson, Deleuze argues, is not separable from the object which moves: they are literally the same thing. Thus, no representative relationship can be established without artificially halting the flow of movement and thus misconstruing the frozen ‘element’ as self-sufficient. There is only the flow of movement which expresses itself in different ways. Among other things, this is one of Deleuze’s critiques of phenomenology (C1 56, 60). Thus the early cinema is characterised for Deleuze by the reign of what he calls the sensory-motor schema. This schema is the unity of the viewed and the eye that views in dynamic movement.

This model of the movement-image is precisely the nature of cinema, for Deleuze. It does not falsify movement by extracting segments and stringing them together in a representative fashion, but creates a wide range of expressive images. It is in order to come to terms with the varieties of movement-images that Deleuze turns to Peirce, who developed, “the most extraordinary classifications of images and signs . . .” (C2 30). The main part of Cinema 1 is thus devoted to using, with some alterations, Peirce’s semiotic classifications to describe the use of movement-images in cinema, and their centrality before the second World War.

The movement from the first text to Cinema 2: The Time-Image has a significance closely related to Kant’s so-called Copernican revolution in philosophy. Up until Kant, time was subject to the events that took place within it, time was a time of seasons and habitual repetition (see (3)(c) above); it was not able to be considered on its own, but as a measure of movement (C2 34-5; KCP iv.). One element of Kant’s achievement for Deleuze, as we have seen, is his reversal of the time-movement relationship: he establishes time itself as an element to which movement must be subordinated, a pure time.

In the cinema, Deleuze argues, a similar reversal takes place. The historico-cultural reason behind this reversal is the event of World War two itself. With the great truths of Western culture put so deeply in question by the before unimaginable methods employed and their forthcoming results, the sensory-motor apparatus of the movement-image are made to tremble before the unbearable, the too-much of life’s possibilities, the potential of the present (C2 35). No longer could the dogmatic truths that had guided society, and cinema to an extent, allow the apparently ‘natural’ movement from one thing to the next in an habitual fashion: ‘natural’ links precisely lost their efficacy. And with the use of unnatural or false links, which do not follow the sequence or narrative affect of the movement-image, time itself, the time-image, is manifested in cinema (Deleuze considers Orson Welles to be the first auteur to make use of the time-image (C2 137)). Rather than finding time as an, “indirect representation,” (C2 35-6), the viewer experiences the movement of time itself, which images, scenes, plots and characters presuppose or manifest in order to gain any sort of movement whatsoever.

Along with this ‘external’ reason, there is also for Deleuze a motivation within cinema itself to go from the movement-image to the time-image. The movement image has the tendency, thanks to the habitual experience of movement as normal and centered, to justify itself in relation to truth: as Deleuze argues with regard to the dogmatic image of thought (see (3)(d) above), there is the presupposition that thought naturally moves towards truth. Of course, Deleuze suggests, cinema, when truly creative, never relied upon this presupposition, and yet, “the movement-image, in its very essence, is answerable to the effect of truth which it invokes while movement preserves its centres.” (C2 142). In questioning its own presuppositions, Deleuze argues, cinema moved towards a new, different, way of understanding movement itself, as subordinate to time.

This in turn leads Deleuze to abandon Peirce’s semiotics to a large degree, since it has no room for the time-image (C2 33-4ff.), and replaces him with Nietzsche. As we have seen in our consideration of time in Difference and Repetition (see (3)(c) above), Nietzsche is the philosopher who Deleuze considers to have made the crucial move with regard to time, surpassing even Kant.

One of the central consequences for cinema that this move from movement-image to time-image makes again highlights one of Deleuze’s central concerns, to establish an ontology and a semiology of force: “What remains? There remain bodies, which are forces, nothing but forces.” (C2 139) Since the cinema of the time-image is concerned to liberate images from carrying or implying time in order to form narrative (no less than liberating time itself from narrative), images are themselves free now to express forces, “shocks of force,” (C2 139). Scenes, movements and language become expressive rather than representative.

c. Painting

Deleuze’s central work in the visual arts is his monograph Francis Bacon: logique de la sensation (the logic of sensation), but he also engages with a large number of other figures in various texts (eg. TP 492-500; WP ch.7), such as Turner (AO 132), Van Gogh, Klee, Kandinsky and Cezanne.

Deleuze’s book on Francis Bacon, as the title suggests, is an attempt to construct a logic of sensations from the artist’s work (FB 7). This task is largely a taxonomic one. Deleuze develops, throughout the book, a number of key categorial notions and new concepts that allow him to move away from the standard representational view of painting, towards a painting of force, that presents force and creates affects (sensations) rather than representing or describing a scene. Three central ideas are at work.

The first is an elaboration of the concept of Figure. For Deleuze, while the idea of figuration in painting has largely been representational, he sees Bacon, and to some extent Cezanne before him (FB 40, 76), collapsing the Figure into the world of forces, placing it in a new relation to force. Thus Bacon’s cries, for which he is famous, place the figure in the presence of force: “. . . painting will place the visible cry, the mouth which cries, into a relation with force.” (FB 41). For Deleuze the cry expresses an extreme moment of life, rather than suffering or horror. As with Kafka, Deleuze takes Bacon’s artistic work, is commonly considered very dark and nihilistic, and considers it as a true sign of life, and of struggle with death.

The second, a refrain familiar from all of his work, relates to a notion of force that makes it ontologically and artistically fundamental rather than politically oppressive, much as desire is reconfigured in Capitalism and Schizophrenia. It is in fact this move that allows Deleuze’s general ‘positivism’ towards Bacon, as we have just seen: “Everything . . . is in relation with forces, everything is force.” (FB 40) In Francis Bacon, Deleuze thus creates the notion of ‘color-force’, in order to understand how color can be expressive of force rather than representative (FB 94-7).

Finally, Deleuze draws on the difference between Western, representational models of vision, and the haptic style of Egyptian art, in which he sees a development of a mode of writing/drawing which resists being hypostased into the content/form duality common to philosophical understandings of art.

7. What Is Philosophy?

We have already seen the significance of empiricism for Deleuze’s philosophy ((3) above). Throughout his work, however, Deleuze gives a number of further formulations concerning the aim and nature of philosophy. These can be understood in two phases, an early critical naturalism and a later vitalist constructivism.

a. Early reflections – Naturalism

In his early works in the history of philosophy, culminating with The Logic of Sense, Deleuze expresses an essentially critical model of philosophy. In his book on Nietzsche, he writes:

When someone asks ‘what’s the use of philosophy?’ the reply must be aggressive, since the question tries to be ironic and caustic. Philosophy does not serve the State or the Church, who have other concerns. It serves no established power. The use of philosophy is to sadden. A philosophy which saddens no one, that annoys no one, is not a philosophy. It is useful for harming stupidity, for turning stupidity into something shameful. Its only use is the exposure of all forms of baseness of thought. . . . Philosophy is at its most positive as a critique, as an enterprise of demystification. (NP 106)

It seems that this is the sole moment in Deleuze’s published work where he uses the term ‘sadden’ in a positive manner, as something desirable, and this is an indication of the strength by which he considers philosophy, in this early sense, as an exercise in naturalism in the sense that Lucretius uses this term, that is, as an attack on all forms of mystification. Commenting on Lucretius, Deleuze makes the following, extremely similar, remark:

The speculative object and the practical object of philosophy as Naturalism, science and pleasure, coincide on this point: it is always a matter of denouncing the illusion, the false infinite, the infinity of religion and all of the theologico-erotic-oneiric myths in which it is expressed. To the question ‘what is the use of philosophy?’ the answer must be: what other object would have an interest in holding forth the image of a free man, and in denouncing all of the forces which need myth and troubled spirit in order to establish their power? (LS 278)

Deleuze’s philosophical naturalism is thus critical, Spinozist and Nietzschean: it sets as the aim of philosophy the attack of all that belittles life: the sad passions of Spinoza, the passive and reactive forces of Nietzsche, and mythology, in Lucretian terms. Naturalism must not here be understood as opposed to a cosmopolitanism, or constructivism, Deleuze tells us. Rather, “Naturalism . . . directs its attack against the prestige of the negative; it deprives the negative of all of its power; it refuses the spirit of the negative the right to speak in the name of philosophy.” (LS 279)

Mythology, in the sense of these texts, is the eternal danger for the operation of thought. Deleuze summarises this immanent threat within thought (cf. (4)(d) above) as the threat of stupidity:

Philosophy could have taken up the problem with its own means and with the necessary modesty, by considering the fact that stupidity is never that of others but the object of a properly transcendental question: how is stupidity […] possible? (DR 151)

b. “What is Philosophy?” – constructivism

From Difference and Repetition onwards, Deleuze, while maintaining this critical aspect for philosophy, develops a thorough-going constructivist view which manifests itself in the final collaboration between Deleuze and Guattari, What is Philosophy? This text involves arguments about three central notions: the creation of concepts, the presuppositions of philosophy, and the relations between philosophy, science and art.

As we have seen, a certain doctrine of empiricist constructivism runs through Deleuze’s work from the beginning, and on a number of levels. In What is Philosophy? this becomes the central and explicit theme: “philosophy is the art of forming, inventing, and fabricating concepts”. (WP 2)

The philosopher’s only business is concepts, Deleuze and Guattari tell us, and the concept belongs only to philosophy (WP 34). This is already clear when we consider Deleuze’s writings on the arts, which he considers to be philosophical (see (6) above).

The fortunes of the concept, due to lack of attention by philosophers, have fallen, to the point at which even marketing has taken hold of it, in, “the general movement that replaced Critique with sales promotion.” (WP 10) However, Deleuze and Guattari insist, philosophy still only has meaning vis a vis the concept.

A concept is distinctly featured. It is a multiplicity, not in itself a single thing, but an assemblage of components which must retain coherence with the others for the concept to remain itself (in this sense, it closely resembles the Spinozist body). These components are singularities: “‘a’ possible world, ‘a’ face, ‘some’ words . . .” (WP 20), and yet become indiscernible when a part of a concept. Each concept also has a relationship to other concepts by way of the similar problems that they address, and by having similar component elements, and Deleuze and Guattari describe their relations by the use of the term vibration (WP 23).

Above all, however, the concept must not be confused with the proposition, as in logic (WP 135 ff.), which is to say that it is agrammatical. There is no necessary relation between concepts, nor is there any given way of relating. The logical functions of either/or, both/and and so forth, do not do justice to the each-time created nature of conceptual relations. Neither does the concept have a reference, in the way that a proposition does. Rather, it is intensive and expresses the virtual existence of an event in thought: consider Descartes’ famous cogito, which expresses the virtual individual in relation to themselves and the world.

Finally, a concept has no relationship to truth, which is an external determination, or presupposition, that places thought at the service of the dogmatic image of thought: “The concept is a form or a force” (WP 144). As such, concepts act, they are affective, rather than significatory, or expressive of the contents of ideas.

The question of presuppositions, already dealt with via the concept of the image of thought (see (4)(d) above), is examined in much greater depth by Deleuze and Guattari in What is Philosophy? Indeed, their answer involves two new concepts, the conceptual personae, and the plane of immanence.

Conceptual personae (WP ch. 3) are the figures of thought that give concepts their specific force, their raison d’être. They are to be confused with neither psycho-social types (WP 67), nor with the philosophers themselves (WP 64), but are like concepts created. Deleuze and Guattari argue that conceptual personae, while often only implicit in philosophy, are decisive for understanding the significance of concepts. To take again Descartes’ cogito, the implicit conceptual persona is the idiot, the regular person, uneducated, untrained in philosophy, potentially betrayed by their senses at every turn, and yet, able to have perfectly clear and distinct knowledge of themselves, through the certainty of the ‘I think, therefore I am’. Also mentioned are Nietzsche’s famous personae, both sympathetic and anti-pathetic: Zarathustra, the last man, Dionysus, the Crucified, Socrates, and so forth. (WP 64)

Conceptual personae are, for Deleuze and Guattari, internal, non-philosophical preconditions for the practice of creating concepts. These personae, in turn, are related to the plane of immanence. This concept has clear and significant resonances with other important elements of Deleuze’s thought, above all with his monist ontology of forces, and with his practical emphasis on Nietzsche and Spinoza’s ethics as non-transcendental.

The plane of immanence (WP ch. 2) in thought is opposed to the transcendent in traditional philosophy. Each time that a transcendent is raised (Descartes’ cogito, Plato’s ideas, Kant’s categories), thought is arrested, and philosophy is placed at the service of dominant ideas. For Deleuze and Guattari, all of these instances of the transcendental stem from the same problem: insisting that immanence be immanent to “something”. (WP 44-5)

For thought to exist, for concepts to be formed and then given body through conceptual personae, they must operate immanently, without the rule of a “Something” that organises or stratifies the plane of immanence. Concepts exist on the plane of immanence, and each philosopher, Deleuze and Guattari tell us, must create such a plane.

The other main concern of What is Philosophy? is to come to an understanding of the relations between philosophy, art and science respectively. Deleuze and Guattari argue that each discipline involves the activity of thought, and that in each case it is a matter of creation. What differs is the sphere of creation and the manner in which it is populated.

Art is concerned with the creation of percepts and affects (WP 164), which are together sensation. Percepts are not perceptions, in that they do not refer to a perceiver, and neither are affects the feelings or affections of someone. Just as we saw with concepts, affects and percepts are independent beings which exist outside of the experience of a thinker, and have no reference to a state of affairs. Deleuze and Guattari write: “The work of art is a being of sensation and nothing else: it exists in itself.” (WP 164) The correlate of the conceptual persona in art is the figure (which is investigated in great depth in Deleuze’s text on Bacon, see (6)(c) above), and for the plane of immanence, art is created on the plane of composition, which is likewise immanent only to itself, and populated with the pure forces of percepts and affects (WP 196).

The situation with science is similar. Science is the activity of thought that creates functions. These functions, in contrast to concepts, are propositional (WP 117), and form the fragments from which science is able to piece together a kind of makeshift language, one which however, does not have any prior relation to truth, any more than philosophy does. Functions have meaning in creating a referential point of view, for Deleuze and Guattari, that is, in creating a basis from which things can be measured. As such, the first great functions are those such as absolute zero Kelvin, the speed of light etc., in relation to which a plane of reference is assumed. The plane of reference, again immanent to the functions that populate it, gains consistency through the strength and effectiveness of its functions. Also presupposed by science, in What is Philosophy?, are partial observers, the scientific counterpart of conceptual personae and artistic figures.

The figure of the partial observer in science, as in philosophy, is frequently implicit, and exists to give direction to functions: we could consider Gallileo as an example, whose functions regarding cosmology relate to a plane of reference that gives a greater consistency to the functions that the previous planes, which often relied upon a religious transcendental structure that damaged and made scientific thinking difficult by imposing a moral image of thought. The partial observer in this case would be a figure that makes certain functions in particular take shape and gain force regarding a certain phenomena, such as the relation of the sun to the moon: the heliocentrist.

8. References and Further Reading

a. Main texts

Below is a list of Deleuze’s main works, in order of their original publication in French. Francis Bacon: logique de la sensation is currently the only major work without a complete English translation, although one is currently being completed, and should be expected shortly. Indicated in parentheses after the original publication date are the initials by which each text is referred to above. In addition to the following, another resources seem particularly useful to those not familiar with Deleuze: a long three-part interview conducted with Claire Parnet, L’Abécédaire de Gilles Deleuze. Parnet suggests a topic for each letter of the alphabet, and Deleuze’s answers, in most cases, are both substantial and revealing. The video set is available to purchase in French.

  • Empiricism and Subjectivity (1953 ES) trans. Constanine Boundas (1991: Columbia University Press, New York)
  • Nietzsche and Philosophy (1962 NP) trans. Hugh Tomlinson (1983: Althone Press, London)
  • Kant’s Critical Philosophy (1963 KCP) trans. Hugh Tomlinson and Barbara Habberjam (1983: Althone Press, London)
  • Proust and Signs (1964 PS) trans. Richard Howard (2000: University of Minnesota Press, Minneapolis)
  • “Coldness and Cruelty” in Masochism (1967 M) trans. Charles Stivale (1989: Zone Books, New York)
  • Bergsonism (1968 B) trans. Hugh Tomlinson and Barbera Habberjam (1988: Zone Books, New York)
  • Difference and Repetition (1968 DR) trans. Paul Patton (1994: Colombia University Press, New York)
  • Expressionism in Philosophy: Spinoza (1968 EPS) trans. Martin Joughin (1990: Zone Books, New York)
  • The Logic of Sense (1969 LS) trans. Mark Lester and Charles Stivale (1990: Columbia University Press, New York)
  • Spinoza: Practical Philosophy (1970 SPP) trans. Robert Hurley (1988: City Light Books, San Francisco)
  • (with Guattari) Anti-Oedipus – Capitalism and Schizophrenia (1972 AO) trans. Robert Hurley, Mark Seem, and Helen Lane (1977: Viking Press, New York)
  • (with Guattari) Kafka: Towards a Minor Literature (1975 K) trans. Dana Polan (1986: University of Minnesota Press, Minnesota)
  • (with Claire Parnet) Dialogues (1977 D) trans. Hugh Tomlinson and Barbera Habberjam (1987: Althone Press, London)
  • (with Guattari) A Thousand Plateaus – Capitalism and Schizophrenia (1980 TP) trans. Brian Massumi (1987: University of Minnesota Press, Minneapolis)
  • Francis Bacon: logique de la sensation (1981 FB: Éditions de la différence, Paris)
  • Cinema: The Movement Image (1983 C1) trans. Hugh Tomlinson and Barbera Habberjam (1989: University of Minnesota Press, Minnesota)
  • The Time Image (1985 C2) trans. Hugh Tomlinson and Robert Galeta (1989: University of Minnesota Press, Minnesota)
  • Foucault (1986 F) trans. Sean Hand (1988: University of Minnesota Press, Minneapolis)
  • The Fold: Leibniz and the Baroque (1988 FLB) trans. Tom Conley (1993: University of Minnesota Press, Minneapolis)
  • Negotiations (1990 N) trans. Martin Joughin (1995: Columbia University Press, New York)
  • (with Guattari) What is Philosophy? (1991 WP) trans. Hugh Tomlinson and Graham Burchell (1994: Columbia University Press, New York)
  • Essays Critical and Clinical (1993) trans. Smith and Greco (1997: University of Minnesota Press, Minneapolis)
  • Pure Immanence: Essays on a life ed. John Rajchman trans. Anne Boymen (2001 PI: Zone Books, New York)

b. Secondary texts

A good text that deals systematically with the whole body of Deleuze’s work, that is also quite easy to read, is the Rajchman volume. Regarding Capitalism and Schizophrenia, there are a number of commentaries available; the Massumi text is perhaps the best known and most consistent, although the general level of all secondary texts in this area is very difficult. The Clamour of Being, by Alain Baidou is a controversial interpretation of Deleuze’s work, particularly his ontology, from the perspective of another important French philosopher who knew Deleuze. Michel Foucault’s 1977 article, “Theatricum Philosophicum,” is also a significant and well-known interpretation of Difference and Repetition and The Logic of Sense.

i. Books and Collections of Essays

  • Ansell-Pearson ed., Deleuze and Philosophy: the difference engineer (1997: Routledge, New York) – chapters 2-5, 6, 7 and 13 especially
  • Badiou, Alain Deleuze: the Clamour of Being trans. Louise Burchill (2000: University of Minnesota Press, Minneapolis)
  • Boundas and Olkowski eds., Gilles Deleuze and the Theatre of Philosophy (1994: Routledge, New York)
  • Buchanan and Colebrook eds., Deleuze and Feminist Theory (2000: Edinburgh University Press, Edinburgh)
  • Hardt, Michael Gilles Deleuze: an apprenticeship in philosophy (1993: University of Minnesota Press, Minneapolis)
  • Lecercle, J. Philosophy through the Looking-Glass: Language, Nonsense, Desire (1985: Hutchinson Press, London)
  • Marks, John Gilles Deleuze: Vitalism and Multiplicity (1998: Pluto Press, London)
  • Massumi, Brian A User’s Guide to Capitalism and Schizophrenia – deviations from Deleuze and Guattari (1992: MIT Press, Cambridge)
  • Patton, Paul Deleuze and the Political (2000: Routledge, New York)
  • Rajchman, John The Deleuze Connections (2000: MIT Press, Cambridge)

ii. Additional Uncollected Articles

  • Braidotti, Rosi “Embodiment, Sexual Difference, and the Nomadic Subject” in Hypatia vol 8, no. 1, pp. 1-13 (Winter 1993)
  • Derrida, Jacques “I’m going to have to wander all alone” in Brault and Nass eds., The Work of Mourning pp. 192-5 (2001: University of Chicago Press, Chicago)
  • Eribon, Didier “Sickness unto life – the life and works of Gilles Deleuze” Artforum, v34. no. 7 (March 1996)
  • Foucault, Michel “Theatrum Philosophicum” in Language, Counter-memory, Practice trans. Donald Bouchard and Sherry Simon pp 165-198 (1977: Cornell University Press, Ithaca)
  • Goulimari, Pelagia “A minoritarian feminism? Things to do with Deleuze and Guattari” Hypatia v14 i2 pp. 97-9 (Spring 1999)
  • Neil, David “The Uses of Anachronism: Deleuze’s History of the Subject” Philosophy Today 4: 42 Winter pp. 418-31 (1998)

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Empedocles (c. 492—432 B.C.E.)

empedoclesEmpedocles (of Acagras in Sicily) was a philosopher and poet: one of the most important of the philosophers working before Socrates (the Presocratics), and a poet of outstanding ability and of great influence upon later poets such as Lucretius. His works On Nature and Purifications (whether they are two poems or only one – see below) exist in more than 150 fragments. He has been regarded variously as a materialist physicist, a shamanic magician, a mystical theologian, a healer, a democratic politician, a living god, and a fraud. To him is attributed the invention of the four-element theory of matter (earth, air, fire, and water), one of the earliest theories of particle physics, put forward seemingly to rescue the phenomenal world from the static monism of Parmenides. Empedocles’ world-view is of a cosmic cycle of eternal change, growth and decay, in which two personified cosmic forces, Love and Strife, engage in an eternal battle for supremacy. In psychology and ethics Empedocles was a follower of Pythagoras, hence a believer in the transmigration of souls, and hence also a vegetarian. He claims to be a daimôn, a divine or potentially divine being, who, having been banished from the immortals gods for ‘three times countless years’ for committing the sin of meat-eating and forced to suffer successive reincarnations in an purificatory journey through the different orders of nature and elements of the cosmos, has now achieved the most perfect of human states and will be reborn as an immortal. He also claims seemingly magical powers including the ability to revive the dead and to control the winds and rains.

Table of Contents

  1. Life
  2. Works
  3. Physics and Cosmology
    1. Physics
    2. Cosmology
  4. Biology
    1. Origin of Species
    2. Embryology
    3. Perception and Thought
  5. Ethics and the Journey of the Soul
    1. The Daimôns and Transmigration of Souls
    2. Meat-Eating and Sin
    3. Theology
    4. Physics and Theology
  6. References and Further Reading
    1. Texts and Commentaries
    2. Studies

1. Life

The most detailed source for Empedocles’ life is Diogenes Laertius’ Lives of the Eminent Philosophers 8.51-75. Perhaps because of his claims to divine status and magical powers a remarkable number of apocryphal stories gathered around the life of Empedocles in antiquity. His death in particular attracted attention and is reported to have occurred in several, clearly bathetic, ways: that he fell overboard from a ship and drowned; that he fell from his carriage, broke his leg and died; that he hanged himself; or the most famous account that, when he felt he was shortly to die and because he wished to appear to have been apotheosized, he leapt into the crater of Etna. In this story the ruse was unfortunately discovered when one of his trademark bronze sandals was thrown up by the volcano.

From more reliable sources it seems that he was born at Acragas in Sicily around 492 B.C.E. and died at the age of sixty. He was the son of a certain Meton, and was from an important and wealthy local aristocratic family: his grandfather, also called Empedocles, is reported to have been victorious in horse-racing at the Olympic Games in 496 B.C.E. It is not known where or with whom he studied philosophy, but various teachers are assigned to him by ancient sources, among them Parmenides, Pythagoras, Xenophanes, Anaxagoras and Anaximander (from whom he is said to have inherited his extravagant mode of dress). Whether or not he was his pupil, Empedocles was certainly very familiar with the work of Parmenides from whom he took the inspiration to write in hexameter verse, and whose physical system he adopts in part, and partly seeks to rectify.

He is reported to have been wealthy and to have kept a train of boy attendants and also to have provided dowries for many girls of Acragas. In dress he affected a purple robe with a golden girdle, bronze sandals, and a Delphic laurel-wreath, and in his manner he was grave and cultivated a regal public persona. These attributes contrast with his political outlook which is uniformly reported to have been actively pro-democratic. He began his political career with the prosecution of two state officials for their arrogant behaviour towards foreign guests which was seen as a sign of incipient tyrannical tendencies. He is also credited with activities against other anti-democratic citizens, and even with putting down an oligarchy and instituting a democracy at Acragas by use of his powers of rhetorical persuasion. Two speeches of his in favour of equality are also mentioned. His surviving poetry certainly shows considerable rhetorical skills, and indeed he is credited by Aristotle with the invention of rhetoric itself. Another report is of his breaking up a shadowy aristocratic political organisation called the ‘Thousand’. As a whole the tradition presents a picture of Empedocles as a popular politician, rhetorician, and champion of democracy and equality. This appears to fit in with the known history of Acragas where after the death of the popular and enlightened tyrant Theron in 473 B.C.E. his son Thrasydaeus proved to be a violent despot. After his forcible removal a democracy was established despite continuing political tensions.

As well as a being a philosopher, poet and politician, Empedocles was famous for his medical skills and healing powers. In his works he presents himself as a wandering healer offering to thousands of eager followers ‘prophecies’ and ‘words of healing for all kinds of illnesses’ (fr. 112 (Fragment numbers are those of Diels-Kranz)). He also promises his addressee Pausanias ‘you will learn remedies (pharmaka) for ills and help against old age’ and even ‘you will lead from Hades the life-force of a dead man’. To what degree this represents the real Empedocles is not known, but a tradition grew up of him as both a renowned physician and a practitioner of more magical cures, or as a charlatan. These stories however, may well derive from Empedocles’ own words in his poetry. On the other hand his work does show considerable interest in biology and especially in embryology and he was eminent enough as a writer on medicine to be attack ed by the writer of the Hippocratic treatise On Ancient Medicine who attempts to separate medicine from philosophy and rejects Empedocles’ work along with all philosophical medical works as irrelevant. The stories of his wonder-working such as curing entire plagues, reviving the dead and controlling the elements are clearly exaggerated at least, but it is becoming clearer, especially since the discovery of the Strasbourg fragments (see below), that, contrary to many former interpretations, Empedocles did not make a clear separation between his philosophy of nature and the more mystical, theological aspects of his philosophy, and so may well have seen no great difference in kind between healing ills through empirical understanding of human physiognomy and healing by means of sacred incantations and ritual purifications. His public as well may have made no great distinction between ‘scientific’ and sacred medicine as is suggested by the account of Empedocles curing a plague by restoring a fresh water-supply, after which he was venerated as a god.

2. Works

Empedocles work survives only in fragments, but luckily in a far greater number than any of the other Presocratics. These fragments are mostly quotations found in other authors such as Aristotle and Plutarch. Although many works, including tragedies and a medical treatise, are attributed to Empedocles by ancient sources no fragments of these have survived, and the extant fragments all come from a work of hexameter poetry traditionally entitled On Nature (Peri Phuseôs) or Physics (Phusika) and some from a possibly separate work called Purifications (Katharmoi). Of these two titles On Nature is by far the better attested and nearly all the fragments which are cited by ancient authors along with the title of the work they came from are attributed to On Nature, while only two are attributed to the Purifications. Because the fragments contain both material that clearly refers to physics and cosmology – the four elements, the cosmic cycle etc. – and also material concerning the fate of the soul, sin and purification, traditionally the former were placed in reconstructions of On Nature, and the latter in the Purifications. Indeed Empedocles’ writings contain ideas and themes that may seem quite incompatible with one another. On Natureas usually reconstructed seemed the work of a mechanist physicist which seeks to replace the traditional gods with four lifeless impersonal elements and two cosmic forces of attraction and repulsion, Love and Strife. The Purifications on the other hand seemed the work of a deeply religious Pythagorean mystic: it was often thought that Empedocles either wrote the Purifications as a move away from the mechanistic materialist position in On Nature, or that the Purifications were an addendum to On Nature, looking at the world from quite a different perspective.

However there have long been doubts about whether there were really two poems or only one poem (perhaps called On Nature and Purifications or with On Nature and Purifications as alternative titles for the same work) which contained both physical and religious material. First, although we may think of a poem called Physics as restricting itself to physical concerns alone, this may well be an anachronistic retrojection of modern rationalistic ideas of a gulf between physics and religion. Further, ancient book titles tend to be generic and there is a long tradition of works called either On Nature (Peri Phuseôs) or Physics (Physika) by various authors, with the earliest attested title for such works being On the Nature of the Universe (Peri Phuseôs tôn Ontôn ‘On the Nature of Things that Exist’), and so neither title may be Empedocles’ own and the two may perhaps be interchangeable different titles for the same work. Although there is still argument on this subject the Strasbourg fragments now suggest strongly that both physical and religious material was originally together in On Nature.

In 1990 the first ancient papyrus fragments of Empedocles were rediscovered at the University of Strasbourg and were published in 1999. Since these were also the first papyrus fragments of any of the Presocratics their discovery caused considerable excitement. Among other important new information they give about Empedocles’ philosophy, with great good fortune fr. a, the longest of the new fragments, was found to be a continuation of the longest of the previously known fragments (fr. 17) and thus now the two together form a continuous text of 69 lines. Fr. 17 is cited by Simplicius as being from book one of On Nature, and again very fortunately Strasbourg fr. a(ii) contains a marginal note by the manuscript copyist identifying line 30 of fr. a(ii) as line 300 of book one of On Nature. Since the Strasbourg fragments seem to have come from a single piece of papyrus, and they also overlap with a formerly known religious fragment usually placed in the Purifications (fr. 1 39) it now seems very likely that Empedocles introduced the themes of sin and purification early on in the physical poem. In fact it can now be argued that all of the fragments of the Purifications can be accommodated in the early part of book one of On Nature.

3. Physics and Cosmology

a. Physics

The foundations of Empedocles’ physics lie in the assumption that there are four ‘elements’ of matter, or ‘roots’ as he calls them, using a botanical metaphor that stresses their creative potential: earth, air, fire and water. These are able to create all things, including all living creatures, by being ‘mixed’ in different combinations and proportions. Each of the elements however, retains its own characteristics in the mixture, and each is eternal and unchanging. The positing of these four roots of matter forms part of a tradition of opposite material creative principles in Presocratic philosophy, but it also has its origins in an attempt to counter the theories of Parmenides who had argued that the world is single and unchanging since nothing can come from nothing and nothing can be destroyed into nothing: the theory known as Eleatic monism. Empedocles’ response was to appropriate Parmenides’ ideas and to use them against themselves. Nothing can come from nothing nor be destroyed into nothing (fr. 12), and therefore, in order to rescue the reality of the phenomenal world, there must be assumed to exist something eternal and unchanging beneath the constant change, growth and decay of the visible world. Empedocles then, transfers the changelessness that Parmenides attributes to the entire world to his four elements, and replaces the static singularity Parmenides’ world with a dynamic plurality. The four elements correspond closely to their expression at the macroscopic level of nature, with the traditional quadripartite division of the cosmos into earth, sea, air, and the fiery aether of the heavenly bodies: these four naturally occurring ‘elements’ of the cosmos clearly represent a fundamental natural division of matter at the largest scale. This division at the macroscopic level of reality is applied reductively at the microscopic level to produce a parallelism between the constituents of matter and the fundamental constituents of the cosmos, but the reduction of the world into four types of material particles does not deny the reality of the world we see, but instead validates it. Empedocles stresses this parallel between the elements at the different levels of reality by using the terms ‘sun’ ‘sea’ and ‘Earth’ interchangeably with ‘fire’, ‘water’ and ‘earth’. Of the four elements, although Empedocles stresses their equality of powers, fire is also granted a special role both in its hardening effect on mixtures of the other elements and also as the fundamental principle of living things.

b. Cosmology

Empedocles also posits two cosmic forces which work upon the elements in both creative and destructive ways. These he personifies as Love (Philia) – a force of attraction and combination – and Strife (Neikos) – a force of repulsion and separation. Whether these cosmic forces are to be envisaged in simply mechanistic terms as descriptions of the way things happen, or as expressions of internal properties of the elements, or as external forces that act upon the elements, is not clear. It is also unclear whether the two forces are to be seen as impersonal mechanistic physical forces or as intelligent divinities that act in purposive ways in creation and destruction. Evidence can be found for all these interpretations. What is clear is that these two forces are engaged in an eternal battle for domination of the cosmos and that they each prevail in turn in an endless cosmic cycle. The details of this cosmic cycle are also difficult to establish, but the most widely accepted interpretation is represented in the following diagram:

EmpGraph

Beginning from the top of the diagram and proceeding clockwise, when Love is completely dominant she draws all the elements fully together into a Sphere in which, although the elements are not fused together into a single mass, each is indistinguishable from the others. The Sphere then, is an a-cosmic state during which no matter can exist, and no life is possible. Then as Love’s power gradually weakens and Strife begins to grow in power, he gradually separates out the elements from the Sphere until there is enough separation for matter to come into existence, for the world to be created and for all life to be born. When Strife has achieved total domination we again get an a-cosmic state in which the elements are separated completely and the world and all life is destroyed in a Whirl. Then Love begins to increase in power and to draw the elements together again, and as she does so the world is again created and life is again born. When Love has achieved full dominan ce we return once more to the sphere. As Empedocles puts it in fr. 17.1-8:

A twofold tale I shall tell: at one time it grew to be one only from many, and at another again it divided to be many from one. There is a double birth of what is mortal, and a double passing away; for the uniting of all things brings one generation into being and destroys it, and the other is reared and scattered as they are again being divided. And these things never cease their continuous exchange of position, at one time all coming together into one through Love, at another again being borne away from each other by Strife’s repulsion.

The cosmos exists in a state of constant flux then, beneath which there is a certain sort of stability in the eternity of the elements. The world is in a constant state of organic evolution, and there appear to be two different creations and two different worlds which have no direct link between them. According the most widely accepted interpretation Empedocles considered that we ourselves inhabit the world under the increasing power of Strife.

4. Biology

Empedocles’ physics have a particularly biological focus as is indicated by his choice of the botanical metaphor of ‘roots’ for what were later called ‘elements’. The term ‘roots’ stresses the creative potential of the roots rather than illustrating the way they create things by being mixed in different combinations: ‘elements’ (stoicheia in Greek, elementa in Latin) is the word for the letters of the alphabet, and is a metaphor that stresses the ability of the elements of matter to form different types of matter by interchange of position just as a limited number of letters are able to form all sorts of different words on the page. To illustrate this aspect of the creative abilities of his roots Empedocles uses an analogy with the way painters can use a limited number of colours to create all sorts of different colours and represent all the different productions of nature.
Fr. 23:

As painters, men well taught by wisdom in the practice of their art, decorate temple offerings when they take in their hands pigments of various colours, and after fitting them in close combination – more of some and less of others – they produce from them shapes resembling all things, creating trees and men and women, animals and birds and water-nourished fish, and long-lived gods too, highest in honor; so let not error convince you in your mind that there is any other source for the countless perishables that are seen, but know this clearly, since the account you have heard is divinely revealed.

Among other aspects, this analogy exhibits Empedocles’ tendency to think about the creative abilities of the elements in terms of their biological products, here a characteristically Empedoclean list of creatures representing the different orders of nature: plants, humans, land animals, birds, and fish, as well as gods. If painters use a mixture of a small number of pigments to produce copies of the works of nature, then the same process is productive of those works of nature. In other ways as well in his presentation of the cosmic cycle and the endless combination and separation of the elements he tends to elide the distinction between the elements and the life-forms they produce. Just as in the parallel he draws between the elements of the cosmos on both microscopic and macroscopic levels, so a close parallel is drawn between living creatures and their constituent elements.

a. Origin of Species

Empedocles presents us with the earliest extant attempt at producing a detailed rational mechanism for the origin of species. Greek traditions include the aetiological myths of the origin of a particular species of animal by transformation from a human being (many of these ancient mythological aetiologies are collected by Ovid in the Metamorphoses). The origins of humans, or of particular heroes, founders of cities or of races is frequently explained by what I term a botanical analogy: they originally emerged autochthonously from the ground just as plants do today, and this is also standard in ancient scientific theories as well: the original spontaneous generation of life from the earth, with all creatures emerging in their present species. Empedocles attempts to provide a comprehensive mechanism for the origins not simply of humans or of a particular animal but of all animal life, including humans, and a rational mechanism that would seem to do away with the need for any design in creatures or any external agency to order them and separate them into their individual species.

In Strasbourg fr. a(ii) 23-30 we now find the following lines in which Empedocles seemingly introduces his account of zoogony:

I will show you to your eyes too, where they find a larger body: first the coming together and the unfolding of birth, and as many as are now remaining of this generation. This [is to be seen] among the wilder species of mountain-roaming beasts; this [is to be seen] in the twofold offspring of men, this [is to be seen] in the produce of the root-bearing fields and of the cluster of grapes mounting on the vine. From these convey to your mind unerring proofs of my account: for you will see the coming together and unfolding of birth.

Empedocles promises an exposition of zoogony and the origin of species which, from the examples he gives – wild animals, humans and plants – is clearly intended to encompass all animal and plant life, including humans. He appeals to present day species as proofs of his theories: we can see both the products of this process of zoogony around us in nature today and also, it seems, we can see the same processes still going on today. That the theory refers to present day species rather than creatures in some counter world is underlined by the stress Empedocles puts on ‘as many as are now remaining of this generation’. So the theory is intended to explain the origin and development of all life and refers specifically to the animals and plants around us today, both as examples of and as proofs of the theory he will propose. This process of generation he describes by the repeated ‘the coming together and the unfolding of birth’. This seems to posit two processes which work, either together or separately, to produce the life we see around us today: a process of coming together and also a process of unfolding or perhaps more strictly ‘unleafing’ since the metaphor originates from the leaves of plants. So the second part of this process of zoogony involves a botanical metaphor: just as in the traditional botanical analogy of the myths of autochthony, an appeal to the development and growth of plants is used to describe the process of the development of all life.

