Backward Causation

Sometimes also called retro-causation. A common feature of our world
seems to be that in all cases of causation, the cause and the effect
are placed in time so that the cause precedes its effect temporally.
Our normal understanding of causation assumes this feature to such a
degree that we intuitively have great difficulty imagining things
differently. The notion of backward causation, however, stands for the
idea that the temporal order of cause and effect is a mere contingent
feature and that there may be cases where the cause is causally prior
to its effect but where the temporal order of the cause and effect is
reversed with respect to normal causation, i.e. there may be cases
where the effect temporally, but not causally, precedes its cause.

The idea of backward causation should not be confused with that of
time travel. These two notions are related to the extent that both
agree that it is possible to causally affect the past. The difference,
however, is that time travel involves a causal loop whereas backward
causation does not. Causal loops for their part can only occur in a
universe in which one has closed time-like curves. In contrast,
backward causation may take place in a world where there are no such
closed time-like curves. In other words, an ordinary system S
taking part in time travel would preserve the temporal order of its
proper time during its travel, it would keep the same time sense during
its entire flight (a watch measuring S’s proper time would
keep moving clockwise); but if the same system S were to
become involved in a process of backward causation, the order of its
proper time would have to reverse in the sense that the time sense of
the system would become opposite of what it was before its back-in-time
travel (the watch will start to move counter-clockwise). So neither
backward causation nor time travel logically entails each other and
time travel is distinct from back-in-time travel.


1. History

The philosophical debate about backward causation is relatively new.
Only little consideration of the problem can be found in the
philosophical literature before Michael Dummett and Anthony Flew
initiated their discussion in the mid 1950s. The reason for this is
twofold. No empirical phenomena seem to demand a notion of backward
causation for our understanding of them. And for a long time it was
thought that such a notion involved either a contradiction in terms or
a conceptual impossibility. David Hume’s definition of the cause as the
one of two events that happens before the other thus rules out that the
cause can happen after its effect. Moreover, according to Kant’s idea
of synthetic a priori truth the claim that the cause temporally
precedes its effect was considered to state such a truth. In 1954
Michael Dummett and Anthony Flew had a discussion about whether an
effect can precede its cause. Dummett defended the idea whereas Flew
argued that it involved contradictions in terms.

Two years later, Max Black (1956) presented an argument against
backward causation, which became known as the bilking argument, and
later attempts to meet the argument seemed to generate all kinds of
paradoxes. Imagine B to be earlier than A, and let
B be the alleged effect of A. Thus we assume that
A causes B even though A is later than
B. The idea behind the bilking argument is that whenever
B has occurred, it is possible, in principle, to intervene in
the course of events and prohibit A from occurring. But if
this is the case, A cannot be the cause of B; hence,
we cannot have backward causation. Since then philosophers have debated
the effectiveness of the bilking argument in particular and, in
general, the validity and the soundness of the concept of backward
causation.

In the 1960s and 1970s, physicists began to discuss the
possibilities of particles travelling with a speed greater than light,
the so-called tachyons, and as a consequence a similar debate about
paradoxes involving backward causation arose among them. In case
superluminal particles, like tachyons, exist and could be used to
generate signals, it seemed possible to communicate with the past
because tachyons going forward in time with respect to one set of
reference frames would always be seen as travelling backwards in time
from another set of reference frames.

2. Philosophy

A general notion of backward causation raises two sets of questions:
those concerning conceptual problems and those that relate to empirical
or physical matters. Among the first sets of questions that require a
satisfactory answer are the following:

(i) Can metaphysics provide a notion of time that allows that
the effect precede its cause?
A proper notion of backward
causation requires a static account of time in the sense that there is
no objective becoming, no coming into being such that future events
exist on the par with present and past events. It means that the future
is real, the future does not merely consist of unrealised possibilities
or even nothing at all. Ordinarily we may think of the past as a
nothing that once was a something. But when asked what makes sentences
about the past true or false, we would probably also say that it is the
facts of the past that make present sentences about the past either
true or false. The fact that I went to the cinema yesterday makes it
true today when I say that I went to the cinema yesterday. This view is
a realist one with respect to the past. If backward causation is to be
conceptually possible it forces us to be realists with respect to the
future. The future must contain facts, events with certain properties,
and these facts can make sentences about the future true or false. Such
a realist account is provided by static and tenseless theories of time.
A static theory holds that the participation of time into the past, the
present and the future depends on the perspective we human beings put
on the world. The attribution of pastness, presentness and futureness
to events is determined by what we take to exist at times earlier than
and times later than the time of our experience.

(ii) Does backward causation mean that a future cause is
changing something in the past?
Even most protagonists consider it
an unwarranted consequence that the notion, if true, involves the idea
that the future is able to change the past. Their answer has therefore
usually been that if we have the power to bring something about in the
past, what came about really already existed when the past was present.
We have to make a distinction between changing the past so it becomes
different from what it was and influencing the past so it becomes what
it was. A coherent notion of backward causation only requires that the
future is able to have an influence on what happens in the past.

(iii) Can the cause be distinguished from its effect so that the
distinction does not depend on a temporal ordering of the events?

The adherents have usually tried to give an account of causation in
which the cause and the effect are not seen as regularities between
types of events. What is required is some account of the direction of
causation which does not rely on the direction of time. Various
alternative proposals refer to counterfactuals, probabilities, agents,
manipulation and intervention, common cause or causal forks. It is,
apparently, only a Humean notion of causation that needs the temporal
identification of the cause and the effect. But there are also problems
with some of the other accounts; for example, the Stalnaker-Lewis
theory of counterfactual has difficulties with backtracking
counterfactuals and backward causation because if c occurs
later than e, the proposed method of truth evaluation assumes
that e occurs in the relevant possible worlds in which
c does not occur. In general, the assessment of a
counterfactual conditional is carried out by assuming that the possible
world should be identical with the actual world up to c;
therefore, it is stipulated that the closest possible world is one in
which everything happens just as in the actual world up to the time of
c’s occurrence which means, given e occurs
before c, that it will include the occurrence
of e. But then it is necessarily true that there is never a
possible world closer to the actual world which includes c
but not e. This creates a problem because we consider any
causal connection between c and e as contingent.

(iv) Can the bilking argument be challenged in such a way that
the mere possibility of intervention does not generate any serious
paradoxes?
The force of the bilking argument can, it seems, be
weakened in various ways. First, one may hold that it is not a problem
for our notion of backward causation that we can in principle intervene
in the course of the events. If we actually do so and prevent
A after B has occurred, then of course a particular
later A (which does not exist) cannot be the cause of a
particular earlier B (which exists). But in all those cases
where nobody actually intervenes, events of the same type as A
may be the cause of events of the same type as B. This is not
different from what can happen in some cases of forward causation.
Assume that P causes Q in the relevant circumstances.
We may still prevent a particular P from happening, but at the
same time a particular Q may nevertheless occur because in the
given circumstances it is caused by another event than P.
Second, if a later event A really causes an earlier one
B, then it would be impossible to intervene into the cause of
the event after B has happened and therefore impossible to
prevent A from happening. If someone tries, she will by all
means fail. It may intuitively sound strange as long as we think of
backward causation as consisting of something we can control directly
by our everyday actions. But if backward causation is a notion that is
applicable only to processes that human beings are unable to control in
any foreseeable way the notion would not provoke our intuitions so
much.

3. Paradoxes

Of all the philosophical problems to which backward causation (and
time travel) gives rise, the paradoxes are those that have generated
the most heat in both physics and philosophy because, if they are
valid, they exclude backward causation from being both metaphysically
and logically possible. The paradoxes can grossly be divided into two
kinds: (1) Bootstrap paradoxes involve a causal or information loop;
(2) Consistency paradoxes involve generating a possible inconsistency.
So if backward causation (and time travel) should be logically
possible, one has to show that the paradoxes can be resolved and that
therefore arguments based on them are invalid.

3.1 The Bootstrap Paradoxes

The bootstrap paradoxes arise in cases where you have a causal chain
consisting of particular events in which a causes b,
b causes c, and c causes a. The
problem here is that the occurrence of a presupposes the
occurrence of c; in other words, the cause presupposes its
effect. But how can something be required of what itself requires?
Indeed this seems paradoxical. Some philosophers therefore think that
this makes the idea of causal loops incoherent. Hugh Mellor (1991) even
believes that “the possibility of causal loops can be excluded a
priori, and so therefore can the closed timelike paths entailed by
closed time, backward time-travel and all kinds of backward causation.”
(p. 191). His proof goes like this. Take four chains of events. Each of
them consists of three particular events a, b, and
c, all different tokens of the same kind of events A,
B and C. We then construct the chain such that

  1. bca
  2. ~b ⇒ ~c ⇒ ~a
  3. bc ⇒ ~a
  4. ~b ⇒ ~ca

The first two sequences may be called G-chains and the other two
H-chains. Moreover, Mellor assumes that all tokens of A,
B and C are distributed among the four chains so that
the number of chains is exactly the same, namely one fourth of the
sequences. Mellor then defines a causal relation between two singular
events a and b in terms of a situation k
which makes b more likely to occur given a than
without a, i.e., P(b|a) >
P(b|~a). But we can see that the number of chains in
which b is combined with a is equal to the number of
chains in which b is not combined with a. In fact we
have that P(b|a) = P(~b|~a) =
P(b|~a) = P(~b|a). From this it
follows that a particular b’s chance in k cannot
increase with respect to a compared to its chance without
a. Hence a cannot affect b, and therefore
causal loops are impossible.

Some philosophers have not found this argument very convincing. Faye
(1994) has pointed to the following problematic issues. First, Mellor
measures the probability of singular events (propensities) instead of
the probability of a certain kinds of events. Second, he does not
differentiate between circumstances in which a B is followed
by an A and those in which a B is not followed by an
A. The argument is valid only if it can be proved, and not be
stipulated, that (1) and (3) happen surrounded by the same facts. Many
people would say that in a world of (1) must be different from a world
of (3) in some other important respects than merely containing
a or ~a, especially since Mellor claims that the
argument is valid for deterministic situations as well. Third, the
equal distribution of the various chains seems quite selective. In
Mellor’s G&H world, in which the number of the four chains is
equal, and therefore in which the probabilities are equal, there cannot
be any causal relationship between the individual b and the
individual a due to the fact that the occurrence of a
or ~a happens under exactly the same circumstances given
b. Finally, fourth, it seems appropriate to claim that any
negative argument, like Mellor’s, should be able to show that what
holds true of one world can be proved to hold true of every other world
similar in all relevant respects, but in which G-chains and H-chains
are not equally distributed.

It is clear that any world which contains G-chains rather than
H-chains does not show the same inconsistency as Mellor’s G&H-world
does. If it can be proved that causal loops in such worlds are
consistent with the adopted definition, then causal loops are possible.
In other words, if we set up a consistent model in which A
increases the probability of B, and B increases the
probability of A, we have then proven that causal loops are
possible and that Mellor’s argument is invalid. The claim is therefore
that both (i) P(A|B) > P(A|~B)
and (ii) P(B|A) > P(B|~A), can
be shown to be true with respect to a world containing As and
Bs. Assume the following probabilities, which hold for the
distributions among A, ~A, B, and
~B, are P(A&B) = 0.7 and
P(A&~B) = P(~A&B) =
P(~A&~B) = 0.1. On the basis of the definition of
the conditional probability, we get P(A|B) =
P(A&B)/P(B) = 7/8;
P(A|~B) =
P(A&~B)/P(~B) = 1/2;
P(B|A) = P(A&B)/P(A) =
7/8; and P(B|~A) =
P(~A&B)/P(~A) = 1/2. Thus (i) and (ii)
are both true with respect to the stated world; hence we have proven,
according to Mellor’s own definition of causality, that it is
consistent to talk about causal loops. Mellor has not been able to
establish any satisfying a priori argument against causal loops or
backwards causation.

Moreover, even if one assumes that Mellor were correct in ruling out
causal loops a priori, he may be wrong in holding that this
impossibility entails the impossibility of time travel as well as
backward causation. Mellor’s argument presupposes that it is the same
kind of processes obeying the same kind of macroscopic physical laws
which enters into both the forward and backward part of the causal
loop. This assumption may hold for time travel but not for backward
causation.

3.2 The Consistency Paradoxes

The consistency paradoxes arise when you, for instance, try to kill
your younger self by a backward causal process but evidently have to
fail. The reason why you must fail is quite obvious. Your younger self
belongs to the past and therefore, since you cannot change the past,
you cannot commit retro-suicide. This answer tacitly assumes that
resurrection is impossible. You may, of course, kill your younger self
in the past without changing the past if you have come alive again
later on. This is not what is paradoxical. What is paradoxical is the
fact that you are assumed to be able to kill your younger self in the
sense that you are well-equipped to make these kinds of retro-killings,
you may even be targeting your younger self, but you must always miss.
The same holds, indeed, for all those people who stay alive into the
present. You cannot retro-kill somebody yesterday who is alive today.
There must be certain constraints which prohibit you from making
retro-suicide or retro-killing, and these constraints may be very
local, changing from case to case, or they may be universal in nature
depending on some physical laws. So, on the one hand, the assumption is
that it physically possible for you to kill somebody in the past; but,
on the other hand, it is physically impossible for you to do what is
physically possible. This is the paradox.

A way out of the paradox was suggested by David Lewis (1976) who
argued that the ability of killing somebody should be understood as a
possibility compossible with the relevant fact. As an opera singer,
for example, you are able to sing operas, since you have the physical
capacity and training to do so, but because of a temporary loss of
voice, you cannot hum a single tune. What you can do relative to one
set of facts, is something you cannot do relative to another set of
facts. This contextual solution explains why you are able to
retro-kill your younger self, given the fact that your gun is in
proper working-order, you have a good aim at your target, and no one
forces you to abstain from taking action. But it also explains why you
are unable to retro-kill anybody who is alive today because you cannot
change the past. The consistency paradox exists only in virtue of an
equivocation of a context-sensitive ‘can’, and if we
notice that, we see that the paradox vanishes like dew before the
sun.

Some may reply that we are still talking about different abilities.
In contrast to the case in which the opera singer sometimes cannot
sing, your attempt to carry out retro-suicide inevitably fails. The
opera singer is able to sing operas because he has shown it before and
can demonstrate it again, but the attempted retro-killer has not proved
and can never prove his ability. Therefore you are never in a situation
where you can kill your younger self. If we accept this objection, we
may reformulate the solution by saying that the contextual solution
explains why you should be able to retro-kill your younger self under
the appropriate circumstances. But, again, how can we talk about the
ability to make retro-suicide relative to certain facts at all, if
there are no possible worlds in which you carry out your deed. It seems
reasonable to say that you have the ability to do something if there is
a possible world in which you carry out this action. This is true of
the opera singer. He can sing operas because he does it in a possible
world in which he has not lost his voice. But you cannot make
retro-suicide because there is no possible world in which you kill your
younger self. You are unable, even in principle, to do so.

In sum, the consistency paradox is no paradox as long as you do not
insist on changing the past. You are unable to change the past, and
therefore you are unable to retro-kill anybody who is alive when you
try to kill them. The paradox seems to arise only because you wrongly
believe that you are able to do something you are unable to do.

Now if there is no paradox on the conceptual level, what then is it
that makes retro-suicide physically impossible? It could be either
local facts or global facts. Local facts that could constrain your
action of retro-killing are many. Your hand was shaking while firing
your gun, you got a fly in your eye, you were disturbed by a cat, you
just fainted, etc. These constraining facts seem reasonable by
themselves; they could have happened independently of your overall
capacity of killing somebody in the past, but also in the actual
situation interact with your ability and turn the action into an
unsuccessful event. The problem is merely that such an explanation
looks suspicious. It is a general fact that we cannot retro-kill
anybody who is alive after the time the death purportedly took place.
Likewise it is a general fact, assuming that backward causation (or
time travel) is physically possible, that we can retro-kill anybody who
is not alive after the time the purported death took place. But the
explanation of a general fact requires an appeal to a general fact or a
law of nature. Thus a reference to a singular contingent fact to
explain why you never succeed in killing your younger self seems not to
fulfil the requirement of being an explanation.

The problem may be better understood in following way: each time you
try to retro-kill somebody who is not alive after the time the
purported effect of killing took place, your assassination may still
fail because of your hand was shaking, etc. Such particular facts
explain why you actually missed the target which you in principle were
able to hit. But to say that you are in principle able to perform
retro-killing means that there are laws of nature that normally allow
you to perform such an action in the appropriate circumstances.
Similarly, each time you try to retro-kill somebody who is alive after
the purported death took place, you may fail for one reason or another.
But you must always fail to retro-kill somebody who is alive after you
did your action, i.e. you are in principle unable to retro-kill such a
person. In those cases it is physically impossible for you to kill,
say, your younger self. It seems, therefore, that there should be some
laws of nature, working on either a local level or a global level,
which violate such an action and makes it physically impossible.

A possible solution may be found in a recent result which shows that
the most basic features of quantum mechanics may ensure that we could
never alter the past, even if it should be possible to interact with
the past. The two physicists, Daniel Greenberger and Karl Svozil
(2005), imagine some form of quantum mechanical feedback by introducing
figurative beam splitters which are unitary, i.e., the splitters allow
the feedback loop to be reversed because they have the same number of
entry ports and exit ports. From quantum mechanics we know that an
object may behave like a wave and that some unitary operator describes
the propagation of a physical system. The system is represented by a
wave function, also referred to as a path, and the time evolution of
the system is calculated as a sum over all possible paths from the
initial state to the final state. This calculation is usually
restricted to the forward direction of time. Now, if we think of some
of the paths as unfolding backwards in time, Greenberger and Svozil are
able to prove that either the forward and the backward component paths
of the loop cancel out, or that the propagator, which establishes the
feedback in time, “wipes out the alternative possible futures, thus
guaranteeing the future that has already happened.” Thus, if you could
aim at something in the past, the laws of nature prohibit you to act in
ways that are in conflict with what makes the future what it is (what
it already turned out to be). The authors’ conclusion is that if you go
back in time or effect “the past quantum mechanically, you would only
see those alternatives consistent with the world you left behind
you.”

4. Physics

The notion of backward causation raises a very different set of
questions that need to be answered before a physically adequate notion
has been developed.

  1. What, if anything, would in physical terms characterize
    backward causation?

One has to remember that causality as such is
an everyday notion that has no natural application in physics. How we
could physically identify backward causal processes depends very much
on which feature we take our ordinary notion of causation to apply to a
physical process. In physics we may be tempted to associate it with
different physical notions of processes. Four suggestions have been put
forward: (a) the causal link can be identified with the transference of
energy; (b) it can be identified with the conservation of physical
quantities like charge, linear and angular momentum; (c) it can be
identified with interaction of forces; or (d) it can be identified with
the microscopic notion of interaction. It appears with respect to all
four suggestions, however, that the involved descriptions are invariant
under the time reversal operation.

The most fundamental laws of nature are time reversal invariant in
the sense that our physical theories allow description of the
fundamental reactions and processes in terms of the time reversed
order. Such processes are said to be reversible in time. Maxwell’s
theory of electromagnetism, for instance, admits two kinds of
mathematical solutions for the equations describing the radiation of
energy in an electromagnetic field. One is called the retarded
solution where radiation appears as outgoing concentric waves, the
other is named the advanced solution according to which
radiation appears as incoming concentric waves.   Apparently the
advanced solution describes the temporal inverse phenomena of the
retarded solution so that these two solutions are usually regarded as
the time reverse solution of the other. Nevertheless, retarded waves,
like the increase of entropy in quasi-closed systems, appear to be
de facto irreversible although they are described in terms of
time invariant laws. Nature seems to prefer certain processes rather
than their temporally inversed counterparts in spite of the fact that
the laws of nature do not show such a preference. Light, radiation and
ripples on a pond always spread outwards from their source rather than
inwards just like entropy of a quasi-closed system is always moving
from lower to higher states.

4.1 The Wheeler-Feynman Absorber Theory

Why do we not see any advanced waves in nature? Wheeler and Feynman
(1945) came up with an answer. If we assume, they said, that radiation
from an isolated accelerated charged particle is equally retarded and
advanced, that is half retarded and half advanced to be exact, we can
explain why it appears to be fully retarded in terms of the influence
distant absorbers make on the source. The absorber consists of charged
material that reacts with the source field by radiating with half
retarded and half advanced waves. It is this half advanced field of the
charged particles of the absorber which is added to the half retarded
field of the source. The advanced waves of the absorber interfere
constructively with the retarded waves of the source, whereas the same
waves cancel out the advanced waves of the source in a destructive
interference. Thus one of the consequences of Wheeler and Feynman
Absorber Theory is the idea that emitters are intrinsically symmetric,
another is that there is no intrinsic difference between so-called
emitters and so-called absorbers. In other words, if this theory is
true we have to conclude that radiation from a source is a time
symmetric process but the presence of an absorber makes it
asymmetric.

The Wheeler-Feynman theory takes for granted that outgoing,
expanding waves are identical with retarded radiation and incoming,
contracting waves with advanced radiation. But is such identification
without any problems? Not quite. An example with retarded and advanced
emitters illustrates clearly why. Think of a stone being thrown
directly into the middle of a circular pond. The ripples move outwards
from the point where the stone hits the water (the source) in a
coherent, organized wave front and eventually reach the edges (the
absorber). Moreover, the source acts earlier than the absorber. 
What will the inverse process look like? It depends on how we
understand such a process, whether or not we consider a case that
includes a reversed source and a reversed absorber. (A) If they are
included, the edges of the pond will now act as the source and the
converging waves will eventually reach the middle of the pond. We may
create something like this if we dropped a big ring horizontally into
the pond. Inside the ring the waves would move inwards in an organized
wave front towards the centre.   In this case the source (the drop
of the ring) would still act earlier than the absorber (the ripples
meeting at the middle of the pond from all sides). (B) But if our
understanding of the inverse process does not include an exchange of
the source with the absorber and vice versa, then the ripples
reach the edges of the pond (the absorber) earlier than the stone
plunges into the water (the source). This is definitely not a state of
affairs we could bring about. Furthermore, if we were to observe such a
process, the ripples would seem to move inwards as contracting waves.
The problem is that both kinds of inverse processes would seem to
appear to us as organized incoming waves but one would be a case of
retarded radiation and the other of advanced radiation.

This may not be the only problematic assumption of the Wheeler and
Feynman theory. Huw Price (1996) has singled out other problems. Among
them is the question of how we may experience the difference between
retarded and advanced waves. When Wheeler and Feynman attributed to the
source a field of half retarded and half advanced waves, they assumed
that the field actually consists of retarded as well as an advanced
component. Price objects, however, that there is no measurable
difference between the two kinds of waves, and we cannot justify such a
distinction by an appeal to the nature of the source because both
emitters and absorbers can be associated with retarded as well as
advanced waves. Instead he believes that these components are
fictitious and that Wheeler and Feynman’s formalism merely offer two
different descriptions of the same wave. The problem of the asymmetry,
as he sees it, has nothing to do with the fact that transmitters are
associated with outgoing radiation rather than incoming radiation but
that transmitters are centered on organized outgoing wave fronts
whereas receivers are not centered on similar organized incoming wave
fronts.

4.2 Tachyons

When the discussion of tachyons began to appear in physics in the
1960s, it was soon noticed that such particles according to some frames
of reference were associated with negative energies going backwards in
time. To understand how, consider the trajectory of the same tachyon in
relation of three different reference frames, S, S*,
and S** in the Minkowski-space. Now assume that A is,
in relation to S, the emission of a tachyon at
t1 and B is the absorption of the tachyon
at t2. According to an observer in S,
A will be earlier than B and the tachyon will carry
positive energy forward in time. Nevertheless it is always possible to
select a reference frame S* in relation to which an observer
will see A happen simultaneously with B and yet
another reference frame S** in relation to which an observer
sees A happens at t2** whereas B
happens at t1**. According to the observer in
S**, A will take place later than B and the
tachyon carries negative energy backwards in time (See Figure 1).

spacetime diagram of tachyon
Figure 1

In Figure 1 the planes represent the hypersurfaces of simultaneity.
In relation to frame S the taychon source is at rest, and a
tachyon is emitted at event A, with a superluminal but finite
velocity. The absorption of the tachyon, event B, will
accordingly occur later than A in relation to the observer in
S, and the arrow of trajectory is for that reason pointing
into the future above the hypersurface passing through A and
standing perpendicular to the world-line of the source. But neither
with respect to the frame S* nor S** is the tachyon
source at rest and the hypersurfaces are therefore tilted in relation
to the arrow of trajectory. An observer in S* observes the
tachyon to have infinite speed, and therefore the hypersurface is
tilted so much that it coincides with the arrow. The observer in
S** is moving so fast with respect to the tachyon source that
the hypersurface becomes titled so much that the arrow points into the
past below the hypersurface.

E. Recami (1978) tried to avoid the idea that tachyons could move
backwards in time by introducing the so-called reinterpretation
principle according to which all negative energy tachyons should be
interpreted as if they have positive energy and move forward in time.
This would mean that the causal order of tachyons should not be
regarded objective since both A and B sometimes
denoted the emission and sometimes the absorption depending on the
frame of reference. There are, however, good reasons to believe that
this suggestion does not solve the problems it was intended to (Faye,
1981/1989).

4.3 Quantum Mechanics

Other physical candidates for backward causation can be founded in
the physics literature. Richard Feynman once came up with the idea that
the electron could go backwards in time as a possible interpretation of
the positron (Feynman, 1949). In fact he imagined the possibility that
perhaps there were only one electron in the world zig-zaging back and
forth in time. An electron moving backwards in time would carry
negative energy whereas it would with respect to our ordinary time
sense have positive charge and positive energy. But few consider this
as a viable interpretation today (Earman, 1967, 1976).

More recently, the Bell type experiments have been interpreted by some
as if quantum events could be connected in such a way that the past
light cone might be accessible under non-local interaction; not only
in the sense of action at a distance but as backward causation. One of
the most enticing experiments of this kind is the Delayed Choice
Quantum Eraser
designed by Yoon-Ho Kim et. al (2000). It is a
rather complicated construction. It is set up to measure correlated
pairs of photons, which are in an entangled state, so that one of the
two photons is detected 8 nanoseconds before its partner. The results
of the experiment are quite amazing. They seem to indicate that the
behavior of the photons detected these 8 nanoseconds before their
partners is determined by how the partners will be detected. Indeed it
might be tempting to interpret these results as an example of the
future causing the past. The result is, however, in accordance with
the predictions of quantum mechanics.

If we consider the notion of the entangled state in quantum mechanics,
we find that it is characterized as a unified, non-separable state due
to the help of the notion of superposition of possible states
represented by one common wave function for the correlated pair. Such
a superposition is neither distance-dependent nor
time-dependent. Therefore it is not surprising that based on the
correct predictions of quantum mechanics it is impossible to find
support of the violation of normal causation within this kind of
experiment. With reference to the philosophical discussion about
quantum mechanical entanglement, we can conclude that the experimental
results of this sort violate the principle of separability rather than
the principle of locality.

Phillippe Eberhard and Ronald R. Roos (1989) have etablished a theorem
which says that if quantum mechanics is correct, it is impossible to
use quantum effects to generate a break in the chain of normal
causation. Quantum field theory does not allow any superluminal
communication between different observers. Indeed,this is not so
strange, since quantum field theory is relativistically invariant
whereas superluminal frames of reference are not. But Eberhard and
Roos’ theorem does not rule out all forms of backward causation. Two
possible scenarios are still open: (1) entangled pairs exchange some
form of superluminal information (and energy) below the limits of
Heisenberg’s uncertainty relations; or (2) causation may be symmetrical
so that the direction of causation in a physical system is determined
by its boundary conditions.

Costa de Beauregard (1977, 1979), for instance, has
suggested that when a system of two photons in a singlet state is
measured by two observers in two regions separated by a space-like
distance, then it is precisely the act of observation that produces the
past of the measuring process in the sense that it influences the
source that emitted the two photons. de Beauregard’s idea is that the
element of reality being revealed in the formulation of the EPR paradox
is real only because it was created by actually performed acts of
observation that was propagated backwards in time with one of the two
correlated quantum objects from the measuring device to the source of
the photons. Several other philosophers and physicists have come
forward with similar ideas. The basic assumption behind all of them is
that in the micro-world we find only causal symmetry and this fact
together with proper boundary conditions can be used to give an
explanation of outcomes that seem otherwise paradoxical. Such quantum
correlation experiments can, however, be interpreted in many other
ways.

4.4 Two alternatives

These alleged examples of backward causation have one thing in
common. They are all based on the idea that fundamental physical
processes are by themselves symmetric in nature. Our ordinary notion of
causation does not track any nomological feature of the world. What
counts as the cause and the effect depends on the observer’s projection
of his or her temporal sense onto the world. So it is still an open
question how a coherent notion of backward causation can fit into this
general understanding of nature. The question we therefore have to
answer is the following:

  1. How can we distinguish between forward causation and
    backward causation if all basic physical processes are time symmetric
    according to our description of nature?

Two very different reactions to this problem seem possible.

4.4.1 Boundary Conditions

One proposal is to say that if we came across reversed cases of
de facto irreversible processes, such as running a film
backwards in which the cream converged in a coffee cup, such cases
should be interpreted as examples of backward causation (Price, 1996).
The point is here to argue that it is the absence of the right initial
or boundary conditions that makes backward causation so rare or nearly
empirically impossible. This interpretation is based on three basic
assumptions: (i) there is no objective asymmetry in the world, causal
processes are intrinsically symmetric in nature, or causation is
bidirectional, and therefore the fundamental processes of the
micro-world are temporally symmetric; (ii) causal asymmetry is
subjective in the sense that any attribution of an asymmetry between
cause and effect depends on our use of counterfactuals and our own
temporal orientation; (iii) backward causation, or advanced action, is
nonetheless possible because sometimes the correlation of certain past
events depends on the existence of causally symmetric processes and
some future boundary conditions. For instance, advanced actions in
electrodynamics require that the existence of transmitters in the
future are centered on organized incoming wave fronts; and advanced
actions in quantum mechanics require that their present states are in
part determined by the future conditions (measurements) they are to
encounter. This feature is then taken to explain Bell’s results in
quantum mechanics.

A simple consideration seems to support this interpretation. Think
of a particle travelling between two boxes. The normal observer and the
counter-observer who has an inverse time sense will describe the
exchange in conflicting terms. To the normal observer Box 1, say, will
be considered as the emitter because it loses energy before anything in
Box 2 happens. Therefore, Box 2 will be considered as the receiver
since it gains energy at a later time. So in relation to the normal
observer, the particle travels from Box 1 to Box 2. The
counter-observer, however, sees the situation with opposite eyes. In
relation to him, Box 2 loses energy and not until thereafter does Box 1
gain a similar amount of energy. Accordingly, in relation to the
counter-observer, the particle moves from Box 2 to Box 1. In other
words whether a box is considered to be an emitter or a receiver
depends on the observer’s time sense.

4.4.2 Nomic conditions

The other proposal denies that basic physical processes are time
symmetric and argues, in contrast, that the causal asymmetry is
objective and therefore that there exists an intrinsic difference
between the cause and the effect of all physical processes. Hence
backward causation should not be considered as a notion about boundary
conditions but as a notion concerned with processes that nomically
distinguish themselves from forward causal processes. Thus, if there
are processes in the world that might be seen as a manifestation of
backward causation, these are not to be depicted by a description that
leaves them to be time reversed cases of ordinary forward causal
processes (Faye, 1981/1989, 1997, 2002). This alternative
interpretation rests on a basic claim and four assumptions.

The fundamental claim is that for any observer it is possible to
identify experimentally the cause and the effect so that these remain
the same even in relation to counter-observers, i.e. observers having
the opposite time sense of ours. In support of this claim consider the
following thought experiment. Two boxes, each having a shutter, are
facing each other. Assume, ex hypothesis, that Box 1 is the particle
source and Box 2 is the particle receiver. The question is how a normal
observer and a counter-observer can come to agreement that particles
move from Box 1 to Box 2. The answer can be found through a series of
manipulations with the shutters, I would say. There are four possible
combinations of the two shutters: open-open, close-close, open-close,
close-open. Let us call any change of energy in Box 1, regardless of
whether it emits or receives a particle, A and, similarly, any
change of energy in Box 2 B. Whether A or B
stand for a gain or a loss of energy can be determined by weighing the
two boxes. (i) In case both boxes are closed, no particle will leave
Box 1 and no particle is received by Box 2, thus no gain or loss of
energy occurs, and both the normal observer and the counter-observer
see a situation of not-A, not-B. (ii) In case both
boxes are open a particle leaves Box 1 and is received by Box 2. Again
this can be observed by measuring the change of energy in the two
boxes. Thus the observers will see a situation of both A and
B. (iii) In case Box 1 is closed and Box 2 is open, they will
observe no change of energy in Box 1 (because it is closed) and, since
no particle is leaving Box 1, no particle will reach Box 2 although its
shutter is open. Hence the observers measure no energy change in this
box. Thus they see not-A and not-B. (iv) Finally, if
Box 1 is open and Box 2 is closed, a particle leaves Box 1, but none is
received by Box 2. In other words, there is a loss or a gain of energy
in Box 1, but no loss or gain of energy in Box 2. So the observers see
A and not-B. The upshot of this toy experiment is
that the normal observer as well as the counter-observer experience two
As but only one B, and one not-A but two
not-Bs; therefore both will agree that the particles move from
Box 1 to Box 2.

This means that what a normal observer identifies as a forward
causal process will be regarded as a backward causal process in
relation to the counter-observer in the sense that the very same event
acting as a past cause for the normal observer will act as a future
cause for the counter-observer. This indicates, too, that in relation
to a normal observer forward causation and backward causation cannot be
regarded as two different manifestations of nomologically reversible
(but de facto irreversible) processes since both
manifestations — the common process and the very improbable reversed
process — would develop forward in time. If this claim is true, it
implies that the description of physical processes should reflect such
an intrinsic asymmetry in a way that the nomic description varies
according to whether the process in question goes forward or backwards
in time. Moreover, we must also be able to distinguish theoretically
(and not only experimentally) between the normal observer’s report and
the counter-observer’s report of the same process by a separate
convention in respect to whether the process is forward moving or
backward moving. What we want is a characterization of every physical
process so that the invariance of cause and effect corresponds to
nomological irreversibility.

In order to establish a nomic, intrinsic distinction between forward
causal processes and backward causal processes one has to take
departure in four assumptions. (i) Process tokens and process
types are distinct in the sense that only process types are
reversible, process tokens are not. (ii) A normal observer will
describe causal processes propagating forward in time in terms of
positive mass and positive energy states pointing into her future

whereas she will describe the same tokens in terms of negative mass
and energy states pointing into her past
. This reflects two
possible solutions of the four-momentum vector in the theory of
relativity. (iii)Thus, one must distinguish between a passive
time reversal operation and an active time reversal operation.
The passive transformation is applied to the same process token by
describing it in terms of opposite coordinates and opposite
energy states. The active transformation, in contrast, brings about
another token of the same process type in virtue of some physical
translation or rotation of the system itself, both tokens having the
same energy sign pointing in the same direction of time. (iv) The
description in terms of positive mass and the possitive energy flow
corresponds to the intrinsic order of the propagation.

Now, let us try to apply the nomic interpretation to the above
consideration concerning the exchange of a particle between two boxes.
In relation to the normal observer who describes the particle in terms
of its positive energy component, it travels from Box 1 to Box
2 because Box 1 looses energy at an earlier time and Box 2 gains energy
at a later time. The same situation is by the counter-observer
described in terms of the particle’s negative energy component
as a situation where something happens in Box 2 before it happens in
Box 1. In relation to the counter-observer, Box 2 would not, as the
boundary interpretation suggests, loose energy. On the contrary, Box 2
would seem to gain energy, but the counter-observer would describe the
particle as a series of negative energy states reaching into his future
supposing the particle to be moving from Box 2 to Box 1 carrying
negative energy. But, as we have just argued, the particle really moves
from Box 1 to Box 2, from the counter-observer’s future into his past
carrying positive energy.

Consequently, the nomic interpretation holds that in relation to our
normal time sense the causal direction of ordinary processes is
identical with that of their reversed processes. In other words, take
two tokens of a nomologically reversible process type, say A
and B, and let B be the actively time reversed
process of A, then this interpretation claims that A
and B causally develop in the same direction of time. So,
according to this view, neither incoming, contracting electromagnetic
waves nor the decrease of entropy would count as examples of backward
causation as long as such processes involve ordinary types of matter,
i.e., matter that possesses positive mass and/or energy pointing, in
relation to our normal time sense, towards the future. The notion of
backward causation should instead be applied to matter of a different
type, particles that appear to have, according to usual conventions,
negative mass and/or energy pointing, in relation to our normal
time sense, towards the future but positive mass and/or energy pointing
towards the past
. Such advanced matter, if it exists, should be
distinguished from both ordinary retarded matter as well as tachyons by
always being described with respect to our time sense in terms of
negative mass and energy stretching forward in time. A consequence is
that a world in which advanced matter exists together with retarded
matter, and where advanced matter is able to interact directly with the
same amount of retarded matter, both would, in case they actually did
interact, annihilate without leaving any trace of energy.

How and whether the notion of backward causation has a role to play
in physics has yet to be seen. But as long as no common agreement
exists among philosophers and physicists about what in the physical
description of the world corresponds to our everyday notion of
causation, it would still be a matter of theoretical dispute what
counts as empirical examples of backward causation.

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Other Internet Resources

  • Greenberger, D.M. & Svozil, K. (2005),
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    D.M. Greenberger and K. Svozil, in Between Chance and Choice,
    ed. by H. Atmanspacher and R. Bishop, Thorverton England: Imprint
    Academic, 2002, pp. 293–308.

Related Entries

causation: causal processes |
space and time: being and becoming in modern physics |
time |
time travel: and modern physics

Acknowledgments

Thanks to John Norton for his editorial suggestions and for his drawing
of Figure 1.

Dewey’s Moral Philosophy

John Dewey (1859–1952) lived from the Civil War to the Cold War, a
period of extraordinary social, economic, demographic, political and
technological change. During his lifetime the United States changed
from a rural to an urban society, from an agricultural to an
industrial economy, from a regional to a world power. It emancipated
its slaves, but subjected them to white supremacy. It absorbed
millions of immigrants from Europe and Asia, but faced wrenching
conflicts between capital and labor as they were integrated into
the urban industrial economy. It granted women the vote, but resisted
their full integration into educational and economic institutions. As
the face-to-face communal life of small villages and towns waned, it
confronted the need to create new forms of community life capable of
sustaining democracy on urban and national scales. Dewey believed that
neither traditional moral norms nor traditional philosophical ethics
were up to the task of coping with the problems raised by these
dramatic transformations. Traditional morality was adapted to
conditions that no longer existed. Hidebound and unreflective, it was
incapable of changing so as to effectively address the problems raised
by new circumstances. Traditional philosophical ethics sought to
discover and justify fixed moral goals and principles by dogmatic
methods. Its preoccupation with reducing the diverse sources of moral
insight to a single fixed principle subordinated practical service to
ordinary people to the futile search for certainty, stability, and
simplicity. In practice, both traditional morality and philosophical
ethics served the interests of elites at the expense of most
people. To address the problems raised by social change, moral
practice needed to be thoroughly reconstructed, so that it contained
within itself the disposition to respond intelligently to new
circumstances. Dewey saw his reconstruction of philosophical ethics as
a means to effect this practical reconstruction.

Dewey’s ethics replaces the goal of identifying an ultimate end or
supreme principle that can serve as a criterion of ethical evaluation
with the goal of identifying a method for improving our value
judgments. Dewey argued that ethical inquiry is of a piece with
empirical inquiry more generally. It is the use of reflective
intelligence to revise one’s judgments in light of the consequences of
acting on them. Value judgments are tools for enabling the
satisfactory redirection of conduct when habit no longer suffices to
direct it. As tools, they can be evaluated instrumentally, in terms of
their success in guiding conduct. We test our value judgments by
putting them into practice and seeing whether the results are
satisfactory — whether they solve the problems they were
designed to solve, whether we find their consequences acceptable,
whether they enable successful responses to novel problems, whether
living in accordance with alternative value judgments yields more
satisfactory results. We achieve moral progress and maturity to the
extent that we adopt habits of reflectively revising our value
judgments in response to the widest consequences for everyone of
living them out. This pragmatic approach requires that we locate the
conditions of warrant for our value judgments in human conduct itself,
not in any a priori fixed reference point outside of conduct,
such as in God’s commands, Platonic Forms, pure reason, or
“nature,” considered as giving humans a fixed
telos. To do so requires that we understand different types
of value judgments in functional terms, as forms of conduct that play
distinctive roles in the life of reflective, social beings. Dewey
thereby offers a naturalistic metaethic of value judgments, grounded
in developmental and social psychology.


1. Developmental and Social Psychology

Dewey argues that the function of value judgments is to guide human
conduct. He uses the term “conduct” in the broadest sense,
to include not only overt bodily motion, but also observation,
reflection, imagination, judgment, and affective responses to what we
observe and think. “Conduct” is a broader category than
“action” in contemporary philosophy of action, because it
includes unconscious and unreflective activity, such as that produced
by instinct and reflex. There are three broad levels of conduct:
impulse, habit, and reflective action. These differ according to how
far they are guided by ideas of what one is doing.

1.1 Impulse

Humans begin life endowed only with impulses as motor
sources of activity. Impulses include what we would call today drives,
appetites, instincts, and unconditioned reflexes. They are
“affective-motor responses”: primitive tendencies of
movement toward some things (eyes toward human faces, hand to grasping
whatever is within reach), away from others (spitting out bitter food,
averting eyes from too bright light, brushing off pesky flies), and
even activity with no particular orientation toward external objects
(stretching, rolling over, crying, bouncing up and down,
fidgeting). Impulsive activity is not purposive. It involves no idea
of an end to be achieved by the activity. When a newborn infant sucks
on its mother’s nipple, it obtains food and thereby satisfies its
hunger. But the newborn has no idea that this will be a consequence of
its sucking, and does not suck with the end in view of obtaining food
(HNC 65–69).

Dewey’s choice of impulse as the original motor source of conduct
contrasts with conventional desire-based psychology in two important
ways. First, it takes activity rather than rest as the default state
of human beings. Desires are defined by the states of affairs they aim
to achieve. On this model, action needs to be inspired by an idea of
some external deficit in the world. Once the deficit is repaired, the
desire is fulfilled, and the organism returns to a state of
rest. Dewey observed that this model does not fit what we know about
children. They are constantly in motion even when they achieve no
particular purpose in moving. They don’t need any end in view or
perception of external lack to move them (HNC 118–9). Second, impulse
psychology stresses the plasticity of the sources of conduct. Desires
are fixed by their ends. Impulses can be directed and shaped toward
various ends. Children’s primitive impulses to move their bodies
energetically can be directed, through education, toward the
development of socially valued skills and interpersonally coordinated
activity (HNC 69e-75).

Desires or ends in view arise from the child’s experiences of the
consequences of its impulsive activity. A newborn infant cries when it
is hungry, at first with no end in view. It observes that crying
results in a feeding, which relieves its hunger. It gets the idea that
by crying, it can get relief. When crying is prompted by this idea,
the child sees it as a means to a further end, and acts for the first
time on a desire (that is, with an end in view) (TV 197–8). What
desires the child ends up having are critically shaped by others’
responses to its original impulsive activity, by the results that
others permit crying to achieve. Parents who respond indiscriminately
to their children’s crying end up with spoiled children whose desires
expand and proliferate without consideration for the interests of
others. Parents who respond selectively shape not only their
children’s use of means (crying) but also their ends, which are
modulated in response to the resistance and claims of others. This
plasticity of ends as well as means is possible because the original
motor source of the child’s activity is impulse, not desire. Impulses
demand some outlet for their expression, but what ends they eventually
seek depends on the environment, especially on others’ responses to
the child.

1.2 Habit

Habits are socially shaped dispositions to particular forms of
activity or modes of response to the environment. They channel
impulses in specified directions, toward certain outcomes, by
entrenching particular uses of means, prescribing certain conduct in
particular circumstances. While individuals may have idiosyncratic
habits, the most important habits are customs, shared habits of a
group that are passed on to children through socialization. Customs
originate in purposive activity. Every society must devise means for
the satisfaction of basic human needs for food, shelter, clothing, and
affiliation, for coping with interpersonal conflict within the group
and treatment of outsiders, for dealing with critical events such as
birth, coming of age, and death. Yet customs need not have been
consciously invented to serve these needs. Language consists in a body
of habits and norms, but few languages were explicitly invented to
serve needs for communication. Customary ways of satisfying needs
shape the direction of impulse in the socialized individual. A young
child just starting on solid food may be open to eating nearly
anything. But every society limits what it counts as edible. Certain
foods become freighted with social meaning — as suitable for
celebrating birthdays, good for serving to guests, reserved for
sacrifice to the gods, or fit only for animals. The child’s hunger
becomes refined into a taste for certain foods on particular
occasions. She may recoil in disgust or horror from certain edibles
deemed taboo or unclean. There may have been a rationale for the
original selection of foods. Perhaps some food was deemed taboo when
its consumption was followed by a natural disaster, and people
concluded that the gods were angry at them for consuming it. But the
habit of avoiding it may persist long after its original rationale is
forgotten (E 39–48, HNC 15–21, 43–7).

While habits incorporate purposes and socially meaningful ideas, they
operate beneath the actor’s consciousness. Once people have learned
how to achieve some purpose and entrenched that mode of conduct in a
habit or skill, they no longer need to tend to what they are doing in
achieving it. Such tending may even interfere with successful
performance. Habits, by receding from awareness, conserve people’s
reflective resources, make their activity fluid, and enable them to
reliably produce certain results (provided the environment remains the
same). People’s habits thereby embody their characters (HNC 33–43,
50–2).

The subconscious operation of habits has several implications.
Habits may continue long after their original rationale has been
forgotten or repudiated. Because they entrench modes of conduct rather
than ends in view, when the environment changes, they may produce
different results than originally intended. They also elude direct
control by conscious willing. The idea that we can control our bad or
misfiring habits by sheer willpower is a form of magical thinking,
because it imagines that willing an end is sufficient to achieve it. A
conscious end — the control of habit — cannot be achieved
without grasping the means that can bring it about. Because habits
operate behind our backs, we can’t maintain a constant awareness of
them with the aim of checking their operation at all times. We must
resort to indirect means, especially alteration of the environment, to
check an unsatisfactory habit. Moreover, we can reliably produce
alternative results only by acquiring a new habit. Discovering the
means required to change habits requires psychological and
sociological inquiry, not just conscientiousness and willpower (HNC
21–32).

Habits also tend to be self-perpetuating and difficult to modify
because people form attachments to them. They experience disruptions
of their habits with alarm, displeasure, offense, even
outrage. Prevailing ideologies represent current customs as right and
inviolable. These facts pose obstacles to deliberate social
change. Dewey placed his hopes for change in the education of youth,
whose impulses have not yet been channeled into rigid habits. How
could adults with already entrenched habits impart less rigid habits
to the next generation? Dewey answered: by instituting forms of
education that instill habits of independent thought, critical
inquiry, observation, experimentation, foresight, and imagination,
including sympathy with others (DE; HNC 127–8). Such education can
make habits themselves more flexible and responsive to changes in the
context and consequences of conduct. It enables habits to incorporate
intelligence.

1.3 Intelligent Conduct

The need to reflect intelligently on what one is doing arises when
the ordinary operation of habit or impulse is blocked. Customary means
may be lacking; changed circumstances may make habits misfire,
producing unintended and disturbing consequences; the social
interaction of groups of people with different customs may produce
practical conflicts that require mutual adjustment. When habit is
blocked, people are forced to stop their activity and reflect on the
problems posed by their situation. They must deliberate. The aim of
deliberation is to find a satisfactory means to resumption of activity
by solving the problem posed by one’s situation. Deliberation involves
an investigation of the causes of disrupted activity so as to
consciously articulate the problematic features of one’s situation,
and an imaginative rehearsal of alternative means to solving it,
anticipating the consequences of executing each one, including one’s
attitudes to those consequences. It is a thought experiment designed
to arrive at a practical judgment, action upon which is anticipated to
resolve one’s predicament. Deliberation is more intelligent, the more
articulate the definition of one’s problem in light of more observant
uptake of its relevant features, the more imaginative one is in coming
up with feasible solutions, the more comprehensive and accurate one’s
view of the consequences of implementing them, and the more responsive
is one’s decision to its anticipated consequences, relative to the
consequences of alternatives. Action on the practical judgments that
proceed from deliberation is self-aware. As the individual gets more
practice in intelligent conduct, the dispositions that make it up
become habits (HWT 196–220).

2. Metaethics of Value Judgments in General

Dewey held that value judgments express propositions that are subject
to empirical testing and verification. But they are not merely
descriptive; their essential function is to guide conduct. Value
judgments can be both empirically warranted and action-guiding because
they have an instrumental form. They say that if something were done,
then certain consequences would follow, which would be liked or
valued. Propositions of this form can be tested. The point of making
such propositions is to decide upon a course of action that will solve
a problem, where the proposition itself is part of the means by which
the action is brought about (LJP 16–17). To locate value judgments
within Dewey’s psychology, we first need to understand the distinction
between valuing and evaluation, and Dewey’s notions of desire, taste,
and interest. We will then consider the instrumental function of value
judgments and their experimental verification.

2.1 Valuing vs. Evaluation

The fundamental psychological distinction needed to ground Dewey’s
metaethics is that between valuing and evaluation. He marked this
contrast variously, as one of “prizing”
vs. “appraising”, or “esteeming”
vs. “estimating,” and sometimes used the ambiguous term
“valuation” to cover both valuing and evaluation.
Valuing, prizing, and esteeming denote “affective-motor
attitudes.” In his middle works, Dewey identified the affective
aspect of valuing with finding something good, appreciating it. This
experience has no representational content, although it has a positive
or negative valence and is directed toward an object. But he still
regarded valuing as more fundamentally a practical attitude than a
passive experience, more “motor” than
“affective.” It is a matter of loving, cherishing, holding
dear, or, negatively, hating or despising something, where these
attitudes inherently involve tendencies to act (LJP 23–27). In his
later work, Dewey embraced a more uncompromising behaviorism that
questioned the attribution of inner emotional components to valuing
(TV 199, 202–3).

At the most primitive level, valuings are tendencies to move toward,
acquire, or ingest certain things, or, on the negative side, to avoid,
reject, spew out other things. One need not have any idea of what one
is valuing in order to value it. In the first instance, then, valuings
simply denote impulses toward or away from objects, as when an infant
turns toward human voices, or swats away a fly. Valuings of objects as
useful can also be immediate — that is, not mediated by
cognition or awareness of what one is doing. One simply uses a fork to
pick up food, without thinking about it. Habits, then, are also a
species of valuing.

Primitive valuings must be distinguished from desires, on the one
hand, and enjoyments, on the other. Desires have cognitive
(propositional) content, because by definition they embody an
end-in-view. Dewey argued that desires arise only as the result of
reflection on what to do. They are more sophisticated than primitive
valuings (TV 207). Enjoyments, understood as isolated, passive
experiences of pleasure, lack a behavioral aspect. However, Dewey
thought that the idea of such isolated pleasures was the result of
certain philosophical demands (LJP 40–1) . It did not arise from our
actual activities of enjoyment. In reality, when we enjoy something,
as when we savor an ice cream cone, we are actively engaged with it:
we roll the ice cream around on our tongues, chew the cone, taking
note of its texture and flavor, explore it on all sides, tend to it so
that it does not drip all over. These activities, not just passive
experiences, are part of the pleasure of eating an ice cream cone.

Valuings may be primitively expressed in ejaculations. A child may
jump up and down, saying “goody!” at an ice cream cone. As
a spontaneous and uncalculated ejaculation, “goody” does
not express a value judgment. The child may say the same thing with
self-awareness, as if to say “I like ice cream.” Such a
subjective report of a valuing still does not express a value
judgment. Only when a valuing is subjected to evaluation or appraisal,
when the question arises whether (one ought) to value (seek, hoard,
gobble up) ice cream, does the child formulate a value judgment
proper, as an answer to the question (TV 208–9; VORC 84–6).

