1. Introduction to Empiricism Understanding brought to the fore 1. So what did Locke do? Let’s go back to the question of principal concern to the greatest Rationalist thinkers: substance. Establishing the correct definition and determining the fundamental kinds of substance seems a natural point with which to begin philosophizing: substances are what the world consists of; they are fundamental, prior to everything else, the foundation of all objective thought and knowledge. So how can we take a step in metaphysics – the science of the first principles of reality – unless we begin with substances? 2. To this, Locke would ask what need have creatures like human beings, who have all they can do just to keep body and soul together, of god-like understandings of the sort Leibniz ascribed to us? Look around and see how humans actually employ their understandings, and then consider whether it does not seem incautious, at the very least, to attribute to ourselves capacities to penetrate beyond the world of our experience to know the ultimate essences of things. Maybe metaphysical speculations requires us to punch too far above our intellectual weight? 3. Certainly, from Locke’s point of view, our speculations have outrun the evidence when philosophers blithely endow us with special faculties that have no conceivable use except to carry out arcane metaphysical speculations. Before we ascribe to ourselves faculties of pure intellect, stocked with a wealth of innate ideas, we should first inquire whether such knowledge as we incontestably have, above all mathematics, can be explained on humbler, more mundane principles, as simply more refined applications of the very same operations our understandings perform in a state of nature. 4. This may not sound very revolutionary, but in fact the idea of making the understanding the first concern of philosophy – the thing we must investigate before anything else, including the nature of substances – completely changed the face of philosophy up to and including Kant. Whereas before Locke the main works of philosophers focused on the metaphysics of substances, after him they took human understanding, or more broadly human nature, as their primary concern, and only then took up the questions of substances and their nature, answering them in the light of their theory of the understanding. 2. 5. I just want to read to you the passage in the Essay where Locke states this call for a reorientation of philosophy to human understanding. It is on p. 271 of your text, ECHU I.i.§7: Occasion of this essay. This was that which gave the first rise to this Essay concerning the understanding. For I thought that the first step towards satisfying several inquiries the mind of man was very apt to run into, was, to take a survey of our own understandings, examine our own powers, and see to what things they were adapted. Till that was done I suspected we began at the wrong end, and in vain sought for satisfaction in a quiet and sure possession of truths that most concerned us, whilst we let loose our thoughts into the vast ocean of Being; as if all that boundless extent were the natural and undoubted possession of our understandings, wherein there was nothing exempt from its decisions, or that escaped its comprehension. Thus men, extending their inquiries beyond their capacities, and letting their thoughts wander into those depths where they can find no sure footing, it is no wonder that they raise questions and multiply disputes, which, never coming to any clear resolution, are proper only to continue and increase their doubts, and to confirm them at last in perfect scepticism. Whereas, were the capacities of our understandings well considered, the extent of our knowledge once discovered, and the horizon found which sets the bounds between the enlightened and dark parts of things; between what is and what is not comprehensible by us, men would perhaps with less scruple acquiesce in the avowed ignorance of the one, and employ their thoughts and discourse with more advantage and satisfaction in the other. 6. Here Locke calls for a transformation of philosophy. Instead of determining what kind of understanding we have by the first establishing which definition of substance is correct, we decide on the correct definition of substance by first determining which powers our understandings have and determining from this how far their reach is, and in particular, how far they are able to conceive and to know substances. 7. The point is to begin by understanding understanding, and from this to determine not only its powers but the limits of its powers, before attempting to employ this faculty to understand anything else, be it substance, God, freedom of the will, the immortality of the soul, or any other metaphysical topic. 8. Locke’s Essay focuses on three principal powers of the understanding: the powers to form ideas, to signify by means of them (esp. in language), and to gain knowledge by means of ideas, esp. of the reality beyond them (i.e. outside our minds). He argued that when we become clear about the nature of these powers 3. especially their limits, it emerges that a clear and distinct idea of substance is not within its capacity to form and that any talk of the real and ultimate essence of substances is just that: mere talk devoid of meaning. 