According to fragments B57, B59, B60, and B61, first of all individual limbs and organs were produced from the earth. These wandered separately at first and then under the combining power of Love they came together in all sorts of wild and seemingly random hybrid combinations, producing double fronted creatures, hermaphrodites, ox-faced man creatures and man-faced ox-creatures. This weird picture is explained by Aristotle in the Physics and later in more detail by Simplicius in his commentary on the Physics as a theory of the origin of species in which, as we would put it, a certain form of natural selection is operative. The creatures assembled wrongly from parts of disparate animals will die out, either immediately, or by being unable to breed, and only the creatures by chance put together from homogeneous limbs will survive and so go on to found the species that we see today. The production of species and their ordering then is explained by a mechanistic process long recognised as a forerunner of Darwin’s theory of natural selection. Unlike in Darwin’s theory however, there would seem to be no gradual evolution of one species into another, and all of the variety of nature is produced in a great burst of birth in the beginning and is then whittled down by extinctions into the creatures we see today. That this theory intends to account for the origins of both humans and animals is ensured by the component parts of the ox-headed man-creatures and man-headed ox-creatures. There will clearly also be created by this system man-headed man-creatures and ox-headed ox-creatures, that is to say normal oxen and normal humans, although they are not mentioned. Further evidence that this zoogony relates to present day creatures is given by Aristotle and Simplicius who tell us that this process is still going on today.

However, Empedocles also adds to this theory another explanation of the origins of humans very much along the lines of traditional myths of autochthony. In fr. B62 and Strasbourg fr. d he describes the ‘shoots’ of men and women arising from the earth, drawn up by fire as it separates out from the other elements during the creation under the power of increasing Strife. As his choice of the word ‘shoots’ indicates these are not yet fully articulated people with distinct limbs but ‘whole-nature forms’ that ‘did not as yet show the lovely shape of limbs, or voice or language native to man’. We may assume that as Strife increases in power these ‘shoots’ will, just as plant buds do, gradually become fully articulated with distinct limbs and features. So human origins are accounted for by a botanical analogy, with humans as biological productions of the earth itself. This theory is also intended to account for modern-day as humans, as Strasbourg fr. d tells us ‘even now daylight beholds their remains’. So both the creation under Love and the creation under Strife refer to the origins of modern plants, animals, and humans. This is problematic since according to the picture of the cosmic cycle given above the world created by Strife is quite separate from that created by Love, and two quite different explanations are given by Empedocles for each creation of life. Various attempts have been made to account for this, including a radical revision of the cosmic cycle in order to allow both creations of life to take place within the same world, and also seeing the two different worlds of the cosmic cycle as more useful devices for examining different aspects of creation separately than absolutely chronologically separate phases of a cycle: the work of Love in combining creatures and the work of Strife in articulating them would then actually take place at the same time, but are simply described as operative in chronologically separate phases.

b. Embryology

Empedocles is an exponent of the pangenetic theory of embryology. In this theory inheritance of characteristics from both mother and father is explained by each of the two parents’ limbs and organs creating tiny copies of themselves. These miniature limbs and organs then flow together in the generative seed and when the two seeds combine in the womb the father’s seed may provide the model for the nose, while the mother’s seed the model for the eyes and so on. This is an elegant way of accounting for inheritance of characteristics, but this is unlikely to be the whole story. As Aristotle points out there are strong conceptual similarities between Empedocles’ embryology and the creation under Love in which we see the coming together of pre-formed limbs creating life. So Empedocles thinks of the original formation of animals as a process analogous to the present day formation of the embryo in the womb. From his description in Strasbourg fr. a (ii) 23-30 ‘the coming together and unfolding of birth’ we seem to have two processes that are at work in the formation of both present day creatures and the original creation of life. The ‘coming together’ describes both the original coming together of the limbs of the first creatures and also the coming together of the tiny limbs in conception. The other side of the creative process, the ‘unfolding’ is illustrated by the creation under Strife of the ‘shoots of men and pitiable women’ whose limbs are at first not fully articulated or defined: they will undergo a process of ‘unfolding’ just like plant buds and become fully developed humans. This ‘unfolding’ is clearly paralleled in embryology by the gradual development and growth of the embryo in the womb. Therefore it may be best to think of the tiny limbs and organs contained in the generative seed not as fully developed limbs and organs, but as the genetic material that contains the potential for the development of limbs and organs. This is so mewhat speculative, but would provide Empedocles with a much more nearly truly evolutionary theory of the origin of species than had previously been ascribed to him. Certainly the differentiation into the two sexes is described in terms of potential: the warmth of the womb determines whether the embryo will be male or female, cf. fr B 65: ‘They were poured in pure places; some met with cold and became women’, fr. B 67: ‘For the male was warmer . . . this is the reason why men are dark, more powerfully built, and hairier’. It may be that other characteristics are also determined or informed by environmental factors as well.

c. Perception and Thought

Empedocles seems to have been the first philosopher to give a detailed explanation of the mechanism by which we perceive things. His theory, criticised by Aristotle and Theophrastus, is that all things give off effluences and that these enter pores in the sense organs. The pores and the effluences will be of varying shapes and sizes and so only certain effluences enter certain sense-organs if they meet pores of the correct size and shape to admit them. Further, perception is achieved by the attraction of similars: we perceive light colours with fire in the eye, dark colours with water, smell is achieved by the presence of breath in the nostrils etc.

As Theophrastus complains, perception is closely linked to thought by Empedocles, cf. fr. B109:

With earth, we perceive earth, with water water, with air divine fire, with fire destructive fire, with love love, and strife with baneful strife.

fr. B 107:

All things are fitted together and constructed out of these, and by means of them they think and feel pleasure and pain.

In B 109 Empedocles moves from perception of physical elements to ethical perceptions using the same theory of perception by similars, while in B 107 we can see the theory used to account more directly for thought itself. Hence for Empedocles there is a close link between what we perceive and what we think. Further our thoughts will also be affected by our own physical constitutions (B 108). This process of the attraction of like to like is operative from the most fundamental level with the parts of the roots of matter being attracted to their like, right up to the highest level of the purest mixture which is the highest form of thought. Hence it seems that everything in nature has a share in perception and intelligence, cf. fr. 110.10: ‘know that all things have intelligence and a share of thought’.

5. Ethics and the Journey of the Soul

a. The Daimôns and Transmigration of Souls

Plutarch cites the following fragment as coming from ‘the beginning of Empedocles’ philosophy’, fr. B 115:

There is a decree of necessity, ratified long ago by gods, eternal and sealed by broad oaths, that whenever one in error, from fear, defiles his own limbs, having by his error made false the oath he swore – daimôns to whom life long-lasting is apportioned – he wanders from the blessed ones for three-times countless years, being born throughout the time as all kinds of mortal forms, exchanging one hard way of life for another. For the force of air pursues him into the sea, and sea spits him out onto earth’s surface, earth casts him in the rays of blazing sun, and sun into the eddies of air; one takes him from another, and all abhor him. I too am now one of these, an exile from the gods and a wanderer, having put my trust in raving Strife.

Traditionally Plutarch’s seeming attribution of this fragment to On Naturewas assumed to be incorrect and it was placed in the Purifications instead. However from the evidence of the Strasbourg fragments it seems that it may well be that Plutarch was correct, since they contain a description of the details of the sin Empedocles accuses himself of in fr. 115, cf. Strasbourg fr. d lines 5-6:

‘Alas that merciless day did not destroy me sooner, before I devised with my claws terrible deeds for the sake of food’

In fr. 115 Empedocles describes himself as a ‘daimôn’, a being to whom long life has been granted, but who has committed the sin of meat-eating and bloodshed and consequently is punished by banishment from the company of the immortal gods. The banishment lasts three myriads of years, either ‘three-times countless years’ or thirty thousand years. In either case he must atone for his sin by being repeatedly reincarnated into all the different living forms of the different orders of nature. Elsewhere he says: ‘For before now I have been at some time boy and girl, bush, bird, and a mute fish in the sea’ (fr. B 117). Empedocles then, has already suffered this nearly endless cycle of reincarnations having been seemingly hurled down to the lowest rung of the scale of nature but has worked his way up, has been purified at last and, as he tells us in fr. B. 112, is himself now an immortal god. There are others too numbered among the daimôns, those who ‘at the end … come among men on earth as prophets, minstrels, physicians and leaders, and from these they arise as gods, highest in honour.’ (fr. 146). It is not entirely clear whether we are meant to imagine the daimôns as an entirely separate class of blessed being with a different creation and a different fate from ourselves, the ordinary mortals, or as people who began as ordinary mortals but who, having purified themselves and having achieved perfection, are now approaching divine status. The latter reading would perhaps make more sense in terms of Empedocles’ didactic ethical mission: if we are all potentially perfectable, then his purificatory teaching becomes much more crucial. Empedocles himself, as his life shows, has achieved all four of the states that qualify the daimôns for immortality, he is a prophet, a minstrel, a physician and a leader, and can now pass on his wisdom to those on earth whom he is about to leave behind when he rejoins the company of the immortals. As can be seen from the description above, there are strong similarities between Empedocles and the teachings of Pythagoras on the transmigration of souls. Empedocles is clearly a follower of Pythagoras, in his ethics and psychology at least, and shares his vegetarianism and pacifism.

b. Meat-Eating and Sin

Slaughter and meat-eating are the most terrible of sins, indeed for him animal slaughter is murder and meat-eating is cannibalism, as shown by fr. 137:

The father will lift up his dear son in changed form, and blind fool, as he prays he will slay him, and those who take part in the sacrifice bring the victim as he pleads. But the father, deaf to his cries, slays him in his house and prepares an evil feast. In the same way son seizes father, and children their mother, and having bereaved them of life devour the flesh of those they love.

Here, in terms reminiscent of Hesiod’s description of the coming horrors of the Iron Age in Works and Days, we see the appalling consequences of meat-eating: murder, cannibalism, the destruction of whole families and, by extrapolation, of entire societies. This is a radical position in both political and religious terms. Plato’s Protagoras in the eponymous dialogue can simply assume that all men agree that warfare is ‘a fine and noble thing’. For Empedocles warfare, one fundamental plank of the Greek city state, is the most appalling of all evils and is punished by the immortals by hurling the perpetrators not only out of their society, but out of human society and even down to the level of the lowest forms of nature.

c. Theology

In religious terms as well traditional animal sacrifice, another fundamental basis of Greek society, becomes the grossest impiety of all. A probably apocryphal tale reports that Empedocles sacrificed an ox made of honey and meal at Olympia, the religious heart of Greece: a pointed act of criticism of traditional religion. Further evidence for his radical theology lies in his appropriation of the names of the Olympian gods for his roots of matter and his cosmic forces. Implicitly he argues that the Olympian gods came into being as misinterpretations of the natural world: the real ‘gods’ are the elements of nature and the cosmic forces that direct their endless evolutionary cycle. His religious and ethical teachings then are of purification of the soul in an attempt to achieve perfection and unity with perfect Love. He pictures a time in the past, a sort of golden age, when this universal harmony existed, fr. B 128:

They did not have Ares as god or Kydoimos, nor king Zeus, nor Kronos, nor Poseidon but queen Kypris [Love]. Her they propitiated with holy images and painted animal figures, with perfumes of subtle fragrance and offerings of distilled myrrh and sweet-smelling frankincense, and pouring on the earth libations of golden honey. Their altar was not drenched by the unspeakable slaughter of bulls, but this was the greatest defilement among men – to bereave of life and eat noble limbs.

fr. B 130:

All creatures, both animals and birds, were tame and gentle to men, and bright was the flame of their friendship.

Originally people worshipped only one god, Love, and this resulted in universal harmony, even between humans and animals. Implicitly the argument runs that the worship of the Olympian gods he mentions, Ares, Zeus and Poseidon, and the sacrifices they demand have destroyed this harmony, resulting in worship also of Kydoimos, the personification of the noise of battle. Traditional religion with their sacrificial slaughter and meat-eating have had a degrading effect on society.

d. Physics and Theology

As I say above it now seems very likely that Empedocles discussed purificatory topics early on in his poem On Nature. Unlike for modern rationalists then, it seems that for Empedocles there was no fundamental divide between physics and religion. Indeed as can be seen from fr. B 115 above the sin of the daimôn results in an expiatory journey of the soul not only through the different orders of living creatures but through the physical elements of the cosmos. Empedocles draws a close analogy between the cycle of the soul and the cycle of the cosmos itself. This is a hallmark of his work: frequently he uses the same language whether describing the journey of the soul or the cycle of the elements. Sometimes in the Strasbourg fragments the description of the elements coming together under the power of Love is rendered as ‘we are coming together’. His sin, in fr. 115, he describes as resulting from having put his trust in raving Strife, one of his cosmic forces, and conversely in fr. 130 we see the people of the golden age worshipping the other cosmic force, Love. Clearly there is more than a little cross-over between physics and ethics for Empedocles. How this works in detail is hard to pin down but perhaps the best reading we can give of On Natureis that it represents the detailed expression of the cycle of the soul at the level of the entire cosmos. The endless evolutionary cycling of the elements is in fact part of the cycle of the soul.

(Note: all translations are by M. R. Wright except those of the Strasbourg fragments which are by O. Primavesi and A. Martin.)

6. References and Further Reading

a. Texts and Commentaries

  • Bollack, J. Empédocle, (Paris, 1965-9), 4 vols. With Greek text, French translation, and commentary.
  • Diels, H. and W. Kranz, Die Fragmente der Vorsokratiker (Berlin, 1952), vol. 1, ch. 31, 276-375. Greek text of both fragments (B) and testimonia (A) with German translation.
  • Wright, M. R. (2nd edn.), Empedocles the Extant Fragments (London, 1995). With Greek text, English translation, introduction and commentary.
  • Inwood, B. The Poem of Empedocles (Toronto, 1992). With Greek text, facing English translation and introduction.
  • Martin, A. and O. Primavesi, L’Empédocle de Strasbourg: (P. Strasb. gr. Inv. 1665-1666) (Berlin/Strasbourg, 1998). With Greek text, French and English translations, introduction, commentary, and English summary.

b. Studies

  • Gemelli Marciano, L. “Le ‘demonologie’ empedoclee: problemi di metodo e altro”, Aevum Antiquum 1 (2003), 205-35
  • Gemelli Marciano, L. Le metamorfosi della tradizione: mutamenti de significato e neologismi nel Peri physeos di Empedocle (Bari, 1999).
  • Guthrie, W.K.C. A History of Greek Philosophy vol. 2 (Cambridge 1969), ch. 3
  • Kingsley, P. Ancient Philosophy, Mystery and Magic: Empedocles and Pythagorean Tradition (Oxford, 1995)
  • Kirk, G. S. and J.E. Raven, M. Schofield, (2nd edn.), The Presocratic Philosophers (Cambridge 1983), ch. 10.
  • O’Brien, D. Empedocles’ Cosmic Cycle (Cambridge, 1969)
  • Osborne, C. ‘Empedocles recycled’, Classical Quarterly NS 37 (1987), 24-50
  • Osbourne, C. ‘Rummaging in the recycling bins of Upper Egypt: a discussion of A. Martin and O. Primavesi, ZL’ Empédocle de Strasbourg’, Oxford Studies in Ancient Philosophy 18 (Oxford, 2000), 329-56.
  • Sedley, D. N. ‘Empedocles’ life cycles’, in Proceedings of the Symposium Tertium Mykonense (forthcoming, 2004)
  • Solmsen, F. ‘Love and Strife in Empedocles’ cosmology’, Phronesis 10 (1965), 123-45; repr. in R.E. Allen and D.J. Furley (eds), Studies in Presocratic Philosophy, (London, 1975), vol. 2, 221-64.
  • Trépanier, S. ‘Empedocles on the ultimate symmetry of the world’, Oxford Studies in Ancient Philosophy 24 (2003), 1-57
  • Trépanier, S. Empedocles: An Interpretation (London, 2004)

Author Information

Gordon Campbell
Email: gordon.l.campbell@may.ie
National University of Ireland, Maynooth
Ireland

Ralph Waldo Emerson (1803—1882)

emersonIn his lifetime, Ralph Waldo Emerson became the most widely known man of letters in America, establishing himself as a prolific poet, essayist, popular lecturer, and an advocate of social reforms who was nevertheless suspicious of reform and reformers. Emerson achieved some reputation with his verse, corresponded with many of the leading intellectual and artistic figures of his day, and during an off and on again career as a Unitarian minister, delivered and later published a number of controversial sermons. Emerson’s enduring reputation, however, is as a philosopher, an aphoristic writer (like Friedrich Nietzsche) and a quintessentially American thinker whose championing of the American Transcendental movement and influence on Walt Whitman, Henry David Thoreau, William James, and others would alone secure him a prominent place in American cultural history. Transcendentalism in America, of which Emerson was the leading figure, resembled British Romanticism in its precept that a fundamental continuity exists between man, nature, and God, or the divine. What is beyond nature is revealed through nature; nature is itself a symbol, or an indication of a deeper reality, in Emerson’s philosophy. Matter and spirit are not opposed but reflect a critical unity of experience. Emerson is often characterized as an idealist philosopher and indeed used the term himself of his philosophy, explaining it simply as a recognition that plan always precedes action. For Emerson, all things exist in a ceaseless flow of change, and “being” is the subject of constant metamorphosis. Later developments in his thinking shifted the emphasis from unity to the balance of opposites: power and form, identity and variety, intellect and fate. Emerson remained throughout his lifetime the champion of the individual and a believer in the primacy of the individual’s experience. In the individual can be discovered all truths, all experience. For the individual, the religious experience must be direct and unmediated by texts, traditions, or personality. Central to defining Emerson’s contribution to American thought is his emphasis on non-conformity that had so profound an effect on Thoreau. Self-reliance and independence of thought are fundamental to Emerson’s perspective in that they are the practical expressions of the central relation between the self and the infinite. To trust oneself and follow our inner promptings corresponds to the highest degree of consciousness.

Emerson concurred with the German poet and philosopher Johann Wolfgang von Goethe that originality was essentially a matter of reassembling elements drawn from other sources. Not surprisingly, some of Emerson’s key ideas are popularizations of both European as well as Eastern thought. From Goethe, Emerson also drew the notion of “bildung,” or development, calling it the central purpose of human existence. From the English Romantic poet and critic Samuel Taylor Coleridge, Emerson borrowed his conception of “Reason,” which consists of acts of perception, insight, recognition, and cognition. The concepts of “unity” and “flux” that are critical to his early thought and never fully depart from his philosophy are basic to Buddhism: indeed, Emerson said, perhaps ironically, that “the Buddhist . . . is a Transcendentalist.” From his friend the social philosopher Margaret Fuller, Emerson acquired the perspective that ideas are in fact ideas of particular persons, an observation he would expand into his more general—and more famous—contention that history is biography.

On the other hand, Emerson’s work possesses deep original strains that influenced other major philosophers of the nineteenth and twentieth centuries. The German philosopher Friedrich Nietzsche read Emerson in German translations and his developing philosophy of the great man is clearly influenced and confirmed by the contact. Writing about the Greek philosopher Plato, Emerson asserted that “Every book is a quotation . . . and every man is a quotation,” a perspective that foreshadows the work of French Structuralist philosopher Roland Barthes. Emerson also anticipates the key Poststructuralist concept of différance found in the work of Jacques Derrida and Jacques Lacan—“It is the same among men and women, as among the silent trees; always a referred existence, an absence, never a presence and satisfaction.” While not progressive on the subject of race by modern standards, Emerson observed that the differences among a particular race are greater than the differences between the races, a view compatible with the social constructivist theory of race found in the work of contemporary philosophers like Kwame Appiah.

Table of Contents

  1. Biography
  2. Major Works
  3. Legacy
  4. References and Further Reading

1. Biography

Ralph Waldo Emerson was born on May 25, 1803, in Boston to Ruth Haskins Emerson and William Emerson, pastor of Boston’s First Church. The cultural milieu of Boston at the turn of the nineteenth century would increasingly be marked by the conflict between its older conservative values and the radical reform movements and social idealists that emerged in the decades leading up through the 1840s. Emerson was one of five surviving sons who formed a supportive brotherhood, the financial and emotional leadership of which he was increasingly forced to assume over the years. “Waldo,” as Emerson was called, entered Harvard at age fourteen, taught in the summer, waited tables, and with his brother Edward, wrote papers for other students to pay his expenses. Graduating in the middle of his class, Emerson taught in his brother William’s school until 1825 when he entered the Divinity School at Harvard. The pattern of Emerson’s intellectual life was shaped in these early years by the range and depth of his extracurricular reading in history, literature, philosophy, and religion, the extent of which took a severe toll on his eyesight and health. Equally important to his intellectual development was the influence of his paternal aunt Mary Moody Emerson. Though she wrote primarily on religious subjects, Mary Moody Emerson set an example for Emerson and his brothers with her wide reading in every branch of knowledge and her stubborn insistence that they form opinions on all of the issues of the day. Mary Moody Emerson was at the same time passionately orthodox in religion and a lover of controversy, an original thinker tending to a mysticism that was a precursor to her nephew’s more radical beliefs. His aunt’s influence waned as he developed away from her strict orthodoxy, but her relentless intellectual energy and combative individualism left a permanent stamp on Emerson as a thinker.

In 1829, he accepted a call to serve as junior pastor at Boston’s Second Church, serving only until 1832 when he resigned at least in part over his objections to the validity of the Lord’s Supper. Emerson would in 1835 refuse a call as minister to East Lexington Church but did preach there regularly until 1839. In 1830, Emerson married Ellen Tucker who died the following year of tuberculosis. Emerson married again in 1835 to Lydia Jackson. Together they had four children, the eldest of whom, Waldo, died at the age of five, an event that left deep scars on the couple and altered Emerson’s outlook on the redemptive value of suffering. Emerson’s first book Nature was published anonymously in 1836 and at Emerson’s own expense. In 1837 Emerson delivered his famous “American Scholar” lecture as the Phi Beta Kappa address at Harvard, but his controversial Harvard Divinity School address, delivered in 1838, was the occasion of a twenty-nine year breach with the university and signaled his divergence from even the liberal theological currents of Cambridge. Compelled by financial necessity to undertake a career on the lecture circuit, Emerson began lecturing in earnest in 1839 and kept a demanding public schedule until 1872. While providing Emerson’s growing family and array of dependents with a steady income, the lecture tours heightened public awareness of Emerson’s ideas and work. From 1840-1844, Emerson edited The Dial with Margaret Fuller. Essays: First Series was published in 1841, followed by Essays: Second Series in 1844, the two volumes most responsible for Emerson’s reputation as a philosopher. In 1844, Emerson also purchased the land on the shore of Walden Pond where he was to allow the naturalist and philosopher Henry David Thoreau to build a cabin the following year. While sympathetic to the experimental collective at Brook Farm, Emerson declined urgent appeals to join the group and maintained his own household in Concord with Lydia and their growing family. Emerson attempted to create his own community of kindred spirits, however, assembling in the neighborhood of Concord a group of writers including Thoreau, Nathaniel Hawthorne, the social thinker Margaret Fuller, the reformer Bronson Alcott, and the poet Ellery Channing. English Traits was inspired by a trip to Britain during 1847-1848. By the 1850s, Emerson was an outspoken advocate of abolition in lectures across New England and the Midwest and continued lecturing widely on a number of different topics—eighty lectures in 1867 alone. Emerson spent the final years of his life peacefully but without full use of his faculties. He died of pneumonia in 1882 at his home in Concord.

2. Major Works

As a philosopher, Emerson primarily makes use of two forms, the essay and the public address or lecture. His career began, however, with a short book, Nature, published anonymously in 1836. Nature touches on many of the ideas to which he would return to again and again over his lifetime, most significantly the perspective that nature serves as an intermediary between human experience and what lies beyond nature. Emerson expresses a similar idea in his claim that spirit puts forth nature through us, exemplary of which is the famous “transparent eye-ball” passage, in which he writes that on a particular evening, while “crossing a bare common . . . the currents of Universal Being circulate through me.” On the strength this passage alone, Nature has been widely viewed as a defining text of Transcendentalism, praised and satirized for the same qualities. Emerson invokes the “transparent eye-ball” to describe the loss of individuation in the experience of nature, where there is no seer, only seeing: “I am nothing; I see all.” This immersion in nature compensates us in our most difficult adversity and provides a sanctification of experience profoundly religious —the direct religious experience that Emerson was to call for all his life. While Emerson characterizes traversing the common with mystical language, it is also importantly a matter of knowledge. The fundamental knowledge of nature that circulates through him is the basis of all human knowledge but cannot be distinguished, in Emerson’s thought, from divine understanding.

The unity of nature is the unity of variety, and “each particle is a microcosm.” There is, Emerson writes “a universal soul” that, influenced by Coleridge, he named “reason.” Nature is by turns exhortative and pessimistic, like the work of the English Romantics, portraying man as a creature fallen away from a primordial connection with nature. Man ought to live in a original relation to the universe, an assault on convention he repeats in various formulas throughout his life; however, “man is the dwarf of himself . . . is disunited with himself . . . is a god in ruins.” Nature concludes with a version of Emerson’s permanent program, the admonition to conform your life to the “pure idea in your mind,” a prescription for living he never abandons.

“The American Scholar” and “The Divinity School Address” are generally held to be representative statements of Emerson’s early period. “The American Scholar,” delivered as the Phi Beta Kappa oration at Harvard in 1837, repeats a call for a distinctively American scholarly life and a break with European influences and models—a not original appeal in the 1830s. Emerson begins with a familiar critique of American and particularly New England culture by asserting that Americans were “a people too busy to give to letters any more.” What must have surprised the audience was his anti-scholarly theme, that “Books are for the scholar’s idle times,” an idea that aligns the prodigiously learned and widely read Emerson with the critique of excessive bookishness found in Wordsworth and English Romanticism. Continuing in this theme, Emerson argues against book knowledge entirely and in favor of lived experience: “Only so much do I know, as I have lived.” Nature is the most important influence on the mind, he told his listeners, and it is the same mind, one mind, that writes and reads. Emerson calls for both creative writing and “creative reading,” individual development being essential for the encounter with mind found in books. The object of scholarly culture is not the bookworm but “Man Thinking,” Emerson’s figure for an active, self-reliant intellectual life that thus puts mind in touch with Mind and the “Divine Soul.” Through this approach to the study of letters, Emerson predicts that in America “A nation of men will for the first time exist.”

“The Divinity School Address,” also delivered at Harvard in 1838, was considerably more controversial and marked in earnest the beginning of Emerson’s opposition to the climate of organized religion in his day, even the relatively liberal theology of Cambridge and the Unitarian Church. Emerson set out defiantly to insist on the divinity of all men rather than one single historical personage, a position at odds with Christian orthodoxy but one central to his entire system of thought. The original relation to nature Emerson insisted upon ensures an original relation to the divine, not copied from the religious experience of others, even Jesus of Nazareth. Emerson observes that in the universe there is a “justice” operative in the form of compensation: “He who does a good deed is instantly ennobled.” This theme he would develop powerfully into a full essay, “Compensation” (1841). Whether Emerson characterized it as compensation, retribution, balance, or unity, the principle of an automatic response to all human action, good or ill, was a permanent fixture of his thought. “Good is positive,” he argued to the vexation of many in the audience, “evil merely privative, not absolute.” Emerson concludes his address with a subversive call to rely on one’s self, to “go alone; to refuse the good models.”

Two of Emerson’s first non-occasional public lectures from this early period contain especially important expressions of his thought. Always suspicious of reform and reformers, Emerson was yet an advocate of reform causes. In “Man the Reformer” (1841), Emerson expresses this ambivalence by speculating that if we were to “Let our affection flow out to our fellows; it would operate in a day the greatest of all revolutions.” In an early and partial formulation of his theory that all people, times, and places are essentially alike, he writes in “Lecture on the Times” (1841) that “The Times . . . have their root in an invisible spiritual reality;” then more fully in “The Transcendentalist” (1842): “new views . . . are not new, but the very oldest of thoughts cast into the mould of these new times.” Such ideas, while quintessential Emerson, are nevertheless positions that he would qualify and complicate over the next twenty years.

Emerson brought out his Essays: First Series, in 1841, which contain perhaps his single most influential work, “Self-Reliance.” Emerson’s style as an essayist, not unlike the form of his public lectures, operates best at the level of the individual sentence. His essays are bound together neither by their stated theme nor the progression of argument, but instead by the systematic coherence of his thought alone. Indeed, the various titles of Emerson’s do not limit the subject matter of the essays but repeatedly bear out the abiding concerns of his philosophy. Another feature of his rhetorical style involves exploring the contrary poles of a particular idea, similar to a poetic antithesis. As a philosopher-poet, Emerson employs a highly figurative style, while his poetry is remarkable as a poetry of ideas. The language of the essays is sufficiently poetical that Thoreau felt compelled to say critically of the essays—”they were not written exactly at the right crisis [to be poetry] though inconceivably near it.” In “History” Emerson attempts to demonstrate the unity of experience of men of all ages: “What Plato has thought, he may think; what a saint has felt, he may feel; what at any time has befallen any man, he may understand.” Interestingly, for an idealist philosopher, he describes man as “a bundle of relations.” The experience of the individual self is of such importance in Emerson’s conception of history that it comes to stand for history: “there is properly no history; only biography.” Working back from this thought, Emerson connects his understanding of this essential unity to his fundamental premise about the relation of man and nature: “the mind is one, and that nature is correlative.” By correlative, Emerson means that mind and nature are themselves representative, symbolic, and consequently correlate to spiritual facts. In the wide-ranging style of his essays, he returns to the subject of nature, suggesting that nature is itself a repetition of a very few laws, and thus implying that history repeats itself consistently with a few recognizable situations. Like the Danish philosopher Soren Kierkegaard, Emerson disavowed nineteenth century notions of progress, arguing in the next essay of the book, “Society never advances . . . For everything that is given, something is taken.”

“Self-Reliance” is justly famous as a statement of Emerson’s credo, found in the title and perhaps uniquely among his essays, consistently and without serious digression throughout the work. The emphasis on the unity of experience is the same: “what is true for you in your private heart is true for all men.” Emerson rests his abiding faith in the individual—”Trust thyself”—on the fundamental link between each man and the divine reality, or nature, that works through him. Emerson wove this explicit theme of self-trust throughout his work, writing in “Heroism” (1841), “Self-trust is the essence of heroism.” The apostle of self-reliance perceived that the impulses that move us may not be benign, that advocacy of self-trust carried certain social risks. No less a friend of Emerson’s than Herman Melville parodied excessive faith in the individual through the portrait of Captain Ahab in his classic American novel, Moby-Dick. Nevertheless, Emerson argued that if our promptings are bad they come from our inmost being. If we are made thus we have little choice in any case but to be what we are. Translating this precept into the social realm, Emerson famously declares, “Whoso would be a man must be a nonconformist”—a point of view developed at length in both the life and work of Thoreau. Equally memorable and influential on Walt Whitman is Emerson’s idea that “a foolish consistency is the hobgoblin of small minds, adored by little statesmen and philosophers and divines.” In Leaves of Grass, Whitman made of his contradictions a virtue by claiming for himself a vastness of character that encompassed the vastness of the American experience. Emerson opposes on principle the reliance on social structures (civil, religious) precisely because through them the individual approaches the divine second hand, mediated by the once original experience of a genius from another age: “An institution,” as he explains, “is the lengthened shadow of one man.” To achieve this original relation one must “Insist on one’s self; never imitate” for if the relationship is secondary the connection is lost. “Nothing,” Emerson concludes, “can bring you peace but the triumph of principles,” a statement that both in tone and content illustrates the vocational drive of the former minister to speak directly to a wide audience and preach a practical philosophy of living.

Three years later in 1844 Emerson published his Essays: Second Series, eight essays and one public lecture, the titles indicating the range of his interests: “The Poet,” “Experience,” “Character,” “Manners,” “Gifts,” “Nature,” “Politics,” “Nominalist and Realist,” and “New England Reformers.” “The Poet” contains the most comprehensive statement on Emerson’s aesthetics and art. This philosophy of art has its premise in the Transcendental notion that the power of nature operates through all being, that it is being: “For we are not pans and barrows . . . but children of the fire, made of it, and only the same divinity transmuted.” Art and the products of art of every kind—poetry, sculpture, painting, and architecture—flow from the same unity at the root of all human experience. Emerson’s aesthetics stress not the object of art but the force that creates the art object, or as he characterizes this process in relation to poetry: “it is not metres, but a metre-making argument that makes a poem.” “The Poet” repeats anew the Emersonian dictum that nature is itself a symbol, and thus nature admits of being used symbolically in art. While Emerson does not accept in principle social progress as such, his philosophy emphasizes the progress of spirit, particularly when understood as development. This process he allies with the process of art: “Nature has a higher end . . . ascension, or the passage of the soul into higher forms.” The realm of art, ultimately for Emerson, is only an intermediary function, not an end itself: “Art is the path of the creator to his work.” On this and every subject, Emerson reveals the humanism at the core of his philosophy, his human centric perspective that posits the creative principle above the created thing. “There is a higher work for Art than the arts,” he argues in the essay “Art,” and that work is the full creative expression of human being. Nature too has this “humanism,” to speak figuratively, in its creative process, as he writes in “The Method of Nature:” “The universe does not attract us until housed in an individual.” Most notable in “The Poet” is Emerson’s call for an expressly American poetry and poet to do justice to the fact that “America is a poem in our eyes.” What is required is a “genius . . . with tyrannous eye, which knew the value of our incomparable materials” and can make use of the “barbarism and materialism of the times.” Emerson would not meet Whitman for another decade, only after Whitman had sent him anonymously a copy of the first edition of Leaves of Grass, in which—indicative of Emerson’s influence—Whitman self-consciously assumes the role of the required poet of America and asserts, like his unacknowledged mentor, that America herself is indeed a poem.

“Experience” remains one of Emerson’s best-known and often-anthologized essays. It is also an essay written out of the devastating grief that struck the Emerson household after the death of their five-year-old son, Waldo. He wrote, whether out of conviction or helplessness, “I grieve that grief can teach me nothing.” Emerson goes on, rocking back and forth between resignation and affirmation, establishing along the way a number of key points. In “Experience” he defines “spirit” as “matter reduced to an extreme thinness.” In keeping with the gradual shift in his philosophy from an emphasis on the explanatory model of “unity” to images suggesting balance, he describes “human life” as consisting of “two elements, power and form, and the proportion must be invariably kept.” Among his more quotable aphorisms is “The years teach us much which the days never know,” a memorable argument for the idea that experience cannot be reduced to the smallest observable events, then added back up again to constitute a life; that there is, on the contrary, an irreducible whole present in a life and at work through us. “Experience” concludes with Emerson’s hallmark optimism, a faith in human events grounded in his sense of the total penetration of the divine in all matter. “Every day,” he writes, and “every act betrays the ill-concealed deity,” a determined expression of his lifelong principle that the divine radiates through all being.

The early 1850s saw the publication of a number of distinctively American texts: Nathaniel Hawthorne’s The Scarlet Letter (1850); Melville’s Moby-Dick (1851); Harriet Beecher Stowe’s Uncle Tom’s Cabin (1852); and Whitman’s Leaves of Grass (1855). Emerson’s Representative Men (1850) failed to anticipate this flowering of a uniquely American literature in at least one respect: none of his representative characters were American—nevertheless, each biography yields an insight into some aspect of Emerson’s thought he finds in the man or in his work, so that Representative Men reads as the history of Emerson’s precursors in other times and places. Emerson structures the book around portraits of Plato, the Swedish mystic Emmanuel Swedenborg, the French essayist Montaigne, the poet William Shakespeare, the statesman Napoleon Bonaparte, and the writer Johann Wolfgang von Goethe. Each man stands in for a type, for example, Montaigne represents the “skeptic,” Napoleon the “man of the world.” Humanity, for Emerson, consisted of recognizable but overlapping personality types, types discoverable in every age and nation, but all sharing in a common humanity that has its source in divine being. Each portrait balances the particular feature of the representative man that illustrates the general laws inhabiting humanity along with an assessment of the great man’s shortcomings. Like Nietzsche, Emerson did not believe that great men were ends in themselves but served particular functions, notably for Emerson their capacity to “clear our eyes of egotism, and enable us to see other people in their works.” Emerson’s representative men are “great,” but “exist that there may be greater men.” As a gesture toward self-criticism about an entire book on great men by the champion of American individualism, Emerson concedes, “there are no common men,” and his biographical sketches ultimately balance both the limitations of each man with his—to use an oxymoron—distinctive universality, or in other words, the impact he has had on Emerson’s thought. While Plato receives credit for establishing the “cardinal facts . . . the one and the two.—1. Unity, or Identity; and, 2. Variety,” Emerson concedes that through Plato we have had no success in “explaining existence.” It was Swedenborg, according to Emerson, who discovered that the smallest particles in nature are merely replicated and repeated in larger organizations, and that the physical world is symbolic of the spiritual. But although he approves of the religion Swedenborg urged, a spirituality of each and every moment, Emerson complains the mystic lacks the “liberality of universal wisdom.” Instead, we are “always in a church.” From Montaigne, Emerson gained a heightened sense of the universal mind as he read the French philosophers’ Essays, for “It seemed to me as if I had myself written the book”—as well as an enduring imperative of style: “Cut these words, and they would bleed.” The “skeptic” Montaigne, however, lacks belief, which “consists in accepting the affirmations of the soul.” From Shakespeare, Emerson received confirmation that originality was a reassembly of existing ideas. The English poet possessed the rare capacity of greatness in that he allowed the spirit of his age to achieve representation through him. Nevertheless the world waits on “a poet-priest” who can see, speak, and act, with equal inspiration.” Reflection on Napoleon’s life teaches the value of concentration, one of Emerson’s chief virtues. In The Conduct of Life, Emerson describes “concentration,” or bringing to bear all of one’s powers on a single object, as the “chief prudence.” Likewise, Napoleon’s shrewdness consisted in allowing events to take their natural course and become representative of the forces of his time. The defect of the “man of the world” was that he possessed “the powers of intellect without conscience” and was doomed to fail. Emerson’s moral summary of Napoleon’s sounds a great deal like Whitman: “Only that good profits, which we can taste with all doors open, and which serves all men.” Goethe, “the writer,” like Napoleon, represents the countervailing force of nature against Emerson’s lifelong opponent, what he called “the morgue of convention.” Goethe is also exemplary of the man of culture whose sphere of knowledge, as Emerson himself tried to emulate with his wide and systematic reading, knows no limits or categorical boundaries. Yet, “the lawgiver of art is not an artist,” and repeating a call for an original relation to the infinite, foregoing even the venerable authority of Goethe, Emerson concludes, “We too must write Bibles.”