Thus, value judgments are practical judgments. Although they may have
a descriptive form (“x is good,”
x is right”), the constitutive point of making
them is to alter or guide our valuings. The need to question our
valuings arises when immediate action on them is not possible or
yields unsatisfactory consequences. There is no more ice cream in the
refrigerator; is it worthwhile to go to the store to buy some more?
Or, the lactose-intolerant person may observe that she gets a stomach
ache after eating ice cream, and discover that ice cream is the
cause. Should she just give up ice cream, can she take something that
avoids the symptoms, or are there lactose-free substitutes? Having
sketched out some alternative solutions to her predicament, she
imaginatively fills out the details of acting on them, including their
projected consequences (Do the pills have side effects? Does the
lactose-free ice cream taste good?). The consequences are themselves
the objects of valuings, which guide the formation of a new
end-in-view, a new valuing — say, to go for lactose-free ice
cream, because taking pills would be bothersome, and the lactose-free
ice cream tastes just as good. The comparative value judgment
(“eating lactose-free ice cream is better than taking pills with
regular ice cream, or eating regular ice cream alone”) is
practical because its function is to guide conduct toward the best
solution to the person’s problem.

Thus, value judgments or appraisals result in new valuings. This fact
has two implications, one for the nature of valuing, the other for the
assessment of value judgments. First, when valuings change in response
to value judgments, they become desires, interests, or tastes. Second,
because the function of value judgments is to constitute new valuings
that solve the individual’s predicament, they can be assessed
instrumentally, in terms of how well they perform that function.

2.2 Desires, Interests, and Tastes.

In the ice cream case just described, the lactose-intolerant person
was initially consuming ice cream out of impulse, or perhaps habit,
without thinking about it. Her conduct was caused by primitive,
unreflective valuings. (In reality, Dewey stressed, hardly any of the
valuings of adults are wholly primitive, as the valuings of infants
are. So the illustration is only of a relatively unreflective
valuing, one that incorporates a relatively low level of understanding
of the consequences of acting on it.) When she became aware of the
fact that her consumption of ice cream was causing a problem, she
investigated the problem, articulating its contours, with the aim of
solving it, of finding some alternative that would “work,”
in the sense of enabling the satisfactory resumption of
activity. “Working” need not mean finding an alternative
means to resuming the same valuing activity. Her activity has changed:
now she is set upon consuming lactose-free ice cream. From a
psychological point of view, her valuation activity has changed not
just in the object toward which it is directed, but in its cognitive
character: it embodies an articulate understanding of what she is
going after, which reflects her appraisals of its merits.

The result of such appraisal is the adoption of an end-in-view, the
institution of a desire. Dewey’s term “desire” is
closer to our “intention” or “purpose” or even
“plan” (TV 238) in denoting a tendency toward action that
the agent has adopted, rather than simply a motive clamoring for our
attention or moving us behind our backs. Desire denotes a reflective,
conscious valuing, not a mere “affective-motor” attitude,
but an “affective-ideational-motor activity,” a
“union of prizing and appraising” (TV 218). It is a
cognitive state. As the individual engages this new valuation, she
experiences the consequences of acting on it. Reflection upon these
consequences is then incorporated into more intelligent valuations, by
way of further appraisals. The result of criticism is the refinement
of taste — that is, a “rational liking” (VEK 15), a
“liking for a reason” (VORC 95). The novice and the
connoisseur may both value (like) the same object. But the latter has
a reflective and articulate grasp of the features of the object that
are liked, plus enough experience with valuations of objects of that
type to have warranted confidence that these features merit
liking. That is, the connoisseur has enough experience to warrant
confidence that there are not further features of the object or
consequences of valuing it which, once appreciated, would reverse or
detract from the liking. Desires (ends-in-view) do not exist in
isolation from each other. We reflect on the consequences of
attempting to jointly satisfy our desires. Appraisals of such
consequences serve to modify desires so that they are coordinated with
one another. Dewey called such systematically coordinated desires
“interests” (TV 207).

2.3 Value Judgments as Instruments

Dewey characterized value judgments as instrumental in three senses
that he did not explicitly distinguish. The first we may call the
constitutive function of value judgments. The point of appraisal, of
making a value judgment, is to bring about the resumption of unified
activity, when the normal course of activity has been interrupted by a
problematic situation (TV 221–2). This situation incites hesitation
and doubt about what to do. Dewey’s point is that value judgments are
essentially practical judgments. They aim to guide action, not just to
passively describe things as they are. Making the judgment is the
necessary means to deciding on a new course of action that will solve
the problem (LJP 14–16).

Second, the content of value judgments is about the value of actions
and objects as means — that is, their value in relation
to their consequences, or the consequences of valuing them in the
situation at hand. Value judgments have the form: if one acted in a
particular way (or valued this object), then certain consequences
would ensue, which would be valued (VEK 11). The difference between an
apparent and a real good, between an unreflectively and a reflectively
valued good, is captured by its value not just as immediately
experienced in isolation, but in view of its wider consequences and
how they are valued. The ice cream seems good to the
lactose-intolerant person; it is immediately prized by her. But it is
judged to be not really good in view of the intolerable consequence of
consuming it. Value judgments place things in their wider context and
judge them in relation to their consequences, more fully considered
(TV 209–213).

Third, while the proximate and constitutive end of a value judgment
is the resumption of activity that has been interrupted by a
problematic situation, judgment has a remoter end, of using the action
decided upon as a means for uncovering new evidence about what to
value. Intelligently made value judgments are held provisionally,
with an eye toward revising them if the consequences of acting on them
are not found valuable. So viewed, value judgments are tools for
discovering how to live a better life, just as scientific hypotheses
are tools for uncovering new information about the world (VEK 19–26;
VORC 88–9).

2.4 Experimental Confirmation of Value Judgments

Dewey’s pragmatist moral epistemology follows from his instrumental
account of value judgments. It is uncontroversial that instrumental
judgments are subject to empirical testing and confirmation, since
they involve empirical claims about causation. We test scientific
hypotheses by bringing about their antecedents and seeing if the
results are as they predicted. Similarly, we test value judgments by
acting on them and seeing if we value the consequences in the way the
judgment predicted. Acting on our value judgments — putting them
into practice — supplies the data for confirming or
disconfirming them. Roughly speaking, a value judgment hypothesizes
“try it, you’ll like it” — a statement easily
subject to empirical verification and refutation. Intelligent value
judgments proceed not by random trial-and-error, but from skilled
projection of prior confirmed “try-like” regularities to
analogous novel situations, which are continuously modified in light
of experiences of the wider consequences of trying in these new
situations.

Dewey derived several unsettling implications for traditional
morality and traditional philosophical ethics from his moral
epistemology. Traditional or conventional morality tries to enforce
unquestioning obedience to its precepts. Dewey argued that this was a
formula for perpetual immaturity, because it cut off all possibility
of learning better ways to live by experimenting with them.
Pragmatist moral epistemology also rejects philosophy’s a
priori
, dialectical methods for determining the good and the
right. One cannot prove that something is valuable by mere argument.
Arguments, at best, make certain value judgments plausible as
hypotheses — and even then, only if grounded in experience and
reflection on the wider consequences of acting on them. Ultimately,
the hypotheses must be tested, by seeing how one values the actual
results of putting them into practice. It follows that the dogmatism
of traditional philosophical ethics is folly. It hobbles progress in
life. Even the best confirmed value judgments can hold only
provisionally. Circumstances change, thereby modifying the
consequences of acting on particular evaluations. Change requires us
to revisit our original appraisals with an eye toward modifying them
in light of these new consequences (RP). Moreover, we don’t know the
consequences of trials not performed. It is therefore always possible
that we are missing out on better modes of conduct that we haven’t
tested, or even imagined (VEK 25–6).

2.5 Contextualism

Dewey’s moral epistemology is contextualist. The form of a
contextual standard of value is: it solves the problem encountered in
this situation (better than other imagined or tested solutions). A
person may articulate the problematic features of her situation in
various ways: as obstacles, confusions, conflicts, unmet needs,
dangers, and so on. The test of a value judgment — whether it
“works” — is whether it successfully identifies an
action that overcomes the obstacles, clears up the confusions,
resolves the conflicts, satisfies the needs, avoids or eliminates the
dangers, and so on. The standard of success for value judgments is
thus developed internally to the practices at hand, relative to
people’s descriptions of their problems (HNC 199, 208; RP 173–4). Of
course, hypothesized solutions may fail in practice. This may lead
agents to revise their understandings of their problems, rather than
just trying alternative solutions to the same problems. For example,
the failure of a course of therapy may lead a doctor to reconsider the
original diagnosis. The problematic features of situations are not
given. Rather, descriptions of problems are open to experimental
testing in tandem with proposed solutions.

In upholding contextualism, Dewey rejected the idea that standards of
correctness for valuing could be devised external to practice. He
rejected any conception of intrinsic value as some kind of existence
or property that has value in itself, regardless of context, which is
the object of practice to bring about, realize, or conform to.
Asserting the existence of such values tears the practice of making
value judgments out of the contexts that give them meaning and point.
This does not mean that one cannot make meaningful general value
judgments. Some problems and solutions are of a generalized sort,
encountered in many situations that vary widely in their details.
Abstract, general value judgments may therefore be useful in a wide
range of situations. But this does not mean that they point to values
that exist outside of practice (TV 230).

3. Means and Ends

The standard objection to Dewey’s instrumental theory of value
judgments is that it concerns the value of things as means only, and
not as ends. It fails to fix on what is ultimately important:
intrinsic values or final ends. Some ultimate end outside of practice
must be postulated as given, as the standard against which the value
of acts as means can be judged, lest we fall into an infinite
regress. We either need some conception of a summum bonum,
justified apart from practical reasoning, toward which acts must aim,
or Dewey’s theory reduces to a form of Humean instrumentalism, in
which ends are given by our desires or immediate likings, and the only
question is how to satisfy them.

Dewey’s reply to this objection goes to the heart of his moral
philosophy. He argued that the character and value of means and ends
was reciprocally determined. We do not first already have an end in
view, with the only question how to achieve it. We lack a complete
conception of our end until we have a complete grasp of the course of
action that will take us there. Moreover, a judgment of the value of
ends apart from the means needed to get there, and apart from the
value of ends as means — as things that have consequences of
their own — cannot provide the basis for rational action. Acting
on such radically truncated judgments would be crazy. Our judgments of
the worth of an end are inextricably tied up with our judgments of the
costs of achieving it, both in terms of the means needed to get there
and the unintended consequences of getting there. Practical judgment
is creative: it institutes new ends-in-view. It is transformative:
appraisals affect our immediate valuings of things. Let us consider
each of these features of judgment in turn.

3.1 Reciprocal Determination of Means and Ends

The occasion for making value judgments is a problematic
situation, in which one’s activity is blocked and one does not know
what to do. At first, the problem is experienced as an uneasiness and
hesitation. Reflection is needed to intellectualize the emotion, to
articulate what is the matter. A complete description of the problem
to be solved is simultaneously the articulation of a complete
solution, a unified course of action identifying a series of steps
(means) resulting in an end, which the judger predicts will be found
valuable as a complete package. A person is walking to a lake but
stops upon reaching a deep ditch. She entertains possible courses of
action, which are simultaneously preliminary descriptions of problems
and solutions. (“I need to jump across”; “I need to build
a bridge”). These incomplete descriptions prompt the gathering
of new data to articulate them further (“Can I jump that
far?” “Is there a log around?”). A complete
investigation yields a joint description of the problem and its
solution (“I need to drag this log across here, the narrowest
part of the ditch, and walk across.”) (HWT 200–6).

The value of the end depends on the costs and benefits of the means,
and the costs and benefits of the further consequences to which the
end is judged as a means or cause. In the preceding example, it might
appear that a certain final end — getting to the lake — is
governing deliberation. But this is so only provisionally. A full
inquiry into the means needed to achieve the end may lead to a
re-evaluation of the end itself. (“The only log able to bridge
the ditch is very narrow at the end; I have bad balance; I would be
seriously injured if I fell off the log. Getting to the lake isn’t so
attractive after all ….”) Furthermore, reaching the end
has anticipated consequences of its own (“That bear on the other
side of the ditch looks hungry….”) that may modify the
valuation of the end (“It’s better if I stay on this
side.”). It is irrational to take one’s end as fixed before
investigating the costs of the means and the consequences of achieving
the end (TV 214). Thus, the standard model of instrumental reasoning,
which takes ends as fixed and inquires solely into the means needed to
satisfy them, is inadequate. The point of inquiring into means, and
into ends considered as means or causes of further consequences, is
not merely to determine how to achieve an end, but to appraise the
value of the end itself (TV 210–19; VEK 4–7).

3.2 Practical Judgment is Creative

The preceding considerations show that practical judgment is
creative: it institutes new ends-in-view, new desires. Against Dewey’s
claim of creativity, it might be objected that Dewey’s theory of
practical reasoning still presupposes certain values. In the ditch
case, the original end would not have been rejected but for the
agent’s fear of injury (from falling, or from a bear). Dewey agrees
that “judgment at some point runs against the brute act of
holding something dear as its limit” (LJP 46). Without some
prizings that are not themselves subject to appraisal at the time of
deliberation, there is nothing to guide practical reasoning. Yet
these very prizings may be subject to appraisal at some other time,
perhaps even as a consequence of acting on them on this occasion.

One might still object that this is not enough to show that practical
judgment is genuinely creative. Perhaps it just takes given prizings
and determines the end through some kind of vector addition, taking
their weights as given. If a man is out to buy a suit, for instance,
he approaches the problem with a given set of habitual priorities
— for example, that durability and cheapness are more important
than style. The man’s choice of suit thus merely reflects the weights
of the man’s already given priorities. But if this were all there was to
choice, then deliberation would hardly be necessary. He would simply
inspect the prized qualities of the available suits, and let impulse
determine his choice from there. In fact, Dewey argued, deliberation
assigns weights to different prized qualities in the context of
choice, rather than taking them as given. We can’t really tell how
much weight to put on this or that prized quality until we see it
instantiated in combination with the other qualities in the set of
alternatives, and consider further how the suit with its qualities
will function as a means in the future. Although the man may be used
to prizing durability in a cheap suit, and placing little weight on
style, this suit is to be used for job interviews, which are expected
to land him a much higher paying job. This use of the suit gives him
several reasons to alter the habitual weights he assigns to suit
qualities. Anticipating that he will soon come to prize style more,
once he is able to afford it, he may decide to borrow against the
future and go for the expensive stylish suit now, so that he will
still prize it after he lands the job. Or he may decide that he needs
to make an especially good impression in order to land the job, so
that he must weight style more heavily than cheapness now. Or he may
decide that he’ll only need to use this suit once, to get a job, and
after that his tastes will change commensurately with his income, but
in ways he can’t know ahead of time. Hence, he should not count
durability as an important value here. Evaluation remains creative
even granting that it presupposes certain prizings, because it is
still up to us to assign weights to prized qualities in light of the
novel features of the context. Prior weightings cannot determine
current ones, since the former may be maladapted to the new situation
(LJP 30–5; VEK 10–20).

3.3 Practical Judgment is Transformative

Practical reasoning does not merely generate new appraisals; it
transforms our prizings. This is the point of Dewey’s theory of
criticism and taste. Judgments of the merits of prizings feed back
onto our primitive prizings and transform them. They not only make
these prizings more articulate (a union of prizing and appraising); in
making us more vividly aware of the features of the object that we
prize, they alter the directions of our prizings (VEK 4–9). As a
result of deliberation, the man who needs the suit comes to prize
style, say, more than he did before, and cheapness less. Nor is this
possibility of transformation limited to what are conventionally
understood to be “instrumental” values. Whether a quality
such as style is “intrinsic” or “instrumental”
is not built into the nature of the quality itself, but simply a
function of how it is being regarded by the individual at the
time. Instruments may be prized in themselves (as when we admire a
particularly finely balanced tool). More importantly, stylishness may
immediately attract — be immediately prized — but it also
has its uses in impressing some prospective employers, and its
unintended consequence of turning off others (who may think it
important in an employee not to show off).

3.4 Practical Judgment and Character

Against Dewey’s instrumental theory of value judgments, one might
object that sometimes we appraise valuings as intrinsically good or
bad. We might judge that prizing another’s suffering is despicable,
apart from its consequences. Dewey rejected the sharp distinction
between character and action, motive and consequence, that this
picture presupposes. A character trait is itself a tendency to pursue
certain ends, and so must be appraised in terms of its typical
(intended) results. Thus, we condemn schadenfreude primarily because
it leads to cruelty. At the same time, conduct has among its
consequences a tendency to reinforce the character traits that caused
them, or to consolidate into a character trait its direction of
impulse. It constitutes the moral self. So, we properly condemn a
single manifestation of schadenfreude — say, laughing at
suffering caused by a natural disaster — even if it, in itself,
did nothing to increase anyone’s suffering. This is the truth that
moralities of intention grasp, which narrowly consequentialist
theories do not (E 173–5, 286–9).

One who holds that evil attitudes can be bad in themselves, apart
from their consequences, would want to say more than this. Dewey can
say more, too. He would agree that we do not value attitudes only
instrumentally. We immediately prize some attitudes and despise
others, in the sense that we directly prize and despise them without
first appraising them instrumentally. A sympathetic person immediately
hates expressions of schadenfreude without first checking whether they
actually caused anyone to suffer. Such valuings can themselves be
subject to appraisal. If we endorse them upon reflection on their
consequences, we judge that they are merited
(see Virtue Theories, below).
Among the most important consequences of such second-order valuings
are their impact on our characters: they tend to reinforce the
attitudes that are prized, and make us recoil from the attitudes that
are despised, leading us to seek means to change those
attitudes. Dewey denies that there is any sensible way to appraise
character traits apart from their typical consequences. So there is no
getting away from consequences altogether. However, his theory has the
resources to (a) condemn particular manifestations of bad attitudes,
even when they do not have their typically bad direct consequences,
(b) immediately (“intrinsically”) despise them, (c) judge
that such immediate condemnations are warranted, and thereby (d)
constitute new, reflective and cognitively loaded
affective-ideational-motor attitudes of condemnation. His theory can
make parallel claims for prizings and appraisals of good attitudes as
well.

Thus, we begin with immediate valuings or prizings of things. Such
prizings have no cognitive content. When we ask whether something
ought to be valued, we enter the domain of appraisal or value
judgments. To appraise something is to judge it in relation to the
means required to attain it, and as a means or cause of further
consequences. Appraisal, then, is fundamentally about means. However,
such appraisals transform our original prizings. If we discover that
the cost of attaining something prized is too high, we prize it less
(reduce or eliminate our tendency to go after it). If we discover that
attaining it has further, disvalued, consequences, we also prize it
less. If attaining it has further, prized consequences, or if the
means to attain it are themselves prized, we value it even more. Now
the valuing has cognitive content, and is articulately directed to
that content. Now we value or disvalue something under a description
(the ice cream as cause of stomach ailment, the suit as stylish and
impressive to prospective employers, the schadenfreude as despicable).
The appraisal of things as means feeds back into our prizing of things
as ends.

4. Moral Theories: the Good, the Right, the Virtuous

Traditional normative moral theories generally fall into three
types. Teleological theories seek to identify some supreme end or best
way of life, and reduce the right and the virtuous to the promotion of
this good. Deontological theories seek to identify a supreme principle
or laws of morality independent of the good, and subordinate the
pursuit of the good to conformity with the moral law. Virtue theories
take phenomena of approval and disapproval to be fundamental, and
derive the right and the good from them. Dewey declined to offer
substantive answers to the traditional questions posed by these
theories, arguing that no fixed ends or moral rules could be adequate
in a world of constant change and plural and conflicting values. In
place of fixed goals and rules of action, Dewey offered his method of
experimental inquiry, which he argued was shared between theoretical
and practical reason (RP 174). He drew insight from traditional moral
theories by recasting their substantive answers to traditional moral
questions in methodological terms.

Dewey also rejected the reductionist tendencies of these theories,
arguing that each drew from an independent source of evidence about
what one ought to do. Teleological theories draw from the efforts of
the individual agent to distinguish the real from the apparent good,
and to harmonize conflicting impulses by subsuming them under a
comprehensive conception of the good. Deontological theories draw from
the efforts of groups of people to harmonize and adjudicate the
conflicting claims they make on one another by means of impartial
laws. Virtue theories draw from the praise and blame people accord to
each others’ conduct. Resisting the tendency of philosophical ethics
to represent the grounds of these theories in metaphysical terms,
Dewey insisted that the sources of evidence for these three types of
theory were empirical. Teleological theories are based on the
reflective desires of the individual; deontological theories on the
socially authorized demands of interested others; virtue theories on
the spontaneous tendencies of observers to approve and disapprove of
people’s conduct. These sources of evidence for different sorts of
moral claims are independent from the others. None carries automatic
or conclusive authority. Hence, the tension among the three types of
moral consideration is permanent and cannot be resolved by reducing
one to another or insisting that one automatically overrides the
others (TIF). Resolution of conflicts among these considerations
depends on the context in which they arise.

4.1 Theories of the Good (Teleological Theories)

We have already seen that Dewey casts the distinction between the
apparent and the real good in terms of what is valued immediately in
impulse and unreflective habit, and what is valued reflectively as an
object of intelligent desire. Dewey insisted on the primacy of the
reflective method of inquiry over settling on fixed answers to
questions about the good. This can be seen in his critiques and
methodological reinterpretations of the three types of theory of
goodness dominant today: hedonism, ideal (objective list) theories,
and informed desire theory.

Hedonism supposes that the value of acts can be reduced to the
quantity of pleasure and pain they produce. Estimating such values
requires that we be able to break down the pleasures and pains of
different activities and experiences into simple identical units, and
then sum them up again. This theoretical demand outruns the holistic
and complex character of our experiences of pleasure and pain (LJP
40–1). In fact, pleasures and pains in reflective individuals are
inextricably bound up with what Dewey called “ideational”
factors — that is, with articulate conceptions of what they are
taking pleasure in. They are therefore not pure sensory units but
already contain elements of judgment or appraisal. Critical among
these are considerations of the consequences of prizing certain things
for one’s own moral character. Since we form our character by
cultivating habits of valuing some things over others, and we prize
and appraise character itself, we cannot simply take current pleasures
as given (E 193–4; LJP 41–2). Good and bad people take pleasure in
different things. Such facts can give us reason to cultivate
different tastes from those we currently have.

Although hedonism fails as a theory that gives us a fixed end, it
does contain a methodological insight. Nothing is good that cannot be
desired. All desire contains an element of enjoyment or liking. Hence,
pleasure can be seen as a sign of the good, as evidence of what is
valuable. Nevertheless, what makes desire a sound guide to the good is
the fact that it incorporates foresight and reflection on the wider
consequences of acting on it, not just that it incorporates a liking
of its object (E 195–6).

Ideal or objective list theories attempt to harmonize conflicting
desires not, as hedonism does, by reducing them all to a common
denominator, but by systematically fitting them together into an ideal
or plan of life. Dewey argued that people construct ideals that make
sense in view of their particular social circumstances. For example,
ideals of material or political advancement make sense of the
strivings of business people and politicians. Such ideals have, at
best, only contextual validity and cannot be prescribed as fixed ends
for all people. There can no more be a single best way of life than
there can be an ideal house for all times and places. To suppose that
there is forecloses the possibility of imagination inventing something
even better. Yet, ideals serve a highly important function for
individuals, if they are considered as hypotheses about how one should
live that one can test in experiences of living in accordance with
them. So understood, ideals are tools for discovering evidence about
the good (LE 59–68, 229–30; E 185, 189–91, 202–210).

Informed desire theories of the good, which define the good in terms
of what an individual would desire if fully informed, come closest to
Dewey’s own account of the good. Dewey spoke of the good as the object
of desires of which we approve in calm, informed reflection (E 208,
212). Yet Dewey’s aims differ from that of most of today’s informed
desire theorists. The latter tend to accept as fixed the character of
the individual whose good is being judged, and alter only the
individual’s cognitive capacities and beliefs so as to read off the
good for the individual from what his cognitively enhanced self
wants. This commits the same error that Dewey charged against
hedonism, of omitting critical appraisal of one’s own character as an
important factor in determining what one ought to desire. In
identifying the good with the objects of approved desires, Dewey
highlighted the importance of character to identifying the
good. Before we can endorse a desire, we need to ask whether we, or an
impartial observer, could approve of someone who had it (E
239–47). The good is what good people — those possessing
foresight and wide sympathies — desire. Dewey also resisted the
conversion of a method of inquiry into a fixed criterion of
value. There is never an end to inquiry — no such thing as
complete information — because circumstances are always changing
and imagination constructs new possibilities for living (E 213). Nor
does the projection of desires we would have if we reached an end to
inquiry offer a recognizable vision of human life. Fully informed
people do not desire more information. But education, inquiry, and
individual development in light of new discoveries are constitutive
goods of human life. The desire to skip to the end to see what is
ultimately valuable is a desire to skip human life, as if the process
of learning through living were merely a means and not prized in
itself (HNC 194–202). What, in light of inquiry, we reflectively
desire, and approve of desiring, is evidence of what is good. But it
is always defeasible in light of further inquiry.

4.2 Theories of Right (Deontological Theories)

Pragmatism in ethics is often regarded as a form of teleology or
consequentialism. Yet Dewey rejected accounts of the right that
defined it in terms of promoting the good (E 214–216). The concept of
the right contains an element not contained in the good —
namely, that of an authoritative demand. The phenomenology of claims
of good and right are also distinct: the good attracts or appeals,
whereas claims of right appear to command authority. The demands of
the right often conflict with individual desire, since they arise from
the conflicting, socially authorized claims of other people. The right
arises from the need to harmonize the claims of people with distinct
interests and conceptions of the good by means of reasonable
principles that all can accept. Thus, although claims of right are
grounded in people’s interests in gaining the assistance and
cooperation of others, and in protection against others’
encroachments, the right cannot be defined in terms of promoting the
good of any individual. Nor can it be defined in terms of promoting
some independent conception of the good of society as a whole, since
any such conception must already persuade the individual that it
accords a reasonable place for her own claims, and thus already
incorporate a notion of right (E 215–7; TIF 284–5).

The deontological thought that the right is independent of the good
reflects the reality that the claims of others, even when reasonable
and authoritative, do not automatically harmonize with the desires of
the individual upon whom the claims are made. However, Dewey rejected
the further deontological claim that there is a sharp distinction
between the moral and nonmoral good, where the former is identified
with conformity to the right, and the latter with satisfying
individual desires. After all, claims of right are designed to protect
and advance the interests of individuals that are considered important
enough to warrant social support. Moreover, they are constitutive
features of social relationships that people find good. The authority
of these claims draws on the appeal of these relationships and on the
motives of love, respect, and loyalty cultivated within them (E
218–219).

Deontological theories tend to identify the right either with fixed
laws or rules of conduct, such as the Ten Commandments, or with a
single supreme principle of morality, such as the Categorical
Imperative, understood as supplying a decision procedure in
ethics. The attempt to specify substantive rules of right conduct for
all cases founders on the need to make exceptions for different
circumstances. “Thou shalt not kill” cannot be taken at
face value, given the justifiability of killing in self-defense. Yet
it is impossible to specify in advance all of the circumstances that
could justify killing even in self-defense, given the complications
that arise in, say, defensive warfare (e.g., problems of collateral
damage). As social conditions change — for example, the
technology and tactics of warfare, and our ability to affect the
interests of distant others — rules of conduct that had been
accepted in the past must be subject to revision, lest learning cease
and people remain mired in dysfunctional habits (E 275–9). A method of
moral inquiry is needed that can revise given rules, laws, and habits
in light of new problems and circumstances. This method would take
current and past customs and laws as data for moral theory, in
conjunction with the history and anthropology of custom, the history
of systematic theoretical reflection on morality, and the social
sciences, which inform us of the probable consequences of attempting
to institute this or that new law or custom (E 178–9). Intelligent
moral inquiry, while it begins with current customs and convictions
about the right, treats them as hypotheses to be tested in experience.

The attempt to identify a decision procedure for the right
independent of considerations of the consequences of following certain
principles is also bound to fail. Dewey endorsed the “empty
formalism” critique of Kant’s Categorical Imperative, insofar as
it aspires to reach moral conclusions without presupposing anything to
be good. Yet, reinterpreted as tools of moral inquiry, as standpoints
from which to identify and analyze morally relevant considerations,
principles such as the Golden Rule and the Categorical imperative
offer sound advice: they are designed to ensure that the interests of
all have been fairly considered in formulating concrete principles of
conduct proposed as general laws or customs to be generally enforced
(E 223–5, 280–3).

4.3 Virtue Theories

Virtue theories take approval and disapproval, praise and blame, as
the fundamental bases for morality. Customary morality relies heavily
on acts of praise and blame to perpetuate itself. Critical reflection
seeks a standard by which people’s approvals and disapprovals can be
appraised. Dewey argued that the British utilitarians carried this
inquiry most deeply with their ideal observer theory of morality,
which identified the standard with that by which an informed impartial
and benevolent observer appraises conduct — namely, its tendency
to promote everyone’s welfare. But, given that the content of
people’s welfare is not fixed, but open to imaginative expansion, this
standard can no more be applied in algorithmic fashion than moral
principles can be. Like moral principles, the utilitarian standard of
approval sets up a general standpoint for the appraisal of conduct,
and revision of ends in light of such appraisal, rather than a fixed
criterion that can be mechanically applied (E 237–47).

Dewey argued that praise and blame function to make individuals
conscious of and responsive to the wider consequences of their actions
for others. This forward-looking view of praise and blame enabled
Dewey to avoid the problem of free will in its connection with
responsibility. Praise and blame are tools for enabling people to
assume responsibility for their conduct — to enable them to
regulate their conduct in view of their consequences for
others. Hence, the presupposition of praise and blame is not that the
individual held to account could have done otherwise at the time of
acting. It is rather that praise and blame can induce people to be
more conscientious — to govern their conduct in light of the
responsibilities ascribed to them, to act out of a sense of their own
responsibility, and thereby to take notice and mastery of the motives
by which they act — in the future. This fact is most evident in
our practices of praising and blaming children. Young children are not
autonomous agents and lack free will in any sense relevant to the
debates about responsibility. They are not responsible for their
conduct. Yet, in praising and blaming them, we hold them responsible
for their conduct, as the necessary means by which they can become
responsible for their conduct in the future. This is not a special or
anomalous use of praise or blame; it is its paradigmatic use (HNC
119–22; LE 86–96).

4.4 Reflective Morality

Dewey’s accounts of the main types of moral
theory fit neatly into his experimentalist account of practical
reasoning and value judgments. Individuals begin their lives as human
societies did historically: acting on impulse and custom. These modes
of conduct, being unselfconscious and shortsighted, cannot handle all
the challenges life poses, and generate problems of their own. Thus
arises the need for reflective appraisal of conduct in view of its
wider consequences, with the aim of controlling future conduct by
means of these appraisals, so as to solve the problems at hand. This
practical reasoning uses the same general experimental method as
theoretical reasoning does. We begin with certain given facts: these
are our immediate valuings of things by impulse and habit. The data
for appraisal of these valuings come from the consquences of acting on
them, along with the ways we value these consequences. The three types
of moral theory identify three sources of evidence that bear on our
current valuings: our own desires (which by definition are informed),
the socially authorized claims or demands of other people, and their
approvals and disapprovals of our conduct. Traditional philosophical
ethics tries to erect these sources of evidence into transcendent,
authoritative criteria, typically by means of certain idealizing moves
(such as universalization and full information). Dewey argued that the
supposedly external, transcendent criteria for appraising conduct
— ideals of the good, principles of right, standards of approval
and disapproval — should rather be treated as hypotheses, as
tools for uncovering additional data needed to appraise our
valuings. They provide us with standpoints by which we can make
ourselves aware of a wider set of consequences of our conduct. Ideals
of the good enable us to take up the standpoint of the prudent and
foresighted individual, concerned to harmonize current desires with
one another and with the self’s future needs and interests. Principles
of right enable us to take up the standpoint of others who might make
claims on us in light of the impact of our conduct on their interests.
Standards of approval enable us to take up the standpoint of
observers, who approve and disapprove of our conduct not just for its
consequences but on account of its underlying motives as well. In
other words, these norms enable us to survey the consequences of our
conduct from a first personal, second personal, and third personal
point of view, respectively, and to shape new ends (desires)
accordingly. But no actual ideal, principle, or standard exhaustively
captures each point of view, since each is subject to further
development with further extensions of information, imagination, and
sympathy. They can only be accepted tentatively, as hypotheses to be
tested by acting on them and seeing what further data they
elicit. Some of this data — new regrets, new complaints, new
disapprovals — will disconfirm our hypotheses and provide
grounds for revising our ideals, principles, and standards. (This is
not to suggest that the import of the data themselves should be taken
at face value. Some regrets simply reflect the resistance of old
dysfunctional habits; some complaints are unreasonable; some
disapprovals reflect hidebound and dogmatic dispositions. But these
hypotheses, too, can be tested.) History and the social sciences
provide us with additional data on the customs and laws by which
people have dealt with the problems that have arisen in their
circumstances, and general knowledge of human psychology and social
interactions that enable us to learn from the experiences of others
and formulate educated guesses — new hypotheses — for how
we might solve our problems.

5. Aesthetic Value

Dewey’s identification of intelligent reflection with experimental
methods applied to nature might be thought to suggest a narrowly
scientistic worldview, in which values are reduced to purely
subjective, arational “oughts” or likings applied to inherently
value-free facts or natural kinds discovered and defined independently
of human valuations. In fact, Dewey’s project aims to unify
scientific with humanistic inquiry rather than to enforce divisions
between the two. While intelligent humanistic inquiry partakes of
experimental method, scientific inquiry itself is an art (EN 285–6).
The categories in terms of which we make intelligent sense of the
world are not limited to those which are useful solely for describing
objects of abstract, generalized knowledge divorced from feelings and
aspirations. Feelings and aspirations are themselves part of the
natural world and hence proper subjects of experimental investigation
(EN 316). The job of art is to create objects that enhance our
capacities for meaningful, appreciative experience. Criticism in turn
aims to develop meaningful categories that inform enriched experiences
of objects. “Nothing but the best, the richest and fullest experience
possible, is good enough for man” (EN 308).

For experiences to be capable of such enrichment, they must be able to
incorporate intelligent appraisals, just as desires and actions do.
To the extent that such incorporation is attentive to the features of
the object along with their import, so as to produce a unified, free,
emotionally engaged, satisfying, appreciative experience of the
object, the experience realizes aesthetic value (AE 42–3, 47). Such
appreciative perception of the object incorporates knowledge of causes
and effects. “[T]here enter[s] into the [epicure's] taste, as
directly experienced, qualities that depend upon reference to its
source and its manner of production in connection with criteria of
excellence” (AE 55). The listener informed by music theory learns to
hear, and thereby take pleasure in, different types of modulation from
one key to another, and is thereby primed for certain musical
expectations, creating alternating tensions, fulfillments, and
surprises as the musical performance unfolds. Similar claims can be
made for all of the arts, whether they be “fine” or “practical.”

The job of the critic is not to pass judgment on the object as a judge
issues a decision on the basis of precedent, but rather to point out
meaningful features in the object in ways that enhance observers’
experience of it (AE 302–4). Nor should aesthetic appraisal of
artworks simply consist in applications of prior aesthetic standards
to currently perceived works of art. Recall that value judgments are
instruments that, while they may have been found useful in past cases,
may fail to successfully guide current conduct. To the extent that a
work of art is capable of evoking novel appreciative experiences, the
application of established standards of aesthetic value to the work
may close off such novelty and reduce the experience of it to a
stereotyped, boring recapitulation of past experiences (if the artwork
happens to meet the old standard), or, worse (if it fails to meet the
old standard) provoke a stunted reaction of offense or disapproval. In
such cases the aesthetic judgment would have failed to do its job,
which is to enhance perception by drawing the observer’s attention to
features of the object, and of relations among the object, its
creator, and observers, that are understood as meaningful and thereby
excite feeling (AE 303). Criticism renders the aesthetic value of an
artwork objective to the extent that it succeeds in evoking common
appreciative experiences among many observers by drawing their
attention to the same features and relations of the artwork (AE
312–3).

On Dewey’s expansive understanding of the aesthetic dimension of
experience, aesthetic value is not possessed by works of art alone,
but can also be possessed by tools and other instruments (EN 283). In
the course of repairing a shelf, one might use a hammer and feel its
heft and balance to be splendidly proportioned for the task, feel the
handle to be molded in a way that perfectly fits one’s hand, perceive
its materials to have been selected with attention to their fitness
for driving nails, and so forth. Such intelligent appreciation of the
hammer in one’s direct experience of it amounts to an aesthetic
valuation of it, insofar as the experience itself is savored and one’s
perceptive faculties are not merely identifying instrumentally
valuable features of the hammer for future reference but actively
engaged in appreciating the aptness of its design and materials. The
repair job, too, can have aesthetic value to the extent that one
experiences it as a unified, smoothly unfolding process, beginning
with an astute assessment of the required operations, leading to the
skilled, fluid, unfrustrated execution of these operations, and ending
with what is appraised and prized as a successful conclusion–the
object experienced as satisfactorily repaired. When the experience of
this process as aptly unifying means and ends absorbs one’s
appreciative attention, either as actor or as observer, it has
aesthetic value.

On this account, the work process itself can have aesthetic value.
Dewey’s aesthetic theory thus provides the basis for understanding his
critique of work as it exists in societies sharply divided by class.
In such societies, the processes of work are reduced to merely
mechanical operations assigned to a servile class, and divorced from
consummatory experiences of the propertied, leisure class that enjoys
the products of others’ labor. Class division, by divorcing means
from ends (production from consumption) and intelligent planning from
physical operations, reduces physical labor to a tedious, mindless,
meaningless mechanical exercise of habit, which thereby lacks
aesthetic value in lacking unity and intelligent appreciation. The
challenge of the modern day is to consider how work, and human
activity generally, can be reformed so that it has aesthetic value and
is thus no longer valued merely instrumentally (EN 277–8, 307–8).

6. Social Ethics

Consistently with his contextualism, Dewey stressed the social
circumstances in which different moral theories
arose. His Ethics begins, not with a review of rival moral
theories, but with a survey of anthropology and a brief history of the
moral problems and practices of the ancient Hebrews, Greeks, and
Romans. By locating moral theories in their social contexts, Dewey
exposed their limitations. Theories that make sense in certain
contexts may not make sense in others. For example, Dewey argued that
the failure of ancient Greek teleological theories to grasp the
independence of the right from the good arose from the fact that the
good for individual citizens of Greek city-states was inextricably
wrapped up with participation in civic life and promotion of the good
of the city-state as a whole (TIF 283).

Dewey also stressed the ways abstract philosophical doctrines are
socially embodied, frequently so as to rationalize and reinforce
stultifying and unjust social arrangements. For example, the sharp
dichotomy between purely instrumental and intrinsic goods both
reflects and reinforces an organization of work life that reduces it
to drudgery. Since work is of merely instrumental value, so the
thinking goes, there is no point in trying to make it interesting to
those who do it. The dichotomy also rationalizes oppressive class
divisions. Insofar as the good life is conceived in terms of devotion
to or enjoyment of purely intrinsic, noninstrumental goods (such as
intellectual contemplation and the appreciation of beauty), it is a
life that can be led only by a leisured class, whose members do not
have to spend their time earning a living. This class depends upon a
working class whose function is to provide them with the leisure they
need to pursue the good life. Dewey’s critique of traditional ways of
distinguishing means from ends is thus simultaneously a critique of
class hierarchy (HNC 185–8, TV 235).

Dewey argued that the primary problems for ethics in the modern world
concerned the ways society ought to be organized, rather than personal
decisions of the individual (E 314–316). Thus, in contrast with his
voluminous political commentaries, Dewey published very little on
personal “applied ethics.” The rapid social changes that
were taking place in his lifetime required new institutions, as
traditional customs and laws proved themselves unable to cope with
such issues as mass immigration, class conflict, the Great Depression,
the demands of women for greater independence, and the threats to
democracy posed by fascism and communism. As a progressive liberal,
Dewey advocated numerous social reforms such as promoting the
education, employment, and enfranchisement of women, social insurance,
the progressive income tax, and laws protecting the rights of workers
to organize labor unions. However, he stressed the importance of
improving methods of moral inquiry over advocating particular moral
conclusions, given that the latter are always subject to revision in
light of new evidence.

Thus, the main focus of Dewey’s social ethics concerns the
institutional arrangements that influence the capacity of people to
conduct moral inquiry intelligently. Two social domains are critical
for promoting this capacity: schools, and civil society. Both needed
to be reconstructed so as to promote experimental intelligence and
wider sympathies. Dewey wrote numerous works on education, and
established the famous Laboratory School at the University of Chicago
to implement and test his educational theories. He was also a leading
advocate of the comprehensive high school, as opposed to separate
vocational and college prepatory schools. This was to promote the
social integration of different economic classes, a prerequisite to
enlarging their mutual understanding and sympathies. Civil society,
too, needed to be reconstructed along more democratic lines. This
involved not just expanding the franchise, but improving the means of
communication among citizens and between citizens and experts, so that
public opinion could be better informed by the experiences and
problems of citizens from different walks of life, and by scientific
discoveries (PP). Dewey regarded democracy as the social embodiment
of experimental intelligence informed by sympathy and respect for the
other members of society (DE 3, 89–94). Unlike dictatorial and
oligarchic societies, democratic ones institutionalize feedback
mechanisms (free speech) for informing officeholders of the
consequences for all of the policies they adopt, and for sanctioning
them (periodic elections) if they do not respond accordingly.

Dewey’s moral epistemology thus leads naturally to his political
philosophy. The reconstruction of moral theory is accomplished by
replacing fixed moral rules and ends with an experimental method that
treats norms for valuing as hypotheses to be tested in practice, in
light of their widest consequences for everyone. To implement this
method requires institutions that facilitate three things: (1) habits
of critical, experimental inquiry; (2) widespread communication of the
consequences of instituting norms, and (3) extensive sympathy, so that
the consequences of norms for everyone are treated seriously in
appraising them and imagining and adopting alternatives. The main
institutions needed to facilitate these things are progressive schools
and a democratic civil society. Experimentalism in ethics leads to a
democratic political philosophy.

Bibliography

Primary Literature

Abbreviations of Principal Works Bearing on Dewey’s Ethics

Collections

  • Dewey, J., 1967, The Early Works, 1882–1898, Ed. J. A.
    Boydston, Carbondale: Southern Illinois University Press.
  • Dewey, J., 1976, The Middle Works, 1899–1924, Ed. J. A.
    Boydston, Carbondale: Southern Illinois University Press.
  • Dewey, J., 1981, The Later Works, 1925–1953, Ed. J. A.
    Boydston, Carbondale: Southern Illinois University Press.
  • Dewey, J., 1994, The Moral Writings of John Dewey, Ed. J.
    Gouinlock, Buffalo, N.Y.: Prometheus Books.
  • Dewey, J., 1998, The Essential Dewey, Ed. L. Hickman and T. M.
    Alexander, Bloomington: Indiana University Press.

Secondary Literature

  • Fesmire, S., 2003, John Dewey and Moral Imagination: Pragmatism in
    Ethics
    , Bloomington: Indiana University Press.
  • Garrison, J. W. (ed.), 1995, The New Scholarship on Dewey, Dordrecht
    and Boston: Kluwer Academic.
  • Gouinlock, J., 1972, John Dewey’s Philosophy of Value,
    Atlantic Highlands, N.J.: Humanities Press.
  • Gouinlock, J., 1986, Excellence in Public Discourse: John Stuart
    Mill, John Dewey, and Social Intelligence
    , New York: Teachers College
    Press.
  • Hickman, L. (ed.), 1998, Reading Dewey: Interpretations for a
    Postmodern Generation
    , Bloomington: Indiana University Press.
  • Pappas, G., 2008, John Dewey’s Ethics: Democracy as
    Experience
    , Bloomington: Indiana University Press.
  • Ryan, A., 1995, John Dewey and the High Tide of American
    Liberalism
    , New York: W.W. Norton.
  • Tiles, J. (ed.), 1992, John Dewey: Critical Assessments, London New
    York: Routledge.
  • Welchman, J., 1995, Dewey’s Ethical Thought, Ithaca:
    Cornell University Press.
  • Westbrook, R. B., 1991, John Dewey and American
    Democracy
    , Ithaca: Cornell University Press.

Other Internet Resources

Related Entries

Dewey, John: political philosophy |
pragmatism

Consciousness Non Existent?

Essentially, if one believes in determinism, as what seems to be most logical to me, wouldn’t that render our consciousness non-existent, and give us the same amount of identity as a computer?

If all of our choices, preferences, thoughts, calculations, or any mental processes are originated elsewhere than our “selves”, wouldn’t that eliminate the idea of some central core identity? If all we do is receive information and react to it, doesn’t that cause the idea that we can generate original thought to go kaput?

I fail to see how we actually differ from a computer in this regard, in which case, how can we have a consciousness if a computer does not?

Is this consciousness I am experiencing simply an illusion (although I suppose even the word illusion suggests that there is something there to perceive it)? Or some sort of self preservation mechanism innate in all animals, rather than a genuine identity?

Please respond harshly, this is a conundrum I would like to escape. I suppose one could try to defeat determinism (the root of this problem), but I have yet to read a convincing argument *for* free will, although this could simply be due to a lack of attention on my part.

Samuel Ibn Tibbon

Samuel Ibn Tibbon (c. 1165–1232) was a translator, philosopher,
and philosophical commentator on the Bible. He is most famous for his
translation of Maimonides’ Guide of the Perplexed from
Arabic into Hebrew. But he translated other works by Maimonides, and
produced the first Hebrew versions of Aristotle and Averroes. In
addition to his work as translator, Ibn Tibbon was an original
author in his own right. He wrote the first full Aristotelian
explication of the biblical book Ecclesiastes, a
philosophical-exegetical monograph entitled Ma’amar Yiqqawu
ha-Mayim
, and several smaller philosophical-exegetical treatises
and epistles. His work was especially important in his native southern
France (“Provence”), but he had significant influence also
on Jewish philosophy in Italy, Byzantium, and Spain, through the
thirteenth, fourteenth, and fifteenth centuries. He is rightfully
considered the founder of Maimonideanism, a philosophical-exegetical
movement in medieval Judaism.



1. Historical Background

In the twelfth and thirteenth centuries, southern France (the Midi,
Occitania, what the Jews called “Provence”) was the most
active center of Jewish philosophy. There, in the communities of
Béziers, Carcassonne, Narbonne, Lunel, Montpellier, Arles, and
Marseilles, Jewish scholars devoted themselves to the translation and
dissemination of philosophical texts and ideas. During the period
1148–1306 in particular—from the Almohad persecutions in Islamic
Spain to the expulsion of the Jews from France—much of the
classical tradition, as translated into Arabic and developed in the
Islamic world, was made available in Hebrew. This included works of
philosophy and theology, logic and grammar, mathematics, astronomy,
astrology, and medicine.

The main translators during this period were members of a single
family. Judah Ibn Tibbon (c. 1120–1190), a native of Granada,
resettled in Lunel, where he devoted himself to the translation of
Judaeo-Arabic works, including texts by Saadia Gaon, Jonah Ibn Janah,
Solomon Ibn Gabirol, Bahya Ibn Paquda, and Judah Halevi. His son
Samuel (c. 1165–1232) translated Maimonides, and produced the first
Hebrew versions of Aristotle (the Meteorology) and Averroes
(“Three Treatises on Conjunction,” two by Averroes and one
by Averroes’ son ‘Abd Allah). Most prolific was the next
generation of translators. Thus Jacob Anatoli (c. 1194–1256), the
son-in-law and chief disciple of Samuel, translated Ptolemy,
Averroes’ abridgement of Ptolemy, al-Farghani, and
Averroes’ middle commentaries on Aristotle’s Organon;
while Samuel’s son Moses (fl. 1244–1283) translated dozens of
works by Euclid, Geminus, Theodosius, Themistius, Hunayn b. Ishaq, Abu
Bakr al-Razi, Ibn al-Haytham, al-Hassar, Ibn al-Jazzar, al-Farabi,
Avicenna, Ibn al-Sid al-Batalyawsi, Averroes, Jabir Ibn Aflah,
al-Bitruji, and Maimonides. The last major figure of the family was
Jacob b. Makhir (c. 1236–1306), who translated additional works from
Arabic, by Euclid, Menelaus, Autolycus, Theodosius, Qusta b. Luqa, Ibn
al-Haytham, Ibn al-Saffar, Azarquel, Jabir ibn Aflah, and Averroes. He
also seems to have rendered a work from the Latin: a medical text by
his contemporary Arnold of Villanova.

The Ibn Tibbon dynasty of translators was instrumental in creating a
philosophical library in Hebrew. They also developed a technical
terminology, which was used by translators, philosophers, and
commentators throughout the Middle Ages. Perhaps more significant,
however, were their contributions as original authors. Thus Samuel and
Moses wrote philosophical commentaries on the Bible and rabbinic
literature and philosophical-exegetical monographs, while Jacob
Anatoli wrote a collection of philosophical sermons. These writings,
inspired by the work of Maimonides and saturated with the philosophy
of al-Farabi and Averroes, laid the foundations for a whole
movement of Jewish philosophy and exegesis: Maimonideanism. This
movement attracted enthusiasts in Provence, as well as in Italy,
Byzantium, and to a lesser extent Spain. It exercised influence and
caused controversy throughout the thirteenth and fourteenth centuries
and even into the fifteenth, when Jewish philosophy gradually turned
to Christian-Latin rather than Graeco-Arabic and Arabic sources for
inspiration.

2. Life of Samuel Ibn Tibbon

Samuel Ibn Tibbon—the second generation of the Ibn Tibbon
dynasty—was born in Lunel, a small but very active rabbinic
center in southern France (between Narbonne and Montpellier). There
his father raised him and educated him according to the ideals of
Islamic Spain. Thus, in addition to classical Jewish
subjects—Hebrew language, Hebrew Bible, and Rabbinic
literature—Samuel studied Arabic, philosophy and
medicine. Samuel was also introduced to the literary arts, including
calligraphy, poetry, and epistolary. But the world of belles lettres
did not find favor with the younger Ibn Tibbon; he was far more
interested in philosophy than poetry.

Although Samuel was raised in Lunel, he traveled extensively for
business and in pursuit of knowledge. During his youth, he visited
Marseilles with his father in order to engage in commerce. He
completed his translation of the Guide of the Perplexed in
Arles in 1204, consulted manuscripts of the Meteorology in
Toledo and Barcelona (between 1204–1210), and traveled twice to
Alexandria, returning in 1210 and 1213 (while in Egypt he seems to
have acquired Maimonides’ “Letter to Yemen” and an
autograph copy of the Mishneh Torah). By 1211, Samuel
seems to have moved his primary residence to Marseilles. There Jewish
sages, on their way to the holy land, visited him in order to consult
his translation of the Guide. It was in Marseilles, moreover,
where he taught his son-in-law and most famous disciple Jacob
Anatoli.

During his early years, Samuel was influenced primarily by his
father. His mature work, in contrast, was built largely upon the
foundations of Maimonides. Samuel translated the Guide and
other writings by Maimonides, and corresponded with the “True
Sage” regarding problems of translation and interpretation. In
fact, much of Ibn Tibbon’s life work was devoted to the explanation
and dissemination of the teachings of Maimonides. But promoting
Maimonides meant engaging philosophy more generally as well. Thus he
acquired extensive knowledge of al-Farabi, cited and discussed
Avicenna, and was one of the first scholars to make use of Averroes
and al-Bitruji. There is some evidence that Samuel had contact with
early Christian scholasticism as well. This is suggested by the
surprising similarity between the interests of Ibn Tibbon and those of
his contemporaries, such as Michael Scot and Alfred of Sarashel.