9. For we can argue till we are blue in the face that substance must be this or must be that, and that its ultimate essence must consist in this or in that; but if it turns out that our understandings lack the power to form any idea adequate to support our words, then the only conclusion is that we quite literally do not know what we are talking about. 10. Thus, Locke calls for us to first determine what our understandings conceive and do not conceive when forming ideas of substances. If the result shows the idea of substance we actually have to be incapable of underwriting the kind of metaphysical speculation that was the stock and trade of Rationalists, then, however persuasive their claims may be in words, they will have to be considered empty of objective content. Their definitions will be nothing but grammatical mirages and the consequences deduced from them, far from disclosing new truths, will simply ensnare us ever more deeply in webs of words. Intellectualist method 1. That is Locke’s basic approach and the kind of result it is capable of producing. More particularly, his complaint was not with the Rationalists’ search for clear and distinct perceptions of the ideas most fundamental to our thought about objective reality as such. For Locke, a precise accounting of the contents of our ideas of substance, cause and effect, identity, space, time, existence, relation, necessity, and so on, is, just as Descartes maintained, the essential prerequisite for metaphysics. 2. It was not the goal but the method of attaining it favored by the Rationalist that Locke challenged. Rationalists sought to clarify ideas by analytical means not all that different from Plato’s Socratic approach of whittling away the extraneous to leave all and only what is essential to the idea, that is, its correct definition. Locke, however, was not interested in what ideas we should have but in those we actually do, and to discover this he favored a psychological approach designed to determine the contents of ideas by tracing them to their origin, i.e. how they first come into the possession of our understandings. 3. There is, however, a more fundamental point of difference that explains why Rationalists were not only not interested in the psychology of the origin of the 4. ideas but thought it a major hindrance to a correct understanding of their true contents. 4. Like Plato, the Rationalists took ideas to preexist their presence to consciousness in perception. There isn’t really an agreed upon name for this view, but in my own work on modern philosophy I call it intellectualism. 5. This is why Rationalists tended to distinguish ideas properly so called from other modifications of the mind like sensations or emotions. Sensations and emotions exist only in being perceived, in being present to consciousness. A headache is a headache only insofar as it is felt, consciously perceived; prior to and independently of consciousness, there can be no headaches at all. It would, for example, be absurd to say of someone that he is suffering a horrible migraine but doesn’t know it; more absurd to say this of someone in the deepest levels of sleep, or someone in coma, much less of a corpse or statue. So too for pains generally, pleasures, emotions like fear or rage. 6. For reasons we haven’t focused on in great detail, Rationalists and Empiricists alike said the same thing of what have come to be known as ideas of secondary qualities: colors, sounds, smells, flavors, i.e. sensations generally: these too exist only in being perceived. And for Rationalists this was enough to say that, on a strict accounting, they are not ideas at all (i.e. intellectualist criteria must be satisfied before a thought can be accounted an idea, i.e. accorded objective reality). 7. Ideas properly so called, as the Rationalists conceived them, are images of true and immutable natures: essences, beings, things that could exist if God or some other cause produces them. We have already seen abundant examples of Rationalists insisting that the way we get to a clearer and more distinct perception of these ideas is by eliminating the sensory elements with which they become confused, and this includes not only sensations, imaginings, and passions but also the ideas that result from the psychological operations performed on sensory data, e.g. the way an object seen at 20 yards and the same object seen at 5 yards seems to have the same size even though it takes up four times as much of our visual field (the sense would say it has grown, psychology corrects for this and makes it seem unchanged). 8. But what this boils down to is what I’m calling intellectualism: ideas, properly so called, preexist sensations and sensory psychology, so that however useful and important they may be for our getting along in the world, they are to be treated as contaminants when it comes to attaining a clear and distinct perception of the ideas 5. themselves, that is, the contents proper to them, what they are in themselves, as opposed to the contents superimposed on them by our human-mammalian psychological means of gaining conscious access to them. All this is just incrustation that must be stripped away like barncales from the hull of a boat if we are to get at the ideas themselves concealed beneath. 9. Because of their intellectualist commitments, the only philosophical virtue Rationalists could find in sensory psychology is to identify those contents that only seem to belong to the ideas but in fact have their origins in our ways of perceiving ideas so that they may forthwith be stripped off, eliminated, disregarded. Thus, for them, the utility of psychology is wholly negative, and the main work of getting at the actual contents of ideas must be performed by strictly analytical methods aimed at producing a correct definition. 