English Traits was published in 1856 but represented almost a decade of reflections on an invited lecture tour Emerson made in 1847-48 to Great Britain. English Traits presents an unusually conservative set of perspectives on a rather limited subject, that of a single nation and “race,” in place of human civilization and humanity as a whole. English Traits contains an advanced understanding of race, namely, that the differences among the members of a race are greater than the differences between races, but in general introduces few new ideas. The work is highly “occasional,” shaped by his travels and visits, and bore evidence of what seemed to be an erosion of energy and originality in his thought.

The Conduct of Life (1860), however, proved to be a work of startling vigor and insight and is Emerson’s last important work published in his lifetime. “Fate” is arguably the central essay in the book. The subject of fate, which Emerson defines as “An expense of means to end,” along with the relation of fate to freedom and the primacy of man’s vocation, come to be the chief subjects of the final years of his career. Some of Emerson’s finest poetry can be found in his essays. In “Fate” he writes: “A man’s power is hooped in by a necessity, which, by many experiments, he touches on every side, until he learns its arc.” Fate is balanced in the essay by intellect: “So far as a man thinks, he is free.” Emerson’s advice for the conduct of life is to learn to swim with the tide, to “trim your bark” (that is, sails) to catch the prevailing wind. He refines and redefines his conception of history as the interaction between “Nature and thought.” Emerson further refines his conception of the great man by describing him as the “impressionable” man, or the man who most perfectly captures the spirit of his time in his thought and action. Varying a biblical proverb to his own thought, Emerson argues that what we seek we will find because it is our fate to seek what is our own. Always a moderating voice in politics, Emerson writes in “Power” that the “evils of popular government appear greater than they are”—at best a lukewarm recommendation of democracy. On the subject of politics, Emerson consistently posited a faith in balance, the tendencies toward chaos and order, change and conservation always correcting each other. His late aesthetics reinforce this political stance as he veers in “Beauty” onto the subject of women’s suffrage: “Thus the circumstances may be easily imagined, in which woman may speak, vote, argue causes, legislate, and drive a coach, and all the most naturally in the world, if only it come by degrees.”

In his early work, Emerson emphasized the operation of nature through the individual man. The Conduct of Life uncovers the same consideration only now understood in terms of work or vocation. Emerson argued with increasing regularity throughout his career that each man is made for some work, and to ally himself with that is to render himself immune from harm: “the conviction that his work is dear to God and cannot be spared, defends him.” One step above simple concentration of force in Emerson’s scale of values we find his sense of dedication: “Nothing is beneath you, if it is in the direction of your life.” While in favor of many of the social and political reform movements of his time, Emerson never ventured far into a critique of laissez-faire economics. In “Wealth” we find the balanced perspective, one might say contradiction, to be found in all the late work. Emerson argues that to be a “whole man” one must be able to find a “blameless living,” and yet this same essay acknowledges an unsentimental definition of wealth: “He is the richest man who knows how to draw a benefit from the labors of the greatest numbers of men.” In the final essay of the book, “Illusions,” Emerson uses a metaphor—“the sun borrows his beams”—to reassert his pervasive humanism, the idea that we endow nature with its beauty, and that man is at the center of creation. Man is at the center, and the center will hold: “There is no chance, and no anarchy, in the universe.”

3. Legacy

Emerson remains the major American philosopher of the nineteenth century and in some respects the central figure of American thought since the colonial period. Perhaps due to his highly quotable style, Emerson wields a celebrity unknown to subsequent American philosophers. The general reading public knows Emerson’s work primarily through his aphorisms, which appear throughout popular culture on calendars and poster, on boxes of tea and breath mints, and of course through his individual essays. Generations of readers continue to encounter the more famous essays under the rubric of “literature” as well as philosophy, and indeed the essays, less so his poetry, stand undiminished as major works in the American literary tradition. Emerson’s emphasis on self-reliance and nonconformity, his championing of an authentic American literature, his insistence on each individual’s original relation to God, and finally his relentless optimism, that “life is a boundless privilege,” remain his chief legacies.

4. References and Further Reading

  • Baker, Carlos. Emerson Among the Eccentrics: A Group Portrait. New York: Penguin, 1997.
  • Emerson, Ralph Waldo: Essays and Lectures. Ed. Joel Porte. New York: Library of America, 1983.
  • Essays and Poems. Ed. Joel Porte et al. New York: Library of American, 1996.
  • The Complete Sermons of Ralph Waldo Emerson. Vol. 4. Ed Wesley T. Mott et al. Columbia, MO: University of Missouri Press, 1992.
  • The Selected Letters of Ralph Waldo Emerson. Ed. Joel Myerson. New York: Columbia, 1997.
  • The Heart of Emerson’s Journals. Ed. Bliss Perry. Minneola, NY: Dover Press, 1995.
  • Field, Peter. S. Ralph Waldo Emerson: The Making of a Democratic Intellectual. Lanham, MD: Rowman and Littlefield, 2002.
  • Porte, Joel. Representative Man: Ralph Waldo Emerson in His Time. New York: Columbia University Press, 1988.
  • Porte, Joel and Morris, Saundra. The Cambridge Companion to Ralph Waldo Emerson. Cambridge: Cambridge University Press, 1999.
  • Richardson, Robert D. Jr. Emerson: The Mind on Fire. Berkeley: University of California Press, 1995

Author Information

Vince Brewton
Email: vjbrewton@una.edu
University of North Alabama
U. S. A.

Ethics and Phenomenology

Phenomenology is, generally speaking, a discipline that examines questions of metaphysics and epistemology. Insofar as ethics is usually seen as a topic apart from metaphysics and epistemology, it is thus not typically addressed by philosophers in the phenomenological tradition. However, there are important areas of overlap between ethics, metaphysics and epistemology, which may be fruitful points of departure for exploring a phenomenologically-oriented notion of ethics. In particular, metaphysics and epistemology seek to consider the validity of, among other ideas, analysis and wonder. An exploration of analysis and wonder can reveal the importance of ethics in this context. Once we have seen what follows from this standpoint, further consideration of ethics in terms of engineering will show how this standpoint can inform upon the world of praxis.

Table of Contents

  1. Theoretical Concerns
    1. Ethics Underlies Wonder and Analysis
    2. War
    3. Hospitals
    4. Ethics of Integration
    5. People
  2. Tying Phenomenological Ethics to the World
    1. Overview
    2. Human Factors Engineering
    3. Phenomenology: Brentano
    4. Phenomenology: Edmund Husserl
    5. Phenomenology and Ergonomics: Parallels
    6. Phenomenology and Ergonomics: Enter Ethics
    7. Ethics as Homological
  3. References and Further Reading
    1. Theory
    2. Tying Phenomenological Ethics to the World

1. Theoretical Concerns

a. Ethics Underlies Wonder and Analysis

Ethics can be seen as the foundation of wonder and analytic thought. First, existentialists accept wonder and deemphasize analysis, though phenomenologists tend to be more open to wonder and analytic thinking. Logical positivists and linguistic analysts see wonder as reducible to logic. Existentialists and phenomenologists are comfortable with ethics associated with wonder and analysis. Positivists and analysts deny ethics as an irreducible field of study. Ethicists would look at wonder to see if people need drugs in order to achieve states of euphoria or peace. Additionally, ethicists would take the same view about computers and analytic method.

In both instances, the question of ethics enters concerning more than the validity of wonder and analysis in the traditional philosophical sense (Kazanjian, 80; Buber, p. 11). Traditionally, existentialists and phenomenologists see wonder as revealing what “is.” Analysis has almost no place in much of existentialism, and varying degrees of validity in phenomenology. Traditionally, linguistic analysts and logical positivists see nothing to be gained with wonder. Reality is language, and is to be analyzed, never something about which to wonder.

Ethics brings in a deeper issue in both instances. Even if wonder alone is valid, ought people use drugs to feel a sense of awe? Even if analysis alone can give access to reality, ought people simply resot to computers, the higher the speed the better, to understand what is?

Existential and phenomenological thinkers tell us that awe or wonder is the basis of analysis, or as pure wonder, may stand alone without cognition. Ethicists may argue that awe or wonder is a human trait and ought not require or involve drugs and surgical stimulation of the brain to induce a sense of wonder (Campbell, p. 163). Awe is basically the social, intersubjective reality of living in the world. Phenomenology calls the world the lived world instead of just the material, quantifiable world. This wonder is consciousness in the unaltered state. In this unaltered state, wonder is part of normal, lived, reality or existence.

Ethicists would say that linguistic analysis or logical positivism changes or distorts reality. Drugs and brain stimulation are not lived reality. They develop a state of artificial awe or wonder. If the unaltered mind uses logic alone to access reality, it may mean altering reality from what ought be to what artificially exists. If the person uses mind altering drugs to achieve awe or wonder, then the awe or wonder itself is altered, artificial, and unlived. We then see not the lived world, but the artificial world.

Phenomenology says we should not excarnate or take analysis out of the lived world. Phenomenological ethicists would say we should not excarnate wonder itself from the lived world. Thus, phenomenologists and existentialists would be medically, pharmaceutically, or biologically excarnating wonder or awe from the lived world, even if they refute positivism and analytics’ portrayal of awe or wonder as wrong and insist on wonder or awe as revealing reality. The ethical position becomes a sociological view (Bryant, p. 1).

Paul Ricoeur (p. 217) looks at Cartesian dualism and says that we must overcome its excarnating of objectivity from the body. Non-biochemically, Ricoeur is criticizing Cartesian dualism for ignoring the embodiment of the objective. He is insisting that objectification must be done within the context of the lived world. We analyze the lived world or reduce it to quantities within the general framework of awe or wonder. Ricoeur’s approach suggests that even logical positivism and linguistic analysis needs to look at the problem of excarnation. These movements are in the same category as Cartesian dualism when they consider analysis or reduction as without wonder, or devoid of the lived world.

The difference between logical positivism and analytic philosophy on the one hand, and Cartesian dualism on the other, rests with their views of reality. Dualism sees mind and body, or objectivity and subjectivity, as both real and valid. The problem is how to relate them. Positivism and analytic thinking argue that the lived world, subjectivity, wonder, awe, and so on do not exist as irreducible reality. They are totally reducible to the simples of fact.

Ricoeurian thinking contrasts with Cartesian dualism and with positivism and analytic philosophy by saying all three movements should see themselves as having wrongly excarnated object from the lived world. An ethics approach to wonder, however, goes deeper than Ricoeur. The ethicist would insist that we cannot justify wonder for the sake of wonder. We need to look at how we approach wonder or awe. Saying that the lived world and wonder are important is not sufficient. Arguing against positivist and analytic reductionism of wonder to facts is only partly correct. How we define the biochemical context of wonder is critical.

In ethics, we may wonder by being conscious and not taking drugs to alter the brain. People look around them, or they inquire, or meditate, and feel it crucial to feel a sense of wonder that beings “are.” We wonder by ourselves, without bio-physiological intervention. Indeed, we do not need to take an aspirin or other legal medication to feel as sense of relaxation, calm, or rest. Beyond this, ethics says we ought not feel it important or in any way justified to take any illegal drugs that might induce a “high.” The biochemical high or awe is indeed a biochemical reduction or analytic approach to wonder. This approach would assume that the state of wonder is primarily, perhaps exclusively, a chemical reaction within the brain, and has little to do with normal, non-biochemical experiences of the lived world. In other words, the biochemical approach to wonder suggests that we wonder not through existing, but primarily through changing the chemistry of the brain.

Ethics might call the biochemical approach to wonder as biochemical, pharmaceutical, or otherwise physiological positivism or analysis. Ironically and unfortunately, this becomes serious to the point where no real inquiry, not even traditional logical positivism and analytic thinking is possible. An ethicist might ask us to look at a piece of analytic literature or philosophy. We see symbols, diagrams, and virtually mathematical methods for attempting to determine resolutions to questions and problems. The analytic thinker, the positivist, would argue that they are coming near to solving issues, and that these solutions or clarifications reveal a reality devoid of wonder.

The ethics approach notes that these analytic and positivist thinkers are consciously engaging in intellectually work. They converse with each other, perhaps argumentatively with existentialists and phenomenologists, but always are participating in some kind of control over what they are doing. Their brains are functioning without medication or alteration. Now, the ethicists will point out, consider the biochemically activated phenomenologist or existentialist. In other words, we no longer just speaking of the positivist and analytic thinker inquiring without drugs. We are no longer speaking of positivists and analytic thinkers trying to totally reduce wonder to facts in terms of normal, not medicated activity. What the ethicist criticizes is the phenomenologist or existentialist who is defending wonder through druges. This person is criticizing positivism and analysis for trying to totally non-biochemically reduce wonder or awe to atomism. Yet, the phenomenologist and existentialist is defending irreducibility by feeling wonder, perhaps even attempting writing if that is possible, by consuming biochemicals which will induce the sense of oneness or awe (Eliade, p. 31).

In effect, the phenomenologist or existentialist has become a de facto positivist or analytic thinker. The phenomenologist or existentialist becomes a biochemical phenomenologist or existentialist, totally reducing the chemistry of the brain, body, and lived world to atoms and chemical reactions. If it is possible, the ethicist calls this positivistic or analytic phenomenology or existentialism. On the other hand, for clarification, the ethicist might use another term: biochemical phenomenology or existentialism.

b. War

What of the analytic thinker or positivist using computers for their approaches? Ethics would point to the efforts by analytic thinkers during World War II to crack Hitler’s Enigma Machine code. The machine worked strictly through symbols. Codes are symbols. During WWII the codes were relatively complex, but speed was crucial in breaking them. Today, and in the future, with cryptology becoming increasingly sophisticated, codes become more complex, and the speed required to break them more crucial.

Positivists and analysts would insist that their philosophy requires respect, and faster computers. Ethicists would argue that we need a better world where criminals and dictators are minimized, and their powers decapitated. Having the computer capabilities of speedier problem-solving does not “solve” the problem in its widest sense. The problem in its widest sense is that people, usually the leaders, go bad and make evil things happen in the world. When governments ignore the rise of evil, they usually invite international catastrophes such as the Second World War. As the war occurs, and as the innocent attempt to now fight and defeat the enemy, many on the side of the innocent take pride in their technical efforts.

Technical abilities helped our side win against Hitler in his efforts to communicate through codes. None of this would have had to occur if we had kept him from rising to power in the first place. His rise to power, and the unethical ways we ignored his ascension were key to the disaster of the Second World War. We ignored his actions against Jews and non-Jews. This ignorance was unethical. We sat back and did nothing.

Toward the end, we began panicking and wondered how to solve problems to end the war. One major answer was to break his coding abilities. Fortunately, we broke his code, and this helped us win the war.

Today, intelligence agencies are increasingly positivistic in their coding/decoding efforts. Computers are the foundations of coding/decoding. Speed is paramount. We spend money, lots of it, in developing ways of surreptitiously monitoring telecommunications to determine what potential terrorists are saying. Technology is advancing rapidly in our endeavors to translate foreign and English conversations to determine whether speakers are planning attacks.

Forgotten in all this rush to technologize existence, society ignores the ethical grounds of analysis and computers (Stine, 141). We forget that analysis is embodied in wonder, and that thinking and wonder involve the ethical orientation. Are we ignoring the poor, the economically and socially deprived, the underprivileged? We no doubt are ignoring the impoverished. Then, in the event that the impoverished seek ways of retaliating, we suddenly seeks technical ways of speedier discovery of the terrorists’ plots.

Even when terrorists are wealthy, we seek to look the other way instead of considering their moral deviancy and their ongoing hatred of humanity, especially of the West. We let this hatred grow, assuming that we do not initially deny it. As their hatred grows, it can mushroom into attacks against the West or even people in other cultures. Only then, in post 9/11 fashion, do we react and seek the speediest computers to analyze terrorist activities and conversations.

Ethics is derived from ethos or people. Any human activity must be seen within the social context. Thinking and wonder are among the fundamental human activities. Relegating cognition to the sum total of data becomes anti-human; similarly, relegating wonder to the realm of intravenous or other methods of drug intake is no longer a human activity. The ethos orientation of cognition means that thought, contrary to what Descartes said, is embodied and of social perspective. Cognition is never disembodied. To disembody cognition is to commit two wrongs.

One wrong is to seek cognition as devoid of awe. This makes thought sterile and dehumanizing. The second wrong is to see disembodied cognition as part of a technology where speed is the only way to resolve problems and answer questions.

Awe or wonder is the pre-cognitive requisite of the cognitive. Yet, ethics notes that we cannot stop there. Wonder cannot be an end in itself. If wonder is derived from a natural, non-drug induced sequence whereby we simply wonder that things “are,” then we are practicing true awe. Once we take drugs or otherwise stimulate the brain to induce wonder, than the wonder is unethical. It is mechanical rather than emerging from ethos.

c. Hospitals

Take the example of a hospital’s intensive care unit. Patients are put on a respirator to help them breathe. They may also be put on intravenous feeding so that the body can be “fed” nutrients mechanically instead of taking in food through the mouth. In time, however, society believes that such patients may be retained on such mechanical devices only if their physical conditions warrant such technologization. The purpose of life is for the patient to be helped toward normalcy. In this case, the patient must be helped to leave the hospital and eat and breathe, and so on, on their own.

The objective of life, of the hospital, is never to merely have the patients remain in intensive care, or even in the hospital. People need to be active in daily life, eating, breathing, and so on on their own. To eat and breathe on their own means dining and respiring as part of society, with one’s own bodily abilities. Food is irreducible to nutrients. Breathing is irreducible to oxygen intake. Food and respiration emerge from the ethos, from the ethical. As biological as eating and breathing, they are not merely physical processes.

For example, the nervous person, the seriously emotionally troubled individual, will have difficulty eating and breathing. Human activity such as eating and breathing are as much part of the ethos or ethical, as they are physical, neurochemical, and so on. Indeed, eating disorders such as those resulting in being overweight, imply reducing food to merely physical entities being “put into the mouth.” Eating does not mean simply stuffing the mouth, eating quickly, or any other physical process. Dining is a cultural, ethical process.

Similarly, we do not just respire by hyperventilating. We breathe by inhaling and exhaling normally, often unconsciously. Perons inhaling too fast may be suffering from an emotional problem, or perhaps physical difficulty. Persons inhaling and exhaling too fast are behaving unethically, anti-ethos or different from normal human activity.

We can say the same about wonder and analysis. Wonder is something we sense under normal human conditions without mechanical assistance. Drugs ought not play part of wonder.

Analysis is an activity in which we participate without the aid of computers, and hopefully within the context of wonder. To think analytically is to take apart. But to spend our time only taking apart means that we are simply assuming that words, pictures, behavior, and so on are only to be taken apart and never appreciated as products of the ethos or community. Taking apart ought mean that something was initially a whole. That wholeness cannot be violated. If we emphasize the taking apart aspect of existence, and reject or ignore the synthetic and the wonderful, we have relegated existence to a form of hospitalization, to a form of the intensive care unit.

Existence is not meant to be only analyzed, and it is not meant to be only wondered. Ethos means that analysis and wonder go hand in hand. Analysis and wonder are not mutually exclusive. We never merely analyze without some wonder, and never wonder by merely mechanical means. Both analysis and wonder reflect an ethical, social, cultural dimension.

Feminism can be helpful here. Feminists argue that nothing written is ever totally objective, and devoid of the cultural. Look at books. Their authors are not just “authorities,” but traditionally have been white males. Their subject matter, too, have typically ignored injustices toward women. Sexism means that we have looked at women simply as reducible to anatomy, and never as human beings. Ethics means that women are human beings, irreducible to physical characteristics.

Racial theory can also help. Racism has meant that authorities writing books have been white males. But the ethical thrust of the women’s’ movement and racial justice has attempted to bring about a better, ethos oriented vision. We now have books and articles written by women, and by nonwhite males. Authors are not just authors. They are a racial-gender-human continuum. No author is the sum total of racial, religious, biological, and other parts. Every author is first of all a human being.

Wonder and analysis, then, are irreducible to mechanical identification. Persons need to be able to wonder with only their mind and body, in awe of the universe or of any particular event. They need only to analyze within the context of this natural wonder, and with computers only on a limited scale.

Ethics does not demand the exclusion of computers from society. The ethos orientation requires only that computing, speed, technology, and other quantification occur within the context of a healthy environment. The idea of proactivity or prevention is important here.

Proactivity means we need to prevent rather than react to bad events. Before illness strikes, we need to monitor physical and other conditions resulting in disease. Ethics means we ought not ignore health dangers, and then react medically, physically, surgically, to “solve” unhealthy situations. Drugs, whether over the counter or prescription, do not need to take the place of a healthy lifestyle and diet. People might need to depend on drugs as they age and their body deteriorates. Even then, they must take drugs only by doctor’s orders, and never simply because the drugs are there.

The preventative, proactive approach to health includes habits of proper diet, exercise, monitoring stress, wearing clothes appropriate to the season, air conditioning during the summer and heat during the winter. These measures and lifestyles help insure that people will not get ill to the extent that they can have some reasonable control over life. Illness can and will come under many circumstances. Viruses, bacteria, many forms of sickness will emerge regardless of what we do to prevent illness.

When illness does come, we need to take a look at the best ways of curing what we have, and returning to a relative healthy state. Physicians may often examine patients and tell them than rest, proper diet, the drinking of fluids, and so on, will probably help bring the patients back to health. Not all diseases require medication. Additionally not all diseases require surgery. Even broken bones may not require cutting the patient. In time, many bones will heal correctly if their break is not in a physical position to cause deformity when healed.

Medicine, then, often seeks to prevent illness through a healthy lifestyle. When medical treatment is needed, pills are often preferable to surgery. Similar approaches are sought by ethicists for awe and analysis.

Wonder and analytic thinking are never mutually exclusive. Existence does not consist of wonder devoid of analysis, or analysis and rational-sensory approaches lacking awe. Most importantly, phenomenological ethics means that wonder and analysis are not to be merely the ends in themselves. We cannot say that because we are analyzing within the context of wonder, we are therefore being ethical, appropriately intellectual and properly in awe.

The states of awe and analysis are human states. They are irreducible to mechanical, physical, neurophysiological methods. Before we consider being in awe as a context for being analytical, we need to realize the need for being ethical, social, humane. Ethics is more than doing right and avoiding wrong in daily activity, business ventures, and the professions. Ethical behavior is basic to cognitive efforts to understand reality. The drug culture of the 1960s assumed that achieving a “high” was very important, but could not be reached until persons smoked pot or did hard drugs to alter the mind.

Similarly, people who believe in the rational approach to existence frequently misinterpret rationalism, logic, calculation, and speed. They too often assume that the logical or rational sequences are only sequences depending on speed. Their view is that speed is fundamental, and therefore the faster a sequence the better. From that view, the quicker we gather and understand greater numbers of variables or parts of the problem, the better our solution.

An unethical view of problem solving involves quick technical solutions to a given problem. A problem can be small or large. Instead of asking ourselves whether the problem is real or not, we frequently tell ourselves that speedy solutions are the answer. For example, take urban crime. We see robbers, burglars, car thieves. We hear of homicides and arsonists. Our typical approach is to assume that crime is crime, and its solution is a nonsocial, purely professional response from the police. The more police the better. The faster our calls are answered, and the quicker the police arrive at the scene, the better we feel that the problem of criminality is being solved.

This unethical view says that more crime we have, the more and faster police response we need. That view also suggests that the faster we get fingerprints and identify the wrongdoer, the more our society is progressing. Our emphasis is on speed, imprisonment or worse, technology, and other mechanical forms of reaction.

The ethical approach is fundamentally different. We would give opportunities to young people in order to attract them to productive lives outside crime. Families need strengthening, discipline must be practiced and taught, neighborhoods aware of wrongdoing, parental responsibility required. Our social institutions must be upheld. Churches, social groups, schools, governmental organizations, hospitals, and all businesses will need to work together. The police are there, but cannot be the only people combating crime. Technology ought be there, but only within the context of the social structures.

Society ought not ignore the social conditions and then go after the criminals arising as a result of deteriorating cultural situations. Culture is the not only contributor to crime. Some people simply may be born trouble makers. A weak social structure lets them do as they please until it is too late. Simply waiting for people to become criminals, then going after them, arresting, taking them to trail, and locking them up are the mechanical ways of recidivism.

The ethical approach attempt to return the criminal to society through rehabilitation when initial parenting or habilitation has failed. We cannot just let young people grow up doing as they please, and then throw the book at them when they go wrong. Society seems to like the mechanical approach to most things. In medicine and health, we increase emergency rooms. In law enforcement, we want more and faster police. Education becomes a mechanical method of learning from computers. Transportation develops into a way of speedier, aircraft, and automobiles even if we need to build bigger airports, and destroy ecology with more highways. Information becomes merely a commodity where we transmit data and receive it with greater efficiency. In more and areas, technology and rapidity of getting something or someone from here to there becomes paramount. Ethically, medicine must involve better health habits, law enforcement better homes, love, and discipline, learning a matter of student teacher interaction, travel a matter of bicycles and trains, and information an issue of understanding and social empathy.

d. Ethics of Integration

Wonder and analysis are good when they are integrated. We cannot have just wonder, or only analysis. Yet, integrated or not, wonder must come from within and never as a result of drugs and electrical stimulation of the brain. Analysis must be within the social context and never merely a computerized battle toward solutions. Phenomenological ethics shows awe to be the view that things are fundamentally one, and culturally uplifting. Basic to all is our wonder that reality is a beautiful, awesome, non-problematic existence.

Existence is more than just a problem to be solved, a difficulty to be overcome. Existing ought mean appreciating life, people, God, culture, and all plants and animals. We cannot just look at the world as an ongoing defect to be repaired. Life may have evil in it, but is not essentially evil. It is a wondrous reality. This view is available to us not just through drugs, but our very natural feeling of awe. Again, good parenting and better social structure can contribute to or take away from this feeling.

Albert Einstein displayed ethics when he told his fellow scholars at Princeton to stop by an say hello from time to time. Most scholars were shocked. They felt that Princeton was a place for intellectual discourse instead of chit chat and normal conversation. They felt even more strongly that Einstein’s work was so critical that they did not wish to interfere in his studies with what they consider small talk or any conversation irrelevant to scientific work.

We think of Einstein as a scientist. He was clearly displaying what phenomenology calls intersubjectivity and wonder as the basis of any scientific work. Einstein believed that normal human beings, even those in intensive scholarly research, needed and should engage in the wonder of interpersonal, face to face community that this the social foundations of any verbal communications. Community is the basis of communications. We cannot communicate or convey information from person to person unless we first establish of acknowledge what phenomenology calls the “given” community or lived world.

e. People

In phenomenological ethics, we are first, last, and always in the community of people, in intersubjectivity, wonder, awe, or the non-cognitive. We are one with vegetation, with nature, with spiritual powers or religious dimensions. The term “people like us” is not to be taken as meaning individuals of our race, creed, color, or gender. It is to be interpreted as meaning that all human beings in the world are like each other. People are the same, regardless of race, creed, and so on.

Wonder means that all things are essentially related with each other. We do not first sense races, creeds, religions, and genders, and then arrive, step by step, to our humanity. The first thing we sense is that all individuals are alike. Races, religions, and so on are differentiations that we tend to make in distinguishing each other. Wonder makes it clear that whatever else we have as differences, human beings are, at bottom, the same.

Only within the context of fundamental awe of the unity of all things, do we then take apart or analyze people from each other, animals, nature, and so on. Analysis, done within awe, is benign. Analysis done outside the framework of wonder becomes mere taking apart of the essentially unified. In this sense, analysis becomes mere destruction.

Wonder and analysis in the ethical perspective comprise our intersubjective, sensory, rational unity. This occurs only when awe and analytic thinking occur within the context of the ethic or ethos: culture. Human beings are meant to awe that they are in the unified world of people, animals, vegetation and nature. Nothing is or ought be totally objectified. We are meant also to differentiate or analyze carefully in order to understand and intellectually cope with the existing world. Within awe, we objectify in order to develop an intellectual stance about why things are as they are.

Intersubjectivity and objectivity go hand in hand. Intersubjectivity or wonder devoid of objectivity becomes dangerously anti-technology. Objectivity alone becomes anti-human. Ethics tells us that this integration is complete when we appreciate intersubjectivity through normal human activity and not through drugs. We need also appreciate objectivity through normal intellectual activity and never through seeing speed, technology, or quantification as an end in itself.

The awe of our being together as a basis for any technique in analyzing that intersubjectivity can be seen MIT’s OpenCourseWare. Classroom learning with face to face interaction is fundamental to any distance learning. Wonder occurs not through mechanical activity but the social interaction found in the classroom; analysis is then found not through sophisticated telecourses, but computers existing and operating in the service and context of face-to-face interaction.

Alfred North Whitehead (p. 232) says that philosophy begins in wonder, and that wonder continues after philosophers have analyzed reality. Judith Boss says ethics begins in wonder. Philosophy can say that wonder and analysis begin with ethics, and that ethics continues as the context or orientation for analysis and wonder, and all activity.

2. Tying Phenomenological Ethics to the World

a. Overview

A key model that represents the way to tie phenomenological ethics to the world is by examining ethics, philosophy, and engineering. Scholars in the field of ethics would say that their field provides basic ideas unifying engineering and philosophy. Those thinkers who are ethicists would indicate that engineering and philosophy share a common ground in ethics. Engineering and philosophy are specific manifestation of ethics. The ethicist’s position sees engineering and philosophy as fields where human beings and values orient technology, objectivity, reason, and logic.

Ethicists (Kazanjian, 1998, Chapter 2) would view ethics as unifying engineering and philosophy. Scholars in ethics would view their field as underlying the humanistic thinking in philosophy, and the scientific views of engineering. Those who study ethics would see ethical ideas as necessary in courses in virtually all disciplines and professions. These scholars see ethics as an interdisciplinary foundation to the arts and sciences. For ethicists, business ethics, legal ethics, medical and biomedical ethics, engineering ethics, are all integral parts of business, law, medicine, and the other disciplines. Those who are ethics scholars would say business ought engage in ethical instead of unethical practices. These ethicists would also see lawyers, physicians, biomedical researchers, engineers, and others as competent when their curriculum teaches them values and morals as well as technical expertise. Ethicists would say that values and morals orient technique. The ethical perspective sees the mechanics of a given field as ethically oriented. Ethics scholars would view any disciplinarian as a professional concerned with human beings instead of merely a cognitive or technical, non-ethical expert. Scholars from the field of ethics see their work as interdisciplinarity, among their tasks being the disclosure of the ethical basis of engineering and philosophy. As such, ethicists see their discipline as basic to liberal arts and sciences, and interdisciplinarity at any level.

b. Human Factors Engineering

Human factors engineering, also known as ergonomics or ergonomic engineering, is that kind of engineering which designs physical environments including machines and processes to match human limits and abilities, and train people to use those environments (Chapanis, p.534; Kantowicz and Sorkin, p. 20). These engineers work with mathematics, physics, chemistry, and often computers. Beyond these scientific and technical fields, ergonomics engineers deal with human beings. These engineers are concerned not only with how to design an environment, but how to design it to be safe for the user.

The ergonomics position sees safety as meaning that engineers ought design the environments to be user friendly and ought avoid both user unfriendly and user too friendly designs (Adams, p. 256). A design that is user unfriendly ignores the user. To be user unfriendly means is a design whereby the machine or process is dangerous or offensive for the user. The other design is user too friendly, whereby the machine or process is so safe as to be rendered unfunctional. Designing something as user friendly means that users are able to work with an environment which takes into account the users’ limits and abilities. Such limits and abilities mean people have arms, legs, eyes, ears, and torsos with certain anatomic and sensory measurements. Arms bend in certain ways and are of certain lengths. The same with legs. Ears hear best at certain sound levels. We see best at certain distances.

Ergonomics is saying that human beings see, hear, and move within certain physical parameters. People do not merely perceive, sense, move, and so on. Any machine or process ought be designed such that it allows the user to use it comfortably, without undue stress or tension. Designing user friendly machines or processes is right. Designing an environment that forces people to merely sense or move is wrong. At the other extreme, designing an environment so safe that users need not make any effort to learn or use it is also wrong. The system could become nonfunctional.

The typical human factors engineering text looks like a combination engineering, psychology, and biology book. Ergonomics engineers say that any physical environment is as much social and psychological as it is mathematical, physical, or chemical. No user friendly design is totally reducible to the sum of nuts and bolts. Human factors argues that objects and people comprise an interface: both are interrelated to each other. Machines/processes and human beings ought not be seen as mutually exclusive, but inherently human-oriented. Al Gini (p. 3) argues that work is vital to our identity, but it must be a humanizing career and never just meaningless, dehumanizing sum of tasks.

Human factors also rejects overemphasizing the user. If machines/processes are to take into account the user’s abilities and limits, they are not to simply make things so safe and user-friendly that the machine/procedure becomes unfunctional or unable to perform its technical task.

c. Phenomenology: Brentano

Phenomenology is the philosophical movement somewhere between existentialism and logical positivism. Existentialists would see human beings or any aspect of reality almost totally irreducible to numbers or rational explanation, while the logical positivist position would view people and any reality as totally reducible to number and reason. The existential position views our social and cultural embodiment or existence is almost completely irreducible to number and reason, whereas logical positivism and linguistic analysis see our existence as basically, perhaps totally, rational and numeric. Brentano is considered the founder of phenomenology. He (Stewart and Mickunas, p. 8) initiated the idea of intentionality. Intentionality means that consciousness or embodiment inherently relates to objects. Consciousness is consciousness of objects. Brentano attempted to overcome the logical positivist notion that objects and sensation are real, and consciousness is totally reducible to objectivity.

Brentano would see the thinking mind and the body mutually interrelated . He believed Cartesian dualism is wrong in stating that thinking and the body are two different entities. In speaking about the mind-body unity, Brentano set the stage for Husserl to develop phenomenology. Brentano spoke of the mind-body continuum and rejected total objectivity. Thinking is continuous or interrelated with the body. But Husserl more fully developed the continuum and rejecting two extremes: thinking alone or objectivism, and mere embodiment or subjectivism.

d. Phenomenology: Edmund Husserl

Edmund Husserl moved beyond Brentano (Stewart and Mickunas, p. 8). Husserl sees a development of the mind-body continuum. Objectivity or mind is never value-free or disembodied, according to Husserl. All objectivity is value-laden or occurs as worldly, social, cultural. This view contrasts with the logical positivist notion that objectivity is the sole reality, and value-free.

Husserl’s position would say objectivity ought be seen as reflecting or matching subjectivity or values. From the perspective of phenomenology, we must consider all phenomena as real that appear to consciousness or our thoughts. Where logical positivists and linguistic analysts, and all emotional terms such as God as poetry and not cognitively meaningful, phenomenologists believe all objectivity reflects subjectivity, culture, values, and ethics.

The phenomenological position sees the mind-body issue in the manner that people ought look at physical environments as continuous with subjectivity, and emotions and noncognitive ideas as the social milieu generating the meaning of physical environments. Phenomenologically, objects, cognition, and cultural artifacts are real: products of human or subjective intentions. Mathematics, physics, chemistry, computers, and all the arts and sciences must be seen as part of life. But these cognitive realities emerge from a social, subjective realm and are not to be divorced from human experience. Cognition is never reducible to numbers, symbols, sense perception, and other non-emotive reality. Words reflect human experiences as a whole.

The position of phenomenology is that objectivity to be value-laden and ought avoid two extremes. One extreme is value-free cognition. This is cognition whereby cognition or any object is seen as free of any emotive or cultural values or spirituality. The other extreme means extreme existentialism that rejects any reducibility. Here, science, technology and any cognitive effort is considered almost anti-human. Phenomenology sees cognition and physical environments as things that take into account our values and any other noncognitive being. People have cognitive and analytical abilities and ought use them in certain ways. Knowing is not a simple matter of sense perception and analysis. The blanket denial of the reality of noncognitive ideas such as God and values suggests too simplistic a means of getting at reality.

Husserl also rejects subjectivism or solipsism. In saying that everything appearing to consciousness is real, critics argues that he was dangerous near, if not in fact, advocating solipsism. However, Husserl reject both logical positivism’s cold objectivism, which says people are objects and values unreal, and extreme existentialism and subjectivism’s solipsism, which maintains that the self is the only reality.

Phenomenology: Alfred Schutz (p. 140) comes from the perspective of applied phenomenology. Specifically, his viewpoint is sociology. He considers sociology as the study of “lived history,” or human institutions within which we find chronological or day to day history. He points out that human beings see, hear, and move within value parameters. Social structures comprise “lived history,” and are the context within which “chronological history” makes sense. Schutz ideas are similar to those of Kenneth Boulding. Boulding, while not technically a phenomenologist, notes that perception and action occur within our images of wholes, and never as the sensing of raw data or merely mechanical anatomic movement. People do not merely perceive, sense, move, and so on.

In phenomenology, consciousness intends or is consciousness of objects, thus revealing a subject-object continuum. Objectivity, perception and movement, in turn, are colored by our values and lived world. Objectivity is continuous with subjectivity. Subjectivity is never the reality of just one person, but intersubjective or social. Thus, phenomenology rejects the existential notion of extreme individuality or the virtually solipsistic ego.

Reality, in phenomenology, is the subject-object continuum or duality. Phenomenologists say we ought avoid Cartesian dualism of the mutually exclusive mind and body. Consciousness is always of the object, and the object is always embodied. Ricoeur (p. 217) argues that phenomenology overcomes Cartesian dualism by reintroducing the excarnate mind into the carnate or body. His efforts enable phenomenology to resolve dualism, as well as the objectivism of positivism, and subjectivism of existentialism.

The mind-body continuum means that subjectivity and objectivity are both real, but comprise a systematic reality instead of parts being real in themselves. Human beings exist in a world of physical reality. We sense this as we consider the lived world of culture giving meaning to material objects and generating ideas. Subjectivity does not exist alone; it requires a object. Likewise, objectivity is not merely “out there;” it is always perceived within cultural, lived orientations.

The phenomenological view is that subjectivity is never devoid of objectivity, while the solipsistic position entails subjectivity as devoid of objectivity. We need the world, for people are part of physical reality. Interpreting objectivity as devoid of subjectivity is similarly wrong. It becomes a dehumanized objectivity disregarding human beings and consciousness. Along these lines and seemingly less serious a problem, dualism is just as wrong, according to phenomenology. Objects and subjects are irreducible to mutual distinct, inherently unrelated entities. We do not just take discreet objectivity and subjectivity and externally juxtapose them. We would be unable to bridge the subject-object gap if it were intrinsically discontinuous or unbridged.

e. Phenomenology and Ergonomics: Parallels

Human factors engineering and phenomenology appear to be mutually distinct fields. One is engineering and quantitative, the other a philosophical movement rejecting total quantification. As such, engineering and phenomenology would seem to be irreconcilable disciplines: engineering being strictly hard culture, phenomenology fundamentally soft culture. But our brief statements above show something else.