Of all the members of the Ibn Tibbon family, Samuel was the most
influential. He was already quoted and eulogized by his contemporary,
David Kimhi, and had decisive impact on the work of his son Moses and
son-in-law Jacob Anatoli. But his influence is felt elsewhere as well.
For example, in thirteenth-century Provence, he was plagiarized by
Gershom b. Solomon, cited and discussed by Levi b. Abraham, and
defended by Menahem ha-Meiri. In Italy, his writings were consulted
and commented upon by Moses of Salerno, Zerahyah b. Isaac b. Shealtiel
Hen, Judah Romano, and especially Immanuel of Rome, who excerpted
large sections from Ibn Tibbon’s writings and incorporated them into
his commentaries on the Bible. So important was Ibn Tibbon’s work that
he was singled out by the opponents of philosophy. Thus Jacob b.
Sheshet wrote a full-length critique of Ibn Tibbon’s Ma’amar
Yiqqawu ha-Mayim
, while Solomon b. Abraham of Montpellier —
the main anti-Maimonidean activist during the Maimonidean controversy
of the 1230s — accused him of revealing the secrets of
the Guide to the uninitiated. In the thirteenth and
fourteenth centuries, Ibn Tibbon was second to none as Maimonidean
authority in philosophy and philosophical exegesis.

3. Translations

The primary occupation of Samuel Ibn Tibbon was translator. This is
what he was trained to be by his father. His most famous translation
is the Guide of the Perplexed. But he also translated other
works by Maimonides, and produced the first Hebrew versions of
Aristotle and Averroes. A brief description of each of the
translations will be given here.

1. Maimonides, Commentary on the Mishnah, Avot

The first major translation of Maimonides by Ibn Tibbon was the
commentary on Avot, which was completed, according to the manuscript,
in 1202. Ibn Tibbon translated the commentary proper together with
Maimonides’ introduction, entitled “Eight Chapters.”
The preface in particular, consisting of an introduction to and
adaptation of Aristotelian ethics, would become the standard
introduction to philosophical ethics in Hebrew throughout the later
Middle Ages.

2. Maimonides, “Treatise on Resurrection”

It seems that the “Treatise on Resurrection” was
translated into Hebrew during the resurrection controversy
(1202–1204), when Maimonides was accused of denying this religious
dogma. Ibn Tibbon translated it, and, it seems, sent it to Toledo,
where it was retranslated into Arabic and translated afresh by Judah
al-Harizi into a more fluid and readable Hebrew style.

3. Maimonides, Guide of the Perplexed

Ibn Tibbon began to work on this translation already in the 1190s,
corresponded with Maimonides regarding problems of translation and
interpretation, produced a first edition in 1204, and a revised version,
with glossary (Perush ha-Millot ha-Zarot), in 1213. The
translation itself generally circulated with the glossary, together
with Ibn Tibbon’s marginal annotations, an introduction on
translation, and other study aids and ad hoc discussions.

4. Maimonides, “Letter on Translation”

While working on the translation of the Guide, Ibn Tibbon
corresponded with Maimonides, but only one letter by Maimonides
survives. This letter is a complex text, which includes a brief
introduction, discussion of problems in translation, a description of
his busy life in Fustat, and recommendations for philosophical
reading. The letter was originally written in Arabic, but survives
only in several Hebrew translations, one of which was rendered by Ibn
Tibbon himself. This translation also includes Ibn Tibbon’s own
(often critical) remarks on Maimonides’ suggested renderings of
difficult Arabic terms.

5. Aristotle, Meteorology

Ibn Tibbon’s translation of the Meteorology was completed,
according to a manuscript colophon, in 1210, while returning by boat
from Alexandria. In the preface, he discusses the problems of
translating this work: the subject was difficult, the Arabic
translation obscure, and the manuscripts corrupt. Thus he consulted
manuscripts in Barcelona and Toledo in order to help reconstruct the
original. He also examined the commentaries on it by Alexander of
Aphrodisias, Avicenna, and Averroes—for textual witnesses and to
help understand the text. In some cases, he incorporated translations
from the commentators into the translation itself. Ibn Tibbon’s
preface to the translation includes the beginnings of a lexicon,
perhaps part of a larger project, which was never completed or was
incorporated into his larger glossary (to be discussed below).

Why did Ibn Tibbon translate the Meteorology before any other
work by Aristotle? It seems that he did this in response to a remark made
by Maimonides in Guide 2:30—that Meteorology
is the key to understanding the “account of the beginning”
in Genesis, chapter 1.

6. Averroes and ‘Abd Allah, “Three Treatises on
Conjunction”

The translation of three short treatises on conjunction with the
active intellect by Averroes and Averroes’ son ‘Abd Allah
was also a pioneering project. They were the first works of Averroes
rendered into Hebrew, before any of the commentaries on Aristotle. Ibn
Tibbon translated them and attached them to his commentary on
Ecclesiastes. He did this, he maintained, because Averroes and Solomon
were aiming to do precisely the same thing: to defend the doctrine of
conjunction against skeptics who denied that it was possible.

These translations, therefore, like the Meteorology, had
strong exegetical significance. But they were read in their own right
as well. They circulated independently of the commentary on
Ecclesiastes, and became standard textbooks in the discussion of
immortality. Thus, for example, they were included in Gershom b.
Solomon’s encyclopedic work Sha‘ar ha-Shamayim,
were commented on by Gersonides, and were incorporated into Hanokh b.
Solomon al-Konstantini’s Marot Elohim. A composite
Latin version, based on the Hebrew, circulated under the title De
animae beatitudine
.

7. Maimonides, “Letter to Yemen”

The last known translation by Ibn Tibbon is Maimonides’
“Letter to Yemen.” This text he seems to have acquired
while in Egypt; and he translated it into Hebrew circa 1214. Why he
translated this text is not known. But it seems that it did not
circulate widely. Thus already in the 1230s Abraham ibn Hasdai found
it necessary to produce a fresh translation of the work, since he
could not find a copy of the rendering by his predecessor.

8. Other translations

Ibn Tibbon incorporated translations and summaries of Arabic texts
into his original writings as well. This is true in the glossary
attached to the Guide (Perush ha-Millot ha-Zarot),
his commentary on Ecclesiastes, and Ma’amar Yiqqawu
ha-Mayim
. Three of the most important examples are the
following:

8.1 Al-Farabi, Short Summary of Porphyry’s Isagoge and
Aristotle’s Categories

The first entry in Ibn Tibbon’s glossary is the definition of
the ten categories and five predicables. Most of the text presented
there is a word-for-word translation from al-Farabi.

8.2 Al-Bitruji, Principles of Astronomy

In the glossary, commentary on Ecclesiastes, and Ma’amar
Yiqqawu ha-Mayim
, Ibn Tibbon presents a brief summary of
al-Bitruji’s astronomy; these were the first appearances of
Bitruji’s novel theories in Hebrew. In the following generation,
the entire text of al-Bitruji was translated by Samuel’s son
Moses.

8.3 Avicenna, Kitab al-Shifa’, Meteorology

In the third chapter of Ma’amar Yiqqawu ha-Mayim, Ibn
Tibbon presents a partial translation of a section from Avicenna’s
Shifa’ on mountain formation. The theory of
Avicenna—that erosion is prevented by the mixture of mud with
fatty oils—contributed to Ibn Tibbon’s discussion there of
eternity of the world and the possibility of spontaneous
generation.

9. Spurious and doubtful translations

Many other translations are attributed to Ibn Tibbon in manuscripts,
manuscript catalogues, and later sources. Most are clearly spurious;
but two are worth mentioning. Isaac Abarbanel refers to a translation
by Ibn Tibbon of Maimonides’ introduction to chapter ten of
Mishnah Sanhedrin, but this translation does not survive. An anonymous
translation of the text, published by Kupfer, is clearly not his work.
The second is a translation of ‘Ali b. Ridwan’s commentary on
Galen’s Ars parva. According to the colophon, this
translation was completed by Ibn Tibbon in Béziers in 1199. If
this attribution were correct, it would contribute important
information to Ibn Tibbon’s biography. It would also establish the
very early existence of an Arabic medical text in Hebrew. The
translation itself, however, uses terms such as hippus that
Ibn Tibbon, according to his own testimony (see below), only coined
much later, after 1213.

4. Method of Translation

Ibn Tibbon’s translations are generally literal. Unlike Judah
al-Harizi, his rival translator, he was not concerned with felicity of
style or purity of language but accuracy in meaning. Thus he uses
rabbinic as well as biblical expressions, follows the syntax of the
Arabic, and coins new terms, based on the model of the Arabic. He was
criticized for this method—by al-Harizi and others—but it
was his method and terminology that ultimately won out and became
authoritative throughout the later middle ages.

Ibn Tibbon discusses the problems and difficulties of translation in
several texts: The preface to the translation of the Guide,
the prologue to his “Letter on Providence,” the preface to
the glossary and the glossary itself, the preface to
Meteorology, and the commentary on Ecclesiastes. What I would
like to do here is present a brief synthetic characterization of Ibn
Tibbon’s method of translation based on these sources. This subject is
important for understanding the work of Ibn Tibbon and the process of
creating a philosophical culture in Hebrew. Translating philosophy,
moreover, is a philosophical subject in its own right.

1. Editing the text, comparing manuscripts

The first order of business in translating a text is the preparation
of a reliable edition. Thus Ibn Tibbon, as critical scholar, made
every effort to collect and compare manuscripts of the texts on which
he worked. For example, in a brief introduction to his “Letter
on Providence,” he describes his efforts to eliminate
corruptions in his manuscript of the Guide by acquiring
additional copies and comparing them to his Vorlage. In the preface to
the Meteorology, similarly, he indicates that he had
consulted manuscripts of Aristotle’s work in Toledo and Barcelona, and
had studied the commentaries by Alexander, Avicenna, and Averroes, in
order to help construct a more reliable text closer to the
original.

2. Consulting Arabic dictionaries

In the preface to the translation of the Guide, Ibn Tibbon
explains that, when confronted with difficult terms, he would consult
Arabic dictionaries. He does not say which dictionaries he consulted,
but a report by Todros Todrosi, in the preface to his
fourteenth-century translation of Averroes’ Middle Commentary on
Aristotle’s Rhetoric (ed. J. Goldenthal, Leipzig, 1842,
p. 3), provides an exact reference: al-Khalil b. Ahmad’s
Kitab al-‘ayn. Todrosi’s report reads as
follows:

There was not sufficient power in our knowledge of the Arabic
language to produce this translation until God graced me with a
noble book which includes explanations of each Arabic word and its
grammar. It is called Sefer ha-‘Ayin. It is a book that
the noble sage, the greatest of translators, Rabbi Samuel Ibn Tibbon,
may his memory be for a blessing, made great effort to bring from
Islamic lands.

3. Consulting previous translations

In the preface to the translation of the Guide, Ibn Tibbon
explains that, in his translation of Maimonides, he had consulted
previous translations, rendered by his father and by others. Moreover,
he explains that, when a term already exists, he will follow
established convention, even when he disagrees. One example of this
ambivalent deference to tradition is his definition of
“logic” in the glossary. The text (from Perush
ha-Millot ha-Zarot
, ed. Even-Shemuel, pp. 43-4; corrected by
Hebrew MS London 904, 164b) reads as follows:

Logic [higgayon]: Some commentators have
explained [the rabbinic phrase] ‘keep your children from
higgayon’ [Ber. 28b] as referring to the
science called mantiq in Arabic. The Christians call it
‘dialectic,’ [referring to the discipline as a whole] with
the name of one of its parts. I have followed the commentators [with
respect to this terminology] and call [logic] the ‘art of
higgayon.’ But in my view it would have been better had
they called it the ‘art of speech,’ following their
opinion according to which they define man as ‘living and
speaking.’ Indeed, in my opinion, [logic] ought to be called the
‘art of reason’.

4. The use of Saadia’s Tafsir

Another important source of Ibn Tibbon’s translations is the
Arabic translation of the Bible by Saadia Gaon. This presented a ready
lexicon of sorts for the translator: he could identify the Arabic term
in Saadia’s Tafsir and replace it with the biblical term it
translated. One example of Ibn Tibbon doing exactly this is found in
his glossary, in his discussion of the terms “definition”
and “description.” His discussion, as found in the
manuscript versions (see Perush ha-Millot ha-Zarot, ed.
Even-Shemuel, pp. 24-5, corrected by Hebrew MS London 904, 161b), is
as follows:

Having explained the meaning of these five words [namely, the five
predicables], I will attach to them the explanation of two additional
terms, namely, geder, ‘definition,’ and
hoq, ‘description’ … As for the term
hoq, I do not remember having seen this term used in this way
by any [previous translator], but I have seen that Rabbenu Saadia
translated the biblical term hoq, as in the phrase hoq
u-mishpat
, ‘a statute and an ordinance’ [see
e.g. Exod 15:25], as rasm; and similarly he translated
huqqay as rusûmî [see e.g. Ps
50:16]. Because of this, I have translated the Arabic term
rasm into Hebrew as hoq.

5. Consultations with the author

When all else failed—after consulting dictionaries and previous
translations—Ibn Tibbon addressed his queries to the author
himself. In fact, there is evidence that Ibn Tibbon wrote at least
three letters to Maimonides regarding translation and interpretation,
and that he received at least two letters in response. But only Ibn
Tibbon’s “Letter on Providence” (which was mentioned
briefly above), and Maimonides’ “Letter on
Translation” survive. Notable about the latter is that, despite
Ibn Tibbon’s efforts to consult with Maimonides, he generally
ignored the latter’s advice, and continued to follow the
translation terminology and traditions of his father.

6. Coining new terms

One of Ibn Tibbon’s most interesting discussions of translation
is found in his preface to the glossary. There he lists and discusses
six types of “strange” or “foreign” terms used
in his translation of the Guide: neologisms, rare words or
phrases, derived terms, homonyms, terms created through calque, and
new compound expressions. In the preface to the commentary on
Ecclesiastes, he then provides a rare description of how he actually
coined a new term through calque. This description reads as
follows:

Having mentioned the inductive syllogism, I shall explain what I mean
by ‘induction,’ when I use it here and elsewhere. I say:
it seems to me that the philosophers borrowed the Arabic word, which I
replace with the Hebrew hippus, from the language of the
multitude, who use it to express a notion that resembles what the
philosophers intend when they use it. The notion for which the
multitude use this word, namely, istiqrâ’, is as
follows. They say: ‘I have examined [istiqraytu] a
certain land,’ that is, I have traveled through all of it,
seeing the character [‘inyan] of each of its villages
and cities. The philosophers then borrowed [this same term] to
represent the examination [haqirah] of a single universal by
knowing the intention [‘inyan] of each of its parts and
species. They called such an action istiqrâ’,
derived a verb from it, and constructed whatever [grammatical forms]
they desired. They said: ‘I have examined [istiqraytu]
all of the particulars that are subsumed under a certain
universal,’ that is, I have used the speculative method to pass
through all of them, knowing in this way the intention
[‘inyan] of each of them. I did not find a single word
in our language closer to this meaning than hippus, even
though the Arabic word, unlike the Hebrew hippus, implies not
only the examination of a notion but knowledge of the notion
examined.

7. Defense of translation

After completing the first version of the Guide, Judah
al-Harizi produced a rival translation, apparently at the request of
some sages from southern France. al-Harizi’s translation was
written elegantly and in Biblical Hebrew; its goal was to be readable
and accessible. Ibn Tibbon issued his revised translation, with
glossary, in response to this challenge. Thus in the preface to the
glossary he focuses on defending his own work and undermining the work
of his rival. He exposes al-Harizi’s ignorance of philosophy and
highlights his own mastery of the subject matter of the Guide
and sensitivity to the difficulties of translation.

In the preface to the commentary on Ecclesiastes, Ibn Tibbon also
seems to provide explanation why the literal translation of
philosophical texts is superior. There he emphasizes the importance of
word order in the construction of meaning. Drawing from the rhetorical
tradition of “delivery,” he likens a written text to a
speech: it uses certain literary devices to imitate gesture, voice,
and facial expression. The text, describing the method of transmitting
wisdom through “chapter headings,” reads as follows:

[This method of teaching through ‘chapter headings’] can
be done orally and in person; it may even be easy for sages and men of
understanding to do this; for the wise instructor has available many
stratagems, digressions, and circumlocutions with which he can make
the understanding student understand his purpose, even when his
purpose is not made clear or explained. But he cannot do this when
writing in a book. A man, for example, might say to his associate:
‘you did really well when you did that thing,’ while the
person addressed will understand that in the former’s opinion
what he did was really bad. This he understands not from the words
themselves, which are contrary to the speaker’s purpose, but
from certain affectations and accidents of speech, such as the
appearance of the speaker’s face, which may become red or green
like that of an angry man, or his tone of voice; that is, rather than
saying something in a gentle tone, in accordance with the manners of
speech used by someone speaking straightforward, such a person would
speak [using the tone] of someone who is speaking about something that
he considers bad. [The listener can also understand his
interlocutor's purpose] from other things that [the speaker]
might attach to the words or attach the words thereto. Many examples
of this type have been enumerated by the logicians.

Ibn Tibbon proceeds to discuss the ways to do this in a written
text, using rhetorical and poetic devices. The implication for
translation is as follows: any change in the form of a text will have
serious impact on its meaning.

5. Reference Tools and Study Aids

Al-Harizi was right about one thing: that Ibn Tibbon’s literal
translations are difficult to read. But even if they were elegant and
accessible, reading the Guide, and other translated texts,
would require background in philosophy. This Ibn Tibbon recognized.
Thus he did far more than simply producing literal translations; he
also initiated the creation of a cognate literature in Hebrew:
philosophical reference works and study aids. He produced the first
major lexicon of philosophical Hebrew; and he included explanatory
glosses in the margins of his translation of the Guide, which
established the foundation for a proper commentary tradition. A brief
discussion of the glossary will be given here.

The philosophical glossary or lexicon is, in fact, a very old genre.
The tradition of defining key terms was developed already in late
antiquity, and continued into the Middle Ages. For example, al-Kindi,
Avicenna, and Isaac Israeli all wrote books of definitions.

Ibn Tibbon’s Perush ha-Millot ha-Zarot was the first
major philosophical lexicon written in Hebrew. It was written not as a
general introduction to philosophy, like the work of his predecessors,
but as a glossary to one translated text: Maimonides’ Guide
of the Perplexed
. In fact, however, it is much more. It includes
extended discussions of key terms, and works as both glossary and
lexicon, introduction and primer. Many philosophical ideas appear in
Hebrew for the first time in the glossary; and there is evidence that
the text itself was studied independently, as a general reference work
or study aid.

In order to illustrate its character, I’ll present here four
entries from the glossary: rhetorical statement, natural science (or
physics), divine science (or metaphysics), and mathematics. With these
four entries, Ibn Tibbon introduced his Hebrew reader to the entire
Aristotelian curriculum as it had developed in the Arabic world
(including pseudo-Aristotelian works).

1. Rhetorical Statement [Ma'amar Haggadi]:

Know that there are five types of syllogism; Aristotle wrote a book
about each. The first is the demonstrative syllogism, in which
something is deduced from true premises. He called [his book on this
type of syllogism] the “Book on Demonstration”
[=Posterior Analytics]. The second is the dialectical
syllogism, in which something is deduced from generally accepted
premises. He called [his book on this type of syllogism] the
“Book on Dispute and Victory” [=Topics]. The
third type is the rhetorical syllogism, in which the premises are
convincing, that is, they convince the masses of their truth such that
they believe in them. These are inferior to the generally accepted
premises; and they are certainly inferior to the demonstrative. He
called [his book on this type of syllogism] “Rhetoric.”
With this type of statement or syllogism, moreover, one preaches to
the people in order to incite them to do something or refrain from
doing something or to fix in their hearts the love of something such
that they approach it or the hatred of something such that they remove
themselves from it. A statement of this type is called
“rhetorical statement,” just as a statement of the first
type is called “demonstrative statement” and one of the
second is called “dialectical statement.” The fourth is
the poetic syllogism, in which the premises are such that they create
an image in the heart of whoever hears them. This image leads such a
person to love or hate something, even when he knows that there is no
truth in those statements. He called [his book on this type of
syllogism] “Poetics.” The fifth [type of syllogism] is the
sophistical syllogism, of which there are two types: a) the premises
themselves are sophistical, that is, although they appear to be true,
when they are examined carefully by a scholar he finds that one or
both are false; b) although the premises are true, their combination
does not generate a [true] conclusion, even though it seems to do
so. This second type will deceive anyone who fails to examine [the
conclusion] carefully or who is not an expert with regard to all of
the conditions of syllogisms. The name of the book concerning this,
the fifth, type of syllogism is the “Book of Sophistry;”
it is the book called in Arabic al-Safsata and in Romance
Sofistica. These [five] works were prefaced by Aristotle with
his “Book on Syllogism” [=Prior Analytics], in
which he discusses all of them and makes known [in general] the
conditions and properties of the syllogism.

2. Natural Science (Physics):

The Master [Maimonides] has indicated that this is what the Sages
called the “account of the beginning.” He meant by this
that the secrets of the “account of the beginning”
represent chapter headings in natural science, which is the science
that investigates all aspects of things that are governed by nature,
i.e., all celestial and sublunary bodies and their accidents. The final
source of all books in this science are those written by Aristotle.
These include the following: 1) “The Discourses on Nature”
[=Physics], in which natural things are discussed in general.
2) “On the Heavens and the World,” in which the spheres,
planets, and stars, along with the four elements and their mixtures,
are discussed in general. 3) “On Generation and
Corruption,” in which the causes of generation and corruption,
their attributes and quiddity, are discussed in particular. 4)
“The Signs of Heaven” [=Meteorology], in which
accidents and things that come into existence in the upper part of the
atmosphere are discussed; some of these things, when they come into
existence, are also found on land or in the sea. 5) “On Minerals
and Stones,” in which their quiddity and quality are discussed.
6) “On Plants,” in which the nature of every thing that
experiences growth is discussed. 7) “On Animals,” in which
all accidents which affect both rational and irrational animals are
discussed, as well as the utility of their limbs. 8) “On the
Soul,” in which the faculties of the human soul are discussed in
general. 9) “On Sense and Sensibilia” [=Parva
naturalia
], in which the nature of the senses in particular, as
well as sleep and being awake, are discussed. As for the chapter
headings set forth in the biblical section on Genesis, they cover only
a small portion of what is contained in these books: not one in a
hundred or even one in two hundred…

3. Divine Science (Metaphysics):

A science which discusses that which has no nature, i.e., things that
are intellectual and separate from matter, like the Lord, His angels,
and other things that derive from the actions of the intellect and
from the knowledge of the intellect—they have no action in the
sense world. The root of all books in this science is
Aristotle’s book called “Metaphysics.”

4. Mathematics:

Know that the demonstrative sciences have three divisions: natural
science, mathematics, and divine science. We have already explained
the first and the last. As for the second, namely mathematics, it
includes geometry, arithmetic, astronomy—which includes the
study of the spheres and planets and the judgments of the planets
[=astrology]—and the science of melody, which is called
“music.” The three terms “mathematics,”
“propadeutic” and “training” are synonyms used
for this division of science; for it is like a science that trains,
teaches, or serves the other two divisions.

6. Philosophy and Exegesis

Ibn Tibbon wrote two main original works: A commentary on Ecclesiastes
and a philosophical-exegetical monograph entitled Ma’amar
Yiqqawu ha-Mayim
. He also wrote introductions to his
translations, letters to Maimonides, and a short treatise on the
“Reason for the Table and Shewbread.” In addition to these
works, which are extant, he planned two other commentaries as well,
which were never completed: A commentary on the internal meanings of
Proverbs and an esoteric commentary on Genesis, entitled Ner
ha-Hofes
(see Prov 20:27).

What is the character of these writings? Although they are diverse
in form and content, they all share two main characteristics: they
discuss philosophical ideas in the form of biblical exegesis; and they
build upon discussions of verses and rabbinic dicta found in the
Guide and borrow and apply methods developed by the
Guide. Any discussion of Ibn Tibbon, therefore, needs to work
through a complex philosophical-exegetical process: from the Bible,
to rabbinic literature, to Maimonides; and from Maimonides, through
rabbinic literature, to the Bible.

Why did Ibn Tibbon write his philosophy in this way? Why didn’t he
write straightforward philosophical or theological summas or
commentaries on philosophical works by Aristotle or Averroes? In the
thirteenth century, much of the philosophical activity in the Jewish
communities was focused not on general synthesis but on translation,
transmission, defense, and propagation; and teaching philosophy within
the framework of traditional literature was a very effective way of
spreading the ideas of philosophy. In particular, teaching philosophy
through Bible (or rabbinic literature) helped make foreign ideas more
familiar and helped justify the study of philosophy by connecting it
with authoritative exemplars. Most important, it created a safe place
for the doing of philosophy itself; for through a peculiar process of
canonization, beginning with Maimonides and continuing with his
disciples, specific biblical verses or stories became the standard
loci for the discussion of philosophical ideas or problems. The
biblical texts would stay the same, but the philosophical ideas would
change, in light of the novel ideas of a particular exegete or school
of thought.

In order to give a sense of Ibn Tibbon’s philosophical exegesis,
I’ll briefly describe his original writings, then single out a
few specific examples relating to a single problem: the final aim of
human existence.

1. The Preface to the translation of Maimonides, Commentary on
Avot

In the preface to this translation, Ibn Tibbon presents a full and
detailed explication of Jeremiah 9:22–23. He explains and criticizes
Maimonides’ explanation of these verses in Guide 3:54
and offers his own novel interpretation, according to which the final
aim of man is knowledge and understanding of God, and nothing more
(see further discussion below).

2. The Commentary on Ecclesiastes

It seems that this was Ibn Tibbon’s first major exegetical work;
it was likely completed sometime between 1213 and 1221. The commentary
is a large and digressive work, including a long preface, a
verse-by-verse commentary, and several digressions, in which Ibn
Tibbon introduces a philosophical subject or explains a related verse
in Genesis, Jeremiah, Psalms, Proverbs, or the Song of Songs. The
philosophical digressions are mainly related to logic, astronomy,
meteorology, generation and corruption, celestial influence on the
sublunar world, and the soul and its faculties.

Ibn Tibbon’s understanding of Ecclesiastes as a whole is as follows:
Solomon wrote the book in his youth in order to refute ancient
skeptics who denied the possibility of immortality (“conjunction
with the active intellect”). This he did by carefully examining
the arguments against immortality in order to show that they are not
“complete” or “cogent” or
“decisive.” The three arguments he refutes are the
following: that human intellect is intellect in matter, and therefore
cannot become separate from matter or contemplate separate substances;
that the intellect, even though it derives from an incorporeal giver
of forms, still requires a corporeal substrate; that ethics is a first
rather than final perfection, and cannot save the human being from
death and destruction.

3. Ma’amar Yiqqawu ha-Mayim

The title of this work might be translated as: “Treatise on [the
Verse]: Let the waters be gathered (Gen 1:9)” or: “The
[Divine] Saying: Let the waters be gathered (Gen 1:9)”. It was
completed after the commentary on Ecclesiastes, possibly in 1221 or
1231. Like the commentary on Ecclesiastes, it is digressive and
exegetical, although in general it follows the order of Guide of
the Perplexed
, part III. Ibn Tibbon begins this work with a
cosmological question—why is the earth not covered entirely by
water—and then proceeds to answer this and related questions in
relation to verses from Genesis, Isaiah, Ezekiel, Job, and especially
the Book of Psalms.

4. “The Reason for the Table and Shewbread”

This short treatise was occasioned by a statement in Guide of the
Perplexed
3:45. There Maimonides says that, although he can
explain most aspects of the sacrificial cult, he cannot explain the
reason for the table and shewbread. Ibn Tibbon thus takes up this
challenge from the Master. He explains that the table and shewbread,
and the very sensuous sacrificial cult in general, serves as a lesson
in theology. In particular, the gross anthropomorphic representations,
in Ibn Tibbon’s opinion, expose the absurdity of conceiving God as a
body, with all the body’s concomitant needs and relations. In other
words, the temple and tabernacle, working as a reductio ad absurdum of
sorts, helped to spread the true belief in monotheism.

5. Commentary on the Internal Meanings of Proverbs

In the commentary on Ecclesiastes, Ibn Tibbon says that he planned a
commentary on the internal meanings of Proverbs. Although this
commentary was never written, it is possible that preliminary
discussions were incorporated into his other writings. Thus in the
commentary on Ecclesiastes, Ibn Tibbon presents a full and detailed
verse-by-verse explication of Prov 1:1-7 and 8:22-36. The former he
explains as a prooemium, following the philosophical tradition of
writing prefaces: Solomon introduces the title of the work, the name
of the author, the method of presentation, etc. The latter verses he
explains in relation to the possibility of repentance: of sinning,
repenting, and returning to the Garden of Eden.

6. Ner ha-Hofes: An Esoteric Commentary on Genesis

In Ma’amar Yiqqawu ha-Mayim, Ibn Tibbon refers several
times to this book, which he says is a work in progress. It was never
completed, but as with the commentary on Proverbs, it is possible that
preliminary notes and explanations can be found in his other writings.
Thus, for example, the commentary on Ecclesiastes includes several
detailed explications of verses from Genesis, including 1:11, 1:14,
1:20, 1:26, 3:22–24, 8:21–22. Ma’amar Yiqqawu ha-Mayim,
moreover, includes one chapter devoted to Gen 28 (Jacob’s
ladder), one to Gen 11 (the tower of Babel), and discussion throughout
regarding Gen 1 and the “account of the beginning.”

7. Examples of Philosophical Exegesis

Throughout Ibn Tibbon’s writings, he returns time and again to a
few key problems: divine providence, the possibility of immortality,
and the final aim of human existence. These subjects were particularly
vexing: Maimonides had discussed them, but did not provide a consistent
doctrine; al-Farabi had famously denied that conjunction is possible;
while Averroes took up the question of immortality in several works
with differing results. Ibn Tibbon, for his part, worked with the
biblical texts singled out by Maimonides, but developed ideas drawn
from al-Farabi and Averroes. His discussion of three biblical texts,
all relating to the final aim of human existence, are especially
important. His interpretations will be presented here in relation to
those of Maimonides.

1. Genesis 28:12–13

And he dreamed, and behold a ladder set up on the earth, and the top
of it reached to heaven; and behold the angels of God ascending and
descending on it; and behold, the Lord stood above it, and said: I am
the God of Abraham thy father, and the God of Isaac.

In the preface to the Guide of the Perplexed, Maimonides
singles out Jacob’s vision of the ladder in Gen 28 as a paradigmatic
example of the biblical allegory; he isolates seven key terms in the
story, which he decodes, in two different ways, in later chapters of
the Guide. Thus the angels ascending and descending the
ladder are explained in Guide 1:15 as prophets; they ascend
through study and descend, with divine wisdom in hand, to govern the
people. In Guide 2:10, in contrast, the vision is explained
in relation to cosmology rather than politics and prophecy. The ladder
is set up on the earth and extends into the celestial realm, the rungs
on the ladder are the four elements or seven celestial bodies, and the
angels ascending and descending are the celestial intelligences. The
Lord, standing firmly at the top of the ladder, is God as first cause
or prime mover.

Ibn Tibbon was the first philosopher-exegete to build upon Maimonides’
approach and to move it in new directions, which were more consistent
with his own particular interests. Thus in Ma’amar Yiqqawu
ha-Mayim
, chapter 11, he emphasized the epistemological and
cosmological and eliminated the political. According to his
interpretation, the angels ascending are the philosophers, who ascend
the ladder of wisdom toward metaphysics, the final subject of the
curriculum. Who then are the angels that descend? They are not the
prophets, descending with wisdom to rule the people, but separate
intelligences, which descend to help the human intellect reach its
final perfection: knowledge of and conjunction with God.

2. Jeremiah 9:22–23

Thus saith the Lord, Let not the wise man glory in his wisdom, neither
let the mighty man glory in his might, let not the rich man glory in
his riches; But let him that glorieth glory in this, that he
understandeth and knoweth me, that I am the Lord which exercise
lovingkindness, judgment, and righteousness, in the earth: for in
these things I delight, saith the Lord.

In Guide 3:54, Maimonides presents a brief discussion of the
purpose of human existence. Building upon Aristotelian treatments of
this problem, he presents four possible human ends: perfection in
wealth, health, ethics, and intellect. He then introduces a biblical
text, Jeremiah 9:22–23, which he says presents the same ideas of the
philosophers, but with one important addition. Namely, like the
philosophers, Jeremiah also singles out four possible
perfections—“might,” “riches,” ethical
“wisdom,” and “understanding and
knowledge”—but he adds something more as well:
“exercising lovingkindness, judgment, and righteousness, in the
earth.” Thus knowledge of God, Maimonides seems to suggest,
should lead to action; the contemplative should serve a practical
end.

In the preface to the translation of Maimonides on Avot, as well as in
the commentary on Ecclesiastes, Ibn Tibbon discusses these same verses
from Jeremiah in detail, explains and criticizes Maimonides’
interpretation of them, then presents his own novel
explication. According to Ibn Tibbon, the final human perfection is
knowledge and understanding of God, without qualification. Thus the
verse should be understood differently, with the final clause relating
to God rather than man; man should understand and know God, full
stop.

3. Song of Songs 5:2

I sleep, but my heart waketh: it is the voice of my beloved that
knocketh.

In Guide 3:51, Maimonides cites Song of Songs 5:2 in the
course of his discussion of the patriarchs and Moses. These figures,
he says, reached the highest level of human perfection, for they were
in constant communion with God and also fully involved in the creation
and governance of a religious community. They were like the
protagonist of Song of Songs, with heart awake even while asleep.

What was Ibn Tibbon’s understanding of the same subject? How did he
build on and respond to Maimonides’ use of the verse? As in the
previous two examples, Ibn Tibbon cites and discusses Guide
3:51, but suggests a different approach. As he explains in the
commentary on Ecclesiastes, the patriarchs and Moses did achieve this
state of philosophy and politics, precisely as Maimonides had
described it; they were asleep (in the world of matter) with heart
awake (toward the world of God). But in Ibn Tibbon’s opinion, although
this state is worthy of praise, they could have reached a higher state
still: they could have been completely awake, engaged in a life of
pure contemplation, free from the hindrances of the physical and
political world.

In all three of these examples, Ibn Tibbon emphasizes the
contemplative over the practical. He works with the same biblical
texts singled out by Maimonides, but arrives at a different
philosophical position. It is precisely this interesting
philosophical-exegetical give and take, the free discussion of ideas
within a fixed biblical framework, that characterized the Maimonidean
tradition of philosophy and exegesis, which was founded by Ibn Tibbon
and continued by his descendents, disciples, and admirers.

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  • Complete Commentary on Ecclesiastes, James Robinson
    (ed.), Samuel Ibn Tibbon’s Commentary on Ecclesiastes,
    Ph.D. Dissertation, Harvard University, 2002.
  • Complete English translation of the Commentary on Ecclesiastes, in
    Robinson 2007a.
  • Preface to the translation of Maimonides, Commentary on Avot,
    Menahem Kellner (ed.), “Maimonides and Samuel Ibn Tibbon on Jeremiah
    9:22–23 and Human Perfection,” in Studies in Halakhah and
    Jewish Thought Presented to Rabbi Professor Menahem Emanuel Rackman on
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  • Ma’amar Yiqqawu ha-Mayim, M. Bisliches (ed.),
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[fivefilters.org: unable to retrieve full-text content]

So any effective procedure (i.e. automatic/mechanical algorithm that terminates in a finite time) must be able to be written by a finite string of sentences in some language.
Give an argument that the set of effective procedures is countable..

would appreciate any help thanks

The Epistemic Basing Relation

The epistemic basing relation is the relation which holds between a
reason and a belief if and only if the reason is a reason for which
the belief is held. It is generally thought to be a necessary, but
not sufficient, condition for a belief’s being justified that
the belief be based on a reason. The basing relation is what
distinguishes good reasons which a person possesses that contribute
to the personal justification of a given belief from good reasons
which the person possesses but that do not contribute to the personal
justification of the belief.

Basing relations may be involved in both inferential and
non-inferential justification. For example, one may hold that sensory
states count as reasons, and thus require that a sensory belief be
based on a reason if it is to be justified by that reason. In
addition, one might understand at least some self-evident beliefs to
be based on the meanings of the various terms of the sentence
expressing the proposition believed. For example, one’s belief
that all bachelors are unmarried men may be understood to be based on
the meanings of ‘all’, ‘bachelors’,
‘are’, etc.

The basing relation is most frequently analyzed in terms of a
reason’s causing a
belief.[1]
In such analyses, the reason and the belief are understood to be
mental states of a person. The cause may be a contributing cause or a
sufficient cause. However, the basing relation has also been analyzed
as an appropriate counterfactual cause of a belief and also as
depending on an appropriate meta-belief to the effect that a reason
is a good reason to hold the belief.

Analysis of the basing relation is relevant to a variety of
fundamental epistemological issues. It is relevant to the nature of
epistemic rationalization and to questions regarding the
internalism/externalism debate. In addition, it has been argued that
reliabilist theories of justification are incompatible with the
correct analysis of the basing relation.



1. Causal Theories of the Basing Relation

Causal theories of the basing relation hold that for a belief to be
based on a reason, the reason must cause the belief in an appropriate
way. Causal theories of the basing relation must not be confused with
causal theories of knowledge or justification. One might take a
causal theory of the basing relation to explain how one has taken
into account the reasons one possesses when forming or evaluating a
belief, regardless of whether the reason actually contributes
to the justification of the belief. Also, one might hold that a
belief’s being justified requires not only being based on a good
reason, but also requires, e.g., the fulfillment of various epistemic
duties, coherence within an appropriate cognitive system, etc.

Paul Moser offers the following example of a causal theory of the basing
relation for propositional reasons (Moser, 1989, p. 157):

S’s believing or assenting to P is based on his
justifying propositional reason Q =dfS’s
believing or assenting to P is causally sustained in a
nondeviant manner by his believing or assenting to Q, and by
his associating P and Q.


Moser limits this account of the basing relation to instances of
inferential knowledge, unlike the more general characterization of the
basing relation given above.

A belief is causally sustained by a reason when the reason maintains
the belief, much like a rope might sustain the height and position of
a hanging plant. On Moser’s account, the belief must be causally
sustained in a nondeviant manner by both the believing of or
assenting to Q and by the association of P and
Q.

Moser defines the appropriate occurrent association relation as follows
(Moser 1989, pp. 141–142):

S occurrently satisfies an association relation between
E and P =df (i) S has a de
re
awareness of E’s supporting P, and
(ii) as a nondeviant result of this awareness, S is in a
dispositional state whereby if he were to focus his attention only on
his evidence for P (while all else remained the same), he
would focus his attention on E.

The association relation may also be non-occurrent and the belief
still justified by the reason in question. In this case, condition
(i) will have been satisfied in the past and the dispositional state
described in condition (ii) will still be present. The “de re
awareness” is a non-propositional, direct awareness of
E’s supporting P. This is the sort of awareness
one might have of being thirsty or cold before thinking “I’m
thirsty” or “I’m cold”. This awareness is non-propositional in
that you need not put it into words in order to have it, and it is
direct in the sense that no sensation state (mental image, sense
datum) need come between being thirsty and being aware of one’s
thirst. By contrast, some have held that, for example, our awareness
that there is a table in the room is indirect in that it is mediated
by a sensation state (mental image, sense-datum) which represents the
table.

In addition to Moser’s theory, there are a variety of other
possible causal theories of the basing relation which might be
proposed. For example, one might eliminate the association condition,
requiring only that the reason cause the belief in some appropriate
way. One motivation for such a theory might be the view that one need
not be aware of a reason for it to be the basis of a belief, as in
the case of subliminal reasons. One issue here would be whether such
subconscious states can be justifying reasons. Alternatively, one
might hold that the reason need not sustain the belief, but only have
caused the belief to come into existence. One motivation for such a
view might be that one may justifiably believe things on the basis of
reasons one has forgotten (Goldman 2001, pp. 214–216). For example,
most people cannot remember on what basis they came to believe that
tigers are native to Asia, but it seems obvious that such people are
still justified in believing this. In such cases, the reason no
longer sustains the belief — in fact, the reason is no longer
possessed. Nonetheless, it might be argued, one’s belief that
tigers are native to Asia is still based on the reason which
originally caused it. On the other hand, one consideration against
this view is the intuition that a belief cannot be justified if one
possesses no reason for it. In addition, it may be argued that there
are other ways of accounting for how a belief may be justified even
if the original reason for it has been forgotten. For instance, one
might reason as follows: “I can’t recall where I first learned
this, but I feel sure it is true, and such feelings have proved to be
reliable in the past. Hence, my belief that tigers are native to Asia
is probably true.”

A variety of objections have been raised against causal theories of
the basing relation
generally.[2]
The most common of these is the problem of deviant causal chains, a
problem which plagues causal analyses in general. With regard to the
basing relation, the problem is that not every instance of a reason’s
causing a belief will establish a basing relation. Alvin Plantinga
illustrates the problem well (Plantinga 1993, p. 69, n.8):

Suddenly seeing Sylvia, I form the belief that I see her; as a
result, I become rattled and drop my cup of tea, scalding my leg. I
then form the belief that my leg hurts; but though the former belief
is a (part) cause of the latter, it is not the case that I accept the
latter on the evidential basis of the
former.[3]

What makes the problem so difficult is that there are a variety of
ways the causal chain of events can go wrong and thereby fail to
establish a basing relation. For example, glitches in the brain,
wandering thoughts, wishful thinking, strong emotions, etc., may all
be implicated in deviant causal chains. It is quite difficult to
clearly explain what non-deviant causation amounts to, yet without
such an explanation causal theories are ultimately unsatisfactory.

A second line of objection to causal theories of the basing relation
involves what I will call Gypsy-Lawyer style counterexamples, after
the first such example, formulated by Keith Lehrer (Lehrer
1971).[4]
Lehrer’s example goes like this: suppose a series of eight
grisly murders has been committed, all the available evidence
indicates that the lawyer’s client committed the first seven of
those murders, and everyone believes that he committed the eighth
murder as well. However, the lawyer, being a practicing member of the
gypsy religion, has absolute faith in the cards. The cards indicate
that his client is innocent of the eighth murder, and the lawyer
comes to believe this on the basis of his faith in the cards. The
lawyer then re-examines the evidence and finds a very complicated
line of reasoning showing that his client is innocent of the eighth
murder. The lawyer recognizes that the complicated line of reasoning
shows that his client is innocent. However, due to the grisly nature
of the case, the lawyer (and everyone else) strongly desires to
believe that the murderer of all eight victims has been found. Thus,
the lawyer’s belief that the complicated line of reasoning is
correct lacks the overwhelming emotional conviction needed to
overcome the lawyer’s desire, and thus cannot cause the lawyer
to believe that his client is innocent of the eighth murder. It is
only his unshakable faith in the cards that is sufficient to cause
the lawyer to believe that his client is innocent. Nonetheless, since
the lawyer takes the line of reasoning seriously, it seems reasonable
to believe that the complicated line of reasoning could give the
lawyer knowledge that his client is innocent.

The idea behind Lehrer’s example is to conjoin the intuition
that the lawyer is justified in believing that his client is innocent
with the view that being justified in holding a belief requires that
the belief be based on a good reason in order to arrive at the
conclusion that the lawyer’s belief that his client is innocent
is based on the complicated line of reasoning.

The case of the gypsy lawyer is very complicated and Lehrer’s
argument has frequently been criticized. Alvin Goldman, for example,
has claimed that “…I find this example unconvincing. To the extent
that I clearly imagine that the lawyer fixes his belief solely as a
result of the cards, it seems intuitively wrong to say that he
knows — or has a justified belief — that his client is
innocent.” (Goldman 1979, p. 22, n.
8) [5]
Goldman does not elaborate on this objection, but the concern is
that the lawyer has not taken his good reason into proper account
when forming his belief that his client is innocent. One way of
responding to this concern is presented below in the discussion of
the causal-doxastic theory of the basing relation.

2. Counterfactual Theories of the Basing Relation

Among the most widely discussed theories of the basing relation is
that presented by Marshall Swain (1979, 1981, and 1985). Concerned
about Gypsy-Lawyer style counterexamples, Swain suggests that a
counterfactual analysis of causation may avoid them without doing
violence to the intuitions underlying causal theories of the basing
relation. A counterfactual statement is a statement of the form “If
A were to occur, then B would occur”, where
A’ and ‘B’ denote events. Roughly,
the idea is that a belief is based on a reason if the reason either
non-deviantly causes or would have caused (in the appropriate
circumstances) the belief in question. Very roughly, where the
reason would have caused the belief (in the appropriate
circumstances), the reason is, in Swain’s terminology, a
pseudo-overdeterminant of the belief, and hence the belief is based
on it. Swain argues that the complicated line of reasoning is a
pseudo-overdeterminant of the lawyer’s belief that his client is
innocent, and hence that there is a kind of causal connection between
the complicated line of reasoning and the lawyer’s belief by
virtue of which the lawyer’s belief is based on the
reasoning. Swain more precisely defines pseudo-overdeterminants as
follows (1981, p. 70):

(DPO) Where c and e are occurrent events, c is
a pseudo-overdeterminant of e if and only if:

  1. c is not a cause of e(that is, there is no causal
    chain from c to e and c is not a genuine
    overdeterminant of e);  and
  2. there is some set of occurrent events, D =
    {d1, d2,…,
    dn} (possibly having only one member), such
    that

    1. each di in D is a cause of
      e; and
    2. if no member of D had occurred, but c and
      e had occurred anyway, then there would have been a causal
      chain from c to e, and c would have been
      causally prior to e.

Here ‘c’ stands for a cause and
e’ for an effect. If we restrict the application of
(DPO) to reasons and beliefs, c will be the reason and
e will be the belief caused by the reason. The
di” will stand for the actual reason(s) for the
belief. So, (DPO) in effect states that if the actual reason(s)
di for the belief had not occurred, then if another
reason c and the belief had occurred anyway, and only the
minimum necessary changes in the person’s epistemic situation
(e.g., the person’s other beliefs, reasons, etc.) are made, then
reason c would have caused the belief and is therefore a
pseudo-overdeterminant of the belief.

It’s important to note that a potential reason will not
pseudo-overdetermine a belief simply because there is some possible
world in which the actual reason does not cause the belief yet the
potential reason does. This is much too broad, for it would allow
beliefs to be based on reasons when it seems obvious that they are
not so based in the actual world. Rather, the various stipulations in
(DPO) are intended to limit the relevant domain of possible worlds to
those as close as possible to the actual world.

Swain’s theory of the basing relation counts
pseudo-overdeterminants of a belief as reasons upon which a belief is
based, as we can see from the definition of the basing relation Swain
offers (Swain 1981, p. 74 and
pp. 86–87)[6]:

(DB) S’s belief that h is based upon the set
of causal reasons R at a time t =df

  1. S believes that h at t; and
  2. For every member rj of R, there is some
    time tn (which may be identical with or earlier
    than t) such that

    1. S has (or had) rj at
      tn; and
    2. Either
      1. S’s having rj at
        tn is a cause (including genuine
        overdetermination) of S’s believing h at
        t or S’s having rj at
        tn is a pseudo-overdeterminant of
        S’s believing that h at t; or
      2. for some ri and ti
        that satisfy condition (i), with ‘ri
        substituted for ‘rj’ and
        ti’ for ‘tn’,
        S’s having rj at
        tn is either a cause or a pseudo-overdeterminant
        of S’s having ri at
        ti, or
      3. … , etc.

Genuine causal overdeterminants occur when two or more causes both
occur and each is sufficient to generate a particular effect. For
example, perhaps a table has five legs, four at the corners and one
at the center. It may be the case that the four legs at the corners
are sufficient to cause the table to remain upright, but if the four
legs at the corners were removed, the center leg would also be
sufficient to keep the table upright. Here, the effect of the
table’s remaining upright is overdetermined by the center leg,
on the one hand, and the four legs at the corners, on the
other. Similarly, perhaps a person has two good reasons for holding a
belief, and either one alone would be sufficient to cause the
belief. In this case, the two reasons would be said to overdetermine
the belief. Assuming that the causal relations were not deviant, the
belief would be based on both of the reasons. The
ri’ and ‘rj
in (DB) are simply reasons on which the belief is based. Condition
(ii) allows that a reason rj, which is in turn a
reason for ri, which in turn is a reason for the
belief that h, is also a reason on which the belief that
h is based, and the “or … , etc.” clause is intended to
include each of the reasons in a long chain of reasoning leading
to the belief to count as reasons upon which the belief is based.

One advantage of Swain’s theory (which could be easily
incorporated into many other theories of the basing relation) is that
reasons are not limited to beliefs. Things like perceptual states
(such as seeing something) or what Swain calls sensation states (such
as experiencing hunger, thirst, pain, or other things which we sense
but not necessarily through the five senses) are counted (by
stipulation) as non-propositional reasons for the purposes of his
theory. Thus, a unified account of belief basing is provided.

As already noted, Swain’s theory is intended to avoid
Lehrer’s objection regarding Gypsy-Lawyer style
counterexamples. The complicated line of reasoning is not a cause or
causal overdeterminant of the lawyer’s belief that his client is
innocent because the lawyer’s strong desire to believe that his
client is guilty of the eighth murder prevents the complicated line
of reasoning from causing the belief that his client is innocent. The
degree of conviction the lawyer has in the complicated line of
reasoning is sufficient for the lawyer to believe the complicated
line of reasoning (once his strong desire to believe that his client
is guilty is overridden by his strong faith (or rational belief, as
the case may be) in the cards), but alone is not sufficient to
override his strong desire to believe that his client is
innocent. Swain argues that (DB) avoids Lehrer’s objection
because the complicated line of reasoning pseudo-overdetermines the
lawyer’s belief that his client is innocent (Swain 1981, p. 74
and pp. 86–87). We can see how this is to work by examining condition
(2)(b) of (DPO). Suppose that the actual cause of his belief that his
client is innocent (di) (namely, the lawyer’s
belief about the result of the card reading) had not occurred, and
that both the complicated line of reasoning (c) and the belief
that his client is innocent (e) had occurred anyway. On this
supposition, the lawyer’s strong desire to believe that his
client is guilty of all eight crimes could not have occurred, because
if it had it would have prevented the lawyer from believing that his
client is innocent. Since the lawyer’s strong desire is the only
thing that prevents the complicated line of reasoning from causing
the lawyer’s belief that his client is innocent, the complicated
line of reasoning would then have caused the lawyer to believe that
his client is innocent. Thus, the complicated line of reasoning
pseudo-overdetermines the lawyer’s belief that his client is
innocent, and hence, on (DB), the lawyer’s belief is based on
the complicated line of reasoning in Lehrer’s original
example. So on Swain’s theory, the lawyer’s belief is based
on the complicated line of reasoning, in accordance with
Lehrer’s intuitions about the case. Contrary to Lehrer, however,
Swain argues that there is a counterfactual causal connection between
the reasoning and the lawyer’s belief that his client is
innocent, thus providing a theory of the basing relation consistent
with the intuition that the basing relation is best analyzed in terms
of a reason’s causing a belief.

A variety of objections to Swain’s theory have been proposed in the
literature.[7]
Perhaps the best of these is that presented by Joseph Tolliver
(1982, pp. 151–155). Tolliver’s counterexample, which he calls
the pendulum case, goes like this: suppose a physics student has
learned that from the period of a pendulum (i.e., the time it takes
to complete a swing) one can calculate its length and vice
versa.  The student measures a particular pendulum and discovers
that it has a length L, and calculates that it must have
period P. The student also has two general beliefs about
pendulums, namely (1) that if x is a pendulum of period
P, then x is a pendulum of length L, and (2)
that if x is a pendulum of length L, then x is a
pendulum of period P. We may suppose that it is clear in this
case that the student’s belief about the period is based (at
least in part) on her belief about its length, but her belief about
its length is not based on her belief about the period. But, Tolliver
claims, the student’s belief about the period
pseudo-overdetermines her belief about the length of the pendulum,
and hence gets counted, on Swain’s theory, as the basis of her
belief about the length of the pendulum. This is so because,
according to Tolliver, if the actual cause of the student’s
belief about the length had not occurred, and if the student still
had both her belief about the period and her belief about the length,
then her belief about the period would have caused her belief about
the length.