10. For example, it is the human senses that make a triangle apprehended visually seem to have the property of color, and the same triangle apprehended by touch seem to have such properties as being, say, room temperature, dry, and smooth. These properties do not belong to the triangle itself but are rather added to it by our minds’ subjective sensory constitution. If we had different senses than those we do, the triangle would appear differently in perception; and if we had no senses at all but like God apprehend things purely intellectually, we would find no sensory qualities at all in our idea of the triangle. 11. Obviously, if we strip out everything distinctively visual in our perceptions of triangles as well as everything distinctively tactual there will be nothing left: our senses cannot perceive invisible, intangible triangles. Nevertheless, the Rationalists held that this is no impediment, we can apprehend them purely intellectually by means of words in a definition. Geometry shows us how and also shows how, from definitions, together with self-evident axioms, we can discover properties that belong to all triangles as such, properties that belong to them of necessity and about which we can be absolutely certain, such as the equality of the sum of their angles to two right angles. Isn’t the discovery of such universally and necessarily valid properties ample proof that the definitions geometers start from are correct, that is, that they give us access to the content of the idea purely intellectually, with no help from the senses? And doesn’t this in turn prove that this and other ideas we can know by means of geometry and other equally rigorous a priori sciences preexist their presence to consciousness in sense perception? 12. This is Rationalism’s persuasive force in a nutshell: no other explanation of the 6. most indubitable kinds of knowledge seems as adequate. But it does premise the intellectualist thesis that ideas preexist their presence to consciousness in perception, which inevitably raises the question: how, by what means and in what capacity, do ideas preexist perception? 13. Thus usual response was to claim that ideas are present in our understandings innately, that is, they belong to our essence, part of the divine endowment that makes us each the intellectual beings we are, whether we exist or not. The only major exception was Malebranche, who held that these ideas are not innate to our minds but to God’s and that God confers on us a special kind of pure intellectual vision that enables us to behold them (a view known as illuminationism). 14. Both innatism and illuminationism are forms of intellectualism, as is Plato’s view that ideas are forms existing in their own purely intelligible realm distinct from the sensible world: on all these views, ideas preexist their presence to consciousness in perception, with the consequence that psychology can tell us nothing positive about the contents of these ideas and so has at most a secondary role to play in philosophy. Philosophy, then, is just like mathematics: an abstract, analytical, non-empirical science. Sensibilism 1. It was intellectualism, particularly in its innatist form, that Locke’s Essay is dedicated to combatting and replacing with the opposing view that ideas do not preexist their presence to consciousness in sense perception, and its principal consequence: that sensory psychology, far from being irrelevant except to mask the true content of ideas, is actually the best method by which to discover (clarify, make distinct) what their contents really are. This view I call sensibilism. 2. On a sensibilist view, human understanding has no contents proper to itself (whether innately or by illumination) other than the ideas we get empirically from inwardly sensing its various operations (what Locke terms ideas of reflexion by contrast with ideas of sensation). All our ideas, including those most essential to our grasp of reality (the substance package), are either identical with sensations or are nothing more than various ways of regarding sensations – separately, in combination, related, in abstraction from time and place, etc. 2. For nearly all intents and purposes sensibilism and empiricism are 7. interchangeable notions. Sensibilism says that all our ideas derives from the senses, be it sensation or reflexion. Since perceptions of sensation and reflexion are the very definition of a posteriori, or empirical, there may seem to be no point in complicating matters by introducing another term. The reason I do so is because of Kant: while a sensibilist like Locke, Berkeley, and Hume, he was not an empiricist; he introduced the notion that the senses represent objects entirely a priori, a notion very complex and confusing that few would even pretend to understand but is still important to note because it is premised in everything in Kant’s philosophy and Kant is the most important philosopher of the last two thousand years if not of all time. 3. So empiricism should be understood as a variety of sensibilism, an answer to the question how the ideas of the senses are given analogous to the answer Rationalists philosophers give to the question how ideas preexist their presence to the senses (innatism, illuminationism, and Platonism being the principal answers). 