A glance at human factors engineering and phenomenology reveals parallels. Human factors believes that all physical environment interface with people. Objects ought be designed as continuous with human operators. The entire system is a machine-person interface or continuum, instead of the machine being something totally objective and non-personal. Phenomenology says that mind or objectification is continuous with the social dimension. Phenomenologists speak of the mind-body continuum. Human factors could speak of the machine-user continuum, phenomenology of the mind-body interface. Human factors would be saying machines are continuous with the user, phenomenology would be indicating that the mind interrelates with the body. In ergonomics, seeing designs or actual machines means seeing the operator or subjectivity. In phenomenology, seeing words on paper must mean seeing human values and other intangibles. For human factors engineers, machines/processes ought be acknowledged as intrinsically continuous or interfacing with people’s physical, social, and psychological limits. In phenomenology, the written word ought be recognized as inherently continuous with values and other cultural themes underlying the empirical.

Human factors says machines/processes ought be user-friendly, and ought not be user-unfriendly. Phenomenology maintains that objectivity ought be seen as value-laden, and never value-free. By user friendly, human factors means buttons, numbers, levers, lights, and other physical apparatus the operations and reasons of which the user can learn relatively easily, and the use of which will not harm the person. The human being need not be the proverbial rocket scientist to understand these operations; training would not require the typical user to earn a Ph.D., or even take one course from MIT. The user also need not be made of steel or physically qualify for Navy SEAL commando work to use the environment. The user friendly environment is designed for the typical person’s intellectual and physical abilities. By value-laden, phenomenology means any word ultimately reflects human values. No word is or can be value-free, as the philosophical movements logical positivism and .linguistic analysis tend to maintain. Positivists and analytic thinkers argue that words such as God, love, and religion do not belong in intellectual discourse because they reflect values and emotion. Words such as chair, table, atom and other words are value-free and non-emotive. However, chair reflects the English language, can imply the electric chair, can mean a department head at a college or university, and appears to be nonsexist relative to the apparently sexist term chairman. Phenomenologists would maintain that no word is value-free, that every term is a sociology of that term. Every word emerges from and reflects the social and cultural framework that produces it.

A user unfriendly environment is totally objective, ignoring human limits and abilities and forcing people to mere push, pull, and perceive. Al Gini (p. 120) notes that work offering no hope and becoming unethical is wrong, and means roughly what ergonomics means by user unfriendly work. Value-free language would mean a totally objective set of words over which there is no debate. However, every math, computer, physics and other science book or piece of literature reflects a human author and the author’s perspective, slant, or view. Feminism and civil rights thinkers have shown that such books (any book) are value-laden whether we like it or not. Each is written by a white male, black male, Latino woman, or person of a particular religious, ethnic, or sexual orientation. An author lacking ethnic, gender, and similar human qualities is impossible.

Human factors could say machines ought be user-laden, while phenomenologists might indicate that objectivity ought be seen as subject-friendly. The human factors term “user” is synonymous with phenomenology’s term “subject.” User and subject mean the human being and the cultural context from which the human being emerges.

Both ergonomics and phenomenology look at human-made environments as reflecting culture and not as just cognitive, scientific, or merely objective fields of study and work. Moreover, both ergonomics and phenomenology consider the human as part of the object. Thus, ergonomics notes that we ought avoid simply catering to the person’s every desire and want, and phenomenology rejects solipsism’s view that the individual is the sole reality.

f. Phenomenology and Ergonomics: Enter Ethics

The previous section notes the technical parallels between ergonomics and phenomenology. Readers will see the term “ought” throughout the paragraphs.

Phenomenology and human factors have fundamental parallels, as indicated in the previous section. These are intellectual or technical similarities. They indicate that both see a unity of objects and people.

In doing so, they are ethical in the general sense. Both machines and rational thought emerge from the social context. Ergonomics argues that machines reflect the social and cultural milieu, and are not totally reducible to nuts and bolts. Phenomenologists (Stewart and Mikunas, p. 10) note that God, love, anger, desire, and other intangibles are real because they appear to consciousness. Secular phenomenologists consider nonreligious themes as real. Religious phenomenologists believe that theological and spiritual notions such as God are real.

Both human factors experts and phenomenologists deny that sensation is our only way of knowing and experiencing. Ergonomics engineers would say it is wrong or unethical to design a machine or process that has operators simply “look,” “hear,” or otherwise sense a control panel or other part of a machine. Phenomenologists argue that we would be outside the ethos or culture if we considers human behavior or reality as strictly sensory phenomena.

Engineers abide by and study professional ethics, and the Occupational Safety and Health Administration monitors dangerous in the workplace according to federal law. Phenomenology, however, does not become part of a professional ethics issue except in the case of the ethics of teaching. It may seem that in phenomenology, the subject-object discontinuity or dichotomy is only an academic rather than a technically ethical matter as in engineering. To say that objects are disconnected from and do not reflect subjectivity is not an ethical matter.

Phenomenology is concerned with ethics in the broad sense of ethos or culture. Totally reducing knowledge or reality to the empirical means excarnating or taking sensation out of the social realm comprising ethos. In applied phenomenology, reducing people to computerized forms, numbers, and related paper work may be seen an unethical or socially undesirable.

In acknowledging the social and psychological as well as physical side of people, both human factors engineering and phenomenology are rooted in the sociology of human-made products. A sociology of work suggests that people do not just “do.” They do and know within social, ethos, and thereby ethical constraints.

Both human factors engineering and phenomenology share the view that the person or subject is not alone. In ergonomics, machines ought take the user into account, but this does not mean that the design reflect everything about the user. Physical environments should not be so designed as to satisfy every want, desire, and whim of the operator. Operators need to be trained, and put forth effort to realize that the environment requires change on the users’ part. Additionally, operators are continuous with their surroundings. They are not Luddites, working or existing alone, without the use of physical environments. Phenomenology says that subjectivity is not the same as subjectivism. In subjectivism, the self is considered to be alone, devoid of objectivity.

Phenomenology seems not to fall into the same ethics category of including punishments for unethical behavior as does human factors engineering. However, the culture that supports a totally dehumanized attitude toward people, such as allowing computerization to go wild and reduce everyone to numbers in every instance, is manifesting an anti phenomenological view. The positivism attitude is that we merely know and are excarnated from feelings and emotions. No ethical ruling can be made against positivism as an intellectual movement Yet positivism reflects the culture view that we can and ought ignore feeling and other intangibles.

The lived world is phenomenology’s notion that people live, work, and play in a social context where not everything is totally reducible to numbers or is effable. Paul Ricouer tells us that Cartesian dualism is the effort to see the world and the mind as two different substances. The Cartesian world-view means that cognition is excarnate, discontinuous with the body. Positivism argues that the cognitive is all there exists. Ricoeur would want us to reintroduce the cognitive into the lived world, and to see cognition as incarnate or embodied.

Broadly speaking, the embodied viewpoint is the ethos-oriented viewpoint whereby cognitive activity emerges from the parameters of culture. People ought not just think. Basically, they never just think. Thus, no individual ought take the stand that we are simply thinking substances, whether this substance is somehow related to the body in dualistic terms, or stands by itself in positivistic notions. On the other hand, the cognitive is part of life. We ought not consider the reductive or cognitive as unwarranted, as in much existentialism. We certainly ought not take the view that the cognitive does not have a reality, that the self is alone, that each of us is isolated.

The ethical view posits a holistic perspective. Objectification ought be seen as interfacing or being continuous with the subject or intersubjectivity. Neither objectification devoid of subjectivity, nor subjectivity without objectivity, is the ought.

Human factors speaks of groups of users, not just a user, as reference for designing machines. Phenomenology speaks of intersubjectivity, not just of one subject, a reference for seeing the cognitive. Both ergonomics and phenomenology look at individuals as social, and their limits and abilities are pertaining to groups rather than to one or two people.

Phenomenological thinkers take the position that could be interpreted as the philosophical version of ergonomics. In ergonomics, we do not hear of linguistic analysis, logical positivism , or existentialism. Yet, Ergonomics reveals or deals with language in the broadest sense. When ergonomics speaks of people seeing, hearing, touching, pulling, they are using language. In saying that a person is something that simply sees, hears, etc., we are being positivistic and reducing the individual to an object. If we agree that users are human beings who see, hear, and otherwise sense and move within emotive, cultural, and physical contexts, we are then thinking or using language from a phenomenological viewpoint.

Traditional linguistic analysis tends to imply that philosophers in that vein are only thinkers and not fundamentally akin the engineering. An interdisciplinary attitude with a broad vision of language sees things differently. Language analysts in philosophy work with symbolic logic and not technical mathematics. Human factors engineers work with mathematics, but are suggesting that people are indeed at least partly physical, sensory, and material. Ergonomics may be called human factors, but it can also be called subjectivity factors: we need to take the subjective and cultural into account for engineering processes.

As a corollary, the phenomenological position would be that human factors considers users as not mere objects, but that any characteristic of the person that appears to consciousness is a valid reality. Thus, engineers who are only nuts and bolts people traditionally say we are only skin, neurons, senses, and bones. This is very positivistic language. Phenomenologically, users are also values, emotions, spirituality, and ethos as a whole. Human factors and phenomenology are looking at operators as fundamentally human beings with dignity and essentially irreducible qualities.

Logical positivists might argue that their members helped win World War II by cracking Hitler’s Enigma Machine code. This is true. On the more fundamental side, Hitler would not have risen to the powerful level that we allowed to him to do so had we been phenomenological and cultural. As he was rising and accumulating power, a cultural view would have told us to stop him in his tracks. Had we done so, war would have been unnecessary, the Normandy invasion would not have had to occur, and Hitlers codes would not have had time to develop to be used against us.

Ethics tells us that human factors and phenomenology speak the same language, though ergonomics is the trained engineer designing machines, and phenomenologists are philosophers trained in inquiry and argument instead of the design of physical environments. Physical environments are but a form of language. Ergonomics and phenomenology speak the same language in terms of acknowledging that objectivity is subject- or value-oriented. Al Gini speaks of work in terms of business ethics: work must be ethical and never unethical.

They speak the same language in saying that human beings are essential social instead of standing alone. The physical, written, and motor environments are never totally reducible to objects “out there.” But as reflections of human beings, these environments mirror “our” and not “my” world. Any human value represents the share world-view of numerous individuals comprising a group. Language ought never be either completely symbolic as in the totally logical methods of linguistic analysis, nor ought it be simply one person’s language which no other person can understand.

Two people, one a human factors engineer, the other a phenomenologist, can look at a machine or consider a procedure. These two individuals can communicate with each other if they understand their shared viewpoint. Both are coming from the ethical perspective. The engineer is saying that the numbers, words, and motions, which is to say, the language, of a system, ought reflect human beings in light of culture. A phenomenologist is saying that the writings in a human factors text ought reflect the social, psychological and related value-oriented words and meanings we see in culture.

Both the ergonomics and phenomenological philosopher would agree that the human values comprise a share enterprised that reflects the objective world continuous with the cultural milieu. No person is an island, no person is reducible to flesh and bones. Somewhere between extreme individualism and mere objectivism, the subject-object continuum or machine-person interface comprises a reality including the validity of external and internal worlds.

Ethics means objects are the externalizing of human ideas and the validity of the outside world. As ethos, we are neither extra-ethos nor merely ethos. The extra-ethos or extra-ethical suggests that people are sensations and motions; the merely ethos or ethical can mean we are only a commune, only a community doing little or nothing. Pushed to the extreme, the commune leads to the individual member as possibly believing that he or she stands alone.

In both human factors and phenomenology, language as our fundamental nature is seen as an object-subjective reality. Positivism sees language as symbols and sensory activity; traditional engineering involving merely nuts and bolts sees machines, and therefore language, as the sum total of physical parts. Human factors and phenomenology, rooted in ethos, consider language as a holistic reality whereby being serves to objectify itself through beings.

g. Ethics as Homological

We typically think of ethics as a course of study, as in professional or philosophical ethics. In that way, ethics is no more fundamental than any other discipline. The above pages show that ethics is isomorphic or homological. Isomorphic is derived from iso meaning the same, and morphic meaning shape. Ethics is the same shape or principle that underlies ergonomics and phenomenology. Homological is derived from homo means same, and logic meaning word or structure. Ethics is the same structure from which ergonomics and phenomenology are derived. Learning ethics is basic to human factors engineering and phenomenology. As we consider ethics, we find it necessary to objectify within the parameters of culture, values, and perhaps spirituality. From the engineering perspective, ethics becomes a method of developing physical structures for human use. From the philosophical view, ethics can be interpreted as the intellectual inquiry into knowledge and reality.

As an isomorphic or homological root to human factors and phenomenology, ethics becomes the foundations for a liberal arts. Whatever we know and do, we are inherently facing the opportunity to know and do what is humane, and what is not. This opportunity means intellectual and engineering approaches are basically ethical. They emerge from culture or ethos. To deny values would be to reject our cultural foundations; to seek only values would be unrealistic.

Interdisciplinary research has gone in two directions. One is interdisciplinarity in the sense of team teaching and putting together courses and topics in some sort of seamless or minimally seamed fabric. Ethics plays an equity role here. It is one of the disciplines or ideas relevant to knowledge. The other direction (Kazanjian, 2002, p. 30) is more fundamental. This is the isomorphic direction. Isomorphic or homological ethics means that we must study ethics as a cultural, ethos framework within which we find the roots for all other professions.

Ethics as the homological root of numerous disciplines can thereby show us how to understand human factors engineering and phenomenology. Take ethics away from ergonomics and we essentially eliminate human factors engineering. The very term “human factor” implies that ethos is basic to engineering. Take ethics away from phenomenology and we basically have logical positivism. The subjective orientations of objectivity refer to the ethos from which emerges the objective.

Contemporary interest in professional ethics implies that ethical and non-ethical thinking and doing is something new. Indeed, our admission is new. The existence of the ethical perspective is as old as humanity. Mircea Eliade (p. 31) has taken pains to elucidate the validity of ethics in primitive cultures. In every society we have dos and don’ts. Without that view, any person in any culture will simply do or know, and the result could hurt that person or others.

Eliade’s point concerns comparative religion. Ancient societies did everything by repeating the anatomic gestures as performed in Primordial Time by the gods. Primordial Time is the time before the gods created the world and our idea of calendar time. No member of any society simply “did” something. Today, we imply that we merely do or know. Even Eliade suggests that contemporary society is totally secularized. Yet, Clifton Bryant’s research in the sociology of work (p. 1) catalogues the social and thus ethical directions of knowledge and technique.

Ethics, then, is not just another topic (Kazanjian, p. 3). It is the ongoing insight that ethos or culture provides us with the framework for survival and etiquette. Human factors and phenomenology are two specific manifestation of that insight.

3. References and Further Reading

a. Theory

  • Clifton D. Bryant ed. The Social Dimensions of Work Englewood Cliffs, NJ.: Prentice-Hall; 1972
  • Martin Buber I and Thou New York: Charles Scribner’s Sons; 1970.
  • Jeremy Campbell The Improbable Machine New York: Simon and Schuster; 1989,
  • Mircea Eliade Patterns in Comparative Religion Cleveland: The World Publishing Company; 1958.
  • Michael M. Kazanjian Learning Values Lifelong The Netherlands: Rodopi; 2002.
  • Paul Ricoeur Freedom and Nature: The Voluntary and the Involuntary Evanston, IL: NorthwesternUniversity Press; 1968.
  • David Stewart and Algis Mackunas Exploring Phenomenology Athens, OH: Ohio University Press; 1990.
  • G. Harry Stine The Hopeful Future New York: Macmillan;1983.
  • Alfred North Whitehead Modes of Thought New York: The Macmillan Company; 1958.

b. Tying Phenomenological Ethics to the World

  • Jack A. Adams Human Factors Engineering. New York: Macmillan; 1989.
  • Mircea Eliade Patterns in Comparative Religion. Cleveland, OH: World Publishing; 1963.
  • Clifton D. Bryant ed. The Sociology of Work. Englewood Cliffs, New Jersey: Prentice Hall; 1972.
  • Alphonse Chapanis, “Human Engineering,” in Operations Research and Systems Engineering ed. Charles D. Flagle, William H. Huggins, and Robert R. Roy, Baltimore: The Johns Hopkins University Press; 1960.
  • Al Gini My Job, My Self. New York: Routledge; 2001.
  • Edmund Husserl Ideas Pertaining to a Pure Phenomenology and to PhenomenologicalPhilosophy The Netherlands: Kluwer; 1967..
  • Barry H. Kantowicz and Robert D. Sorkin. Human Factors. New York: John Wiley; 1983.
  • Michael M. Kazanjian Phenomenology and Education The Netherlands: Rodopi: 1998.
    • Especially chapters one and two comparing ethics, human factors, and phenomenology.
  • Michael M. Kazanjian Learning Values Lifelong The Netherlands: Rodopi; 2002.
  • Algis Mikunas and David Stewart Exploring Phenomenology. Athens, OH: Ohio University Press; 1990.
  • Paul Ricoeur Freedom and Nature: The Voluntary and the Involuntary. Evanston: Northwestern University Press; 1966.
  • Alfred Schutz The Phenomenology of the Social World. Evanston: Northwestern University Press;1967.

Author Information

Michael M. Kazanjian
Email: mkazanji@triton.edu
U. S. A.

Epicurus (341—271 B.C.E.)

epicurus2Epicurus is one of the major philosophers in the Hellenistic period, the three centuries following the death of Alexander the Great in 323 B.C.E. (and of Aristotle in 322 B.C.E.). Epicurus developed an unsparingly materialistic metaphysics, empiricist epistemology, and hedonistic ethics. Epicurus taught that the basic constituents of the world are atoms, uncuttable bits of matter, flying through empty space, and he tried to explain all natural phenomena in atomic terms. Epicurus rejected the existence of Platonic forms and an immaterial soul, and he said that the gods have no influence on our lives. Epicurus also thought skepticism was untenable, and that we could gain knowledge of the world relying upon the senses. He taught that the point of all one’s actions was to attain pleasure (conceived of as tranquility) for oneself, and that this could be done by limiting one’s desires and by banishing the fear of the gods and of death. Epicurus’ gospel of freedom from fear proved to be quite popular, and communities of Epicureans flourished for centuries after his death.

Table of Contents

  1. Life
  2. Sources
  3. Metaphysics
    1. Arguments for the Existence of Atoms and Void
    2. Properties of Atoms, Limitlessness of the Universe
    3. Differences from Democritus
      1. Weight
      2. The Swerve
      3. Sensible Qualities
    4. Mechanistic Explanations of Natural Phenomena
    5. The Gods
    6. Philosophy of Mind
    7. Perception
  4. Epistemology
    1. The Canon: Sensations, Preconceptions, and Feelings
    2. Anti-skeptical Arguments
      1. The “Lazy Argument”
      2. The Self-refutation Argument
      3. The Argument from Concept-formation
  5. Ethics
    1. Hedonism, Psychological and Ethical
    2. Types of Pleasure
    3. Types of Desire
    4. The Virtues
    5. Justice
    6. Friendship
    7. Death
      1. The No Subject of Harm Argument
      2. The Symmetry Argument
  6. References and Further Reading
    1. Collections of Primary Sources
    2. Recent Books on Particular Areas of Epicurus’ Philosophy

1. Life

Epicurus was born around 341 B.C.E., seven years after Plato’s death, and grew up in the Athenian colony of Samos, an island in the Mediterranean Sea. He was about 19 when Aristotle died, and he studied philosophy under followers of Democritus and Plato. Epicurus founded his first philosophical schools in Mytilene and Lampsacus, before moving to Athens around 306 B.C.E. There Epicurus founded the Garden, a combination of philosophical community and school. The residents of the Garden put Epicurus’ teachings into practice. Epicurus died from kidney stones around 271 or 270 B.C.E.

After Epicurus’ death, Epicureanism continued to flourish as a philosophical movement. Communities of Epicureans sprang up throughout the Hellenistic world; along with Stoicism, it was one of the major philosophical schools competing for people’s allegiances. Epicureanism went into decline with the rise of Christianity. Certain aspects of Epicurus’ thought were revived during the Renaissance and early modern periods, when reaction against scholastic neo-Aristotelianism led thinkers to turn to mechanistic explanations of natural phenomena.

2. Sources

Epicurus was a voluminous writer, but almost none of his own work survives. A likely reason for this is that Christian authorities found his ideas ungodly. Diogenes Laertius, who probably lived in the third century CE , wrote a 10-book Lives of the Philosophers, which includes three of Epicurus’ letters in its recounting of the life and teachings of Epicurus. These three letters are brief summaries of major areas of Epicurus’ philosophy: the Letter to Herodotus, which summarizes his metaphysics, the Letter to Pythocles, which gives atomic explanations for meteorological phenomena, and the Letter to Menoeceus, which summarizes his ethics. It also includes the Principal Doctrines, 40 sayings which deal mainly with ethical matters.

Because of the absence of Epicurus’ own writings, we have to rely on later writers to reconstruct Epicurus’ thought. Two of our most important sources are the Roman poet Lucretius (c. 94-55 B.C.E.) and the Roman politician Cicero (106-43 B.C.E.). Lucretius was an Epicurean who wrote De Rerum Natura (On the Nature of Things), a six-book poem expounding Epicurus’ metaphysics. Cicero was an adherent of the skeptical academy, who wrote a series of works setting forth the major philosophical systems of his day, including Epicureanism. Another major source is the essayist Plutarch (c. 50-120 CE), a Platonist. However, both Cicero and Plutarch were very hostile toward Epicureanism, so they must be used with care, since they often are less than charitable toward Epicurus, and may skew his views to serve their own purposes.

Although the major outlines of Epicurus’ thought are clear enough, the lack of sources means many of the details of his philosophy are still open to dispute.

3. Metaphysics

Epicurus believes that the basic constituents of the world are atoms (which are uncuttable, microscopic bits of matter) moving in the void (which is simply empty space). Ordinary objects are conglomerations of atoms. Furthermore, the properties of macroscopic bodies and all of the events we see occurring can be explained in terms of the collisions, reboundings, and entanglements of atoms.

a. Arguments for the Existence of Atoms and Void

Epicurus’ metaphysics starts from two simple points: (1) we see that there are bodies in motion, and (2) nothing comes into existence from what does not exist. Epicurus takes the first point to be simply a datum of experience. The second point is a commonplace of ancient Greek philosophy, derived from the Principle of Sufficient Reason (the principle that for everything which occurs there is a reason or explanation for why it occurs, and why this way rather than that).

First, because bodies move, there must be empty space for them to move in, and Epicurus calls this empty space ‘void.’ Second, the ordinary bodies that we see are compound bodies–that is, bodies which are made up of further bodies, which is shown by the fact that they can be broken down into smaller pieces. However, Epicurus thinks that this process of division cannot go on indefinitely, because otherwise bodies would dissolve away into nothing. Also, there must be basic and unchangeable building blocks of matter in order to explain the regularities in nature. These non-compound bodies are atoms–literally, ‘uncuttables.’ Only bodies and void exist per se, that is, exist without depending for their existence on something else. Other things–such as colors, time, and justice–are ultimately explicable as attributes of bodies.

b. Properties of Atoms, Limitlessness of the Universe

Because Epicurus believes that nothing comes into existence from nothing, he thinks that the universe has no beginning, but has always existed, and will always exist. Atoms, too, as the basic building blocks of all else, cannot come into existence, but have always existed. Our particular cosmos, however, is only a temporary agglomeration of atoms, and it is only one of an infinite number of such cosmoi, which come into existence and then dissolve away. Against Aristotle, Epicurus argues that the universe is unlimited in size. If the universe were limited in size, says Epicurus, you could go to the end of it, stick your fist out, and where your fist was located would be the new ‘limit’ of the universe. Of course, this process could be reiterated an endless number of times. Since the universe is unlimited in size, there must also be an unlimited number of atoms and an infinite amount of void. If the number of atoms were limited, then the ‘density’ of atoms in any region would effectively be zero, and there would be no macroscopic bodies, as there evidently are. And there must be an unlimited amount of void, since without a limitless amount of void, the infinite number of atoms would be unable to move.

c. Differences from Democritus

Up to this point, Epicurus is largely following the thought of Democritus, a pre-Socratic philosopher and one of the inventors of atomism. However, he modifies Democritus’ atomism in at least three important ways.

i. Weight

The first is that Epicurus thinks that atoms have weight. Like Democritus, Epicurus believes that atoms have the properties of size, shape, and resistance. Democritus explains all atomic motion as the result of previous atomic collisions, plus the inertia of atoms. Aristotle, however, criticizes Democritus on this point, saying that Democritus has not explained why it is that atoms move at all, rather than simply standing still. Epicurus seems to be answering this criticism when he says that atoms do have a natural motion of direction–‘downward’–even though there is no bottom to the universe. This natural motion is supposed to give an explanation for why atoms move in the first place. Also, Epicurus thinks that it is evident that bodies do tend to travel down, all else being equal, and he thinks that positing weight as an atomic property accounts for this better than thinking all atomic motion is the result of past collisions and inertia.

ii. The Swerve

The second modification of Democritus’ views is the addition of the ‘swerve.’ In addition to the regular tendency of atoms to move downward, Epicurus thinks that occasionally, and at random times, the atoms swerve to the side. One reason for this swerve is that it is needed to explain why there are atomic collisions. The natural tendency of atoms is to fall straight downward, at uniform velocity. If this were the only natural atomic motion, the atoms never would have collided with one another, forming macroscopic bodies. As Lucretius puts it, they would ‘fall downward, like drops of rain, through the deep void.’ The second reason for thinking that atoms swerve is that a random atomic motion is needed to preserve human freedom and ‘break the bonds of fate,’ as Lucretius says. If the laws of atomic motion are deterministic, then the past positions of the atoms in the universe, plus these laws, determine everything that will occur, including human action. Cicero reports that Epicurus worries that, if it has been true from eternity that, e.g., “Milo will wrestle tomorrow,” then presently deliberating about whether to make it true or false would be idle.

iii. Sensible Qualities

The third difference between Epicurus and Democritus has to do with their attitudes toward the reality of sensible properties. Democritus thinks that, in reality, only atoms and the void exist, and that sensible qualities such as sweetness, whiteness, and the like exist only ‘by convention.’ It is controversial exactly how to understand Democritus’ position, but most likely he is asserting that atoms themselves have no sensible qualities–they are simply extended bits of stuff. The sensible qualities that we think bodies have, like sweetness, are not really in the object at all, but are simply subjective states of the percipient’s awareness produced by the interaction of bodies with our sense-organs. This is shown, thinks Democritus, by the fact that the same body appears differently to different percipients depending on their bodily constitution, e.g., that a ‘white’ body appears yellow to somebody with jaundice, or that honey tastes bitter to an ill person. From this, Democritus derives skeptical conclusions. He is pessimistic about our ability to gain any knowledge about the world on the basis of our senses, since they systematically deceive us about the way the world is.

Epicurus wants to resist these pessimistic conclusions. He argues that properties like sweetness, whiteness, and such do not exist at the atomic level–individual atoms are not sweet or white–but that these properties are nonetheless real. These are properties of macroscopic bodies, but the possession of these properties by macroscopic bodies are explicable in terms of the properties of and relations amongst the individual atoms that make up bodies. Epicurus thinks that bodies have the capability to cause us to have certain types of experiences because of their atomic structure, and that such capabilities are real properties of the bodies. Similar considerations apply for properties like “being healthy,” “being deadly,” and “being enslaved.” They are real, but can only apply to groups of atoms (like people), not individual atoms. And these sorts of properties are also relational properties, not intrinsic ones. For example, cyanide is deadly–not deadly per se, but deadly for human beings (and perhaps for other types of organisms). Nonetheless, its deadliness for us is still a real property of the cyanide, albeit a relational one.

d. Mechanistic Explanations of Natural Phenomena

One important aspect of Epicurus’ philosophy is his desire to replace teleological (goal-based) explanations of natural phenomena with mechanistic ones. His main target is mythological explanations of meteorological occurrences and the like in terms of the will of the gods. Because Epicurus wishes to banish the fear of the gods, he insists that occurrences like earthquakes and lightning can be explained entirely in atomic terms and are not due to the will of the gods. Epicurus is also against the intrinsic teleology of philosophers like Aristotle. Teeth appear to be well-designed for the purpose of chewing. Aristotle thinks that this apparent purposiveness in nature cannot be eliminated, and that the functioning of the parts of organisms must be explained by appealing to how they contribute to the functioning of the organism as a whole. Other philosophers, such as the Stoics, took this apparent design as evidence for the intelligence and benevolence of God. Epicurus, however, following Empedocles, tries to explain away this apparent purposiveness in nature in a proto-Darwinian way, as the result of a process of natural selection.

e. The Gods

Because of its denial of divine providence, Epicureanism was often charged in antiquity with being a godless philosophy, although Epicurus and his followers denied the charge. The main upshot of Epicurean theology is certainly negative, however. Epicurus’ mechanistic explanations of natural phenomena are supposed to displace explanations that appeal to the will of the gods. In addition, Epicurus is one of the earliest philosophers we know of to have raised the Problem of Evil, arguing against the notion that the world is under the providential care of a loving deity by pointing out the manifold suffering in the world.

Despite this, Epicurus says that there are gods, but these gods are quite different from the popular conception of gods. We have a conception of the gods, says Epicurus, as supremely blessed and happy beings. Troubling oneself about the miseries of the world, or trying to administer the world, would be inconsistent with a life of tranquility, says Epicurus, so the gods have no concern for us. In fact, they are unaware of our existence, and live eternally in the intermundia, the space between the cosmoi. For Epicurus, the gods function mainly as ethical ideals, whose lives we can strive to emulate, but whose wrath we need not fear.

Ancient critics thought the Epicurean gods were a thin smoke-screen to hide Epicurus’ atheism, and difficulties with a literal interpretation of Epicurus’ sayings on the nature of the gods (for instance, it appears inconsistent with Epicurus’ atomic theory to hold that any compound body, even a god, could be immortal) have led some scholars to conjecture that Epicurus’ ‘gods’ are thought-constructs, and exist only in human minds as idealizations, i.e., the gods exist, but only as projections of what the most blessed life would be.

f. Philosophy of Mind

Epicurus is one of the first philosophers to put forward an Identity Theory of Mind. In modern versions of the identity theory, the mind is identified with the brain, and mental processes are identified with neural processes. Epicurus’ physiology is quite different; the mind is identified as an organ that resides in the chest, since the common Greek view was that the chest, not the head, is the seat of the emotions. However, the underlying idea is quite similar. (Note: not all commentators accept that Epicurus’ theory is actually an Identity Theory.)

The main point that Epicurus wants to establish is that the mind is something bodily. The mind must be a body, thinks Epicurus, because of its ability to interact with the body. The mind is affected by the body, as vision, drunkenness, and disease show. Likewise, the mind affects the body, as our ability to move our limbs when we want to and the physiological effects of emotional states show. Only bodies can interact with other bodies, so the mind must be a body. Epicurus says that the mind cannot be something incorporeal, as Plato thinks, since the only thing that is not a body is void, which is simply empty space and cannot act or be acted upon.

The mind, then, is an organ in the body, and mental processes are identified with atomic processes. The mind is composed of four different types of particles–fire, air, wind, and the “nameless element,” which surpasses the other particles in its fineness. Although Epicurus is reticent about the details, some features of the mind are accounted for in terms of the features of these atoms–for instance, the mind is able to be moved a great deal by the impact of an image (which is something quite flimsy), because of the smallness of the particles that make up the mind. The mind proper, which is primarily responsible for sensation and thought, is located in the chest, but Epicurus thinks that there is also a ‘spirit,’ spread throughout the rest of the body, which allows the mind to communicate with it. The mind and spirit play roles very similar to those of the central and peripheral nervous systems in modern theory.

One important result of Epicurus’ philosophy of mind is that death is annihilation. The mind is able to engage in the motions of sensation and thought only when it is housed in the body and the atoms that make it up are properly arranged. Upon death, says Epicurus, the container of the body shatters, and the atoms disperse in the air. The atoms are eternal, but the mind made up of these atoms is not, just as other compound bodies cease to exist when the atoms that make them up disperse.

g. Perception

Epicurus explains perception in terms of the interaction of atoms with the sense-organs. Objects continually throw off one-atom-thick layers, like the skin peeling off of an onion. These images, or “eidola,” fly through the air and bang into one’s eyes, from which one learns about the properties of the objects that threw off these eidola. This explains vision. Other senses are analyzed in similar terms; e.g., the soothing action of smooth atoms on the tongue causes the sensation of sweetness. As noted above, Epicurus maintains that such sensible qualities are real qualities of bodies.

4. Epistemology

a. The Canon: Sensations, Preconceptions, and Feelings

Epicurus’ epistemology is resolutely empiricist and anti-skeptical. All of our knowledge ultimately comes from the senses, thinks Epicurus, and we can trust the senses, when properly used. Epicurus’ epistemology was contained in his work the ‘Canon,’ or ‘measuring stick,’ which is lost, so many of the details of his views are unavailable to us.

Epicurus says that there are three criteria of truth: sensations, ‘preconceptions,’ and feelings. Sensations give us information about the external world, and we can test the judgments based upon sensations against further sensations; e.g., a provisional judgment that a tower is round, based upon sensation, can be tested against later sensations to be corroborated or disproved. Epicurus says that all sensations give us information about the world, but that sensation itself is never in error, since sensation is a purely passive, mechanical reception of images and the like by sense-organs, and the senses themselves do not make judgments ‘that’ the world is this way or that. Instead, error enters in when we make judgments about the world based upon the information received through the senses.

Epicurus thinks that, in order to make judgments about the world, or even to start any inquiry whatsoever, we must already be in possession of certain basic concepts, which stand in need of no further proof or definition, on pain of entering into an infinite regress. This concern is similar to the Paradox of Inquiry explored by Plato in the Meno, that one must already know about something in order to be able to inquire about it. However, instead of postulating that our immaterial souls had acquaintance with transcendent Forms in a pre-natal existence, as Plato does, Epicurus thinks that we have certain ‘preconceptions’–concepts such as ‘body,’ ‘person,’ ‘usefulness,’ and ‘truth’–which are formed in our (material) minds as the result of repeated sense-experiences of similar objects. Further ideas are formed by processes of analogy or similarity or by compounding these basic concepts. Thus, all ideas are ultimately formed on the basis of sense-experience.

Feelings of pleasure and pain form the basic criteria for what is to be sought and avoided.

b. Anti-skeptical Arguments

Epicurus is concerned to refute the skeptical tendencies of Democritus, whose metaphysics and theory of perception were similar to Epicurus’. At least three separate anti-skeptical arguments are given by Epicureans:

i. The “Lazy Argument”

Epicurus says that it is impossible to live as a skeptic. If a person really were to believe that he knows nothing, then he would have no reason to engage in one course of action instead of another. Thus, the consistent skeptic would engage in no action whatsoever, and would die.

ii. The Self-refutation Argument

If a skeptic claims that nothing can be known, then one should ask whether he knows that nothing can be known. If he says ‘yes,’ then he is contradicting himself. If he doesn’t say yes, then he isn’t making a claim, and we don’t need to listen to him.

iii. The Argument from Concept-formation

If the skeptic says that nothing can be known, or that we cannot know the truth, we can ask him where he gets his knowledge of concepts such as ‘knowledge’ and ‘truth.’ If the senses cannot be relied on, as the skeptic claims, then he is not entitled to use concepts such as ‘knowledge’ and ‘truth’ in formulating his thesis, since such concepts derive from the senses.

5. Ethics

Epicurus’ ethics is a form of egoistic hedonism; i.e., he says that the only thing that is intrinsically valuable is one’s own pleasure; anything else that has value is valuable merely as a means to securing pleasure for oneself. However, Epicurus has a sophisticated and idiosyncratic view of the nature of pleasure, which leads him to recommend a virtuous, moderately ascetic life as the best means to securing pleasure. This contrasts Epicurus strongly with the Cyrenaics, a group of ancient hedonists who better fit the stereotype of hedonists as recommending a policy of “eat, drink, and be merry.”

a. Hedonism, Psychological and Ethical

Epicurus’ ethics starts from the Aristotelian commonplace that the highest good is what is valued for its own sake, and not for the sake of anything else, and Epicurus agrees with Aristotle that happiness is the highest good. However, he disagrees with Aristotle by identifying happiness with pleasure. Epicurus gives two reasons for this. The main reason is that pleasure is the only thing that people do, as a matter of fact, value for its own sake; that is, Epicurus’ ethical hedonism is based upon his psychological hedonism. Everything we do, claims Epicurus, we do for the sake ultimately of gaining pleasure for ourselves. This is supposedly confirmed by observing the behavior of infants, who, it is claimed, instinctively pursue pleasure and shun pain. This is also true of adults, thinks Epicurus, but in adults it is more difficult to see that this is true, since adults have much more complicated beliefs about what will bring them pleasure. But the Epicureans did spend a great deal of energy trying to make plausible the contention that all activity, even apparently self-sacrificing activity or activity done solely for the sake of virtue or what is noble, is in fact directed toward obtaining pleasure for oneself.

The second proof, which fits in well with Epicurus’ empiricism, supposedly lies in one’s introspective experience. One immediately perceives that pleasure is good and that pain is bad, in the same way that one immediately perceives that fire is hot; no further argument is needed to show the goodness of pleasure or the badness of pain. (Of course, this does not establish Epicurus’ further contention that only pleasure is intrinsically valuable and only pain is intrinsically bad.)

Although all pleasures are good and all pains evil, Epicurus says that not all pleasures are choiceworthy or all pains to be avoided. Instead, one should calculate what is in one’s long-term self-interest, and forgo what will bring pleasure in the short-term if doing so will ultimately lead to greater pleasure in the long-term.

b. Types of Pleasure

For Epicurus, pleasure is tied closely to satisfying one’s desires. He distinguishes between two different types of pleasure: ‘moving’ pleasures and ‘static’ pleasures. ‘Moving’ pleasures occur when one is in the process of satisfying a desire, e.g., eating a hamburger when one is hungry. These pleasures involve an active titillation of the senses, and these feelings are what most people call ‘pleasure.’ However, Epicurus says that after one’s desires have been satisfied, (e.g., when one is full after eating), the state of satiety, of no longer being in need or want, is itself pleasurable. Epicurus calls this a ‘static’ pleasure, and says that these static pleasures are the best pleasures.