One natural line of reply to this sort of counterexample to
Swain’s theory would be to further specify the sorts of changes
in one’s epistemic situation that are consistent with
pseudo-overdetermination. For example, perhaps the student in the
above example would have to engage in further reasoning, inferring
the length of the pendulum from her two general beliefs about
pendulums and her belief about the period of the pendulum. If such
additional inferences could be ruled out as being unwarranted changes
in the student’s epistemic situation, then the student’s
belief about the period would not pseudo-overdetermine her belief
about the length of the pendulum.

3. Doxastic Theories of the Basing Relation

Doxastic theories of the basing relation hold that having an
appropriate meta-belief to the effect that a reason is a good reason
to hold a belief is sufficient for the belief’s being based on the
reason. Such a theory appears to be a natural fit for certain kinds of epistemic internalism. For such an account, see Leite (2008). Some theories of the basing relation, such as those of Helen
Longino and Robert Audi, state that such a meta-belief is a necessary
but not sufficient condition for a belief’s being based on a reason
(Longino 1978; Audi 1986). Such theories hold that if a belief is to
be based on a reason, the reason must non-deviantly cause the belief,
and an appropriate meta-belief must be present. Such theories tend to
be vulnerable to the objections to causal theories of the basing
relation as well as the objections — to be discussed shortly
— to doxastic theories of the basing relation.

Here, we will examine Joseph Tolliver’s account of the basing
relation. Roughly, Tolliver’s view is that a belief is based on
a reason for a person S if and only if S believes that
the reason provides evidence for the belief, and also believes that
it is likely that the probability that the belief is true increased at
the time the reason was accepted. Tolliver’s aim is to avoid
the pendulum objection to Swain’s theory while affirming Swain
and Lehrer’s intuition in the case of the gypsy lawyer that the
lawyer’s belief that his client is innocent is based on the
complicated line of reasoning. Tolliver’s account is as follows
(Tolliver 1982, p.
159):[8]

(B) S bases his or her belief that b on reason
r at a time t if and only if

(1) S believes that b at t and S
believes that r at t, and

(2) S believes that the truth of r is evidence for the
truth of b at t, and

(3) Where S’s estimate of the likelihood of b
equals h at t (h being greater than 0 and less
than or equal to 1), if it were the case that S came to
believe r for the first time at t, then S’s
estimate of the likelihood of the proposition “the likelihood of
b is greater than or equal to h” would be greater at
t then it was prior to t.

Condition (3) is intended to handle the pendulum case
discussed above. In the pendulum case, the student measures the
length of a pendulum and thereby comes to believe that it has length
L. On the basis of this measurement and other truths she
knows about pendulums, the student is able to calculate the period of
the pendulum. Thus, the student’s belief about the length serves as
a reason for her belief about the period. The apparent problem for
Swain’s view was that the students belief about the period also
seemed to be counted as a reason on which her belief about the length
was based, when in fact the basing relation went in the reverse
direction. Tolliver’s theory attempts to handle this problem by
means of condition (3), which is intended to specify the direction of
the evidential support relation. Once the student measures the length
and makes the inference about the period, the student’s estimate of
the likelihood that the pendulum has period P would
increase. However, the student’s belief about the period of the
pendulum would not, according to Tolliver, increase the estimate of
the likelihood that the pendulum has length L because
the student’s belief about the length is needed to calculate the
period.

One common line of objection to doxastic theories of the basing
relation has to do with individuals who do not possess the epistemic
concepts needed to form the meta-belief (that a reason is a good
reason to hold a belief) required by doxastic theories, but who
nonetheless seem to base beliefs on reasons. For example, young or
uneducated persons may seem perfectly capable having reasons for
beliefs even if they lack the appropriate concepts of epistemic
evidence required by condition (2) of Tolliver’s theory. One
possible line of reply to this sort of objection would be to
stipulate that one may have either an appropriate meta-belief or some
appropriate form of awareness that need not involve any particular
fully developed epistemic concept. For example, one might allow, as
does Moser’s theory discussed in the foregoing, that one merely
have a de re awareness of the evidential relation holding
between the reason and the belief.

Another common line of objection to doxastic theories concerns the
possibility of meta-beliefs (to the effect that a reason is a good
reason to hold a belief) which do not establish basing relations.
For example, suppose Ezekiel belongs to a religious cult and
slavishly believes whatever the cult leader, Exidor, tells him. One
day Exidor tells Ezekiel that his belief in God is a good reason to
believe everything else Ezekiel believes, and Ezekiel slavishly comes
to believe this. Nonetheless, it would seem highly counter-intuitive
to accept that, now, everything else Ezekiel believes is in fact
based on his belief in God. Perhaps one way to avoid this sort of
objection is to add additional conditions as to which meta-beliefs
are capable of establishing basing relations. One such solution is
discussed below, in the section regarding causal-doxastic theories of
the basing relation.

A third common line of objection to doxastic theories is that we may
sometimes base beliefs on reasons of which we are unaware. For
example, perhaps beliefs can be based on subconscious reasons. If
so,then beliefs may be based on reasons even though an appropriate
meta-belief (that the reason is a good reason to hold the belief)
cannot be formed because the person remains unaware of the reason.

4. Causal-Doxastic Theories of the Basing Relation

The basic idea of causal-doxastic theories is that a belief may be
based on a reason if either an appropriate meta-belief is present (as
in doxastic theories of the basing relation) or the reason causes the
belief in an appropriate way (as in causal theories of the basing
relation). One motive for such a view is to avoid Gypsy-Lawyer style
counterexamples while preserving the intuition that a reason’s
causing a belief can sometimes establish a basing relation. A second,
more fundamental motive begins with the observation that a belief is
based on a reason when one has, with regard to the belief, taken
proper account of the evidential import of the reason. It would be
odd if, e.g., the conscious evaluation and acceptance of the
evidential import of a potential reason for a belief was, in
principle, completely irrelevant to whether the belief was based on
the reason. Intuitively, it seems that taking proper account of a
reason may merely involve thinking about the evidential import of the
reason in the appropriate way, and whether, in addition, the reason
non-deviantly causes (or, causally sustains) the belief is merely a
contingent, empirical matter.

Keith Allen Korcz’s version of a causal-doxastic theory,
somewhat simplified, is as follows (Korcz 2000):

(CD) A person S’s belief that p is based on a
reason r possessed by S at time t if and only if

  1. S believes that p at t, and
  2. Either
    1. the following two conditions are met:

      1. r is an (or contributes to the) internal cause,
        internal causal overdeterminant or internal causal sustainer, at or
        prior to t, of S’s belief that p, and
      2. r is not rejected at t,

      or

    2. the following four conditions are met:
      1. S at t has a meta-belief or de re
        awareness to the effect that r is a good reason to believe
        p, and
      2. the causal explanation of S’s having this
        meta-belief or state of awareness involves both S’s
        belief that p and r, and
      3. r, the belief that p, and any other reason
        the meta-belief or state of awareness is causally based on meets
        all the requirements of condition (2)(a), and
      4. S has no other meta-belief or state of awareness
        contrary to the meta-belief described in condition (b)(i).

Note that (CD) makes no allowance for a belief’s being based on a
reason when the reason is no longer possessed. There are no such
basing relations, given (CD).

An internal cause is a causal chain of events such that each link in
the chain is either a belief, a reason (construed to include
perceptual and sensation states, as well as beliefs), or an
inference. One’s beliefs, reasons, and inferences collectively
constitute what Korcz calls one’s cognitive structure. The various
sorts of causes mentioned in (a)(i) are required to be internal to
S’s cognitive structure so as to avoid problems with deviant
causal chains. Deviant causal chains seem to occur when the chain of
causal events from a putative reason to a belief veers outside the
persons cognitive structure. For instance, in Plantinga’s example of
Sylvia discussed above, the causal chain of events includes the event
of dropping a cup of tea, and this event is not one which occurs
within the person’s cognitive structure. However, Korcz acknowledges
that this is not a fully satisfactory solution to the problem of
deviant causal chains, given the difficulties of specifying exactly
which events are internal to one’s cognitive system in the appropriate
way.

Condition (a)(ii) (and, in effect, condition (b)(iv)) requires that
the reason a belief is based on not be rejected. A reason for a
belief is rejected when the following two conditions are met:

  1. S has a meta-belief to the effect that the reason is no
    longer a good reason to hold the belief, and
  2. one has no meta-beliefs which contradict the meta-belief
    described in (I).

By virtue of condition (I), this account of rejecting a reason for a
belief allows for a belief to cease to be based on a reason even when
the reason is still retained (not, e.g., forgotten). For example,
suppose I believe that Pablo Neruda was a great poet because all
great poets are revolutionaries and Neruda was a
revolutionary. Later, I come to believe that this inference is
invalid, yet also come to believe that all Nobel Prize winners in
literature are great poets and that Neruda won the Nobel prize in
literature. Thus, I never lose my belief that Neruda is a great poet
and I never lose (at least some of) my original reasons for believing
that Neruda was a great poet (I still believe that all great poets
are revolutionaries and that Neruda was a revolutionary). Instead,
the reasons for which I believe that Neruda was a great poet have
shifted, in part by virtue of the fact that I have come to believe
that my original reasons did not support my belief.

Condition (II) of this account of rejecting reasons excludes
contradictory meta-beliefs in order to account for some cases in
which it is unclear whether the reasons for a belief have been
rejected. Were a person to have contradictory meta-beliefs (perhaps
not recognizing they are contradictory as the result of thinking in
different terms which in fact have the same referent), it would be
unclear whether the reasons were still the basis of the belief.

Condition (b)(i) of (CD), by allowing that the meta-belief (or state
of awareness) merely be to the effect that the reason is a good
reason to hold the belief, is intended to allow the meta-belief to
contain any appropriate epistemic concept the individual may
possess. Conditions (b)(ii) and (b)(iii) are intended to exclude
cases of meta-beliefs which do not establish basing relations, as in
the example of Ezekiel discussed above. Ezekiel has the meta-belief
that his belief in God is a good reason to believe everything else he
believes. According to (CD), the reason this meta-belief does not
establish a basing relation is that it is not non-deviantly caused by
both his belief in God and every other belief he has. Instead, it is
based on his cult leader, Exidor, telling him that his belief in God
is a good reason to believe everything else he believes. For the
meta-belief to establish a basing relation, it must be based on
(i.e., non-deviantly caused by) the belief and reason(s) it is
about. This helps to ensure that the person has taken appropriate
account of the evidential import of the reason for the belief, much
as it does in causal theories of the basing relation.

One line of objection to Korcz’s causal-doxastic theory is that
simply combining causal and doxastic theories is ad hoc, i.e.,
lacks appropriate theoretical support. In turn, this would appear to
prevent the theory from helping us to understand the basing
relation. The basing relation is presumably a unified epistemic
concept calling for a unified analysis, not a haphazard
conglomeration of different conditions, as a disjunctive analysis of
the basing relation as either causes or meta-beliefs would
suggest. While the analysis may be unified in the sense that it is a
causal analysis through and through, one would not expect the kinds
of causes to be so different. This objection gains further support if
it is mistakenly thought that the primary motive for the theory is
merely to avoid Gypsy-Lawyer style counter-examples.

One possible line of response to this sort of objection is to note
that an important motive for the theory is a fundamental fact about
human thinking, and not merely the desire to avoid Gypsy-Lawyer
style counter-examples. Intuitively, a belief’s being based on
a reason involves taking into account the epistemic import of the
reason, and such a mental operation may be of two sorts: either
directly causal (where a reason non-deviantly causes a belief) or
intentional (where one has a meta-belief to the effect that a reason
is a good reason to hold a belief). The ability to reflect on our
beliefs and thereby evaluate them is often thought to be an ability
which distinguishes human cognition from that of many other non-human
animals. And to properly evaluate a belief is simply to take into
proper account its evidential import. Thus, it would be highly
implausible if such reflective evaluations were absent from an
account of a belief’s being based on a reason. Yet on causal
theories of the basing relation, such reflective evaluations are
superfluous. On the other hand, such reflective evaluations do not
appear necessary for a belief to be based on a reason, as previously
argued. There seem to be situations in which non-deviant causes are
sufficient to establish basing relations, again as previously
argued. Therefore, the disjunctive analysis of (CD) appears to be
essential if we are to do justice to the various ways the human mind
may take into account the evidential import of reasons.

5. The Basing Relation and Epistemology

Given that a necessary condition of a belief’s being justified
is that it be based on an appropriate reason, which theory of the
basing relation one adopts may have significant implications for
one’s theory of epistemic justification. For example, accepting
a doxastic or a causal-doxastic theory of the basing relation would
appear to be at odds with the fundamental intuition behind causal
theories of justification (e.g., reliabilism), which assert that a belief
is justified merely by being caused in an appropriate way. On a
doxastic or causal-doxastic theory, a belief may be based on a good
reason (and thus, we may suppose, be justified) even if the belief
were not caused in the appropriate way or even if the belief were,
somehow, not caused at all.

Accepting some doxastic theories of the basing relation will commit
one to a strong form of access internalism. Strong access internalism
is the view that one must be aware of one’s reasons for a belief
in order for the belief to be justified in light of those
reasons. Plausible doxastic theories of the basing relation will
likely have built in this requirement of access to one’s reasons
by virtue of requiring that, for a belief to be based on a reason,
one must believe or be aware that the reason is a good reason to hold
the belief. Plausible doxastic theories will likely stipulate that
one cannot have an appropriate meta-belief or state of awareness
without being directly aware of the reason in question, in order to
avoid counting meta-beliefs such as that of Ezekiel’s, in the
example discussed above, as sufficient to establish basing relations.

Medieval Theories of the Syllogism

Aristotle’s theory of the syllogism played an important role in the
western and near eastern intellectual traditions for more than two
thousand years, but it was during the Middle Ages that it became the
dominant model of correct argumentation.

Historically, medieval logic is divided into the old logic
(logica vetus), the tradition stretching from Boethius (c.
480–525) until Abelard (1079–1142), and the new logic (logica
nova
), from the late twelfth century until the Renaissance. The
division reflects the availability of ancient logical texts. Before
Abelard, medieval logicians were only familiar with Aristotle’s
Categories and On Interpretation and Porphyry’s
Isagoge or Introduction to the Categories and not the
Prior Analytics, where Aristotle develops the theory of the
syllogism — though they did know something of his theory through
secondary sources. Once the Prior Analytics reappeared in the
West in the middle of the twelfth century, commentaries on it began
appearing in the late twelfth and early thirteenth centuries.

Aristotle’s theory of the syllogism for assertoric sentences was a
remarkable achievement and virtually complete in the Prior
Analytics
. To quote Kant, it was “a closed and completed body of
doctrine.” Medieval logicians could not add much to it, though small
changes were sometimes made and it was systematized in different ways.
It was not until the mid-fourteenth century, when John Buridan reworked
logic in general and placed the theory of the syllogism in the context
of the more comprehensive logic of consequence, that people’s
understanding of syllogistic logic began to change.

The theory of the modal syllogism, however, was incomplete in the
Prior Analytics, and in the hands of medieval logicians it saw
a remarkable development. The first commentators tried to save
Aristotle’s original theory and in the course of doing so produced some
interesting solutions, though in the end they were unable to make the
system work. The next generation of logicians simply abandoned the idea
of saving Aristotle and instead introduced new distinctions and
developed a completely new theory that subsumed the logic of
syllogisms.


1. Aristotle’s Theory and Its Shortcomings

In the Prior Analytics, Aristotle presents the first system of
logic, the theory of the syllogism (see the entry on
Aristotle’s logic
and ch. 1 of Lagerlund
2000 for the details). A syllogism is a deduction consisting of three
sentences: two premises and a conclusion. Syllogistic sentences are
categorical sentences involving a subject and a predicate connected by
a copula (verb). These are in turn divided into four different classes:
universal affirmative (A), particular affirmative (I), universal
negative (E) and particular negative (O), written by Aristotle as
follows:

The subject and predicate in the categorical sentences used in a
syllogism are called terms (horoi) by Aristotle. There are
three terms in a syllogism: a major, a minor, and a middle term. The
major and the minor are called the extremes (akra), i.e., the
major extreme (meizon akron) and the minor extreme
(elatton akron), and they form the predicate and the subject
of the conclusion. The middle (meson) term is what joins the
two premises. These three terms can be combined in different ways to
form three figures (skhemata), which Aristotle presents in the
Prior Analytics (A is the major, B the middle, and C the minor
term):

When the four categorical sentences are placed into these three
figures, Aristotle ends up with the following 14 valid moods (in
parentheses are the medieval mnemonic names for the valid moods; see
Spade 2002 (Other Internet Resources), pp. 29–33, for the significance
of these names):

First figure: AaB, BaC, therefore, AaC (Barbara); AeB, BaC,
therefore, AeC (Celarent); AaB, BiC, therefore, AiC (Darii); AeB, BiC,
therefore, AoC (Ferio).

Second figure: BaA, BeC, therefore, AeC (Camestres); BeA, BaC,
therefore, AeC (Cesare); BeA, BiC, therefore, AoC (Festino); BaA, BoC,
therefore, AoC (Baroco).

Third figure: AaB, CaB, therefore, AiC (Darapti); AeB, CaB,
therefore, AoC (Felapton); AiB, CaB, therefore, AiC (Disamis); AaB,
CiB, therefore, AiC (Datisi); AoB, CaB, therefore, AoC (Bocardo); AeB,
CiB, therefore, AoC (Ferison).

A fourth figure was discussed in ancient times as well as during the
Middle Ages. In Aristotelian syllogistic, it has the following
form:

By taking this figure into account we can derive additional valid
moods, all of which are mentioned by Aristotle in the Prior
Analytics
(see, e.g., An. Pr. I.7, 29a19–29). The fourth
figure moods are the following:

Fourth figure: BaA, CaB, therefore, AiC (Bramantip); BaA,
CeB, therefore, AeC (Camenes); BiA, CaB, therefore, AiC (Dimaris); BeA,
CaB, therefore, AoC (Fesapo); BeA, CiB, therefore, AoC
(Fresison).

If we perform a simple calculation based on the four categorical
sentences and the four figures, we find that there are 256 possible
combinations of sentences. Of these, 24 have traditionally been thought
to yield valid deductions. To the 19 already mentioned we must add two
subalternate moods in the first figure (Barbari and Celaront), two
subalternate moods in the second figure (Camestrop and Cesaro), and one
subalternate mood in the fourth figure (Camenop).

The difference between the first figure and the other three figures
is that the syllogisms in the first figure are complete, meaning that
they are immediately evident and do not require proof. This distinction
is important in Aristotle’s theory, since it gives the first figure an
axiomatic character, so that the proofs of the incomplete syllogisms in
the other three figures are arrived at primarily through reduction to
the complete syllogisms.

The reductions of the incomplete syllogisms were made by Aristotle
through conversion rules. He states the following conversion rules in
the Prior Analytics (I.2, 25a1–26):

(1:1) AaB⊃BiA,

(1:2) AiB≡BiA,

(1:3) AeB≡BeA.

During the Middle Ages, (1:1) was called an accidental (per
accidens
) conversion and (1:2) and (1:3) simple
(simpliciter) conversions. Particular negative sentences do
not convert, according to Aristotle.

Not all incomplete syllogisms were reduced to complete syllogisms;
Aristotle also gave other arguments for them. He used two methods to
prove the incomplete syllogisms: reductio ad impossibile and
ekthesis. Thus, he proves Baroco by impossibility, from the
assumption that the premises are true and the conclusion false (An.
Pr.
I.5, 27a36-b1):

  1. BaA Premise
  2. BoC Premise
  3. AaC Assumed as the negation of the conclusion
  4. BaC From (i) and (iii) by Barbara
  5. ⊥ From (ii) and (iv)
  6. AoC From (iii) and (v)

Medieval logicians used this method as well, following
Aristotle.

The ekthesis proof is more complicated and was not commonly
used by medieval logicians, who preferred proofs through expository
syllogisms, a simplification and refinement of the ekthesis.
Aristotle’s method can be expressed in terms of the following rules
(Patzig 1968 and Smith 1982):

(1:4) AiB, therefore, AaC, BaC (where C does not occur
previously),

(1:5) AoB, therefore, AeC, BaC (where C does not occur previously),

(1:6) AaC, BaC, therefore, AiB,

(1:7) AeC, BaC, therefore, AoB.

Based on these rules, the ekthesis method permits
straightforward proofs of the third figure syllogisms. Aristotle proves
Darapti (An. Pr. I.6, 28a22–26) and mentions that Bocardo is
provable by ekthesis (An. Pr. I.6, 28b20–21). The
proof of Bocardo is as follows:

  1. AoB Premise
  2. CaB Premise
  3. AeD From (i) and (1:5)
  4. BaD From (i) and (1:5)
  5. CaD From (ii), (iv) and Barbara
  6. AoC From (iii), (v) and (1:7)

Yet this account of the ekthesis proof is not without its
problems. Even in antiquity, Aristotle was accused of arguing in a
circle, since (1:6) and (1:7) seem to correspond to the third figure
incomplete syllogisms Darapti and Felapton. (1:4)-(1:7) also seem
superfluous, and in fact Alexander of Aphrodisias (fl. c. 200 AD) was
able to show that ekthesis is really all Aristotle needed,
since all the valid moods can be proved with it. Aristotle also used
counterexamples to show that a mood is invalid.

In Chapters 3 and 8–22 of Book I of the Prior Analytics,
Aristotle extends his theory to include syllogisms with modally
qualified categorical sentences. An Aristotelian modal syllogism is a
syllogism that has at least one premise modalized, i.e., that in
addition to the standard terms also contains the modal words
‘necessarily’, ‘possibly’ or
‘contingently’. Aristotle’s terminology is not entirely
clear, however. He speaks only of necessity and possibility, though he
works with two notions of possibility. In what seems to be his
preferred sense, used primarily in the Prior Analytics,
possibility is defined as that which is not necessary and not
impossible. This sense of possibility was called contingency in the
Middle Ages. But there is another sense of possibility in Aristotle’s
On Interpretation according to which possibility is equivalent
to what is not impossible. The first concept of possibility, which I
will henceforth call ‘contingency’, is used in the modal syllogistic.
The second concept is not treated systematically in the Prior
Analytics
.

If we follow this terminology we get eight modal categorical
sentences, which we can raise to twelve if the notion of possibility is
added. If we then perform the same calculation as before, taking into
account the four figures and also the non-modal propositions, we get
either 6,912 or 16,384 possible moods. It would be a gargantuan task,
of course, to go through them all and see which ones are valid.
Accordingly, Aristotle limits his discussion to those modal syllogisms
whose assertoric counterparts are valid, as did most medieval
logicians.

Aristotle treats modal syllogisms with (i) uniform necessity, (ii)
uniform contingency, (iii) mixed necessity and assertoric, (iv) mixed
contingency and assertoric, and (v) mixed necessity and contingency
premises. Possibility sentences are not treated as premises of modal
syllogisms. Sometimes, however, mixed syllogisms are only valid in
reaching a possibility conclusion.

Aristotle uses the same methods to prove the incomplete modal
syllogisms as he uses for the assertoric syllogisms, i.e., conversions,
reductio ad impossibile, and ekthesis. In An.
Pr.
I.3, 25a27–25b26, he accepts the following conversion rules
for necessity, contingency, and possibility sentences:

(1:8) Necessarily AaB ⊃ Necessarily BiA,

(1:9) Necessarily AiB ≡ Necessarily BiA,

(1:10) Necessarily AeB ≡ Necessarily BeA,

(1:11) Contingently AaB ⊃ Contingently BiA,

(1:12) Contingently AiB ≡ Contingently BiA,

(1:13) Contingently AeB ⊃ Contingently BoA,

(1:14) Contingently AoB ≡ Contingently BoA,

(1:15) Possibly AaB ⊃ Possibly BiA,

(1:16) Possibly AiB ≡ Possibly BiA,

(1:17) Possibly AeB ≡ Possibly BeA.

Aristotle accepts no conversion rules for either necessity or
possibility particular negative sentences, though he does accept two
conversions to the opposite quality for contingency sentences (see
An. Pr. I.13, 32a30–32b2):

(1:18) Contingently AaB ≡ Contingently AeB,

(1:19) Contingently AiB ≡ Contingently AoB.

In the Prior Analytics Aristotle gives only vague hints
about how modal sentences are supposed to be interpreted. The problem
is best illustrated by what is often used as a test for all
interpretations of Aristotle, i.e., the problem of the two Barbara
syllogisms. They are discussed at An. Pr. I.9:

The problem is that Aristotle accepts the former but not the latter.
The question then is: Under which interpretation does the former come
out valid but not the latter?

To solve this problem, it has been common in contemporary
discussions to introduce the distinction between de dicto and
de re modal sentences. I have presented the two syllogisms
above with a de dicto reading of the modal sentences, i.e., so
that the modality concerns the way the sentence is or is not true. On
this reading, both Barbara syllogisms seem invalid. But what about the
de re reading? The modality in this reading of the sentences
applies to the manner in which the predicate belongs to the subject.
The two syllogisms will then have the following form:

It is equally obvious in these cases that the first syllogism is
valid whereas the latter is not, since the latter involves five
different terms. This suggests that Aristotle’s modal syllogistic
should be given a de re interpretation (Becker 1933).

However, if this interpretation is accepted, another problem
emerges, namely that the conversion rules are not valid under a de
re
interpretation, for if the de re interpretation means
that the predicate is modified by the mode, the conversion rules will
never be valid. Consider the following example:

(A necessarily)aB,

which should convert to:

(B necessarily)iA.

‘Necessarily A’ has here been transformed to
‘A’, which is a valid move since necessity implies
actuality, but ‘B’ has been transformed to
‘necessarily B’, which is an invalid move. The same can be
said for all the modal conversion rules under a de re
interpretation. If, on the other hand, the de dicto reading is
maintained, it is easily seen that they are valid in view of the
validity of the non-modal conversion rules.

However, Aristotle probably did have something like a de re
reading of the categorical sentences in mind, as many scholars have
come to realize and as most medievals who read him thought. But if the
conversion rules must be given a de dicto interpretation and
the different syllogisms a de re interpretation, the whole
system seems to collapse. This problem makes a consistent
reconstruction of Aristotle’s modal syllogistic using modern modal
logic very difficult. (See Becker 1933, Lukasiewicz 1957, Rescher 1974,
van Rijen 1989, Patterson 1995, Thom 1996 and Nortmann 1996 for such
attempts, and see Hintikka 1973 and Lagerlund 2000 for critical
reflections on these attempts.)

2. Boethius

The medieval tradition of logic is generally thought to have begun with
Boethius (c. 475–526), who ambitiously tried to preserve what was left
of philosophical learning from the declining culture of late antiquity.
In fact, however, he was only able to save parts of ancient logic,
primarily Aristotelian logic (see Lee 1984 for a discussion of
Aristotle’s syllogistic in late ancient thought). He wrote extensively
on the theory of the syllogism, producing a Latin translation of the
Prior Analytics, though it was not used very much before the
twelfth century (see Aristotle, Analytica Priora, and the
introduction by Minio-Paluello). He also wrote two textbooks on the
categorical syllogism: On the Categorical Syllogism (De
syllogismo categorico
) and Introduction to Categorical
Syllogisms
(Introductio ad syllogismos categoricos) (for
the texts, see Migne 1847 and Thomsen Thörnqvist 2001). In
addition, he produced an interesting book called On Hypothetical
Syllogisms
(De hypotheticis syllogismis), which will be
touched on in the discussion below (see Obertello 1969 for the text).

Boethius made no substantial contribution to the theory of the
syllogism, though he was an important transmitter of the theory to
later logicians and his works offer a clear presentation of the
Aristotelian account. But that presentation differs from Aristotle’s
in one important respect. In Boethius, the categorical sentences are
constructed using ‘is’ (’est’) and
not ‘belongs’, as in Aristotle. The four sentences thus
become:

A – Every B is A

I – Some B is A

E – No B is A

O – Some B is not A

Put in this way, it is more obvious that they are subject predicate
sentences, and moreover, that the syllogisms are deductions rather than
conditional sentences. As a result, the four figures look
different:

In systematic terms, Boethius’ change makes no difference and all
medieval logicians writing after him adopted it, even though it makes
the first figure syllogisms less evident. According to Aristotle, the
first syllogism of the first figure (Barbara) should read: ‘A
belongs to all B, B belongs to all C; therefore A belongs to all
C’. This is obviously valid by the transitivity of inclusion. But
if we line up the same syllogism using Boethian formulation we get:
‘Every B is A, Every C is B; therefore Every C is A’. This
is not at all as obvious and we have to switch the places of the
premises to get the same transitivity characteristic: ‘Every C is
B, Every B is A; therefore Every C is A’. Beyond this small but
significant change, Boethius does not contribute much to the theory,
though he is a little more interested than Aristotle in the different
kinds of conversion. His hypothetical syllogistic is, on the other
hand, rather novel.

Like most things in the history of logic, hypothetical syllogistic
also begins with Aristotle. In the Prior Analytics, he says
that every syllogism is either direct or from a hypothesis. Traditional
syllogistic is direct and hence all syllogisms that do not fall into
the patterns of inference defined by the three Aristotelian figures,
but which are nevertheless valid syllogisms, must be hypothetical.
Aristotle’s principal example is a syllogism through impossibility. If
we reason from a hypothesis P via a syllogism to a conclusion Q that is
impossible, then we can conclude that not-P is true and P false
(An. Pr. 41a23–30).

In the second century A.D., Alexander of Aphrodisias tried to
develop this into a theory of the hypothetical syllogism. What emerged
from his attempt is something quite strange and even confused, though
it has been studied at great length (see esp. Speca 2001 and the list
of further references there). Boethius’ On the Hypothetical
Syllogisms
is the only remaining early work on this topic.

A hypothetical syllogism is a syllogism in which one or more
premises are hypothetical sentences. Boethius draws the distinction
between categorical sentences and hypothetical sentences formally by
saying that a categorical sentence involves a predication whereas a
hypothetical sentence involves a condition, i.e., it says that
something is, if something else is. Typically such sentences
are conditional sentences such as ‘if P then Q’, though
Boethius also treats ‘P or Q’ as hypothetical, apparently
because he thinks that disjunction can be translated in terms of a
conditional sentence. Another characteristic of hypothetical sentences
is that they are made up of categorical sentences.

The basic hypothetical sentences he gives are:

(2:1) If it is A, then it is B

(2:2) If it is not-A, then it is not-B

(2:3) If it is A, then it is not-B

(2:4) If it is not-A, then it is B

He also considers sentences involving three terms:

(2:5) If, if it is A, then it is B, then it is C

(2:6) If it is A, then if it is B, then it is C

though a hypothetical sentence can be even more complicated:

(2:7) If, if it is A, then it is B, then if it is C, then
it is D.

Boethius also thinks that hypothetical sentences can be qualified by
modalities such as necessity or possibility, but he never develops this
idea.

In trying to establish what combination of premises form valid
inferences he proceeds like Aristotle and develops lists or tables in
which he can group the valid patterns. The basic sentences (2:1)-(2:4)
combined with a simple categorical sentence as the second premise boil
down to what we today know as modus ponens and modus
tollens
. This led some modern interpreters to think that Boethius
was developing a sentential logic as the Stoics had done (Dürr
1951), but this idea has been rejected by more recent scholars
(Obertello 1969, Martin 1991 and Speca 2001). Whatever Boethius thought
he was doing, he was not trying to develop a sentential logic. This
becomes obvious if one considers a more complex hypothetical syllogism,
such as the following, which he accepts as valid:

If Boethius’ logic is a sentential logic his syllogism would be
translatable into the following:

But this is not a valid deduction, which means either that Boethius
was simply wrong to accept it or that he had something else in mind.
If, on the other hand, we use a term logic such as Aristotle’s
syllogistic, the above inference schema seems valid, since given the
two premises, if something that is A and B is also C and something that
is only B is not C, then that very same thing has to be not A as
well.

Boethius is conscious of a Stoic logical tradition in which the
logical forms of sentences were distinguished according to their
linguistic form, such that ‘if … then’ structures
indicate conditionals and ‘or’ structures indicate
disjunctions, making these terms rather like operators on sentences. He
seems to be using these ideas to demarcate his hypothetical sentences,
though he is still writing in an Aristotelian fashion and developing an
Aristotelian term logic (see Speca 2001 and Marenbon 2003: 50–56). This
mix makes his logic quite confused, and the confusion was not sorted
out until Abelard was able to develop a proper sentential logic out of
Boethius’ suggestions. (See Martin 2009 as well.)

3. Peter Abelard

Peter Abelard (1079–1142)was one of the first original medieval
logicians in the Latin West. His most thorough treatment of the theory
of the syllogism can be found in the Dialectica, though he
occasionally discusses it in other works as well, such as the
Logica ingredientibus (Minio-Paluello 1958). It is only in the
Dialectica, however, that the theory is outlined in full.

Since the logic of the Dialectica is based on Boethius’
commentaries and monographs, we find in it a treatise on categorical
sentences and categorical syllogisms (Tractatus II), and
another on hypothetical sentences and hypothetical syllogisms
(Tractatus IV). But neither of these discussions is very
extensive. Taken together, they are shorter than the discussion of
topical inferences, which indicates that Abelard was most interested in
developing a logic for sentences (Green-Pedersen 1984 and Martin 1987).
His presentation of syllogistic is condensed but highly original. It
reveals that he was not able to study the text of Aristotle’s Prior
Analytics
in any detail. He must have seen it, but he cannot have
had access to a copy himself.

Abelard gives the four standard figures and shows how the second,
third, and fourth (he treats the fourth figure as part of the first
figure with the terms in the conclusion converted) can be reduced to
the first in the standard ways using conversion rules and proofs
through impossibility, but to clarify and simply the theory he also
presents rules showing the validity of the different moods. In the
first figure he gives these rules (I have included the terms A, B, C to
clarify the rules, though they are not in Abelard’s text):

To these he adds two more rules for the second figure:

There are three more rules for the third figure:

If we allow that the conjuncts in the antecedent of these
conditional statements can switch places, and that a universal implies
a particular, these rules exhaust the 24 valid syllogisms.

Abelard’s rules 1 and 2 are equivalent to the rules of class
inclusion that later became the subject of much discussion, i.e., the
so-called dici de omni et nullo rules. These rules are based
on the transitivity of class inclusion and were the standard way in
which later medieval logicians explained how the first figure moods are
perfect or evident.

It was elegant of Abelard to lay out these rules that entail the
valid moods, but then again, the theory of the syllogism is an elegant
and simple system. The simplicity of his nine rules reflects the
simplicity of Aristotelian syllogistic, since on Aristotle’s view only
the first two syllogisms and the rules of conversion plus the method of
proof by impossibility and a couple of other consequences are needed to
demonstrate all 24 valid moods.

Abelard’s hypothetical syllogistic does not repeat Boethius’ mistake
of mixing a term logic like the theory of the syllogism with a
sentential logic. Rather, Abelard’s work should be seen as a very
sophisticated development of a sentential logic. I will therefore not
treat it in this overview, since it belongs to the history of
sentential logic rather than syllogistic. It seems that the medievals
also rather quickly stopped associating the word
‘syllogism’ with this theory.

Abelard is also associated with the history of modal logic. He is
famous as the philosopher who introduced the distinction between de
dicto
and de re modal sentences. The basic notions of
Abelard’s modal theory are to be found in the introduction to Chapters
XII and XIII of his longer commentary on Aristotle’s De
interpretatione
(ed. Minio-Paluello 1958). Abelard concentrates
his analysis on the logical structure of modal sentences, introducing
some new distinctions and concepts that were later commonly used by
medieval logicians.

According to Abelard, modal terms are strictly speaking adverbs
expressing how something said of the subject is actualized, e.g.,
‘well’ or ‘quickly’ or
‘necessarily’. Adverbs that do not modify an actual
inherence, e.g., ‘possibly’, are called secondary modal
terms due to their position in a sentence. Abelard also noticed that in
De interpretatione 12–13, Aristotle operates with nominal
rather than adverbial modes, e.g. ‘it is necessary that’ or
‘it is possible that’. He seems to have assumed that
Aristotle did this because the nominal modes lead to many more problems
than simple adverbial modes. This is more clearly seen from the fact
that sentences including nominal modes, such as ‘Necesse est
Socratem currere
’, can be understood either adverbially,
‘Socrates runs necessarily’, or, as suggested by the
grammar, ‘That Socrates runs is necessary’. He calls these
two alternatives de re necessity sentences and de
sensu
(or de dicto) necessity sentences, respectively.
Abelard seems to be the first to employ this terminology. A de
re
modal sentence expresses the mode through which the predicate
belongs to the subject. The mode is, therefore, associated with a
thing, whereas the mode in the de dicto case (as he also calls
it) is said of what is expressed by a non-modal sentence.

Abelard also referred to this distinction as the distinction between
personal and impersonal readings of a modal sentence, the de
re
sense corresponding to the personal reading and the de
dicto
sense to the impersonal reading because when the expression
necesse est’ or ‘possibile
est
’ is used at the beginning of a sentence, it lacks a
personal subject. Abelard states that this distinction is related to
Aristotle’s distinction between per divisionem and per
compositionem
in the Sophistici Elenchi (4, 166a23–31).
What is new is Abelard’s contention that modal discussions should
proceed by distinguishing the different possible readings of modal
sentences, moving on to consider their quantity, quality, and
conversion as well as their equipollence and any other relations
holding between them on these different readings. Abelard’s
program thus became the standard operating procedure in medieval
treatises on logic.

After Abelard, equipollence and other relations between modal
sentences were commonly presented with the help of the square of
opposition, which Abelard mentions though it does not appear as such in
his works. The square can be taken to refer to de dicto modal
sentences or to singular de re modal sentences. Although the
distinction between de dicto and de re modal
sentences was common in logical treatises on the properties of the
terms, syncategorematic terms, and the solution of sophisms, twelfth-
and thirteenth-century logicians were mainly interested in the logical
properties of singular de re modal sentences. There is no
detailed theory of quantified de re modal sentences from this
period, and the first movements in this direction by Abelard and his
followers were rather confused. A satisfactory theory of de re
modal sentences did not appear until the fourteenth century, when the
various relations between such sentences was presented by John Buridan
in his octagon of opposition.

Medieval logicians generally assumed that Aristotle dealt with
de dicto modal sentences in the De Interpretatione
and de re modal sentences in the Prior Analytics. In
early commentaries on the Prior Analytics, there is usually no
mention of Abelard’s distinction between them. One reason may be that
the only theory available concentrated on singular de re modal
sentences, which are not part of modal syllogistic as developed by
Aristotle.

While the de dicto/de re terminology was used, it was not
all that common. Medieval logicians preferred to use what they took to
be Aristotle’s terminology, talking about modal sentences in the
composite sense (in sensu composito) and divided sense (in
sensu diviso
). The structure of a composite modal sentence can be
represented as follows:

(quantity/subject/copula,
[quality]/predicate)mode

A composite modal sentence corresponds to a de dicto modal
sentence. The word ‘composite’ is used because the mode is
said to qualify the composition of the subject and the predicate. The
structure of a divided modal sentence can be represented as
follows:

quantity/subject/copula, mode,
[quality]/predicate

Here, the mode is thought to qualify the copula and thus to divide
the sentence into two parts (hence the name, ‘divided modal sentence’).
This type of modal sentence was characterized as de re because
what is modified is how things (res) are related to each
other, rather than the truth of what is said by the sentence
(dictum) (see Lagerlund 2000: 35–39, and the entry on
medieval theories of modality
for
further details).

Like virtually all medievals, Abelard thought that Aristotle’s modal
syllogistic was a theory for de re modal sentences. He says
very little about it in his logical works, however. In less than five
pages in the Dialectica (245–249) he treats modal, oblique,
and temporal syllogistic logic. Earlier in the same work, he says a
little about conversion rules. He argues in both the
Dialectica (195–196) and the Logica (15–16) that the
conversion rules can be defended even on a de re reading, but
the conversions he discusses are not modal conversions since the mode
must be attached to the predicate and follow the term in the
conversion, making the conversion into the conversion of an assertoric
sentence. The conversions of de re modal sentences, as Abelard
has defined them, do not hold, as Paul Thom has convincingly shown.
(Thom 2003: 57–58.)

There is no modal syllogistic explicitly outlined in any of Abelard’s
logical works, though in the Dialectica, he exemplifies some
of the valid mixed moods: M–M in the first figure, MM– in
the second, and M–M in the third (M represents a possibility
sentence and ‘–’ an assertoric). He also shows that
uniform modal syllogisms are not generally valid, so that MMM is not
valid unless the middle term in the major premise is read with the
mode attached to it, as in:

A consequence of this, of course, is that the middle term in the
minor premise is ‘possibly B’ and hence no longer a modal
sentence. MMM is consequently reduced to M–M.

Anything more systematic than this has to be drawn out from
Abelard’s definition of modal sentences and their semantic
interpretation. Thom has done this in his book (Thom 2003), where he
claims that there is a very specific system developed that is not at
all similar to Aristotle’s modal system. Abelard was therefore not
attempting an interpretation of Aristotle, but must be seen as
developing a new system based on his reading of de re
sentences. But this project must overcome several problems,
particularly since Abelard cannot use the conversion rule.

4. The Early Commentators on the Prior Analytics

The first known commentary on the Prior Analytics in the Latin
West is an anonymous work that has not yet been edited and thus not
properly studied. The author has been called Anonymous Aurelianensis
III by Sten Ebbesen, who has studied parts of the work, which dates to
c. 1160–80 (Ebbesen 1981). The theory of the assertoric syllogism was
repeated and summarized in almost all logic works from this point into
the thirteenth century, but there are no major commentaries until the
1240’s when Robert Kilwardby (d. 1279) wrote his Literal Commentary
on the Books of the Prior Analytics
(In libros Priorum
Analyticorum expositio
).

Although Kilwardby added nothing of substance to the theory of the
assertoric syllogism, his interpretation of modal syllogistic is quite
remarkable. It was also very influential in the thirteenth and early
fourteenth centuries. Albert the Great, Simon of Faversham, and
Radulphus Brito — in other words, all of the major
thirteenth-century commentators on the Prior Analytics
followed Kilwardby in their interpretations.

Throughout the commentary, Kilwardby assumes that Aristotle’s theory
is correct and makes it his project to find the interpretation that
shows this. He begins by considering a counterexample to the accidental
conversion of necessity sentences:

(5:1) Every literate being is necessarily a human
being.

According to the conversion rules accepted by Kilwardby, (5:1)
should convert to:

(5:2) Some human being is necessarily
literate.

But (5:1) is obviously true whereas (5:2) is false.

As we have seen, this is a common issue for de re readings
of the modal sentences. Kilwardby assumes that Aristotle’s modal
syllogistic is a logic for divided (de re) sentences. He
proceeds to give two separate solutions to this puzzle. The first is
based on a distinction between different readings of (5:1). Kilwardby
explains that the subject term of a sentence can stand for the subject
of the inherence (the suppositum), or for the qualification
through which the subject is specified (qualitas/forma). If
the term ‘white’ stands for its suppositum, it
refers to a thing that is white or to ‘that which is
white’, but if it stands for the quality or form, it refers to
the whiteness inhering in that which is white, rather than to the thing
in which it inheres. Kilwardby says that in (5:1), ‘literate
being’ stands for its suppositum, which explains why
(5:1) is true, whereas in (5:2) the term is taken differently as
standing for the quality or form. According to Kilwardby, the meaning
of the original subject term is changed when it no longer stands for
the suppositum (literate being), but for the abstract quality
of being literate, and it is this change that blocks the conversion.
(5:2) is true if it is read as:

(5:3) Something that is a human being is necessarily that
which is literate.

Kilwardby, however, preferred another solution to these difficulties
for the conversion rules of necessity sentences. The second solution is
based on a distinction between sentences that are necessary per
se
and those that are necessary per accidens. He writes
(I, fol. 7rb):

When it is said: ‘Every literate being is necessarily
a human being’, the subject is not something that can be said
per se of the predicate, but since ‘literate
being’ is not separated from what belongs to a human being in
itself, the sentence is conceded as necessary, though when a sentence
is necessary in this way it is necessary per accidens.
Therefore, when Aristotle says that necessity sentences are
convertible, he means only sentences necessary per se are
convertible.

The idea is here that since ‘human being’ is not
predicated per se of its subject ‘literate being’,
the sentence (5:1) is not a per se necessity sentence and
therefore not convertible. (5:1) is a necessity sentence, though of the
per accidens type, since it is necessarily true only in the
sense that being human and being literate are not separable. Kilwardby
implies that the relation between the subject and predicate terms must
be of a special kind if a sentence is to be called necessary per
se
. In (5:1), ‘literate being’ and ‘human
being’ do not have the close per se relation Kilwardby
demands of a convertible sentence.

Kilwardby thinks that sentences per se should be understood
following An. Post. I.4–6, where Aristotle discusses four
different notions of per se (kath’ hauto)
predication, though Kilwardby seems only to have the first two in mind
when discussing per se necessity. Aristotle says that the
first type of per se predication (per se primo modo)
occurs when the definition of the subject includes the predicate. The
second type of per se predication (per se secundo
modo
) occurs when the definition of the predicate includes the
subject. The best characterization of the first type is the
genus/species relation, where the definition of a species includes its
genus. The second type is often characterized by a proprium
(property), since a proprium is included in the definition of
a subject, as in ‘a human being is able to laugh’, where
the term ‘human being’ is included in the definition of the
predicate ‘able to laugh’. A sentence is per se
necessary if it involves either of these two predications, according to
Kilwardby. Necessity per accidens belongs to all other
necessity sentences, which lack this intrinsic relation between subject
and predicate.

Kilwardby also stresses that in a per se necessity sentence,
the subject must be ‘something belonging in itself to that
predicate’ (‘per se aliquod ipsius
predicati
’), by which he seems to mean that the subject has
the predicate as an essential property, i.e., such that it has the
predicate as a necessary property through itself and not through
something else. A syllogistic necessity sentence is then understood as
a proposition expressing the essential properties of a thing in a
genus/species relationship. He seems to assume that in a per
se
necessity sentence, the subject term is not an accidental term
but an essential or necessary term, and that the subject is
essentially (per se) linked to the predicate rather than
merely through the weaker relation of inseparability. Consequently, if
the subject term is necessary and the link is necessary, it follows
that the predicate term cannot be merely a contingent (accidental)
term. It must be necessary as well. The Aristotelian theory of
necessity syllogistic is thus limited to a special class of terms, all
of which stand for substances. The same terminology is also used to
explain syllogistic for contingency sentences, which suggests that
Kilwardby was trying to develop a uniform and highly original
interpretation of the theory. A number of recent scholars have offered
similar interpretations of Aristotle (see van Rijen 1989, Patterson
1995, Thom 1996, and Nortmann 1996).

When they interpreted Aristotle’s modal syllogistic, most medievals
saw the need to introduce a distinction between different kinds of
assertoric sentences. In the mixed syllogism L–L (L represents a
necessity sentence), the assertoric minor premise cannot be any kind of
assertoric sentence because then the terms could merely be accidentally
connected. Kilwardby therefore introduced a distinction between
absolutely (simpliciter) and as-of-now (ut nunc)
assertoric sentences. The origins of this distinction can be found in
Aristotle (An. Pr. I.15, 34b7–18), but Kilwardby of course
uses his own per se/per accidens terminology to spell out the
difference. An absolutely assertoric sentence involves a per
se
predication whereas an as-of-now assertoric sentence involves a
per accidens predication. In this way, he can guarantee that
an essential connection between the terms in a valid L–L syllogisms is
preserved through to the conclusion. This is not unproblematic (see
Lagerlund 2000, 39–42), though the distinction between different
assertoric sentences needed somehow to be made and remained a problem
throughout the later Middle Ages.

In the end, Kilwardby did not arrive at just the moods accepted by
Aristotle. For example, he accepts –LL for the first figure, which is
not accepted by Aristotle, and does not manage to get –CC and LCC for
Disamis in the third figure. There are also some other moods he does
not succeed in validating and others still he grants but which are not
accepted by Aristotle. But perhaps Kilwardby gets as close as one can
possibly get to making Aristotle’s system consistent. (See Knuuttila
1996, Lagerlund 2000, and Thom 2003 and 2007.)

5. Richard of Campsall

An important figure in the history of syllogistic logic is Richard of
Campsall (c. 1280/90–1350/60). Sometime before 1308 he wrote his
Questions on the Books of the Prior Analytics (Questiones
super librum Priorum Analeticorum
), a commentary on the first book
of the Prior Analytics that devotes 14 of its 20 questions to
modal syllogistic. He seems to think that there is nothing to add to
the theory of assertoric syllogistic and his presentation of it is
fairly standard, but he has lots of interesting things to say about
modal syllogistic.

The main development of modal syllogistic in Campsall’s work is his
systematic application of the distinction between composite (de
dicto
) and divided (de re) modal sentences. Campsall
seems to have held that the system of modal syllogisms presented in the
Prior Analytics was intended for divided modal sentences, and
so he tries to prove that what Aristotle said is basically correct when
modal sentences are understood in this way. But this turns out to be a
very cumbersome task. It is no surprise that he does not quite succeed,
as he occasionally admits.

In his reply to one of the questions in his commentary, he makes a
brief remark about the difference between composite and divided modal
sentences. With regard to universal negative necessity sentences he
writes: “[Such a sentence] in the composite sense is singular and
signifies that the inherence which it modifies is necessary; in the
divided sense it is universal and does not signify that the inherence
that is modified is necessary, but solely that whatever is contained
under the predicate necessarily is removed from whatever is contained
under the subject” (5.38: 110). The universal negative modal sentence
is singular when it is taken in the composite sense, that is, when it
is read so that the modality is predicated of what a non-modal
proposition expresses (dictum) or, as Campsall says, when it
is predicated of the inherence. He goes on to explain that a necessity
sentence in the composite sense signifies that the corresponding
non-modal sentence is necessarily true. ‘That every B is not A is
necessary’ is thus not universal but singular. When the universal
negative necessity proposition is taken in the divided sense, it is
universal. The modality does not qualify the dictum as a
whole, but only the mode of removal of whatever is under the predicate
term from whatever is under the subject term.

Both the conversion rules and the syllogisms for modal sentences in
the composite sense are validated by a small number of consequences,
such as:

(6:1) If the antecedent is necessary, then the consequent
is necessary.

The corresponding non-modal sentence is here assumed to be valid.
Similar consequences can be formed for possibility and contingency
sentences. These exhaust the theory of syllogism for composite modal
sentences and Campsall accordingly spends little time elaborating
it.

It is natural to assume, as Campsall does, that Aristotle meant his
theory of modal syllogisms to cover divided modal sentences, since the
reading of composite sentences Campsall proposes entails that they are
all singular and that Aristotle’s theory is not a theory for singular
sentences. Therefore, he must show how the conversion rules can be made
to hold on such a reading of modal sentences.

In his attempt to give Aristotelian modal syllogistic a consistent
interpretation, Campsall is forced to adopt a very artificial reading
of divided modal sentences. He is clearly influenced by the
suppositum approach suggested by Kilwardby, but he thinks that
both subject and predicate terms should be taken in this way.
Furthermore, he states that the terms in divided modal sentences should
be taken as standing for that which is now under them. He believes that
with these conditions, the conversion rules and almost all of the moods
accepted by Aristotle can be shown to be valid.

Campsall also thinks that on such a reading, the following
holds:

(6:2) C can be one of those that are now under B;
therefore, it is one of those that are now under B.

Campsall takes the terms to signify how things actually are now. If
the terms in the sentence ‘A can be B’ are taken to stand
for the things that are at this very moment under them, then ‘A
can be B’ means the same as ‘A is B’. According to
Campsall, ‘Socrates can be white’ should read in the
divided sense ‘That which is Socrates can now be one of those
that are now white’. If that which is Socrates can be one of
those that are white now, it is one of them; otherwise, Socrates could
not have been that particular white being in the first place. Campsall
thinks that Socrates can be this white being (B1) or that white being
(B2) or …, that is, (B1, B2, … , Bn), and if Socrates is not
actually B1 now, he is B2 now, etc., but Socrates will be one of B1 to
Bn now. This is Campsall’s reason for stating (6:2).