5. This is just to warn you that there is a That-question and a How-question to be distinguished here just as there is in the case of Rationalism. But since we won’t be getting to Kant in this course, I will try to restrict myself to the usual term ‘empiricism’ but ask that you keep in mind that I generally have sensibilism uppermost in mind, i.e. the view that contrasts not with innatism but with intellectualism. Origins: the psychological method 1. Now all this is just meant to help you to appreciate the significance of the sudden prominence of psychological considerations in philosophy after Locke when before him they were more or less disdained. The role of psychology, in particular, is to clarify the content thought in philosophically controversial concepts by tracing them back to their origin as ideas in the mind: which operations of the understanding are responsible for them and whether they are purely mental or mixed up in some way or other with the verbal (i.e. what can only be thought by linguistic means or, more generally, by means of signs). 2. Of course, you may well ask why Locke and his successors were so concerned with clarifying ideas by tracing ideas back to their first origins in the mind. Why bother to do that when a far more direct method is ready to hand and seems not only easier but surer as well? To wit: why not go straight to the idea itself, lay it out for inspection, and read off its contents directly, without worrying when and 8. how we first got it into our minds? 3. There are four main reasons why Locke and his successors rejected the direct approach. They are a bit complicated but important to understand. Don’t worry if they do not sink in completely all at once because we’ll be returning to these and related considerations repeatedly through the remainder of the semester, to understand why empiricism took the course it did from Locke to Berkeley, from Berkeley to Hume, and from Hume to the threshold of Kant. 4. Difficult to scrutinize directly. The ideas we actually operate with in thought and reasoning are not the original sensations and reflexions but the copies we make of them after they are gone. These copies we can manipulate in various ways in the course of reasoning – rearrange their order, take them apart, put them together with other things in new ways, compare them, and operate them in all kinds of other ways that simply aren’t possible with their sensation originals alone. Yet, this ease of manipulation comes at a price. Their copies are in every way less easy to scrutinize than the sensations themselves. Where sensations and reflexions are quite literally tangible, visible, noisemaking, smelly, tasty things – as palpably real as anything can be, vividly present – their copies in thought are faint, evanescent, and wavering, almost dreamlike. They are consequently much more difficult to seize mental hold of and lay open for inspection than their sensation originals. Sensibilist therefore looked to the vivid clarity of sensations and reflexions as the best way to clarify the contents of their images in thought. 5. Limits of our capacity for attentive discernment. A second reason why sensibilist philosophers rejected the direct approach to clarifying ideas concerns the limits of our capacity to inspect what’s going on in our minds (introspection: the ability to attend to what’s going on in one’s mind and directly inspect its contents). Things our minds are habituated to doing, they tend to do with such extreme rapidity as to seem, to our introspective gaze, to take no time at all. This makes it easy for us to mistake ideas that in fact involve complex mental activity, and cannot exist apart from it, for simple passive givens of sense. 6. A good example is our ability to see a happy face, a sad face, an angry face and so forth. We cannot of course literally see emotions. What we see is a sheath of skin colored by underlying blood, muscle, and other biomatter, so that it is not emotions we see playing across it but motions caused by the rippling of various facial muscles, blood vessels filling up and expanding or emptying out and 9. contracting etc. Nevertheless, once we have built up a sufficient body of experience of faces, and have learned to associate their postures, motions, and coloration with inner emotional states, it is just as if we did see them as directly as we do light and color, with the consequence that this complex mental process is mistaken for immediate perception. 7. There are other phenomena Locke and others adduced to make this point. On is hearing speech spoken in our native tongue. If we direct our attention at it, it is impossible not to understand what is being said. It is impossible for us to direct our attention at it and, by a sheer act of will, hear it as a dog might or as recording devices register it: a seamless ribbon of sound rather than an articulated sequence of discrete phonemes each of which contribute to conveying the meaning. Certainly, there must have been a point very early in life where we heard speech just as the seamless ribbon of sound that appears to our consciousness in auditory sensation; but our mastery of speech transforms this so that not only is our attention fixed on the meaning, we cannot, not matter how hard we try, attend to it any other way. It is only because we know that children have to learn to talk that we know that this is not a case of genuine perception but of complex operations that people take a long time to master. 