Because of this, Epicurus denies that there is any intermediate state between pleasure and pain. When one has unfulfilled desires, this is painful, and when one no longer has unfulfilled desires, this steady state is the most pleasurable of all, not merely some intermediate state between pleasure and pain.

Epicurus also distinguishes between physical and mental pleasures and pains. Physical pleasures and pains concern only the present, whereas mental pleasures and pains also encompass the past (fond memories of past pleasure or regret over past pain or mistakes) and the future (confidence or fear about what will occur). The greatest destroyer of happiness, thinks Epicurus, is anxiety about the future, especially fear of the gods and fear of death. If one can banish fear about the future, and face the future with confidence that one’s desires will be satisfied, then one will attain tranquility (ataraxia), the most exalted state. In fact, given Epicurus’ conception of pleasure, it might be less misleading to call him a ‘tranquillist’ instead of a ‘hedonist.’

c. Types of Desire

Because of the close connection of pleasure with desire-satisfaction, Epicurus devotes a considerable part of his ethics to analyzing different kinds of desires. If pleasure results from getting what you want (desire-satisfaction) and pain from not getting what you want (desire-frustration), then there are two strategies you can pursue with respect to any given desire: you can either strive to fulfill the desire, or you can try to eliminate the desire. For the most part Epicurus advocates the second strategy, that of paring your desires down to a minimum core, which are then easily satisfied.

Epicurus distinguishes between three types of desires: natural and necessary desires, natural but non-necessary desires, and “vain and empty” desires. Examples of natural and necessary desires include the desires for food, shelter, and the like. Epicurus thinks that these desires are easy to satisfy, difficult to eliminate (they are ‘hard-wired’ into human beings naturally), and bring great pleasure when satisfied. Furthermore, they are necessary for life, and they are naturally limited: that is, if one is hungry, it only takes a limited amount of food to fill the stomach, after which the desire is satisfied. Epicurus says that one should try to fulfill these desires.

Vain desires include desires for power, wealth, fame, and the like. They are difficult to satisfy, in part because they have no natural limit. If one desires wealth or power, no matter how much one gets, it is always possible to get more, and the more one gets, the more one wants. These desires are not natural to human beings, but inculcated by society and by false beliefs about what we need; e.g., believing that having power will bring us security from others. Epicurus thinks that these desires should be eliminated.

An example of a natural but non-necessary desire is the desire for luxury food. Although food is needed for survival, one does not need a particular type of food to survive. Thus, despite his hedonism, Epicurus advocates a surprisingly ascetic way of life. Although one shouldn’t spurn extravagant foods if they happen to be available, becoming dependent on such goods ultimately leads to unhappiness. As Epicurus puts it, “If you wish to make Pythocles wealthy, don’t give him more money; rather, reduce his desires.” By eliminating the pain caused by unfulfilled desires, and the anxiety that occurs because of the fear that one’s desires will not be fulfilled in the future, the wise Epicurean attains tranquility, and thus happiness.

d. The Virtues

Epicurus’ hedonism was widely denounced in the ancient world as undermining traditional morality. Epicurus, however, insists that courage, moderation, and the other virtues are needed in order to attain happiness. However, the virtues for Epicurus are all purely instrumental goods–that is, they are valuable solely for the sake of the happiness that they can bring oneself, not for their own sake. Epicurus says that all of the virtues are ultimately forms of prudence, of calculating what is in one’s own best interest. In this, Epicurus goes against the majority of Greek ethical theorists, such as the Stoics, who identify happiness with virtue, and Aristotle, who identifies happiness with a life of virtuous activity. Epicurus thinks that natural science and philosophy itself also are instrumental goods. Natural science is needed in order to give mechanistic explanations of natural phenomena and thus dispel the fear of the gods, while philosophy helps to show us the natural limits of our desires and to dispel the fear of death.

e. Justice

Epicurus is one of the first philosophers to give a well-developed contractarian theory of justice. Epicurus says that justice is an agreement “neither to harm nor be harmed,” and that we have a preconception of justice as “what is useful in mutual associations.” People enter into communities in order to gain protection from the dangers of the wild, and agreements concerning the behavior of the members of the community are needed in order for these communities to function, e.g., prohibitions of murder, regulations concerning the killing and eating of animals, and so on. Justice exists only where there are such agreements.

Like the virtues, justice is valued entirely on instrumental grounds, because of its utility for each of the members of society. Epicurus says that the main reason not to be unjust is that one will be punished if one gets caught, and that even if one does not get caught, the fear of being caught will still cause pain. However, he adds that the fear of punishment is needed mainly to keep fools in line, who otherwise would kill, steal, etc. The Epicurean wise man recognizes the usefulness of the laws, and since he does not desire great wealth, luxury goods, political power, or the like, he sees that he has no reason to engage in the conduct prohibited by the laws in any case.

Although justice only exists where there is an agreement about how to behave, that does not make justice entirely ‘conventional,’ if by ‘conventional’ we mean that any behavior dictated by the laws of a particular society is thereby just, and that the laws of a particular society are just for that society. Since the ‘justice contract’ is entered into for the purpose of securing what is useful for the members of the society, only laws that are actually useful are just. Thus, a prohibition of murder would be just, but antimiscegenation laws would not. Since what is useful can vary from place to place and time to time, what laws are just can likewise vary.

f. Friendship

Epicurus values friendship highly and praises it in quite extravagant terms. He says that friendship “dances around the world” telling us that we must “wake to blessedness.” He also says that the wise man is sometimes willing to die for a friend. Because of this, some scholars have thought that in this area, at least, Epicurus abandons his egoistic hedonism and advocates altruism toward friends. This is not clear, however. Epicurus consistently maintains that friendship is valuable because it is one of the greatest means of attaining pleasure. Friends, he says, are able to provide one another the greatest security, whereas a life without friends is solitary and beset with perils. In order for there to be friendship, Epicurus says, there must be trust between friends, and friends have to treat each other as well as they treat themselves. The communities of Epicureans can be seen as embodying these ideals, and these are ideals that ultimately promote ataraxia.

g. Death

One of the greatest fears that Epicurus tries to combat is the fear of death. Epicurus thinks that this fear is often based upon anxiety about having an unpleasant afterlife; this anxiety, he thinks, should be dispelled once one realizes that death is annihilation, because the mind is a group of atoms that disperses upon death.

i. The No Subject of Harm Argument

If death is annihilation, says Epicurus, then it is ‘nothing to us.’ Epicurus’ main argument for why death is not bad is contained in the Letter to Menoeceus and can be dubbed the ‘no subject of harm’ argument. If death is bad, for whom is it bad? Not for the living, since they’re not dead, and not for the dead, since they don’t exist. His argument can be set out as follows:

  1. Death is annihilation.
  2. The living have not yet been annihilated (otherwise they wouldn’t be alive).
  3. Death does not affect the living. (from 1 and 2)
  4. So, death is not bad for the living. (from 3)
  5. For something to be bad for somebody, that person has to exist, at least.
  6. The dead do not exist. (from 1)
  7. Therefore, death is not bad for the dead. (from 5 and 6)
  8. Therefore death is bad for neither the living nor the dead. (from 4 and 7)

Epicurus adds that if death causes you no pain when you’re dead, it’s foolish to allow the fear of it to cause you pain now.

ii. The Symmetry Argument

A second Epicurean argument against the fear of death, the so-called ‘symmetry argument,’ is recorded by the Epicurean poet Lucretius. He says that anyone who fears death should consider the time before he was born. The past infinity of pre-natal non-existence is like the future infinity of post-mortem non-existence; it is as though nature has put up a mirror to let us see what our future non-existence will be like. But we do not consider not having existed for an eternity before our births to be a terrible thing; therefore, neither should we think not existing for an eternity after our deaths to be evil.

6. References and Further Reading

This is not meant as comprehensive bibliography; rather, it’s a selection of further texts to read for those who want to learn more about Epicurus and Epicureanism. Most of the books listed below have extensive bibliographies for those looking for more specialized and scholarly publications.

a. Collections of Primary Source

  • The Epicurus Reader, translated and edited by Brad Inwood and L.P. Gerson, Hackett Publishing.
    • This inexpensive collection has most of the major extant writings of Epicurus, in addition to other ancient sources such as Cicero and Plutarch who wrote about Epicureanism. (Lucretius is not included much.) However, there is little commentary or explication of the material, and some of the primary sources are fairly opaque.
  • The Hellenistic philosophers, Volume 1: translations of the principal sources, with philosophical commentary, by A.A. Long and D.N. Sedley, Cambridge University Press.
    • This excellent book organizes the texts into sections topically, (e.g., “Atoms,” “Soul,” “Language,” “Death,”) and follows each selection of texts with commentary and explication. Vol. 2, which contains the original Greek and Latin texts, has a fine, if somewhat dated (1987) bibliography at the end.Lucretius, De Rerum Natura

There are many different editions of Lucretius’ masterpiece, an extended exposition of Epicurus’ metaphysics, philosophy of mind, and natural science. I personally like the translation by Rolfe Humphries: Lucretius: The Way Things Are. The De Rerum Natura of Titus Lucretius Carus, Indiana University Press. Humphries translates Lucretius’ poem as a poem, not as prose, yet the translation is still very clear and readable.

b. Recent Books on Particular Areas of Epicurus’ Philosophy

The books below are all well-written and influential. They deal in-depth with problems of interpreting particular areas of Epicurus’ philosophy, while still remaining, for the most part, accessible to well-educated general readers. They also have extensive bibliographies. However, do not assume that the interpretations of Epicurus in these books are always widely accepted.

  • Hellenistic Philosophy of Mind, by Julia Annas, University of California Press.
    • This book deals with Epicurean and Stoic theories of what the mind is.
  • Epicurus’ Ethical Theory : The Pleasures of Invulnerability, by Phillip Mitsis, Cornell University Press.
    • This book is concerned with all of the major areas of Epicurean ethics, from pleasure, to friendship, justice, and human freedom. Mitsis is especially good at showing how Epicurus’ conception of pleasure differs from that of the utilitarians.
  • The Morality of Happiness, by Julia Annas, Oxford University Press.
    • This book focuses deals with all major ancient theorists from Aristotle on, but is still a good source of information on Epicurean ethics, especially if one wants to put Epicurean ethics in the context of other ancient ethical theories.
  • Epicurus’ Scientific Method, by Elizabeth Asmis, Cornell University Press.
    • The best book-length treatment of Epicurus’ epistemology available. A little more technical than the books above, but still fairly accessible.

Author Information

Tim O’Keefe
Email: see web page
Georgia State University
U. S. A.

Epictetus (55–135 C.E.)

epictetusEpictetus (pronounced Epic-TEE-tus) was an exponent of Stoicism who flourished in the early second century C.E. about four hundred years after the Stoic school of Zeno of Citium was established in Athens. He lived and worked, first as a student in Rome, and then as a teacher with his own school in Nicopolis in Greece. Our knowledge of his philosophy and his method as a teacher comes to us via two works composed by his student Arrian, the Discourses and the Handbook. Although Epictetus based his teaching on the works of the early Stoics (none of which survives) which dealt with the three branches of Stoic thought, logic, physics and ethics, the Discourses and the Handbook concentrate almost exclusively on ethics. The role of the Stoic teacher was to encourage his students to live the philosophic life, whose end was eudaimonia (‘happiness’ or ‘flourishing’), to be secured by living the life of reason, which – for Stoics – meant living virtuously and living ‘according to nature’. The eudaimonia (‘happiness’) of those who attain this ideal consists of ataraxia (imperturbability), apatheia (freedom from passion), eupatheiai (‘good feelings’), and an awareness of, and capacity to attain, what counts as living as a rational being should. The key to transforming oneself into the Stoic sophos (wise person) is to learn what is ‘in one’s power’, and this is ‘the correct use of impressions’ (phantasiai), which in outline involves not judging as good or bad anything that appears to one. For the only thing that is good is acting virtuously (that is, motivated by virtue), and the only thing that is bad is the opposite, acting viciously (that is, motivated by vice). Someone who seeks to make progress as a Stoic (a prokoptôn) understands that their power of rationality is a fragment of God whose material body – a sort of rarefied fiery air – blends with the whole of creation, intelligently forming and directing undifferentiated matter to make the world as we experience it. The task of the prokoptôn, therefore, is to ‘live according to nature’, which means (a) pursuing a course through life intelligently responding to one’s own needs and duties as a sociable human being, but also (b) wholly accepting one’s fate and the fate of the world as coming directly from the divine intelligence which makes the world the best that is possible.

Table of Contents

  1. Life
  2. Writings
    1. The Discourses
    2. The Handbook
  3. Epictetus’ Stoicism
  4. Key Concepts
    1. The Promise of Philosophy
    2. What is Really Good
    3. What is in our Power
    4. Making Proper Use of Impressions
    5. The Three Topoi
      1. The Discipline of Desire
      2. The Discipline of Action
      3. The Discipline of Assent
    6. God
    7. On Living in Accord with Nature
    8. Metaphors for Life
    9. Making Progress
  5. Glossary of Terms
  6. References and Further Reading
    1. Translations of Epictetus
    2. Translations of Hellenistic Philosophers, including the Stoics
    3. Items that Address Epictetus Specifically
    4. Items Addressing Stoic Philosophy and/or Hellenistic Ethics Generally
    5. Other Items on Hellenistic Philosophy Generally

1. Life

It is possible to draw only a basic sketch of Epictetus’ life. Resources at our disposal include just a handful of references in the ancient texts, to which we can add the few allusions that Epictetus makes to his own life in the Discourses.

Epictetus was born in about 55 C.E. in Hierapolis in Phrygia (modern-day Pamukkale, in south-western Turkey). As a boy he somehow came to Rome as a slave of Epaphroditus who was a rich and powerful freedman, having himself been a slave of the Emperor Nero (he had been an administrative secretary). Whilst still a slave, Epictetus studied with the Stoic teacher Musonius Rufus.

There is a story told by the author Celsus (probably a younger contemporary of Epictetus) – quoted by the early Christian Origen (c.185–254) at Contra Celsum 7.53 – that when still a slave, Epictetus was tortured by his master who twisted his leg. Enduring the pain with complete composure, Epictetus warned Epaphroditus that his leg would break, and when it did break, he said, ‘There, did I not tell you that it would break?’ And from that time Epictetus was lame. The Suda (tenth century), however, although confirming that Epictetus was lame, attributes his affliction to rheumatism.

At some point Epictetus was manumitted, and in about 89, along with other philosophers then in Rome, was banished by the Emperor Domitian. He went to Nicopolis in Epirus (in north-western Greece) where he opened his own school which acquired a good reputation, attracting many upper-class Romans. One such student was Flavius Arrian (c.86–160) who would compose the Discourses and the Handbook, and who later served in public office under the Emperor Hadrian and made his mark as a respected historian (much of his writings survive). Origen (Contra Celsum 6.2) reports that Epictetus had been more popular in his day than had Plato in his. Aulus Gellius (c.125–c.165) reports that one of Marcus Aurelius’ teachers, Herodes Atticus (c.101–177), considered Epictetus to be ‘the greatest of Stoics’ (Attic Nights 1.2.6).

Our sources report that Epictetus did not marry, had no children, and lived to an old age. With respect to marriage and children we may note the story from Lucian (Demonax 55) about the Cynic philosopher Demonax who had been a pupil of Epictetus. On hearing Epictetus exhort his students to marry and have children (for it was a philosopher’s duty to provide a substitute ready for the time when they would die), he sarcastically asked Epictetus whether he could marry one of his daughters.

2. Writings

It appears that Epictetus wrote nothing himself. The works we have that present his philosophy were written by his student, Flavius Arrian. We may conjecture that the Discourses and the Handbook were written some time around the years 104–107, at the time when Arrian (born c.86) was most likely to have been a student.

Dobbin (1998), though, holds the view that the Discourses and the Handbook were actually written by Epictetus himself; the Suda does say, after all, that Epictetus ‘wrote a great deal’. Dobbin is not entirely convinced by Arrian’s claim in his dedicatory preface that he wrote down Epictetus’ words verbatim; firstly, stenographic techniques at this time were primitive, and anyway were the preserve of civil servants; secondly, most of the discourses are too polished, and look too much like carefully crafted prose to be the product of impromptu discussions; and thirdly, some of the discourses (notably 1.29, 3.22 and 4.1) are too long for extempore conversations.

There is no way to resolve this question with certainty. Whether the texts we have do indeed represent a serious attempt to record Epictetus at work verbatim, whether draft texts were later edited and rewritten (as seems wholly likely), possibly by Epictetus, or whether Epictetus did in fact write the texts himself, drawing on his recollections as a lecturer with only occasional attempts at strictly verbatim accuracy, we shall never know. But what we can be certain of, regardless of who actually wrote the words onto the papyrus to make the first draft of the text as we have it today, is that those words were intended to present Stoic moral philosophy in the terms and the style that Epictetus employed as a teacher intent on bringing his students to philosophic enlightenment as the Stoics had understood this enterprise.

a. Discourses

Written in Koine Greek, the everyday contemporary form of the language, Epictetus’ Discourses appear to record the exchanges between Epictetus and his students after formal teaching had concluded for the day. Internal textual evidence confirms that the works of the early Stoic philosophers (Zeno, Cleanthes and Chrysippus) were read and discussed in Epictetus’ classes, but this aspect of Epictetus’ teaching is not recorded by Arrian. What we have, then, are intimate, though earnest, discussions in which Epictetus aims to make his students consider carefully what the philosophic life – for a Stoic – consists in, and how to live it oneself. He discusses a wide range of topics, from friendship to illness, from fear to poverty, on how to acquire and maintain tranquillity, and why we should not be angry with other people.

Not all of the Discourses appear to have survived, as the ancient Byzantine scholar Photius (c.810–c.893) reports that the complete text originally comprised eight books, whereas all we have today are four books. Because the text, chapter by chapter, jumps to different topics and shows no orderly development, it is not readily apparent that anything is missing, and indeed, the reference to eight books may be mistaken (though another author, Aulus Gellius, at Attic Nights 19.1.14, refers to the fifth book of the Discourses). The range of topics is sufficiently broad for us to be reasonably confident that, even if some of the text has been lost, what we lack by and large repeats and revisits the material that we have in the book as it has come down to us.

b. The Handbook

This little book appears to be an abstract of the Discourses, focusing on key themes in Epictetus’ teaching of Stoic ethics. Some of the text is taken from the Discourses, and the fact that not all of it can be correlated with passages in the larger work supports the view that some of the Discourses has indeed been lost.

3. Epictetus’ Stoicism

The writings of the early Stoics, of Zeno (335–263 B.C.E.) the founder of the school, of Chrysippus (c.290–207 B.C.E.) the extremely influential third head of the Stoa, and of others, survive only as quoted fragments found in later works. The question arises as to what extent Epictetus preserved the original doctrines of the Stoic school, and to what extent, if any, he branched out with new emphases and innovations of his own. The nineteenth-century Epictetan scholar Adolf Bonhöffer (1998, 3) remarks: ‘[Epictetus] is completely free of the eclecticism of Seneca and Marcus Aurelius; and, compared with his teacher Musonius Rufus … his work reveals a considerably closer connection to Stoic doctrine and terminology as developed mainly by Chrysippus.’ Evidence internal to the Discourses indicates that Epictetus was indeed faithful to the early Stoics. At 1.4.28–31, Epictetus praises Chrysippus in the highest terms, saying of him, ‘How great the benefactor who shows the way! … who has discovered, and brought to light, and communicated, the truth to all, not merely of living, but of living well’ (trans. Hard). It would be inconsistent, if not wholly ridiculous, to laud Chrysippus in such terms and then proceed to depart oneself from the great man’s teaching. At 1.20.15, Epictetus quotes Zeno, and at 2.6.9–10 he quotes Chrysippus, to support his arguments. Aulus Gellius (Attic Nights 19.1.14) says that Epictetus’ Discourses ‘undoubtedly agree with the writings of Zeno and Chrysippus’.

Scholars are agreed that the ‘doctrine of the three topics (topoi)’ (fields of study) which we find in the Discourses originates with Epictetus (see Bonhöffer 1996, 32; Dobbin 1998, xvii; Hadot 1998, 83; More 1923, 107). Oldfather (1925, xxi, n. 1), in the introduction to his translation of the Discourses, remarks that ‘this triple division … is the only notable original element … found in Epictetus, and it is rather a pedagogical device for lucid presentation than an innovation in thought’. Our enthusiasm for this division being wholly original to Epictetus should be tempered with a reading of extracts from Seneca’s Moral Letters (75.8–18 and 89.14–15) where we also find a threefold division of ethics which, although not exactly similar to Epictetus’ scheme, suggests the possibility that both Seneca and Epictetus drew on work by their predecessors that, alas, has not survived. Suffice it so say, what Epictetus teaches by means of his threefold division is wholly in accord with the principles of the early Stoics, but how he does this is uniquely his own method. The programme of study and exercises that Epictetus’ students adhered to was in consequence different from the programme that was taught by his predecessors, but the end result, consisting in the special Stoic outlook on oneself and the world at large and the ability to ‘live the philosophic life’, was the same.

4. Key Concepts

a. The Promise of Philosophy

Epictetus, along with all other philosophers of the Hellenistic period, saw moral philosophy as having the practical purpose of guiding people towards leading better lives. The aim was to live well, to secure for oneself eudaimonia (‘happiness’ or ‘a flourishing life’), and the different schools and philosophers of the period offered differing solutions as to how the eudaimôn life was to be won.

No less true of us today than it was for the ancients, few people are content with life (let alone wholly content), and what contributes to any contentment that may be enjoyed is almost certainly short-lived and transient.

The task for the Stoic teacher commences with the understanding that (probably) everyone is not eudaimôn for much, or even all, of the time; that there is a reason for this being the case and, most importantly, that there are solutions that can remedy this sorry state of affairs.

Indeed, Epictetus metaphorically speaks of his school as being a hospital to which students would come seeking treatments for their ills (Discourses 3.23.30). Each of us, in consequence merely of being human and living in society, is well aware of what comprise these ills. In the course of daily life we are beset by frustrations and setbacks of every conceivable type. Our cherished enterprises are hindered and thwarted, we have to deal with hostile and offensive people, and we have to cope with the difficulties and anxieties occasioned by the setbacks and illnesses visited upon our friends and relations. Sometimes we are ill ourselves, and even those who have the good fortune to enjoy sound health have to face the fact of their own mortality. In the midst of all this, only the rare few are blessed with lasting and rewarding relationships, and even these relationships, along with everything that constitutes a human life, are wholly transient.

But what is philosophy? Does it not mean making preparation to meet the things that come upon us? (Discourses 3.10.6, trans. Oldfather)

The ills we suffer, says Epictetus, result from mistaken beliefs about what is truly good. We have invested our hope in the wrong things, or at least invested it in the wrong way. Our capacity to flourish and be happy (to attain eudaimonia) is entirely dependent upon our own characters, how we dispose ourselves to ourselves, to others, and to events generally. What qualities our characters come to have is completely up to us. Therefore, how well we flourish is also entirely up to us.

b. What is Really Good

The central claim of Stoic ethics is that only the virtues and virtuous activities are good, and that the only evil is vice and actions motivated by vice (see Discourses 2.9.15 and 2.19.13). When someone pursues pleasure or wealth, say, believing these things to be good, the Stoics hold that this person has made a mistake with respect to the nature of the things pursued and the nature of their own being, for the Stoics deny that advantages such as pleasure and health (wealth and status, and so forth) are good, because they do not benefit those who possess them in all circumstances. Virtue, on the other hand, conceived as the capacity to use such advantages wisely, being the only candidate for that which is always beneficial, is held to be the only good thing (see Plato, Euthydemus 278e–281e and Meno 87c–89a).

Thus, the Stoics identify the eudaimôn (‘happy’) life as one that is motivated by virtue. The term we translate as ‘virtue’ (from the Latin virtus) is aretê, and means ‘excellence’. To progress towards excellence as a human being, for Epictetus, means understanding the true nature of one’s being and keeping one’s prohairesis (moral character) in the right condition. Epictetus uses the term aretê only occasionally, and whereas the early Stoics spoke of striving for excellence as what was proper for a rational creature and required for eudaimonia (‘happiness’ or well-being), Epictetus speaks of striving to maintain one’s prohairesis in proper order (see Discourses 1.4.18 and 1.29.1).

Although things such as material comfort, for instance, will be pursued by the Stoic student who seeks eudaimonia, they will do this in a different way from those not living the ‘philosophic life’ – for Stoics claim that everything apart from virtue (what is good) and vice (what is bad) is indifferent, that is, ‘indifferent’ with regard to being good or bad. It is how one makes use of indifferent things that establishes how well one is making progress towards aretê (moral excellence) and a eudaimôn (‘happy’) life.

Indifferent things are either ‘preferred’ or ‘dispreferred’. Preferred are health and wealth, friends and family, and pretty much all those things that most people pursue as desirable for leading a flourishing life. Dispreferred are their opposites: sickness and poverty, social exclusion, and pretty much all those things that people seek to avoid as being detrimental for a flourishing life. Thus, the preferred indifferents have value for a Stoic, but not in terms of their being good: they have an instrumental value with respect to their capacities to contribute to a flourishing life as the objects upon which our virtuous actions are directed (see Discourses 1.29.2). The Stoic does not lament their absence, for their presence is not constitutive of eudaimonia. What is good is the virtuous use one makes of such preferred things should they be to hand, but no less good are one’s virtuous dispositions in living as well as one may, even when they are lacking.

c. What is in our Power

To maintain our prohairesis (moral character) in the proper condition – the successful accomplishment of this being necessary and sufficient for eudaimonia (‘happiness’) – we must understand what is eph’ hêmin (‘in our power’ or ‘up to us’; see Discourses 1.22.9–16). If we do not do this, our prohairesis will remain in a faulty condition, for we will remain convinced that things such as wealth and status are good when they are really indifferent, troubled by frustrations and anxieties, subject to disturbing emotions we do not want and cannot control, all of which make life unpleasant and unrewarding, sometimes overwhelmingly so. This is why Epictetus remarks: ‘This is the proper goal, to practise how to remove from one’s life sorrows and laments, and cries of “Alas” and “Poor me”, and misfortune and disappointment’ (Discourses 1.4.23, trans. Dobbin).

No one is master of another’s prohairesis [moral character], and in this alone lies good and evil. No one, therefore, can secure the good for me, or involve me in evil, but I alone have authority over myself in these matters. (Discourses 4.12.7–8, trans. Dobbin)

What is in our power, then, is the ‘authority over ourselves’ that we have regarding our capacity to judge what is good and what is evil. Outside our power are ‘external things’, which are ‘indifferent’ with respect to being good or evil. These indifferents, as we saw in the previous section, number those things that are conventionally deemed to be good and those that are conventionally deemed to be bad. Roughly, they are things that ‘just happen’, and they are not in our power in the sense that we do not have absolute control to make them occur just as we wish, or to make them have exactly the outcomes that we desire. Thus, for example, sickness is not in our power because it is not wholly up to us whether we get sick, and how often, nor whether we will recover quickly or indeed at all. Now, it makes sense to visit a doctor when we feel ill, but the competence of the doctor is not in our power, and neither is the effectiveness of any treatment that we might be offered. So generally, it makes sense to manage our affairs carefully and responsibly, but the ultimate outcome of any affair is, actually, not in our power.

What is in our power is the capacity to adapt ourselves to all that comes about, to judge anything that is ‘dispreferred’ not as bad, but as indifferent and not strong enough to overwhelm our strength of character.

The Handbook of Epictetus begins with these words:

Some things are up to us [eph’ hêmin] and some things are not up to us. Our opinions are up to us, and our impulses, desires, aversions–in short, whatever is our own doing. Our bodies are not up to us, nor are our possessions, our reputations, or our public offices, or, that is, whatever is not our own doing. (Handbook 1.1, trans. White)

That is, we have power over our own minds. The opinions we hold of things, the intentions we form, what we value and what we are averse to are all wholly up to us. Although we may take precautions, whether our possessions are carried off by a thief is not up us (but the intention to steal, that of course is in the power of the thief), and our reputations, in whatever quarter, must be decided by what other people think of us, and what they do think is up to them. Remaining calm in the face of adversity and controlling our emotions no matter what the provocation (qualities of character that to this day are referred to as ‘being stoical’), are accomplished in the full Stoic sense, for Epictetus, by making proper use of impressions.

d. Making Proper Use of Impressions

To have an impression is to be aware of something in the world. For example, I may look out of my window and have the impression of an airship floating over the houses in the distance. Whether there is really an airship there, half a mile off, or whether there is just a little helium-filled model tied to my garden gate by a bit of string, is a separate question. ‘Making proper use of impressions’ concerns how we move from the first thing, being aware of something or other, to the second thing, making a judgement that something or other is the case. The Stoic stands in sharp contrast to the non-Stoic, for when the latter faces some disaster, say (let us imagine that their briefcase has burst open and their papers are scattered by the wind all along the station platform and onto the track), they will judge this a terrible misfortune and have the appropriate emotional response to match. Epictetus would declare that this person has made the wrong use of their impression.

In the first place, do not allow yourself to be carried away by [the] intensity [of your impression]: but say, ‘Impression, wait for me a little. Let me see what you are, and what you represent. Let me test you.’ Then, afterwards, do not allow it to draw you on by picturing what may come next, for if you do, it will lead you wherever it pleases. But rather, you should introduce some fair and noble impression to replace it, and banish this base and sordid one. (Discourses 2.18.24–5, trans. Hard)

Few non-Stoics, ignorant of Epictetus’ teaching, would do other than rush around after their papers, descending deeper and deeper into a panic, imagining their boss at work giving them a dressing down for losing the papers, making them work extra hours to make good the loss, and perhaps even dismissing them from their job. The Stoic, by contrast, tests their impression to see what the best interpretation should be: losing the papers is a dispreferred indifferent, to be sure, but having an accident of this sort is bound to happen once in a while, and is nothing to be troubled about. They will quietly gather up the papers they can, and instead of panicking with respect to facing their boss, they will rehearse a little speech about having had an accident and what it means to have lost the papers. If their boss erupts in a temper, well, that is a concern for the boss.

Our attaining the eudaimôn (‘happy’) life requires that we judge things in the right way, for ‘what disturbs men’s minds is not events but their judgements on events’ (Handbook 5, trans. Matheson).

Remember that foul words or blows in themselves are no outrage, but your judgement that they are so. So when any one makes you angry, know that it is your own thought that has angered you. Wherefore make it your endeavour not to let your impressions carry you away. For if once you gain time and delay, you will find it easier to control yourself. (Handbook 20, trans. Matheson)

e. The Three Topoi

The three topoi (fields of study) establish activities in which the prokoptôn (Stoic student) applies their Stoic principles; they are practical exercises or disciplines that when successfully followed are constitutive of the eudaimôn (‘happy’) life which all rational beings are capable of attaining.

There are three areas of study, in which a person who is going to be good and noble must be trained. That concerning desires and aversions, so that he may never fail to get what he desires nor fall into what he would avoid. That concerning the impulse to act and not to act, and, in general, appropriate behaviour; so that he may act in an orderly manner and after due consideration, and not carelessly. The third is concerned with freedom from deception and hasty judgement, and, in general, whatever is connected with assent. (Discourses 3.2.1–2, trans. Hard)

Our capacity to employ these disciplines in the course of daily life is eph’ hêmin (‘in our power’ or ‘up to us’) because they depend on our opinions, judgements, intentions and desires which concern the way we regard things over which our prohairesis (moral character) has complete control.

i. The Discipline of Desire

The first discipline concerns what someone striving for excellence as a rational being should truly believe is worthy of desire, which for the Stoics is that which is truly good, virtue and action motivated by virtue.

Of these [three areas of study], the principle, and most urgent, is that which has to do with the passions; for these are produced in no other way than by the disappointment of our desires, and the incurring of our aversions. It is this that introduces disturbances, tumults, misfortunes, and calamities; and causes sorrow, lamentation and envy; and renders us envious and jealous, and thus incapable of listening to reason. (Discourses 3.2.3, trans. Hard)

Epictetus remarks: ‘When I see a man anxious, I say, What does this man want? If he did not want some thing which is not in his power, how could he be anxious?’ (Discourses 2.13.1, trans. Long). Those things that most of us, most of the time, seek after as being desirable, what we consider will make our lives go well, are things that are not in our power, and thus the hope we have for securing these things is placed in the hands of others or in the hands of fate. And when we are thwarted in our efforts to gain what we desire we become frustrated (or depressed or envious or angry, or all of these things). To be afflicted with such ‘passions’, says Epictetus, is the only real source of misery for human beings. Instead of trying to relieve ourselves of these unpleasant emotions by pressing all the harder to secure what we desire, we should rather place our hope not in ‘external’ things that are not in our power, but in our own dispositions and moral character. In short, we should limit our desire to virtue and to becoming (to the best of our capacities) examples of ‘excellence’. If we do not do this, the inevitable result is that we will continue to desire what we may fail to obtain or lose once we have it, and in consequence suffer the unhappiness of emotional disquiet (or worse). And as is the common experience of all people at some time or other, when we are in the grip of such emotions we run the risk of becoming blind to the best course of action, even when construed in terms of pursuing ‘external’ things.

The Stoic prokoptôn, in contrast, sets their hopes on excellence, recognising that this is where their power over things lies. They will still pursue those ‘preferred indifferent external’ things that are needed for fulfilling those functions and projects that they deem appropriate for them as individuals, and those they have obligations to meet. But they will not be distressed at setbacks or failure, nor at obstructive people, nor at other difficulties (illness, for instance), for none of these things is entirely up to them, and they engage in their affairs in full consciousness of this fact. It is in maintaining this consciousness of what is truly good (virtue), and awareness that the indifferent things are beyond their power, that makes this a discipline for the Stoic prokoptôn.

ii. The Discipline of Action

The second discipline concerns our ‘impulses to act and not to act’, that is, our motivations, and answers the question as to what we each should do as an individual in our own unique set of circumstances to successfully fulfil the role of a rational, sociable being who is striving for excellence.

The outcome of our actions is not wholly in our power, but our inclination to act one way rather than another, to pursue one set of objectives rather than others, this is in our power. The Stoics use the analogy of the archer shooting at a target to explain this notion. The ideal, of course, is to hit the centre of the target, though accomplishing this is not entirely in the archer’s power, for she cannot be certain how the wind will deflect the arrow from its path, nor whether her fingers will slip, nor whether (for it is within the bounds of possibility) the bow will break. The excellent archer does all within her power to shoot well, and she recognises that doing her best is the best she can do. The Stoic archer strives to shoot excellently, and will not be disappointed if she shoots well but fails to hit the centre of the target. And so it is in life generally. The non-Stoic views their success in terms of hitting the target, whereas the Stoic views their success in terms of having shot well (see Cicero, On Ends 3.22).

The [second area of study] has to do with appropriate action. For I should not be unfeeling like a statue, but should preserve my natural and acquired relations as a man who honours the gods, as a son, as a brother, as a father, as a citizen. (Discourses 3.2.4, trans. Hard)

Appropriate acts are in general measured by the relations they are concerned with. ‘He is your father.’ This means that you are called upon to take care of him, give way to him in all things, bear with him if he reviles or strikes you.
‘But he is a bad father.’
Well, have you any natural claim to a good father? No, only to a father.
‘My brother wrongs me.’
Be careful then to maintain the relation you hold to him, and do not consider what he does, but what you must do if your purpose is to keep in accord with nature. (Handbook 30, trans. Matheson)

The actions we undertake, Epictetus says, should be motivated by the specific obligations that we have in virtue of who we are, our natural relations to others, and what roles we have adopted in our dealings with the wider community (see Discourses 2.10.7–13). Put simply, our interest to live well as rational beings obliges us to act virtuously, to be patient, considerate, gentle, just, self-disciplined, even-tempered, dispassionate, unperturbed, and when necessary, courageous. This returns us to the central Stoic notion that the eudaimôn (‘happy’) life is realised by those who are motivated by virtue. The Discipline of Action points out to the prokoptôn how this should be applied in our practical affairs.

Epictetus sums up the first two disciplines:

We must have these principles ready to hand. Without them we must do nothing. We must set our mind on this object: pursue nothing that is outside us, nothing that is not our own, even as He that is mighty has ordained: pursuing what lies within our will [prohairetika], and all else [i.e., indifferent things] only so far as it is given to us. Further, we must remember who we are, and by what name we are called, and must try to direct our acts [kathêkonta] to fit each situation and its possibilities.
We must consider what is the time for singing, what the time for play, and in whose presence: what will be unsuited to the occasion; whether our companions are to despise us, or we to despise ourselves: when to jest, and whom to mock at: in a word, how one ought to maintain one’s character in society. Wherever you swerve from any of these principles, you suffer loss at once; not loss from without, but issuing from the very act itself. (Discourses 4.12.15–18, trans. Matheson)

The loss here is of course loss of eudaimonia.

Failing to ‘remember who we are’ will result in our failing to pursue those actions appropriate to our individual circumstances and commitments. Epictetus says that this happens because we forget what ‘name’ we have (son, brother, councillor, etc.), ‘for each of these names, if rightly considered, always points to the acts appropriate to it’ (Discourses 2.10.11, trans. Hard). To progress in the Discipline of Action, then, the prokoptôn must be conscious, moment by moment, of (a) which particular social role they are playing, and (b) which actions are required or appropriate for fulfilling that role to the highest standard.

iii. The Discipline of Assent

This exercise focuses on ‘assenting to impressions’, and continues the discussion already introduced in the section above on making proper use of impressions. ‘Assent’ translates the Greek sunkatathesis, which means ‘approve’, ‘agree’, or ‘go along with’. Thus, when we assent to an impression (phantasia) we are committing ourselves to it as a correct representation of how things are, and are saying, ‘Yes, this is how it is.’ The Discipline of Assent, then, is an exercise applied to our impressions in which we interpret and judge them in order to move from having the impression of something or other, to a declaration that such-and-such is the case.

The third area of study has to do with assent, and what is plausible and attractive. For, just as Socrates used to say that we are not to lead an unexamined life [see Plato, Apology 38a], so neither are we to accept an unexamined impression, but to say, ‘Stop, let me see what you are, and where you come from’, just as the night-watch say, ‘Show me your token.’ (Discourses 3.12.14–15, trans. Hard)

Make it your study then to confront every harsh impression with the words, ‘You are but an impression, and not at all what you seem to be’. Then test it by those rules that you possess; and first by this–the chief test of all–’Is it concerned with what is in our power or with what is not in our power?’ And if it is concerned with what is not in our power, be ready with the answer that it is nothing to you. (Handbook 1.5, trans. Matheson)

And we should do this with a view to avoiding falling prey to subjective (and false) evaluations so that we can be free from deception and from making rash judgements about how to proceed in the first two disciplines. For if we make faulty evaluations we will end up (with respect to the first discipline) having desires for the wrong things (namely, ‘indifferents’), and (with respect to the second discipline) acting inappropriately with regard to our duties and obligations. This is why Epictetus remarks that the third topic ‘concerns the security of the other two’ (Discourses 3.2.5, trans. Long).