This is not as crazy as it might first seem. Consider the following
schema in quantified modal logic:

(6:3) ∀x (Bx &
◊(c = x) ⊃
Bc).

If (6:3) is an accurate interpretation of (6:2), then it seems true
since (◊(t = t′) ⊃ (t
= t′)) is true for identity statements in Kripke’s S5
if t and t′ are rigid designators.

Given his interpretation of divided modal sentences and consequences
like (6:2), Campsall manages to prove the conversion rules. Like
Kilwardby, he approximates Aristotle’s original system but in the end
does not preserve all of its features. The most interesting features of
Campsall’s work, however, are not the result of his efforts to prove
Aristotle right, but of his apparently successful solutions. His
concept of contingency allows for simultaneous alternatives, such that
if something exists, it is possible for it not to exist at that very
same moment. Campsall thus abandons the fundamental Aristotelian
principle of the necessity of the present (see Knuuttila 1993 and the
entry on
medieval theories of modality
for discussion of criticisms of this principle in the late
thirteenth century). But Campsall’s analysis is complicated by the fact
that, as we have seen, he also accepts the principle that what can
exist now does exist now, and that what does not exist now is
necessarily non-existent now. In other words, he denies the necessity
of the present for affirmative sentences and accepts it for negative
ones. There is thus an asymmetry between affirmative and negative modal
sentences in Campsall’s system.

Accepting simultaneous alternatives and denying the necessity of the
present are typical of modal semantics and modal logic after Campsall,
especially in the work of figures such as William of Ockham and John
Buridan. It is historically interesting that Campsall employs these
principles in his work, even though they are embedded in a theory whose
elements point in another direction, towards Kilwardby. Campsall’s
problematization of the necessity of the present also indicates that he
wants to separate logic from ontology. In many respects, he paves the
way for the next generation of logicians. His complicated
interpretation also shows that no matter how hard one might try, there
is no way to give a consistent interpretation of what Aristotle says in
the Prior Analytics (for discussion, see Lagerlund 2000,
Thom 2003 and Knuuttila 2008).

6. William of Ockham

Around the time William of Ockham (c. 1287–1347) wrote his
Compendium of Logic (Summa logicae), medieval logic
began to change. More emphasis was placed on the theory of consequences
than the theory of syllogisms. A theory of consequences was developed
by Abelard in the course of his discussion of topical inferences and
hypothetical syllogisms, and during the thirteenth century the basic
idea was further developed in treatments of the topics, but in the
fourteenth century works devoted solely to consequences began to appear
(Green-Pedersen 1984). The most famous is John Buridan’s Treatise
on Consequences
(Tractatus de consequentiis), though
earlier authors such as Walter Burley had also stressed consequences
over syllogisms. Burley probably wrote his On the Purity of the Art
of Logic
(De puritate arte logicae) as a reply to
Ockham’s famous Summa. For Ockham, however, syllogisms are
still the most important formal inferences, and he devotes most of Book
III of the Summa to them (see Normore 1999 for a recent study
of Ockham’s logic).

Like Campsall, Ockham has nothing to add to the theory of assertoric
syllogisms, which was by then well understood. Let us, however, have a
look at the proof method using the expository syllogism that medieval
logicians such as Ockham seem to have preferred over Aristotle’s
cumbersome method of ekthesis. Ockham uses this method
frequently, though not as frequently as Buridan later did.

The method is used to prove the third figure moods. Expository
syllogisms are perfect for this because the middle term is the subject
of both premises in that figure. Darapti, for example, runs as
follows:

Proofs by expository syllogism are practically self-evident. To
prove Darapti, one has only to take a particular instantiation of the
two premises to get:

The resulting syllogism is an expository syllogism since it has
singular terms as subject terms, and so Darapti is proved. This method
is reminiscent of ekthesis since it involves particular
instantiation, though it is not the same method.

As we have seen, the theory of modal syllogisms was explored in
order to try to save Aristotle’s theory, and this was still the motive
of most logicians in the first half of the fourteenth century. But
Ockham himself seems no longer to be interested in this project. His
aim instead seems purely systematic, and in his desire to extend his
basic methods he manages to bring the theory into a whole new
light.

The most fundamental distinction in modal syllogistic is of course
that between composite and divided modal sentences, but divided modal
sentences are also equivocal according to Ockham. Using ideas developed
in the theory of supposition, he distinguishes between divided modal
sentences with an ampliated subject term and those with a non-ampliated
subject term. Let us look at how Ockham draws the more fundamental
distinction.

Ockham proceeds by dividing modal sentences into sentences with a
dictum (cum dicto) and those without a
dictum (sine dicto), dividing modal sentences with a
dictum into composite and divided senses. He adds that a modal
sentence cum dicto taken in the divided sense is always
equivalent to a modal sentence sine dicto. Ockham expresses
the dictum in Latin by an accusative and infinitive
construction. Thus, in the sentence ‘That every human being is an
animal is necessary’ (in Latin ‘Omnem hominem esse
animal est necessarium
’), ‘That every human being is
an animal’ (’Omnem hominem esse animal’) is
the dictum of the sentence, which has the mode
‘necessity’ predicated of it. He treats the dictum
as the subject term of the modal sentence, and the mode as the
predicate term. It is important to distinguish between the
dictum and an assertoric sentence. The dictum is what
is asserted in an assertoric sentence. Thus, when the dictum
is said to be necessary or possible and there is a sentence asserting
it, such a sentence is necessarily or possibly true (Summa
logicae
II, 9).

As noted by Campsall, the fact that both the dictum and the
mode are treated as terms has an important consequence for composite
modal sentences. ‘That every B is A is necessary’ is,
according to the reading suggested, not a universal affirmative but a
singular affirmative sentence. Ockham adds that one can also call such
sentences universal or particular, depending on whether the original
sentence — that is, the sentence referred to by the
dictum — is universal or particular.

The syllogistic for composite modal sentences is equally
straightforward and reduces to a few valid consequences. He explicitly
mentions the following six (Summa logicae III-1):

(7:4) and (7:5) are used by Ockham to get:

(7:6) A necessity sentence entails the corresponding
possibility sentence

It is consequences such as these that give Ockham a syllogistic for
composite modal sentences. He simply takes the standard assertoric
syllogistic and applies these rules to them. Ockham’s syllogistic for
divided modal sentences, however, is much less straightforward.

In Book III-1, Ockham expresses the equivocal nature of divided
modal sentences as follows:

But if the possibility proposition is taken in the divided
sense or if one takes a proposition equivalent to it — such as
the propositions, ‘Every human being can be white’,
‘A white being can be black’ and the like — then this
proposition must be distinguished by virtue of the third mode of
equivocation, in the way that a subject can supposit for those that are
or for those that can be, that is, in the way that a subject can
supposit for that about which a thing is verified with a word about the
present or for that about which a thing is verified with a word about
the possible; or else it denotes what it can supposit for, which I say
to exclude quibbling. If this is said about ‘Every white being
can be a human being’, then one sense is, ‘Everything that
is white can be a human being’, and in this sense it is true as
long as nothing is white except a human being. Another sense is,
‘Everything that can be white can be a human being’, and
this is false, provided either only a human being is white or something
other than a human being [is white].

Here he clearly states that a possibility sentence has two readings,
namely:

(7:7) (Quantity) what is B can be (quality) A

(7:8) (Quantity) what can be B can be (quality) A

(7:8) has generated some scholarly debate as to what Ockham really
meant by this reading of divided possibility sentences. Does he mean by
(7:8) that the subject term is ampliated to stand for possible beings
as well as for actual beings? Can a strict nominalist such as Ockham
really accept quantification over possible beings? (For the details,
see Karger 1980, Freddoso 1980, McGrade 1985, Knuuttila 1993: 139–49,
and Lagerlund 2000: 107–112.)

Ockham also thinks that contingency sentences are equivocal in the
same sense as possibility sentences, but not necessity sentences. The
only reading he accepts for these sentences is:

(7:10) (Quantity) what is B is necessarily (quality)
A.

(7:10) implies that only actually existing things have necessary
properties. It is unclear why he thinks this (see Lagerlund 2000:
112–114), but it gives his syllogistic an unattractive feature that has
awkward consequences. For example, no conversion rules for divided
necessity sentences are valid and there are also no valid moods in the
second figure.

Ockham also discusses syllogisms with mixed composite and divided
modal premises. He mentions some very interesting consequences in the
course of this discussion.

(7:11) That every B is A is possible ⊃ Some B is
possibly A

(7:12) That some B is A is possible ⊃ Some B is possibly A

(7:13) That this is A is possible ≡ This is possibly A

(7:14) That this is A is contingent ≡ This is contingently A

(7:15) That this is A is necessary ≡ This is necessarily
A

In (7:11) and (7:12), the subject terms of divided modal sentences
must be ampliated for the consequences to hold. It is interesting to
note that for categorical sentences with singular subject terms, the
distinction between composite and divided senses collapses. His
example is ‘That Socrates is white is possible’ implies
‘Socrates is possibly white’. With the help of these
consequences he can prove some additional moods to be valid in the
different figures. (See Lagerlund 2000: 124–29, and for a systematic
reconstruction see Klima 2008.)

7. John Buridan

John Buridan (c. 1300–1361) was the foremost logician of the later
Middle Ages and in his hands the theory of the syllogism was reworked
and developed well beyond anything seen before in the history of logic.
His two most important logical works are the Treatise on
Consequence
and the Summulae de Dialectica. The
presentation here is primarily based on the Treatise (for
further discussion, see Lagerlund 2000, Chapter 5, and Zupko 2003,
Chapters 5–6).

In the Treatise, Buridan bases his discussion of the
syllogism on a philosophical semantics that views syllogistic inference
as a special case of the much more comprehensive theory of
consequences. Like his immediate predecessors, he was for the most part
uninterested in assertoric syllogisms and moves on quickly to temporal,
oblique, variation, and modal syllogisms, though this does not prevent
him from making some original contributions to the theory of the
assertoric syllogism.

According to Buridan, a syllogism is a formal consequence, and so
syllogistic becomes a branch of the theory of formal consequence. As
consequences, syllogisms are distinguished by their conjunctive
antecedent and single-sentence consequent, and furthermore by their
three terms — though this last condition is not necessary since
Buridan also treats of syllogisms with more than three terms.

Buridan treats of the three famous figures and notes that a
conclusion can be either direct or indirect. In an indirect conclusion,
the minor term is predicated of the major instead of the other way
around. Since the premises are part of a conjunction and together form
the antecedent of a consequent, they can easily switch places, which
means that Buridan can define the fourth figure as a first figure with
transposed premises and an indirect conclusion. Hence, he does not need
to discuss it independently of the first figure.

For Buridan, a formal consequence holds by the principle of uniform
substitution. It is valid for any uniform substitution of its
categorematic terms. A syllogism is a special kind of formal
consequence since it requires for its validity that terms be conjoined
across sentences. How the principle of uniform substitution is supposed
to work here is a bit tricky and forces him to bring into play his
general semantics as well as the notion of distribution. To spell out
the relation of their terms and hence the validity of the first figure
syllogisms, he reformulates the traditional dici de omni et
nullo
rules (see King 1985: 71):

One could say a great deal about these rules, but the term that does
most of the heavy lifting is ‘supposits’. Supposition is a theory
of reference and it is the coreferentiality of terms in the different
sentences in a syllogism that is the decisive factor in determining
whether the principle of uniform substitution is satisfied or not. It
is at this point that he introduces the theory of distribution.

The rules governing the distribution of terms in a sentence are
given as part of his account of common personal supposition. A term is
distributed in a sentence if it is taken to refer to everything it
signifies, such as if the term is in the scope of a universal
quantifier. To indicate when a term is distributed he gives five rules,
according to which universals distribute subjects, negatives distribute
predicates, and no other terms are distributed. If we stay within the
square of opposition (Buridan’s theory of distribution, and hence his
syllogistic, has wide application, extending far beyond the traditional
A, E, I, and O sentences), this implies that universal affirmative
sentences have their subject terms distributed, universal negatives
have both terms distributed, particular affirmatives have neither term
distributed, and particular negatives have only their predicate terms
distributed. (For an influential criticism of this theory of
distribution see Geach 1962, and King 1985 for a reply.)

With his theory of distribution in place, Buridan turns to the
syllogisms, and we see now that in order for a combination of premises
to be acceptable, the middle terms must be distributed —
otherwise we will not have a formally acceptable consequence. Buridan
approaches the problem in combinatorial fashion. Given the four
sentences and two possible positions for each we get 16 possible
combinations. Some of these can be ruled out immediately based on the
rules for distribution. A combination with only negative premises will
not work at all; hence EE, EO, OE, and OO must be rejected. II has both
middle terms undistributed and can thus be rejected. In the first
figure, IA, OA, and OI have an undistributed middle. The other eight
are accepted. In the second figure, we see that AA, AI, and IA must be
rejected because of an undistributed middle. The other eight are
accepted. In the third figure, IO and OI have an undistributed middle
but the remaining nine combinations are accepted.

At first glance, there are some surprises in Buridan’s presentation
of assertoric syllogistic. In the second figure he accepts indirect
conclusions for IEO (Tifesno) and OAO (Robaco), and in the third figure
indirect conclusions for AOO (Carbodo), AEO (Lapfeton), and IEO
(Rifeson). He also accepts syllogisms concluding to what he calls an
“uncommon idiom for negatives,” that is, when the predicate term
precedes the negation, as in ‘Some B A is not’ (Quaedam
B A est non
). Such sentences make no sense in English, but Buridan
treats them as equivalent to sentences where the predicate term
quantified, as in ‘Some B is not some A’. He writes the
sentences in this way because otherwise they would violate his rules
for distribution and scope. Syllogisms concluding to an “uncommon idiom
for negatives” add another three valid forms in the first figure and
two in the second. If we tally this up and include all of the indirect
conclusions, we get 33 valid moods, as opposed to 19 in Aristotelian
syllogistic. If we then add the supplementary subalternate conclusions,
we get 24 valid moods in traditional syllogistic but 38 in Buridan’s
systematization.

Buridan is quite right to accept these additional 14 moods. They are
valid. But his result is not as dramatic as it seems since the middle
terms are either in the subject or predicate position. In the second
and third figure an indirect conclusion becomes equivalent to
transposing the premises. Hence Buridan’s Tifesno, Robaco, Carbodo,
Lapfeton, and Rifeson reduce to Festino, Baroco, Bocardo, Felapton, and
Ferison, respectively. This is also obvious if we look at the names of
these syllogisms, which suggest that Buridan has only reshuffled the
letters of the names of the standard Aristotelian syllogisms. After
having done all this over just a few pages — as mentioned above,
Buridan is rather uninterested in assertoric syllogistic — he
turns to the temporal, oblique, and modal syllogistic. Of these, it is
modal syllogistic to which he devotes the most time.

A temporal syllogism consists of sentences whose copulas involve
temporal ampliation. In such sentences, the supposition of the subject
term is extended to include past and future things as well as present
things. The syllogistic for sentences involving oblique terms is
important for Buridan’s general theory of consequence, since this is
where we find rules governing the behavior of oblique terms in
distributive contexts. His investigation is extraordinarily detailed
and extremely rigorous, qualities all the more impressive when we
consider that he did not have the representational tools of modern
symbolic logic.

The syllogistic for composite modal sentences is straightforward and
Buridan uses only a couple of pages in the Treatise to sketch
its basic structure. The theory of the syllogism for divided modal
sentences is given a much more thorough treatment. For Buridan, a modal
copula always ampliates its subject term to stand not only for present,
past, and future things but also possible things, unless the
supposition of the subject term is explicitly restricted to what is
actual. On this basis, he can give an exhaustive account of the logical
relations between quantified divided modal sentences, which he presents
in the octagon of opposition. Slightly simplified, and assuming that
the complete octagon can be formed by some trivial equivalences holding
between the modalities, it can be depicted as in Figure 1:

Figure 1
Figure 1

Together with the octagon he also uses some consequences to prove
the valid syllogisms. He first states the valid conversion rules:

(8:3) Every B is possibly A ⊃ Some A is possibly B

(8:4) Some B is possibly A ≡ Some A is possibly B

(8:5) Every B is necessarily not A ≡ Every A is necessarily not B

(8:6) (Quantity) B is contingently A ≡ (Quantity) B is
contingently not A

All these are valid assuming their subject terms are ampliated. He
also employs the following consequences:

(8:7) Every B is necessarily not A ⊃ Every B is not A

(8:8) (Quantity) which is B is necessarily A ⊃ (Quantity) B is A

(8:9) (Quantity) B is A ⊃ Some B is possibly A

(8:10) (Quantity) B is necessarily (quality) A ⊃ (Quantity) B is
possibly (quality) A

(8:11) (Quantity) B is contingently (quality) A ⊃ (Quantity) B is
possibly (quality) A

By stating these consequences and the octagon of opposition, Buridan
has presented a virtually exhaustive syntactical account of modal
logic, and, together with his semantics of supposition and
distribution, constructed a powerful logic unmatched by anything
presented in the history of logic before him.

Buridan uses four methods to prove the valid syllogistic moods. All
first figure moods are proved by the rules of class inclusion, that is,
the dici de omni and dici de nullo rules. The second
and third figure moods are proved using three different methods: either
by conversion — that is, by (8:3), (8:4), (8:5) or (8:6) —
by reductio ad impossibile, or by expository syllogism. Proof
by impossibility is used on a few occasions, but Buridan’s approach
here differs in no way from Aristotle’s. This fourth way is frequently
used to prove the valid third figure moods. Since the number of
possible combinations of premises and conclusions in modal syllogistic
is quite extensive, he limits himself to discussing those moods whose
assertoric counterparts are valid, but even so he manages to discuss a
large number of valid and invalid syllogisms (see Hughes 1989,
Lagerlund 2000, Thom 2003, Klima 2008, and Dutilh-Novaes 2008).

There has been considerable scholarly discussion of Buridan’s modal
syllogistic. It has been asked in particular whether it corresponds to
any modern system of modal logic. The most popular answer is S5 (King
1985). Some have argued that Buridan must have been thinking in terms
of some kind of possible worlds model (Hughes 1989 and Knuuttila 1993).
Such comparisons of course reflect the extent to which these scholars
have been impressed by Buridan’s modal logic, which was without equal
until the late twentieth century.

8. Later Medieval Developments of the Theory

Syllogistic logic reached the height of its development in Buridan and
for the next two hundred years, little was said about it. Buridan’s
younger associates at Paris, Albert of Saxony and Marsilius of Inghen,
were both competent logicians, but neither made any substantive
additions to the theory developed by their master. Paul of Venice was a
well-known early fifteenth-century logician, but he had little to say
about the theory of the syllogism. In the late fifteenth and sixteenth
centuries, several very good logicians wrote books on logic, perhaps
the most skillful being Jodocus Trutfetter, a follower of Ockham who is
better known as a teacher of Martin Luther. But Trutfetter’s logic is
wholly based on Buridan. In his massive work, the modestly titled,
Little Compendium of the Whole of Logic (Summulae totius
logicae
), he extends modal logic beyond Buridan to include
discussions of epistemic and doxastic modalities. His treatment of
syllogistic is perhaps the most extensive in the medieval tradition.

As noted above, the syllogistic logic of Ockham and Buridan was not
primarily aimed at saving Aristotle. But historical interest in
Aristotle returned in the latter part of the fifteenth century, and
some scholars, mainly from the Thomistic and Albertist traditions,
wanted to know what Aristotle had said about syllogistic. There was
also the nominalist commentator George of Brussels, who tried to offer
a historically accurate interpretation of Aristotle together with a
systematic account along the lines of Buridan. It is interesting to
note that the modal syllogistic these philosophers ascribe to Aristotle
is identical to that provided under Kilwardby’s interpretation. (For
further discussion of modal logic in the later Middle Ages, see Coombs
1990, Roncaglia 1996, and Lagerlund 2000, Chapter 8.)

9. Summary

The theory of the syllogism was the most important logical theory
during the Middle Ages and for a long time it was practically
synonymous with logic as a discipline. Buridan altered this picture by
making syllogistic part of a much larger and more complex logic of
consequence.

At first, medieval commentators on Aristotle’s Prior
Analytics
sought to save what they took to be Aristotle’s original
system. Kilwardby thought this could be done by interpreting modal
sentences in light of Aristotle’s metaphysics of essence together with
his account of essential prediction in the Posterior
Analytics
. This was a very influential interpretation, but it was
ultimately abandoned because it did not succeed in saving
Aristotle.

In the early fourteenth century, Campsall tried to save Aristotle by
developing a more radical interpretation restricting the supposition of
subject and predicate terms in modal sentences. This enabled him to
prove the conversion rules and many of the syllogistic moods accepted
by Aristotle, but not even this interpretation could make sense of the
Prior Analytics.

By the second quarter of the fourteenth century, modal logic had
begun to change and new distinctions were used to develop the theory of
the modal syllogism, such as the distinction between de dicto
and de re modal sentences. Ockham was the first simply to
abandon Aristotle’s theory in favor of a newer and more systematic
account. He was not quite successful, however, and it was left to
Buridan to subsume modal syllogistic as part of his larger project of
systematizing the whole of logic.

The history of syllogistic does not end with the Middle Ages, of
course, but it is fair to say that the theory did not really change in
the six centuries since Buridan. What did change, and for the worse,
was people’s knowledge of the original sources and hence also of the
richness and sophistication of medieval logic, a state of ignorance
that made the doctrine easy for logicians of the early twentieth
century to ridicule.

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Other Internet Resources

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Related Entries

Abelard [Abailard], Peter |
Arabic and Islamic Philosophy, disciplines in: philosophy of language and logic |
Aristotle, General Topics: logic |
Boethius, Anicius Manlius Severinus |
Buridan, John [Jean] |
modality: medieval theories of |
Ockham [Occam], William |
square of opposition

Edmund Burke

Edmund Burke, author of Reflections on the Revolution in
France
, is known to a wide public as a classic political thinker:
it is less well understood that his intellectual achievement depended
upon his understanding of philosophy and use of it in the practical
writings and speeches by which he is chiefly known. The present essay
explores the character and significance of the use of philosophy in
his thought.


1. Introduction

The name of Edmund Burke (1730-97)
[1]
is not one that often figures in the history of philosophy
.[2]
This is a curious fate for a writer of genius who was also the author
of a book entitled A Philosophical Enquiry. Besides the
Enquiry, Burke’s writings and some of his speeches contain
strongly philosophical elements — philosophical both in our
contemporary sense and in the eighteenth century sense, especially
‘philosophical’ history. These elements play a fundamental
role within his work, and help us to understand why Burke is a
political classic. His writings and speeches therefore merit attention
as examples of attention to both ideas and to history, and of the role
of this attention in practical thought. His work is also, as we see
shall see at the end of this entry, an achievement that challenges
assumptions held by many of our contemporaries.

2. Life

Burke was born at Dublin in Ireland, then part of the British Empire,
the son of a prosperous attorney, and, after an early education at
home, became a boarder at the school run by Abraham Shackleton, a
Quaker from Yorkshire, at Ballitore in County Kildare. Burke received
his university education at Trinity College, Dublin, a bastion of the
Anglican Church of Ireland. Thence he proceeded to the Middle Temple
at London, in order to qualify for the Bar, but legal practice was
less attractive to him than the broader perspective which had captured
his attention at university (or earlier). It was first as a writer,
and then as a public figure that he made his career. Burke’s
intellectual formation did not suggest that his career would be purely
philosophical. Indeed, for those without an independent income or a
clerical vocation  such a way of life was not very feasible in
Britain or Ireland. Only the Scottish universities offered posts that
did not require holy orders, but they were not very receptive to
non-presbyterians. Burke married in 1756, and had a son by 1758, so
that a career of Humean celibacy, in which philosophy was cultivated
on a little oatmeal, was not for him.

Indeed, like Hume, Burke found that there was more money in
narrative works and in practical affairs than in philosophy. Burke’s
earliest writings include A Philosophical Enquiry into the Origin
of our Ideas of the Sublime and Beautiful
(1757), and A
Vindication of Natural Society
(1756). Thereafter he was co-author
of An Account of the European Settlements (1757) and began
An Abridgement of English History (c.1757-62). From 1758, at
least until 1765, he was the principal ‘conductor’ of the
new Annual Register. In 1765, Burke became private secretary
to the Marquis of Rockingham (who had just become First Lord of
the Treasury) and was elected to the British House of Commons in the
same year. He remained there, with a brief intermission in the Autumn
of 1780, for nearly twenty-nine years, retiring in the Summer of 1794.
Burke, who was always a prominent figure there and sometimes an
effective persuader, gave a great many parliamentary speeches. He
published versions of some of these, notably on American
Taxation
(1774), Conciliation with America (1775), and
Fox’s East India Bill (1783). These printed speeches, though
anchored to specific occasions, and certainly intended to have a
practical effect in British politics, were also meant to embody
Burke’s thought in a durable form. In that respect, they parallel
his Thoughts on the Cause of the Present Discontents (1770),
and Reflections on the Revolution in France (1790), amongst
other non-oratorical writings.

Burke’s activity as a parliamentarian and political writer embraced a
great many concerns. Prominent amongst these were the problems of
British rule overseas, in North America, India and Ireland. His name,
however, has been linked most strongly by posterity to a critique of
the French Revolution. Burke was certainly more notable as a pundit
than an executive politician, holding office only twice, for a few
months in 1782 and 1783. His political life was punctuated in May 1791
by a break from some of his party colleagues over the significance of
the Revolution. Thereafter, assisted not least by the turn it took in
1792-3, he became a largely independent commentator on domestic
politics and international affairs in An Appeal from the New to
the Old Whigs
(1791), Letters on a Regicide Peace
(1795-7), and A Letter to a Noble Lord (1796). Burke in his
last years, especially from 1792, turned his attention to his native
Ireland. He failed to found a political dynasty, and he left no
lasting school in parliamentary politics: the last politician who can
be regarded plausibly as a disciple, the addressee of A Letter to
William Elliot
(1795), died in 1818. As Sidgwick observed,
‘though Burke lives, we meet with no Burkites’ (Sidgwick
2000, 195). Nor did Burke bequeath a straightforward legacy to any
political party or to any ideological brand of thought, though plenty
have tried to appropriate him wholly or partly. The difficulties that
they might find in colonising his thought are apparent from an account
of it that emphasizes its philosophical aspects.

3. Intellectual orientation

Burke’s mind, by the time he left Trinity, had two facets: one was an
orientation towards religion, improvement and politics, the other a
philosophical method. The latter derived from his university
education, the former from reflection on the Irish situation. Burke
was born into an Ireland where reflective intellect had its social
setting in a small educational elite, much of it connected with the
Church of Ireland. This elite contemplated a political class which
owned much of the land, and consisted primarily of a gentry and
peerage, headed by the King’s representative, the Lord-Lieutenant; but
it saw too a tiny professional class, and a huge, illiterate,
impoverished peasantry. The aim of the educational elite, which it
shared with some of the political class, was improvement in the
broadest sense, that is to say it connected self-improvement through
the influence of the arts & sciences, and through the development
of intellectual skills, with moral culture and with economic
development. The ability of the educated, the politicians and the rich
to take constructive initiatives contrasted starkly with the inability
of the peasantry to help itself: peasants relieved their misery
principally through spasms of savagery against their landlords’
representatives, but such violence was repressed sternly and helped
nobody. The Irish situation suggested a general rationale of practice
to those who wished to improve themselves and others: improvement, if
it was to spread outside the educational elite, must spring from the
guidance and good will of the possessing classes: from the landlord
who developed his property, from the priest who instructed and
consoled the poor, and from the lord lieutenant who used his power
benevolently. The only obvious alternative was violence – and that was
both destructive and fruitless. Burke retained all his life a sense of
the responsibility of the educated, rich and powerful to improve the
lot of those whom they directed; a sense that existing arrangements
were valuable insofar as they were the necessary preconditions for
improvement; and a strong sense of the importance of educated people
as agents for constructive change, change which he often contrasted
with the use of force, whether as method or as result.

This experiental orientation of Burke’s mind was turned from attitude
into articulate thought through the educational medium of the Irish
Enlightenment. For example, some points that may seem distinctively
Burkean, belonged first to Berkeley. Berkeley saw no advantages in
improper abstraction or in a mythical golden age. Thus Burke’s
unwillingness to judge institutions and practices without first
connecting them with other things, his disinclination ‘to give
praise or blame to any thing which relates to human actions, and human
concerns, on a simple view of the object in all the nakedness and
solitude of metaphysical abstraction’ (RRF, W & S 1981-,
viii.58) is a practical judgement that implies a conceptual
counterpart like Berkeley’s view that ‘when we attempt to
abstract extension and motion from all other qualities, and consider
them by themselves, we presently lose sight of them, and run into
great extravagancies’ (Berkeley, Principles of Human
Knowledge
, 1948-57, vol. ii, 84.) In both cases, philosophical
wariness matched a distaste for considering aspects of objects in
permanent isolation from the other aspects with which they were
essentially connected. This suspicion of abstract ideas accompanied a
suspicion of schemes for considering people in abstraction from their
present situation, and accompanied too doubts about a golden past:
Berkeley rejected ‘the rude original of society’
(Berkeley, The Querist, 1948-57, vol. vi, 141) and had no
time for ‘declaimers against prejudice’ who ‘have
wrought themselves into a sort of esteem for savages, as a virtuous
and unprejudiced people’(Berkeley, Discourse addressed to
Magistrates
, 1948-57, vol. vi, 206), and it need not be
emphasized that Burke shared this view. Both belonged to an elite
which considered improvement to be necessary, and sought to make it
through the agencies in church, state and education that were really
available at the time. Above all, they shared an intellectual temper: they
sought to see things how they are, with an eye to improving the the condition of society.
But Burke was not Berkeley, and though their similarities indicate a
shared philosophical orientation, Burke had his own way of developing
it. To individuate him, we must turn to what he acquired from the
Trinity syllabus, and how he used his acquisitions.

This syllabus, by the time Burke became an undergraduate
student at the age of fifteen (1744), not only gave attention to
Aristotelian manuals but also to ‘the way of ideas’
enshrined in Locke’s Essay concerning Human Understanding.
Such a syllabus, in its Aristotelian aspect, indicated the unity of all
departments of literature — or learning as we now call it —
which was congenial to one with Burke’s passion for knowledge —
he wrote of his furor mathematicus, furor logicus,
furor historicus, and furor poeticus
.[3]
It also indicated the range of achievements, and the range of needs,
that people had generated. The extent and variety of human activity
impressed itself upon Burke. If his practical situation in Ireland
suggested that not reason alone but also Christianity and persuasion
were necessary to improvement, Burke could now understand these needs
in terms of a scheme of learning, and indeed had the opportunity to
develop the corresponding skills. At Trinity he founded a debating
society, where he developed his oratorical technique on theological, moral
and political topics, as well as commenting on the economic and
literary life of Ireland in a periodical run by himself and his
friends. This acquisition of skills was complemented by an opportunity for
philosophical development. This applied in particular to Burke’s
antecedent bent towards the imaginative branches of literature,
especially romances of chivalry, such as the Faerie Queen by
Edmund Spenser (the collateral ancestor from whom he derived his
Christian name). Creations of alternative worlds by the mind now
received a philosophical warrant from another part of the Trinity
syllabus. Locke had recognized that the mind devised complex
ideas. The mind had a power to receive simple ideas from the senses
and from its own reflection on them, and to make out of this material
further ideas that had no referent in the world of sensation. Burke’s
interest did not extend to the centaurs that Locke had mentioned, but
the ability to make complex ideas and to assemble them in new ways was
central to Burke’s way of proceeding. His philosophical method
involved thinking in terms of complex ideas about a connected range of
matters, matters connected by their place in a programme of human
improvement. Reason was fundamental to this method — but not
reason alone, as we see in Burke’s sole work devoted wholly to
philosophy, which made use of Locke on the way to an original
destination.

4. Philosophical and Historical Writings

Locke’s Essay concerning Human Understanding of 1690 was
the first attempt to give a survey of the mind’s workings that was both
comprehensive and post-aristotelian. It soon fostered intense interest in
epistemology, psychology and ethics. Burke seems to have worked on the
imagination — the faculty of devising and combining ideas —
as an undergraduate, and continued to do so into the 1750s. The
result, A Philosophical Enquiry into the Origin of our Ideas of the
Sublime and Beautiful
(1757) emphasized, unsurprisingly, the
activity of mind in making ideas and the influence of these upon
conduct. It was in the first place an exercise in clarifying
ideas, with an eye to refining the ways in which the arts affect the
passions: in other words, a refinement of complex ideas was taken to be
the precondition of a refinement of practice.

The roots of human activity, Burke thought, were the passions of
curiosity, pleasure and pain. Curiosity stimulated the activity of mind
on all matters. Ideas of pain and of pleasure corresponded respectively
to self-preservation and society, and society involved the passions of
sympathy, imitation and ambition. Imitation tended to establish habit,
and ambition to produce change. Sympathy did neither, but it did
establish an interest in other people’s welfare that extended to mental
identification with them. The scope of sympathy could embrace anyone,
unlike compassion, which applied only to those in a worse situation
than oneself. Such width of concern had an obvious reference to the
social order (and may express also Burke’s thinking about the theatre).
The passions, understood in Burke’s way, suggested at once that society as such
answered to natural instincts, and that it comprised elements of
continuity and improvement alike. Burke then proceeded to show that
self-preservation and its cognates suggested the complex idea of the
sublime, and not least the idea of a God who was both active and
terrible. Beauty, on the other hand, comprised a very different set of
simple ideas, which originated in pleasure. Sublime and beautiful
therefore sprang from very different origins.

The diverse views rejected by A Philosophical Enquiry were
united by the pervasive assumption that human nature in an unschooled
condition, as it came from the hand of nature, and understood without
direct reference to God, was in some sense adequate to the human
condition. Rousseau’s Discourse on Inequality was at odds
with Burke’s view of the naturalness of society, and with his view
that solitude, because unnatural, was a source of pain, as well as
with Burke’s position that sympathy, rather than merely compassion,
was a key emotion. Burke’s view that the mind formed ideas of beauty
from the ideas of pleasure it received contradicted the view of
Shaftesbury and Hutcheson that beauty (like goodness) was a perception
presented by a sixth or moral sense. Burke’s further view that our
simple ideas of pain went towards a complex idea of a God who inspired
terror, was very distant from the deists’ view that He could be
understood by our natural faculty of reason alone and that as such He
was known to be benevolent and not much besides. These three
positions alike presumed that human faculties, unimproved by human effort
and considered with little relation to God, were sufficient to
inspire conduct. It is not surprising that Burke rejected them.

Burke not only thought that nature needed improvement, but also
recognized its ambiguity. Ambition, for instance, was the source of
enterprise and of improvement: but Burke did not suppose that
enterprise was in all its manifestations a benefit to its exponent, and
indeed once called it ‘the cause of the greatest disappointments,
miseries and misfortunes, and sometimes of dangerous
immoralities’
[4].
If Burke had a forward-looking mind, and believed that human nature
both required and led to development, he did not think that progress
was necessarily an unqualified gain: for instance, in discussing the
civilizing of American savages, he saw a diminution of their courage as well
as an increase in their moral goodness.

A Philosophical Enquiry suggests that Burke was developing
the loyalties of his youth through the medium of philosophical
psychology. A God who presents Himself through nature in a way that is
often found in the Bible, and who devises and sustains nature in a way
that leads man to society and facilitates the improvement of that
society, has set Himself to support Christianity, power and
improvement, and probably education too. At the same time, however,
other aspects of the book suggest that this support was delivered to
them, not on their own terms, but on the terms of a philosophy which
recognizes the ability of the imagination to transform people’s
understandings of themselves and society.

Anyone who thinks in terms of complex ideas can see that these can
be framed easily in different ways, none of which need correspond to
anything found in the external world: combine the ideas of a man and a
horse, and you have the idea of a centaur. No one who reads romances
would find difficulty in imagining a society differing beyond
recognition from its current arrangements. A classic instance of
political imagination, indeed, is Burke’s own Vindication of
Natural Society,
which presents as an alternative model of society
an organization — if that is the word — devoid of civil
government, church and significant private property.

Burke, in other words, could think through not only his own grouping
of propositions but also their inverse. This reflects, no doubt, other
features of his mind apart from his understanding of complex ideas,
such as the skill in seeing the strong side and the obverse of any
argument, which Burke had acquired in his undergraduate study of
rhetoric; and it reflects, too, a habit of versatility begun in his
debating society, for there speakers were called upon to play roles;
and no doubt it is reminiscent, again, of Burke’s undergraduate
interest in the theatre. Yet beyond all of these, it suggests that in
the large topics that experience had put before Burke — religion,
morals, arts and sciences — argument had not produced an
overwhelmingly decisive case. For A Vindication also seems to
make a case against everything he had espoused.

If argument did not deliver incontestable conclusions, where was one
to go? Burke’s answer, in his notebooks, was that where this was so,
that people should prefer the conclusions that accorded with
their natural feelings. The complement to this emphasis upon feeling
was to look to the results of affective preference — that is to
say, a criterion for conduct in such a case was what tended to make
people better and happier.

This was a judgement in the first place about personal conduct, and
the manner of applying it to matters on the larger scale of civil
society was less obvious. Here the judgement of benefit, whether
ethical or pleasurable, might be harder to discern. In order to make it
plain in A Vindication, Burke applied a reductio ad
absurdum
to principles in theology that he had rejected by showing
their consequences for politics.

For that is what A Vindication provided. This short work
was written in the persona of the recently deceased Henry St. John,
Viscount Bolingbroke (1678-1751). Bolingbroke had been a Tory pillar of
the state, and therefore of the church too; but the posthumous
publication of his philosophical works revealed that far from being an
Anglican, he had not been a Christian – but rather a deist. A
Vindication
suggested the ills that Bolingbroke had attributed to
the artifice of revealed religion could be paralleled by those
generated by civil society. One logic, indeed, was attributable on
these terms to both Christianity and civil society: that just as the
latter distributed the means of power unequally, so too did
Christianity distribute those of salvation unequally (for not everyone
had heard, and fewer believed, the Gospel). The deism of Bolingbroke
implied the principle that God treated everyone impartially, and that
the means to salvation were therefore to be found in a medium available
to all, and thus available from the earliest point of human history,
namely reason. It was easy to add, as Burke did, that if the principle
that such an original nature was the mature expression of God’s
ordinances were to be applied to civil society, the normative result
would be a regression from complex and therefore civilised forms to a
simple society, even to animal-like primitiveness — some of the
matter of A Vindication paraphrases Rousseau’s Discourse
on Inequality
(Sewell 1938, 97-114). So Bolingbroke the deist and
Bolingbroke the politician could be made to look very much at odds with
each other. This gap offered Burke an opening. A
Vindication
satirized Bolingbroke’s schizophrenic position,
employing a good deal of transparent exaggeration to make
‘his’ criticisms of civil (‘artificial’)
society seem very absurd: and Burke added a preface to the second
edition which made the disjunctive alternatives clear so that even he
who ran might read.

Yet it is hard not to recognize that Burke himself was telling the
reader, in a way that entered the consciousness all the more forcibly
because it accompanied entertainment, that civil society really did
imply some evils, just as he identified losses as well as
gains from progress in other connexions. Burke’s Vindication,
speaking in the voice of pseudo-Bolingbroke, lamented the situation of
miners: and ‘the innumerable servile, degrading, unseemly,
unmanly, and often most unwholesome and pestiferous occupations’
of ‘so many wretches’ was lamented by Burke without any
persona, thirty-four years later in Reflections on the Revolution
in France
. Such criticism, taken in itself, is undoubtedly
telling. Burke never dissembled the existence of the real misery that
he observed in civil society. Instead, he pointed out that wretched
practices could not be detached from the larger pattern of habits and
institution in which they were implicated, and that this pattern had a
beneficial effect. Burke recognized misery, did not deny it, and
therefore had a lively sense of the imperfection of arrangements,
however civilized they might be. His sense of duality in nature and
society resembles Adam Smith’s.

Burke’s position, therefore, was poised. But it was not merely a
matter of pointing out what made for good and what for ill in civil
society: it was a matter of responsibility — of choosing morally
appropriate words. This was so for a philosophical reason, because of
the very nature of the words involved. Burke’s Philosophical
Enquiry
divided words into three categories. First, there were
aggregate words, which signified groups of simple ideas united by
nature, e.g. man, horse, or tree. Second, there were simple abstract
words, each of which stood for one simple idea involved in such
unities, as red, blue, round or square. Thirdly, and most importantly
for our purpose, came abstract compound words. These united aggregate
words and simple abstract words. As such, they did not have a referent
that existed in nature. A Philosophical Enquiry argued that no
compound abstract nouns suggested ideas to the mind at all readily, and
that in many cases they did not correspond to any idea at all, but
instead produced in the mind only images of past experience connected
with these words. This category included virtue, vice, justice, honour,
and liberty, besides magistrate, docility and persuasion (Wecter 1940,
167-81). The centrality of such terms to a discussion of civil society
requires no emphasis. The obvious inference from Burke’s philosophy of
language was that to use abstract compound words was less to discuss
ideas than to raise images which touched the affections of the listener
or reader. To do this could scarcely to be thought part of a
speculative activity: the effect would not be cognitive, but practical:
not to develop ideas, but to influence conduct. The question was, with
what arrangements were these words, and therefore pleasurable images,
to be connected.

This understanding of the mind gave speakers and writers an
unusually powerful role. It was in their hands to connect words which
suggested pro-attitudes with arrangements of their choosing:
for these words had did not imply only one set of conceptual contents,
because they implied none. If one recollects the propensity to
imitation that Burke found in mankind, this choosing was likely also to
be leading. So Burke was exceptionally sensitive to the role of men of
letters and public speakers in moulding opinion. By the same measure,
he had an unusually lively sense of their responsibilities. It was
they who had the power to guide people to the proper ends, or
elsewhere. Guidance need not be directly didactic — indeed, it
could not be, because there could be no definitions to expound —
but would be a matter of providing a linguistic context which guided
listeners and readers to goals that were ethically and politically
beneficial.

One crucial approach that Burke himself developed was
historiographical. In works of history or in oratory, discussion
involving a compound abstract noun — such as
‘civilization’ or ‘liberty’— could take place in
connexion with aggregate words like ‘Indians’ or ‘the
English’, and, therefore, being discussed in relation to these,
connected that noun with definite ideas rather than with further ideas
that had no easily identifiable content — or no content at all.
Almost all of Burke’s writings and his more important speeches have a
strong historical element. That element is cast as a narrative in a way
that connects compound abstract words with specific persons and
specific transactions. Burke also wrote avowedly historical works in
the years immediately after publishing A Philosophical Enquiry
The content of these histories developed the preferences of his youth
for improvement by embodying these in a way that made them integral to
the origins and continuing character of modern arrangements in the
Americas and in England.

Burke, like Smith again, wrote ‘philosophical’ history,
that is to say gave a view of the key agencies that had shaped human
destiny over the long run of human society. Indeed, he casually
implied a four-stage theory of socio-economic history at a time when
Scottish stadial history, except that in Dalrymple’s Feudal
Property
(1757), was either unwritten or unpublished. But his
attention, primarily, lay elsewhere, as appears in An Account of
the European Settlements
. This work arose from the initiative of
‘booksellers’ alive to the reading public’s interest in
North America, where Britain was then at war with France, and the work
was co-written with Burke’s ‘cousin’ and friend William
Burke. Edmund’s pen is evident in the passages which contrast savagery
with civilization. The book emphasized that the coming of Europeans to
the New World brought with it a civilizing of savages, who were far
from noble, through the agency of institutionalised Christianity. This
implicit distance from the cult of the noble savage, and from
primitivism in general, provided an identifiable complement to the
implied rejections of A Philosophical Enquiry and the satire
about ‘natural society’ in A Vindication.

A stage of human history rather later than that of savages was
delineated within An Abridgement of English History, which
Burke wrote after 1757, but did not finish. So far as it goes, this
provided a continuous account that ran from the Roman landings to
Magna Carta. Christianity figured again in this narrative as a source
of civilization, but the significance of the tale was more
complex. This time the story was primarily political, and showed how
one of the values most prized by Burke’s contemporaries, civil
liberty, came to belong to England. The Norman Conquest of England
established a powerful executive government and brought with it a
uniform system of law; if these two were necessary conditions for the
matching grace of civil liberty for all, however, they were not
sufficient: the required addition came from an aristocracy, which had
been taught the value of liberty by the Archbishop of Canterbury, and
which had come to understand that its own power was insufficient to
extract the requisite concessions from the crown unless popular
support could be won. Burke’s sense of the double-edged character of
civilization thus developed into a sense that the political regime
required by an advanced society — the combination of strong
institutions with civil liberty — came from sources
that were contrary to each other, and not always beneficial in
isolation (aristocracy as a form of government was an ‘austere
and insolent domination’ (TCD, W & S, 1981-, ii. 268)): and
as both a strong executive and civil liberty were needed, by the same
token the forces making for each needed to be counterbalanced from the
other side on a continuing basis. This balance of forces provided a
context in which ‘liberty’ had an identifiable meaning,
namely the specific civil liberties secured through political struggle
and written into Magna Carta.

Burke’s narratives suggested that agencies antipathetic to each other,
if properly connected to one another, might produce results that were
both intelligible and valuable. One effect amongst several of this
conception of cooperative conflict was a rehabilitation of the
Catholicism that was the historic heritage of Burke’s family. An
Account
and An Abridgement alike suggested that in its
historical time and place Roman Catholicism, and, indeed, clericalism,
whether embodied in Jesuit missionaries or in an English archbishop,
had been a constituent needed to produce social and political benefits
of a fundamental kind. As an historiographical exemplar, An
Abridgement
therefore showed an exceptional appreciation of the
Middle Ages, which was to cause raptures to Lord Acton. It anticipated
both Richard Hurd’s Letters on Chivalry and Romance (1762),
and, still more, a great work that set the bearings for Anglo-American
medievalists for many years, William Stubbs’ Constitutional
History of England
(1875-8). Burke, however, could not think in
terms of an academic historiography, still less one that would be the
exclusive intellectual preoccupation of its exponents: neither of
these existed in his time. He could think, however, of subtly defusing
anti-Roman prejudice in Georgian Britain.

Burke himself was not a Roman Catholic, and viewed enquiry into his
personal background with alarm and suspicion. This was sensible enough
in a Britain which still subliminally linked civil liberty with
Protestantism, and therefore regarded Irishness as a likely pointer to
popish subversion of its political values. Burke’s argumentative
stance always benefited Roman Catholics, but he never found a kind
word for the Pope: his was a position which emphasized the priority of
civil interests over denominational claims in civil society. Indeed
Burke considered that ‘the truth of our common Christianity, is
not so clear as this proposition: that all men, at least the majority
of men in the society, ought to enjoy the common advantages of
it.’ (TPL, W & S 1981-, ix.464). This was a political
development of the centrality he gave to the claims of improvement,
and of the obvious necessity of its free development for the bettering
of the human condition. It also silently defused any papal claim to
civil dominance on theological grounds and, more audibly, suggested
that the penalisation of Catholic beliefs was wrong if these did not
cause Catholics to interfere with others’ civil interests. Burke’s
presumptions about the priority of civil interests and a sense of the
possible irrelevance of denominational opinion to civil society
suggest a reading of Locke’s Letter concerning Toleration
and Two Treatises of Government, the latter of which was
common, though not prescribed reading at Trinity. It also implies that
the proper terms in which to conceive civil interests are those of
natural jurisprudence, because there people are considered without
reference to any specific allegiances, religious or otherwise. Burke
referred to natural law and natural rights directly when such
reference advanced his own arguments, though he made no theoretical
contribution to natural jurisprudence until quite late in life. His
creative energies were mostly applied elsewhere.

Burke developed his thoughts about civil interests in a work that his
executors entitled Tracts on the Popery Laws, which he
drafted when he was employed as private secretary to the Chief
Secretary for Ireland in the early seventeen-sixties. After this,
Burke became involved more immediately in political practice, and, by
one means or another, contributed to it until his death and (through
the activities of his executors in publishing or reprinting his
writings) from beyond the grave. This was one obvious route for
practical development, even besides the amenities of status that it
brought to Burke. For his view of the compound abstract words involved
in civil discussion did not suggest that purely speculative study had
unlimited potential either for the mind or for personal satisfaction,
because a strictly speculative discussion was likely to be
inconclusive at best: such words became more readily intelligible in
connexion with the concrete, and therefore the practical. Hence,
perhaps, Burke concluded that ‘man is made for Speculation and
action; and when he pursues his nature he succeeds best in
both.’ (Somerset 1957, 87). There was, on this understanding,
intellectual benefit in political participation, and, equally,
political practice might benefit from the speculative mind. This is
likely to seem an implausible position nowadays, when political
activity is frenetic, and learning is a matter of speciality; but in
the eighteenth century, when an agile mind could manage at least the
basics of several branches of learning, and the British legislature
was often in session for less than six months in a year, it was more
plausible. Political participation, on Burke’s understanding, had
besides its intellectual possibilities, an ethical potential. To the
extent that thinking about politics was necessarily uncertain, the
proper conduct of affairs depended upon an honest as well as a
capacious mind, and on a well-disposed management of words.

It remains to show what Burke learnt from political activity, and
what he conferred upon it. The picture is one in which the claims of
practice enriched Burke’s mind and brought intellectual benefits to
practice itself.

5. Political style: some parliamentary applications

Burke’s life was spent in parliamentary affairs from the mid-1760s,
and this made a difference to his style of intellectual activity. This
did not lie primarily in developing the cast of his mind, and if in
1771 Burke stated that ‘I have endeavoured all my life to train
my understanding and my temper in the studies and habits of
Philosophy’, at the same time he concluded that ‘my
Principles are all settled and arranged’
.[5]
This did not preclude intellectual innovation. The difference made by
participation lay not least in his reasons for applying his mind, and
consequently in how he did so. The reasons were to influence opinion,
both in Parliament and from his position as a member of the
legislative, and determine votes in the House of Commons itself. The
matter common to both of these was Burke’s view of the words central
to political understanding.

An obvious inference from Burke’s account of compound abstract words
is that to use these is to touch the experience of reader or listener,
and that persuasion was unavoidably central to discussing politics:
this befitted a practical rather than a speculative subject. Indeed,
these terms implied that the point of discussing politics must be to
influence action, and nothing much else. Burke developed great skill in
managing words, begun in debating at Trinity and carried forward
through other venues, including the House of Commons. As such language
was persuasive, its objective was to establish pro-attitudes and
con-attitudes in mind of listener or reader.

This was not the only philosophical aspect in Burke’s political
practice. A major conceptual tool in discussing politics was
relation. Relation is one of those terms which was common to both the
scholastics and to Locke. It denotes both comparison and connexion.
Comparison was an invaluable procedure because it enabled events,
institutions and persons to be placed in any number of lights which
would raise or lower their significance and standing. Connexion was
scarcely less valuable, because the place that someone or something
occupied could be used to sustain or criticise their role, as well as
to demonstrate the value of co-operative contraries. Best of all,
relation in either sense lent itself to a myriad of uses, for as
LeClerc had remarked in his Logic (which Burke had read at
Trinity) relations were beyond counting — sunt autem
innumerae relationes
(Le Clerc 1692, pt. 1, ch. 4, s. 1, p.
19).

Burke’s conception of philosophical history was also fundamental to
his political practice. ‘Every age has its own manners and its
politicks dependent upon them’ (TCD, W & S, 1981-, ii 258.) The
manners Burke saw around him in England were continuous with those he
had seen in the middle ages, or projected backwards thither, in which a
powerful executive government was balanced by other agencies with the
effect of securing civil liberty. Those agencies most obvious in
Burke’s time had established the sovereignty of Parliament at the
Glorious Revolution (1688-9), reaffirmed it in the Bill of Rights
(1689) and the Act of Settlement (1701), and confirmed it by
suppressing the attempts made from 1708 to 1746 to reassert the
sovereignty of kings alone. Burke understood law in this arrangement as
the guarantor of interests of the governed because it was law passed
and secured by Parliament. It was secured in Parliament by the mutual
dependence of Commons, Lords and King. That sovereignty had this public
character made the British state a beneficiary of a very high degree of
financial credit, and this increased the power of Parliament. The long,
slow movement of British history from a conception of the realm
understood as royal property to the state conceived as the expression
of public will had in Burke’s time reached a stage at which this will
was expressed through the decisions of Parliament in a manner heavily
influenced by the monarch. Burke’s political activities therefore
assumed parliamentary sovereignty.