8. Another example Locke and others considered is distance vision. An object we see at twenty paces seems to grow as it approaches us, so that at two paces it fills up ten times as much of the visual field as it did originally. Yet, we do not treat this as a change in the object, i.e. we do not conclude that it grew, we conclude only that our point of view on the object changed. The curious thing is that, very early in life, this ceases being a matter of reasoning about things and becomes part of the way the object looks to us to be, so that even while its appearance to our sense of sight grows markedly, it seems not to grow but to maintain the same size throughout. Because we do not explicitly reason it out, however, we mistake this complex psychological process of correcting for appearances with what appears to our senses directly, before any mental activity is performed on the sensory input. In other words, the operation, though complex, is performed so quickly and unobstrusively that it completely escapes our introspective gaze. We have to rely on indirect considerations, on extrapolation and reasoning, to determine that here introspection cannot be relied upon. And if it cannot be relied on for selfknowledge here, don’t we need to be very careful about relying on it in other cases, including ones where the evidence of complex psychological processing is not so ready to hand? 10. 9. For these kinds of reasons attentive discernment – introspection – was not considered a reliable guide to the contents of thoughts, and other, less direct but more reliable methods were favored, methods focused on our first acquisition of the mental skills in question. Thus Locke (this text is posted on the course website, the editors made a bad decision and omitted it): By habit, ideas of sensation are unconsciously changed into ideas of judgment. Nor need we wonder that this is done with so little notice, if we consider how quick the actions of the mind are performed. For, as itself is thought to take up no space, to have no extension; so its actions seem to require no time, but many of them seem to be crowded into an instant. I speak this in comparison to the actions of the body. Any one may easily observe this in his own thoughts, who will take the pains to reflect on them. How, as it were in an instant, do our minds, with one glance, see all the parts of a demonstration, which may very well be called a long one, if we consider the time it will require to put it into words, and step by step show it another? Secondly, we shall not be so much surprised that this is done in us with so little notice, if we consider how the facility which we get of doing things, by a custom of doing, makes them often pass in us without our notice. Habits, especially such as are begun very early, come at last to produce actions in us, which often escape our observation. How frequently do we, in a day, cover our eyes with our eyelids, without perceiving that we are at all in the dark! Men that, by custom, have got the use of a by-word, do almost in every sentence pronounce sounds which, though taken notice of by others, they themselves neither hear nor observe. And therefore it is not so strange, that our mind should often change the idea of its sensation into that of its judgment, and make one serve only to excite the other, without our taking notice of it. 10. The confusion of language with thought. A third reason sensibilists like Locke did not rely primarily introspection to get at the content of ideas is that it carries a great risk of confusing the content of ideas with linguistic meaning. In their view, linguistic and ideational understanding march to the beat of very different drummers and one must always be on guard against the temptation to attribute to ideas what is true only of words. 11. Language depends on conventions – implicit rules which everyone must agree to abide by in order for a certain practice to work, e.g. the convention of driving on the right – whereas ideas are a natural phenomenon, as natural to the human mind as to creatures like dogs and horses that lack the capacity for language, as real as the sensations they copy, as real as other mental states such as headaches, and, 11. more particularly, they exist prior to and independently of everything that has to do with human social interaction. 12. Another feature of ideas is that they are essentially private: no one but me is privy to what is appearing to my consciousness (if I am color blind, you cannot know that the colors you see are invisible to me). I cannot share my ideas with you, you cannot share yours with me; they are by their very nature accessible only to the mind that has them. Language, by contrast, is by its very nature public. To be sure, I can talk to myself; but the same sentences I say in the privacy of my own mind I can repeat out loud. Indeed, even in the privacy of my own head, sentences have meaning only in and through publicly instituted meanings in much the same way, e.g., the money I have buried deep underground that no one else knows about has value, and counts as money, only insofar as it would be accepted as legal tender by others (otherwise it is only so much paper and metal – as language is only so many throat warblings and ink scratches in the absence of conventions and the instituted meanings [“rules of propriety” as Locke termed them] they make possible). 