Epictetus runs through a number of imaginary situations to show how we should be alert to the dangers of assenting to poorly evaluated impressions:

… We ought … to exercise ourselves daily to meet the impressions of our senses …. So-and-so’s son is dead. Answer, ‘That lies outside the sphere of the moral purpose, it is not an evil.’ His father has disinherited So-and-so; what do you think of it? ‘That lies outside the sphere of the moral purpose, it is not an evil.’ Caesar has condemned him. ‘That lies outside the sphere of the moral purpose, it is not an evil.’ He was grieved at all this. ‘That lies within the sphere of the moral purpose, it is an evil.’ He has borne up under it manfully. ‘That lies within the sphere of the moral purpose, it is a good.’ Now, if we acquire this habit, we shall make progress; for we shall never give our assent to anything but that of which we get a convincing sense-impression. His son is dead. What happened? His son is dead. Nothing else? Not a thing. His ship is lost. What happened? His ship is lost. He was carried off to prison. What happened? He was carried off to prison. But the observation: ‘He has fared ill,’ is an addition that each man makes on his own responsibility. (Discourses 3.8.1–5, trans. Oldfather)

What we must avoid, then, is adding to our impressions immediately and without proper evaluation any notion that something good or bad is at hand. For the only thing that is good is moral virtue, and the only harm that anyone can come to is to engage in affairs motivated by vice. Thus, to see the loss of a ship as a catastrophe would count as assenting to the wrong impression, for the impression that we have is that of just a ship being lost. To take the extra step of declaring that this is a misfortune and harmful would be to assent to an impression that is not in fact present, and would be a mistake. The loss of a ship, for a Stoic, is nothing more than a dispreferred indifferent, and does not constitute a harm.

f. God

For Epictetus, the terms ‘God’, ‘the gods’, and ‘Zeus’ are used interchangeably, and they appear frequently in the Discourses. In the Handbook, God is discussed as the ‘captain’ who calls us back on board ship, the subsequent voyage being a metaphor for our departure from life (see Handbook 7). God is also portrayed as ‘the Giver’ to whom we should return all those things we have enjoyed on loan when we lose close relatives or friends who die, and when we lose our possessions through misfortune (see Discourses 4.10.16 and Handbook 11).

If the Stoic making progress (the prokoptôn) understands God, the universe, and themselves in the right way, they ‘will never blame the gods, nor find fault with them’ (Handbook 31.1, trans. Oldfather):

Will you be angry and discontented with the ordinances of Zeus, which he, with the Fates who spun in his presence the thread of your destiny at the time of your birth, ordained and appointed? (Discourses 1.12.25, trans. Hard)

Indeed, they will pray to God to lead them to the fate that He has assigned them:

Lead me, Zeus, and you too, Destiny,
Wherever I am assigned by you;
I’ll follow and not hesitate,
But even if I do not wish to,
Because I’m bad, I’ll follow anyway.
(Handbook 53, trans. White = extract from Cleanthes’ Hymn to Zeus)

[For] God has stationed us to a certain place and way of life. (Discourses 1.9.24, trans. Dobbin)

Epictetus presents orthodox Stoic views on God. His justification for believing in God is expressed essentially along the lines of what we recognise as an argument from design. The order and harmony that we can perceive in the natural world (from astronomical events to the way plants grow and fruit in season) is attributed to a divine providence that orders and controls the entire cosmos intelligently and rationally (see Discourses 1.6.1–11, 1.14.1–6, 1.16.7–8 and 2.14.11/25–7). The Stoics were materialists, and God is conceived of as a type of fiery breath that blends perfectly with all other matter in the universe. In doing this, God transforms matter from undifferentiated ‘stuff’ into the varied forms that we see around us. This process is continuous, and God makes the world as it is, doing what it does, moment by moment. Just as the soul of a person is understood to bring alive and animate what would otherwise be dead and inert matter, so God is thought of as the ‘soul of the world’, and the universe is thought of as a sort of animal.

Stoics hold that the mind of each person is quite literally a fragment (apospasma) of God (see Discourses 2.8.11), and that the rationality that we each possess is in fact a fragment of God’s rationality; and this Epictetus primarily identifies as the capacity we have to make proper use of impressions (see Discourses 1.1.12). Epictetus expresses this in terms of what God has ‘given us’; He is conceived of as having constructed the universe in such a way that we have in our possession all that is within the compass of our own character or moral choice and nothing else, but this is no reason for complaint:

What has He given me for my own and subject to my authority, and what has He left for Himself? Everything within the sphere of the moral purpose He has given me, subjected them to my control, unhampered and unhindered. My body that is made of clay, how could He make that unhindered? Accordingly He has made it subject to the revolution of the universe–[along with] my property, my furniture, my house, my children, my wife. … But how should I keep them? In accordance with the terms upon which they have been given, and for as long as they can be given. But He who gave also takes away. …
And so, when you have received everything, and your very self, from Another [i.e., God], do you yet complain and blame the Giver, if He take something away from you? (Discourses 4.1.100–3, with omissions, trans. Oldfather)

The capacity that the prokoptôn has for understanding, accepting, and embracing this state of affairs, that this is indeed the nature of things, is another of the main foundation stones of Stoic ethics.

g. On Living in Accord with Nature

The outlook adopted and the activities performed by the Stoic student in pursuit of excellence, as detailed in the sections above, are frequently referred to collectively by Epictetus (following the Stoic tradition) as ‘following nature’ or ‘living in harmony with nature’. The Stoic prokoptôn maintains his ‘harmony with nature’ by being aware of why he acts as he does in terms of both (a) what his appropriate actions are, and (b) accepting what fate brings. If, for example, the prokoptôn is berated unfairly by his brother, he will not respond with angry indignation, for this would be ‘contrary to nature’, for nature has determined how brothers should rightly act towards each other (see Discourses 3.10.19–20). The task the Stoic student shoulders is to pursue actions appropriate to him as a brother, despite all and any provocation to act otherwise (see Handbook 30). This, for Epictetus, is a major component of what it means to keep one’s prohairesis (moral character) in harmony with nature (see Discourses 1.6.15, 3.1.25 and 3.16.15).

Keeping ourselves in harmony with nature requires that we focus on two things. Firstly, we must pay attention to our own actions so that we respond appropriately, and secondly we must pay attention to the world in which our actions take effect and which prompts those actions in the first place.

When you are about to undertake some action, remind yourself what sort of action it is. If you are going out for a bath, put before your mind what commonly happens at the baths: some people splashing you, some people jostling, others being abusive, and others stealing. So you will undertake this action more securely if you say to yourself, ‘I want to have a bath and also to keep my choice [prohairesis] in harmony with nature.’ And do likewise in everything you undertake. So, if anything gets in your way when you are having your bath, you will be ready to say, ‘I wanted not only to have a bath but also to keep my choice [prohairesis] in harmony with nature; and I shall not keep it so if I get angry at what happens.’ (Handbook 4, trans. Hard)

In this extract about going to the baths, Epictetus focuses more on accepting what fate brings, saying that we should anticipate the sorts of things that can happen, so that when they do we will not be surprised and will not be angry. In other situations, anticipation of trouble or misfortune is impossible, but all the same, the Stoic will accept their fate as what God has ordained for them, and this for Epictetus is the very essence of keeping in harmony with nature (see Discourses 1.4.18–21).

It is circumstances (difficulties) which show what men are. Therefore when a difficulty falls upon you, remember that God, like a trainer of wrestlers, has matched you with a rough young man. For what purpose? you may say. Why, that you may become an Olympic conqueror; but it is not accomplished without sweat. In my opinion no man has had a more profitable difficulty than you have had, if you choose to make use of it as an athlete would deal with a young antagonist. (Discourses 1.24.1–2, trans. Long)

Every problem we face in life should be understood as a new opportunity to strengthen our moral character, just as every new bout for the wrestler provides an opportunity for them to train their skill in wrestling.

To be instructed is this, to learn to wish that every thing may happen as it does. And how do things happen? As the disposer [i.e., God] has disposed them. And he has appointed summer and winter, and abundance and scarcity, and virtue and vice, and all such opposites for the harmony of the whole; and to each of us he has given a body, and parts of the body, and possessions, and companions.
Remembering then this disposition of things, we ought to go to be instructed, not that we may change the constitution of things, – for we have not the power to do it, nor is it better that we should have the power, – but in order that, as the things around us are what they are and by nature exist, we may maintain our minds in harmony with the things which happen. (Discourses 1.12.15–17, trans. Long)

The wise and good man … submits his own mind to him who administers the whole [i.e., God], as good citizens do to the law of the state. He who is receiving instruction ought to come to be instructed with this intention, How shall I follow the gods in all things, how shall I be contented with the divine administration, and how can I become free? For he is free to whom every thing happens according to his will [prohairesis], and whom no man can hinder. (Discourses 1.12.7–9, trans. Long)

In this last extract we see Epictetus refer to the ideal Stoic practice as that of ‘following the gods’. This means essentially the same as ‘following nature’, for God, who is immanent in the world (as the Stoics understand it) is identified with the way the world manifests, so if one follows nature, one must also be following God (see Discourses 1.20.15, 1.30.4, 4.7.20 and 4.10.14).

h. Metaphors for Life

Epictetus employs a number of metaphors to illustrate what the Stoic attitude to life should be.

Life as a festival

In this metaphor, Epictetus encourages us to think of life as a festival, arranged for our benefit by God, as something that we can live through joyously, able to put up with any hardships that befall us because we have our eye on the larger spectacle that is taking place. He asks his students:

Who are you, and for what purpose have you come? Was it not he [i.e., God] who brought you here? … And as what did he bring you here? Was it not as a mortal? Was it not as one who would live, with a little portion of flesh, upon this earth, and behold his governance and take part with him, for a short time, in his pageant and his festival? (Discourses 4.1.104, trans. Hard)

The whole thrust of Stoic ethics aims to persuade us that we should ourselves contribute to the festival by living as well as we may and fulfilling our duties as sociable citizens of God’s ‘great city of the universe’ (Discourses 3.22.4, trans. Hard). (See also Discourses 1.12.21, 2.14.23 and 4.4.24–7/46.)

Life as a game

At Discourses 2.5.2, in encouraging his students to appreciate that external things are indifferent (being neither good nor bad), Epictetus says that we should imitate those who play dice, for neither the dice nor the counters have any real value; what matters, and what is either good or bad, is the way we play the game. Similarly at 2.5.15–20, where Epictetus discusses the example of playing a ball game, no one considers for a moment whether the ball itself is good or bad, but only whether they can throw and catch it with the appropriate skill. What matters are the faculties of dexterity, speed and good judgement exhibited by the players, for it is in deploying these faculties effectively that any player is deemed to have played well. (See also Discourses 4.7.5/19/30–1.) Epictetus also uses the metaphor of playing games when discussing suicide, for just as someone stops playing a game when they are no longer amused by it, so it should be in life generally: if life should become unbearable, no one can force us to keep living it.

To summarize: remember that the door is open. Do not be more cowardly than children, but just as they say, when the game no longer pleases them, ‘I will play no more,’ you too, when things seem that way to you, should merely say, ‘I will play no more,’ and so depart; but if you stay, stop moaning. (Discourses 1.24.20, trans. Hard; see also 1.25.7–21 and 2.16.37)

Life as weaving

In this metaphor, the wool that the weaver uses to make cloth takes the place of the ball in the game; that is, whatever material comes our way, it is our duty to make proper use of it, and if possible make it into the best thing of its kind as we can (see Discourses 2.5.21–2).

Life as a play

We have already seen, when discussing the Discipline of Action, that Epictetus urges us to ‘remember who we are’ and what ‘name’ we have, because what role we play in life will determine which actions are appropriate for us. Obviously, the metaphor of life as a play expands on this idea, but also brings in the notion of our having to accept our fate, whatever that may be, since we do not ourselves chose the role we must play (for although we may aim for one role rather than another, we must recognise that our attaining it is not, in fact, ‘in our power’).

Remember that you are an actor in a play, which is as the author [i.e., God] wants it to be: short, if he wants it to be short; long, if he wants it to be long. If he wants you to act a poor man, a cripple, a public official, or a private person, see that you act it with skill. For it is your job to act well the part that is assigned to you; but to choose it is another’s. (Handbook 17, trans. Hard)

Life as an athletic contest

This metaphor invites us to see an analogy between one’s training in Stoic ethics as preparatory for living the philosophic life and someone’s training in athletics as preparatory for entering the contest in the arena. Epictetus addresses someone who has become distressed at not having enough leisure to study their philosophy books, saying:

For is not reading a kind of preparation for living, but living itself made up of things other than books? It is as if an athlete, when he enters the stadium, should break down and weep because he is not exercising outside. This is what you were exercising for; this is what the jumping-weights, and the sand and your young partners were all for. So are you now seeking for these, when it is the time for action? That is just as if, in the sphere of assent, when we are presented with impressions, some of which are evidently true and others not, instead of distinguishing between them, we should want to read a treatise On Direct Apprehension. (Discourses 4.4.11–13, trans. Hard)

Training to live a life that befits someone who strives for the Stoic ideal is directly compared to athletic training. Such training is difficult, demanding, and unpleasant; there is little point in showing eagerness for any endeavour if we have not properly assessed the demands that will be placed upon us, and in inevitably losing our original enthusiasm we will look foolish. This applies to philosophic training no less than to training as a wrestler in preparation for competing in the Olympic games (see Discourses 3.15.1–13 = Handbook 29). Elsewhere, Epictetus declares that delay is no longer possible, that we must meet the challenges that life throws at us:

Therefore take the decision right now that you must live as a full-grown man, as a man who is making progress; and all that appears to be best must be to you a law that cannot be transgressed. And if you are confronted with a hard task or with something pleasant, or with something held in high repute or no repute, remember that the contest is now, and that the Olympic games are now, and that it is no longer possible to delay the match, and that progress is lost and saved as a result of one defeat and even one moment of giving in. (Handbook 51.2, trans. Boter; see also Discourses 1.4.13–17, 1.18.21–3, 1.24.1–2 and 3.25.3)

Life as military service

This metaphor returns us to the Stoic idea that the universe is governed by God, and that, like it or not, we are all in service to God. The Stoic prokoptôn (student making progress) should understand that they should live life attempting to discharge this service to the highest standards. Epictetus addresses the person who is upset that they are obliged to travel abroad, causing their mother to be distressed at their absence.

Do you not know that life is a soldier’s service? One man must keep guard, another go out to reconnoitre, another take the field. It is not possible for all to stay where they are, nor is it better so. But you neglect to fulfil the orders of the general and complain, when some severe order is laid upon you; you do not understand to what a pitiful state you are bringing the army so far as in you lies; you do not see that if all follow your example there will be no one to dig a trench, or raise a palisade, no one to keep night watch or fight in the field, but every one will seem an unserviceable soldier.
… So too it is in the world; each man’s life is a campaign, and a long and varied one. It is for you to play the soldier’s part–do everything at the General’s bidding, divining his wishes, if it be possible. (Discourses 3.24.31–5, trans. Matheson; see also 1.9.24 and 1.16.20–1)

i. Making Progress

In making progress, the Stoic prokoptôn will pay a price. In standing to God, the world, society, herself and her undertakings in this new way (by accepting the Stoic notions of what is truly good, what is truly up to her, where her proper duties lie, and in considering her life to be one of service to God), the prokoptôn separates herself from the rest of society in fairly marked, if not profound, ways. For example, Epictetus wants his students to enjoy and participate in the ‘festival of life’, yet at the public games (for instance) they must not support any one individual, but must wish the winner to be he who actually wins; they must refrain entirely from shouting or laughing, and must not get carried away by the spectacle of the contest (Handbook 33.10). So whilst the prokoptôn’s friends immerse themselves fully in the games, cheering on their man and jeering at his opponent, the Stoic stands aloof and detached. Deliberately separating herself from the crowd is the price she pays for well-being (eudaimonia), dispassion (apatheia), tranquillity and imperturbability (ataraxia), along with the conviction that she is living as God intends.

But having declared her hand, the prokoptôn will pay in other ways also, for those around her will rebuke and ridicule her (Handbook 22), for in abandoning the values and practices common to the wider community, she will provoke hostility and suspicion. Yet there remains the hope that some at least will see the prokoptôn as someone whose wisdom has value for the community at large, as someone who serves as an example of how one may get along in the world without being overwhelmed by it, as someone with specific skills to offer, such as mediating family disputes and suchlike (see Discourses 1.15.5).

Epictetus characterises the differences between the non-philosopher and someone making progress in these terms:

This is the position and character of a layman: He never looks for either help or harm from himself, but only from externals. This is the position and character of the philosopher: He looks for all his help or harm from himself.
Signs of one who is making progress are: He censures no one, praises no one, blames no one, finds fault with no one, says nothing about himself as though he were somebody or knew something. When he is hampered or prevented, he blames himself. And if anyone compliments him, he smiles to himself at the person complimenting; while if anyone censures him, he makes no defence. He goes about like an invalid, being careful not to disturb, before it has grown firm, any part which is getting well. He has put away from himself every desire, and has transferred his aversion to those things only, of what is under our control [eph’ hêmin], which are contrary to nature. He exercises no pronounced choice in regard to anything. If he gives the appearance of being foolish or ignorant he does not care. In a word, he keeps guard against himself as though he were his own enemy lying in wait. (Handbook 48.1–3, trans. Oldfather)

Epictetus’ life as a Stoic teacher can perhaps be regarded as a personal quest to awaken to true philosophic enlightenment that person who will stand up proudly when his teacher pleads:

Pray, let somebody show me a person who is in such a good way that he can say, ‘I concern myself only with what is my own, with what is free from hindrance, and is by nature free. That is what is truly good, and this I have. But let all else be as god may grant; it makes no difference to me.’ (Discourses 4.13.24, trans. Hard)

For having attained such enlightenment himself (for surely this we must suppose), Epictetus devoted his life to raising up others from the crowd of humanity who could stand beside him and share in a perception of the universe and a way of life that any rational being is obliged to adopt in virtue of the nature of things.

5. Glossary of Terms

adiaphora

‘indifferent’; any of those things that are neither good or bad, everything, in fact, that does not fall under the headings ‘virtue’ or ‘vice’. The indifferents are what those lacking Stoic wisdom frequently take to have value (either positive or negative), and hence take to be desirable or undesirable. Pursuing them, or trying to avoid them, can lead to disturbing emotions that undermine one’s capacity to lead a eudaimôn life.

apatheia

freedom from passion, a constituent of the eudaimôn life.

aphormê

aversion; the opposite of hormê.

apoproêgmena

any ‘dispreferred’ indifferent, including such things as sickness, poverty, social exclusion, and so forth (conventionally ‘bad’ things). Suffering any of the dispreferred indifferents does not detract from the eudaimôn life enjoyed by the Stoic sophos. See proêgmena.

appropriate action

see kathêkon.

aretê

‘excellence’ or virtue; in the context of Stoic ethics the possession of ‘moral excellence’ will secure eudaimonia. For Epictetus, one acquires this by learning the correct use of impressions, following God, and following nature.

askesis

training or exercise undertaken by the Stoic prokoptôn striving to become a Stoic sophos.

assent

see sunkatathesis and phantasiai (impressions).

ataraxia

imperturbability, literally ‘without trouble’, sometimes translated as ‘tranquillity’; a state of mind that is a constituent of the eudaimôn life.

duty

see kathêkon.

ekklisis

avoidance; opposite of orexis.

ektos

‘external’; any of those things that fall outside the preserve of one’s prohairesis, including health, wealth, sickness, life, death, pain – what Epictetus calls aprohaireta, which are not in our power, the ‘indifferent‘ things.

emotion

see pathos.

end

see telos.

eph’ hêmin

what is in our power, or ‘up to us’ – namely, the correct use of impressions.

eudaimonia

‘happiness’ or ‘flourishing’ or ‘living well’. One achieves this end by learning the correct use of impressions following God, and following nature.

eupatheiai

‘good feelings’, possessed by the Stoic wise person (sophos) who experiences these special sorts of emotions, but does not experience irrational and disturbing passions.

excellence

see aretê.

external thing

see ektos.

God

see theos.

hêgemonikon

‘commanding faculty’ of the soul (psuchê); the centre of consciousness, the seat of all mental states, thought by the Stoics (and other ancients) to be located in the heart. It manifests four mental powers: the capacity to receive impressions, to assent to them, form intentions to act in response to them, and to do these things rationally. The Discourses talk of keeping the prohairesis in the right condition, and also of keeping the hêgemonikon in the right condition, and for Epictetus these notions are essentially interchangeable.

hormê

impulse to act; that which motivates an action.

impressions

see phantasiai.

indifferents

see adiaphora.

kathêkon

any ‘appropriate action’, ‘proper function’, or ‘duty’ undertaken by someone aiming to do what befits them as a responsible, sociable person. The appropriate actions are the subject of the second of the three topoi.

katorthôma

a ‘right action’ or ‘perfect action’ undertaken by the Stoic sophos, constituted by an appropriate action performed virtuously.

orexis

‘desire’ properly directed only at virtue.

passion

see pathos.

pathos

any of the disturbing emotions or ‘passions’ experienced by those who lack Stoic wisdom and believe that externals really are good or bad, when in fact they are ‘indifferent‘. A pathos according to the Stoics is a false judgement based on a misunderstanding of what is truly good and bad.

phantasiai

‘impressions’, what we are aware of in virtue of having experiences. Whereas non-rational animals respond to their impressions automatically (thus ‘using’ them), over and above using our impressions, human beings, being rational, can ‘attend to their use’ and, with practice, assent or not assent to them as we deem appropriate. The capacity to do this is what Epictetus strives to teach his students.

phusis

nature. To acquire eudaimonia one must ‘follow nature’, which means accepting our own fate and the fate of the world, as well as understanding what it means to be a rational being and strive for virtue. See aretê and God.

proêgmena

any ‘preferred’ indifferent, conventionally taken to be good, including such things as health and wealth, taking pleasure in the company of others, and so forth. Enjoying any of the preferred indifferents is not in itself constitutive of the eudaimôn life sought by the Stoic prokoptôn. See apoproêgmena.

prohairesis

‘moral character’, the capacity that rational beings have for making choices and intending the outcomes of their actions, sometimes translated as will, volition, intention, choice, moral choice, moral purpose. This faculty is understood by Stoics to be essentially rational. It is the faculty we use to ‘attend to impressions‘ and to give (or withhold) assent to impressions.

prokoptôn

one who is making progress (prokopê) in living as a Stoic, which for Epictetus means above all learning the correct use of impressions.

proper function

see kathêkon.

right action

see katorthôma.

sophos

the Stoic wise person who values only aretê and enjoys a eudaimôn life. The sophos enjoys a way of engaging in life that the prokoptôn strives to emulate and attain.

sunkatathesis

assent; a capacity of the prohairesis to judge the significance of impressions.

tarachê

disturbance, trouble; what one avoids when one enjoys ataraxia.

telos

end; that which we should pursue for its own sake and not for the sake of any other thing. For the Stoic, this is virtue. Epictetus formulates the end in several different but closely related ways. He says that the end is to maintain one’s prohairesis in proper order, to follow God, and to follow nature, all of which count as maintaining a eudaimôn life. The means by which this is to be accomplished is to apply oneself to the ‘three disciplines‘ assiduously.

theos

God, who is material, is a sort of fiery breath that blends with undifferentiated matter to create the forms that we find in the world around us. He is supremely rational, and despite our feelings to the contrary, makes the best world that it is possible to make. Epictetus says that we should ‘follow God’, that is, accept the fate that He bestows on us and on the world. Stoics understand that the rationality enjoyed by every human being (and any other rational beings, should there be any) is literally a fragment of God.

topoi

‘topics’. The ‘three topics’ or ‘fields of study’ which we find elucidated in the Discourses is an original feature of Epictetus’ educational programme. The three fields of study are: (1) The Discipline of Desire, concerned with desire and avoidance (orexis and ekklisis), and what is really good and desirable (virtue, using impressions properly, following God, and following nature); (2) The Discipline of Action, concerned with impulse and aversion (hormê and aphormê), and our ‘appropriate actions‘ or ‘duties’ with respect to living in our communities in ways that befit a rational being; and (3) The Discipline of Assent, concerned with how we should judge our impressions so as not to be carried away by them into anxiety or disturbing emotions with the likelihood of failing in the first two Disciplines.

virtue

from the Latin virtus which translates the Greek aretê, ‘excellence’.

Zeus

the name for God; Epictetus uses the terms ‘Zeus’, ‘God’, and ‘the gods’ interchangeably.

6. References and Further Reading

a. Translations of Epictetus

(Note: ‘Enchiridion‘, ‘Encheiridion‘, ‘Handbook‘, and ‘Manual‘ all refer to the same work. Items in print and currently available are indicated with an asterisk*.)

  • *Boter, Gerard. 1999. The Encheiridion of Epictetus & its Three Christian Adaptations: Transmission & Critical Editions. Leiden: Brill.
  • *Dobbin, Robert. 1998. Epictetus: Discourses Book 1. Oxford: Clarendon.
    • Includes commentary.
  • *Hard, Robin. 1995. The Discourses of Epictetus. ed. with introduction and notes by Christopher Gill. London: Everyman/Dent.
    • Includes the complete Discourses, The Handbook, and Fragments.
  • Higginson, Thomas Wentworth. 1890. The Works of Epictetus Consisting of His Discourses, in Four Books, The Enchiridion, and Fragments. Boston: Little, Brown, & Company.
  • Higginson, Thomas Wentworth. 1944. Epictetus: Discourses and Enchiridion. Roslyn, NY: Walter J. Black.
    • Reprint of the nineteenth-century translation with minor editorial alterations.
  • *Higginson, Thomas Wentworth. 1948. The Enchiridion. Upper Saddle River, NJ: Prentice Hall.
    • Reprint of nineteenth-century translation.
  • *Lobell, Sharon. 1995. Epictetus: The Art of Living. The Classic Manual on Virtue, Happiness, and Effectiveness: A New Interpretation. San Francisco: HarperSanFrancisco.
    • A free paraphrase of the Handbook.
  • Long, George. 1890. The Discourses of Epictetus with the Encheiridion and Fragments. London: George Bell.
    • First published 1848.
  • *Long, George. 1991. Enchiridion. Amherst, NY: Prometheus.
    • Reprint of nineteenth-century translation.
  • Matheson, P. E. 1916. Epictetus: The Discourses and Manual. 2 vols. Oxford: Clarendon Press.
  • *Matson, Wallace I. 1998. Epictetus: Encheiridion. in Louis P. Pojman. ed. Classics of Philosophy: Volume 1, Ancient and Medieval. New York: Oxford University Press.
  • *Oldfather, W. A. 1925, 1928. Epictetus: The Discourses as Reported by Arrian, The Manual, and Fragments. 2 vols. Cambridge, MA: Loeb Classical Library, Harvard University Press.
    • With original Greek text facing English translation.
  • *Saunders, Jason L. ed. 1996. Greek and Roman Philosophy after Aristotle. New York: Free Press.
    • Readings from Epicureanism, Stoicism, Scepticism, Philo, Plotinus, and early Christian thought. Includes P. E. Matheson’s translation of the Manual of Epictetus.
  • *White, Nicholas. 1983. Handbook of Epictetus. Indianapolis: Hackett.
    • A very competent and readable translation, with notes and a helpful, clear introduction.

b. Translations of Hellenistic Philosophers, including the Stoics

  • Inwood, Brad and L. P. Gerson. 1997. Hellenistic Philosophy: Introductory Readings. 2nd edition. Indianapolis: Hackett.
    • Readings from the main schools: Epicureanism, Stoicism and Scepticism.
  • Long, A. A. and D. N. Sedley. 1987. The Hellenistic Philosophers, Volume 1. Cambridge: Cambridge University Press.
    • Readings from the main schools: Epicureanism, Stoicism, Scepticism, and the Academics. Includes commentaries on the readings. This is the standard primary source text. Volume 2 contains the original Greek and Latin.

c. Items that Address Epictetus Specifically

  • Bonhöffer, Adolf Friedrich. 1996. The Ethics of the Stoic Epictetus. trans. William O. Stephens. New York: Peter Lang.
    • A very nicely done translation of this significant nineteenth-century work first published in 1894.
  • Hijmans, B. L. 1959. Askesis: Notes on Epictetus’ Educational System. Assen: Van Gorcum.
  • Long, A. A. 2002. Epictetus: A Stoic and Socratic Guide to Life. Oxford: Oxford University Press.
  • Stephens, William O. 1996. Epictetus on How the Stoic Sage Loves. Oxford Studies in Ancient Philosophy 14: 193–210.
    • A very clear, scholarly survey of Epictetus’ ethics.
  • Stockdale, James Bond. 1993. Courage Under Fire: Testing Epictetus’s Doctrines in a Laboratory of Human Behavior. Stanford: Hoover Institution/Stanford University.
    • An account of how the author used the principles of Stoic ethics to survive the rigors of a Vietnamese prisoner of war camp.
  • Xenakis, Jason. 1969. Epictetus: Philosopher–Therapist. The Hague: Martinus Nijhoff.

d. Items Addressing Stoic Philosophy and/or Hellenistic Ethics Generally

  • Annas, Julia. 1995. The Morality of Happiness. New York: Oxford University Press.
  • Gould, Josiah B. 1970. The Philosophy of Chrysippus. Albany, NY: State University of New York Press.
  • Hadot, Pierre. 1995. Philosophy as a Way of Life. Oxford: Blackwell.
    • Engaging essays on the notion of philosophy as a way of life, with focus on Stoic practice.
  • Hadot, Pierre. 1998. The Inner Citadel: The Mediations of Marcus Aurelius. Cambridge, MA: Harvard University Press.
    • Contains a very helpful chapter on Epictetus.
  • Inwood, Brad. 1985. Ethics and Human Action in Early Stoicism. Oxford: Clarendon Press.
  • Lesses, Glen. 1989. Virtue and the Goods of Fortune in Stoic Moral Theory. Oxford Studies in Ancient Philosophy 7: 95–127.
  • Lesses, Glen. 1993. Austere Friends: The Stoics and Friendship. Apeiron 26: 57–75.
  • Long, A. A. 1986. Hellenistic Philosophy: Stoics, Epicureans, Sceptics. 2nd ed. Berkeley and Los Angeles: University of California Press.
  • More, Paul Elmer. 1923. Hellenistic Philosophies. Princeton, NJ: Princeton University Press.
  • Nussbaum, Martha C. 1994. The Therapy of Desire: Theory and Practice in Hellenistic Ethics. Princeton, NJ: Princeton University Press.
    • Contains very helpful chapters on Stoic ethics from the view point of philosophy as therapy, as the ancients conceived it.
  • Reale, Giovanni. 1990. A History of Ancient Philosophy: 4. The Schools of the Imperial Age. ed. & trans. John R. Catan. Albany, NY: State University of New York Press.
  • Sandbach, F. H. 1989. The Stoics. London: Duckworth and Indianapolis: Hackett.
  • Sharples, R. W. 1996. Stoics, Epicureans, and Sceptics: An Introduction to Hellenistic Philosophy. London: Routledge.
  • Striker, Gisela. 1990. Ataraxia: Happiness as Tranquillity. The Monist 73–1: 97–110. also in Striker 1996
  • Striker, Gisela. 1991. Following Nature: A Study in Stoic Ethics. Oxford Studies in Ancient Philosophy 9: 1–73. also in Striker 1996.
  • Striker, Gisela. 1996. Essays on Hellenistic Epistemology and Ethics. Cambridge: Cambridge University Press.

e. Other items on Hellenistic philosophy generally

  • Algra, Keimpe, et al. eds. 1999. The Cambridge History of Hellenistic Philosophy. Cambridge: Cambridge University Press.
  • Annas, Julia. 1992. Hellenistic Philosophy of Mind. Berkeley and Los Angeles: University of California Press.

Author Information

Keith H. Seddon
Email: k.h.s@btinternet.com
Warnborough College
Ireland

Gnosticism

Gnosticism (after gnôsis, the Greek word for “knowledge” or “insight”) is the name given to a loosely organized religious and philosophical movement that flourished in the first and second centuries CE. The exact origin(s) of this school of thought cannot be traced, although it is possible to locate influences or sources as far back as the second and first centuries BCE, such as the early treatises of the Corpus Hermeticum, the Jewish Apocalyptic writings, and especially Platonic philosophy and the Hebrew Scriptures themselves.

In spite of the diverse nature of the various Gnostic sects and teachers, certain fundamental elements serve to bind these groups together under the loose heading of “Gnosticism” or “Gnosis.” Chief among these elements is a certain manner of “anti-cosmic world rejection” that has often been mistaken for mere dualism. According to the Gnostics, this world, the material cosmos, is the result of a primordial error on the part of a supra-cosmic, supremely divine being, usually called Sophia (Wisdom) or simply the Logos. This being is described as the final emanation of a divine hierarchy, called the Plêrôma or “Fullness,” at the head of which resides the supreme God, the One beyond Being. The error of Sophia, which is usually identified as a reckless desire to know the transcendent God, leads to the hypostatization of her desire in the form of a semi-divine and essentially ignorant creature known as the Demiurge (Greek: dêmiourgos, “craftsman”), or Ialdabaoth, who is responsible for the formation of the material cosmos. This act of craftsmanship is actually an imitation of the realm of the Pleroma, but the Demiurge is ignorant of this, and hubristically declares himself the only existing God. At this point, the Gnostic revisionary critique of the Hebrew Scriptures begins, as well as the general rejection of this world as a product of error and ignorance, and the positing of a higher world, to which the human soul will eventually return. However, when all is said and done, one finds that the error of Sophia and the begetting of the inferior cosmos are occurrences that follow a certain law of necessity, and that the so-called “dualism” of the divine and the earthly is really a reflection and expression of the defining tension that constitutes the being of humanity—the human being.

Table of Contents

  1. The Philosophical Character of Gnosticism
    1. Psychology
    2. Existentialism
    3. Hermeneutics
      1. Reception and Revelation
  2. The Gnostic Mytho-Logos
    1. The Myth of Sophia
    2. Christian Gnosticism
      1. Basilides
      2. Marcion
      3. Valentinus and the Valentinian School
        1. The System of Ptolemy
    3. Mani and Manichaeism
  3. Platonism and Gnosticism
    1. Numenius of Apamea and Neo-Platonism
  4. Concluding Summary
  5. References and Further Reading
    1. Sources
    2. Suggestions for Further Reading

1. The Philosophical Character of Gnosticism

Gnosticism, as an intellectual product, is grounded firmly in the general human act of reflecting upon existence. The Gnostics were concerned with the basic questions of existence or “being-in-the-world” (Dasein)—that is: who we are (as human beings), where we have come from, and where we are heading, historically and spiritually (cf. Hans Jonas, The Gnostic Religion 1958, p. 334). These questions lie at the very root of philosophical thinking; but the answers provided by the Gnostics go beyond philosophical speculation toward the realm of religious doctrine and mysticism. However, it is impossible to understand fully the meaning of Gnosticism without beginning at the philosophical level, and orienting oneself accordingly. Since any orientation toward an ancient phenomenon must always proceed by way of contemporary ideas and habits of mind, an interpretative discussion of Gnostic thinking as it applies to Psychology, Existentialism, and Hermeneutics, is not amiss here. Once we have understood, to the extent of our ability, the philosophical import of Gnostic ideas, and how they relate to contemporary philosophical issues, then we may enter into the historical milieu of the Gnostics with some degree of confidence—a confidence devoid, to the extent that this is possible, of tainting exegetical presuppositions.

a. Psychology

Who are we? The answer to this question involves an account (logos) of the nature of the soul (psukhê or psyche); and the attempt to provide an answer has accordingly been dubbed the science or practice of “psychology”—an account of the soul or mind (psukhê, in ancient Greek, denoted both soul, as the principle of life, and mind, as the principle of intellect). Carl Jung, drawing upon Gnostic mythical schemas, identified the objectively oriented consciousness with the material or “fleshly” part of humankind—that is, with the part of the human being that is, according to the Gnostics, bound up in the cosmic cycle of generation and decay, and subject to the bonds of fate and time (cf. Apocryphon of John [Codex II] 28:30). The human being who identifies him/herself with the objectively existing world comes to construct a personality, a sense of self, that is, at base, fully dependent upon the ever-changing structures of temporal existence. The resulting lack of any sense of permanence, of autonomy, leads such an individual to experience anxieties of all kinds, and eventually to shun the mysterious and collectively meaningful patterns of human existence in favor of a private and stifling subjective context, in the confines of which life plays itself out in the absence of any reference to a greater plan or scheme. Hopelessness, atheism, despair, are the results of such an existence. This is not the natural end of the human being, though; for, according to Jung (and the Gnostics) the temporally constructed self is not the true self. The true self is the supreme consciousness existing and persisting beyond all space and time. Jung calls this the pure consciousness or Self, in contradistinction to the “ego consciousness” which is the temporally constructed and maintained form of a discrete existent (cf. C.G. Jung, “Gnostic Symbols of the Self,” in The Gnostic Jung 1992, pp. 55-92). This latter form of “worldly” consciousness the Gnostics identified with soul (psukhê), while the pure or true Self they identified with spirit (pneuma)—that is, mind relieved of its temporal contacts and context. This distinction had an important career in Gnostic thought, and was adopted by St. Paul, most notably in his doctrine of the spiritual resurrection (1 Corinthians 15:44). The psychological or empirical basis of this view, which soon turns into a metaphysical or onto-theological attitude, is the recognized inability of the human mind to achieve its grandest designs while remaining subject to the rigid law and order of a disinterested and aloof cosmos. The spirit-soul distinction (which of course translates into, or perhaps presupposes, the more fundamental mind-body distinction) marks the beginning of a transcendentalist and soteriological attitude toward the cosmos and temporal existence in general.

b. Existentialism

The basic experience of existence, described by the philosophy that has become known as “Existentialism,” involves a general feeling of loneliness or abandonment (Geworfenheit, “having been thrown”) in/to a world that is not amenable to the primordial desires of the human being (cf. Jonas, p. 336). The recognition that the first or primal desire of the human being is for the actualization or positing of a concrete self or “I” (an autonomous and discrete individual existing and persisting amidst the flux and flow of temporal and external “reality”) leads to the disturbing realization that this world is not akin to the human being; for this world (so it seems) follows it own course, a course already mapped out and set in motion long before the advent of human consciousness. Furthermore, that the essential activity of the human being—that is, to actualize an autonomous self within the world—is carried out in opposition to a power or “will” (the force of nature) that always seems to thwart or subvert this supremely human endeavor, leads to the acknowledgment of an anti-human and therefore anti-intellectual power; and this power, since it seems to act, must also exist. However, the fact that its act does not manifest itself as a communication between humanity and nature (or pure objectivity), but rather as a mechanical process of blind necessity occurring apart from the human endeavor, places the human being in a superior position. For even though the force of nature may arbitrarily wipe out an individual human existent, just as easily as it brings one into existence, this natural force is not conscious of its activity. The human mind, on the other hand, is. And so a gap or fissure—a product of reflection—is set up, by which the human being may come to orient him/herself with and toward the world in which s/he exists and persists, for a brief moment. Martin Heidegger has described this brief moment of orientation with/in (toward) the world as “care” (Sorge), which is always a care or concern for the “moment” (Augenblick) within which all existence occurs; this “care” is understood as the product of humankind’s recognition of their unavoidable being-toward-death. But this orientation is never completed, since the human soul finds that it cannot achieve its purpose or complete actualization within the confines set by nature.