If Burke’s view of words and relations gave him practical
tools, and if parliamentary sovereignty provided him with a practical
postulate, what did he assume was the proper end of sovereignty? We
have seen that the relation between sovereign and the governed had for
a primary purpose the protection of the latter’s civil interests. This
much suggests continuity between Burke the philosopher/historian and
Burke the political participant. But the former might also see that
there were complications for the latter. One who sees the multiplicity
of civil interests, and the variety of relations in which they can be
considered, and the variety of contraries at work, will see that to put
society at ease with itself may well imply conflict and see that such
conflict is hard to avoid; he or she will see, too, that Parliament
forms an arena for conducting it in a stylised and moderated way
through the representation of interests, appropriate to a civilized
state of society; and, even while participating in such a conflict,
s/he might recognizes the necessity of both sides to the result. Here,
opponents may be not only enemies but also co-workers, sharing at least
some common assumptions about the system within which their lot was
cast, although separated from others by the role required of them. In
that situation, the question becomes, where do you take your place? The
answer may depend on your own connexions, and on how you
conceive them.

6. Burke’s practical reasoning

Burke’s method for written composition often combined (i)
identification of relations, with (ii) relevant history, and (iii)
treatment in language that would attach pro-attitudes to one side or
the other in a difference of opinion. This method is seen, for
instance, in his Thoughts on the Cause of the Present
Discontents
(1770). Its central statement for our purpose is
about (i) relation in the form of connexion: that the British
constitution had been constructed in a manner that required the
connexion (in this case the interdependence) of the parts of the
sovereign in order to achieve mutual control. This statement
contrasted with (ii) the historical statement that there was a new
system of court politics which involved disconnecting those parts in
order to make the monarch independent of the other parts of the
political sovereign. Burke’s history showed the emergence of this new
system, and illustrated its pernicious results in both domestic and
foreign affairs. The contrast (iii) between the older system —
which was represented as having benign results — was clear, and
the disposition of pro-language obvious enough. Burke’s appeal lay to
the standards which his contemporaries would take for granted, namely
those implied in their beliefs about parliamentary sovereignty. As if
it were not enough, the picture of the older order was reinforced by a
sense of connexion in the Aristotelian mode that Burke’s society
recognized and approved — that man was sociable, rather than
being a solitary beast, and above all by the annexation of the key
term of
connexion to the side of the dispute that Burke favoured. All
of these considerations suggested the appropriateness of ‘the
good’ combining to counterbalance the efforts of court
politicians, and so to sustain parliamentary sovereignty and its
benefits.

This illustrates Burke’s remarkable ability to combine philosophical
method and philosophical history, as well as the practical purpose to
which he put them — forming an understanding of politics which
was practical in the very particular sense of calling for activity in
one direction to counterbalance forces coming from another. It was
also practical in relation to advancing very specific interests. These
considerations were used to situate quite another sense of connexion,
namely political party, and especially the party of Rockingham to
which and to whom Burke had attached himself. Indeed Present
Discontents
was read in draft by its leading lights before
publication. On publication, the pamphlet was widely understood as a
manifesto for this party. After publication Present
Discontents
became a manual from which fledging politicians
learnt the rationale of their party, and, indeed, a source book for
cat calls from the party colleagues from whom Burke separated himself
in 1791. The philosophical and historical element in Burke’s positions
is evident only to those who retrace all of his steps; an activity
which his contemporaries lacked the will, and (as not all of his major
works had been published) some of the means to do.

The educative effect of Burke’s writing is not to be underestimated
in a civil society, some of whose members were highly literate but had
no formal education in political science (except, sometimes, at
Scottish universities). Indeed, it is likely that Burke wrote in order
to educate. Yet at the same time that the strength of his conceptual
and historical arguments, and the skill with which he developed these,
excites the reader’s admiration, they create unease. This is not merely
because in Present Discontents the philosophical sense of
connexion is used to adumbrate the claims of a party connexion: it is a
more generalized disquiet. A politician inspires confidence, in part,
because s/he is honest: and a good way to be thought honest is to
convey the impression that you are not clever enough to deceive. As a
philosopher commands interest when s/he is intellectually powerful,
this impression is one that is naturally hard to achieve: but it can be
done. C.D. Broad suggested that ‘Locke, we feel, is not so much
cleverer than ourselves as to be capable of playing tricks with us even
if he wanted to do so. He is the Mr Baldwin
[6]
of philosophy, and he derives from his literary style some of the
advantages which that statesman owed to his pipe and his pigs.’
(Broad 1952, 39). This judgement does not apply to Burke, even though
he did keep pigs. The reader carries away from Burke a sense of great
creative power, dialectical skill, and verbal ingenuity: in short, a
sense of being overborne by intellectual force. The listener probably
received other and unwelcome sensations when this was seconded by
personal raucousness. Such feelings generate unease, and unease is
increased by Burke’s prose.

His literary style is to argue clearly, but in doing so to include a
manifest carefulness of qualification that will permit subsequent
shifts of position — for instance his self-description as a
‘true but severe friend to monarchy’ is consistent with
his occupying any point within the generous spectrum of parliamentary
sovereignty — and, indeed, the sense of historical change which
pervades Present Discontents suggests that movement is a
common experience. Unease, perhaps, is increased even further: for
against one equipped with this intellectual repertoire, the accusation
of inconsistency is irresistibly tempting and utterly useless. Again,
Burke’s is a very sensible way for a statesman to think, but it is not
how the public wishes politicians to appear on most occasions. Still
less is it reassuring about Burke’s intellectual bona fides:
for this is not how people innocent of political experience, who are
the majority, conceive the role of political principles. Coleridge put
his finger on an important point when he suggested that from
principles exactly the same’ Burke could draw
‘practical inferences almost opposite’ in different
situations (Coleridge 1983, vol. i, 191). Burke’s philosophical and
historical positions are clear, but they do not translate, and were
not meant to translate, into a set of specific practical conclusions
of permanent validity.

There was the contrast, too, between the breadth of view and of
learning in the matured statements that Burke published, on the one
hand, and, on the other, the ways of the parliamentary pugilist who
was audible to fellow M.P.s and legible to others in the speeches
reported by the daily newspapers. Burke’s manner was anything but
‘philosophical’ as the public understands the word. Partly
this was, doubtless, because Burke was like that as a person, and not
least because he had a weak voice that had to be raised if it was to
be heard in the bear garden that was the House of Commons, but partly,
too, because his Philosophical Enquiry had suggested that the
best way to impart a mood to an audience was to display it
oneself. So, for instance, if Burke needed to plead for moderation, he
did so immoderately. Above all, perhaps, it was because this
philosopher- turned-participant was not exempt from the need to win to
his side enough minds to ensure that his side was not beaten (or, at
any rate, demonstrated enough strength to remain in contention), and
had at hand an exceptionally powerful range of persuasive tools. It is
an evident fact, too, that the resources of Western civilization were
sometimes invoked by Burke in order to produce votes in the House of
Commons — votes, which, whatever else they were, were in the
interests of his party. But, manifestly, these resources do not supply
a rationale for only one policy, still less for only one party. The
roles of thinker and party spokesman consort ill: and there were bound
to be doubts about one

Who born for the Universe, narrow’d his mind,

And to party gave up, what was meant for mankind.

Tho’ fraught with all learning, kept straining his throat,

To persuade Tommy Townshend to lend him a vote.

(Goldsmith, lines 31-34).

A disparity of this sort was always likely to suggest that Burke had
profoundly personal motives for narrowing his mind, and when he was
not being caricatured as an Irish Jesuit he was being satirized as a
corrupt hack
[7].
Yet some sort of procedure of the type pursued by Burke was implied
in his sense of practical reasoning. The ‘philosopher in
action’ had the function of finding ‘proper means’
to ‘the proper ends of Government’ marked out by
‘the speculative philosopher’ (TCD, W & S, 1981-,
ii. 45-51). Parliamentary votes, in the situation that Burke found
himself, were amongst the proper means.

7. Burke and the American Revolution

Political participation generated scepticism about Burke as a
person, some of which was unjust, though all of it was to be expected.
What was perhaps less predictable, and is certainly more interesting
philosophically, is that this participation was a precondition of the
practical thought which made Burke famous in his own time and has given
him a leading place in the canon of Western political thought.

Burke’s practical thinking about the dispute between the British
parliament and its North American colonies began with a situation not
of his making, that is to say the rejection of the Stamp Act by the
colonists, and its withdrawal by the ministry headed by Lord Rockingham
in 1765-6. The Rockingham ministry followed up this concession of
letting the colonists alone with the assertion of Parliament’s right to
legislate for the colonies in the Declaratory Act of 1766. Burke’s task
was to demonstrate to the House of Commons the plausibility of this
package. He did so by combining two complex ideas — or at least
two abstract compound nouns — in a new way. One idea was empire,
which involved command. The other was liberty. These, Burke thought,
were ideas difficult to combine — a sound reflection as they are
diametrically opposed — but that they were combinable in the
further idea of a British empire — one which combined
legislative command with civil liberty. This idea implied letting alone
certain matters of concern to the colonists, and so allowing them in
some respects civil liberty on a de facto basis (SDR, W & S
1981-, ii.317-18). This idea is considerably more ingenious than the
average British position that ‘all the dominions of Great Britain
are bound by Acts of Parliament’
.[8]
Burke’s view was explanatory, because it conceptualised the situation
before Parliament in a way that made intelligible the points involved
and established a connexion amongst them. It was also accommodating,
because it made the British executive’s policy intellectually and
therefore practically respectable at the same time that it made room
for colonial preferences. In short, it was a small masterpiece of
thinking about policy.

The repeal of the Stamp Act was followed by the passing of the
Declaratory Act. Burke was practically successful in 1766 with the
House of Commons because he was speaking for the executive, and a
majority amongst Members of Parliament, ceteris paribus,
tended to vote for the king’s ministers. In 1774 and 1775 he was
practically unsuccessful, because he was now in opposition, but his
conceptual achievement in dealing with the American question became
much greater. By 1774, the issues dividing some American colonists
from the British parliament had changed. The former now resented the
attempts of the latter to levy taxation on them directly, rather than
by the authority of their own colonial legislatures, and they resented
still more the project of backing the attempt, if need be, with
coercion. Burke’s speech of 1774 on
American Taxation did not delete the idea of imperial
command, but rather elaborated his complex idea of the British empire
in a new way in order to deal with the new situation.

Burke elaborated the complex idea in a way to which complex ideas lend
themselves, that is to say, by adding a qualification. The sovereignty
of the British parliament was an idea that certainly included a right
to tax: but a right to tax could be understood to be consistent on
principle with inaction as well as action. The right, in plainer
language, need not be applied. Burke could accommodate, therefore,
both the claims of Westminster and those of the colonists. To this
point, of course, one might reply that Burke was merely
making concessions. But observe: this situation provided a cue for
conceptual innovation — Burke inserted a distinction into the
idea of sovereignty. He distinguished ‘my idea of the
constitution of the British Empire’ from ‘the constitution
of Britain’ unconnected with overseas rule. It could be inferred
that

The Parliament of Great Britain sits at the head of her
extensive empire in two capacities: one of the local legislature of
this island, providing for all things at home…The
other…is what I call her imperial character, in
which…she superintends all the several inferior legislatures,
and guides, and controls them all without annihilating any. As all
these provincial legislatures are only co-ordinate to each other, they
ought all to be subordinate to her….It is necessary to coerce
the negligent, to restrain the violent, and to aid the weak and
deficient, by the over-ruling plenitude of her power. She is never to
intrude into the place of the others, whilst they are equal to the
common ends of their institution. But in order to enable parliament to
answer all these ends of provident and beneficent superintendence, her
powers must be boundless

so that Burke’s elaboration of the complex idea of the British
empire suggests complementary roles for the British parliament and the
colonial legislatures, an elaboration which would make the question of
taxation irrelevant at a stroke, whilst simultaneously emphasizing the
authority of Westminster.

Conceptual refinement provided a practical avenue that other, less
gifted politicians had not devised. Burke’s position was altogether
subtler than the implied tautology of a minister’s claim that ‘to
say we have a right to tax America and are never to exercise that right
is ridiculous’ (Sir Edward Thurlow, quoted in Gore-Brown 1953,
85), and of another politician’s despairing sense that ‘we must
either insist upon their submission to the authority of the Legislature
or give them up entirely to their own discretion.’
.[9]
These pundits, by failing to conceive a sufficiently complex idea of
sovereignty and the sovereign’s right to tax, failed also to see that
sovereignty did not imply an unpleasant choice between abrogating this
right by disuse or applying it by force.

Events soon required a further elaboration of Burke’s idea of the
British empire. The continued use of coercion made the colonists more,
not less recalcitrant. The practical need seemed to be for terms on
which they would stay, at least nominally, under British rule. Their
crucial claim was now that their right to tax themselves by their own
legislatures rested on charters from the Crown, and that they were
subordinate to the Crown alone, and not to Parliament. Burke gave still
closer attention to the idea of sovereignty. It would be tactless to
emphasize the sovereignty of Parliament, but it would be self-defeating
to withdraw it explicitly and concede a sovereign right over taxation
to the colonial legislatures. So now, in Burke’s speech on
Conciliation with America (1775), he focussed upon only one
aspect of the complex idea of a parliamentary sovereign. The latter
comprised in the British instance not only Lords and Commons, but also
the king. Hence, by judicious emphasis, the item acquiesced in by the
colonists could do some conceptual work: ‘my idea of an
Empire…is…that an Empire is the aggregate of many States,
under one common head; whether this head be a monarch or a presiding
republick’; and it was emphasized that the rights of the colonists
depended on this superior, for ‘the claim of a privilege seems
rather, ex vi termini, to imply a superior power.’ As to
a right to tax, Burke added on a later occasion, that though it
‘was inherent in the supreme power of society, taken as
an aggregate, it did not follow that it must reside in any
particular power in that society’, and therefore
Parliament could delegate it to local legislatures. In short,
‘sovereignty was not in its nature an idea of abstract unity; but
was capable of great complexity and infinite modifications.’
(SSC, W & S 1981-, iii. 193).

Whether Burke’s ‘infinite modifications’ would have
assisted in keeping the thirteen colonies within the fold of the
British empire is unknowable, for nothing like his proposals were tried
until 1778, which was too late. It is clear, however, that Burke’s
ability to make conceptual changes depended on his philosophical
thinking. To think in terms of complex ideas is to recognize that they
can be elaborated by adding further ideas; to distinguish between the
roles of Parliament is to make that addition; and to analyse the powers
of a sovereign parliament as a preface to relocating one of them is to
use philosophy as a tool in practical reasoning. It is noteworthy,
also, that these philosophical exercises were the means of coping, as
Burke hoped, with practical changes. Neither was his work here
primarily ideological, for though Burke had a practical goal in view,
and at that one consistent with the Rockingham achievements of 1766, he
worked philosophically to modify the conceptions in terms of which his
contemporaries viewed their situation, rather than using his conceptual
tools as ways of defending those conceptions without modifying them.
Thus he added ideas to the stock of his day. It is fitting, though
Burke’s proposals were not implemented in time, and though his goal was
not attained, that his American speeches figured prominently in the
schools and universities of both the U.K. and the U.S.A. well into the
twentieth century. Burke, after all, was suspicious of poor ideas: he
concluded that ‘one of the main causes of our present
troubles’ was ‘general discourses, and vague
sentiments’, and urged instead study of ‘an exact detail of
particulars’ (SSC, W & S 1981-, iii. 185).

8. Philosophical Character of Political Disposition

Burke’s thinking about America also suggests a political disposition
that owed something to his philosophical conceptions. Burke’s complaint
in American Taxation against ministers was that ‘they
have taken things…without any regard to their relations or
dependencies’, and had ‘no one connected view.’ This
was in part a straightforwardly cognitive position being emphasized with prudential
point: the world with which politicians dealt was complex, and to use
ideas which were insufficiently complex to capture its contents and
their relations was a short way to meet the rough side of
reality. It was also, implicitly an ethical position: governments ought
not to apply force to existing relations, at least those that were
legitimate. This is, in one way, an obvious point from natural
jurisprudence, and one that Burke had made transparently with respect
to inroads by the government of Ireland against Catholic property. In
another, and more interesting way, it reflected his view that abstract
compound nouns and complex ideas evoke specific past experiences. To
interfere forcibly with someone’s experientially-based expectations
would be to break their mental association between experience and idea
or word: and so the idea or the word would become meaningless and cease
to influence action. If, therefore, ‘my hold of the Colonies, is
in the close affection which grows from common names’, amongst
other sources that were ‘though light as air…as strong as
links of iron’, then ‘let the Colonies always keep the idea
of their civil rights associated with your Government; — they
will cling and grapple to you…But let it be once understood,
that your Government may be one thing, and their Privileges another;
that these two things may exist without any mutual relation; the cement
is gone; the cohesion is loosened; and every thing hastens to decay and
dissolution.’ (CWA, W & S 1981-, iii. 164). To break such
mental associations was to break communities.

This point suggested that a genuinely prudent conduct of affairs
would proceed without assaulting the mental associations of the
governed, and, as change was omnipresent, would conduct its share under
accepted names — in other words, by gradual and by moderate
reform of institutions and practices rather than by immediate and total
replacement, which Burke stigmatised as ‘innovation’. This,
indeed, was what Burke claimed to be doing in his contributions of
1780-82 to the recasting of the royal household. The intellectual
counterpart of this prudent conduct, namely the refinement of our
existing ideas, rather than replacing them, is what he had done in his
revisions of the idea of sovereignty.

This style of thinking gave Burke a very lively sense of the
corrosive power of new ideas. Even new questions could have
unpleasant results. When the innovations of the British government
unsettled the colonists, ‘then…they questioned all the
parts of your legislative power; and by the battery of such questions
have shaken the solid structure of this Empire to its deepest
foundations.’ The proper way to avoid such shakes to civil
society was to ‘consult and follow your experience’ (ATX,
W & S 1981-, ii.411, 457), for ‘experience’ according to
Burke’s philosophy of language was a condition of continuity of mind,
and, on the basis of mind, of a sustainable practice. His was therefore
a philosophically conditioned attitude to practice, and one that was
very sensitive to the hiatus that speculation could cause in the
latter. Burke’s sensitivity can produce apodictic language in order to
persuade people to make use of the ideas they have inherited, by urging
‘a total renunciation of every speculation of my own; and…
[by recommending] a profound reverence for the wisdom of our
ancestors’ (CWA, W & S 1981-, iii.139). Indeed, Burke can be
found, sometimes, on rational grounds, deprecating all explicit appeal
to speculation of whatever hue, if it had a disturbing effect:
‘reason not at all — oppose the ancient policy and practice
of the empire, as a rampart against the speculations of innovators on
both sides of the question’ (italics added) (ATX,
W & S 1981-, ii.166). His deprecation of speculation was logically
anterior to taking sides in politics.

It was also, in effect, an appeal for ideas adequate to governing.
This is evident in Burke’s criticism of ‘vulgar and mechanical
politicians’,

a sort of people who think that nothing exists but what is
gross and material; and who therefore, far from being qualified to be
directors of the great movement of empire, are not fit to turn a wheel
in the machine. But to men truly initiated and rightly
taught,…ruling and master principles, which, in the opinion of
such men as I have mentioned, have no substantial existence, are in
truth every thing, and all in all,

so that ‘little minds’ could not govern ‘a great
empire’ (CWA, W & S 1981-, iii.139), or, evidently, any
empire at all, whereas better results might be expected from
‘men truly initiated and rightly taught.’

Burke himself, however much he might try to hide the logic of his
thought under the rich foliage of words generated by his skill with
words — he is perhaps the only classic of political thought in
the English language who is also a literary classic — was a
philosophical thinker. As such, his practical conclusions could change,
and did, as we have seen. Practical conclusions changed because they
were meant to be serviceable in a world that itself was changing.
Burke’s philosophical equipment, however, served him in the face of all
external changes.

9. The Revolution in France

Burke’s name is indissolubly connected to his Reflections on the
Revolution in France
, though a more perceptive account of the
causes of the Revolution of 1789 can be found in A Letter to
William Elliot
(1795), and the Letters on a Regicide
Peace
(1795-7) investigate the character and consequences of the
Revolution from 1791 in a more thoroughgoing way. In an important
sense, however, the judgement of posterity is right for our purposes,
because Reflections illustrates very clearly the central
importance of philosophy and ‘philosophical’ history for
Burke’s writing about one of the greatest changes of his day.

This is true, in the first place, in terms of insight.
Reflections was published on 1 November 1790, less than
eighteen months after the storming of the Bastille. The intervening
period had been characterised by a mixture of popular violence and
peaceable, if feverish political activity in France, as its absolute
monarchy gave way to a constitutional monarchy. A detached observer
would be unsure of the future — whether destruction and violence
would predominate or whether an enduring constitutional order would
emerge was a question which events had not answered. In the event, of
course, the Revolution would be characterised by both violence and
constitutional development, at different times, but this was as
unknowable in 1790 as it is obvious in 2009.

Burke’s Reflections may be divided (for the author did not
provide any formal divisions) into two portions of unequal length. Both
of these are concerned with relations. The first portion, about
two-thirds of the text, suggests that the French, in their enthusiasm
for the idea of liberty, had failed to understand that liberty was only
one amongst a range of benefits, all of which were required in
mutual connexion for a life under civil government that was civilized
in the proper sense. The results which flowed from this deficiency of
understanding included constitutional arrangements which, because they
did not reflect an understanding of liberty that was subtle enough to
grasp that the liberty of the many was power, did not qualify popular
sovereignty in a way that would restrain the demos
effectively. As if an unrestrained populace was not bad enough, an
understanding of life only in terms of liberty swept away preceding
elaborations of our ideas. This mattered, because the refinement of
ideas had been a precondition of refinement of conduct and therefore of
the progress of society in many respects. One key instance of these was
the respectful treatment of women encouraged since the middle ages by
Christian learning and by chivalry. But there was a newer philosophy:
‘on this scheme of things, a king is but a man; a queen is but a
woman; a woman is but an animal; and an animal not of the highest
order’. The retrogression of humanity itself to animality was not
far in the future with ‘a swinish multitude’. The result,
as people would no longer be moved by opinion, which had embodied
refined ideas, would be that they would need to be governed by force.
Force, too, was the ultimate destination of the second portion of
Reflections. This suggested that the idea of equality had been
connected only too pervasively with the institutional arrangements of
the judiciary, the legislative and the executive power — and
therefore had produced not the authority of command in government but
institutionalised feebleness. At the same time, the perverse results of
equality in fiscal arrangements had caused popular discontent and
financial instability. The result was a situation which could be
controlled only by the force of the military — if, indeed,
military order was sustainable when soldiers had absorbed the idea of
equality. France, it seemed, tended towards either the rule of force or
the disintegration of order.

Burke’s philosophical repertoire and historical understanding thus
provided the structure of Reflections, and, perhaps more
importantly, suggested insights into the character of the Revolution.
The inattention of the revolutionaries to the relations that needed to
be comprised in a modern government, especially in connexion with
liberty, was matched by the inappropriateness to a sovereign regime of
structuring its institutions around equality rather than around
effective command. These insights suggested that a mis-structuring of
the new constitution that proceeded from an inadequate philosophical
grasp. Such misunderstanding was matched by a failure to understand the
history which had produced the elaboration of ideas about conduct that
had underwritten government by opinion, and this failure suggested that
the Revolution would cause retrogression from this civilized condition
towards a less gentle way of proceeding, as well as a less effective
one. In other words, Burke’s understanding of philosophy, and of the
history of Europe, conceived ‘philosophically’, provided
grounds for making fundamental claims about the Revolution.

Whether Burke was right in these claims about the Revolution, of
course, is another question, and one that can never be answered:
French readers of Reflections could take its lessons to
heart, and, anyhow, events have a way of modifying tendencies
independently of intention and interpretation. Indeed, none of this is
to say that Reflections was intended as an academic work, or
even an accurate factual statement, about the Revolution. It was
calculated to produce a practical result, which was to dissuade the
British from admiring the Revolution and so to dampen any propensity
they might feel to imitate it: and thus to protect civilization in
Britain. In the course of pursuing this goal, Burke was willing to
satirize the Revolution and its English sympathizers unmercifully in
order to make them as unattractive as possible to any sane reader, and
he matched the satire with a panegyric on British social and political
arrangements. There is, indeed, much in Reflections besides
the elements that have been emphasized here (and indeed much in
Burke’s later views on the Revolution which is not
in Reflections): but without those elements, the book, and
Burke’s understanding of the Revolution would have been
impossible.

10. Problems of Interpretation

Whilst Burke’s thought has never lacked interpreters, on the whole
they have lacked the persistence of historical insight and the
strength of conceptual grasp required to do justice to him. Hence he
has suffered an ironic fate for one who urged breadth and precision of
thought. That is to say, he has figured as the spokesman for a very
limited number of points. This type of treatment began in the
nineteenth century, when Burke was invoked as an antidote to the
confidence of the French Revolution by liberal thinkers who prized its
principles, saw their narrowness, and required a sense of historical
development to situate them properly in a viable civil society. It was
continued when Matthew Arnold tried to treat Burke as a (pre-Home
Rule) Gladstonian spokesman about Ireland. It went further still in
the twentieth century, when Burke was pressed into service as a
counter-revolutionary agent in the anti-Communist cause, and when the
twenty-first dawned some treated Burke as proponent of
postmodernism. He himself could hardly have complained that his work
has been put to practical use, but it remains true that
academic justice has yet to be done to him. Chapters and essays on
individual themes in his writings have been more plausible than
attempts at general interpretation, which usually concentrate on a
theme of choice, or subordinate Burke’s thought to it, and give the
impression (deliberately or otherwise) that this is the whole of
Burke, or at any rate that this is what matters about him.

In attacking the Revolution, Burke constructed a rogues’ gallery for
French politicians, and stocked it also with quite a number of French
thinkers. The figures who appeared to be rogues, however, were most of
them really straw men, stuffed according to the prejudices of a
British audience. More significantly for our purposes, Burke’s censure
of the philosophes attributed to them complicity with the
style of thought that had set up a limited range of simple principles
as the norm for politics, and which was wholly inadequate to satisfy
the connected and various needs of human nature under modern
conditions. Burke preferred to emphasize that numerous principles, and
practical thinking to combine them, were necessary to meet these
needs, and so to sustain improvement, and emphasize, too, that such
accommodation involved much more practical activity than speculative
design. Correspondingly his own writings develop less a political
philosophy than a political style that had at its core philosophical
elements — a style which, indeed, implicitly suggested
that political philosophy was not a feasible activity, and,
if it was, certainly not one sufficient to the task of ‘the
philosopher in action’.

These views emphasize the importance of combining a wide range of
principles, and of remembering that principles, however numerous, are only
one element in a satisfactory conduct of practice. There can be no
doubt that analysis was involved in Burke’s proceedings: ‘let
this position be analysed,’ he instructed the House of Commons
critically in 1794, ‘for analysis is the deadly enemy of all
declamation.’
[10]
Though Burke could certainly conduct effective analyses of ideas and
words even after more than twenty years at Westminster, as his
Letter to Sir Hercules Langrishe (1792) demonstrates, his
accent lay upon the necessity of synthesising ideas, and including
non-conceptual elements in any adequate treatment of politics. There
is nothing in a style of doing philosophy that centres upon analysis
that is logically inconsistent with these procedures. One temper of
mind, however, which sometimes accompanies this manner of
philosophising is antipathetic to Burke, and there is much in
contemporary opinions about politics, including those held by some
analytical philosophers, that he would have found dangerously
naive. Amongst these a belief in a continuing popular sovereignty (the
modern term of art for this is ‘democracy’)—rather
than parliamentary sovereignty is only the most obvious example. If
Burke is unlikely at present to be the darling of some philosophers
and of some pundits; still less will he be of those who suppose that
in discussing a small number of principles they provide a prescriptive
and sufficient guidance for the conduct of policy; and even less of
anyone who supposes it logically adequate to claim that ‘one
very simple principle’ is ‘entitled to govern absolutely
the dealings of society with the individual in the way of compulsion
and control’ or any other matter(Mill 1859,
‘Introductory’). The complex character of ideas, their
connexions with each other, the need to understand practice in terms
of such relations, and to conduct it with attention to habitual
linkages amongst people’s ideas and activities, suggest a different
sort of thinking. So it is not surprising that Burke has been quietly
ignored by many recent thinkers, or dismissed from consideration by
being labelled as a ‘conservative’ — but it is of
great interest that he has found many admirers amongst those who
succeed in the conduct of practical politics. Whilst Burke would have
been the first to point out that his specific conclusions belong to a
time and a place, his intellectual style, is one with which any
serious thinking about politics, whether reflective or practical,
needs to engage.

11. Conclusion

Burke’s thought is philosophical in at least two senses. One is that
it is constituted in part by thinking in terms of philosophical
conceptions, especially complex ideas, particularly those of relation,
as well as involving significant positions in philosophical psychology
and the philosophy of language. The other sense is that it develops an
account of the American, British and European past which is
philosophical history, as the eighteenth-century understood the
term. These senses, once put together, inform a style of practical
thinking about politics which emphasizes the importance of synthetic
as well as analytical thinking for practice, and suggests that a
progressive practice requires not only the yields of past effort but
also the intelligent application of mind to their further development
if progress, rather than regress, is to result. Burke is perhaps the
least studied of political classics, but he is certainly amongst the
small number with whom anyone who aspires to have an adequate
political education must engage.

Bibliography

Primary Literature

There is no complete edition of Burke’s works: their quantity, the
character of some of his manuscript materials and the manner in which
many of his parliamentary speeches are preserved all make it very
likely that this situation will continue. The fullest collection by
far, as well as the best edited, in nine, large substantive volumes,
is:

  • Langford, P., 1981-, (general ed.), Writings and Speeches of
    Edmund Burke
    , Oxford, Clarendon Press, approaching
    completion. Cited as W & S

  • [Burke, Edmund, and William Burke], 1757, An Account of the
    European Settlements
    , London (and later editions).
  • Somerset, H.V.F, ed., 1957, A Notebook of Edmund Burke,
    Cambridge, Cambridge University Press.

Besides Burke’s writings, the most useful printed source for his
opinions is:

  • Copeland, T.W., 1958-78, (general ed.), The Correspondence of
    Edmund Burke
    , Cambridge and Chicago, Cambridge University Press
    and University of Chicago Press, (ten volumes). Cited as Corr.

Smaller, but significant quantities of further letters have been
edited in:

  • Lock, F.P., 1997, 1999, 2003 ‘Unpublished Burke
    Letters’, English Historical Review, 112: 119-141; 114:
    636-657; 118: 940-982

There is further unprinted correspondence in various repositories.
The primary collections of Burke manuscripts are at Sheffield Archives
and Northamptonshire Record Office, but there is further material by
Burke in a wider range of places; the material in manuscript bearing on
him is extremely bulky, diverse and scattered.

Secondary Literature

There is relatively little recent literature primarily on Burke’s
philosophical writings, however ‘philosophical’ is defined,
though there is much that makes reference to or use of them: thus a
bibliography of writings about his views on beauty, gender, and
political organization, as well as his literary temper and practical
activities would be disproportionately long. The reader is therefore
invited to range freely. The secondary literature as a whole is listed
up to about 1980 in Clara I. Gandy and Peter J. Stanlis, 1983,
Edmund Burke: A Bibliography of Secondary Studies to 1982, New
York, Garland. There are annual listings in the Modern Humanities
Research Association
’s volumes.

For matters discussed here, the reader is referred to:

  • Burke, Edmund, 1958, Philosophical Enquiry, ed. J.T.
    Boulton, London, Routledge (later edition, Oxford, Blackwell,
    1987)
  • Canavan, F., 1957, ‘Edmund Burke’s College Study of
    Philosophy’, Notes and Queries, n.s.4: 538-543.
  • Sewell Jr, R.B., 1938, ‘Rousseau’s Second Discourse in
    England from 1755 to 1762’, Philological Quarterly, 17:
    97-114.
  • Wecter, D., 1940, ‘Burke’s Theory of Words, Images and
    Emotions’, Publications of the Modern Language
    Association
    , 55: 167-181.

Other works cited

  • Berkeley, G, 1948-57, The Works of George Berkeley, eds.
    A.A.Luce and T.E.Jessop, 9 volumes, London, Nelson.
  • Broad, C.D., 1952, Ethics and the History of Philosophy,
    London, Routledge.
  • Coleridge, S.T., 1983, Biographica Literaria, eds. James
    Engell and W. Jackson Bate, Princeton, Princeton University Press.
  • Freeman, M., 1992, ‘Edmund Burke’, in Laurence C.
    Becker and Charlotte B. Becker, eds., Encyclopaedia of Ethics,
    2 vols., Garland, New York, vol.i, pp.109-11.
  • Gore-Brown, R, 1953, Chancellor Thurlow, London,
    Routledge.
  • Goldsmith, Oliver, 1774, Retaliation: a poem, London, G.
    Kearsly.
    [Available online].
  • Historical Manuscripts Commission, 1905, Report on the
    Manuscripts of the Marquess of Lothian
    , London, Stationery
    Office.
  • Hull, C.H., and H.W.V. Temperley, eds., 1911-12, ‘Debates on
    the Declaratory Act and the Repeal of the Stamp Act’,
    American Historical Review, 17, pp.563-586.
  • Le Clerc, J, 1692, Logica: sive ars ratiocinandi, London,
    Awnsham & John Churchill.
  • Mill, J.S., 1859, On Liberty, London, Longman.
  • Robinson, Nicholas K., 1996, Edmund Burke: a life in
    caricature
    , New Haven, Yale University Press.
  • Sidgwick, H., 2000, Essays on Ethics and Method, ed.
    Marcus G. Singer, Clarendon Press, Oxford.
  • Williamson, P., 1999, Stanley Baldwin, Cambridge,
    Cambridge University Press.

Other Internet Resources

Related Entries

Berkeley, George |
ethics: natural law tradition |

Emotion

No aspect of our mental life is more important to the quality and
meaning of our existence than emotions. They are what make life worth
living, or sometimes ending. So it is not surprising that most of the
great classical philosophers—Plato, Aristotle, Spinoza, Descartes,
Hobbes, Hume—had recognizable theories of emotion, conceived as
responses to certain sorts of events of concern to a subject,
triggering bodily changes and typically motivating characteristic
behavior. What is surprising is that in much of the twentieth-century
philosophers of mind and psychologists tended to neglect them—perhaps
because the sheer variety of phenomena covered by the word “emotion”
and its closest neighbors tends to discourage tidy theory. In recent
years, however, emotions have once again become the focus of vigorous
interest in philosophy, as well as in other branches of cognitive
science. In view of the proliferation of increasingly fruitful
exchanges between researches of different stripes, it is no longer
useful to speak of the philosophy of emotion in isolation from the
approaches of other disciplines, particularly psychology, neurology,
evolutionary biology, and even economics. While it is quite impossible
to do justice to those approaches here, some sidelong glances in their
direction will aim to suggest their philosophical importance.

I begin by outlining some of the ways that philosophers have
conceived of the place of emotions in the topography of the mind,
particularly in their relation to bodily states, to motivation, and to
beliefs and desires, as well as some of the ways in which they have
envisaged the relation between different emotions. Most emotions have
an intentional structure: we shall need to say something about what
that means. Psychology and more recently evolutionary biology have
offered a number of theories of emotions, stressing their function in
the conduct of life. Philosophers have been especially partial to
cognitivist theories, emphasizing analogies either with propositional
judgments or with perception. But different theories implicitly posit
different ontologies of emotion, and there has been some dispute about
what emotions really are, and indeed whether they are any kind of thing
at all. Emotions also raise normative questions: about the extent to
which they can be said to be rational, or can contribute to
rationality. In that regard the question of our knowledge of our own
emotions is especially problematic, as it seems they are both the
object of our most immediate awareness and the most powerful source of
our capacity for self-deception. This results in a particularly
ambivalent relation between emotions and morality. I will conclude with
a recapitulation of the main positions defended by some three dozen
philosophers of emotion in the past half century.


1. Emotions and the Topography of the Mind

How do emotions fit into different conceptions of the mind? One model,
advocated by Descartes as well as by many contemporary psychologists,
posits a few basic emotions out of which all others are compounded. An
alternative model views every emotion as consisting in, or at least
including, some irreducibly specific component not compounded of
anything simpler. Again, emotions might form an indefinitely broad
continuum comprising a small number of finite dimensions (e.g. level of
arousal, intensity, pleasure or aversion, self- or other-directedness,
etc.). In much the way that color arises from the visual system’s
comparison of retinal cones, whose limited sensitivity ranges
correspond roughly to primary hues, we might then hope to find
relatively simple biological explanations for the rich variety of
emotions. Rigid boundaries between them would be arbitrary. Alternative
models, based in physiology or evolutionary psychology, have posited
modular subsystems or agents the function of which is to coordinate the
fulfilment of basic needs, such as mating, affiliation, defense and the
avoidance of predators. (Panksepp 1998, Cosmides and Tooby 2000).

To date cognitive science does not seem to have provided any crucial
tests to decide between competing models of the mind. An eclectic
approach therefore seems warranted. What does seem well established in
the light of cross-cultural research is that a small number of
emotions have inter-translatable names and universally recognizable
expressions. According to Ekman and Friesen (1989) these are
happiness, sadness, fear, anger, surprise, and disgust (the last two
of which, however, some researchers consider too simple to be called
emotions) (Panksepp 1998). Other emotions are not so easily
recognizable cross-culturally, and some expressions are almost as
local as dialects. But then this is an issue on which cognitive
science alone should not, perhaps, be accorded the last word: what to
a neurologist might be classed as two tokens of the same emotion type
might seem to have little in common under the magnifying lens of a
Marcel Proust.

Another range of models propose mutually conflicting ways of locating
emotion within the general economy of the mind. Some treat emotion as
one of many separate faculties. For Plato in the Republic,
there seemed to have been three basic components of the human mind:
the reasoning, the desiring, and the emotive parts. For Aristotle, the
emotions are not represented as constituting a separate agency or
module, but they had even greater importance, particularly in the
moral life, our capacity for which Aristotle regarded as largely a
result of learning to feel the right emotions in the right
circumstances. Hume’s notorious dictum that reason is and ought to be
the slave of the passions also placed the emotions at the very center
of character and agency. For Spinoza, emotions are not lodged in a
separate body in conflict with the soul, since soul and body are
aspects of a single reality; but emotions, as affections of the soul,
make the difference between the best and the worst lives, as they
either increase the soul’s power to act, or diminish that power. In
other models, emotions as a category are apt to be sucked into either
of two other faculties of mind. They are then treated as mere
composites or offshoots of those other faculties: a peculiar kind of
belief, or a vague kind of desire or will. The Stoics made emotions
into judgments about the value of things incidental to an agent’s
virtue, to which we should therefore remain perfectly
indifferent. Hobbes assimilated “passions” to specific appetites or
aversions. Kant too saw emotions as essentially conative phenomena,
but grouped them with inclinations enticing the will to act on motives
other than that of duty.

Twentieth-century Anglo-American philosophy and psychology have also
tended to incorporate emotions into other, better understood mental
categories. Under the influence of a “tough-minded” ideology committed
to behaviorism, it seemed easier to look for adequate theories of
action or will, as well as theories of belief or knowledge, than to
construct adequate theories of emotion. Economic models of rational
decision and agency inspired by Bayesian theory are essentially
assimilative models, viewing emotion either as a species of belief, or
as a species of desire.

That enviably resilient Bayesian model has been cracked, in the eyes
of many philosophers, by such refractory phenomena as akrasia or
“weakness of will.” In cases of akrasia, traditional descriptive
rationality seems to be violated, insofar as the “strongest” desire
does not win, even when paired with the appropriate belief (Davidson
1980). Emotion is ready to pick up the slack—if only we had a
coherent theory of how it does it.

It is one thing, however, to recognize the need for a theory of mind
that finds a place for the unique role of emotions, and quite another
to construct one. Emotions vary so much in a number of
dimensions—transparency, intensity, behavioral expression,
object-directedness, and susceptibility to rational assessment—as to
cast doubt on the assumption that they have anything in common.
However, while this variation may have led philosophers to steer clear
of emotions in the past, many philosophers are now rising to the
challenge. The explanatory inadequacy of theories that shortchange
emotion is becoming increasingly apparent, and, as Peter Goldie (2000)
observes, it is no longer the case that emotion is treated as a poor
relation in the philosophy of mind.

2. Feeling Theories

The simplest theory of emotions, and perhaps the theory most
representative of common sense, is that emotions are simply a class of
feelings, differentiated from sensation and proprioceptions by their
experienced quality. William James proposed a variant of this view
(commonly known as the “James-Lange” theory of emotion, after James and
Carl G. Lange) according to which emotions are specifically feelings
caused by changes in physiological conditions relating to the autonomic
and motor functions. When we perceive that we are in danger, for
example, this perception sets off a collection of bodily responses, and
our awareness of these responses is what constitutes fear. James thus
maintained that “we feel sorry because we cry, angry because we strike,
afraid because we tremble, and [it is] not that we cry, strike, or
tremble, because we are sorry, angry, or fearful, as the case may be”
(James 1884, 190).

One problem with this theory is that it is unable to give an
adequate account of the differences between emotions. This objection
was first voiced by Walter Cannon (1929). According to James, what
distinguishes emotions is the fact that each involves the perception of
a unique set of bodily changes. Cannon claimed, however, that the
visceral reactions characteristic of distinct emotions such as fear and
anger are identical, and so these reactions cannot be what allow us to
tell emotions apart. The same conclusion is usually drawn from an
oft-cited experiment performed by Stanley Schacter and Jerome Singer
(1962). Subjects in their study were injected with epinephrine, a
stimulant of the sympathetic system. Schacter and Singer found that
these subjects tended to interpret the arousal they experienced either
as anger or as euphoria, depending on the type of situation they found
themselves in. Some were placed in a room where an actor was being
angry; others were placed in a room where an actor was being silly and
euphoric. In both cases the subjects’ mood tended to follow that of the
actor. The conclusion most frequently drawn is that, although some
forms of general arousal are easily labeled in terms of some emotional
state, there is no hope of finding in physiological states any
principle of distinction between specific emotions. The differentiae of
specific emotions are not physiological, but cognitive or something
else.

Subsequent research has shown that a limited number of emotions do,
in fact, have significantly different bodily profiles. (LeDoux 1996;
Panksepp 1998) However, bodily changes and the feelings accompanying
these changes get us only part way towards an adequate taxonomy. To
account for the differences between guilt, embarrassment, and shame,
for example, a plausible theory will have to look beyond physiology and
common-sense phenomenology.

Another problem with feeling theories is that they tempt one to
treat emotions as brute facts, no doubt susceptible of biological or
psychological explanation but not otherwise capable of being
rationalized. Emotions, however, are capable of being not only
explained, but also justified—they are closely related to the reasons
that give rise to them. If someone angers me, I can cite my
antagonist’s deprecatory tone; if someone makes me jealous, I can point
to his poaching on my emotional property. (Taylor 1975).

Both of these problems—that of differentiating individual
emotions, and that of accounting for emotions’ various ties to
rationality—can be traced, at least in part, to a more fundamental
oversight. Feeling theories, by assimilating emotions to sensations,
fail to take account of the fact that emotions are typically directed
at intentional objects. This defect is to some extent mitigated in what
might be regarded as a more sophisticated “feeling theory” elaborated
by Antonio Damasio (1999). On Damasio’s view the capacity for emotions
involves a capacity for the brain to monitor the body’s past and
hypothetical responses, both in the autonomic and the voluntary
systems, in terms of “somatic markers”. The association of
characteristic bodily states with past and hypothetical experiences and
responses establishes some connection between the emotion and the
absent world, but falls short of fully explicating the intentional
nature of emotion.

3. Emotions and Intentional Objects

What does a mood, such as free-floating depression or euphoria, have in
common with an episode of indignation whose reasons can be precisely
articulated? The first seems to have as its object nothing and
everything, and often admits of no particular justification; the second
has a long story to tell, typically involving other people and what
they have done or said. Not only these people, but the relevant facts
about the situations involved, as well as some of the special facts
about those situations, aspects of those facts, the causal role played
by these aspects, and even the typical aims of the actions motivated by
the emotions can all in some context or other be labeled objects of
emotion. The wide range of possible objects is suggested by the many
different ways we fill in ascriptions of emotions. If someone is
indignant, then there is some object o or proposition
p such that the person is indignant at or with o,
about p or that p, because of p, or in
virtue of p.

This variety has led to a good deal of confusion. A long-standing
debate, for example, concerns the extent to which the objects of
emotions are to be identified with their causes. This identification
seems plausible; yet it is easy to construct examples in which being
the cause of an emotion is intuitively neither a necessary nor a
sufficient condition for its being its object: if A gets annoyed at B
for some entirely trivial matter, drunkenness may have caused A’s
annoyance, yet it is in no sense its object. Its object may be some
innocent remark of B’s, which occasioned the annoyance but which it
would be misleading to regard as its cause. In fact the object of the
annoyance may be a certain insulting quality in B’s remark which is, as
a matter of fact, entirely imaginary and therefore could not possibly
be its true cause.

The right way to deal with these complexities is to embrace them. We
need a taxonomy of the different sorts of possible emotional objects.
We might then distinguish different types of emotions, not on the basis
of their qualitative feel, but—at least in part—according to the
different complex structures of their object relations. Many emotions,
such as love, necessarily involve a target, or actual
particular at which they are directed. Others, such as sadness, do not.
On the other hand, although a number of aspects of the loved one may
motivate attentional focus, efforts to find a
propositional object for love have been unconvincing. (Kraut
1986, Rorty 1988). Sadness may or may not focus on a propositional
object; regret, by contrast, cannot be described without specifying
such an object. Depression or elation can lack all three kinds of
object. Objectless emotions share many properties with other emotions,
especially in their physiological and motivational aspects, but they
might more properly be classified as moods rather than full-fledged
emotions. Moods typically facilitate certain ranges of object-directed
emotions, but they form a class apart.

Finally, while different emotions may or may not have these various
sorts of objects, every emotion has a formal object if it has
any object. A formal object is a property implicitly ascribed by the
emotion to its target, focus or propositional object, in virtue of
which the emotion can be seen as intelligible. My fear of a dog, for
example, construes a number of the dog’s features (its salivating maw,
its ferocious bark) as being frightening, and it is my perception of
the dog as frightening that makes my emotion fear, rather than some
other emotion. The formal object associated with a given emotion is
essential to the definition of that particular emotion. This explains
the appearance of tautology in the specification any formal object (I
am disgusted because it is disgusting); but it is also, in part, what
allows us to speak of emotions being appropriate or inappropriate. If
the dog obstructing my path is a shitzu, my fear is mistaken: the
target of my fear fails to fit fear’s formal object. As we shall see
below in section 10 below, appropriateness in this sense does not
entail moral correctness; but it makes the emotion intelligible even
when it is abhorrent. Thus racist disgust, while obviously morally
inappropriate, is nevertheless intelligible in terms of its link to
paradigm cases of disgust.

4. Psychological and Evolutionary Approaches

That emotions typically have formal objects highlights another
important feature of emotional experience which feeling theories
neglect, and which other psychological theories attempt to
accommodate: emotions involve evaluations. If someone insults me and I
become angry, his impertinence will be the aspect of his behavior that
fits the formal object of anger: I only become angry once I construe
the person’s remark as a slight; the specific nature of my emotion’s
formal object is a function of my appraisal of the situation. Magna
Arnold (1960) introduced the notion of appraisal into psychology,
characterizing it as the process through which the significance of a
situation for an individual is determined. Appraisal gives rise to
attraction or aversion, and emotion is equated with this “felt
tendency toward anything intuitively appraised as good (beneficial),
or away from anything intuitively appraised as bad (harmful)”
(171). Subsequent appraisal theories accept the broad features of
Arnold’s account, and differ mainly in emphasis. Richard Lazarus
(1991) makes the strong claim that appraisals are both necessary and
sufficient for emotion, and sees the identity of particular emotions
as being completely determined by the patterns of appraisal giving
rise to them. Nico Frijda (1986) takes the patterns of action
readiness following appraisals to be what characterize different
emotions, but departs from Arnold in not characterizing these patterns
solely in terms of attraction and aversion. Klaus Scherer and his
Geneva school have elaborated appraisal theories into sophisticated
models that anatomize different emotions in terms of some eighteen or
more dimensions of appraisal. Emotions turn out to be reliably
correlated, if not identified, with patterns of such complex
appraisals. (Scherer et al., 2001). Appraisal theories can be
described as taking a functional approach to emotion, insofar as
appraisals lead to reactions whose function is to deal with specific
situation types having some significance for an individual (Scherer
2006). This approach suggests that the space of emotions can be
conceptualized as multidimensional. In practice, however, so-called
dimensional theories simplify the problem of representation by
reducing these to just two or three (Russell 2003). Typically these
include ‘arousal’ and ‘valence’. This is handy, but tends to flatten
out many distinct ways in which one might classify emotional valence
as ‘positive’ or ‘negative’.

Other theories consider the function of emotions more broadly, and
ask, not why we should have particular emotions on specific occasions,
but rather why we should have particular emotions at all. This
question is often given an evolutionary answer: emotions (or at least
many of them) are adaptations whose purpose is to solve basic
ecological problems facing organisms (Plutchik 1980; Frank
1988). Darwin (1998[1896]) himself was concerned not so much with the
question of how our emotions might have evolved, but rather why they
should have the forms of expression that they do. Emotional
expressions, he thought, once served particular functions (e.g. baring
teeth in anger to prepare for attack), but now accompany particular
emotions because of their usefulness in communicating these emotions
to others. Paul Ekman (1972), inspired by Darwin’s approach, takes
emotional expressions to be important parts of “affect
programs”—complex responses found in all human populations,
which are controlled by mechanisms operating below the level of
consciousness. Much research has been done on this group of emotions
(usually listed as happiness, sadness, fear, anger, surprise, and
disgust) and scientifically-minded philosophers often restrict their
discussions of emotion to the affect programs, since these are those
most well understood of all emotional phenomena (Griffiths 1997;
DeLancey 2001; Prinz 2004). However, the affect program model leaves
out a good deal. In particular, it ignores those emotions which
involve higher cognitive processes, such as jealousy, envy, and
Schadenfreude. It is these sorts of emotions which many philosophers
have made the focus of their own theories of emotion. The research
program of evolutionary psychology (Cosmides et al. 2000) goes some
way to filling this lacuna, and emphasizes the modularity that is
likely to result on the plausible speculation that different social
and psychological emotional functions have been shaped relatively
independently by natural selection. The mechanisms elaborated by
natural selection in the context of competitive survival, dominance,
mating and affiliation are not necessarily harmonious. Philosophers,
for their part, have devoted a good deal of attention to the analysis
of more subtle differences between “higher” emotions. (Ben-Ze’ev
2000). This has led many philosophers to stress cognitive aspects of
emotions.

5. Cognitivist Theories

Most contemporary philosophical theories of emotion resemble
psychological appraisal theories, characterizing emotions primarily in
terms of their associated cognitions. What distinguishes these
“cognitivist” theories is their particular understanding of these
cognitions. While appraisal theorists generally allow that the
cognitive processes underlying emotion can be either conscious or
unconscious, and can involve either propositional or non-propositional
content, cognitivists typically claim that emotions involve
propositional attitudes. Many emotions are specified in terms of
propositions: one can’t be angry with someone unless one believes that
person guilty of some offense; one can’t be envious unless one believes
that someone else has something good in her possession. Proponents of
cognitivism universalize this feature of certain emotions, and maintain
that in order to have an emotion, one must always have some sort of
attitude directed at a proposition.