13. Language and ideas are thus utterly different things: one artificial and public, the other natural and private. Yet – and here is the problem that concerned Empiricists like Locke – in practice, words and ideas are always found mixed up together and extremely difficult to keep separate, so much so that properties of the one that are completely incompatible with the other get attributed to the other anyway and even the most vigilant introspection is unable to prevent this. Only extensive philosophical reflection combined with great care and effort in application can succeed in freeing us from this type of confusion and enable us to penetrate the mists of language to discover what actually is and is not present to our minds beneath our talk. 14. And even then, when we penetrate the veil of language, there is still a risk. For, according to the Empiricists, ideas have a twofold use in the understanding: they are not only the only objects with which our minds are ever acquainted but also are put to use to as signs to designate other objects (ideas), and differences of signification do not always coincide with differences of ideas. 15. Take, for example, a tone, say a middle C sounded on a piano. Does the tone – the sensation-idea – consist of two distinguishable parts, the piano timbre and the middle-C pitch? To answer yes, it would have to be possible to hear pitchless timbres and timbreless pitches. But it is not. In the sensation, they are one and inseparable, and therefore are one and inseparable in their idea copies. But it is 12. nevertheless true that the idea of that tone can be put to use in two quite distinct significative roles: to designate all piano timbres irrespective of their pitch or to designate all pitches of middle C whether played on piano, violin, kazoo, or what not. 16. It is all too easy to mistake significative uses of ideas for real distinctions within the ideas themselves. Introspection is totally unreliable here. Once I learn to distinguish visible shape from color, I can suppose that I can see the shape in the sense of forming separate idea of it and prove it to myself by fancying that I can attend exclusively to the shape, direct my mind at it, and can do so with no help from language. But Empiricists (less so Locke than Berkeley and Hume) believed that if we trace these distinctions to their origin, we will find that we are dealing not with separate ideas but merely with different significative uses of one and the same idea. So that we do not literally see the shape without the color or the color without the shape, anymore than we hear pitchless timbres or timbreless pitches, and that if all trace of the different ways this visual idea can be used to signify, we would not dream that any distinction is possible in such cases. 17. Extraneous meaning from being embedded in a wider context. Fourth and finally, the ideas copied from sensations that we employ in thought and reasoning become embedded in a network of acquired meanings. The occasion for this is the taking of ever more general points of view. Take for example the idea of scarlet. Locke believed that, at the level of the senses, we can directly discern a quality common to scarlet and burgundy, the quality we denote by the term ‘red’. But there simply is nothing we can strictly speaking see that is common to scarlet and a shade of yellow, a shade of blue, or any shade of any other color than red. So how do we form the general idea of color? 18. According to Locke this happens not at the level of ideas but by means of a linguistic generalization. Instead of any quality of the ideas, the concept of color is fixed linguistically by keying it to all and only sensations entering by way of the eyes. When we think of scarlet as a color thereafter, we are then apt to integrate it into the field of optical concepts. Without the sensation itself having anything added to its intrinsic content (nothing about the eye is present in the sensation of scarlet), extrinsic meaning trickles down into it by virtue of its place in language, so that it becomes related in our minds to the context of the anatomy and workings of the eye, the physics of its stimulation, the nature of light, the chemistry of dyes, etc. And this is only a few of the meaning nexuses into which the idea is drawn that in turn seem to trickle down into it. 13. 19. Since these extrinsic meanings are so confounded together with its intrinsic ideational content, introspection is useless to distinguish them and so can be of no help to us if our endeavor is to discover what the contents are of the ideas present to our minds, and to them alone. Consequently, Empiricists held that if we are ever to distinguish what belongs to the idea itself, as its proper content, from what accrues to it by virtue of its place in the infinitely ramifying nexus of concepts in language, we must return to the originating sensation. 20. For since the sensation is not itself employed in thought and reasoning, it stays detached and can be considered in complete isolation. Unlike the ideas copied from them, the sensation originals of our ideas have no (linguistically derived) conceptual strings attached but instead stand apart, in isolation, easy to take hold of and lay open for inspection. We can therefore be quite confident what contents do and do not belong to the ideas we copy from them.