While the thwarting necessity of nature is, for the Existentialist, a simple, unquestioned fact; for the Gnostics it is the result of the malignant designs of an inferior god, the Demiurge, carried out through and by this ignorant deity’s own law. In other words, nature is, for modern Existentialism, merely indifferent, while for the Gnostics it was actively hostile toward the human endeavor. “[C]osmic law, once worshipped as the expression of a reason with which man’s reason can communicate in the act of cognition, is now seen only in its aspect of compulsion which thwarts man’s freedom” (Jonas, p. 328). Time and history come to be understood as the provenance of the human mind, over-against futile idealistic constructions like law and order, nomos and cosmos. Knowledge, at this point, becomes a concrete endeavor—a self-salvific task for the human race.

Becoming aware of itself, the self also discovers that it is not really its own, but is rather the involuntary executor of cosmic designs. Knowledge, gnosis, may liberate man from this servitude; but since the cosmos is contrary to life and to spirit, the saving knowledge cannot aim at integration into the cosmic whole and at compliance with its laws. For the Gnostics … man’s alienation from the world is to be deepened and brought to a head, for the extrication of the inner self which only thus can gain itself (Jonas, p. 329).

The obvious question, then—Where did we come from? — only becomes intelligible alongside and within the more dynamic question of Where are we heading?

c. Hermeneutics

In the context of ancient Greek thinking, hermêneia was usually associated with tekhnê, giving us the tekhnê hermêneutikê or “art of interpretation” discussed by Aristotle in his treatise De Interpretatione [Peri Hermêneias]. Interpretation or hermeneutics, according to Aristotle, does not bring us to a direct knowledge of the meaning of things, but only to an understanding of how things come to appear before us, and thereby to provide us with an avenue toward empirical knowledge, as it were.

Moreover, discourse is hermêneia because a discursive statement is a grasp of the real by meaningful expression, not a selection of so-called impressions coming from the things themselves (Paul Ricoeur, The Conflict of Interpretations 1974, p. 4).

In this sense, we may say that the “art of interpretation” is a distinctly historical method of understanding or coming to terms with reality. In other words, since our “expression” is always an ex-position, a going-out from the given forms or patterns of reality toward a living use of these forms with/in Life, then we, as human beings persisting in a realm of becoming, are responsible, in the last analysis, not for any eternal truths or “things in themselves,” but only for the forms these things take on within the context of a living and thinking existence. Knowledge or understanding, then, is not of immutable and eternal things in themselves, but rather of the process by which things—that is, ideas, objects, events, persons, etc.—become revealed within the existential or ontological process of coming-to-know. The attention to process and the emergence of meaning occurs on the most immediate experiential level of human existence, and therefore contains about it nothing of the metaphysical. However, the birth of metaphysics may be located within this primordial or phenomenal structure of basic “brute” experience; for it is the natural tendency of the human mind to order and arrange its data according to rational principles.

The question will inevitably arise, though, as to whence these rational principles derive: are they a derivative product of the phenomenal realm of experience? or are they somehow endemic to the human mind as such, and hence eternal? If we take the first question as an answer, we are led to phenomenology, which “discovers, in place of an idealist subject locked within [a] system of meanings, a living being which from all time has, as the horizon of all its intentions, a world, the world” (Ricoeur, p. 9). According to the general contemporary or “post-modern” formulation, such a “living being” is directed, intentionally, always and only toward a multiplicitous world or realm in which human activity itself becomes the sole object of knowledge, apart from any “transcendent” metaphysical ideals or schemas. For the Gnostics, on the other hand, who worked within and upon the latter question, giving it a positive, if somewhat mytho-poetical answer, rational principles, which seem to be culled from a mere contact with sensible reality, are held to be reminders of a unified existence that is an eternal possibility, open to anyone capable of transcending and, indeed, transgressing this realm of experience and process —that is, of history. This “transgression” consists in the act of balancing oneself with/in, and orienting oneself toward, history as an interplay of past and present, in which the individual is poised for a decision—either to succumb to the flux and flow of an essentially decentered cosmic existence, or to strive for a re-integration into a godhead that is only barely recollected, and more obscure than the immediate perceptions of reality.

i. Reception and Revelation

Where are we heading? This question is at the very heart of Gnostic exegesis, and indeed colors and directs all attempts at coming to terms, not only with the Hebrew Scriptures, which served as the main text of Gnostic interpretation, but with existence in general.

The standard hermeneutical approach, both in our own era, and in Late Hellenistic times, is the receptive approach—that is, an engagement with texts of the past governed by the belief, on the part of the interpreter, that these texts have something to teach us. Whether we struggle to overcome our own “prejudices” or presuppositions, which are the inevitable result of our belonging to a particular tradition by way of the hermeneutical act (Gadamer), or allow our prejudices to shape our reading of a text, in an act of “creative misprision” (Bloom) we are still acknowledging, in some way, our debt to or dependence upon the text with which we are engaged. The Gnostics, in their reading of Scripture, acknowledged no such debt; for they believed that the Hebrew Bible was the written revelation of an inferior creator god (dêmiourgos), filled with lies intended to cloud the minds and judgment of the spiritual human beings (pneumatikoi) whom this Demiurge was intent on enslaving in his material cosmos.

Indeed, while the receptive hermeneutical method implies that we have something to learn from a text, the method employed by the Gnostics, which we may call the “revelatory” method, was founded upon the idea that they (the Gnostics) had received a supra-cosmic revelation, either in the form of a “call,” or a vision, or even, perhaps, through the exercise of philosophical dialectic. This “revelation” was the knowledge (gnôsis) that humankind is alien to this realm, and possesses a “home on high” within the plêrôma, the “Fullness,” where all the rational desires of the human mind come to full and perfect fruition. On this belief, all knowledge belonged to these Gnostics, and any interpretation of the biblical text would be for the purpose of explaining the true nature of things by elucidating the errors and distortions of the Demiurge. This approach treated the past as something already overcome yet still “present,” insofar as certain members of the human race were still laboring under the old law—that is, were still reading the Scriptures in the receptive manner. The Gnostic, insofar as he still remained within the world, as an existing being, was, on the other hand, both present and future. That is to say, the Gnostic embodied within himself the salvific dynamism of a history that had broken from the constraint of a tyrannical past, and found the freedom to invent itself anew. The Gnostic understood himself to be at once at the center and at the end or culmination of this history, and this idea or ideal was reflected most powerfully in ancient Gnostic exegesis. We must now turn to a discussion of the concrete results of this hermeneutical method.

2. The Gnostic Mytho-Logos

The Gnostic Idea or Notion was not informed by a philosophical world-view or procedure. Rather, the Gnostic vision of the world was based upon the intuition of a radical and seemingly irreparable rupture between the realm of experience (pathos) and the realm of true Being—that is, existence in its positive, creative, or authentic aspect.

The problem faced by the Gnostics was how to explain such a radical, pre-philosophical intuition. This intuition is “pre-philosophical” because the brute experience of existing in a world that is alien to humankind’s aspirations may submit itself to a variety of interpretations. And the attempt at an interpretation may take on the form of either muthos or logos—either a merely descriptive rendering of the experience, or a rationally ordered account of such an experience, including an explanation of its origins. The ancient Greek explanation of this experience was to call it a primal “awe” or “wonder” felt by the human being as he faces the world that stands so radically apart from him, and to posit this experience as the beginning of philosophy (cf. Aristotle, Metaphysics 982b 10-25 and Plato, Theaetetus 155d). But the Gnostics recognized this “awe” as the product of a radical disruption of the harmony of a realm persisting beyond becoming—that is, beyond “becoming” in the sense of pathos, or “that which is undergone.” The muthos always corresponds to the “first-hand” account rendered by one who has undergone, immediately, the effect of a certain event. The myth is always an explanation of something already known, and therefore carries its truth-claim along with it, just as the immediacy of an event forbids any doubt or questioning on the part of the one undergoing it. The logos, on the other hand, is the product of a careful reflection (dianoia), and refers, for its truth-value, not to the immediate moment of “grasping” a phenomenon (prolêpsis), but to the moment of reflection during which one attains a conceptual knowledge of the phenomenon, and first comes to “know” it as such—this is gnôsis: insight. The direct result of this gnôsis is the emergence from the sense of existence as pathos, to the actuality of being as aisthêsis—that is, reception and judgment of experience by way of purely rational or divine criteria. Such criteria proceeds directly from the logos, or divine “ordering principle,” to which the Gnostics believed themselves to be related, by way of a divine genealogy. Although Gnostic onto-theology proceeds by way of an elaborate myth, it is a myth informed always by the logos, and is, in this sense, a true mythology—that is, a rendering, in the immediacy of language, of that which is ever-present (to the Gnostic) as a product of privileged reflection.

a. The Myth of Sophia

According to Gnostic mythology (in general) We, humanity, are existing in this realm because a member of the transcendent godhead, Sophia (Wisdom), desired to actualize her innate potential for creativity without the approval of her partner or divine consort. Her hubris, in this regard, stood forth as raw materiality, and her desire, which was for the mysterious ineffable Father, manifested itself as Ialdabaoth, the Demiurge, that renegade principle of generation and corruption which, by its unalterable necessity, brings all beings to life, for a brief moment, and then to death for eternity. However, since even the Pleroma itself is not, according to the Gnostics, exempt from desire or passion, there must come into play a salvific event or savior—that is, Christ, the Logos, the “messenger,” etc.—who descends to the material realm for the purpose of negating all passion, and raising the innocent human “sparks” (which fell from Sophia) back up to the Pleroma (cf. Apocryphon of John [Codex II] 9:25-25:14 ff.).

This process of re-integration with/in the godhead is one of the basic features of the Gnostic myth. The purpose of this re-integration (implicitly) is to establish a series of existents that are ontologically posterior to Sophia, and are the concrete embodiment of her “disruptive” desire—within the unified arena of the Pleroma. Indeed, if the Pleroma is really the Fullness, containing all things, it must contain the manifold principles of Wisdom’s longing. In this sense, we must not view Gnostic salvation as a simply one-sided affair. The divine “sparks” that fell from Sophia, during her “passion,” are un-integrated aspects of the godhead. We may say, then, that in the Hegelian sense the Gnostic Supreme God is seeking, eternally, His own actualization by way of full self-consciousness (cf. G.W.F. Hegel, History of Philosophy vol. 2, pp. 396-399).

But it is not really this simple. The Supreme God of the Gnostics effortlessly generates the Pleroma, and yet (or for this very reason!) this Pleroma comes to act independently of the Father. This is because all members of the Pleroma (known as Aeons) are themselves “roots and springs and fathers” (Tripartite Tractate 68:10) carrying Time within themselves, as a condition of their Being. When the disruption, brought about by the desire of Sophia, disturbed the Pleroma, this was not understood as a disturbance of an already established unity, but rather as the disturbance of an insupportable stasis that had come to be observed as divine. Indeed, when the Greeks first looked to the sky and admired the regularity of the rotations of the stars and planets, what they were admiring, according to the Gnostics, was not the image of divinity, but the image or representation of a “divine” stagnancy, a law and order that stifled freedom, which is the root of desire (cf. Jonas, pp. 260-261). The passion of Sophia—her production of the Demiurge, his enslavement of the human “sparks” in the material cosmos, and the subsequent redemption and restoration—are but one episode in the infinite, unfolding drama of spiritual existence. We, as human beings, just happen to be the unwitting victims of this particular drama. But if, as the Gnostics hold, our salvation consists in our becoming gods (Poimandres 26) or “lord[s] over creation and all corruption” (Valentinus, Fragment F, Layton) then how are we to be confident that, in ages to come, one of us will not give birth to another damned cosmos, just as Sophia had done?

b. Christian Gnosticism

The Christian idea that God has sent his only “Son” (the Logos) to suffer and die for the sins of all humankind, and so make possible the salvation of all, had a deep impact on Gnostic thought. In the extensive and important collection of Gnostic writings discovered at Nag Hammadi, Egypt in 1945, only a handful present the possibility of having originated in a pre-Christian, mostly Hellenistic Jewish milieu. The majority of these texts are Christian Gnostic writings from the early second to late third centuries CE, and perhaps a bit later. When we consider the notion of salvation and its meaning for the early Gnostics, who stressed the creative aspect of our post-salvific existence, we are struck by the bold assertion that our need for salvation arose, in the first place, from an error committed by a divine being, Sophia (Wisdom), during the course of her own creative act (cf. Apocryphon of John [Codex II] 9:25-10:6). Since this is the case, how, we are led to ask, will our post-salvation existence be any less prone to error or ignorance, even evil? The radical message of early Christianity provided the answer to this problematical question; and so the Gnostics took up the Christian idea and transformed it, by the power of their singular mytho-logical technique, into a philosophically and theologically complex speculative schema.

i. Basilides

The Christian philosopher Basilides of Alexandria (fl. 132-135 CE) developed a cosmology and cosmogony quite distinct from the Sophia myth of classical Gnosticism, and also reinterpreted key Christian concepts by way of the popular Stoic philosophy of the era. Basilides began his system with a “primal octet” consisting of the “unengendered parent” or Father; Intellect (nous); the “ordering principle” or “Word” (logos); “prudence” (phronêsis); Wisdom (sophia); Power (dunamis) (Irenaeus, Against Heresies 1.24.3, in Layton, The Gnostic Scriptures 1987) and “justice” and “peace” (Basilides, Fragment A, Layton). Through the union of Wisdom and Power, a group of angelic rulers came into existence, and from these rulers a total of 365 heavens or aeons were generated (Irenaeus 1.24.3). Each heaven had its own chief ruler (arkhôn), and numerous lesser angels. The final heaven, which Basilides claimed is the realm of matter in which we all dwell, was said by him to be ruled by “the god of the Jews,” who favored the Jewish nation over all others, and so caused all manner of strife for the nations that came into contact with them—as well as for the Jewish people themselves. This behavior caused the rulers of the other 364 heavens to oppose the god of the Jews, and to send a savior, Jesus Christ, from the highest realm of the Father, to rescue the human beings who are struggling under the yoke of this jealous god (Irenaeus 1.24.4). Since the realm of matter is the sole provenance of this spiteful god, Basilides finds nothing of value in it, and states that “[s]alvation belongs only to the soul; the body is by nature corruptible” (Irenaeus 1.24.5). He even goes so far as to declare, contra Christian orthodoxy, that Christ’s death on the cross was only apparent, and did not actually occur “in the flesh” (Irenaeus 1.24.4)—this doctrine came to be called docetism.

The notion that material existence is the product of a jealous and corrupt creator god, who favors one race over all others, is really the “mythical” expression of a deeply rooted ethical belief that the source of all evil is material or bodily existence. Indeed, Basilides goes so far as to assert that sin is the direct outcome of bodily existence, and that human suffering is the punishment either for actual sins committed, or even just for the general inclination to sin, which arises from the bodily impulses (cf. Fragments F and G). In an adaptation of Stoic ethical categories, Basilides declares that faith (pistis) “is not the rational assent of a soul possessing free will” (Fragment C); rather, faith is the natural mode of existence, and consequently, anyone living in accordance with the “law of nature” (pronoia), which Basilides calls the “kingdom,” will remain free from the bodily impulses, and exist in a state of “salvation” (Fragment C). However, Basilides goes beyond simple Stoic doctrine in his belief that the “elect,” that is, those who exist by faith, “are alien to the world, as if they were transcendent by nature” (Fragment E); for unlike the Stoics, who believed in a single, material cosmos, Basilides held the view, as we have seen, that the cosmos is composed of numerous heavens, with the material realm as the final heaven, and consequently corrupt. Since this final heaven represents the “last gasp” of divine emanation, as it were, and is by no means a perfect image of true divinity, adherence to its laws can lead to no good. Further, since the body is the means by which the ruler of this material cosmos enforces his law, freedom can only be attained by abandoning or “becoming indifferent to” all bodily impulses and desires. This indifference (adiaphoria) to bodily impulses, however, does not lead to a simple stagnant asceticism. Basilides does not call upon his hearers to abandon the material realm only to dissolve into negativity; instead, he offers them a new life, by appealing to the grand hierarchy of rulers persisting above the material realm (cf. Fragment D). When one turns to the greater hierarchy of Being, there results a “creation of good things” (Fragment C, translation modified). Love and personal creation—the begetting of the Good—are the final result of Basilides’ vaguely dialectical system, and for this reason it is one of the most important early expressions of a truly Christian, if not “orthodox,” philosophy.

ii. Marcion

Marcion of Sinope, in Pontus, was a contemporary of Basilides. According to Tertullian, he started his career as an orthodox Christian—whatever that meant at such an early stage of development of Christian doctrine—but soon formulated the remarkable and radical doctrine that was to lead to his excommunication from the Roman Church in July 144 CE, the traditional date of the founding of the Marcionite Church (Tertullian, Against Marcion 1.1; cf. Kurt Rudolph, Gnosis 1984, p. 314). The teaching of Marcion is elegantly simple: “the God proclaimed by the law and the prophets is not the Father of Our Lord Jesus Christ. The God (of the Old Testament) is known, but the latter (the Father of Jesus Christ) is unknown. The one is just, but the other is good” (Irenaeus 1.27.1). Marcion believed that this cosmos in which we live bears witness to the existence of an inflexible, legalistic, and sometimes spiteful and vengeful God. This view arose from a quite literal reading of the Old Testament, which does contain several passages describing God in terms not quite conducive to divinity—or at least to the idea of the divine that was current in the Hellenistic era. Marcion then, following Paul (in Romans 1:20) declared that God is knowable through His creation; however, unlike Paul, Marcion did not take this “natural revelation” as evidence of God’s singularity and goodness. Quite the contrary, Marcion believed that he knew the God of this realm all too well, and that He was not worthy of the devotion and obedience that He demanded. Therefore, Marcion rejected the teaching of the orthodox Christian Church of his era, that Yahweh (or Jehovah) is the Father of Christ, and, through a creative excision of what he termed “Judaistic interpolations” in Luke and ten Pauline Epistles, Marcion simultaneously put forth his notion of the “alien God” and His act of salvation, and established the first Canon of Scripture used in a “Christian” Church (Jonas, pp. 145-146).

Marcion was not a philosopher in the sense that term has come to imply. He never developed, as far as we can tell from the surviving evidence, a systematic metaphysical, cosmological, or anthropological theory in the manner of a Basilides or a Valentinus (whom we shall discuss below), nor did he appeal to history as a witness for his doctrines. This latter point is the most important. Unlike the majority of Gnostics, who elaborated some sort of divine genealogy (e.g., the Sophia myth) to account for the presence of corruption and strife in the world, Marcion simply posited two opposed and irreducible Gods: the biblical god, and the unknown or “alien” God, who is the Father of Christ. According to Marcion, the god who controls this realm is a being who is intent on preserving his autonomy and power even at the expense of the (human) beings whom he created. The “alien” God, who is the Supremely Good, is a “god of injection,” for he enters this realm from outside, in order to gratuitously adopt the pitiful human beings who remain under the sway of the inferior god as His own children. This act is the origin of and reason for the Incarnation of Christ, according to Marcion.

In spite of the absence of any solid philosophical or theological foundation for this rather simple formulation, Marcion’s idea nevertheless expresses, in a somewhat crude and immediate form, a basic truth of human existence: that the desires of the Mind are incommensurable with the nature of material existence (cf. Irenaeus 1.27.2-3). Yet, if we follow Marcion’s argument to its logical (or perhaps “anti-logical”) conclusion, we discover an existential expression (not a philosophy) of the primal feeling of “abandonment” (Geworfenheit). This expression plays upon the subtle yet poignant opposition of “love of wisdom” (philosophia) and “complete wisdom” (plêrosophia). We are alone in a world that does not lend itself to our quest for unalterable truth, and so we befriend wisdom, which is the way of or manner in which we attain this intuited truth. According to Marcion, this truth is not to be found in this world—all that is to be found is the desire for this truth, which arises amongst human beings. However, since this desire, on the part of human beings, only produces various philosophies, none of which can hold claim to the absolute truth, Marcion concludes that the noetic beings (humans) of this realm are capable of nothing more than a shadow of wisdom. It is only by way of the guidance and grace of an alien and purely good God that humankind will rise to the level of plêrosophia or complete wisdom (cf. Colossians 2:2 ff.). Moreover, instead of attempting to discover the historical connection between the revelation of Christ and the teachings of the Old Testament, Marcion simply rejected the latter in favor of the former, on the belief that only the Gospel (thoughtfully edited by Marcion himself) points us toward complete wisdom (Irenaeus 1.27.2-3; Tertullian, Against Marcion 4.3).

While other Christian thinkers of the era were busy allegorizing the Old Testament in order to bring it into line with New Testament teaching, Marcion allowed the New Testament (albeit in his own special version) to speak to him as a singular voice of authority—and he formulated his doctrine accordingly. This doctrine emphasized not only humankind’s radical alienation from the realm of their birth, but also their lack of any genealogical relation to the God who sacrificed His own Son to save them—in other words, Marcion painted a picture of humanity as a race displaced, with no true home at all (cf. Giovanni Filoramo, A History of Gnosticism 1992, p. 164). The hope of searching for a lost home, or of returning to a home from which one has been turned out, was absent in the doctrine of Marcion. Like Pico della Mirandola, Marcion declared the nature of humankind to be that of an eternally intermediate entity, poised precariously between heaven and earth (cp. Pico della Mirandola, Oration on the Dignity of Man, 3). However, unlike Pico, Marcion called for a radical displacement of humankind—a “rupture”—in which humanity would awaken to its full (if not innate) possibilities.

iii. Valentinus and the Valentinian School

The great Christian teacher and philosopher Valentinus (ca. 100-175 CE) spent his formative years in Alexandria, where he probably came into contact with Basilides. Valentinus later went to Rome, where he began his public teaching career, which was so successful that he actually had a serious chance of being elected Bishop of Rome. He lost the election, however, and with it Gnosticism lost the chance of becoming synonymous with Christianity, and hence a world religion. This is not to say that Valentinus failed to influence the development of Christian theology—he most certainly did, as we shall see below. It was through Valentinus, perhaps more than any other Christian thinker of his time, that Platonic philosophy, rhetorical elegance, and a deep, interpretive knowledge of scripture became introduced together into the realm of Christian theology. The achievement of Valentinus remained unmatched for nearly a century, until the incomparable Origen came on the scene. Yet even then, it may not be amiss to suggest that Origen never would have “happened” had it not been for the example of Valentinus.

The cosmology of Valentinus began, not with a unity, but with a primal duality, a dyad, composed of two entities called “the Ineffable” and “Silence.” From these initial beings a second dyad of “Parent” and “Truth” was generated. These beings finally engendered a quaternity of “Word” (logos), “Life” (zôê), “Human Being” (anthropos), and “Church” (ekklêsia). Valentinus refers to this divine collectivity as the “first octet” (Irenaeus 1.11.1). This octet produced several other beings, one of which revolted or “turned away,” as Irenaeus tells us, and set in motion the divine drama that would eventually produce the cosmos. According to Irenaeus, who was writing only about five years after the death of Valentinus, and in whose treatise Against Heresies the outline of Valentinus’ cosmology is preserved, the entity responsible for initiating the drama is referred to simply as “the mother,” by which is probably meant Sophia (Wisdom). From this “mother” both matter (hulê) and the savior, Christ, were generated. The realm of matter is described as a “shadow,” produced from the “mother,” and from which Christ distanced himself and “hastened up into the fullness” (Irenaeus 1.11.1; cp. Poimandres 5). At this point the “mother” produced another “child,” the “craftsman” (dêmiourgos) responsible for the creation of the cosmos. In the account preserved by Irenaeus, we are told nothing of any cosmic drama in which “divine sparks” are trapped in fleshly bodies through the designs of the Demiurge. However, it is to be assumed that Valentinus did expound an anthropology similar to that of the classical Sophia myth (as represented, for example, in the Apocryphon of John; cf. also The Hypostasis of the Archons, and the Apocalypse of Adam), especially since his school, as represented most significantly by his star pupil Ptolemy (see below), came to develop a highly complex anthropological myth that must have grown out of a simpler model provided by Valentinus himself. The account preserved in Irenaeus ends with a description of a somewhat confused doctrine of a heavenly and an earthly Christ, and a brief passage on the role of the Holy Spirit (Irenaeus 1.11.1). From this one gets the idea that Valentinus was flirting with a primitive doctrine of the Trinity. Indeed, according to the fourth century theologian Marcellus of Ancyra, Valentinus was “the first to devise the notion of three subsistent entities (hypostases), in a work that he entitled On the Three Natures” (Valentinus, Fragment B, Layton).

Valentinus was certainly the most overtly Christian of the Gnostic philosophers of his era. We have seen how the thought of Basilides was pervaded by a Stoicizing tendency, and how Marcion felt the need to go beyond scripture to posit an “alien” redeemer God. Valentinus, on the other hand, seems to have been informed, in his speculations, primarily by Jewish and Christian scripture and exegesis, and only secondarily by “pagan” philosophy, particularly Platonism. This is most pronounced in his particular version of the familiar theological notion of “election” or “pre-destination,” in which it is declared (following Paul in Romans 8:29) that God chose certain individuals, before the beginning of time, for salvation. Valentinus writes, in what is probably a remnant of a sermon:

From the beginning you [the “elect” or Gnostic Christians] have been immortal, and you are children of eternal life. And you wanted death to be allocated to yourselves so that you might spend it and use it up, and that death might die in you and through you. For when you nullify the world and are not yourselves annihilated, you are lord over creation and all corruption (Valentinus, Fragment F).

This seems to be Valentinus’ response to the dilemma of the permanence of salvation: since Sophia or the divine “mother,” a member of the Pleroma, had fallen into error, how can we be sure that we will not make the same or a similar mistake after we have reached the fullness? By declaring that it is the role and task of the “elect” or Gnostic Christian to use up death and nullify the world, Valentinus is making clear his position that these elite souls are fellow saviors of the world, along with Jesus, who was the first to take on the sin and corruption inherent in the material realm (cf. Irenaeus 1.11.1; and Layton p. 240). Therefore, since “the wages of sin is death” (Romans 6:23), any being who is capable of destroying death must be incapable of sin. For Valentinus, then, the individual who is predestined for salvation is also predestined for a sort of divine stewardship that involves an active hand in history, and not a mere repose with God, or even a blissful existence of loving creation, as Basilides held. Like Paul, Valentinus demanded that his hearers recognize their createdness. However, unlike Paul, they recognized their creator as the “Ineffable Parent,” and not as the God of the Hebrew Scriptures. The task of Christian hermeneutics after Valentinus was to prove the continuity of the Old and New Testament. In this regard, as well as in the general spirituality of his teaching—not to mention his primitive trinitarian doctrine—Valentinus had an incalculable impact on the development of Christianity.

1) The System of Ptolemy

Ptolemy (or Ptolemaeus, fl. 140 CE) was described by St. Irenaeus as “the blossom of Valentinus’ school” (Layton, p. 276). We know next to nothing about his life, except the two writings that have come down to us: the elaborate Valentinian philosophical myth preserved in Irenaeus, and Ptolemy’s Epistle to Flora, preserved verbatim by St. Epiphanius. In the former we are met with a grand elaboration, by Ptolemy, of Valentinus’ own system, which contains a complex anthropological myth centering around the passion of Sophia. We also find, in both the myth and the Epistle, Ptolemy making an attempt to bring Hebrew Scripture into line with Gnostic teaching and New Testament allegorization in a manner heretofore unprecedented among the Gnostics.

In the system of Ptolemy we are explicitly told that the cause of Sophia’s fall was her desire to know the ineffable Father. Since the purpose of the Father’s generating of the Aeons (of which Sophia was the last) was to “elevate all of them into thought” (Irenaeus 1.2.1) it was not permitted for any Aeon to attain a full knowledge of the Father. The purpose of the Pleroma was to exist as a living, collective expression of the intellectual magnitude of the Father, and if any single being within the Pleroma were to attain to the Father, all life would cease. This idea is based on an essentially positive attitude toward existence—that is, existence understood in the sense of striving, not for a reposeful end, but for an ever-increasing degree of creative or “constitutive” insight. The goal, on this view, is to produce through wisdom, and not simply to attain wisdom as an object or end in itself. Such an existence is not characterized by desire for an object, but rather by desire for the ability to persist in creative, constitutive engagement with/in one’s own “circumstance” (circumscribed stance or individual arena). When Sophia desired to know the Father, then, what she was desiring was her own dissolution in favor of an envelopment in that which made her existence possible in the first place. This amounted to a rejection of the gift of the Father—that is, of the gift of individual existence and life. It is for this reason that Sophia was not permitted to know the Father, but was turned back by the “boundary” (horos) that separates the Pleroma from the “ineffable magnitude” of the Father (Irenaeus 1.2.2).

The remainder of Ptolemy’s account is concerned with the production of the material cosmos out of the hypostatized “passions” of Sophia, and the activity of the Savior (Jesus Christ) in arranging these initially chaotic passions into a structured hierarchy of existents (Irenaeus 1.4.5 ff., and cp. Colossians 1:16). Three classes of human beings come into existence through this arrangement: the “material” (hulikos), the “animate” (psukhikos), and the “spiritual” (pneumatikos). The “material” humans are those who have not attained to intellectual life, and so place their hopes only upon that which is perishable—for these there is no hope of salvation. The “animate” are those who have only a half-formed conception of the true God, and so must live a life devoted to holy works, and persistence in faith; according to Ptolemy, these are the “ordinary” Christians. Finally, there are the “spiritual” humans, the Gnostics, who need no faith, since they have actual knowledge (gnôsis) of intellectual reality, and are thus saved by nature (Irenaeus 1.6.2, 1.6.4). The Valentinian-Ptolemaic notion of salvation rests on the idea that the cosmos is the concrete manifestation or hypostatization of the desire of Sophia for knowledge of the Father, and the “passions” her failure produced. The history of salvation, then, for human beings, has the character of an external manifestation of the threefold process of Sophia’s own redemption: recognition of her passion; her consequent “turning back” (epistrophê); and finally, her act of spiritual production, whence arose Gnostic humanity (cf. Irenaeus 1.5.1). Salvation, then, in its final form, must imply a sort of spiritual creation on the part of the Gnostics who attain the Pleroma. The “animate” humans, however, who are composed partly of corruptible matter and partly of the spiritual essence, must remain content with a simple restful existence with the craftsman of the cosmos, since no material element can enter the Pleroma (Irenaeus 1.7.1).

In his Epistle to Flora (in Epiphanius 33.3.1-33.7.10), which is an attempt to convert an “ordinary” Christian woman to his brand of Valentinian Christianity, Ptolemy clearly formulates his doctrine of the relation between the God of the Hebrew Scriptures, who is merely “just,” and the Ineffable Father, who is the Supreme Good. Rather than simply declaring these two gods to be unrelated, as did Marcion, Ptolemy develops a complex, allegorical reading of the Hebrew Scriptures in relation to the New Testament in order to establish a genealogy connecting the Pleroma, Sophia and her “passion,” the Demiurge, and the salvific activity of Jesus Christ. The scope and rigor of Ptolemy’s work, and the influence it came to exercise on emerging Christian orthodoxy, qualifies him as one of the most important of the early Christian theologians, both proto-orthodox and “heretical.”

c. Mani and Manichaeism

The world religion founded by Mani (216-276 CE) and known to history as Manichaeism has its roots in the East, borrowing elements from Persian dualistic religion (Zoroastrianism), Jewish Christianity, Buddhism, and even Mithraism. The system developed by Mani was self-consciously syncretistic, which was a natural outgrowth of his desire to see his religion reach the ends of the earth. This desire was fulfilled, and until the late Middle Ages, Manichaeism remained a world religion, stretching from China to Western Europe. It is now completely extinct. The religion began when its founder experienced a series of visions, in which the Holy Spirit supposedly appeared to him, ordering him to preach the revelation of Light to the ends of the earth. Mani came to view himself as the last in a series of great prophets including Buddha, Zoroaster, Jesus, and Paul (Rudolph, p. 339). His highly complex myth of the origin of the cosmos and of humankind drew on various elements culled from these several traditions and teachings. The doctrine of Mani is not “philosophical,” in the manner of Basilides, Valentinus or Ptolemy; for Mani’s teaching was not the product of a more or less rational or systematic speculation about the godhead, resulting in Gnosis, but the wholly creative product of what he felt to be a revelation from the divinity itself. It is for this reason that Mani’s followers revered him as the redeemer and holy teacher of humankind (Rudolph, p. 339). Since Manichaeism belongs more to the history of religion than to philosophy proper (or even the fringes of philosophy, as does Western Gnosticism), it will suffice to say only a few words about the system, if for no other reason than that the great Christian philosopher Augustine of Hippo had followed the Manichaen religion for several years, before converting to Christianity (cf. Augustine, Confessions III.10).

The main point of distinction between the doctrine of Mani and the Western branch of Gnosticism (Basilides, Valentinus, etc.), is that in Manichaeism the “cosmology is subservient to the soteriology” (Rudolph, p. 336). This means, essentially, that Mani began with a fundamental belief about the nature of humanity and its place in the cosmos, and concocted a myth to explain the situation of humankind, and the dynamics of humanity’s eventual salvation. The details of the cosmology were apparently not important, their sole purpose being to illustrate, poetically, the dangers facing the souls dwelling in this “realm of darkness” as well as the manner of their redemption from this place. The Manichaean cosmology began with two opposed first principles, as in Zoroastrianism: the God of Light, and the Ruler of Darkness. This Darkness, being of a chaotic nature, assails the “Kingdom of Light” in an attempt to overthrow or perhaps assimilate it. The “King of the Paradise of Light,” then, goes on the defensive, as it were, and brings forth Wisdom, who in her turn gives birth to the Primal Man, also called Ohrmazd (or Ahura-Mazda). This Primal Man possesses a pentadic soul, consisting of fire, water, wind, light, and ether. Armored with this soul, the Primal Man descends into the Realm of Darkness to battle with its Ruler. Surprisingly, the Primal Man is defeated, and his soul scattered throughout the Realm of Darkness. However, the Manichaeans understood this as a plan on the part of the Ruler of Light to sow the seeds of resistance within the Darkness, making possible the eventual overthrow of the chaotic realm. To this end, a second “Living Spirit” is brought forth, who was also called Mithra. This being, and his partner, “Light-Adamas,” set in motion the history of salvation by putting forth the “call” within the realm of darkness, which recalls the scattered particles of light (from the vanquished soul of Ohrmazd). These scattered particles “answer” Mithra, and the result is the formation of the heavens and earth, the stars and planets, and finally, the establishment of the twelve signs of the zodiac and the ordered revolution of the cosmic sphere, through which, by a gradual process, the scattered particles of light will eventually be returned to the Realm of Light. The Manichaeans believed that these particles ascend to the moon, and that when the moon is full, it empties these particles into the sun, from whence they ascend to the “new Aeon,” also identified with Mithra, the “Living Spirit” (Rudolph, pp. 336-337). This process will continue throughout the ages of the world, until all the particles eventually reach their proper home and the salvation of the godhead is complete.

It should be clear from this brief exposition that humanity as such does not hold the prime place in the salvific drama of Manichaeism, but rather a part of the godhead itself—that is, the scattered soul of Ohrmazd. The purpose of humanity in this scheme is to aid the particles of light in their ascent to the godhead. Of course, these particles dwell within every living thing, and so the salvation of these particles is the salvation of humanity, but only by default, as it were; humanity does not hold a privileged position in Manichaeism, as it does in the Western or strictly Christian Gnostic schools. This belief led the Manichaeans to establish strict dietary and purity laws, and even to require selected members of their church to provide meals for the “Elect,” so that the latter would not become defiled by harming anything containing light particles. All of this, however, is a long way from philosophy. Hans Jonas was right to describe Manichaeism as representing “a more archaic level of gnostic thought” (Jonas, p. 206). Now that we have examined one of the non-philosophical directions taken by Gnostic thought, let us proceed to discuss its role in the philosophical development of the era.

3. Platonism and Gnosticism

Long before the advent of Gnosticism, Plato had posited two contrary World Souls: one “which does good” and one “which has the opposite capacity” (Plato, Laws X. 896e, tr. Saunders). For Plato, this did not imply that the cosmos is under the control of a corrupt or ignorant god, as it did for the Gnostics, but simply that this cosmos, like the human soul, possesses a rational and an irrational part, and that it is the task of the rational part to govern the irrational. The question arose, however, among Platonists, regarding Plato’s true position on this matter. Was he declaring that a part of the cosmos is evil? or that the divine Demiurge (who, in the highly influential Timaeus account, is said to have crafted the cosmos) actually produced an evil soul? Both of these conjectures flew in the face of everything that the ancient thinkers believed about the cosmos—that is, that it was divine, orderly, and perfect. A common solution, among both Platonists and Pythagoreans, was to interpret the second or “evil” Soul as Matter, that is, the material or generative principle, which is the opposite of the truly divine and unchanging Forms. The purpose of the Intellectual principle, or the “good” Soul, is to bring this disorderly principle under the control of reason, and thereby maintain an everlasting but not eternal cosmos (cf. Timaeus 37d). Since the cosmos, according to Plato in the Timaeus, cannot be as perfect as the eternal image upon which it is founded, a generative principle is necessary to maintain the “living creature” (which is precisely how the cosmos is described), and therefore not really “evil,” even though it possesses the “opposite capacity” (generation, and hence, corruption) from that of the Good or Rational Soul.

a. Numenius of Apamea and Neo-Platonism

Several centuries after Plato, around the time when the great Gnostic thinkers like Valentinus and Ptolemy were developing their systems, we encounter the Platonic philosopher Numenius of Apamea (fl. 150 CE). The main ideas of Numenius’ philosophy, preserved in the fragments of his writings that survive, bear clear traces of Gnostic influence. His cosmology describes, in language strikingly similar to that of the Gnostics, the degradation of the divine dêmiourgos upon his contact with pre-existent Matter (hulê, or the “indefinite” principle):

[I]n the process of coming into contact with Matter, which is the Dyad, [the Demiurge] gives unity to it, but is Himself divided by it, since Matter has a character prone to desire [epithumêtikon êthos] and is in flux. So in virtue of not being in contact with the Intelligible (which would mean being turned in upon Himself), by reason of looking towards Matter and taking thought for it, He becomes unregarding (aperioptos) of Himself. And he seizes upon the sense realm and ministers to it and yet draws it up to His own character, as a result of this yearning towards Matter [eporexamenos tês hulês] (Numenius, Fragment 11, in Dillon 1977, The Middle Platonists, pp. 367-368).