The most parsimonious type of cognitivist theory follows the Stoics
in identifying emotions with judgments. Robert Solomon (1980), Jerome
Neu (2000) and Martha Nussbaum (2001) take this approach. My anger at
someone simply is the judgment that I have been wronged by that person.
Other cognitivist theories introduce further elements into their
analyses. Emotions have been described as sets of beliefs and desires
(Marks 1982), affect-laden judgments (Broad 1971; Lyons 1980), and as
complexes of beliefs, desires, and feelings (Oakley 1992).

Cognitivist theories have faced criticism along a number of fronts.
Deigh (1994) has objected that the view of emotions as propositional
attitudes has the effect of excluding animals and infants lacking
language. Others have argued that if emotions always involve the
standard propositional attitudes, namely belief and desire, then an
account of the rationality of emotions will collapse into an account of
what it is for those standard propositional attitudes to be rational:
but emotional rationality is not reducible to the rationality of
beliefs or desires (de Sousa 1987; Ben-Ze’ev 2000; Goldie 2000; Elster
2003). Another criticism, stressed by Wollheim (1999) draws upon a
difference between transient mental states and mental dispositions.
Emotions, like beliefs and desires, can exist either as occurrent
events (jealousy of a rival at a party) or as persisting modifications
of the mind (a tendency to feel jealousy). However, dispositional
beliefs have a straightforward connection with their occurrent
manifestations: if I have a standing belief that the world is round,
for example, then I will assent to this proposition on particular
occasions (sincere avowal of desires also counts as evidence for
underlying dispositions, though the connection is not as tight).
Dispositional emotions, on the other hand, do not have tailor-made
forms of expression, but can be manifested in a whole diverse range of
behavior.

A frequent objection made to cognitivist theories is the “fear of
flying” objection: propositional attitudes are neither necessary nor
sufficient for the existence of an emotion, since I may be well aware
that flying is the safest means of transport and yet suffer fear of
flying. (Stocker 1992). I may feel a twinge of suspicion towards my
butler, and yet believe him to be utterly trustworthy; conversely, I
may judge that he is up to no good, and yet feel nothing in the way of
emotion. These examples suggest an analogy with perceptual illusions,
which a correct belief sometimes quite fails to dispel. A cognitivist
might reply that this objection merely establishes that the
propositional content of emotion (like the propositional content of
perception) differs from the propositional content of belief, not that
emotions have no propositional content at all. It remains that even if
perceptions necessarily have propositional content, they cannot be
assimilated to belief: so it seems to be with emotion. Furthermore, it
is not obvious that the content of perceptions or emotions are
exhausted by their propositional content (Peacocke 2001). Similarly
several theorists insist that experiences of emotion have content
beyond any propositional content. (Goldie 2000; Wollheim 2000; Charland
2002; Tappolet 2003).

6. Perceptual Theories

A crucial mandate of cognitivist theories is to avert the charge that
emotions are merely “subjective.” But propositional attitudes are not
the only cognitive states. A more basic feature of cognition is that is
has a “mind-to-world direction of fit.” The expression is meant to sum
up the contrast between cognition and the conative orientation, in
which success is defined in terms of the opposite, world-to-mind,
direction of fit (Searle 1983). We will or desire what does not yet
exist, and deem ourselves successful if the world is brought into line
with the mind’s plan.

A view ascribing to emotions a true mind-to-world direction of fit,
inspired by the model of perception, would involve a criterion of
success that depended on correctness with respect to some objective
property. To take this approach is to give a particular answer to a
question posed long ago in Plato’s Euthyphro (the question, as
originally put forward, concerned the nature of piety, but it extends
to values in general): Do we love X—mutatis mutandis for
the other emotions—because X is lovable, or do we declare X to be
lovable merely because we love it? The first alternative is the
objectivist one, encouraged by the analogy of perception. It requires
that we define clearly the relevant sense of ‘objectivity’.
Specifically it promises a valid analogy between some of the ways in
which we can speak of perception as aspiring to objectivity and ways in
which we can say the same of emotion.

Emotions are sometimes said to be subjective in this sense: that
they merely reflect something that belongs exclusively and contingently
to the mind of the subject of experience, and therefore do not co-vary
with any property that could be independently identified. This charge
presupposes a sense of “objective” that contrasts with “projective,” in
something like the psychoanalytic sense. In terms of the analogy of
perception, to say that emotions are universally subjective in this
sense would be to claim that they resemble hallucinations more than
veridical perceptions. The perceptual system is capable of the sort of
functioning-in-a-vacuum that leads to perceptual mistakes. Similarly,
emotions may mislead us into “hasty” or “emotional” judgments (Solomon
1984). On the other hand, the lack of perceptual capacities can be a
crippling handicap in one’s attempt to negotiate the world: similarly a
lack of adequate emotional responses can hinder our attempts to view
the world correctly and act correctly in it (Nussbaum 1990, Thomas
1989). This explains why we are so often tempted to take seriously
ascription of reasonableness or unreasonableness, fittingness or
inappropriateness, for common emotions. Unfortunately it is unclear how
the alleged objective properties identified by emotions might be
identified independently.

Closely related to the question of the cognitive aspect of emotions
is the question of their passivity. Passivity has an ambiguous relation
to subjectivity. In one vein, impressed by the bad reputation of the
“passions” as taking over our consciousness against our will,
philosophers have been tempted to take the passivity of emotions as
evidence of their subjectivity. In another vein, however, it has been
noted that the passivity of emotions is sometimes precisely analogous
to the passivity of perception. How the world is, is not in our power.
So it is only to be expected that our emotions, if they actually
represent something genuinely and objectively in the world, should not
be in our power either: we can no more arbitrarily choose to experience
an emotion than we can adopt a belief at will. (Gordon 1987).

If the view that emotions are a kind of perception can be sustained,
then the connection between emotion and cognition will have been
secured. But there is yet another way of establishing this connection,
compatible with the perceptual model. This is to draw attention to the
role of emotions as providing the framework for cognitions of the more
conventional kind. de Sousa (1987) and Amélie Rorty (1980)
propose this sort of account, according to which emotions are not so
much perceptions as they are ways of seeing—species of determinate
patterns of salience among objects of attention, lines of inquiry, and
inferential strategies. (See also Roberts 1988) Emotions make certain
features of situations or arguments more prominent, giving them a
weight in our experience that they would have lacked in the absence of
emotion. Consider how Iago proceeds to make Othello jealous. He directs
Othello’s attention, suggests questions to ask, and insinuates that
there are inferences to be drawn without specifying them himself. Once
Othello’s attention turns to his wife’s friendship with Cassio and the
lost handkerchief, inferences which on the same evidence would not even
have been thought of before are now experienced as compelling:
“Farewell, the tranquil mind….”

This account does not identify emotions with judgments or desires,
but it does explain why cognitivist theorists have been tempted to make
this identification. Emotions set the agenda for beliefs and desires:
one might say that they ask the questions that judgment answers with
beliefs and evaluate the prospects that may or may not arouse desire.
As every committee chairperson knows, questions have much to
do with the determination of answers: the rest can be left up to the
facts. In this way emotions could be said to be judgments, in the sense
that they are what we see the world “in terms of.” But they need not
consist in articulated propositions. Much the same reasons motivate
their assimilation to desire. As long as we presuppose some basic or
preexisting desires, the directive power of “motivation” belongs to
what controls attention, salience, and inference strategies
preferred.

Some philosophers suggest that the directive power which emotions
exert over perception is partly a function of their essentially
dramatic or narrative structure (Rorty 1988). It seems conceptually
incoherent to suppose that one could have an emotion—say, an
intense jealousy or a consuming rage—for only a fraction of a
second (Wollheim 1999). One explanation of this feature of emotions
is that a story plays itself out during the course of each emotional
episode, and stories take place over stretches of time. de Sousa
(1987) has suggested that the stories characteristic of different
emotions are learned by association with “paradigm scenarios.” These
are drawn first from a daily life as small children and later
reinforced by the stories, art, and culture to which we are
exposed. Later still, they are supplemented and refined by literature
and other art forms capable of expanding the range of one’s
imagination of ways to live. Paradigm scenarios involve two aspects:
first, a situation type providing the characteristic objects of the
specific emotion-type (where objects can be of the various sorts
mentioned above), and second, a set of characteristic or “normal”
responses to the situation, where normality is determined by a complex
and controversial mix of biological and cultural factors. Once our
emotional repertoire is established, we interpret various situations
we are faced with through the lens of different paradigm
scenarios. When a particular scenario suggests itself as an
interpretation, it arranges or rearranges our perceptual, cognitive,
and inferential dispositions.

A problem with this idea is that each emotion is appropriate to its
paradigm scenario by definition, since it is the paradigm scenario
which in effect calibrates the emotional repertoire. It is not clear
whether this places unreasonable limitations on the range of possible
criticism to which emotions give rise. What is certain is that when a
paradigm scenario is evoked by a novel situation, the resulting emotion
may or may not be appropriate to the situation that triggers it. In
that sense at least, then, emotions can be assessed for
rationality.

This brings up normative issues about emotions, which will be
addressed in sections 8–10 below. First, however, I consider what one
might conclude about the nature or “ontology” of emotions.

7. The Ontology of Emotions

What, in the end, are emotions? What do they ultimately
consist in? A variety of possible answers to this “ontological”
question suggest themselves in the light of the above account. They
might be physiological processes, or perceptions of physiological
processes, or neuro-psychological states, or adaptive dispositions, or
evaluative judgments, or computational states, or even social facts or
dynamical processes. In fact most philosophers would assent to most of
these descriptions while regarding all as partial. In view of the
acknowledged complexity of emotional functions, it seems wise to
rephrase the question not in terms of ontology, but in terms of levels
of explanation. The trichotomy first introduced by David Marr (Marr
1982) remains an excellent starting point. At the
computational level (which most would now call the
functional level), we need to identify the emotions’ basic
teleology: what they are for. This will be appropriate even if
one believes, as some traditionally have, that emotions actually
represent the breakdown of smoothly adaptive functions such as thought,
perception, and rational planning. For in that case the emotions will
be understood precisely in terms of their failure to promote the smooth
working of the cognitive and conative functions. Such a failure will
trigger a descent to a lower level of explanation, adverting to the
counterproductive exercise of mechanisms at the algorithmic
and implementational levels. The first—-more or less
equivalent to the design level of (Dennett 1971)—refers to
the sub-functions that natural selection has set up to perform the
functions said to be disrupted by emotion. The second designates the
actual neuro-physiological processes whereby, in animals built on a
specific plan such as mammals or humans such as we, these sub-functions
are normally carried out.

This trichotomy has been reinterpreted in various ways, but it still
serves. It is generally agreed that the simpler emotions, those whose
expression and recognition Ekman (1972, 1989) has shown to be
universal, are driven by the basic needs of organisms such as mating,
defense or avoidance of predators, and social affiliation. All complex
mammals require swift, relatively stereotyped responses to these
challenges. These are the “affect programs” favored by Ekman (1972,
1989), DeLancey (2001) and particularly Griffiths (1997), to be “what
emotions really are.” Opinions divide as to whether the same sort of
functional analysis can be applied to a wider range of what Griffiths
has called the “cognitively penetrable” emotions. Placing severe
constraints on what is to count as a “natural kind”, Griffiths argued
that Ekman’s six basic affect programs, and only they, form natural
kinds: the others, he claimed, are for the moment beyond the reach of
useful scientific investigation. Each affect program comprises a
coordinated syndrome of responses (which we attribute to the
algorithmic level) implemented at the physiological (hormonal and
neurological), muscular-skeletal, and expressive levels in ways that
owe their uniformity to homology, that is to say their common ancestral
origin. Other emotions, however, bear only relations of analogy with
these and don’t count as natural kinds either singly or as a class.

Against this Charland (2002) has argued that a sufficient level of
homology can be found to unite at least the basic emotions as a class,
and that we should regard emoters, and hence their emotions,
as a natural kind. Relying on Panksepp (1998, 2000), Charland argues
that the integrated mechanism of seven basic emotions (Panksepp’s list
differs slightly from Ekman’s) are implemented by distinct circuits
forming natural kinds not only in the human but more widely in the
mammalian brain. Emoters form a distinct kind in view of their
ancestral organization in terms of certain basic functions, the
specific algorithms that contribute to those functions, and their
implementation in terms of physiological, expressive, hormonal, and
motivational processes. This is sufficient not only to justify
treating the specific emotions as natural kinds, but to treat emotion
in general as a natural kind. (Charland 1995, 1997). This view seems
to require that we regard emotions as a set of processes distinguished
at all three levels of explanation. Emotions in general should then be
viewed as a genus of processes typically involving five different
component aspects or components, comprising subjective feeling,
cognition, motor expression, action tendencies or desire, and
neurological processes. (Scherer 2005). On this view, individual
emotions would owe their specific identity both to the subfunctions
they are designed to serve and to their characteristic physiological
implementation.

Another way of organizing the various approaches might appeal to the
dominant theoretical models on which they rest. It has often been said
that in the history of the philosophy of mind, every epoch has tended
to redefine its subject matter in terms of the most fashionable
technological metaphor. The notion of emotions as “springs of action”
alludes to the once fashionable model of clockwork. The dominant
metaphor in Freud’s early work was hydraulic. (Freud 1895). What does
this observation lead us to expect for emotions?

Modern conceptions of emotions, as we have seen, have been
frequently couched in terms of other mental terms. In these cases,
there is nothing sui generis that emotions are: any “ontological”
question about their nature belongs derivatively to the ontology of
desire and belief. (At a different, more remote level of explanation,
theories favoured by cognitive science are likely also to appeal to
evolutionary ideas.) This leaves three other dominant contemporary
models which one could expect to lay claims on emotion theory:
physiology, computation, and dynamical
systems
.

Physiological processes are conceded by all philosophers to
be involved in clearly prototypical cases of emotion. But no
philosopher, for fear perhaps of defining themselves out of relevant
competence, has been willing to concede that emotions just are
physiological processes. Instead they are held to be complexes in which
physiology plays a part at the level of implementation of some
higher-level process. The higher-level process in which an emotion
consists owes its overall structure to functional needs, and typically
comprises, in addition to physiological aspects, behavioural,
expressive, and phenomenological, components.

Computational theories of emotion seem to have been
particularly attractive to psychiatrists and psychoanalysts. They were
broached early by a couple of psychoanalysts turned hackers
(Peterfreund 1971), (Shank and Colby 1973) and played an important role
in the theoretical elaborations of John Bowlby’s work on the mechanisms
and psychological consequences of early separation and loss. (Bowlby
1969–1980). These works attempted to model Freudian concepts of the
dynamics of conscious and unconscious mental life in computational
terms. Colby even constructed a simulation of a paranoid patient,
“Parry”, which famously fooled some psychiatrists. The key idea was to
set up second-order parameters that acted on the first-order modules of
perception, belief and desire, thus regulating or disrupting the
operation of perceptual and action programs. From the sidelines, de
Sousa (1987) suggested that connectionist systems or analog models
stand a better chance of modeling emotion than those based on classical
von Neuman-type digital computation, but that suggestion hasn’t gone
anywhere. From the point of view of computational theory, the
prevailing wind, backed by both evolutionary speculation and
neurological findings on control systems and relatively independent
affect-programs, has tended to favour modular conceptions of emotion
rather than holistic ones. (Charland 1995, Robinson 2003).

Still, some philosophers and computer scientists have continued to be
interested in integrating computing theory with emotions. Aaron Sloman
has elaborated the sort of ideas that were embryonic in Shank and
Colby into a more sophisticated computational theory of the mind in
which emotions are virtual machines, playing a crucial role in a
complex hierarchic architecture in which they control, monitor,
schedule and sometimes disrupt other control modules. (Wright, Sloman
and Beaudoin 1996). The notion of architecture here adverts to the
complex hierarchy of control of component modular mechanisms. In line
with the three-level schema I have cited from Marr, (cf. also (Dennett
1971)) we should understand the approach elaborated in this work as
pertaining both to the functional and to the algorithmic level. It
explicitly eschews hypotheses about implementation. Joining the
growing consensus that emotion phenomena reflect distinct,
successively evolved behavioral control systems, Sloman distinguishes
between a primitive or primary stream rooted in relatively fixed
neuro-physiological response syndromes, a more elaborate control
system bringing in cortical control, as well as a third level,
probably exclusive to humans, which most closely corresponds to the
layer of emotions that we are most concerned with when we think of the
emotional charge of art and literature or of the complexity of social
intercourse. Rosalind Picard (1997) lays out the evidence for the view
that computers will need emotions to be truly intelligent, and in
particular to interact intelligently with humans. She also adverts to
the role of emotions in evaluation and the pruning of search spaces.
But she is as much concerned to provide an emotional theory of
computation as to elaborate a computational theory of emotions. Marvin
Minsky (2006) explores the many-faceted nature of mental life,
including emotions, from a computer modeling point of view. Paul
Thagard (2005) has elaborated computer models in which emotional
valence interacts with evidential strength to determine a mode of
emotional coherence.

Dynamical systems theories have been relatively slow to
emerge, despite their increasingly fashionable status in more central
areas of cognitive science and contrary to the prediction made by de
Sousa (1987) that connectionist systems or analog models would be more
successful in modeling emotion than those based on classical von
Neuman-type digital computation. One remarkable attempt to integrate
the perspective of dynamical systems into understanding of emotional
life is that of (Magai and Haviland-Jones 2002), who draw on dynamical
systems theory to model the elusive combination of unpredictability
and patterned coherence found in the life-long evolution of
individuality. Like predecessors such as Bowlby (1969–1980), they are
motivated by a goal of understanding at the level of conscious
experience as well as of underlying mechanisms: dynamical systems
theory is only one of their tools. It is therefore particularly
pertinent to the preoccupations of those who are interested in the
normative dimensions of emotions: their rationality and their
irrationality, their capacity for enhancing or inhibiting
self-knowledge, and their moral implications. I address these
questions in the next three sections.

8. Rationality and Emotions

The clearest notions associated with rationality are coherence and
consistency in the sphere of belief, and optimizing outcomes in the
sphere of action. But these notions are mainly critical ones. By
themselves, they would be not suffice to guide an organism towards any
particular course of action. For the number of goals that it is
logically possible to posit at any particular time is virtually
infinite, and the number of possible strategies that might be employed
in pursuit of them is orders of magnitude larger. Moreover, in
considering possible strategies, the number of consequences of any one
strategy is again infinite, so that unless some drastic pre-selection
can be effected among the alternatives their evaluation could never be
completed. This gives rise to what is known among cognitive scientists
as the “Frame Problem”: in deciding among any range of possible
actions, most of the consequences of each must be eliminated a priori,
i.e. without wasting any time on verifying that they are indeed irrelevant.

That this is not as much of a problem for people as it is for machines
may well be due to our capacity for emotions. As noted earlier,
emotions constitute one of the chief mechanisms whereby attention is
constrained and directed. (Matthews and Wells 1994). This allows them
to frame our decisions in two important ways. First, they define the
parameters taken into account in any particular deliberation. Second,
in the process of rational deliberation itself, they render salient
only a tiny proportion of the available alternatives and of the
conceivably relevant facts. Thus they winnow down to manageable size
the number of considerations relevant to deliberation, and help to
provide, in any particular situation, the indispensable framework
without which the question of rationality could not even be
considered. This suggestion, relabeled the “Search hypothesis of
emotion”, has been elaborated and criticized by Evans (2004), who
argues convincingly that it needs to be buttressed by a positive
theory of precisely what emotional mechanisms are capable of effecting
this task.

In a more pervasive and less easily definable way, the capacity to
experience emotion seems to be indispensable to the conduct of a
rational life over time. Antonio Damasio (1994) has amassed an
impressive body of neurological evidence suggesting that emotions do,
indeed, have this sort of function in everyday reasoning. Subjects in
his studies who, because of injuries sustained to the prefrontal and
somatosensory cortices of the brain, had a diminished capacity to
experience emotion, were severely hindered in their ability to make
intelligent practical decisions. In these ways, then, emotions would be
all important to rationality even if they could not themselves be
deemed rational or irrational.

Nevertheless we should not infer that emotions act consistently as
aids to rational thought and action. Researchers in recent decades
have identified a large number of cases where emotions are indeed
guilty of the lapses in rationality imputed by traditional prejudices
of philosophers. Some examples: present emotional attitudes to future
emotions are systematically distorted by discounting schemes that
invert preference orders (Ainslie 1992); we fail in other ways to
estimate correctly what our future emotions and preferences will be
(Gilbert 2006); our assessment of the past, too, is systematically
partial, in that we ignore all but the “peaks” of unpleasantness or
pleasure, and the temporally last segments of time (Kahneman 2000);
subjects misinterpret their own experience of fear as sexual
excitement (Dutton and Aron 1974); and conversely, a mild stimulus to
sexual interest causes men—but not women—to accept
severely disadvantageous rates of discounting (Daly and Wilson
2004). The picture is further complicated by the fact that some
apparent irrationalities may serve group cohesion. Thus in the much
studied “ultimatum game”, subjects are generally willing to
incur considerable costs to punish unfair behaviour (Oosterbeek, Sloof
and van de Kuilen 2004).

But can emotions be assessed for rationality in themselves, rather
than as components of practical strategies? There is a common
prejudice that “feelings,” a word now sometimes commonly used
interchangeably with “emotions,” neither owe nor can give any rational
account of themselves. Yet we equally commonly blame others or
ourselves for feeling “not wisely, but too well,” or for targeting
inappropriate objects. The norms appropriate to both these types of
judgment are inseparable from social norms, whether or not these are
endorsed. Ultimately they are inseparable from conceptions of
normality and human nature. Judgments of reasonableness therefore tend
to be endorsed or rejected in accordance with one’s ideological
commitments to this or that conception of human nature. It follows
that whether these judgments can be viewed as objective or not will
depend on whether there are objective facts to be sought about human
nature. On this question there is fortunately no need to pronounce. It
is enough to note that there is no logical reason why judgments of
reasonableness or irrationality in relation to emotions need be
regarded as any more subjective than any other judgments of
rationality in human affairs.

Exactly how one conceives of the nature of emotional rationality
will depend on one’s theory of what the emotions are. Cognitivist and
appraisal theories will say that a reasonable emotion is one whose
constituent propositional attitudes or appraisals are reasonable.
Theories which take emotions to be perceptions of objective values will
claim that the target of an appropriate emotion possesses the value
which the emotion presents it as having. Narrative theories will
consider an emotion appropriate if its dramatic structure adequately
resembles that of its eliciting situation.

Of course, these answers to the question of what it is for an emotion
to be reasonable suppose that the relevant notion of rationality is an
epistemic one, and that what appropriate emotions succeed in achieving
is some sort of representational adequacy. This assumes that emotions
are states that we passively undergo. However, the relation of the
emotions to the will is not as clear as the word “passion” might
suggest. Certain philosophers have argued that emotions are more like
actions, for which we must bear responsibility (Sartre 1948; Solomon
1980). If this is true, and emotions are to some extent under our
voluntary control, then emotions will also be assessable for their
strategic rationality. However, while it may, on occasion, be possible
to call up an emotion, it is also possible that the emotion which
actually materializes will not be the one which was summoned. If a
person is not aware that a substitution has taken place, then she will
be self-deceived about her emotions—an all too frequent
occurrence, worthy of a brief discussion in its own right.

9. Emotions and Self-knowledge

We often make the “Cartesian” assumption that if anyone can know our
emotions it is ourselves. Descartes said it thus: “it is impossible
for the soul to feel a passion without that passion being truly as one
feels it.” Barely a page later, however, he noted that “those that are
most agitated by their passions are not those who know them best”
(Descartes 1984 [1649], 338, 339). In fact, emotions are one of our
avenues to self-knowledge, since few kinds of self-knowledge could
matter more than knowing one’s own repertoire of emotional responses.
At the same time, emotions are both the cause and the subject of many
failures of self-knowledge. Their complexity entails much potential to
mislead or be misled. Insofar as most emotions involve belief, they
inherit the susceptibility of the latter to self-deception. Recent
literature on self-deception has striven to dissolve the air of
paradox to which this once gave rise (Fingarette 1969, Mele
1987). Furthermore, brain scientists have noted the pervasive nature
of self-deception and of different species of “confabulation”, and
they have begun to make progress in unmasking the underlying
neurological processes (Hirstein 2005). But there remain three
distinct sources of self-deception that stem from features of emotions
already alluded to.

The first arises from the connection of emotion with bodily changes.
There was something right in James’s claim that the emotion follows on,
rather than causing the voluntary and involuntary bodily changes which
are held to express it. Because some of these changes are either
directly or indirectly subject to our choices, we are able to pretend
or dissimulate emotion. That implies that we can sometimes be caught in
our own pretense. Sometimes we identify our emotions by what we feel:
and if what we feel has been distorted by a project of deception, then
we will misidentify our own emotions.

A second source of self-deception arises from the role of emotions
in determining salience among potential objects of attention or
concern. Poets have always known that the main effect of love is to
redirect attention: when I love, I notice nothing but my beloved, and
nothing of his faults. When my love turns to anger I still focus on
him, but now attend to a very different set of properties. This
suggests one way of controlling or dominating my emotion: think about
something else, or think differently about this object (Greenspan
2000). But this carries a risk. It is easier to think of something than
to avoid thinking about it; and to many cases of emotional distress
only the latter could bring adequate relief. Besides, one is not always
able to predict, and therefore to control, the effect that redirected
attention might produce. This familiar observation alerts us to the
role of the unconscious: if among the associations that are evoked by a
given scene are some that I can react to without being aware of them,
then I will not always be able to predict my own reactions, even if I
have mastered the not altogether trivial task of attending to whatever
I choose. Where the unconscious is, self-deception necessarily
threatens.

This brings us to the third source of emotional self-deception: the
involvement of social norms in the determination of our emotions. This
possibility arises in two stages from the admission that there are
unconscious motivations for emotions. First, if I am experiencing an
emotion that seems altogether inappropriate to its occasion, I will
naturally confabulate an explanation for it. A neurotic who is
unreasonably angry with his wife because he unconsciously identifies
her with his mother will not rest content with having no reason for his
anger. Instead, he will make one up. Second, the reason he makes up
will typically be one that is socially approved (Averill 1982).

If we are self-deceived in our emotional responses, or if some
emotional state induces self-deception, this may not be merely a
failure of self-knowledge. Many have thought that having certain
emotions is an important part of what it is to be a virtuous moral
agent. If this is true, then being systematically self-deceived about
one’s emotions will be a kind of moral failure as well.

10. Morality and Emotions

The complexity of emotions and their role in mental life is reflected
in the unsettled place they have held in the history of ethics. Often
they have been regarded as a dangerous threat to morality and
rationality; in the romantic tradition, on the contrary, passions have
been placed at the center both of human individuality and of the moral
life. This ambivalence is reflected in the close connections between
the vocabulary of emotions and that of vices and virtues: envy, spite,
jealousy, wrath, and pride are some names of emotions that also refer
to common vices. Not coincidentally, some key virtues—love,
compassion, benevolence, and sympathy—are also names of emotions.
(On the other hand, prudence, fortitude and temperance consist largely
in the capacity to resist the motivational power of emotions.)

The view that emotions are irrational was eloquently defended by the
Epicureans and Stoics. For this reason, these Hellenistic schools pose
a particularly interesting challenge for the rest of the Western
tradition. The Stoics adapted and made their own the Socratic
hypothesis that virtue is nothing else than knowledge, adding the idea
that emotions are essentially irrational beliefs. All vice and all
suffering is then irrational, and the good life requires the rooting
out of all desires and attachments. (As for the third of the major
Hellenistic schools, the Skeptics, their view was that it is beliefs as
such that were responsible for pain. Hence they recommend the
repudiation of opinions of any sort.) All three schools stressed the
overarching value of “ataraxia”, the absence of disturbance in the
soul. Philosophy can then be viewed as therapy, the function of which
is to purge emotions from the soul (Nussbaum 1994). In support of this,
the Stoics advanced the plausible claim that it is psychologically
impossible to keep only nice emotions and give up the nasty ones. For
all attachment and all desire, however worthy their objects might seem,
entail the capacity for wrenching and destructive negative emotions.
Erotic love can bring with it the murderous jealousy of a Medea, and
even a commitment to the idea of justice may foster a capacity for
destructive anger which is nothing but “furor brevis”— temporary
insanity, in Seneca’s arresting phrase. Moreover, the usual objects of
our attachment are clearly unworthy of a free human being, since they
diminish rather than enhance the autonomy those that endure them.

The Hellenistic philosophers’ observations about nasty emotions are
not wholly compelling. Surely it is possible to see at least some
emotions as having a positive contribution to make to our moral lives,
and indeed we have seen that the verdict of cognitive science is that a
capacity for normal emotion appears to be a sine qua non for the
rational and moral conduct of life. Outside of this intimate but still
somewhat mysterious link between the neurological capacity for emotion
and rationality, the exact significance of emotions to the moral life
will again depend on one’s theory of the emotions. Inasmuch as emotions
are partly constituted by desires, as some cognitivist theorists
maintain, they will, as David Hume contended, help to motivate decent
behavior and cement social life. If emotions are perceptions, and can
be more or less epistemically adequate to their objects, then emotions
may have a further contribution to make to the moral life, depending on
what sort of adequacy and what sort of objects are involved. Max
Scheler (1954) was the first to suggest that emotions are in effect
perceptions of “tertiary qualities” that supervene in the (human) world
on facts about social relations, pleasure and pain, and natural
psychological facts, a suggestion recently elaborated by Tappolet
(2000).

An important amendment to that view, voiced by D’Arms and Jacobson
(2000a) is that emotions may have intrinsic criteria of
appropriateness that diverge from, and indeed may conflict with,
ethical norms. Appropriate emotions are not necessarily moral. Despite
that, some emotions, specifically guilt, resentment, shame and anger,
may have a special role in the establishment of a range of
“response-dependent” values and norms that lie at the heart of the
moral life. (Gibbard 1990, D’Arms and Jacobson 1993). Mulligan (1998)
advances a related view: though not direct perceptions of value,
emotions can be said to justify axiological judgments. Emotions
themselves are justified by perceptions and beliefs, and are said to
be appropriate if and only if the axiological judgments they support
are correct. If any of those variant views is right, then emotions
have a crucial role to play in ethics in revealing to us something
like moral facts. A consequence of this view is that art and
literature, in educating our emotions, will have a substantial role in
our moral development (Nussbaum 2001). On the other hand, there
remains something “natural” about the emotions concerned, so that
moral emotions are sometimes precisely those that resist the
principles inculcated by so-called moral education. Hence the view
that emotions apprehend real moral properties can explain our approval
of those, like Huckleberry Finn when he ignored his “duty” to turn in
Jim the slave, whose emotions drive them to act against their own
“rational” conscience (Bennett 1974; McIntyre 1990).

These suggestions about the relevance of emotion to ethics must be
sharply distinguished from “Emotivism”—the claim that emotions
can be used to elucidate the concept of evaluation itself. Such
elucidation would only be plausible if we understood the explicans
more clearly than the explicandum. But the variety and complexity of
emotions makes them poor candidates for the role of explicans. The
view in question must also be distinguished from the sociobiological
hypothesis—which had early precursors in Mencius and
Hume—that certain motives of benevolence are part of the genetic
equipment which makes ethical behavior possible. That plausible view
has attracted surprisingly energetic opposition in recent years. One
objection against it is one directed against all forms of ethical
naturalism: namely that the biological origins of a sentiment have no
obvious bearing on its ethical value. Nevertheless, studies of social
interaction among other primates strongly support the hypothesis that
our moral intuitions have been shaped by evolution. And although
analogies between primate behaviour and human morality are still
resisted with desperate energy, it seems hard to deny that we can
recognize a surprising range of familiar “moral emotions” in our
nearest non-human cousins (de Waal 2006). Such naturalistic studies do
promise to explain, at least, both the existence of some of our more
benevolent emotions and attitudes, and the way in which their scope
often seems so dangerously limited to the members of some restricted
in-group.

The range of emotions to which the sociobiological hypothesis can be
applied, however, is relatively narrow. That many complex emotions are
to a certain extent socially constructed, is attested by the fact that
what is considered normal emotion varies between epochs and cultures.
Feminists have pointed out, in particular, that gender-specific norms
on emotional experience and expression have been a standard means of
maintaining inequality among the sexes in many cultures (de Beauvoir
1952). Viewed in this light, the emotions in general lack that property
of universalizability which many philosophers have regarded as a sine
qua non of the ethical (Blum 1980). On the other hand, the extent and
significance of cultural differences are still a matter of considerable
controversy (Pinker 2002). Any conclusions about the place of emotions
in the moral life must therefore remain highly tentative.

11. Summary and Guide to the Recent Literature

It may be useful, in order to provide more efficient entry points into
the literature, to summarize the salient doctrines of major
contributors to the philosophy of emotions in the past half century. At
the risk of some redundancy, since many of these figures have appeared
in the story told above, I conclude with the following brief capsules.
They are ordered roughly in chronological order of the head author’s
first major contribution to emotion theory. (Because some articles are
reprinted or reprised in more accessible later books or collections,
this may not always coincide with the date of the work cited.)

The revival of philosophical interest in emotions from the middle of
the twentieth century can be traced to an article by Erroll Bedford
(1957), and a book by Anthony Kenny (1963) which argued against the
assumption that emotions are feelings, impervious to either will or
reason. Bedford stressed both the intentionality and the importance of
contextual factors on the nature, arousal and expression of emotions.
Kenny, reviving some medieval theories of intentionality, urged that
emotions should be viewed as intentional states. He defined a notion of
a formal object of an intentional state as that characteristic that
must belong to something if it is to be possible for the state to
relate to it. This implies an excessively strong logical link between
the state and its object’s actual possession of the characteristic in
question. Nevertheless it points to an important condition on the
appropriateness of an emotion to a given object, which has been
incorporated in the account of formal objects set out above. These
papers gave impetus to what became the cognitivist mainstream in
philosophy of emotion, some fairly wide variations going from C.D.
Broad (1971 [1954])’s “affect-laden judgments” to the “strong desires”
theory advocated by Joel Marks (1982).

Among other philosophers responsible for the revival of interest in
emotions, Irving Thalberg (1977) took as given the cognitive dimension
of emotion, and explored some of the subtleties of the different
relations of emotions to their objects. The Wittgensteinian flavor of
Bedford’s second point, about the contextual dependency of emotions,
was elaborated into a “social constructionist” view by the
psychologist James Averill (1982). On this view, favored later by some
feminist philosophers such as Naomi Scheman (1983) and Sue Campbell
(1998), spurred also by the influential externalist perspective first
advocated by (Burge 1979), emotions are not primarily viewed as
individual characteristics of the persons to whom they are attributed,
but emerge out of the dynamics of social interaction. The influence of
Wittgenstein was also felt in a different respect—stemming from
his remarks on “seeing-as” (Wittgenstein 1953)—in a paper by
Robert Roberts (1988) which regarded emotions as “concern-based
construals”.

Gabriele Taylor (1975) was among the first to explore the ways in
which the justification of emotion differs from the justification of
its associated thought. She sought to establish the conditions under
which a given emotion would be justified in that more specific sense,
and pointed out, following Aristotle, that the absence of appropriate
emotion can also be culpable. A later book explored these themes in
greater detail (Taylor 1985), and pioneered the exploration of the
importance of emotional guilt in the moral life, anticipating later
work by Allan Gibbard (1990) and Patricia Greenspan (1995).

Amelie Rorty (1980) collected a number of seminal articles in a
collection to which she contributed two influential papers of her own,
on explaining emotions (Rorty 1980a) and on jealousy (Tov-Ruach 1980).
Her articles, as well as the collection as a whole, which included
early papers by several of the authors mentioned here, provided a
strong stimulus for the revival of the field. Rorty urged a
pluralistic, piecemeal approach, skeptical of theory and highly
attentive to the multiple psychological, social, and even political
dimensions of emotional scenarios. Her explorations, enriched with a
rich phenomenology of narrative detail, are developed and amplified in
some of her later work (Rorty 1988, 1998, 2003).

Robert Solomon (1980) spurred both interest and opposition with his
provocative thesis that emotions are judgments, albeit judgments of a
particular kind, characterized by their mode of haste and their
evaluative content. Under the influence of (Sartre 1948), he also
adopted the view that emotions could be understood as strategic
choices, collectively driven by the goal of protecting and enhancing
self-esteem (Solomon 1984). In his more recent work he has also written
about the emotional dimension of justice, and advocated an enrichment
of emotion theory through cross-cultural perspectives and the
integration of scientific perspectives (Solomon 1999).

Jerome Neu (1977) is sympathetic to by psychoanalytic views of the
mechanisms underlying the pathology of belief and desire frequently
associated with emotion. But he remains among the staunchest defenders
of a cognitivist view of the core of emotion, as attested by his book
title borrowed from William Blake’s line “A tear is an intellectual
thing”. (Neu 2000). Neu has repeatedly stressed, in particular, that
what distinguishes one emotion from another is not how it feels, but
what belief is embedded in the emotion about its target. Despite the
unifying theoretical vision suggested by this doctrine, much of Neu’s
work explores the pervasively messy and multifarious ways in which
emotions influence our lives.

William Lyons (1980), picking up a different strand of Bedford and
Kenny’s contributions, and also influenced by Wittgenstein, espoused a
mitigated form of cognitivism, which he called a “causal-evaluative”
theory. On this view, an emotion arises if and only if an abnormal
physiological change is caused by an evaluation. This view sought to
integrate the insights of James (1884) on the importance of our
perception of inner physiological changes triggered by the perception
of an object of attention. But it remains cognitivist, in that Lyons
claimed that the emotions are differentiated entirely by the
evaluations by which they are triggered.

Patricia Greenspan first turned her attention to problems of
emotional ambivalence and more broadly to the nature of emotional
rationality. (Greenspan 1988) She has been particularly persistent in
seeking to balance the diverse and conflicting imperatives implicit in
emotion theory. One is that we must account for emotions both as
conscious mental processes and as involving an important bodily
component; another is that emotions play an important role both in
determining and in undermining rational thought and action. In later
work Greenspan has turned increasingly to the practical, moral and
social implications of emotional life, including especially the place
of guilt among moral emotions. (Greenspan 1995). She has also returned,
in a very different way inspired not by Sartre but by game theory and
the influential work of the economist Robert Frank (1988) to the ways
in which emotional manifestations can serve as strategies in social
interaction. (Greenspan 2000).

Among Robert Gordon’s distinctive contributions in (Gordon 1987) was
the development of an idea first broached by (Thalberg 1977) that most
ascriptions of emotions with propositional objects are “factive”—that
is, that they presuppose the truth of their propositional objects. A
minority (such as worry and hope) are “epistemic”, in that they are
precisely focused on an uncertainty. Although this proposal has been
controversial, it has the virtue of drawing attention to the
possibility that in human communication the default assumption is that
of a common world. Gordon noted the analogy between the limited sense
of passivity that is appropriately ascribed to perception and the
passivity of emotions. He was also one of the first to suggest that the
knowledge we have of the states of mind of others, and particularly of
their emotional condition, is derived not from any psychological
theory, but from an active simulation of that other’s state.
Again, there is suggestive neurological evidence that this might be on
the right track from the discovery of “mirror neurons” that to be
similarly activated both by a concrete action and by the sight of the
same concrete action in another (Gallese and Goldman 1998), though I am
not aware of any specific follow up implicating human emotions.

Ronald de Sousa (1987) argued that emotions are not reducible to
beliefs, desires, or combinations of the two, but represent a logically
and functionally separate category of capacities. They contribute
essentially to the strategic choices of human rational deliberation,
and they are themselves assessable as rational or irrational in accord
with criteria which overlap but are not identical with those in terms
of which we judge moral and esthetic value.

Michael Stocker has stressed the pervasiveness of emotion: emotions
are not merely episodes, disruptive or otherwise, but include states
and experiences that give color, meaning and motivation to the whole of
the vast range of actions of which we are capable, including
intellectual action. They are both sources of value in themselves, and
sometimes constitute epistemic avenues to value. Stocker was one of the
first philosophers to call for a moderation of the intellectualism
implied by the dominant cognitivist orthodoxy, by drawing attention to
such cases as fear of flying, where the attitude embodied in an emotion
conflicts directly with the subject’s avowed beliefs. (Stocker and
Hegeman 1996).

Martha Nussbaum’s theory of emotions falls squarely within the
“cognitive-evaluative” camp. (Nussbaum 1990, 1994, 2001). But it is one
distinction of her approach that it may escape damage from much of the
criticism leveled against the standard cognitivist line of thought.
This results from her insistence that far from being simple
propositional attitudes that can be exhausted by their expression in
propositional form, the psychological and moral significance of the
emotions can only be grasped through the medium of art, and
particularly literature, in which the marriage of form and content
alone makes possible an adequately complex message. The deep reason for
this is that the kind of knowledge involved in moral appraisal is both
affective and cognitive. In her emphasis on the complexity and moral
importance of emotions, she is at one with Annette Baier (Baier 1995),
whose work has included an exploration of the role of emotional trust
in personal relations, a form of trust that cannot simply be described
in terms of belief in the truth of promises and undertakings. Both
these writers may owe something to the earlier work of Bernard Williams
(1973), for its early recognition of the overlap between the vocabulary
used in the expression of moral judgments with the vocabulary of
emotion, in words such as outrage, indignation, shock or
admiration.

Laurence Thomas (1989) built a persuasive argument that social life
demands that altruistic motives be built into individual character as
the foundation of the capacity to lead a moral life, and that this
requires a psychological process rooted in the biologically normal
relation between parent and infant. Parental love thus forms the basis
of the emotional capacities that in turn subtend harmonious social
relations.

Allan Gibbard (1990) offered an influential twist on the role of
emotions in the moral life. Rather than seeing them as perceptions or
apprehensions of value, like Stocker and others, he proposed a
different sort of “response-based theory” of value. On this view, it is
not the traditional virtuous emotions of compassion and sympathy that
are of paramount importance in morality, but rather those emotional
attitudes that relate to the warrant, or endorsement, of norms, namely
guilt and anger or resentment. These emotions are intrinsically social,
and the endorsement of norms is therefore enforced both
interpersonally, through resentment, and intrapersonally through
emotional guilt. This position has been both criticized and expanded by
Justin D’Arms and Daniel Jacobson (1993, 2000b). Response-based
theories of moral value have sparked much debate, notably from David
Wiggins (1987), John McDowell (1985), and Simon Blackburn (1998).

Aaron Ben-Ze’ev (2000) advocates a view of emotions as “subtle” mode
of mental actualization, not reducible to any of the components that
commonly figure in any given episode of emotion. Emotions form a
distinct mode or psychological system. They are prototypes concepts
rather than names of natural kinds, and their subtlety derives from the
fact that the emotional mode constitutes an exercise of all faculties
together, particularly in response to change, at the level of
perception, intellectual processes, and feeling.

Jon Elster (1999) is among those who are skeptical of the prospects
for a unified theory of emotions. Instead he describes in some detail
the variety of mechanisms associated with emotions which allows them to
be used in the explanation of actions. These mechanisms are diverse and
unpredictable, and their interactions often result in the
“transmutation” of one emotion into another: thus love can turn to
jealousy, jealousy to rage, rage to remorse, as the dynamics of the
situation evolves. Elster has also added to the argument against
assimilating emotions to desires and beliefs: whereas the standard
Bayesian type decision theories assume that expected desirability grows
with desirability and declines with probability, emotions, as
second-order attitudes to probability, can actually increase the
desirability of an option as its probability decreases, thus scrambling
the standard computation (Elster 2003).

Richard Wollheim (2000) comes closer than most current writers to
presenting a unified theory of emotions. He views them as dispositional
attitudes, which need to be studied both through their history and in
terms of their role in regulating or disrupting other psychological
mechanisms of belief and desire. That history is understood in
psychoanalytic terms (owed primarily to Freud and Melanie Klein):
primitive experiences of frustration or satisfaction, stemming from
desires that may not necessarily be conscious and may not necessary
have propositional objects, give rise to attitudes towards
precipitating factors in the outside world. These persisting attitudes
are the dispositions that constitute the emotions. Most emotions target
the outside world, but guilt and shame are exceptions, as they stem
from introjected critical figures which target the self. In all cases
emotions “color the world” and hence regulate beliefs and desires.

Peter Goldie (2000) is among those who have recently advocated a
return to the close identification of emotions with feelings, on the
ground that the divorce between them was decreed on false premises:
feelings, too, can actually have intentional objects in the world
beyond the bounds of the body (these are what he calls
“feelings towards”), although some emotional feelings are
simply bodily feelings and thus, whilst intentional, do not have this
kind of intentionality (Goldie 2009). He resists both reductive
theories which regard emotions as mere compounds of belief and desire,
and “add-on theories” that view them as beliefs and
desires plus something else — feeling for example. Only if we
understand the crucial component of feeling in emotion are we likely
to understand the large nugget of truth in the traditional view of
emotions as often irrational and disruptive. Furthermore, Goldie holds
that certain primitive emotions, on the analogy of cognitively
impenetrable perceptual illusions, influence action tendencies without
the mediation of propositions or concepts. (Goldie 2003)

In recent years, the most notable development in philosophical
treatment of emotions has been the attempt to incorporate
interdisciplinary approaches and insights into philosophy. Paul
Griffiths (1997), Jessie Prinz (2004) and Craig DeLancey (2002) are
the most vigorous exponents of the view that philosophical work on the
emotions must be re-oriented away from linguistic analysis and given
first roots in science. All three argue that such roots will split off
the simpler emotions of “affect programs” from more “cognitively
penetrable” ones. Griffiths contends that only affect programs form
natural kinds in virtue of common ancestral origins, or
homologies. Prinz adopts a radical perceptual view of emotions,
reminiscent of James. Citing a wide variety of psychological and
neurological research, as well as artificial intelligence models,
DeLancey argues for a view of emotions as playing a crucial role in a
system of mental activity organized as a hierarchical system of
modules.

Jenefer Robinson’s (2005) book is more eclectic, though also well
informed about the science; like Nussbaum (2001), she is particularly
interested in the nature and importance of emotions in the
understanding and genesis of art, and especially music. A forthcoming
book by Charles Nussbaum (2007) relies on biological, evolutionary,
neurological and psychological findings to argue for a treatment of
musical representation as representational, elaborating on the basic
insight that musical represents movement in space. David Pugmire
(2005), by contrast, returns to a more traditional point of view with
a defense of a broadly Aristotelian point of view on the moral
importance of integrity in emotions. Paul Thagard (2006) has also
energetically explored the broader area of what he calls “hot
thought”. This is reasoning variously driven, controlled or distorted
by emotions in different areas, such legal, scientific and religious
thinking.

12. Conclusion: Adequacy Conditions on Philosophical Theories of Emotion

In the recent work just all too briefly outlined, one can discern two
contrasting trends. We might call their exponents, with apologies to
Isaiah Berlin, the hedgehogs and the foxes of emotion theory. The
foxes are all keen to emphasize the pervasiveness and diversity of
what we call emotions. Emotions are multifarious in their causes, in
their effects, in their functions, in their roles both within and
among social individuals. Prominent among the foxes are Ben-Ze’ev,
Elster, Goldie, Neu, Nussbaum, Robinson, Rorty, Solomon, and
Stocker. The hedgehogs, inspired by the preference of for leaner
theory, are more interested in parcelling out domains in which
reasonably well regimented neuro-psychological entities with clearly
identifiable functions can be studied. Chief among this class of
philosophers are Griffiths, Prinz, and DeLancey, who regard the
psychological work of Ekman, Panksepp and others as providing a class
of clearly identifiable emotions, and tend to the view that the rest
are too messy to reward serious attention. In a different vein,
Wollheim might be classed with the hedgehogs, in that he presents a
unified theory of the origins and nature of emotional dispositions. In
many of these authors, a consensus may be building, according to which
the reaction against “feeling theories” of emotion was excessive,
because it was too hastily assumed that feelings could not have
intentionality.

Despite the contrast between these two trends, current views
manifest a good deal of agreement. A broad consensus has emerged on
what we might call adequacy conditions on any theory of emotion. An
acceptable philosophical theory of emotions should be able to account
at least for the following nine characteristics. All the recent and
current accounts of emotion discussed here have something to say about
most of them, and some have had something to say about all.

  • emotions are typically conscious phenomena; yet
  • they typically involve more pervasive bodily manifestations than
    other conscious states;
  • they vary along a number of dimensions: intensity, valence, type and range
    of intentional objects, etc.
  • they are reputed to be antagonists of rationality; but also
  • they play an indispensable role in determining the quality of
    life;
  • they contribute crucially to defining our ends and priorities;
  • they play a crucial role in the regulation of social life;
  • they protect us from an excessively slavish devotion to narrow
    conceptions of rationality;
  • they have a central place in moral education and the moral
    life.

The exploration of questions raised by these nine characteristics is a
thriving ongoing collaborative project in the theory of emotions, in
which philosophy will continue both to inform and to draw on a wide
range of philosophical expertise as well as the parallel explorations
of other branches of cognitive science.