In this fragment, Numenius is transferring a basic Gnostic anthropological idea into the realm of cosmology. It is a common feature of Gnostic systems to describe the individual human soul’s contact with the material realm as resulting in a forgetting of the soul’s true origin. Platonism, also, warned against the soul’s becoming too attached to the realm of the senses, since this realm is changing and illusory, and does not accurately reflect the divinity. However, neither Platonism nor Gnosticism described such a danger as affecting, in any way, the Demiurge; for the Gnostics declared the Demiurge to be just as much a part of the cosmos as he was its ruler, and the orthodox Platonists located the Demiurge outside the cosmos, declaring the cosmos to be self-sufficient (following Timaeus 34b). Numenius, however, went further and bridged the gap between the sensible cosmos and the Intelligible Realm by linking the Demiurge to the latter by way of contemplation, and to the former by way of his “desire” (orexis) for matter. In Fragment 18, Numenius tells us that the Demiurge derives his “critical faculty” (kritikon) from his contemplation of the Good, and his “impulsive faculty” (hormêtikon) from his attachment to Matter (Dillon, p. 370). This idea seems to foreshadow Plotinus’ doctrine that the individual soul will always take on certain characteristics of Matter, and that these characteristics manifest themselves in the form of sense perceptions that must be brought under the controlling influence of rational judgment (cf. Enneads I.8.9 and I.1.7). Unlike Plotinus, however, who leaves the World-Soul or active part of the Demiurge safely beyond the affective cosmic realm, Numenius posits a Demiurge that is both transcendent and immanent, and arrives at a doctrine of a cosmos that, even on the highest level—the level of the celestial bodies—is not devoid of evil influence, since even the Demiurge, the highest cosmic deity, is infected by the tainting influence of Matter. “This importation of evil into the celestial realm is surely more Gnostic than Platonist, and did not comment itself to such successors as Plotinus or Porphyry, though it does seem to be accepted by Iamblichus” (Dillon, p. 374).

Plotinus, during the height of his teaching career at Rome (ca. 255 CE), composed a treatise “Against Those Who Declare the Creator of This World, and the World Itself, to be Evil,” also known, simply, as “Against the Gnostics” (Ennead II.9) in which he argues for the divinity and goodness of the cosmos, and upholds the ancient Greek belief in the divinity of the stars and planets, declaring them to be our “noble brethren,” and responsible only for the good things that befall humankind. Porphyry, in his Life of Plotinus, tells us that Plotinus commissioned him, along with his fellow student Amelius, to write more treatises attacking the Gnostics on points that Plotinus skipped over (Porphyry, Life of Plotinus 16). Porphyry also mentions by name two Gnostic treatises that were discovered in Egypt in 1945, and are now readily available to scholars: Zostrianos, and Allogenes, in the Nag Hammadi Collection of Codices. These texts, as well as the Tripartite Tractate (also in the Nag Hammadi Collection) show how tightly Platonism and Gnosticism were intertwined in the early centuries of our era.

4. Concluding Summary

Gnosticism began with the same basic, pre-philosophical intuition that guided the development of Greek philosophy—that there is a dichotomy between the realm of true, unchanging Being, and ever-changing Becoming. However, unlike the Greeks, who strived to find the connection between and overall unity of these two “realms,” the Gnostics amplified the differences, and developed a mytho-logical doctrine of humankind’s origin in the realm of Being, and eventual fall into the realm of darkness or matter, that is, Becoming. This general Gnostic myth came to exercise an influence on emerging Christianity, as well as upon Platonic philosophy, and even, in the East, developed into a world religion (Manichaeism) that spread across the known world, surviving until the late Middle Ages. In the twentieth century, there began a renewed interest in Gnostic ideas, particularly in the pioneering work of Hans Jonas, the Existentialist philosopher and student of Martin Heidegger. The psychologist Carl Jung, as well, drew upon Gnostic motifs in his theoretical work, and the increasing emphasis on Hermeneutics in late twentieth century thought owes something to the analyses of Gnostic myth and exegesis done by Harold Bloom, Paul Ricoeur, and others.

More than any of these accomplishments, however, it was the discovery in 1945, in Egypt, of a large collection of Coptic Gnostic codices, now known as the Nag Hammadi Collection, or the Nag Hammadi Library. This collection contains works of the Valentinian School, as well as of many earlier and contemporaneous sects, and sheds much needed light on the nature and structure of what to this day is still called, with some reservations, the Gnostic Religion. The study of this library has led certain scholars to question the existence of any unified movement called “Gnosticism” or the “Gnostic Religion.” Michael Allen Williams, in 1996, published a book entitled Rethinking “Gnosticism”: An Argument For Dismantling A Dubious Category (Princeton University Press 1996). Through a detailed study of numerous texts of the Nag Hammadi Collection, Williams attempts to show that the extreme diversity underlying the texts that many scholars have lumped together under the catch-all phrase of “Gnosticism,” casts doubt on the existence of anything like a Gnostic religion. Moreover, he argues, such a wholesale consignment of these texts to what is, in fact, a modern designation, blinds us to the deeper meaning of these diverse intellectual monuments. It should be noted, however, that the early Church Fathers, like Clement of Alexandria, Irenaeus, Origen, Hippolytus, Epiphanius, and even “pagan” philosophers like Plotinus and Porphyry, who have preserved for us accounts and occasionally some original documents of philosophers and theologians whom they term “Gnostic,” were also contemporaries or near contemporaries of many of the figures and schools that they criticize and interpret. The insights of these writers, then, who were living and working side by side, and almost always in conflict with, members of the Gnostic sects, should be given priority over any modern attempts to revise our understanding of what Gnosticism is.

5. References and Further Reading

a. Sources

  • Dillon, John (1977). “Numenius of Apamea” in The Middle Platonists (Cornell University Press).
  • Filoramo, Giovanni. A History of Gnosticism, tr. Anthony Alcock (Oxford: Blackwell Publishers 1990, 1992).
  • Hegel, G.W.F. “The Gnostics” in Lectures on the History of Philosophy, vol 2. “Plato and the Platonists,” tr. E.S. Haldane and Frances H. Simson (University of Nebraska Press; Bison Books Edition 1995).
  • Jonas, Hans (1958, 2001). The Gnostic Religion: The Message of the Alien God and the Beginnings of Christianity (Boston: Beacon Press).
  • Layton, Bentley (1987). The Gnostic Scriptures (Doubleday: The Anchor Bible Reference Library).
  • Plato. Laws, tr. Trevor J. Saunders, in Plato: Complete Works, ed. John M. Cooper (Indianapolis: Hackett Publishing 1997).
  • Plato. Timaeus, tr. Donald J. Zeyl, in Plato: Complete Works.
  • Plotinus. The Enneads, tr. A.H. Armstrong, in 7 volumes (Harvard: Loeb Classical Library 1966).
  • Ricoeur, Paul. The Conflict of Interpretations (Northwestern University Press 1974).
  • Rudolph, Kurt. Gnosis: The Nature and History of Gnosticism, tr. Robert McLachlan Wilson (Edinburgh: T. and T. Clark Ltd. 1984).
  • Segal, Robert A. (ed.) The Gnostic Jung (Princeton University Press 1992).

b. Suggestions for Further Reading

  • Barnstone, Willis (1984 ed.) The Other Bible (Harper San Francisco).
  • Bultmann, Rudolph (1956). Primitive Christianity in its Contemporary Setting (New York: Meridian Books).
  • Fideler, David (1993). Jesus Christ, Sun of God: Ancient Cosmology and Early Christian Symbolism (Wheaton, Illinois: Quest Books).
  • Pagels, Elaine (1975). The Gnostic Paul: Gnostic Exegesis of the Pauline Letters (Philadelphia: Trinity Press).
  • Williams, Michael Allen. Rethinking “Gnosticism”: An Argument For Dismantling A Dubious Category (Princeton University Press 1996).

Author Information

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

Galen (130—200 C.E.)

galen-200x220

Galen was one of the most prominent ancient physicians as well as a philosopher (though most of his philosophical writings are lost). Nonetheless, his philosophical interests are quite evident in his practice of biological science. Galen made some key anatomical observations (though most of these were on other primates).  However, this inclination toward observation moved his theory into the class of critical empiricism.

Galen was also a well-read scholar who combined extensive erudition with ‘cutting edge’ observational practice to completely change the understanding and teaching of medicine. He frequently integrates his observational practice with the natural philosophy of Plato and Aristotle.  His position as the leading authority in medical theory extended for at least fourteen hundred years.

Galen correctly saw that there is a methodological difference between taking account of the patient in front of you in all of the patient’s particularity and, instead, understanding the patient in front of you as representing an instance of a general rule of biomedical science. The way that Galen sought to insert himself into this debate makes his conclusions relevant to medicine today.

 

Table of Contents

  1. Life
  2. Hellenistic Schools of Medicine
  3. Method
  4. Galen’s Critical Empiricism
  5. References and Further Reading

1. Life

Galen of Pergamum was a physician who was born in Pergamum was a bustling and vibrant city at the time and was particularly famous for its statue of Asclepius, a god of healing. Throughout Galen’s life, he avowed a devotion to Asclepius. The city also had a library that almost rivaled Alexandria’s in its size. Galen’s father, Nicon, was a prosperous architect. This allowed Galen the leisure to get an education and choose a path of life unencumbered by the need to earn money. However, this affluence did not mean that Galen was brought up “soft” (as per Plato’s discussion in the Republic 544b-570e in which he discusses the devolution of political systems due to the decay of personal arête). Galen’s education was broad and directed by his father. Galen studied in mathematics (a particular favorite of his father), grammar, logic, and philosophy–that included inquiry into the four major schools of the time: the Platonists, the Peripatetics, the Stoics, and the Epicureans. This pluralistic sensibility influenced the philosophical/scientific method of Galen. According to pluralism, one should look at all the prevalent theories and then make up one’s own mind choosing either one of the theories or perhaps a new mixture of those presented according to their strengths.

Galen began his study of medicine around the age of sixteen when his father had a dream suggesting this direction. Galen traveled to Smyrna and Corinth to study with both a Rationalist and with an Empiricist. When Galen’s father died, Galen traveled to Egypt (Alexandria) where he lived for perhaps five years (152-157). What Galen might have studied in Alexandria is highly speculative. However, Galen, himself, later declares that students should “look at the human skeleton with your own eyes. This is very easy in Alexandria, so that the physicians of that area instruct their pupils with the aid of autopsy” (Kühn II, 220, translation L. Edelstein). This quotation points to the practice of autopsy (dissection of cadavers) in Alexandria. Whether Galen also studied anatomy this way is unclear. It is clear that Galen (at least) engaged in comparative anatomy by dissecting monkeys.

In 157 Galen returned to his hometown to become a surgeon to the gladiators. When civil unrest broke out in 162, Galen left for Rome. The medical community in Rome was competitive and corrupt. In Rome, Galen’s ambition got the best of him with the result that his high profile created powerful enemies who caused him to depart secretly in 166. After a couple of years in obscurity, Galen was recalled by the Roman Emperors Marcus Aurelius and Lucius Verus to serve the army in their war against the Germans. When the plague hit Rome, Galen was made personal physician to Marcus Aurelius and Aurelius’ son, Commodus. For many years it has been held that Galen remained in Roman society until his death around 199-200 (based upon the Suda Lexicon written around 1000); however, new research by Vivian Nutton has persuasively set the date of Galen’s death much later. Nutton proposes that Galen may have lived into his eighties (possibly as old as 87). The source for this new information comes from Byzantine and Arab scholars from the sixth century onwards. On the basis of this, it seems that Galen died around 216, give or take several years, in the reign of Caracalla.

A great many of Galen’s works have survived. The Kühn edition of Galen (Greek with a Latin translation) runs over 20,000 pages. There are other Galenic works that only exist in Arabic translations. However, many of Galen’s works are lost, e.g., many of his treatises on philosophy (logic, physics, and ethics) perished in a fire that consumed the Temple of Peace in 191.

2. Hellenistic Schools of Medicine

During the end of the fourth century BCE and throughout the third century BCE there were enormous advances in medicine revolving around the principal practitioners: Diocles, Praxagoras, Herophilus, and Erasistratus. During this period the debate about the relative roles of theory and observation were central to these writers (Kühn X, 107). It is, in fact, a perennial question in the philosophy of science. What is at issue is when does one impose a theoretical structure on the world? Part of the answer concerns the origins of the theoretical structure. From whence did it arise? In part, this is a struggle for a logic of induction that might assist the practitioner. Without such a theory of inductive logic, it is unclear whether nature is revealing her nature to the careful observer or whether the observer is imposing his own ideas upon nature. Aristotle discusses some of these issues in Posterior Analytics II.19 and in The Parts of Animals I. However, this is not the end of the question. Some of this tension can be seen in the biomedical writers in the Hippocratic era. However, it is also true that in the construction of scientific theories there must, of necessity, be a tension between those who embrace theoretical structures and those who are skeptical of them. The latter group generally bases their misgivings upon a possible tendency among theorists to create an a priori science. What makes a priori science troublesome is that it breaks contact with the empirical world. It suggests that ratiocination about natural causes is sufficient for the production of scientific theories. For most natural philosophers such a stance is entirely unacceptable. Setting the proper balance between theory and observation was (and continues to me) an important question in the philosophy of science.

One group that added to the debate on the role of observation were the Empiricists. The origins of the Empiricist School might be found in Acron of Akragas, a fifth century BCE follower of Empedocles. This conjecture is based merely upon the testimony of later writers. It could certainly be the case that there was no real medical empiricism, as such, before Serapion, a third century BCE doctor .

Another interesting speculation on the origins of the empiricist physicians comes from Michael Frede. Frede has suggested that from a reference in Plato’s Laws 720a-c; 857c-d that there was a two-tired medical system with physicians for the wealthy (who employed theoretical principles) and physicians for the slaves (who relied merely upon trial-and-error experience). If this speculation is correct, then the burden of proof for the empiricists is to show that the theoretical “book learning” of upper class doctors could be reduced to mere experience. In other words, experience, itself, could generate competence. The result would be an elevation of the second-level physician. If Frede is correct on this, then perhaps social situation is partially responsible for the rise of the medical empiricists.

Sextus Empiricus (circa 160-210) set out a loosely woven doctrine of “consideration” or skepsis. Sextus is a key source of our knowledge of Pyrrhonism and is also said to have been a physician (though his writings on medicine have not survived). It is not clear whether Sextus was an original thinker or merely a reflection of his era. However, at the very least, one can garner background information of what might have influenced the empiricists through the doctrine of skepsis. Under this doctrine the theoretical structures of the philosophers (Dogmatists) would be held in abeyance (neither accepted nor rejected). What would rule the day would be the case before the physician right now. The case and the physician’s experience would dictate the treatment.

Against the Empiricists, on the other hand, were the philosophers (Dogmatists). In one important way the Dogmatists are not a “school” as such. They are often depicted by their detractors, such as the Empiricists, rather than being self-identifying. This may relate to the social class dynamics noted earlier. Thus, one should keep in mind that the group is not so much a school of practitioners but a depiction of a group by objectors to those who profess a foundation in medical theory. Perhaps the best way to characterize the Dogmatists would be on the issue of aetiology. The Empiricists attacked the Dogmatists for asserting that there might be hidden causes of disease, and that these hidden causes might be grasped via ratiocination. This was because (under this characterization) the Dogmatists were advocating reasoning and conjecture over experience. To the Empiricists, this was akin to creating a priori science.

The Dogmatists (even in this quasi-class depiction) were identified with one of the four prominent philosophical schools (Platonists, Aristotelians/Peripatetics, Stoics, and Epicureans). Detractors said that the Dogmatists honored theory over observation and experience. Of course, from the point of view of the philosophical schools, rational theories create a critical structure that aid in the interpretation and explanation of nature. The sense of explanation here harkens back to Aristotle, who distinguished knowing the fact (hoti) and the reasoned fact (dioti, APo II, i). It may not be enough to know that if I (as a physician) do x, then y will result (anecdotal correlation of two events). That sort of hoti (or merely event + consequence unit) is insufficient. The reason for this is that when circumstances alter slightly, how is the practitioner to know whether this alteration is significant unless he also has an appreciation of the mechanism that underlies the process? For example, anecdotal correlation might (in a non-medical modern example) suggest that every time I wash my car, it will rain. My personal experience may be almost perfect, but that does not mean that such a causal connection actually exists. The reluctance to embrace a non-observable causal mechanism leaves this dilemma to those who profess an aversion to theory in favor of experience.

Somewhat in the middle of these two schools were the Methodists. Aside from Soranus there are no surviving texts of the Methodists. Therefore most of what we have comes from the descriptions of Galen and pseudo-Galen on these writers. The following are cited as being Methodists: Thessalos, Themison, Proklos, Reginos, Antipatros, Eudemos, Mnaseas, Philon, Dionysios, Menemachos, Olympikos, Apollonides, Soranus, Julianus (Kühn X, 52-53, XIV, 684). There is some controversy about the characterization and origins of this school but many relate it to Themison of Laodicea a pupil of Asclepiades of Bithynia. However this attribution is disputed by Celsus and Soranus who state that Themison is not the first but merely a representative of Methodism. At any rate, the Methodists paid attention (in contrast to the Dogmatists and Empiricists) to the disease alone as opposed to the situation of the individual patient, that is, his medical history and personal situation. The disease alone dictates treatment (Kühn III, 14-20). Thus, the physician does not have to have anatomical or physiological knowledge of the body. Instead, he observes the body in a holistic manner (koinotetes). The three principle conditions of a body viewed in this way are: (a) the body’s dryness, (b) the body’s fluidity, and (c) the mixture of the two. The “method” to be followed was to follow the phenomena. Underlying this assumption was the notion about the status of pores in the mechanism of the body’s common balance. The body’s pores allowed atoms to enter and exit the body. When the atoms came and went freely health was the result. When there was a disruption, then sickness was the result. When the pores were either too small (constriction) or too large (dilatation) then an imbalance occurred in the normal atomic flow. Atoms are invisible to the naked eye. Pores are visible, but their subtle alterations are often not visibly detectable. Thus, on the face of it, the Methodists seem to be contra-Empiricist. However, the atomist tradition (upon which this theory rests) was taken to be Empiricist. (In principle, one could view an entirely physical event-if it were possible to witness it.) Thus, the Methodists seem to have affinities to both. This is evident in Themison (first century, BCE) and Thessalus (first century, AD). Disease was depicted as a community of constriction or dilatation (or some combination of the two) that, in principle, was observable even though, in practice, it couldn’t be observed except through its effects, namely, the disease. Thus, though the intent of the Methodists was probably to lean toward the Empiricists, the actual practice put them more in-between.

Galen often characterizes himself as an eclectic belonging to no school. It is true that Galen was an innovator in observation, for example he gave the first depiction of the four-chambered human heart. But his epistemology was grounded in his philosophical training. Over and over Galen relies on an over-arching medical theory to drive his aetiology (Kühn X, 123, 159, 246). In this way his practice is closest to Aristotelian critical empiricism that requires careful observation and a comprehensive theory that will make those observations meaningful.

3. Method

Because of Galen’s pluralistic method, it is appropriate that (for the most part) his own method draws upon his predecessors with additions and corrections. For example, Galen employed the four-element theory (earth, air, fire, and water) as well as the theories of the contraries (hot, cold, wet, and dry). Though Aristotle interrelated these two descriptive accounts in his work Generation and Corruption, it is Galen who attempts to create a more gradated form by making quasi-quantitative categories of the contraries to describe the material composition of the mixtures (On Mixtures). From the perspective of modern science, this is an advancement upon Aristotle. This work on mixtures is also used to account for the properties of drugs (On Simples). Drugs were supposed to counteract the disposition of the body. Thus, if a patient were suffering from cold and wet (upper respiratory infection), then the appropriate drug would be one that is hot and dry (such as certain molds and fungi-does this remind you of penicillin?). The use of broad-reaching natural principles enhanced the explanatory power of Galen’s theory of biological science.

Galen speaks at length about the philosophers Plato (from whom he accepts the tri-partite soul) and Aristotle (whose biological works are well known to him). In medicine, he is also greatly influenced by historical figures such as Hippocrates (who he describes as a single individual opposed to our modern understanding of a group of writers-even though Galen was aware of the Hippocratic Question), Herophilus, and especially Erasistratus. In his avowed work on biological theory, On the Natural Faculties, Galen goes to great lengths to refute the principles of Erasistratus and his followers.

Contemporary figures are also discussed such as Aclepiades, and the Methodists Themison and Thessalus. This thorough use of the context of medicine allows Galen to consider, for example, Eristrates’ theory of mechanical digestion via a vacuum principle and to supplant it with his own theory of attraction (holke). Galen’s theory of attraction may have had its roots in the theory of natural place that always lacked a material force to implement it. At any rate, when the mechanisms are inscrutable, it was important for Galen to offer an account that fits into other parts of his theory (such as the mixture of the contraries in the composition of the elements).

One of the most influential aspects of Galenic practice was his implementation of (or invention of-as per Wesley Smith) the Hippocratic theory of the four humours (phlegm, blood, black bile, and yellow bile). These points of focus relate to a theory of health as balance. Each of these four humours is related to the three principal points of the body: head (phlegm), heart (blood), black bile (liver) and yellow bile (the liver’s complement, the gall bladder). The three principal points of the body are also loosely linked to the Platonic tripartite soul: head (sophia, reason), heart (thumos, emotion or spiritedness), liver (epithumos, desire). Thus, the sort of just balance of the soul that Plato argues for in the Republic is also the ground of natural health. When one part of the soul/body is out of balance, then the individual becomes ill. The physician’s job is to assist the patient in maintaining balance. If a person is too full of uncontrollable emotion or spiritedness, for example, then he is suffering from too much blood. The obvious answer is to engage in bloodletting (guaranteed to calm a person down). As in the case of pharmacology and the contraries, the four humours provide a comprehensive account of what it means to obtain and maintain health via the balancing of various primary principles.

4. Galen’s Critical Empiricism

One of the striking features of ancient medicine is the extent that very limited observations had to be interpreted in order to explain natural function. For example, given that blood was considered to be nourishment, trophe, it seemed reasonable (following Aristotle) that the blood would be entirely consumed by the body’s tissue. Thus, the blood would be manufactured in the liver and heart and then would flow to the rest of the body and be consumed. The flow of blood went one-way. However, there was a problem: there were two sorts of blood vessels (veins and arteries). These were structurally distinct. This was known through dissection of primates. Then it is assumed that Nature does nothing in vain (discussed at length in On the Use of the Parts as a key biomedical explanatory principle). This means that the veins and arteries have different functions. But they cannot be too disparate. The answer to this dilemma for Galen is that the arteries carry blood mixed with aer or pneuma that acts as a vital force whereas the venous blood is ordinary-though Galen held (correctly) that the two systems were connected by tiny almost invisible vessels (capillaries).

Thus Galen began with a problem and a number of observations and sought to make sense of the seeming anomalies via his overarching biomedical principles. In this way, Galen was acting according to the mathematical training from his father and a desire to create a unified (quasi-axiomatic) explanatory system. Without observation, this could have led to a priori or “armchair” science. But when combined with careful observation, it leads to critical empiricism.

Another example of this mixture of observation and inference is in the area of conception theory. Galen says in his treatise, On Seed,

These things have been said by me because of some of the philosophers who call themselves Aristotelians and Peripatetics. I, at least, would not address these men so, they being so greatly ignorant of the opinion of Aristotle that they think it is pleasing to him that the sperm of the male being cast into the uterus of the female places the principle of motion in the katamenia (the female seed) and, after this is expelled, the principle of motion in the katamenia and, after it is expelled, does not any part become the corporeal substance of the fetus. They have been deceived by the first book of the Generation of Animals that alone of the five they seem to have read. These things are written there, “As we said, of the generation of the principles we may say that chiefly there are the male principle and the female principle. The male offers the motive principle and the efficient cause of generation while the female offers the material principle” [Galen quoting Aristotle, G.A. 716a 5].

These are not far after the beginning: in still later parts of the tract he writes as well, “But this may be well concluded that the male provides the form and the principle of motion and the female provides the body and the matter just as the example of curding milk. Here the body is the milk and the fig juice contains the principle that makes it curdle” [Galen quoting Aristotle, G.A. 729a 10; Kühn IV, 516-517, my tr.].

The biological accounts of human reproduction in the ancient world offer excellent examples of the interaction between observation and inference. There are a number of issues involved in this issue that pre-dates even the Hippocratic writers. The one that is mentioned here is the issue of whether there is one seed (the male’s only) or two (the male’s and the female’s). In the above example Galen seems to be saying that the first reading of Aristotle in which the male provides the efficient cause and the female provides the material cause, simpliciter, is a misreading of Aristotle. Instead, the event (conception) is depicted as a more involved process in which principles of both parents come into play. These principles revolve around the empirically observable facts that children as often as not resemble the mother as much as the father. The “one seed” theory in which the father’s seed, alone, fashions the child can only account for such an outcome by calling it a sort of mutation (agone, para physin). But regularity counts for something. It is odd when an event that may approach or exceed 50% is called a mutation. This turns the entire idea of mutation (a statistical anomaly) on its head.

Galen approaches the issue with a balanced approach beginning with anatomical observations. Galen did some of the most extensive work in the ancient world on the study of the female anatomy (albeit mostly upon apes, On Anatomical Procedures, I.2). Galen’s observation of a fluid in the horns of the uterus (Kühn IV, 594, 600-601) were the basis of his (mistaken) view that he had discovered female seed. However, in the midst of this mistake he was on the right track in viewing the ovaries as analogous to the male testes.

The point in this second example is that Galen wanted to combine his observations gained in dissections of apes to his pronouncements vis-à-vis the debate concerning “one seed conception” vs. “two seed conception.” This commitment to integrating observation and theory contributed to making Galen a towering figure in medicine and the philosophy of science.

5. Select Bibliography

Primary Texts

  • Galeni Opera Omnia. Basel: Par’Andrea to Kratandro, 1538.Kühn, C.G. Galeni Opera Omnia. Leipzig: C. Cnobloch, 1821-1833, rpt. Hildesheim, 1965.
    • This is still the standard edition though it is very gradually being supplanted by the Corpus Medicorum Graecorum Leipzig, 1914-present.

Key Texts in Translation

  • Abhandlung darüber, dass der vorzügliche Arzt Philosoph sein muss. [Quod optimus medicus sit idem philosophus] translated by Peter Bachmann. Göttingen: Vanderhoeck & Ruprecht, 1996.L’Áme et ses passions: Les passions et les erreurs de l’áme. Translated and notes by Vincent Barras. Paris: Les Belle Lettres, 1995.
  • Galen on Antecedent Causes. Edited and translated with introduction and commentary by R.J. Hankinson. Cambridge: Cambridge University Press, 1998.
  • Galen on Bloodletting. Translated by Peter Brain. Cambridge: Cambridge University Press, 1986.
  • Galen on Food and Diet. Translated and notes by Mark Grant. London: Routledge, 2000.
  • Galen’s Institutio logica. Translated with commentary by John Spangler Kieffer. Baltimore: Johns Hopkins University Press, 1964.
  • Galen on Language and Ambiguity (De captionibus). Translated with commentary by Robert Blair Edlow. Leiden: Brill, 1977.
  • Galen on the Natural Faculties. Translated by Arthur John Brock. London: Heineiman, Ltd., 1952. Loeb series.
  • Galen on the Usefulness of the Parts of the Body {De usu partium). Translated with commentary by Margaret Tallmadge May. Ithaca, NY: Cornell University Press, 1968.
  • Galen, The Therapeutic Method: Books 1 & 2 (De methodo medendi). Edited and translated by R.J. Hankinson. Oxford: Clarendon Press, 1991.

Selected Secondary Sources

  • Barnes, Jonathan. “A Third Sort of Syllogism: Galen and the Logic of Relations” in Modern Thinkers and Ancient Thinkers. R. W. Sharples, ed. Boulder, CO: Westview Press, 1993.Boylan, Michael. “Galen’s Conception Theory” Journal of the History of Biology 19.1 (1986): 44-77.
  • Boudon-Millot, ed, fr. tr. Introduction génerale; sur ses propres livres que l’excellent médecin devienne philosophe. Paris: Les Belles Lettres, 2007.
  • Boudon-Millot, And Alessia Guardasole, and Caroline Magdelaine, eds. La science médicale antique: nouveaux regards: etudes reunites en l’honneur de Jacques Jouanna. Paris: Beauchesne, 2007.
  • Boylan, Michael. “Galen on the Blood, Pulse, and Arteries” Journal of the History of Biology 40.2 (2007): 207-230.
  • Boylan, Michael. “The Hippocratic and Galenic Challenges to Aristotle’s Conception Theory” Journal of the History of Biology 15.1 (1984): 83-112.
  • Connell, Sophia. “Aristotle and Galen on Sex Difference and Reproduction: A New Approach to an Ancient Rivalry.” Studies in History and the Philosophy of Science. 31-a.3(2000):405-427.
  • Cosans, Christopher E. “The Experimental Foundations of Galen’s Teleology” Studies in History and Philosophy of Science. 29A.1 (1998): 63-90.
  • Crombie, A. C. Augustine to Galileo. Vol. 1. London: Heinemann, 1961.
  • DeLacy, Philip. “Galen’s Platonism” American Journal of Philology. 93 (1972): 27-39.
  • Durling, Richard. A Dictionary of Medical Terms. Leiden: Brill, 1993.
  • Edelstein, Ludwig. Ancient Medicine. Baltimore, MD: Johns Hopkins University Press, 1967.
  • Farrington, B. Greek Science: Theophrastus to Galen. Baltimore, MD: Penguin, 1953.
  • Fischer, Klaus-Dietrich ed., Text and Tradition: Studies in Ancient Greek Medicine and its Transmission: Presented to Jutta Kollesch Leiden: Brill, 1998.
  • Frede, Michael. “The Empiricist Attitude toward Reason and Theory” Apeiron. 21 (1988): 79-97.
  • Freudiger, Jurg. “Methodus resolutiva: Antikes und Neuzeitliches in Jacopo Acontios Methodenschrift” Freiburger Zeitschrift für Philosophie und Theologie. 45.3 (1998): 407-446.
  • Gill, Christopher. “Galen vs. Chrysippus on the Tripartite Psyche in ‘Timaeus’ 69-72” in Interpreting the ‘Timaeus-Critias. Tomas Calvo ed. Sankt Augustin: Academia: 1997.
  • Gill, Christopher. “Did Chrysippus Understand Medea?” Phronesis. 28.2 (1983): 136-149.
  • Hankinson, R. J. “Actions and Passions” in Passions and Perceptions. Martha Nussbaum, ed. Cambridge: Cambridge University Press, 1993.
  • Hankinson, R.J. The Cambridge Companion to Galen. Cambridge: Cambridge University Press, 2008.
  • Hankinson, R. J. “Galen’s Anatomy of the Soul” Phronesis 36.3 (1991): 197-233.
  • Hankinson, R. J. “A Purely Verbal Dispute? Galen on Stoic and Academic Epistemology” Revue Internationale de Philosophie. 45.178 (1991): 267-300.
  • Hankinson, R. J. “Evidence, Externality and Antecendence: Inquiries Into Later Greek Causal Concepts.” Phronesis 32.1 (1987): 80-100.
  • Hankinson, R. J. “Causes and Empiricism: A Problem in the Interpretation of Later Greek Medical Method.” Phronesis 32.4 (1987): 329-348.
  • Kagan, Jerome, Nancy Snidman, Doreen Ardus, J. Steven Rezinck. Galen’s Prophecy: Temperament in Human Nature. NY: Basic Books, 1994.
  • Kember, O. “Right and Left in the Sexual Theories of Parmenides” Journal of Hellenic Studies. 91 (1971): 70-79.
  • Kidd, I. G. “Posidonius on Emotions” in Problems in Stoicism. A. A. Long, ed. London: Athlone, 1971.
  • Kollesch, Jutta. Galen über das Riechorgan. Berlin: Akademie-Verlag, 1964.
  • Kollesch, Jutta and Diethard Nickel, eds. Galen und das hellenistische Erbe. Stuttgart: Franz Steiner, 1993.
  • Kudlien, Fridolf and Richard J. Durling. Galen’s Method of Healing. Leiden: E.J. Brill, 1991.
  • Lloyd, G.E.R. Methods and Problems in Greek Science. Cambridge: Cambridge University Press, 1991.
  • Lloyd, G.E.R. Greek Science After Aristotle. New York: Norton, 1973.
  • Lloyd, G.E.R. “Parmenides’ Sexual Theories: A Reply to MER Kember” Journal of Hellenic Studies. 92 (1972): 178-179.
  • Lumpe, Adolf. “Der logische Grundgedanke der vierten Schlussfigur.” Prima Philosophia. 11.4 (1998): 397-404.
  • Lumpe, Adolf. “Zur Anordnung der Pramissen des kategorischen Syllogismus bei Albinos, Galenus und Pseudo-Apuleius” Prima Philosophia 8.2 (1995): 115-124.
  • Mansfield, Jaap. “The Idea of the Will in Chrysippus, Posidonius, and Galen” Proceedings of the Boston Area Colloquium in Ancient Philosophy 7 (1991): 107-145.
  • Manuli, Paola. “Galien et le Stoicisme” Revue de Mataphysique et de Morale 97.3 (1992): 365-375.
  • Mowry, Bryan. “From Galen’s Theory to William Harvey’s Theory: A Case Study in the Rationality of Scientific Theory Change” Studies in History and the Philosophy of Science 16 (1985): 49-82.
  • Nutton, Vivian. Ancient Medicine. London: Routledge, 2004.
  • Nutton, Vivian. “The Chronology of Galen’s Early Career” Classical Quarterly 23 (1973): 158-171.
  • Nutton, Vivian. (ed.) Galen: Problems and Prospects. London: Wellcome Institute, 1981.
  • Nutton, Vivian. “Galen ad multos annos” Dynamis 15 (1995): 25-39.
  • Rescher, Nicholas. Galen and the Syllogism: An Examination of the Thesis that Galen Originated the Fourth Figure of the Syllogism in Light of New Data from the Arabic. Pittsburgh, PA: University of Pittsburgh Press, 1996.
  • Sarton, George. Galen of Pergamon. Lawrence, KS: University of Kansas Press, 1954.
  • Siegel, Rudolph. Galen’s System of Physiology and Medicine. Basel: Karger, 1968.
  • Smith, Wesley. The Hippocratic Tradition. Ithaca, NY: Cornell University Press, 1979.
  • Temkin, Owsei. Galenism: The Rise and Decline of a Medical Philosophy. Ithaca, NY: Cornell University Press, 1973.
  • Tieleman, Teun. “Plotinus on the Seat of the Soul: Reverberations of Galen and Alexander in Enn. IV, 3 27ESS, 23.” Phronesis. 43.4 (1998): 306-325.

Select Proceedings of Conferences on Galen

1981 English

  • Nutton, Vivian, Galen : Problems and Prospects. London: Wellcome Institute for the History of Medicine, 1981.

1982 English

  • Kudlien, F., & Durling, R. J. Galen’s method of healing : Proceedings of the 1982 Galen Symposium. Paper presented at the Galen Symposium (1982 : Christian-Albrechts Universität); Studies in Ancient Medicine,; v. 1, 205. Leiden: Brill, 1991.

1986 3rd Italian

  • Manuli, P., & Vegretti, M. (1988). Le Opere Psicologiche di Galeno : Atti del terzo Colloquio Galenico Internazionale, Pavia, 10-12 Settembre 1986. Paper presented at the Colloqio Galenico Internazionale (3d : 1986 : Pavia, Italy); Elenchos (Bibliopolis (Firm)) 13,

1989 4th German

  • Kollesch, J., Nickel, D., Humboldt-Universität zu Berlin, & Institut für Geschichte der Medizin. (1993). Galen und das Hellenistische Erbe : Verhandlungen des IV. Internationalen Galen-Symposiums veranstaltet vom Institut für Geschichte der Medizin am Bereich Medizin (charité) der Humboldt-Universität zu Berlin 18.-20. September 1989. Paper presented at the Galen Symposium (4th : 1989 : Humboldt-Universität Zu Berlin); Sudhoffs Archiv.; Beihefte,; Heft 32,

1995 5th English

  • Debru, A. (1997). Galen on Pharmacology : Philosophy, history, and medicine : Proceedings of the Vth International Galen Colloquium, Lille, 16-18 March 1995. Paper presented at the International Galen Colloquium (5th : 1995 : Lille, France); Studies in Ancient Medicine,; v. 16, 336. Leiden: Brill, 2007.

1988 Spanish

  • López Férez, J. A. (1991). Galeno, obra, pensamiento e influencia : Coloquio internacional celebrado en Madrid, 22-25 de marzo de 1988. Madrid : Universidad Nacional de Educación a Distancia, 1991.

2002 Italian

  • Garofalo, I., Roselli, A., Fischer, K., Galen, On the therapeutic method, & Book III. (2003). Galenismo e Medicina Tardoantica : Fonti greche, latine e arabe : Atti del Seminario Internazionale di Siena, Certosa di Pontignano, 9 e 10 Settembre 2002. Paper presented at the Annali Dell’Istituto Universitario Orientale Di Napoli.; Sezione Filologico-Letteraria.; Quaderni,; 7,

2002 English

  • Nutton, Vivian. The Unknown Galen. London : Institute of Classical Studies, School of Advanced Study, University of London, 2002.

Author Information

Michael Boylan
Email: michael.boylan@marymount.edu
Marymount University
U. S. A.