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    Riddle of Confabulation
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    , 10: 413–30.
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    American Psychologist, 46: 362–67.
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    Underpinnings of Emotional Life
    , New York: Simon and
    Schuster.
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    Cognition and Emotion, 13: 481–504.
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    University Press.
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    Genius of Emotions: Lifespan Transformations of Personality
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    Cambridge: Cambridge University Press.
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    Morality and Objectivity, Ted Honderich (ed.), London:
    Routledge and Kegan Paul.
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    , 42: 227–242.
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    Thinking, Artificial Intelligence, and the Future of the Human
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    Monist, 81(1): 161–88.
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    Hume and Spinoza and the Relationship of Philosophical Theories of the
    Emotions to Psychological Theories of Therapy
    , London: Routledge
    and Kegan Paul.
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    Meaning of Emotions
    , Oxford, New York: Oxford University
    Press.
  • Niedenthal, Paula M., et al., 2005. “Embodiment in
    Attitudes, Social Perception, and Emotion,” Personality and
    Social Psychology Review
    , 9(3): 184–211.
  • –––, 2000. A Tear is an Intellectual Thing:
    the Meanings of Emotion
    , Oxford, New York: Oxford University
    Press.
  • Nussbaum, Martha, 1990. Love’s Knowledge, Oxford: Oxford
    University Press.
  • –––, 1994. The Therapy of Desire: Theory and Practice in
    Hellenistic Ethics
    , Princeton: Princeton University Press.
  • –––, 2001. Upheavals of Thought: The Intelligence of
    Emotions
    , Cambridge: Cambridge University Press.
  • Nussbaum, Charles, 2007. The Musical Representation: Meaning,
    Ontology, and Emotion
    , Cambridge, MA: MIT Press.
  • Oakley, Justin, 1992. Morality and the Emotions, London:
    Routledge and Kegan Paul.
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    Kuilen, 2004. “Differences in Ultimatum Game Experiments: Evidence
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  • Panksepp, Jaak, 1998. Affective neuroscience: the foundations
    of human and animal emotions
    , New York, Oxford: Oxford University
    Press.
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    Within the Brain,” in
    Handbook of Emotions, M. Lewis and Haviland-Jones (eds),
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    , New York: Harper and Row.
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    Emotions
    , Edinburgh: Edinburgh University Press.
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    Role in Literature, Music, and Art
    , Oxford: OUP.
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    103–126. Los Angeles: University of California Press.
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    In Explaining Emotions, ed. Amélie Rorty,
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    Psychological Attitudes: Love is Not Love Which Alters Not When it
    Alteration Finds,” in Mind in Action,
    121–134. Boston: Beacon Press.
  • –––, 1998. “Political Sources of Emotions,” Mid-West Studies
    in Philosophy
    , 12: 21–33.
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    Thinking About Feelings: Philosophers on Emotions, ed. Robert
    C. Solomon. Oxford; New York: Oxford University Press.
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    Theory
    , New York: Philosophical Library.
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    Physiological Determinants of Emotional States,” Psychological
    Review
    , 69: 379–99.
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    Peter Heath. Hamden, CT: Archon.
  • Scheman, Naomi, 1983. “Individualism and the Objects of
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    Mary B. Hintikka. Dordrecht: Reidel, 1983.
  • Scherer, Klaus R., A Schorr, and T. Johnstone (eds.), 2001.
    Appraisal Processes in Emotion: Theory, Methods, Research,
    Oxford: Oxford University Press.
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    they be measured?”
    Social Science information, 44(4): 695–729.
  • Shank, Roger, and Kenneth Mark Colby (eds.), 1973 . Computer
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    Emotions
    , edited by Amélie Rorty, 251–81. Los Angeles:
    University of California Press.
  • –––, 1984. The Passions: The Myth and Nature of Human
    Emotions
    , New York: Doubleday.
  • –––, 1999. “The Philosophy of Emotions,” in Handbook of
    Emotions
    , ed. Mark Lewis and Jeannette Haviland-Jones, 3-15. New
    York: Guilford Press.
  • Stocker, Michael, with Elizabeth Hegeman, 1992. Valuing
    Emotions
    , Cambridge: Cambridge University Press.
  • Tappolet, Christine, 2000. Emotions et Valeurs, Paris:
    Presses Universitaires de France.
  • –––, 2003. “Emotions and the Inelligibility of Akratic
    Action,” in Sarah Stroud and Christine Tappolet (eds.), Weakness of
    Will and Practical Irrationality
    , pp. 97–120.
  • Taylor, Gabriele, 1975. “Justifying the Emotions,” Mind,
    84: 390–402.
  • –––, 1985. Pride, Shame, and Guilt: Emotions of
    Self-Assessment
    , Oxford: Oxford University Press.
  • Thagard, Paul, 2005. Coherence in Thought and
    Action.
    Cambridge, MA: MIT Press.
  • Thagard, Paul, 2006. Hot Thought: Mechanisms and Applications
    of Emotional Cognition.
    Cambridge, MA: MIT Press.
  • Thalberg, Irving, 1977. Perception, Emotion and Action,
    New Haven: Yale University Press.
  • Thomas, Laurence, 1989. Living Morally: A Psychology of Moral
    Character
    , Philadelphia: Temple University Press.
  • Tov-Ruach, Leila (pseudonym for Amelie Rorty), 1980. “Jealousy,
    Attention and Loss,” in Explaining Emotions, ed. Amelie
    Rorty. Los Angeles: University of California Press.
  • Wiggins, David R. P., 1987. “A Sensible Subjectivism,” in
    Needs, Values, Truth, 185–214. Oxford: Basil Blackwell.
  • Williams, Bernard, 1973. “Morality and the Emotions,” in
    Problems of the Self: Philosophical Papers 1956–1972, 207–29.
    Cambridge: Cambridge University Press.
  • Wilson, J. R. S., 1972. Emotion and Object, Cambridge:
    Cambridge University Press.
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    Trans. G. E. M. Anscombe. New York: Macmillan.
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    University Press.
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    University Press.
  • Wright, Ian, Aaron Sloman, and Luc Beaudoin, 1996. “Towards a
    Design-Based Analysis of Emotional Episodes,” Philosophy,
    Psychiatry, and Psychology
    , 3: 101–126.

Other Important Literature, including entry points into “Affective Science”

  • Budd, Malcolm, 1985. Music and the Emotions: The
    Philosophical Theories
    , London: Routledge.
  • Davidson, R., K. Scherer and H. Hill Goldsmith (eds.),
    2001. Handbook of Affective Sciences, Oxford: Oxford
    University Press, 2003.
  • Goldie, Peter (ed.), 2002. Understanding Emotions,
    Aldershot: Ashgate Publishing.
  • Juslin, Patrik N. and John A. Sloboda (eds.), 2001, Music and
    Emotion: Theory and Research
    , Oxford: Oxford University
    Press
  • Oatley, Keith, 1992. Best Laid Schemes: The Psychology of
    Emotions
    , Cambridge: Cambridge University Press.
  • –––, 2006. Emotions: A Brief History, Oxford:
    Blackwell.
  • Zajonc, Robert, 2000. “Feeling and Thinking: Closing the
    Debate over the Independence of Affect,” in Feeling and
    Thinking: The Role of Affect in Social Cognition
    , Joseph
    P. Forgas (ed.), Cambridge: Cambridge University
    Press. 31–58.

Other Internet Resources

[Please contact the author with other suggestions.]

Related Entries

Aristotle |
cognitive science |
Descartes, René |

Henri Bergson

Henri Bergson (1859-1941) was one of the most famous and influential
French philosophers of the late 19th century-early 20th century.
Although his international fame reached cult-like heights during his
lifetime, his influence decreased notably after the second World War.
While such French thinkers as Merleau-Ponty, Sartre, and Lévinas
explicitly acknowledged his influence on their thought, it is generally
agreed that it was Gilles Deleuze’s 1966 Bergsonism that
marked the reawakening of a wide and growing interest in Bergson’s
work. Deleuze realized that Bergson’s most enduring contribution to
philosophical thinking is his concept of multiplicity. Therefore, due
to Deleuze’s realization, a kind of revitalization of Bergsonism has
been going on since around 1990.


1. Life and works

Bergson was born in Paris on October 18, 1859; he was the second of
seven children of a Polish Father and English mother; both of his
parents were Jewish. Bergson was a notably exceptional pupil throughout
his childhood. Like his German contemporary, Edmund Husserl, Bergson’s
original training was in mathematics. Bergson won the first prize in
mathematics for the prestigious “Concours
Général,” which led to the publication of his
solution to a problem by Pascal in 1877. Bergson nevertheless chose to
prepare for the École Normale in the letters and humanities
section. His math teacher, disappointed, famously claimed, “you
could have been a mathematician; you will be a mere philosopher”
(quoted in Soulez & Worms 2002, p. 35).

In 1878, Bergson becomes a French citizen, although he could have
chosen English citizenship. He was accepted at the École Normale
along with Jean Jaurès and Émile Durkheim. He discovered
Herbert Spencer with enthusiasm, and studied under Félix
Ravaisson and Jules Lachelier. Bergson graduated from the École
Normale in 1881. He was the second best at the highly selective
Agrégation de Philosophie, thanks to a lecture entitled
“What is the value of contemporary psychology?” He began a
teaching post in Angers at the high school (the lycée), and then
moved to Clermont-Ferrand. There he taught both at the Lycée and
the University for the next five years.

His first scholarly publication was in 1886, in the Revue
Philosophique; “On Unconscious Simulation in States of
Hypnosis” concerns the results of his observations at sessions of
hypnosis. Notice that Freud and Breuer’s Studies on Hysteria
did not appear until 1896. This foreshadowed Bergson’s growing interest
in the role of unconscious memories within recognition—an
interest that culminates in his being elected president of the London
based Society for Psychical Research in 1913. In 1888, Bergson
submitted two doctoral theses in Paris: Essai sur les données
immédiates de la conscience, published as a book (Time and
Free Will
) in 1889; and the then required Latin thesis, Quid
Aristoteles de loco senserit (Aristotle’s Conception of
Place
). In 1927, in a footnote to Being and Time,
Heidegger will cite this second thesis, claimimg that Bergson’s view of
time remains within the horizon of Greek metaphysics.

Bergson’s second book, Matter and Memory, appeared in 1896.
This book would lead to Bergson being elected to the Collège de
France. In his second attempt, Bergson succeeded at obtaining a post,
and teaches at the École Normale for two years starting in 1898
(Soulez et Worms, 2002, pp. 80-81). The Dreyfus Affair was raging, but
Bergson (a Jew by birth) refused to take part in the public debate.
Bergson published Laughter: an Essay on the Meaning of the
Comic
in 1900. He was appointed Chair of Ancient Philosophy at the
prestigious Collège de France. This marked the beginning of his
growing fame. In 1903, Bergson published, in the prestigious Revue de
métaphysique et de morale, an article entitled
“Introduction to Metaphysics” (later reproduced as the
centerpiece of The Creative Mind [La Pensée et le
mouvant
] in 1934). The first of Bergson’s works to be translated
in many languages, this article not only became a crucial reading guide
for Bergson’s philosophy as a whole, but it also marked the beginning
of “Bergsonism” and of its influence on Cubism and
literature. Through Williams James’s enthusiastic reading of this
essay, Bergsonism acquired a far-reaching influence on American
Pragmatism. Moreover, his imprint on American literature (in
particular, Wallace Stevens and Willa Cather, who created a character
called “Alexandra Bergson”) is undeniable.

Creative Evolution appeared in 1907. It was the beginning
of the “Bergson legend,” as well as of numerous, lively
academic and public controversies centering on his philosophy and his
role as an intellectual. The beginning of the next decade is the apex
of the “Bergsonian cult” (“le Bergson boom”).
Creative Evolution was translated into English. Bertrand
Russell (who publishes an article entitled “The Philosophy in
Bergson” in The Monist in 1912) objects that Bergson
wants to turn us into bees with the notion of intuition. Russell also
notes that any attempt at classifying Bergson will fail, as his
philosophy cuts across all divisions, whether empiricist, realist or
idealist (Soulez et Worms 2002, p. 124). Bergson’s lectures at
the Collège de France were filled to capacity, not only with
society ladies and their suitors, but also with a whole generation of
philosophy students (Étienne Gilson and Jean Wahl among others)
and poets such as T.S. Eliot.

In January 1913, Bergson visits the United States for the first time
(Soulez et Worms 2002, p. 134). The week before he delivered his first
lecture at Columbia University (entitled “Spirituality and
Liberty”), The New York Times published a long article on him.
The enthusiasm this article generated may explain the traffic jam that
occurred before Bergson’s lecture, the first traffic jam in the history
of Broadway. In the same year, Bergson gave the Presidential Address,
entitled “Phantasms of the Living and Psychical Research,”
to the Society for Psychical Research in London, England. The next year
Bergson wass elected a member of the Académie Française;
he was the first Jewish member in its history. He also presented
courses at the Collège de France on Modern Philosophy and
Spinoza. His international fame continued to grow through the delivery
of the Gifford Lecture at Edinburgh University in Scotland in May and
June; the lectures were called “The Problem of
Personality.” Finally, in the same year, the Roman Catholic
Church, in opposition to evolutionary theory, condemned Bergson’s
philosophy.

Of course, in the middle of this decade, war broke out, and Bergson
entered his political career, which took him first to Spain in 1917
(Soulez et Worms 2002, p.150). But more importantly, the French
government sent him to the United-States as a diplomatic emissary to
meet President Wilson (Soulez et Worms 2002, p. 154; see also Soulez
1989). After his first visit to the United States in 1913, he had
thought that peace would come only from Washington, D.C. (Soulez et
Worms 2002, p. 139). After his visit to Washington, Bergson said,
“I have just lived unforgettable hours. Humanity appeared to me
transfigured. […] France was saved. It was the greatest joy of
my life.” At this time, Bergson is also working with Wilson’s
government to form a “league of nations,” a body that would
include representatives of all nations and that would aim at
establishing and maintaining peace. The League of Nations remained in
existence until 1946, when it was replaced by the United Nations. 
Increasingly Bergson became more famous for his political actions than
for his philosophy.

1919 saw the publication of Bergson’s Mind Energy, a
collection of essays concerned with metaphysical and psychological
problems. During the same year he retired from his teaching duties.
However, in 1922, Bergson was appointed president of the International
Commission for Intellectual Cooperation — the precursor to
UNESCO. There, Bergson participated in a debate with Einstein, which,
according to Merleau-Ponty, seems to testify to a “crisis of
reason.”  Bergson publishes his reflections on Einstein as
Duration and Simultaneity (see Mélanges,
1972). Despite Bergson’s claim that the mathematics in Duration and
Simultaneity
is insufficient, this book is important because in it
Bergson re-orients Riemann’s idea of mutliplicity, which had been the
basis of Einstein’s theory (Deleuze, 1991, pp. 39-40, and, also see
below, “The Concept of Multiplicity”).

During the second half of the Twenties, Bergson suffered from severe
arthritis, which eventually forced him to retire from public life. In
1928, he was awarded the Nobel Prize for literature. Finally, in 1932,
he surprised everyone with the publication of his last major book,
The Two Sources of Morality and Religion, which gave rise to
renewed debates and misunderstandings about his philosophy and his
religious orientation. The final collection of his essays, The
Creative Mind
, appeared in 1934.

Bergson died on January 3, 1941 at the age of 81. World War II had
of course already begun, and Germany, occupying France, had established
the Vichy government. There is a rumor that he had converted to
Catholocism near the end of his life, but there is no document to
support this rumor. In any case, the Vichy Government offered Bergson
exemptions from anti-Semitic regulations, but he refused. It is also
rumored that he contracted the cold that killed him while waiting in
line to register as a Jew. Unfortunately, Bergson had written a will
during the 1930’s which instructed that all of his papers be destroyed.
His wife apparently obeyed this order, throwing all of her husband’s
papers into the fireplace. There is a rumor that she destroyed a
half-written manuscript. The result of this destruction is that the
Bergson Archives in Paris (stored at Librairie Jacques Doucet on the
Place de Panthéon in Paris) contain only Bergson’s personal
library. So, the situation is very different for Bergson than for many
other important French and German philosophers of the Twentieth Century
who have massive archives (Husserl, Heidegger, and Merleau-Ponty). The
lack of archival material is one reason why Bergson went out of favor
during the second half of the Twentieth Century. We shall return to
this problem of Bergson’s temporary disappearance from the
philosophical scene.

2. The Concept of multiplicity

The concept of multiplicity has two fates in the Twentieth Century:
Bergsonism and phenomenology (Deleuze, 1991, pp. 115-118). In
phenomenology, the multiplicity of phenomena is always related to a
unified consciousness. In contrast, in Bergsonism, “the immediate
data of consciousness” (les données immédiates de
la conscience) are a multiplicity. Here, two prepositions,
“to” and “of,” indicate perhaps the most basic
difference between Bergsonism and phenomenology. Of course, this phrase
is the title of Bergson’s first work, Essai sur les données
immédiates de la conscience
. The standard English title of
this work is Time and Free Will: An Essay on the Immediate Data of
Consciousness
. It is the text that Sartre claimed attracted him to
philosophy.

Time and Free Will has to be seen as an attack on Kant, for
whom freedom belongs to a realm outside of space and time. Bergson
thinks that Kant has confused space and time in a mixture, with the
result that we must conceive human action as determined by natural
causality. Bergson offers a twofold response. On the one hand, in
order to define consciousness and therefore freedom, Bergson proposes
to differentiate between time and space, “to un-mix” them,
we might say. On the other hand, through the differentiation, he
defines the immediate data of consciousness as being temporal, in
other words, as the duration (la durée). In the
duration, there is no juxtaposition of events; therefore there is no
mechanistic causality. It is in the duration that we can speak of the
experience of freedom.

For Bergson, we must understand the duration as a qualitative
multiplicity — as opposed to a quantitative multiplicity. In
Time and Free Will, we find several examples of a quantitative
multiplicity; the example of a flock of sheep is perhaps the easiest to
grasp (Time and Free Will, pp. 76-77). When we look at a flock
of sheep, what we notice is that they all look alike. Thus a
quantitative multiplicity is always homogeneous. But also, we notice
that we can enumerate the sheep, despite their homogeneity. We are able
to enumerate them because each sheep is spatially separated from or
juxtaposed to the others; in other words, each occupies a discernable
spatial location. Therefore, quantitative multiplicities are
homogeneous and spatial. Moreover, because a quantitative multiplicity
is homogeneous, we can represent it with a symbol, for instance, a
sum:  “25.”  In contrast, qualitative
multiplicities are heterogeneous and temporal; this is a difficult
idea, since we would normally think that if there is heterogeneity,
there is juxtaposition. But, in the duration, heterogeneity does not
imply juxtaposition (or it implies juxtaposition only retrospectively).
Again, Bergson gives us many examples; but perhaps the easiest example
to grasp is the feeling of sympathy, a moral feeling (Time and Free
Will
, pp. 18-19). Sympathy is not only the easiest to grasp, it is
also significant, as we shall see. Our experience of sympathy begins,
according to Bergson, with our putting ourselves in the place of
others, feeling their pain. But, if this were all, the feeling would
inspire in us abhorrence of others, and we would want to avoid them,
not help them. Bergson concedes that the feeling of horror may be at
the root of sympathy. But then, we realize that if we do not help this
poor wretch, it is going to turn out that, when we need help, no one
will come to our aide. There is a “need” to help the
suffering. For Bergson, these two phases are “inferior forms of
pity.”  In contrast, true pity involves not so much fearing
pain as desiring it. It is as if “nature” has committed a
great injustice and what we want is to be seen as not complicit with
it. As Bergson says, “The essence of pity is thus a need for
self-abasement, an aspiration downward” into pain. But, this
painful aspiration develops into a sense of being superior. We realize
that we can do without certain sensuous goods; we are superior to them
since we have managed to dissociate ourselves from them. In the end,
one feels humility, humble since we are now stripped of these sensuous
goods. Now, Bergson calls this feeling “a qualitative
progress.” It consists in a “transition from repugnance to
fear, from fear to sympathy, and from sympathy itself to
humility.”  The genius of Bergson’s description is that
there is a heterogeneity of feelings here, and yet no one would be able
to juxtapose them or say that one negates the other. There is no
negation in the duration. We shall return to this important point
concerning negation when discussing “Creative
evolution.”  In any case, the feelings are continuous with
one another; they interpenetrate one another, and there is even an
opposition between inferior needs and superior needs. A qualitative
multiplicity is therefore heterogeneous (or singularized), continuous
(or interpenetrating), oppositional (or dualistic) at the extremes, and
progressive (or temporal, an irreversible flow, which is not given all
at once). Because a qualitative multiplicity is heterogeneous and yet
interpenetrating, it cannot be adequately represented by a symbol;
indeed, for Bergson, a qualitative multiplicity is inexpressible.
Bergson also calls the last characteristic of temporal progress
mobility. For Bergson — and perhaps this is his greatest insight
— freedom is mobility. Because Bergson connects duration with
mobility, in the second half of the Twentieth Century (in Deleuze and
Foucault, in particular), the Bergsonian concept of qualitative
multiplicity will be dissociated from time and associated with space
(Deleuze 1986).

In his “Introduction to Metaphysics,” Bergson gives us
three images to help us think about the duration and therefore
qualitative multiplicities (The Creative Mind, pp. 164-65). The first
is that of two spools, with a tape running between them, one spool
unwinding the tape, the other winding it up. (During his discussion of
Bergson, Heidegger focuses on this image in his 1928 The
Metaphysical Foundations of Logic
.) Duration resembles this image,
according to Bergson, because, as we grow older, our future grows
smaller and our past larger. The benefit of this image is that it
presents a continuity of experiences without juxtaposition. Yet, there
is a drawback: because a tape moves between the two spools, the image
presents the duration as being homogeneous, as if one could fold the
tape back over its other parts, as if the tape were super-posable,
implying that two moments in consciousness might be identical. Yet, as
Bergson says, “no two moments are identical in a conscious
being” (The Creative Mind, p. 164). Duration, for
Bergson, is continuity of progress and heterogeneity; moreover, thanks
to this image, we can also see that duration implies a conservation of
the past. Indeed, for Bergson and this is the center of his truly novel
idea of memory, memory conserves the past and this conservation does
not imply that one experiences the same (re-cognition), but difference.
One moment is added onto the old ones, and thus, when the next moment
occurs, it is added onto all the other old ones plus the one that came
immediately before. In comparison, therefore to the past collection of
moments, it cannot be the same as the one immediately before, because
the past is “larger” for the current moment than it was for
the previous moment. Although Bergson does not say this, one might say
that Tuesday is different from Monday because Monday only includes
itself and Sunday, while Tuesday includes itself, Monday, and Sunday.
This first image, therefore, implies that duration is memory: the
prolongation of the past into the present. We shall return to the
question of memory below.

The second image of qualitative multiplicity is the color spectrum.
We saw in the first image of the spools that there is constant
difference or heterogeneity. The color spectrum helps us understand
this, since a color spectrum has a multiplicity of different shades or
nuances of color. Here we have heterogeneity, but there is a drawback
to this image as well. We lose the characteristic of continuity or
unity since the spectrum has colors juxtaposed. As Bergson says,
“pure duration excludes all idea of juxtaposition, reciprocal
exteriority and extension” (The Creative Mind, p.
164).

Bergson’s third image is an elastic band being stretched. Bergson
tells us first to contract the band to a mathematical point, which
represents “the now” of our experience. Then, draw it out
to make a line growing progressively longer. He warns us not to focus
on the line but on the action which traces it. If we can focus on the
action of tracing, then we can see that the movement — which is
duration — is not only continuous and differentiating or
heterogeneous, but also indivisible. We can always insert breaks into
the spatial line that represents the motion, but the motion itself is
indivisible. For Bergson, there is always a priority of movement over
the things that move; the thing that moves is an abstraction from the
movement. Now, the elastic band being stretched is a more exact image
of duration. But, the image of the elastic is still, according to
Bergson, incomplete. Why ? Because, for him, no image can represent
duration. An image is immobile, while duration is “pure
mobility” (The Creative Mind, p. 165). Later, in
Creative Evolution, Bergson will criticize the new art of
cinema for presenting immobile images of movement. As Deleuze will show
in his cinema books, however, Bergson does not recognize the novelty of
this artform. Cinema does provide moving images. In any case, in
“Introduction to Metaphysics,” Bergson compares all three
images: “the unrolling of our duration [the spool] in certain
aspects resembles the unity of a movement which progresses [the
elastic], in others, a multiplicity of states spreading out [the
color-spectrum].” Now we can see that duration really consists in
two characteristics:  unity and multiplicity. This double
characteristic brings us to Bergson’s method of intuition.

3. The method of intuition

As we already noted, Bergson’s thought must be seen as an attempt to
overcome Kant. In Bergson’s eyes, Kant’s philosophy is scandalous,
since it eliminates the possibility of absolute knowledge and mires
metaphysics in antinomies. Bergson’s own method of intuition is
supposed to restore the possibility of absolute knowledge – here
one should see a kinship between Bergsonian intuition and what Kant
calls intellectual intuition – and metaphysics. To do this,
intuition in Bergson’s sense must place us above the divisions of the
different schools of philosophy like rationalism and empiricism or
idealism and realism. Philosophy, for Bergson, does not consist in
choosing between concepts and in taking sides (The Creative
Mind
, p. 175-76). These antinomies of concepts and positions,
according to him, result from the normal or habitual way our
intelligence works. Here we find Bergson’s connection to American
pragmatism. The normal way our intelligence works is guided by needs
and thus the knowledge it gathers is not disinterested; it is relative
knowledge. And how it gathers knowledge is through what Bergson calls
“analysis,” that is, the dividing of things according to
perspectives taken. Comprehensive analytic knowledge then consists in
reconstruction or re-composition of a thing by means of synthesizing
the perspectives. This synthesis, while helping us satisfy needs, never
gives us the thing itself; it only gives us a general concept of
things. Thus, intuition reverses the normal working of intelligence,
which is interested and analytic (synthesis being only a development of
analysis). In the fourth chapter to Matter and Memory, Bergson
calls this reversal of habitual intelligence “the turn of
experience” where experience becomes concerned with utility,
where it becomes human experience (Matter and Memory, pp.184-85). This
placement of oneself up above the turn is not easy; above all else,
Bergson appreciates effort.

Intuition therefore is a kind of experience, and indeed Bergson
himself calls his thought “the true empiricism” (The
Creative Mind, p. 175). What sort of experience? In the opening pages
of “Introduction to Metaphysics,” he calls intuition
sympathy (The Creative Mind, p. 159). As we have seen from our
discussion of multiplicity in Time and Free Will, sympathy
consists in putting ourselves in the place of others. Bergsonian
intuition then consists in entering into the thing, rather than going
around it from the outside. This “entering into,” for
Bergson, gives us absolute knowledge. In a moment, we are going to have
to qualify this “absoluteness.” In any case, for Bergson,
intuition is entering into ourselves – he says we seize ourselves
from within – but this self-sympathy develops heterogeneously
into others. In other words, when one sympathizes with oneself, one
installs oneself within duration and then feels a “certain well
defined tension, whose very determinateness seems like a choice between
an infinity of possible durations” (The Creative Mind, p. 185).
In order to help us understand intuition, which is always an intuition
of duration, let us return to the color spectrum image. Bergson says
that we should suppose that perhaps there is no other color than
orange. Yet, if we could enter into orange, that is, if we could
sympathize with it, we would “sense ourselves caught,” as
Bergson says, “between red and yellow.” This means that if
we make an effort when we perceive orange, we sense a variety of
shades. If we make more of an effort, we sense that the darkest shade
of orange is a different color, red, while the lightest is also a
different color, yellow. Thus, we would have a sense, beneath orange,
of the whole color spectrum. So, likewise, I may introspect and
sympathize with my own duration; my duration may be the only one. But,
if I make an effort, I sense in my duration a variety of shades. In
other words, the intuition of duration puts me in contact with a whole
continuity of durations, which I could, with effort, try to follow
upwardly or downwardly, upward to spirit or downward to inert matter
(The Creative Mind, p. 187). Thus Bergsonian intuition is
always an intuition of what is other. Here we see that Bergson has not
only tried to break with Kant, but also with Parmenides’s philosophy of
the same.

Before, we leave this discussion, it is important to realize that
intuition, understood as my self-sympathy, like the one color orange,
is what Bergson calls a “component part” (The Creative
Mind, pp. 170-72). Just as the color orange is a real part of the color
spectrum — the mathematical equation which defines the light
waves of orange, on the contrary, being not a component part, for
Bergson, but a “partial expression” – my own duration
is a real part of the duration itself. From this part, I can,
as Bergson would say, “dilate” or “enlarge” and
move into other durations. But this starting point in a part implies
– and Bergson himself never seems to realize this– that
intuition never gives us absolute knowledge of the whole of the
duration, all the component parts of the duration
. The whole is
never given in an intuition; only a contracted part is given.
Nevertheless, this experience is an integral one, in the sense of
integrating an infinity of durations. And thus, even though we cannot
know all durations, every single one that comes into existence must be
related, as a part, to the others. The duration is that to
which everything is related and in this sense it is absolute.

Because intuition in Bergson is “integral experience”
(The Creative Mind, p. 200), it is made up of an indefinite
series of acts, which correspond to the degrees of duration. This
series of acts is why Bergson calls intuition a method. The first act
is a kind of leap, and the idea of a leap is opposed to the idea of a
re-constitution after analysis. One should make the effort to reverse
the habitual mode of intelligence and set oneself up immediately in the
duration. But then, second, one should make the effort to dilate one’s
duration into a continuous heterogeneity. Third, one should make the
effort to differentiate (as with the color orange) the extremes of this
heterogeneity. With the second and third steps, one can see a
similarity to Plato’s idea of dialectic understood as collection and
division. The method resembles that of the good butcher who knows how
to cut at the articulations or the good tailor who knows how to sew
pieces of cloth together into clothes that fit. On the basis of the
division into extremes or into a duality, one can then confront our
everyday “mixtures” of the two extremes. Within the
mixture, one makes a division or “cut” into differences in
kind: into matter and spirit, for instance. Then one shows how the
duality is actually a monism, how the two extremes are
“sewn” together, through memory, in the continuous
heterogeneity of duration. Indeed, for Bergson, intuition is memory; it
is not perception.

4. Perception and memory

Since its publication in 1896, Matter and Memory has attracted
considerable attention (see, for example, Deleuze 1956). In the Preface
that he wrote in 1910, Bergson says that Matter and Memory “is
frankly dualistic,” since it “affirms both the reality of
matter and the reality of spirit (Matter and Memory, p. 9). However, he
is quick to warn us that the aim of the book is really “to
overcome the theoretical difficulties which have always beset
dualism” (ibid.). In the history of philosophy, these theoretical
difficulties have generally arisen from a view of external perception,
which always seems to result in an opposition between representation
and matter. Thus, Bergson’s theory of “pure perception,”
laid out in the first chapter of Matter and Memory aims to show that
— beyond both realism and idealism — our knowledge of
things, in its pure state, takes place within the things it
represents.

But, in order to show this, Bergson starts with a hypothesis that
all we sense are images. Now we can see the basis of Bergson’s use of
images in his method of intuition. He is re-stating the problem of
perception in terms of images because it seems to be an intermediate
position between realism and idealism (Matter and Memory, p. 26).
Bergson is employing the concept of image to dispell the false belief
— central to realism and materialism — that matter is a
thing that possesses a hidden power able to produce representations in
us. Bergson, however, not only criticizes materialism, but also
idealism insofar as it attempts to reduce matter to the representation
we have of it. For Bergson, image differs from representation, but it
does not in nature from representation since Bergson’s criticism of
materialism consists in showing that matter does not differ in nature
from representation. For Bergson, the image is less than a thing but
more than a representation. The “more” and the
“less” indicates that representation differs from the image
by degree. It also indicates that perception is continuous with images
of matter. Through the hypothesis of the image, Bergson is re-attaching
perception to the real.

In perception — Bergson demonstrates this point through his
theory of pure perception — the image of a material thing becomes
a representation. A representation is always in the image virtually. We
shall return to this concept of virtuality below. In any case, in
perception, there is a transition from the image as being in itself to
its being for me. But, perception adds nothing new to the image; in
fact, it subtracts from it. Representation is a diminution of the
image; the transition from image to pure perception is
“discernment in the etymological sense of the word,” a
“slicing up” or a “selection” (Matter and
Memory
, p. 38). According to Bergson, selection occurs because of
necessities or utility based in our bodies. In other words, conscious
representation results from the suppression of what has no interest for
bodily functions and the conservation only of what does interest bodily
functions. The conscious perception of a living being therefore
exhibits a “necessary poverty” ( Matter and
Memory
, p. 38).

If we can circle back for a moment, although Bergson shows that we
perceive things in the things, the necessary poverty of perception
means that it cannot define intuition. Turning back from the habitual
use of intelligence for needs, intuition, as we can see now, places us
above or below representations. Intuition is fundamentally
un-representative. In this regard, the following passage from the third
chapter of Matter and Memory becomes very important:

If you abolish my consciousness … matter resolves
itself into numberless vibrations, all linked together in uninterrupted
continuity, all bound up with each other, and traveling in every
direction like shivers. In short, try first to connect together the
discontinuous objects of daily experience; then, resolve the motionless
continuity of these qualities into vibrations, which are moving in
place; finally, attach yourself to these movements, by freeing yourself
from the divisible space that underlies them in order to consider only
their mobility – this undivided act that your consciousness
grasps in the movement that you yourself execute. You will obtain a
vision of matter that is perhaps fatiguing for your imagination, but
pure and stripped of what the requirements of life make you add to it
in external perception. Reestablish now my consciousness, and with it,
the requirements of life: farther and farther, and by crossing over
each time enormous periods of the internal history of things,
quasi-instantaneous views are going to be taken, views this time
pictorial, of which the most vivid colors condense an infinity of
repetitions and elementary changes. In just the same way the thousands
of successive positions of a runner are contracted into one sole
symbolic attitude, which our eye perceives, which art reproduces, and
which becomes for everyone the image of a man who runs (Matter and
Memory
, pp.208-209).

Like the descriptions of intuition, this passage describes how we
can resolve the images of matter into mobile vibrations. In this way,
we overcome the inadequacy of all images of duration. We would have to
call the experience described here not a perception of matter, but a
memory of matter because of its richness. As we have already suggested,
Bergsonian intuition is memory. So, we turn now to memory.

As we saw in the discussion of method above, Bergson always makes a
differentiation within a mixture. Therefore, he sees that our word
“memory” mixes together two different kinds of memories. On
the one hand, there is habit-memory, which consists in obtaining
certain automatic behavior by means of repetition; in other words, it
coincides with the acquisition of sensori-motor mechanisms. On the
other hand, there is true or “pure” memory; it is the
survival of personal memories, a survival that, for Bergson, is
unconscious. In other words, we have habit-memory actually aligned with
bodily perception. Pure memory is something else, and here we encounter
Bergson’s famous (or infamous) image of the memory cone.

The image of the inverted cone occurs twice in the third chapter of
Matter and Memory (pp. 152 and 162). The image of the cone is
constructed with a plane and an inverted cone whose summit is inserted
into the plane. The plane, “plane P,” as Bergson calls it,
is the “plane of my actual representation of the
universe.”  The cone “SAB,” of course, is
supposed to symbolize memory, specifically, the true memory or
regressive memory. At the cone’s base, “AB,” we have
unconscious memories, the oldest surviving memories, which come
forward spontaneously, for example, in dreams. As we descend, we have
an indefinite number of different regions of the past ordered by their
distance or nearness to the present. The second cone image represents
these different regions with horizontal lines trisecting the cone. At
the summit of the cone, “S,” we have the image of my body
which is concentrated into a point, into the present perception. The
summit is inserted into the plane and thus the image of my body
“participates in the plane” of my actual representation of
the universe.

The inverted cone image is no exception to Bergson’s belief that all
images are inadequate to duration. The inverted cone is really supposed
to symbolize a dynamic process, mobility. Memories are descending down
the cone from the past to the present perception and action. The idea
that memories are descending means that true memory in Bergson is
progressive. This progressive movement of memory as a whole takes
place, according to Bergson, between the extremes of the base of
“pure memory,” which is immobile and which Bergson calls
“contemplation” (Matter and Memory, p. 163), and the plane
where action takes place. Whenever Bergson in any of his works mentions
contemplation, he is thinking of Plotinus, on whom he lectured many
times. But, in contrast to Plotinus, for Bergson, thinking is not mere
contemplation; it is the entire or integral movement of memory between
contemplation and action. Thinking, for Bergson, occurs when pure
memory moves forward into singular images. This forward movement occurs
by means of two movements which the inverted cone symbolizes. On the
one hand, the cone is supposed to rotate. Bergson compares the
experience of true memory to a telescope, which allows us to understand
the rotating movement. What we are supposed to visualize with the cone
is a telescope that we are pointing up at the night sky. Thus, when I
am trying to remember something, I at first see nothing all. What will
help us understand this image is the idea of my character. When I
try to remember how my character came about, at first, I might not
remember anything; no image might at first come to mind. Pure memory
for Bergson precedes images; it is unconscious. But, I try to focus, as
if I were rotating the rings that control the lenses in the
“telescope”; then some singular images come into view.
Rotation is really the key to Bergson’s concept of virtuality. Always,
we start with something like the Milky Way, a cloud of
interpenetration; but then the cloud starts to condense into singular
drops, into singular stars. This movement from interpenetration to
fragmentation, from unity to multiplicity, (and even from multiplicity
to juxtaposition) is always potential or virtual. But the reverse
process is also virtual. Therefore the cone has a second movement,
“contraction” (Matter and Memory, p. 168). If we
remain with the telescope image, we can see that the images of the
constellation must be narrowed, brought down the tube so that they will
fit into my eye. Here we have a movement from singular images to
generalities, on which action can be based. The movement of memory
always results in action. But also, for Bergson, this twofold movement
of rotation and contraction can be repeated in language. Even though
Bergson never devotes much reflection to language – we shall
return to this point below– he is well aware that literary
creation resembles natural creation. Here we should consult his early
essay on laughter. But, with this creative movement, which is memory,
we can turn to creative evolution.

5. Creative evolution

For Bergson, the notion of life mixes together two opposite senses,
which must be differentiated and then led into a genuine unity. On the
one hand, it is clear from Bergson’s earlier works that life is the
absolute temporal movement informed by duration and retained in memory.
But, on the other hand, he has shown that life also consists in the
practical necessities imposed on our body and accounting for our
habitual mode of knowing in spatial terms. More specifically then,
Bergson’s project in Creative Evolution is to offer a
philosophy capable of accounting both for the continuity of all living
beings—as creatures—and for the discontinuity implied in
the evolutionary quality of this creation. Bergson starts out by
showing that the only way in which the two senses of life may be
reconciled (without being collapsed) is to examine real life, the real
evolution of the species, that is, the phenomenon of change and its
profound causes. His argument consists of four main steps. First, he
shows that there must be an original common impulse which explains the
creation of all living species; this is his famous vital impulse
(élan vital). Second, the diversity resulting from evolution
must be accounted for as well. If the original impulse is common to all
life, then there must also be a principle of divergence and
differentiation that explains evolution; this is Bergson’s tendency
theory. Third, the two main diverging tendencies that account for
evolution can ultimately be identified as instinct on the one hand and
intelligence on the other. Human knowledge results from the form and
the structure of intelligence. We learned from “The Introduction
to Metaphysics” that intelligence consists precisely in an
analytic, external, hence essentially practical and spatialized
approach to the world. Unlike instinct, human intelligence is therefore
unable to attain to the essence of life in its duration. The
paradoxical situation of humanity (the only species that wants to know
life is also the only one that cannot do so) must therefore be
overcome. So, fourth, the effort of intuition what allows us to place
ourselves back within the original creative impulse so as to overcome
the numerous obstacles that stand in the way of true knowledge (which
are instantiated in the history of metaphysics). We are going to look
at each of these four steps.

First, we are going to look at the concept of vital impulse. In
Creative Evolution, Bergson starts out by criticizing
mechanism as it applies to the concepts of life and evolution. The
mechanistic approach would preclude the possibility of any real change
or creativity, as each development would be potentially contained in
the preceding ones. However, Bergson continues, the teleological
approach of traditional finalism equally makes genuine creation of the
new impossible, since it entails, just as mechanism, that the
“whole is given.” Therefore, neither mechanism nor strict
finalism can give a satisfying account of the phenomenon of change that
characterizes life. Nevertheless, Bergson argues, there is a certain
form of finalism that would adequately account for the creation of life
while allowing for the diversity resulting from creation. It is the
idea of an original vital principle. If there is a telos to life, then,
it must be situated at the origin and not at the end (contra
traditional finalism), and it must embrace the whole of life in one
single indivisible embrace (contra mechanism). But, this hypothesis
does not yet account for evolution in the diversity of its products,
nor does it explain the principle of the nature of life.

Second, we turn to Bergson’s account of the
“complexification” of life, that is, the phenomenon of its
evolution from the simple original vital impulse into different
species, individuals, and organs. The successive series of bifurcations
and differentiations that life undergoes organize itself into two great
opposite tendencies, namely, instinct and intelligence. Bergson arrives
at this fundamental distinction by considering the different modes
through which creatures act in and know the external world. Animals are
distinguished from plants on the basis of their mobility, necessitated
by their need to find food,whereas plants survive and grow through
photosynthesis, which does not require locomotion. While the
relationship between consciousness and matter instantiated in the
instinct of animals is sufficient and well adapted to their survival
(from the point of view of the species), humans are not adequately
equipped in this respect; hence the necessity of something like
intelligence, defined by the ability to make tools. Humanity is
essentially homo faber. Once again, from the point of view of
real, concrete life that Bergson is here embracing, intelligence is
essentially defined by its pragmatic orientation (and not speculation,
as a dogmatic intellectualist approach would assume). From this,
Bergson deduces not only the cognitive structure and the scientific
history of intelligence (which he examines in detail), but also its
limitations. This essentially pragmatic, hence analytic and
quantitative orientation of intelligence precludes its immediate access
to the essentially qualitative nature of life. Notice that the
distinction between the two tendencies relies on the original
distinction between the qualitative and the quantitative
multiplicities. In any case, in order that human intelligence may
attain true knowledge of the essence of the vital impulse, it will have
to proceed by means of a mode of knowing that lies at the opposite end
of intelligence, namely, instinct.

Throughout Creative Evolution, Bergson’s crucial point is
that life must be equated with creation, as creativity alone can
adequately account for both the continuity of life and the
discontinuity of the products of evolution. But now the question is: if
humans only possess analytic intelligence, then how are we ever to know
the essence of life? Bergson’s answer — his third step — is
that, because at the periphery of intelligence a fringe of instinct
survives, we are able fundamentally to rejoin the essence of life. For,
as the tendency and the multiplicity theories made clear, instinct and
intelligence are not simply self-contained and mutually exclusive
states. They must be called tendencies precisely because they are both
rooted in, hence inseparable from, the duration that informs all life,
all change, all becoming. There is, therefore, a little bit of instinct
surviving within each intelligent being, making it immediately —
if only partially — coincide with the original vital impulse.
This partial coincidence, as we described above, is what founds
intuition.

Finally, we can return to the question of intuition. Thanks to
intuition, humanity can turn intelligence against itself so as to seize
life itself. By a very different route than the one we saw before,
Bergson shows, once again, that our habitual way of knowing, based in
needs, is the only obstacle to knowledge of the absolute. Here he
argues that this obstacle consists in the idea of disorder. All
theories of knowledge have in one way or another attempted to explain
meaning and consistency by assuming the contingency of order. The
traditional question, “why is there order rather than
disorder?” necessarily assumes that the human mind is able to
create order mysteriously out of chaos. But, for Bergson, the real
question is: “order is certainly contingent, but in relation to
what” (Creative Evolution, p. 232)? His answer consists
in showing that it is not a matter of order versus disorder, but rather
of one order in relation to another. According to Bergson, it is the
same reasoning that underlies the ideas of chance (as opposed to
necessity), and of nothingness (as opposed to existence). In a word,
the real is essentially positive. The real obeys a certain kind of
organization, namely, that of the qualitative multiplicity. Structured
around its needs and interests, our intelligence fails to recognize
this ultimate reality.

However, a fringe of intuition remains, dormant most of the time yet
capable of awakening when certain vital interests are at stake. The
role of the philosopher is to seize those rare and discontinuous
intuitions in order to support them, then dilate them and connect them
to one another. In this process, philosophy realizes that intuition
coincides with spirit, and eventually with life itself. Intuition and
intelligence thus each correspond to tendencies within the human
psyche, which, as whole, thereby coincides immediately —
if only partially — with the vital impulse. It is only by leaping
into intuition that the ultimate unity of mental life appears, for,
just as Bergson showed against Zeno, that mobility cannot be
reconstructed out of immobility. Here he explains that while one can go
from intuition to intelligence by way of diminution, the analytic
nature of intelligence precludes the opposite process. Thus Bergson
concludes, “philosophy introduces us into spiritual life. And at
the same time, it shows us the relation of the life of spirit to the
life of the body” (Creative Evolution, p. 268). In a
word, it is life in its creativity which unifies the simplicity of
spirit with the diversity of matter. And it is a certain kind of
philosophy, insofar as it is able to place itself back within the
creative impulse, which is capable of realizing the necessary
“complementarity” of the diverse, partial views
instantiated in the different branches of scientific knowledge and
metaphysical thought — so as to reestablish the absoluteness of
knowledge, defined by its coincidence with absolute becoming.

6. The two sources of morality and religion

Bergson himself says that his final book, The Two Sources of
Morality and Religion
, develops ideas from Creative
Evolution
. It attempts to show that there are two sources from
which two kinds of morality and religion evolve. As always with
Bergson, Kant is at issue, in this case his moral philosophy. And as
usual, Bergson starts by differentiating within a mixture. Under the
word “morality” or under the phrase “moral
obligation,” there is a mixture of two kinds of morality.

There is the closed morality, whose religion is static, and there is
the open morality, whose religion is dynamic. Closed morality and
static religion are concerned with social cohesion. Nature has made
certain species evolve in such a way that the individuals in these
species cannot exist on their own. They are fragile and require the
support of a community. One quickly thinks of bees, and Bergson, of
course, refers to them. We can see again that there are bodily needs
which must be satisfied. The force of these needs is the source of the
closed morality. Because of these needs, there is a rigidity to the
rules of closed moralities. Kant’s moral philosophy has its
source in such needs. The survival of the community requires that there
be strict obedience: the categorical imperative. Yet, although Kant’s
categorical imperative is supposed to be universal, it is not,
according to Bergson. It is limited and particular. Closed morality
really concerns the survival of a society, my society. Therefore, it
always excludes other societies. Indeed, for Bergson, closed morality
is always concerned with war. And static religion, the religion of
closed morality, is based on what Bergson calls the “fabulation
function.” The fabulation function is a particular function of
the imagination that creates “voluntary hallucinations.”
The fabulation function takes our sense that there is a presence
watching over us and invents images of gods. These images then insure
strict obedience to the closed morality. In short, they insure social
cohesion.

But, there is another kind of morality and religion, according to
Bergson. The open morality and dynamic religion are concerned with
creativity and progress. They are not concerned with social cohesion,
and thus Bergson calls this morality “open” because it
includes everyone. The open morality is genuinely universal and it aims
at peace. The source of the open morality is what Bergson calls
“creative emotions.” The difference between creative
emotions and normal emotions consists in this: in normal emotions, we
first have a representation which causes the feeling (I see my friend
and then I feel happy); in creative emotion, we first have the emotion
which then creates representations. So, Bergson gives us the example of
the joy of a musician who, on the basis of emotion, a symphony, and who
then produces representations of the music in the score. We can see
here that Bergson has also finally explained how the leap of an
intuition happens. The creative emotion makes one unstable and throws
one out of the habitual mode of intelligence, which is directed at
needs. Indeed, in The Two Sources, Bergson compares creative
emotions to unstable mental states as those found in the mad. But what
he really has in mind is mystical experience. For Bergson, however,
mystical experience is not simply a disequilibrium. Genuine mystical
experience must result in action; it cannot remain simple contemplation
of God. This association of creative emotions with mystical experience
means that, for Bergson, dynamic religion is mystical. Indeed, dynamic
religion, because it is always creative, cannot be associated with any
particular organized set of doctrines. A religion with organized
– and rigid — doctrines is always static.

The phrase with which we began, “moral obligation,”
makes one think of Kantian duty. We have alluded to Kant on several
occasions, but, let us conclude by examining Bergson’s explicit
criticism of Kant’s moral philosophy. This criticism will demonstrate
the strength of Bergson’s moral philosophy and of his thought as a
whole. According to Bergson, Kant’s theory has made a
“psychological error.” In any given society, there are many
different, particular obligations. The individual in society may at
some time desire to deviate from one particular obligation. When this
illicit desire arises, there will be resistance from society but also
from his habits. If the individual resists these resistances, a
psychological state of tension or contraction occurs. The individual,
in other words, experiences the rigidity of the obligation. Now,
according to Bergson, when philosophers such as Kant attribute a severe
aspect to duty, they have externalized this experience of obligation’s
inflexibility. In fact, for Bergson, if we ignore the multiplicity of
particular obligations in any given society, and if instead we look at
what he calls “the whole of obligation” (The Two
Sources
, p. 25), then we see that obedience to obligation is
almost natural. According to Bergson, obligations, that is, customs,
arise because of the natural need an individual has for the stability
that a society can give. As a result of this natural need, society
inculcates habits of obedience in the individual. Habituation means
that obedience to the whole of obligation is, in fact, for the
individual, effortless.

The psychological error then consists in externalizing an
exceptional experience – which Bergson calls “resistance to
the resistances” – into a moral theory. Duty becomes severe
and inflexible. But there is more to this error. Kant believes
that he can resolve obligation into rational elements. In the
experience of resistance to the resistances, the individual has an
illicit desire. And, since the individual is intelligent, the
individual uses intelligence, a rational method, to act on itself.
According to Bergson, what is happening here is that the rational
method is merely restoring the force of the original tendency to obey
the whole of obligation that society has inculcated in the individual.
But as Bergson notes, the tendency is one thing; the rational method is
another. The success of the rational method, however, gives us the
illusion that the force with which an individual obeys any particular
obligation comes from reason, that is, from the idea or representation,
or better still, from the formula of the obligation.

But, there is another force. The second force is what Bergson calls
“the impetus of love” (The Two Sources, p. 96).
The impetus of love, like joy but also like sympathy, is a creative
emotion. The emotion must be explicated into actions and
representations. But, this process of explication can be extended. The
representations that the mystic explicates can be further explicated
into formulas, for example, the formula of each person being deserving
of respect and dignity. These formulas, which are the expression of
creation and love, are now able to be mixed with the formulas that aim
solely to insure the stability of any given society. Since we are now
speaking only of formulas, creation and cohesion, the two forces, are
mixed together in reason. As before, whereas the rational method used
in the experience of resistance to the resistances comes to explain the
force of obedience, here in the mystical experience of the impetus of
love the formulas come to explain the force of creation. A reversal has
taken place. The very forces that have generated the formulas are
instead now being explained by those very formulas. Indeed, this is the
problem. How could some representation of intelligence have the power
to train the will?  How could an idea categorically demand its own
realization?  As Bergson says, “Re-establish the duality [of
forces], the difficulties vanish” (The Two Sources, p.
96). The two forces are, however, but two complementary manifestations
of life.

7. The revitalization of Bergsonism

There are numerous reasons for Bergson’s disappearance from the
philosophical scene after World War II. First, at least in France, a
new generation of philosophers was arising, in particular, Sartre and
Merleau-Ponty. Like any new generation, this one had to differentiate
itself from the tradition it was inheriting; in many respects,
Bergson’s thought dominated this tradition. But more important was the
fact that Sartre and Merleau-Ponty became interested in Husserlian
phenomenology, and then in Heidegger’s thought. The influence of German
philosophy on post-World War II French thought is well known. It
contributed to the eclipse of Bergson. But, there are some aspects of
Bergson’s thought itself which contributed to this eclipse. On the one
hand, there is Bergson’s constant suspicion of language; for Bergson,
as we noted in the discussion of intuition, language is equivalent to
symbols. And, symbols divide the continuity of the duration, leading us
into illusions. Bergson’s criticisms of language, moreover, must have
struck the generation of French philosophers who came of age in the
1960’s as strange. Philosophers such as Derrida had so thoroughly
embraced Heidegger that they believed that “language is the house
of being.” On the other hand, there is the mysticism of The
Two Sources
. The striking religious tone of this book did not
harmonize well with Husserl’s phenomenology, which aimed to be a
rigorous science.

Yet, we can speak of a recent revitalization of Bergsonism. 
This revitalization is due almost entirely to Deleuze. As we have come
to understand Deleuze’s own thought better, we can see the overwhelming
influence of Bergson. In particular, two aspects of Bergson’s thought
attracted Deleuze. We have already mentioned one of them: the concept
of multiplicity. This concept is at the very heart of Deleuze’s
thought, and duration is the model for all of Deleuze’s
“becomings.”  The other aspect that attracted Deleuze,
which is indeed connected to the first, is Bergson’s criticism of the
concept of negation in Creative Evolution. We must recall that the
linguistic turn in France during the 1960’s was accompanied by an
“anti-Hegelianism.” Thus Bergson became a resource in the
criticism of the Hegelian dialectic, the negative. Moreover, at the end
of his life, Merleau-Ponty was also coming to realize that Bergson’s
criticism of negation is philosophically important; for Merleau-Ponty,
the criticism seemed to function like Husserl’s “phenomenological
reduction,” and perhaps re-opened what Heidegger would call the
question of being. But, overall, we must see that a revitalization of
Bergsonism became possible because of Deleuze’s inistence that
Bergsonism is an alternative to the domination of phenomenological
thought, including that of Heidegger. The revitalization of Bergsonism
leads to a revitalization of the question of life itself, and not to
the retrieval of the question of being.

Bibliography

Works by Bergson

  • Œuvres, Edition du Centenaire, Paris:  Presses
    Universitaires de France, 1959.
  • Mélanges, Paris:  Presses Universitaires de France,
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  • Correspondences, Paris: Presses Universitaires de France,
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English Translations

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  • Laughter:  An Essay on the Meaning of the Comic, trs.,
    Cloudsley Brereton and Fred Rothwell, Los Angeles:  Green Integer,
    1999 [1911].
  • Matter and Memory, tr., N.M. Paul and W.S. Palmer, New York: Zone
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  • Mind-Energy, tr., H. Wildon Carr, London:  McMillan and
    Company, 1920; translation of L’energie spirituelle.
  • Time and Free Will: An Essay on the Immediate Data of
    Consciousness
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    Company, original date, 1910.
  • The Two Sources of Morality and Religion, trs., R. Ashley Audra and
    Cloudsley Brereton, with the assistance of W. Horsfall Carter, Notre
    Dame, IN:  University of Notre Dame Press, 1977 [1935].

References and further reading

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